To Hell and Back: Europe 1914-1949 by Ian Kershaw (2015)

This is volume seven in the eight-volume Penguin History of Europe and it is very good. It has to cover a lot of ground and Kershaw does it clearly and authoritatively. He does this more by focusing on broad themes and issues, than getting snarled up in details. It is a high-level overview.

Contents

The period

In Kershaw’s opinion the 20th century is characterised by wars, immense wars, and falls naturally into two halves – the period of the two world wars 1914 to 1945, and then the Cold War, 1945 to 1990.

The Cold War will be dealt with in the ninth and final volume of the series. This volume covers the earlier period but Kershaw makes the point that, as the violence and chaos of the Second War continued after its official end, and that it took a few years for its repercussions – and the shape of the post-war world – to fully emerge, so his account ends not on VE or VJ Day 1945, but goes on till 1949, the year the Berlin Airlift ended (12 May) and the Federal Republic of Germany was created (20 September).

The themes

In Kershaw’s view the 20th century to 1949 was characterised by four large themes or issues:

1. An explosion of ethno-racist nationalism

The collapse of the Austro-Hungarian, Ottoman and Russian Empires both ‘liberated’ a lot of peoples who now set up independent nations (Hungary, Czechoslovakia, Poland, Ukraine, Yugoslavia, Turkey) – but also confirmed the trend whereby these new nations defined themselves ethnically.

In the big rambling empires all sorts of religious and ethnic groups may have resented each other, but managed to live alongside each other, in part because they were all subjects of the emperor or sultan. Ethnic nationalism destroyed this tolerance. At a stroke, if you didn’t speak the national language of the national people who the new nation was set up for, you were an outsider and, by implication and sometimes even by law, a second-class citizen. The Jews were outcast everywhere.

2. Bitter and irreconcilable demands for territorial revisionism

Before he brought America into the war, Woodrow Wilson had declared certain principles, namely that America would be fighting for 1. a peace without conquest (i.e. in the final peace deals, conquerors wouldn’t get to keep the land they’d acquired) and that 2. oppressed peoples would be liberated and given their independence / own nations.

In practice this second one proved tricky because centuries of living under rambling empires had resulted in a tremendous mixing-up of populations. To give an example, a large area in the east of Anatolia was known as Armenia and was the traditional homeland of the Armenian people – but there were large Armenian populations scattered over the rest of the Ottoman Empire, not least in the area known as Cilicia, at the other end of Anatolia from Armenia proper: so what happens to them?

The victors in the war laboured long and hard over complicated treaties (Versailles, Trianon, Saint Germain), drawing lines on maps and creating new nations states. But it proved impossible not to include in almost all of them large ethnic minorities a) who resented not living in their nation b) who were resented by the majority population for not speaking the national language, having the correct type of name or religion.

And impossible not to do this without creating a burning sense of grievance on the part of the nations who lost territory: Germany lost 13% of its pre-war territory and 10% of its population (p.119); Russia lost control of the Baltic states and Finland; Bulgaria also lost some territory, but Hungary lost a whopping 75% of its former pre-WW1 territories so that some three and a half Hungarians found themselves living outside Hungary, many of them in the new enlarged Romania which became nearly twice the size of its 1914 embodiment.

Kershaw gives the chapter where he describes all this the title ‘The Carve-Up’.

3. A prolonged crisis of capitalism, which many thought was terminal, and needed to be replaced by new social structures

The First World War left economic wreckage at every level, from devastated agricultural land through ruined industrial sectors. This was a lot more true in the East where entire regions such as Ukraine, Belarus and Galicia were devastated, than in the relatively static West, where only a relatively small zone about 50 kilometers wide had been devastated by the trench warfare.

At a higher level, all the combatants had had to borrow vast sums to fund their war efforts, and this left many on the brink of bankruptcy. The Western nations had borrowed heavily from the USA. To repay its debt France insisted on huge reparations from Germany. When Germany defaulted on the payments in 1923, France occupied the industrial Ruhr area of Germany, the German government told the workers to go on strike in protest, and the fragile German economy collapsed leading to the famous hyperinflation where you needed a wheelbarrow full of cash to buy a cigarette.

This situation was sorted out at an international conference which enacted the Dawes Plan, a simple triangle whereby America lent money to Germany to rebuild her economy, the German government used the tax revenue generated from its growing economy to pay reparations to France, and France used the German reparations to pay back its immense war loans from America and pledged to buy American products.

This elegant plan underpinned the brittle prosperity of the later 1924-29, the Jazz Era, the Roaring Twenties, the Weimar Years. But, as we all know, it collapsed with the 1929 Wall Street Crash which not only led to prolonged Depression in the States, but collapsed the Dawes Plan and plunged Europe into depression, triggering the mounting unemployment and renewed inflation which set the scene for the rise of the Nazis.

Throughout the period, many thinkers and commentators thought the capitalist system was doomed. It seemed to be failing before their eyes, in America, Britain, France and Germany. Many thought Western civilisation could only survive by mutating into new forms, by evolving new social structures.

4. Acute class conflict, given new impetus by the advent of Bolshevik Russia

There had been class-based uprisings and revolutions throughout the 19th century (maybe the brutal Paris Commune is the most extreme and clearly class-based example) and a wealth of thinkers, not only Marx, had analysed the grotesque inequality between the new factory and business owners and the deeply impoverished industrial proletariat as a clash of classes.

But the Bolshevik seizure of power in Russia transformed the situation. The Bolshevik regime became a symbol and lightning rod for class antagonisms all round the world. It appeared to offer a real working example of a genuinely alternative social system, one in which the government sequestered all the means of production and distribution and ran them for the good of the entire people, not just a wealthy few.

But it had two baleful consequences:

1. The Russian Revolution split the Left From the establishment of the Communist International (or Comintern) in 1919 until the collapse of the Soviet Union, the forces of the Left in every country in the world would be divided between communist parties taking direct orders from Moscow, and all the other forces of the Left who, quite often, the communists undermined & sabotaged (see the Spanish Civil War). This was a fatal division of the forces opposing the Right and Fascism, which Kershaw describes occurring in country after country across the period.

2. The Russian Revolution was a galvanising force in the rise of the Right Right-wing parties everywhere reached out to the newly-enfranchised masses (all European nations expanded their voting based after the war, for the first time creating really mass democracies), especially the large numbers of middle and lower-middle-class voters, and terrified them with visions of blood-thirsty revolutionaries taking over their town or country, lining all ‘class enemies’ (i.e. them) up against the wall, confiscating their businesses and hard-won savings.

One way of looking at it was that, without the very real existence of the Bolshevik regime, and the threat from growing communist parties in every country in Europe, there would have been no rise of Fascism.

And the closer you were to Bolshevik Russia, the more pressing the conflict seemed – from Poland which was actually invaded by the Red Army in 1920, to countries like Romania, Bulgaria and Hungary where initial dalliances with left-wing governments quickly gave way to right-wing authoritarian governments (the Iron Guard in Romania, the royal authoritarian dictatorship of Tsar Boris III in Bulgaria, the right-wing administration of admiral Miklós Horthy in Hungary).

All exemplified, over a longer timeframe, by the central and most important European state, Germany, whose Weimar regime tried to follow Western norms of governance, but was undermined by the extreme social divisions sparked by recurrent economic crises, by the immense and widespread resentment created by the punitive Versailles Treaty, and by a culture of subversion and street violence which the Right, eventually, was to win.

Conclusion All four elements (nationalism, economic crises, left-wing politics, squabbling over territory) had of course pre-existed all across Europe. But they were driven to new heights of intensity by the First World War and the widespread chaos which followed. And then combined like toxic chemicals, catalysed by the series of political and economic crises, to create unprecedented levels of bitterness, hatred, anger and social division all across Europe between the wars.


The origins of the First World War

There are as many opinions about the origins of the First World War as there are grains of sand on a beach. Kershaw emphasises the folly of the German government sending Austro-Hungary, as it pondered how to punish Serbia for the assassination of Austrian Archduke Ferdinand, a ‘blank check’, promising to support them come-what-may. This encouraged the Dual Monarchy to outface the Russians, which of course prompted the Russkies to mobilise etc etc.

But reading his account what came over to me as the really decisive source of the crisis was the Austro-Hungarian slowness to act. Other heads of state had been assassinated in the decade leading up to 1914 without sparking a general crisis. The other powers expected Austria to attack Serbia and deliver a short sharp reprimand, maybe occupy Belgrade, demand some reparations before withdrawing.

But, as Kershaw says, the Austro-Hungarian Empire only had two speeds, very slow or stop, and it took them nearly four weeks to write and send their ultimatum to the Serbian government.

This appalling delay gave all the other European governments time to consider how they could use the crisis for their own ends, not least Germany, whose military leaders told the Kaiser this was a golden opportunity to thrash the Russians before the Russians completed their well-known plan to modernise and expand their army, which was due to be completed by 1917. The German High Command persuaded the Kaiser that it was now or never.

If Austro-Hungary had gone in hard and fast with a surprise attack into Serbia within days of the assassination, a conference would have been called among the powers – much as happened after the first and second Moroccan crises (1905 and 1911) or the two Balkan wars (1912 and 1913) – to sort the problem out, probably force Serbia to pay reparations, and defuse tensions among the powers.

So you could argue that it was the byzantine and elephantine bureaucracy of the unwieldy Austro-Hungarian state which caused the cataclysmic conflict which defined the entire 20th century.

This view gives edge to your reading of a novel like Robert Musil’s A Man Without Qualities with its sustained satire on the pompous ineffectiveness of the Austrian administration. Maybe not so funny after all…


Civilised Western and backward Eastern Europe

There’s a whole genre of books devoted to explaining ‘the Rise of the West’ i.e. how Western empires ended up by the early twentieth century ruling a lot of the rest of the world. Harder to find are books which investigate the simpler question: Why was Western Europe relatively ‘civilised’ whereas regimes got steadily more repressive, undemocratic and authoritarian the further East across Europe you travelled. Kershaw’s book suggests some answers.

1. Western Europe was more ethnically homogeneous than central or Eastern Europe. England, Scotland, Wales, Ireland, France, Belgium, the Netherlands, Denmark, Norway, Sweden – these were populated by homogeneous populations of people identifying with the nation, with only tiny, insignificant minorities (actually Belgium is the exception which prove this rule, with low-lying conflict between the Flemings and the Walloons). Therefore one of the key prompts of post-war social tension – ethnically jumbled populations with conflicting claims – simply didn’t exist.

A notable exception was Spain where two large ethnically distinct groups, the Catalans and the Basques, combined with a backward, poverty-stricken population to make ruling the country problematic, as its slide towards civil war was to highlight.

2. Nation states in the West were long established. The French could trace their nation back to Charlemagne and the British to Alfred the Great, certainly to Magna Carta in 1216. Both nations had parliaments by the 1200s. That gave them 700 years experience of evolving laws and customs and strategies to manage social conflict. Compare and contrast with Germany, which was only unified in 1871 and whose experiments with self-governance over the next 70 years were not, shall we say, particularly successful. It was only after the British and Americans taught them how to run a modern democracy in the post-war occupation that they finally got it. Or compare with any of the ‘successor’ states to the collapsed empires – Hungary, Yugoslavia, Poland, which had barely any experience managing themselves. Spain, though it had existed as a political entity since the Unification of the 1490s, had only just ceased to be a monarchy. Only in 1931 did they expel their king and declare themselves a republic.

So all these nations or administrations had very shallow roots and little experience of self-government.

To put the same thing another way, Kershaw explains that in Western European countries (and the USA) the state had, over time shaped the nation, the institutions of the state had created a national consciousness which identified with them, the institutions. The institutions of state had become part of the populations sense of nationhood e.g. in Britain, the Queen, the Houses of Parliament, Black Rod, the Leader of the Opposition and so on.

It was the opposite in the new nations central and eastern Europe. Here ethnically purist nationalisms predated any idea of what a nation was, and the new states were created in the name of ethnically limited nations: Poland for the Poles, Hungary for the Hungarians and so on. The precise political form the new states took was secondary; the aim was to promote the nation.

Thus the institutions of the new democratic states were mostly new and, as they proved themselves incapable of managing the political and economic crises of the 1930s, broad sections of the population had no qualms about overthrowing these institutions and replacing them with different ones. They didn’t have the national identification with Queen and Parliament or President and Congress that the British and Americans have. So they got rid of them and tried something new, almost always rule by the army or authoritarian figures.

Thus in the USA or Britain, most people thought of politics as a simple choice between Labour or Tory, or Republican or Democrat. Most people accepted ‘democracy’ and few people thought about overthrowing it. But the democratic state was such a new invention in the ten new countries of post-war Europe that plenty of politicians, intellectuals and activists could easily imagine overthrowing and replacing it with a different model, more appropriate to the times, and almost always more authoritarian.

3. The further East you went, the less industrialised i.e. the more ‘backward’ countries became. It appears to have been a simple gradient, a line you could draw on a graph. In Britain at the end of the First World War only 10% of the working population worked on the land whereas 72% of the Romanians worked on the land. Rural workers tended to be illiterate and easy to sway towards simplistic, nationalistic regimes in a way the highly educated population of, say, Britain, would have found laughable. Thus Oswald Mosley’s high-profile British Union of Fascists caused well-publicised public disorders, but never had more than 50,000 members, far fewer than the National Trust or the Women’s Institute.

Of course the most easterly European nation was Russia, which – following the West-East rule:

  • had the highest proportion – 80% – of illiterate peasants
  • no tradition of elective democracy – the Tsar only set up a sort of parliament, the Duma, in 1905, and he and the ruling classes made sure it had no power
  • few if any of the institutions of civic society
  • and a ‘culture of violence, brutality and scant regard for human life’ (p.113) as my reviews of some of its classic fiction tend to confirm (Dr Zhivago, Tales From the Don, Red Cavalry, One Day In the Life of Ivan Denisovich)

The weakness of inter-war democracy

Kershaw has a fascinating passage examining the post-war political systems of every country in Europe (pp.123-133) which shows exactly why ‘democracy’ had such thin roots. Later on, a similar survey explains why these weak democracies almost all collapsed into authoritarian regimes by the time of, or during the second war (pp.183-192). European democratic systems during this period:

1. Used electoral voting systems which encouraged weak government. Many used variations of proportional representation, which may, on the one hand, have led to general assemblies which were accurate reflections of national views, but also led to weak governments which followed each other with bewildering speed:

  • Spain had 34 governments between 1902 and 1923
  • Portugal 45 administrations between 1910 and 1926
  • Yugoslavia had 45 political parties
  • Italy had 6 changes of government between 1919 and 1922
  • France had six different governments in just over a year, April 1925 and July 1926

2. Disillusioned much of the population with their mixture of incompetence, endless squabbling, corruption, all too often giving the sense that politicians put party interest above national interest. This allowed extremists to tar all democratic politicians with neglecting the Nation, even accusations of treason.

3. This created what Kershaw calls a ‘political space’ in the newly-created countries – or countries with new political systems – into which broad sections of the populations were all-too-ready to let a Strong Man step and run the country properly:

  • Admiral Miklos Horthy in Hungary in 1920
  • Mussolini in Italy in 1922
  • General Primo de Rivera in Spain 1923
  • in Albania Ahmed Zogu seized power in 1924 and declared himself King Zog
  • General Pilsudski took control in Poland 1926
  • General Gomes de Costa took power in Portugal in 1926

On the eve of the Second World War only about eleven countries in Europe were functioning democracies and they were all located in the north and the west – Britain, Ireland, France, Switzerland, Belgium, the Netherlands, Denmark, Norway, Sweden, Finland and tiny Iceland; whereas about 60% of Europe lived in 16 countries under repressive, authoritarian rule with curtailed civil rights and minorities facing discrimination and persecution: in the south Spain, Portugal, Italy and Greece; in the East Hungary, Slovakia, Romania, Bulgaria, Albania, Yugoslavia, Poland, Lithuania, Latvia, Estonia, and slap-bang in the middle, the largest country in Germany, the nation that set the tone, Germany.


What is fascism and how does it take hold?

Kershaw is best known as a historian of Hitler and the Nazis. You can feel the depth of his knowledge when he comes to describe the situation in Germany after the war, during the boom years, during the Depression (1929-33) and as he explains the reason for the Nazis appeal and rise in each of these periods.

But all too often histories of the Nazis focus so exclusively on the uniqueness of the German context that the reader is hard-pressed to draw broader conclusions. An excellent thing about this book is that it is a conscious attempt to cover the history of all of Europe, so that in each of the micro-periods it’s divided into, Kershaw goes out of his way to explain the situation in most if not all of Europe’s 30 or so countries; how, for example, the onset of the Depression affected not only Britain, France and Germany (which you get in the standard histories) but countries from Spain to Greece, Norway to Portugal.

This proves extremely useful when he gets to the rise of the Nazis and their successful seizure of power (Hitler became Chancellor of Germany in January 1933 and within 6 months had crushed all other rival sources of power, all other political parties, the parliament, trades unions, universities, professions, every aspect of a modern state had either been Nazified or abolished).

Useful because after explaining all this, he goes on to draw general conclusions, to define what Fascism is, to ask Why Fascism succeeded in Italy and Germany and Why Fascism failed everywhere else. This has all kinds of benefits, one is it allows him to draw a distinction between regimes which were right-wing and authoritarian but not actually Fascist.

1. What is Fascism?

Kershaw says that trying to define Fascism is like trying to nail jelly to a wall because its core attribute is hyper-nationalism i.e. glorification of the nation with its special language and history and traditions – and the precise details of each nation’s history and culture will vary according to circumstances.

Thus an attempt to hold a pan-Fascist Congress in Geneva in 1934 failed because a) Germany didn’t bother to turn up b) the other delegates couldn’t agree joint plans of action.

These caveats notwithstanding, Kershaw says Fascism includes:

  • hyper-nationalist emphasis on the unity of an integral nation which gains its identity from the cleansing of all who don’t belong – foreigners, ethnic minorities, undesirables
  • racial exclusiveness (though not necessarily biological racism of the Nazi type) with an insistence on the special, unique and superior quality of the nation
  • radical, violent commitment to the complete destruction of political enemies – communists, liberals, democrats, sometimes conservatives
  • emphasis on militarism and manliness, usually involving paramilitary organisations
  • belief in authoritarian leadership

Some also had irredentist goals i.e. reclaiming lost territory. Some were anti-capitalist, reorganising economies along corporatist lines, abolishing trade unions and directing the economy through corporations of industries.

All these elements can be present in authoritarian, right-wing governments which wanted to overthrow or dismantle the existing state and replace it with nationalist, authoritarian rule. What distinguishes Fascism is its insistence on total commitment to bend the collective will to the creation of an entirely new nation, expressed in ideas like the New Man, New Society.

Most right-wing authoritarian regimes (like all the South American dictatorships of the 1970s) essentially want to conserve the existing social order, and eliminate the left-communist, union elements which threaten it. Fascism goes much further. Fascism is a revolutionary movement because it seeks to sweep away the existing order and replace it with a new, totally unified society which will produce New Human Beings, a higher form of people who express the quintessence of the Nation, and of the epic national qualities

2. Why does Fascism succeed?

1. Elites lose faith in, and control of, democracy The most important factor in the rise of Fascism – of the extreme, radical Right – is whether the forces of conservatism – business, military, financial and social elites – believe they can get their way through the existing political and social order, or not. If these powers in society retain the belief they can work through the existing system they will support it. Only when they have completely lost faith in the existing system, or believe they have lost the ability to control it, will the elites help to, or acquiesce in, overthrowing it.

In this interpretation, the key to avoiding Fascism is ensuring that all or most elements of these powerful elites believe the existing (parliamentary, democratic) system is the best mechanism for getting their way, or some of it. Only when the existing system has been completely discredited, and the elites feel they are losing control of it and look around for alternatives, does the space open up for radical political change.

Rule 1: Keep the ruling elites invested in the parliamentary system

2. Fascists play up the threat of communism (and atheism) The second factor is the threat of communism as it affects two sectors of society, the elites and the middle classes.

The realistic prospect of a communist regime coming to power and implementing real communist policies (nationalising all industries, confiscating private property) obviously threatens the interests of the business, economic, class elites. If these interests feel that the existing parliamentary system really is going to allow hard-core Socialist or communist governments to administer Socialist policies, then they will intervene to prevent it.

But communism doesn’t just threaten the elite. It also directly threatens the jobs and livelihoods and cultural capital of a large part of the population, the so-called middle classes, which covers a wide range from the professions (doctors, lawyers) through small businessmen, shopkeepers, small craftsmen and artisans and so on.

Historically, the majority of Fascist supporters have not been from the aristocracy or elites (who often look down on fascist vulgarity) but from the threatened and pressurised middle classes.

The elites will have a large number of the population on their side if these people, too, feel threatened by radical socialist policies, and not only by their economic policies but by their attacks on traditional culture.

Spain 1936 is an example where the new aggressively socialist government threatened not only the property and livelihoods of the big landowners and big business, and a wide tranche of the middle classes, petit-bourgeoisie and so on. They also directly threatened the Catholic church and all its values, patriarchy, the traditional family, the sanctity of marriage and the family, and so on, not really having calculated how many traditionalists and believers that would antagonise. They created, in other words, an impressively powerful coalition of enemies.

Kershaw has a section specifically addressing the role of the Protestant churches and the Catholic church during the crisis years of the 1930s and the war. What comes over loud and clear is that the Pope and the Catholic Church, although horrified by the Nazis, thought the communists would be even worse.

Same in Spain. It’s well known that Hitler and Mussolini gave material aid to General Franco, flying his troops in from Africa and bombing Republican strongholds. Less well-known that Britain and France, after some hesitation, decided to adopt a policy of strict neutrality

Rule 2: Avoid the threat of genuinely socialist, let alone communist, policies

3. Widespread grievances, specially about lost wars or lost land Political parties don’t exist in a vacuum, they need supporters. Voters, populations, peoples don’t migrate to extreme parties without reason. Almost always it is because they feel threatened by loss or are aggrieved because they already have lost important aspects of their lives (jobs, money, status).

They believe they have something to lose from the way the current system is tending – status, property, livelihoods, jobs, money, cultural traditions and identity. A very large number of people in Weimar Germany felt they stood to lose, or already had lost, jobs or status. Classic Nazi members were white collar workers, small businessmen, former army officers or NCOs, shopkeepers, small craftsmen, farmers, a huge raft of people who had suffered monetary loss under the economic crisis, or loss of status (ex-army officers, unemployed white collar workers).

The entire German nation was united by a sense of grievance at the unfair provisions of the Treaty of Versailles, the loss of large parts of territory and the punitive reparations.

The Nazis played on the widespread grievances of disparate sectors of the population and claimed to speak for them against a corrupt system which they promised they would sweep away, and restore everyone’s losses (of jobs and status), and restore the losses of the entire nation.

Rule 3: Don’t give people and peoples long-running grievances

4. National pride and national enemies The easiest way to address people’s grievances is to bundle them up into all-encompassing calls for a revival of the nation. Pretty much all Germans felt humiliated by the terms of the Treaty of Versailles, so it wasn’t very rocket science for the Nazis to make one of the main planks a call for National Revival.

And the easiest way to rally national pride, national revival, national rebirth, is to identify some kind of internal enemy who stands in the way. For the Nazis it was their mad irrational hatred of Jews (who, it is always shocking to recall, made up just 0.76% of the German population). Around the same time Stalin was uniting the mass population behind him by attacking ‘kulak’s, ‘saboteur’s etc. All authoritarian regimes are quick to identify enemies and rally the majority of the population against them.

It’s tricky because calls for national revival are an extremely common tactic of all politicians, and many people are patriotic in a relatively harmless way. It obviously becomes toxic when it becomes mixed with calls to defeat ‘enemies’, either internal or external. ‘Make America Great Again’ is fine in itself, until you start blaming the Mexicans or the Chinese for everything. Or the Jews. Or the Liberals or the Socialists etc.

Rule 4: Be wary of calls to national pride, nationalism and national revival which rely on demonising an ‘enemy’ 

5. Economic crisis Implicit in the above is the context of the economic or social situation becoming so extreme and dire that a) the large percentage of the population cease to have faith in the system b) parties of the extreme Left or extreme Right can come into existence, get a purchase on the population, and get into the political system.

Rule 5: Avoid extreme economic or social failure

6. Unstable political systems Political systems like proportional representation, which cater to every political element in a society, allow the proliferation of small, often extreme parties. Once established, extreme parties have the potential to grow quickly and challenge the status quo. This is what the Nazis did in Germany.

This is less likely in ‘mature’ democracies with winner-takes-all systems like Britain and the USA. Our systems are dominated by two main parties, which are themselves flexible and changing coalitions of interests, which ensure that most views have a political ‘home’ and give a broad spectrum of beliefs at least the possibility of seeing their views and policies implemented.

Even in a stable democracy like Britain’s, it is still possible for new parties to erupt and threaten the status quo if the social movement/mood they reflect is powerful enough. This is what UKIP did to the British political system in the lead-up to the Brexit Referendum. What Boris Johnson then did was in line with the long tradition of mature Western democracies, he incorporated most of UKIP’s policies (‘Get Brexit Done’) into one of the two mainstream parties (the Conservatives) thus drawing its teeth, neutralising it, and maintaining the stability of the two-party system. If it resulted in the Conservatives moving to the right that in fact reflects the wishes of a large part of the UK population who voted for Brexit and voted for Boris.

Mature democracies incorporate and neutralise radical elements. Immature democracies allow radical elements to establish themselves and attract support.

Rule 6: Incorporate potentially disruptive movements into the existing system – don’t keep them outside to become a focal point for destabilisation

Kershaw summarises:

Fascism’s triumph depended upon the complete discrediting of state authority, weak political elites who could no longer ensure that a system would operate in their interests, the fragmentation of party politics, and the freedom to build a movement that promised a radical alternative. (p.232)

3. The difference between fascism and authoritarianism

Authoritarianism – authoritarian dictatorships – generally want to keep things as they are or turn the clock back. They all share a loathing and fear of socialism or communism not only because it’s a direct threat to their wealth and power but because it threatens change, threatens to sweep away old values and traditions. Authoritarians want to save the nation by preserving its (conservative) traditions from change.

Fascism, on the contrary, is a revolutionary and dynamic ideology which seeks to sweep away time-honoured and conservative institutions. It seeks a comprehensive rebirth of the nation, freed from the shackles of the past, liberated to fulfil its historic destiny (power, land, international respect), but also to create New People in a New Society.

Thus Kershaw is at pains to point out that, although most European nations became dictatorships on the brink of or during the Second World War – most of these were not fascist. They were military dictatorships first and foremost, which may have used this or that aspect of ‘fascist’ ideology or trappings as suited them, but without the fundamental fascist attribute of wanting to transform society.

  • When General Ioannis Metaxis established his dictatorship in Greece in 1936, his avowed intention was to save the nation from communism, and he tried to set up ‘fascist’ organisations but failed to secure anything like the total social control of a Hitler or Mussolini.
  • When General Edward Smigly-Ridz took control of Poland in 1937 as ‘Leader of the Nation’, the country became more nationalistic and more anti-semitic but ‘there was nothing dynamic about this form of authoritarianism. No major attempt was made to mobilise the population. The regime was content to control the society. It had no ambitions to change it’ (p.262).
  • Even General Franco, after his military coup of July 1936, took a year to sort out the political aspects of what was essentially a military project. He co-opted the ideology of the banned Falange Party and coerced all the other right-wing organisations into joining it (p.240), but the party was only ever a political aspect of what remained a military rule. This was the polar opposite Germany, where a fanatically organised, civilian political party controlled the military as just one of the many levers of its total control over society.

Another fairly obvious difference is that some of these authoritarian regimes locked up fascists as well as communists, socialist, liberals, journalists etc. For example the Polish and Portuguese dictatorships (pp.262, 264) or Admiral Horthy’s authoritarian regime in Hungary, which banned the genuinely fascist Hungarian National Socialist Party and imprisoned its leader, Ferenc Szálasi (p.263).

In other words, for many authoritarian dictatorships, real hard-core fascism was one more subversive or disruptive element which needed to be controlled.

One way of thinking about this is the contrast between merely authoritarian regimes and totalitarian regimes. Totalitarian regimes want your soul as well as your body, your mind as well as your vote. They insist on total control of every aspect of their citizens lives in order to create a new type of human being.

Everything within the state, nothing outside the state, nothing against the state. (Mussolini)

Another way of thinking about the difference between authoritarian dictatorships and genuinely fascist regimes is that none of the dictatorships threatened the peace of Europe – the Western democracies didn’t lose any sleep about the foreign policy of Hungary, Bulgaria, Poland, Portugal. Even Spain, whose drawn-out civil war was violent and traumatic, never threatened to spill beyond its borders, never threatened the peace of Europe.

Unlike the irredentist and imperialist ambitions of the true fascist regimes, Italy and, most of all, Germany.


The rise of the Right and collapse of the Left in the 1930s

Putting the usual culprits Italy and Germany in the context of the wider, in fact of the complete European scene, brings out a fact I had never fully grasped before.

I suppose I knew that the 1930s were the era of The Dictator – although Kershaw’s review of every dictatorship in Europe really rams this fact home. The deeper point is that the catastrophic economic collapse of the early 1930s, which devastated nations, threw millions out of work, and led many to think capitalism was failing – did not produce a shift to the Left, in favour of thinkers and politicians who’d spent a lifetime criticising capitalism and supporting workers movements – it resulted, all across Europe, in a seismic shift to the Right.

Put at its simplest, the Left, in either its socialist or communist form, threatened the interests of:

  • most of the ruling class
  • most of the middle class
  • most if not all the peasants – some may have heard rumours about Stalin’s forced collectivisation in Soviet Russia, all knew that the Left wanted to destroy the Church and traditional religion
  • even a portion of the skilled working class who stood to lose their perks and privileges
  • not to mention the large number of criminals and dossers who are generally left out of sociological calculations, the kind of people who fill the pages of novels like Alfred Döblin’s Berlin Alexanderplatz

In other words, the hard, radical Left always represents a minority of a society, and is always opposed by a majority in that society.

Which makes it all the more striking that such a disproportionate majority of the intellectuals of many of these societies moved to the Left. Kershaw has a chapter giving a tourist’s-eye view of the ‘intellectual life’ of Europe in the 30s and 40s (which jumps around superficially, as historians’ quick obeisance to the need to mention something about ‘culture’ so often do), but the general drift is that from Gramsci through Orwell, Sartre to the Frankfurt School, the majority of Europe’s intellectuals took a left-wing, often out-and-out communist, view of the continent’s problems.

In other words, a good proportion of the intellectual class of Europe was deeply out of step with the majority of their populations.

That’s one rather crude interpretation, anyway. The deeper reasons for the shift to the Right bear investigating and pondering. A deep analysis would give insights into why, in our time, years of austerity, uncertainty and economic stagnation since the 2008 Crash have resulted not in the flowering of a socialist shangri-la, but, once again, led to the rise of right-wing leaders around the world. At the same time the intellectual and academic classes remain securely embedded in their progressive and left-wing ghettos (universities), out of touch with the populations they claim to interpret, and blankly incredulous of the leaders who keep getting elected (Trump, Johnson).

Germany’s dynamic Nazi ideology is in fact the exception that proves the rule. So much ink has been spilt about Hitler and the Nazis but they were the product of a very distinctive set of circumstances, to take two of them, the fact that they were in Europe’s largest and most powerful nation, and that the entire nation felt huge grievance over the Versailles Treaty.

Focusing so much on bloody Hitler and his Nazi Party, whose historical situation was unique and so whose precise brand of turbo-charged Fascism is never going to recur, has distracted historians from the much more practical task of analysing the reasons for the rise of right-wing authoritarian regimes in general – which do recur with worrying regularity, which were widespread during the 1930s and 40s, which dominated Latin America and southern Europe (Portugal, Spain, Greece and Turkey had military dictatorships in the 1970s) in my boyhood, and which people worry are now reappearing in the guise of various ‘populist’ leaders.

Historians’ focus on one unique event (the Nazis) is, in my opinion, a distraction from analysing and thinking about how to prevent the far more common (almost mundane) phenomenon of military coups and authoritarian dictatorships.

The accidental rise of Adolf Hitler

As anybody who’s read about the period knows, Hitler didn’t storm to power, he was appointed by political elites who thought they could manipulate and control him to get their way. They did so because in late 1932 the Nazis had secured the largest share of the election vote and so had to be included in whatever government was set up – but, when they finally decided to appoint the vulgar little corporal Chancellor, the behind-the-scenes wheeler-dealers made sure to pack Hitler’s ‘cabinet’ with members of other parties. They thought that would moderate his policies. None of them had any idea how utterly ruthless Hitler would turn out to be in eliminating all these restraints on his power.

So possibly the key fact about Hitler’s rise to power is that it was the result of a mistake in political strategy by Germany’s political elite which had, by late 1932, lost all confidence in the ability of the Weimar parliamentary democracy to deal with the country’s severe economic crisis.


Conclusions

Avoiding Fascism What these ideas suggest is that avoiding Fascism is nothing to do with the Left-wing obsession with promoting workers rights, womens rights, minority rights and so on. It involves ensuring that the powerful economic, social and military elites of a country continue to have faith in some form of parliamentary democracy as the best mechanism of protecting their interests.

Any political moves which threaten or jeopardise their interests, in effect, open the door to right-wing coups and worse.

Of course you probably require a number of other factors and preconditions, at the very least a) a political culture which accepts or has a tradition of coups, such as Spain’s with its long tradition of pronunciamentos b) a really severe economic or social crisis which the parliamentary system manifestly fails to manage.

Avoiding Europe If you were American or Chinese or anyone looking at Europe from the outside it would be hard to avoid the conclusion that a) Europe is incapable of governing itself b) Europe is the most savage, bestial continent on earth.

For all their instability, nothing on the scale of either the First or Second World Wars took place in Latin America, Africa or the Indian sub-continent.

One way of looking at the Cold War is that, at the same time as the Soviet Union acquired a deep buffer zone to protect its western border (i.e the Eastern Bloc countries) it was also taking control of the very region which contained the most ethnically mixed populations, had shown the most political instability, had been the location of terrible ethnic cleansing and enormous deaths.

In a sense the Soviet occupation of Eastern Europe liberated Western Europe from the burden dragging at its heel and, along with massive American financial and military aid, freed it (Western Europe) for the 30 years of economic growth and prosperity which followed.

It was Cecil Rhodes who made a speech in which he told his audience to remember that they were English and so had won first prize in the lottery of life. Obviously, at the time he was referring to our membership of the biggest empire the world had ever seen – but reading accounts of the twentieth century like this give the idea a whole new meaning.

Put simply, being born in England in the twentieth century meant you weren’t born on the continent of Europe which, as Kershaw vividly emphasises, between 1939 and 1945 descended into hell, real hell, the utter collapse of civilisation, mass slaughter, death camps, mass imprisonment and torture, gas chambers, the endless rape and murder of civilians, displacement and starvation.

In the entire catalogue of destruction, devastation and misery that made up the Second World War, the murder of Europe’s Jews was the lowest point of mankind’s descent into the abyss of inhumanity. The fires of the death-camp crematoria were almost literally the physical manifestation of hell on earth. (p.369)

Both my parents lived through the war as children, experiencing the Blitz and then the V-bombs, which wasn’t pleasant. But nonetheless they both had the immeasurable good fortune not to have been born on the Continent of Atrocity, and in the terrible middle years of the 20th century, that really was like winning a prize in the lottery of life.

Understanding Europe Which leads to a final thought, which I’ll keep brief: maybe it is impossible for an English person to understand Europe. We were never invaded, devastated, forced to collaborate with the conqueror, to round up and deport English Jews, to execute our own socialists and liberals, and then reduced to starvation and chaos amid the smoking ruins of our cities.

The extremity of the experiences of every other nation in continental Europe during the war years (and described by Kershaw in gruelling detail) are beyond our experience or imagining. And so we never experienced anything like the same cultural or political extremity which wartime conditions produced. In the first post-war election in France, the Communist Party won 26% of the vote, in Britain 0.4%, reflecting the two nations very very different recent experiences (p.488).

The great thoughts of Gramsci, Benjamin, Horkheimer, Adorno, Sartre and so on have dazzled generations of British students but bear no relationship at all to the history, culture and politics of the UK and its population. Which is why all those humanities students, drilled in their Benjamin and Lukacs, who voted for Jeremy Corbyn, helped him lead Labour to its most crushing electoral defeat in 50 years.

Brexit It also explains something about Brexit. The ideal of a European Union has a real meaning for hundreds of millions of Europeans, raised for generations to believe it is better to be politically and economically united than to fight each other to the death as their grand-parents and great-grand-parents did.

But Britain really was an exception to the history of this terrible period, and that ‘exceptionialism’, for better or worse, was, during the period Kershaw describes, and obviously still is, a strong thread in British culture and population.

(I’m not shoehorning Brexit and ‘Europe’ into this review: the last 20 pages of Kershaw’s book explicitly discuss these questions. He describes the descent of the Iron Curtain across Europe, the continent’s division into two blocs being crystallised by the Marshall Plan, announced in June 1947. He quotes several Americans involved in co-ordinating Western Europe’s response, not least George Marshall himself complaining that the British wanted to keep aloof from Europe, that the British wanted to benefit from a scheme designed to create an economically unified Europe ‘while at the same time maintaining the position of being not quite a European country’ – quoted page 516.)

I’m not approving or disapproving Brexit, just pointing out that a book like this, which doesn’t hold back when it comes to describing the terror, murder, torture, holocausts, purges, massacres, reprisals, ethnic cleansing, mass deportations, executions and rapes which took place all across continental Europe during these years, can’t help but make you reflect how lucky we were to escape almost all of it, and how the cultural and political consequences of that very real ‘exceptional’ destiny have shaped our politics right down to the present.

Random facts

The books is full of hundreds of facts, figures and anecdotes. A few grabbed my attention:

In Britain just short of 70,000 civilians were killed by German bombing. In one night the firebombing of Hamburg killed some 34,000 civilians. The Hiroshima atom bomb is estimated to have killed about 66,000 people on the day, from the blast and fires, although many more died in the weeks and months that followed.

At their core, both world wars were wars between Germany and Russia. I knew the German High Command in 1914 knew they had a window of opportunity to attack Russia before its army came up to full strength, therefore they had an incentive to attack Russia while they still could. I didn’t realise the Germany High Command felt exactly the same in the late 1930s. Thus in both world wars, a – if not the – fundamental factor was the German gamble to take on Russia, and do it in a hurry.

The Irish taoiseach, Éamon de Valera, was one of a very select few politicians, who sent the Germans a formal note of condolence on the death of Adolf Hitler, 30 April 1945 (p.387).

Hitler loved Disney movies. He was delighted when Goebbels gave him 18 Mickey Mouse cartoons for Christmas 1937 (p.465)

The Venice Film Festival was founded in 1932 in Mussolini’s Italy. Winners of Best Italian Film and Best Foreign Film were awarded ‘Mussolini Cups’ (p.466). I think they should revive that tradition.


Credit

To Hell and Back: Europe 1914-1939 by Ian Kershaw was published by Allen Lane in 2015. All references are to the Penguin paperback edition.

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After the Second World War

György Lukács on Franz Kafka (1955)

Brief biography of György Lukács

From the 1920s to the 1960s György Lukács was one of the leading Marxist philosophers and literary critics in Europe.

Born in Budapest, Hungary, in 1885, the son of a very affluent Jewish banker, he benefited from a superb education and was a leading intellectual at Budapest university, combining interests in literature and (Neo-Kantian) philosophy, and founded a salon which featured leading Hungarian writers and composers during the Great War.

The experience of the war (although he was himself exempted from military service) radicalised Lukács and he joined the Communist Party in 1918. His cultural eminence led to him being appointed People’s Commissar for Education and Culture in the short-lived Hungarian Soviet Republic which lasted from 21 March to 1 August 1919 and took its orders directly from Lenin. Lukács was an enthusiastic exponent of Lenin’s theory of Red Terror.

When the Republic was overthrown by army generals who instituted the right-wing dictatorship which was to run Hungary between the wars, Lukács fled to Vienna where he spent the 1920s developing a philosophical basis for a Leninist version of Marxism.

In 1930 he was ‘summoned’ to Moscow to work at the Institute of Philosophy of the Russian Academy of Sciences, although he soon got caught up in Stalin’s purges and was sent into exile in Tashkent. But Lukács survived, unlike an estimated 80% of Hungarian exiles in Russia, who perished.

At the war’s end he was sent back to Hungary to take part in the new Hungarian communist government, where he was directly responsible for written attacks on non-communist intellectuals, and took part in the removal of independent and non-communist intellectuals from their jobs, many being forced to take jobs as manual labourers.

Lickspittle apparatchik though that makes him sound, Lukács in fact trod a careful line which managed to be critical of Stalinism, albeit in coded and often abstruse phraseology. Due to his experience and seniority he was made a minister in the government of Imry Nagy which in 1956 tried to break away from Russia’s control during the so-called Hungarian Uprising. Nagy’s government was suppressed by the Soviets, and Lukács along with the rest of the Nagy government was exiled to Romania. Nagy himself was executed, Lukács only just escaped that fate. Yet again he had experienced the brutal and repressive force of Soviet tyranny.

He was allowed back to Budapest in 1957, abandoned his former criticisms of the Soviet Union, engaged in public self-criticism, and was allowed to keep his academic posts, continue writing and publishing his theoretical and critical works, up to his death in 1971.

His was a highly representative life of a certain kind of Central European intellectual in the twentieth century. He was reviled at the time by the people whose lives he blighted and by a wide range of liberal and conservative opponents.

Modernism as a symptom of capitalist society

In 1955 Lukács delivered a series of lectures on the clash between Realism and Modernism and a year later the lectures were published in essay form in a short book titled The Meaning of Contemporary Realism.

The message is simple: Realism good, Modernism bad. Simple enough, but the interest and, for me at any rate, the great pleasure to be had from reading this book is in the secondary arguments, in the premises and working through of the ideas and theories and insights which support this basic conclusion.

He begins with a sweeping premise: the era we live in is dominated by the conflict between capitalism and socialism. Looking back at the nineteenth century we can see how Realism in the arts emerged with the newly triumphant bourgeoisie, and was a result of the new social conditions brought about by their rise and overthrow of the last vestiges of power of the European aristocracy.

(Realist authors would include Stendhal, Balzac and early Flaubert in France, Tolstoy in Russia, George Eliot in England, Mark Twain in America.)

Realism in literature was followed by Naturalism in the final third of the century, which paid determined attention to the grim social conditions of mature capitalist society but also, in the hands of a novelist like Zola, began the process of reducing human beings to ciphers worked on by malign environments. Darwinism could be made to make people appear simple tools of their genetic inheritance, socialist theories could make people appear pawns and slaves of their working environments.

Zola saw his novels as sociological experiments. For Lukács he had already lost the tricky balance the realists maintained between character and ‘type’ – which helps to explain why Zola wrote nearly forty novels without a single memorable character in any of them.

(Naturalist authors are spearheaded by Zola in France, with maybe Jack London in America, George Gissing and Arthur Morrison in England.)

By the end of the century a shoal of movements erupted which prioritised an interest in decadence, perversion, the macabre and gruesome, the so-called Decadent movement and the gloomy atmosphere of Symbolism.

This brings us to the eruption of Modernism about the time of the First World War, the movement which, Lukács claims, is still praised and defended by bourgeois capitalist critics at the time he’s writing (1955). But for Lukács, Modernism represents a colossal failure of humanity: it turns its back on history and society, its protagonists are almost all loners undergoing nervous breakdowns, hopelessly alienated from societies which are portrayed as stuck, static, incapable of change or improvement.

From T.S. Eliot in The Waste Land to Samuel Beckett in Waiting For Godot Modernist writers depict complete psychological collapse, in Beckett’s case the degradation of human beings into almost wordless vegetables. He backs it up with references to Musil’s The Man Without Qualities and other European works which foreground hopelessness and despair, and he was, of course, writing during the heyday of French existentialism, which became a byword in the 1950s for black sweaters and anguish.

All of these works and writers, Lukács argues, are symptoms of the alienating effect of living under Western capitalism. All these writers, artists and composers bear out Marx’s insight that in the capitalist system people are alienated from each other and from themselves.

Specific points

This makes Lukács sound like a cumbersome Stalinist commissar, but in fact the book is a pleasure to read from start to finish because i) it moves relatively quickly, not belabouring the points ii) it makes references to all kinds of writers, most from the European and not the Anglo-Saxon tradition, and iii) it features a whole series of thought-provoking ideas.

Time There is a fascinating discussion of subjective versus objective time, and how Modernists of all stripe, including Modernist philosophers, became fascinated by trying to describe the undifferentiated flow of sense impressions and ideas which became known as stream-of-consciousness, most famously in the works of James Joyce and Virginia Woolf.

He compares and contrasts their approaches with the way Thomas Mann uses what, at first sight, is stream of consciousness to capture the thoughts of the poet Goethe in his novel Lotte in Weimar. Mann is a realist writer and so, in Lukács’s opinion, the stream of consciousness is deployed as a tool within which particular individuals and events emerge against a clearly defined social backdrop.

Static versus dynamic Joyce’s worldview is static. More than one critic pointed out how Ulysses portrays a Dublin trapped in stasis and his masterpiece, Finnegan’s Wake, portrays a vast circular movement. But, says Lukács, human beings only achieve their personhood, only become fully human, by interacting with other humans in a constantly changing, dynamic society. Realist authors select characters and details to portray their understanding of this ceaseless dialectic between the individual and society.

Solipsism and nihilism A full and proper understanding of society in all its relations is empowering, an analysis and understanding which gives people the confidence to mobile and change things. By contrast, Lukács accuses Modernists of turning their back on healthy interaction with the world, of rejecting society, and rejecting a historical understanding of how societies change and evolve.

And it is no great leap to go from the belief that nothing ever changes, to despair. Rejecting society and history leads the protagonists of Modernist fictions to:

1. be confined within the limits of their own subjective experiences (Joyce, stream of consciousness)
2. ultimately deprive the protagonist of even a self a personal history, since that history is (in a normal person) largely the interaction between themselves and the host of others, starting with their family and moving outwards, which constitute society

By exalting man’s subjectivity, at the expense of the objective reality of his environment, man’s subjectivity is itself impoverished. (p.24)

Man is reduced to a sequence of unrelated experiential fragments. (p.26)

Lukács invokes the teachings of Heidegger, as the godfather of 20th century existentialism, with his fundamental idea of Geworfenheit ins Dasein, of having been ‘thrown-into’-Being’, abandoned in a godless universe etc etc, all the self-pitying tropes which were promoted by existentialist philosophers, critics, playwrights, novelists, film-makers, rock stars and millions of teenagers in their lonely bedrooms ever since.

The individual, retreating into himself in despair at the cruelty of the age, may experience an intoxicated fascination with his forlorn condition. (p.38)

By contrast, Lukács invokes the fundamental insight of one of the founders of western philosophy – Aristotle – that man is a social animal: we only fully live and have our being in a social context. This insight goes through to Hegel in the early nineteenth century, who applies his mental model of the dialectic to the continual interplay between the healthily-adjusted individual and the society they find themselves in.

How does this play out in fiction? Well, the realist novelist such as George Eliot or Tolstoy chooses representative types, puts them in a narrative which represents realistic actions which capture the possibilities of their society, and selects details which highlight, bolster and bring out these two aspects. By and large things change in a realist novel, not least the characters, sometimes against the backdrop of dramatic social events (Middlemarch, War and Peace).

It is the interplay between a character and his or her fully realised environment, from Homer’s Achilles to Thomas Mann’s Adrian Leverkuhn, which gives us fully developed sense of character and, deeper than this, a dynamic sense of human potential. At bottom, the subject of the realist author is human change and development.

Moreover, he goes on to point out that all literature is, at some level, realistic. It would be impossible to have a totally non-realist novel (as you can have an utterly abstract work of art). More to his point, about the value of society and history:

A writer’s pattern of choice is a function of his personality. But personality is not in fact timesless and absolute, however it may appear to the individual consciousness. Talent and character may be innate; but the manner in which they develop, or fail to develop, depends on the writer’s interaction with his environment, on his relationships with other human beings. His life is part of the life of his times; no matter whether he is conscious of this, approves or disapproves. He is part of a larger social and historical whole. (p.54)

The Modernist, on the other hand rejects all this. More often than not their characters are extremes, psychopaths, neurotic, going mad, and he points to all of Samuel Beckett’s characters, but also the many mentally challenged characters in William Faulkner, of the man adrift on a sea of phenomena in Robert Musil’s Man Without Qualities. Details are chosen not to highlight their representativeness but to bring out the freakishness of themselves and the uncanny world they inhabit. And the plot or story is often sick and twisted, or barely exists, or revels in degradation and decline (Beckett).

(I laughed out loud when he described the way Beckett stands at the end of this tradition, as an example of ‘a fully standardised nihilistic modernism’, making him sound like a standard edition family saloon or entry level fridge freezer, p.53)

In a striking manoeuvre he invokes Freud as a godfather to Modernism, pointing out that Freud himself openly declared that his way of gaining insight into the structure of the ‘normal’ mind was via study of a colourful array of neurotics, obsessives and phobics. I.e. one of the major planks of though underlying all Modernist psychology, Freudianism, is based on the morbid and the unnatural (p.30)

Franz Kafka

Which brings us to Kafka. Kafka, for Lukács, even more than Beckett, for all his genius, represents the acme of the sickness that is Modernism. He points out a detail I’d forgotten which is that, as Joseph K is being led away to be executed, he thinks of flies stuck on flypaper, tearing their little legs off. This, Lukács says, is the vision at the heart of all Kafka’s fiction and at the heart of the Modernist worldview – humans are helpless insects, totally impotent, paralysed in a society they don’t understand, trapped in unintelligible situations.

Kafka’s angst is the experience par excellence of modernism. (p.36)

Lukács dwells on Kafka’s brilliant way with details, his eye for the telling aspect of a person or situation which brings it to life. But Lukács uses this fact to bring out the world of difference between the realistic detail in a realist fiction, which has been chosen because it is representative of the real world, properly conceived and understood – and the details in Kafka, which he chose with absolute genius to convey his sense of utter, paralysing futility and nonsense.

Kafka’s fictions are absolutely brilliant allegories, but allegories of nothing, allegories of emptiness (pp.44-45).

Thoughts

Pros

This is just a selection of some of Lukács’s insights in this short and, for the most part, very readable book. He may have been a slimeball, he may have been a criminal, he may have been a hypocrite, he may have been a toady to power – but there is no denying he was a clever man, very well read, and he conveys his learning fairly lightly. He doesn’t set out to be impenetrable as most French theorists do.

And he’s candid enough to admit that many of the experiments and new techniques and works written by the Modernists were dazzling masterpieces, and to concede that much of the stuff written under the aegis of Stalin’s Socialist Realism was tripe. He’s too sophisticated to defend rubbish.

But his basic critique that the Modernist works which Western critics, to this day, tend to uncritically adulate, do tend to foreground the outsider, the alienated, the loner, often with severe psychological problems, in fictions which often lack much plot or any interaction with other characters, and in which both hero and author have largely turned their back on wider society – this is very insightful. His analysis of the aspects of Modernist fiction is useful and stimulating.

And, having just read Kafka’s biography, his diagnosis of Kafka’s writings as the brilliant masterpieces of a very sick mind are completely spot on. I like the way he brings out the important of the just-so detail in Kafka’s works, the precise details which tip the whole thing over into paranoid nightmare.

Cons

But all that said, later on in the book an unnervingly more dogmatic tone emerges. Scattered references early in the book about the Cold War and the Peace Movement coalesce into political polemic. He links his concept of the Good Realist writers directly with the 1950s Peace Movement, which was strongly promoted by the Soviet Union amid disingenuous claims to want to end the Cold War (while all the time retaining a vice-like grip on Eastern Europe and funding destabilising communist insurgents around the world).

By contrast, he explicitly links some of the philosophers and authors of angst (most notoriously Heidegger) with Nazism and so tries to tar all Modernist authors with the taint of Fascism.

In other words, Lukács disappoints by making a direct and rather crude connection between a writer’s underlying worldviews and developments in international politics. He is not crude enough to blame individual writers for Fascism or capitalism – but he does point out repeatedly that they base their works on the same worldview that accepts the exploitation and alienation implicit in the capitalist system.

For most of the first half I enjoyed Lukács’s dissection of the psychopathology of Modernism. But when he began to directly relate it to capitalist-imperialism and to lecture the reader on how it led to The Wrong Side in the Cold War, the book suddenly felt crude, simplistic and hectoring.

When he suddenly states that:

The diabolical character of the world of modern capitalism, and man’s impotence in the face of it, is the real subject matter of Kafka’s writing (p.77)

I thought, How can such a clever, well-read man write something so crude?

  1. Kafka’s visions of human life crushed by a faceless and persecuting bureaucracy could equally well have come out of Czarist Russia with its notorious secret police.
  2. Kafka didn’t in fact live in an advanced capitalist society such as America, Britain or Germany – the endless useless bureaucracy of his books is not that of snappily efficient America or Germany, but precisely that of provincial Bohemia, a sleepy backwater entangled in the vast and impenetrable civil service of the Austro-Hungarian Empire.
  3. And Kafka would have been horribly out of place in any social system, at any time, as his biography brings home.

Worst of all, when, in the middle of the book, Lukács says that what counts about a writer isn’t their actual works, not their words or pages or techniques or style, but the general tendency of their thought… the implication is that this tendency can be measured by a commissar like himself, and suddenly I could hear the tones of Zhdanov and the other Soviet dictators of culture, whose crude diktats resulted in countless artists and writers being arbitrarily arrested and despatched to die in the gulag, crying out as they went that they meant no offence – while the apparatchiks calmly replied that they weren’t being punished for anything they’d actually said or done: they were being condemned to ten years hard labour for the tendency of their work.

At moments in this suave and sophisticated book, you suddenly glimpse the truncheon and the barbed wire of actual communist tyranny, which gives it a sudden thrill and horror not normally encountered in a genteel volume of literary criticism.

So it’s a complicated business, reading Lukács.


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Austerity Britain: A World to Build 1945–48 by David Kynaston (2007)

David Kynaston (b.1951) has written about 16 history books on broadly three topics: cricket, the City of London, and Britain after the Second World War. His post-war histories (to date; the plan is to take them up to 1979) have been published as three volumes, each of which – rather confusingly – contains two ‘books’:

Should one review the portmanteau volume – Austerity Britain (692 pages long in its current Bloomsbury paperback edition) – or the two ‘books’ it contains? I’ve chosen the latter option, because each of the ‘books’ is so dense and packed with information that they require separate posts.

Approach

What makes the books so delightful and addictive is that they are an oral history. Rather than the stats and graphs of an economic history, or the acts and votes of a political history, or the treaties and negotiations of a diplomatic history, Kynaston’s account quotes at length from diaries, letters, journals and accounts kept by the widest range of people alive during the period, as they react to events large and small, national, international and parochial.

Fairly regularly he stops to consider this or that ‘issue’ – rationing, nationalisation, town planning – in what you might call the traditional historical way, describing key publications or speeches in that area. But then he swiftly returns to the more gossipy main stream of his approach, to quote housewives, workers, local officials.

The result is to be led through the key events and debates of the period, but to see it overwhelmingly in human terms, in the words of the people who shed and led debate but also the reactions of the ordinary man and woman in the street.

Some of the voices

The Famous

  • Neil Kinnock, future leader of the Labour Party, aged 3 when the war ends in 1945
  • Patrick Stewart, 5, moved along by a policeman for singing outside a polling booth in 1945
  • Bill Wyman, bassist with the Rolling Stones, starts grammar school, 8
  • Glenda Jackson, aged 9 when the war ends, starts grammar school in 1947
  • Alan Bennett, 11, spent VE Day in Guildford
  • Kenneth Tynan, drama critic to be, now Birmingham schoolboy, 18
  • Humphrey Lyttleton, 24
  • ultra-royalist James Lees-Milne, diarist, architectural historian, worked for the National Trust, 36
  • Cyril Connolly, editor of Horizon literary magazine, 41
  • Noel Coward, playwright, aged 45
  • J.B. Priestley, novelist and radio broadcaster, 50
  • J.R.R. Tolkien, 53, commenting on the insanity of the atom bomb
  • Harold Nicholson, British diplomat, author, diarist and politician, 58
  • Violet Bonham Carter, Baroness Asquith of Yarnbury, politician and diarist, 58

There are hundreds more but this gives a flavour. Kinnock is quoted as remembering the prefab house his parents moved into. Bill Wyman remembers how going to grammar school in 1947 cut him off from his working class roots, though the boys at his new school teased him for being poor. Lees-Milne is very posh and quoted liberally throughout with his generally negative reactions to the Labour government.

Connolly, as a magazine editor and essayist, wrote reams of material, but Kynaston quotes him, fascinatingly, commenting on the way the great wall of left-wing / communist solidarity among artists, writers, poets and so on during the 1930s simply evaporated after the war and had quite disappeared by 1947. The problem was that they finally had a ‘socialist’ government and there wasn’t a man or woman in ‘the movement’ who wasn’t bitterly disappointed at the reality (p.235). The same sentiment is expressed by George Orwell, who in his long essay, The Lion and the Unicorn (1942), wrote confidently about the general public’s swing to the Left and the notion of central planning but, by 1946, had become disillusioned (pp.45, 173).

All this was exacerbated by the Berlin Airlift, the coup in Czechoslovakia, and the general start of the Cold War. I hadn’t realised that this led to actual legislation banning car carrying communists from public office, with the ruin of many a career.

There are also extensive quotes from key players in politics, from the diaries or letters or speeches of men like Clement Attlee (Labour Prime Minister), Hugh Gaitskell (Minister of Fuel and Power), Aneurin Bevan (Minister of Health overseeing the creation of the National Health Service), Ernest Bevin (Foreign Secretary who oversaw the independence of India, Israel etc), Herbert Morrison (Deputy Prime Minister), Stafford Cripps (Chancellor of the Exchequer).

Slowly you get a feel for their personalities, achievements and disagreements. Around them swim all kinds of minor figures, private secretaries, and MPs, and policy makers such as Michael Young, who wrote Labour’s 1945 manifesto (Let Us Face The Future), coined the term meritocracy and went on to play a key role in setting up the Consumer Association and the Open University.

The Obscure

Kynaston takes his lead from Mass Observation, set up in 1937 by three Cambridge graduates, anthropologist Tom Harrisson, poet Charles Madge and filmmaker Humphrey Jennings. Mass Observation aimed to:

record everyday life in Britain through a panel of around 500 untrained volunteer observers who either maintained diaries or replied to open-ended questionnaires (known as directives). They also paid investigators to anonymously record people’s conversation and behaviour at work, on the street and at various public occasions including public meetings and sporting and religious events. (Wikipedia)

Kynaston relies heavily on material from the M-O archive now held at the University of Sussex. This takes many forms. M-O carried out tailored surveys on specific issues throwing up statistical results of the numbers in favour or against particular policies. Their contributors often reported on conversations overheard on the street, on the buses or tube, at the theatre etc. And other contributors kept detailed diaries. The most famous of these was Nella Last (1889-1968), who wrote over two million words about everything she died, heard and observed, from 1939 to 1966, making her one of the single largest contributors to M-O.

But Kynaston quotes from a large number of other diarists and recorders, including:

  • Michael Burns, grew up in Tolworth
  • Lawrence Daly, coalminer
  • Alice ‘Judy’ Haines, a young married mother of two living in Chingford
  • Anthony Heap, a middle-aged local government officer from St Pancras
  • Mary King, retired teacher
  • Gladys Langford, deserted by her husband, living alone in the Woodstock Hotel
  • Ernest Loftus, headmaster of Barking Abbey School
  • Edith Palmer, ex-pat’s daughter, late-20s, arriving in England from Kenya
  • Mrs Michael Pleydell-Bouverie who spent three years on behalf of the Daily Mail speaking to ‘the Women of Britain’ about homes and housing
  • Kenneth Preston, a middle-aged English teacher at Keighley Grammar School
  • Marian Raynham, a housewife from Surbiton
  • Henry St John, son of a sweetshop owner, living in Bristol
  • Sir Raymond Streat, head of the Cotton Board
  • Rose Uttin, housewife from Wembley
  • Mrs Madge Waller

Post-war issues

So what do these people comment on and discuss? A huge array of issues and problems which faced Britain right from the moment war ended (Victory in Europe 8 May 1945, Victory in Japan and the final end of the war, 15 August). As stated, Kynaston is not a conventional historian of diplomacy or economics. Issues appear insofar as they impinged on the minds of his huge cast of Britons. None of them are pursued in detail and, after 300 pages, I realised that he rarely comes to a conclusion about any of them. Instead we are presented with a variety of opinions, from top politicians and expert down to housewives and coalminers – and then he moves on.

Domestic affairs

  • Rationing
  • The General Election 5 July 1945
  • The Labour government’s attempts to:
    • nationalise industry
    • set up a National Health Service (launched, after much struggles with the doctors, on 5 July 1948)
  • The housing crisis
  • Education  (everyone accepted the 11-plus, the division between grammar and technical schools, and nobody touched the public schools which were [and are], according to Kynaston, ‘the single most important source of political, social and economic privilege’, p.153)

International affairs

  • Surrender of Germany, suicide of Hitler
  • Atom bombs dropped on Japan
  • Berlin Blockade and airlift
  • June 1947 Marshall Plan
  • February 1948 communist coup in Czechoslovakia

But most of the people Kynaston quotes have little or no interest in international affairs. After initial relief that the war is over, and then shock at the revelation of the atom bomb, most people sink back into their customary indifference to international affairs (and to politics generally).

Britain might as well not have an empire at all. The independence of Israel and India/Pakistan are not mentioned. Decades ago I read the comment by the Trinidadian historian C.L.R. James, that the tragedy of the British was that all their history took place abroad – by which he meant in the empire.

One of the biggest aspects of the book is the way the British Empire is almost completely absent from it. The people Kynaston quotes are struggling to make ends meet, to find somewhere to live, find a job, and then find food to eat. He quotes a survey of 2,000 adults made in 1948 which revealed that only 49% could name a single British colony. The majority of those surveyed could not name a single British colony.

And so, since so few people knew or cared about the empire, Kynaston devotes much space to popular radio programmes (Woman’s Hour, first broadcast on 7 October 1946 on the BBC’s Light Programme, the popular comedy It’s That Man Again), to the very slow spread of television (only 50,000 sets in 1945). There is more about the Grand National than there is about Gandhi, more about Stanley Matthews (the footballer) than Stalin.

In this book nobody travels abroad (nobody can afford it) but plenty of people have a summer holiday at Margate or Morecambe or at Billy Butlin’s new holiday camps (first one at Skegness in 1936).

Kynaston gives us the results of the key test matches and FA Cup Finals for 1945, 46, and 47, as well as the Epsom Derby, and reports from greyhound races and boxing matches – while all kinds of high-minded middle-class commentators lament that the average working man seems more interested in a pint, a packet of fags and the sports results than he does about the Iron Curtain.

The intellectuals and the masses

This reflects what, for me, is the main impression of the book, which is the enormous divide between the relatively small educated liberal intelligentsia – the policy makers and politicians and thinkers and writers and architects and planners – and the vast majority of the population, still very working class, often illiterate or, as Kynaston puts it:

the profound cultural mismatch between progressive activators and the millions acted upon (p.267)

Kynaston shows how all of the 1945 Labour government’s policies were not just controversial but opposed by large number of people, even the working people the Labour Party claimed to represent. For example, efforts to pass laws guaranteeing the trade unions representatives on boards of the new nationalised industries (a policy followed in Germany) were rejected by the unions. Why? Because they preferred to negotiate wages from a position of freedom and strength (p.229) It was a mindset which, arguably, crippled British industry for generations.

Similarly, it is fascinating to read how many ordinary people (not just the usual suspects, Tory MPs and toff writers), really hard core working class people, were suspicious of, or actively against, the welfare state, the new system of national insurance and the National Health Service.

The gaping chasm between well-meaning left-leaning university-educated intellectuals and ‘the masses’ is probably best demonstrated in the area of housing. Vast amounts of Britain’s housing stock was destroyed by German bombing. But a fair percentage of what survived was desperately rundown slums, particularly in the industrial cities – London’s East End, Manchester, Birmingham, Glasgow and so on contained acres of slums, houses with no running water, gas or electricity, millions of people living with no indoor toilet.

The chasm comes about when the planners and architects put their heads together to solve the problem. There was debate and argument at all levels, but roughly speaking, people wanted houses with a little garden of their own, and the planners wanted to put them in blocks of flats. People wanted their bombed out city centres to be restored to how they were before the war. Urban planners and go-ahead young architects wanted, on the contrary, to demolish what old buildings were left, and create sweeping new town centres, dominated by pedestrian precincts and car parks, surrounded by ring roads. As he writes of the brave new plan devised to demolish and rebuild central Plymouth:

There was little or no local consultation, with all objections overruled. (p.36)

The opening of the book is devoted to arguments about how to rebuild Britain and, through the thicket of specific details about new schemes for Plymouth or Hull, one gets a really clear feel for the divide between those who know best what the people want, and the people themselves – not least, of course, because Kynaston’s whole book is devoted to the people’s voices. He quotes one of the founders of Mass Observation, Tom Harrison:

worried most by the way that planners and others associated with the matter talked as if they were winning over the general public when they were only winning over each other. He had never met any group of people who ‘scratched each other’s backs’ more than planners did. (p.47)

In Bristol the local retail association organised a poll which showed that only 400 were in favour of the new Broadmead shopping centre, while 13,000 opposed it. The planners ignored this and all other opposition, and went ahead and built it.

This Great Divide, this sense of a mass population profoundly alienated from their lords and masters, grows as the book progresses from the May 1945 General Election through to its end point, 5 July 1948, the day the National Health Service was inaugurated. Intellectuals at the time were agonisingly aware of it. Various papers and reports guesstimated that ‘the thinking minority’ ranged from 20% down to a mere 5% of the population (p.55). How could they break out of their bubble to really engage with the great unwashed (an expression coined around 1830 by the novelist Edward Bulwer-Lytton)?

Ronald

Maybe the single biggest surprise is the couple of pages devoted to the four months spent by American actor, Ronald Reagan at Elstree Studios making a war movie called The Hasty Heart (pp.314-315). Reagan was appalled by the filthy London smogs and rundown hotels, and – although he went out of his way to praise the director and all the other technicians he worked with – it was a grim first-hand sight of socialism in action which, in his view, amounted to stoppages dictated by the militant trade unions, six-hour queues at hospitals, gaunt impoverished passersby and mile after mile of slate-roofed council houses in the rain.

So far so anecdotal: but Kynaston goes on to say that Reagan himself, writing twenty years later in the 1970s, pointed to this trip to Britain – to seeing the ‘natural’ economic order of free markets replaced by rationing and state interference at every level, and the resulting lack of all basic facilities in a culture dominated by the petty tyrannies of trade union shop stewards and local government officials – as a defining moment in his journey to the Right.

So that, considering Reagan’s centrality to world politics during the 1980s and the role he played in the collapse of the Soviet Union, of communism, and even of full-blooded socialism as a viable political programme, there’s a case for saying that these few months in rainy Hertfordshire changed the history of the world.

General impoverishment

Kynaston devotes pages to political debates about Marshall Aid, about the end of Lend-Lease, about the currency crisis and devaluation of sterling, and so on.

But by far the biggest and most enduring subject of the book is RATIONING, the rationing of food and clothing, which not only continued after the war, but got worse, a lot worse. From the poshest in the land down to a variety of housewives, Kynaston’s quotes convey the sheer numbing crushing effect of days and months and year after year of shortages of meat, bacon, milk, sugar, butter, even of bread.

Demobbed soldiers, or visitors from abroad (including the American playwright Tennessee Williams), or British children arriving in Britain back from the colonies (Cliff Richard arriving from India in 1948, aged 8) all noticed how pale and underfed the population looked. For years after the war the gas supply was weak and the electricity was turned off at certain times of day. Witnesses like Harold Nicholson testify that even in the best London clubs, the food came in minuscule portions and was barely edible.

And then in February 1948 the population was afflicted by the coldest winter of the 20th century. Young Roy Hattersley remembers sledging down the middle of usually busy streets (p.199) but thousands of the elderly and the infirm died. And millions had to dig a path from their back doors to their outside toilets.

There are thousands of wonderful anecdotes, gems and insights throughout the book – but the predominating image is of impoverishment and endurance.

The queue for rationed food - symbol of post-war Britain

The queue for rationed food – symbol of post-war Britain

P.S. Obscure novelists

A lot of the people Kynaston quotes are, inevitably, writers, a self-selecting cohort since he is himself a writer dealing with written records which ‘writers’ dominate.

Your ears prick up at the famous ones (Graham Greene, Noel Coward, Doris Lessing) but he also introduces us to a cocktail party of less well-known writers from the period, a list which has the effect o making you realise how selective ‘literary history’ is, picking out the half dozen ‘serious’ writers from each era or decade, and letting plenty of other authors drop into obscurity.

It is one of the many many pleasures of the book to come across forgotten authors he mentions, and google them and toy with tracking down and reading their (mostly forgotten) works:

  • Ruby Mildred Ayres b.1881 – one of the most popular and prolific romantic novelists of the twentieth century
  • Ethel M. Dell b.1881 – author of over 30 popular romance novels
  • Naomi Jacob b.1884 – author and actress
  • Ivy Compton-Burnett b.1884 – novelist
  • Angela Thirkell b.1890 – author of a series of 19 novels set in Home Counties ‘Barsetshire’
  • James Lansdale Hodson b.1891 – journalist and novelist
  • Sylvia Townsend Warner b.1893 – novelist and poet
  • Elizabeth Bowen b.1899 – Irish novelist and short story writer
  • Mollie Panter-Downes b.1906 – novelist and writer of Letters from England for the New Yorker magazine
  • Pamela Hansford Johnson, Baroness Snow b.1912 – novelist, playwright, poet, literary and social critic
  • Denton Welch b.1915 – writer and painter
  • Sid Chaplin b.1916 coal miner who wrote novels about mining communities in the North-East
  • Joan Wyndham b.1921 – rose to literary prominence late in life through the diaries she had kept about her romantic adventures during the Second World War

Related links

Childhood’s End by Arthur C. Clarke (1953)

Arthur C. Clarke and John Wyndham were my favourite sci-fi authors as a boy, as an eleven, twelve, thirteen year old at the start of the 1970s. Clarke was still happily writing, I remember excitedly swapping Rendezvous with Rama with friends soon after it came out.

Childhood’s End is his fifth novel and one of the best books I had ever read. The memory of the book’s artful pacing, and the cumulative revelations leading up to the nihilistic final scenes, made an impact on my young imagination which has lasted all my life.

Premise

The idea behind the plot can be relatively simply stated.

There are lots of inhabited planets in the universe. Most of the inhabitants proceed through a similar cycle, from agriculture to industrialisation and scientific literacy, then the start of space travel and so on. It’s at this point that they are ready to move on to ‘the next stage’. A race called the Overlords is dispatched to guide them. Under the tutelage of the Overlords – who abolish war and poverty – the pupil race becomes wise and peaceful, experiencing a Golden Age.

But this is all deceiving. The Overlords have not been sent to supervise this golden age and are not there for the good of the pupil race at all. Another power, a power deeper and older and more powerful than them, the ‘Overmind’, has detected that the supervised species is about to move on to the next stage of evolution, to abandon physical bodies and become pure minds, initially as individuals, then uniting together to form a group mind, and then abandoning the host planet altogether to take to the stars and join the Overmind.

This is the basic plot of Childhood’s End. It is an epic story about the near future transformation of the human race into a completely new species and the end of the world as we know it, so big, so awe-inspiring, it reminds you of the galactic prophecies of H.G. Wells or Olaf Stapledon.

What makes it so powerful is that Clarke turns this story into a thriller. We don’t see this narrative told as a whole through the eyes of some future historian. Instead we discover it piecemeal through the eyes of a succession of pretty normal human characters, each of whom experiences a particular phase of the development, each of whom is granted a waystation revelation, learns a part of the truth, each of which is as much of a shock and surprise to them as it is to the reader, as the narrative as a whole slowly peels off skins like an onion, giving the reader a succession of imaginative jolts and marvels, a sense of mounting horror and suspense, right up until the shocking end-of-the-world scenes of the last few pages.

Key episodes

1 Earth and the Overlords

Thus the book opens by describing the work of two German rocket scientists, one captured by the Soviets, one by the Americans at the end of the Second World War. They are both nearing completion of plans for man-carrying rockets for their respective Cold War masters, when one day they look up and see the vast silver ships of the Overlords in the sky above them. At a stroke the world’s population realises that ‘we are not alone’. At a stroke, the rocket scientists realise their work is futile.

Five years later a lengthy section lets us get to know Rikki Stormgren, the Finnish Secretary General of the United Nations. We learn that within days of their arrival the Overlords (an earth nickname, not the name they give themselves) gave one speech across the whole world’s radio sets explaining that they are here to help not harm, to prevent the nuclear wars which might lead to humanity’s extinction – and then had settled down into a routine of inviting Stormgren to a weekly conference to discuss the management of earth.

To attend, Stormgren enters a metal pod via a set of retractable steps, then the pod zooms up into the stratosphere, entering a brief opening in the spaceship which immediately closes. When the pod door opens he finds himself in a comfortable room with a grille and a big screen which is blank and opaque. He hears the voice of the being named Karellan, who speaks perfect English, is always calm and polite, knows all about earth politics, and always gives wise advice about international problems. Despite questioning from Stormgren, Karellan gives little or nothing away about the Overlords.

The Overlords only interfere in earth affairs twice: in South Africa apartheid has collapsed and been replaced with persecution of the white minority which the Overlords intervene to put an end to. And – in a scene I have remembered my whole life – in Spain, at a bullfight, when the first toreador sticks a spear into the bull, the entire audience of 10,000 experiences what the bull feels and shrieks in agony (p.37). The Overlords abolish cruelty to animals.

Unsurprisingly, a movement has grown up resenting the Overlords’ intrusion in human affairs, the ‘Freedom League’ led by a man named Alexander Wainwright. One night Stormgren is kidnapped and – in scenes more reminiscent of a thriller – smuggled out of his house, swapped from a car to a lorry in a deep tunnel (to escape the Overlords’ detection devices), driven south then flown to South America where he wakes up in the hands of some goons from the Freedom League. They are fairly civilised, just want to know more about Stormgren’s weekly meetings with Karellan. As you might expect he is soon rescued by the all-powerful Overlords. In a compelling scene, the interrogators suddenly freeze in mid-sentence and Stormgren hears a polite voice emanating from a small metal sphere hovering at head height, which guides him out of the old mine works where he’s being held hostage, into one of the Overlords’ little flying machines, and so back to freedom (p.38).

Fifteen pages are then devoted to another episode featuring Stormgren as he discusses with his number two, Pieter van Ryberg, and the senior scientist at the UN, a Frenchman named Duval, a plan to see beyond the opaque screen in the ‘meeting room’. It takes Duval a few weeks to work up a super-powerful torch which Stormgren can hide in the base of the briefcase he always takes with him to the meetings. When the time seems right he can swing it up to face the screen and see if the torch’s beam illuminates what they all guess must be the room on the other side – and the Overlord who occupies it.

At this next meeting, Stormgren repeats the complaints of much of the population that they want to know what their rulers and masters look like. Karellan promises to make a global announcement that the Overlords will reveal themselves in fifty years time. Only then, he argues, will humanity have become completely acculturated and used to their presence, and their appearance won’t have the same impact.

As the conversation comes to an end Stormgren leaps up and swings the flashlight towards the opaque screen. He is just in time to see a room like the one he’s sitting in and a huge figure exiting an enormous door. What he sees shocks and stuns him for the rest of his life. We, the readers, have to wait till the next section to find out why.

2 The Golden Age (pp.56-119)

The fifty years are up. An Overlord flyer touches down on earth. The world’s press is gathered expectantly for the first Overlord to show himself. A doorway opens and gangway descends. Two little earth children from the crowd are invited up it. And then an enormous figures steps down the gangway, holding the sweet children in his arms. It is the figure of an enormous devil, deep red in colour, complete with horns and cloven hooves, leathery wings and long pointed tail! The social impact is immense. Now we learn what Stormgren had glimpsed in the spaceship fifty years earlier. And the meaning of his speculation that the two races must have met, sometime back in the mists of time, and something gone very badly wrong between them to leave such a diabolical folk memory.

But fifty years was the right period. Most people alive now accept the Overlords’ rule completely. Also, organised religion has faded away under the Rule of reason instituted by the Overlords and so there isn’t a great population of fundamentalists to stir up trouble (pp.56-58).

Clarke then embarks on a long description of the Golden Age of peace and plenty which the human race experiences. Ignorance, disease, poverty and fear cease to exist. Everyone speaks English. New agriculture supplies all food needs. Robots man the factories which supply a world of new consumer goods. The end of the Cold War, and all war, frees up resources and skills to be devoted to entirely peaceful ends. New technology creates flying machines which can get to anywhere on earth in under a day. Most people have at least two houses, often in exotic locations such as the top of Mount Kilimanjaro or deep in the Pacific depths.

With so much time on their hands humanity, as so often in these kinds of utopian visions, turn out to be immensely bookish, takes to higher education till age 25, becomes philosophers and poets and artists. Nobody has to do any work they don’t want to.

Like a good liberal Clarke imagines that all religious faiths will wither away. The Overlords give historical institutes a kind of historical TV machine which can show scenes from the past. Human historians immediately go back to check out the real people behind the legends of Moses, Mohammed, Jesus and so on. Organised religion does not survive the immense disillusionment of what they find (p.63). So religion disappears and the human race turns into millions of bookish, thoughtful, jolly nice chaps rather like, well, Arthur C. Clarke.

All this is exemplified in the social set around Rupert Boyce and his mixed-race wife, Maia, who give a stylish party at Rupert’s mountain-top home. Guests include a famous film producer, a minor poet, a mathematician, two famous actors, an atomic power engineer, a game warden, the editor of a weekly news magazine, a statistician from the World Bank, a violin virtuoso, a professor of archaeology and an astrophysicist. The world has turned into Hampstead.

Among the guests are George Greggson and Jean Morrel who are going to turn out to be tremendously important to the story, and the future of the human race.

They are astonished to discover that one of the guests is an Overlord, Rashaverak, who is quietly reading through Rupert’s world-famous and priceless collection of antique and ancient books about astrology, parapsychology, clairvoyance and so on.

Half way through the party, a bit drunk, George finds himself on the roof with another guest, a black man named Jan Rodricks, who is half-brother to the host’s wife, Maia. Jan is an astrophysicist, quiet and self-contained so George soon returns to the noisy party below,but Jan also will be a key player in the last stages of the novel.

George is talked by Rupert into attending a drunken session of Ouija the host has organised. It uses an up-to-date design by consisting of a round table of ballbearings on which is placed a circular tray. All the members – Rupert, Maia, George, Jean and, latterly, Jan – place hands on the tray while Rupert asks questions. Then the tray moves around the table towards the words Yes or No printed on the edge, along with all the letters of the alphabet and the numbers 1 to 10.

They seem to get half sensible answers to some of Rupert’s questions but drunk George thinks it’s all nonsense until Jan, out of nowhere, asks the identity of the Overlords’ home star. To his surprise the board immediately spells out the number NGS 549672 and most people are too puzzled by this to notice George’s partner, Jean, faint.

Jan recognizes this as a star-catalog number and travels to the Royal Astronomical Society in London where he looks it up and confirms it is a star which really exists and has been logged. Earlier we had observed him watching from Rupert’s roof one of the Overlords’ supply ships taking off from the moon and leaving a long tracer line across the sky: along with their appearance the Overlords no longer conceal that a) there is not in fact a fleet of ships but only one, the one hovering over New York, all the others were holograms and b) that they receive supplies from their home planet via a transhipping base on Pluto.

We cut to a discussion between Rashaverak – who witnessed the Ouija board scene – and Karellan. The latter says ‘it has begun’ creating a tremendous sense of suspense and anticipation in the reader, and they both indicate that Jean must, somehow, have been the channel through which this inaccessible knowledge had reached the Ouija board.

Jan then goes to visit Professor Sullivan in his research lab miles and miles underwater in the South Pacific Basin. For some time the Overlords have been collecting examples of earth’s flora and fauna. Jan has discovered that Professor Sullivan has been asked to supply examples of the world’s two largest creatures, the giant squid and the blue whale, for them. In fact they are going to build and design them from scratch with metal skeletons, cover them with rubber and plastic and paint them. Real samples would be difficult to get hold of and would stink and rot.

Jan proposes a scheme: that they build a hidey-hole into the metal whale and Jan stows away and flies to the Overlords’ home planet. Sullivan enthusiastically agrees to help. This storyline takes up twenty pages and brings us to the end of part two. Jan successfully stows away, the artificial whale is lifted up to the Overlord spaceship and it departs for its home planet.

Before departing Jan thoughtfully writes his sister Maia a letter laying out some of the practical issues: since the Overlord ships travel at near light speed, and Jan has identified that star NGS 549672 is 40 light years from earth, he will be gone for 40 years there and, assuming they send him right back, 40 years coming back. However, due to the weirdness of relativity, because he’s flying at near light speed, Jan himself will only age a few months. (Clarke gives an additional explanation that the line of light which Jan saw behind the departing spaceship wasn’t caused by anything so banal as flames from rockets, but due to the bending of light or maybe of the fabric of space-time itself, by the near light speed passage of the ship: he is not seeing a line of fire but a line of the bending of space into which the light of multiple stars is strained in order to create the impression of a line of light.) Jan is taking a supply of food, oxygen and will inject a narcoleptic to create a state of drug-induced hibernation for the duration of the flight.

This second section ends with Karellan holding a press conference at which he announces to the world’s press that the Overlords have discovered the presence of a stowaway, Jan, on one of their ships: he will be sent right back. But the incident has raised the whole issue of humans and space travel. The Overlords have allowed humans to develop the technology to fly to the moon and set up bases there. But now Karellan demonstrates why humans will never go to the stars. He conjures up a three dimensional hologram of the whole galaxy and then the universe. He points out that when the Overlords arrived mankind was on the bring of sparking a nuclear war. They saved them from that fate but if they can’t even manage the affairs of one little planet how, he rhetorically asks, would they cope with this: and the gorgeous fabric of millions upon millions of stars in the Milky Way strikes the attending press and scientists dumb.

3 The Last Generation (pp.120-189)

This final third of the novel is extraordinarily powerful and has two main threads. In the first we follow Jan Rodericks as he arrives at the Overlords’s home planet and what he finds and sees there. In the second, we follow Jean and George Greggson, who we met at Rupert’s party and now the significance of that seance session finally becomes clear.

We had already met the kind of people Clarke thinks will flourish in the future – film directors, poets, philosophers and the like. Now a group of these bien-pensant liberals establishes an artists’ colony on an island in the Pacific, which they immodestly name New Athens.

Among them are George and Jean Greggson, who by now have a seven year old son, Jeffrey, and a baby daughter Jennifer Anne. One day Jeffrey is playing on the beach when he feels a distant rumble and then the tide goes out out out and continues going out. Having seen footage and movies of this phenomenon I know this indicates a tsunami is coming but Jeffrey, inevitably, wanders down the beach following the tide until… a voice speaks in his ear telling him to Run run, and he turns and sets off up the beach and then up apath into the surrounding cliff as fast as his feet can carry him. It is a sweet bit of thriller detail when he finds a big rock blocking his way, the voice tells him to close his eyes, there’s a loud fizzing sound and when he opens his eyes the rock has gone so he can continue running.

All this is made that much more dramatic and involving by being told by Jeffrey in his own boyish words to his parents, who initially think he is making it up… until George himself visits the path and finds a rock which has clearly been blasted to nothingness. Only the Overlords could have done this. But why?

Then odd things start happening with Jennifer the baby. Her mother has a fit when she hears the rattle rattling but goes into the baby’s room to find it being shaken a metre above the baby’s head, unheld by any human hand. Jennifer begins to exercise other telekinetic powers. Soon food finds its way from the fridge to her cot by itself. She feeds and looks after herself, while her mother retreats into shock and George desperately tries to figure out what’s going on.

Eventually Kerallan tells them, explaining the basic premise of the narrative which I described above: the Overlords serve the Overmind, a vast cosmic intelligence, born of amalgamated ancient civilizations and freed from the limitations of material existence. The Overlords themselves are unable to join the Overmind, but serve it as a bridge species, fostering other races’ eventual union with it.

Now, Karellen explains, the time of humanity as a race of single individuals each with a concrete identity is coming to an end. The Overlords have been present at four such metamorphoses and know that it always starts with one member of the species ‘breaking through’. Then like the first crystal in a solution that one example catalyses all the others. Which explains why George and Jean become aware that other people’s children on New Athens are developing the same skills. Jeffrey had gone a long way down the road to individuality, but now he is called back into the group mind, also becoming indifferent to his parents’ existence.

All the children on new Athens become infected. Their minds reach into each other and merge into a single vast group consciousness. If the Pacific were to be dried up, Karellan explains, the islands speckling it would lose their identity as islands and become part of one new continent. Their children are now ceasing to be the individuals which their parents knew and are becoming something else, completely alien to the ‘old type of human’.

Adult society takes the decision to move all the transforming children to one continent, for their own safety and because their parents can’t bear their proximity, and cannot do anything for them now. Cameras are placed around their settlements to observe their strange behaviour. Sometimes they wander with their eyes closed. Sometimes they join hands and dance. They become filthy and ragged, their bodies mattering less and less.

The members of New Athens – that ideal colony of Hampstead intellectuals – are plunged into such grief and despair they blow themselves up with an atomic bomb planted at the base of the island. All over the planet the adult humans have to come to grips with the realisation that – their culture, their race, their species is ceasing to exist. Many choose not to live on.

Meanwhile, 40 light years away, Jan Rodricks emerges from hibernation on the Overlord supply ship and arrives on their planet. Clarke is really good at depicting a place which has physical reality but almost every aspect of which is genuinely alien and incomprehensible to him, not least the vast volcano-shaped mountain in the far distance which emits vast rings of smoke which then fly over the Overlord city. None of the Overlords were expecting him so no-one speaks English, until one slowly learns the language enough to give him a broken insight into their ways and purposes.

But then he is politely told that he will be placed on the next freight ship heading to earth and off he goes. Months later, as the Overlord shuttle enters earth orbit, Jan realises there’s something wrong. It takes him a moment and then he realises that there are no lights on the dark side of the earth, facing away from the sun. Almost as if those hundreds of brightly illuminated cities have… gone.

And of course this is what he discovers when the Overlord pod deposits him back on the surface. Karellan meets him and explains everything that has happened. The entire adult human race has either died out or killed itself. Jan is now the last man alive.

Only hundreds of millions of children – no longer fitting Jan’s definition of ‘human’ – remain on the quarantined continent, having become a single intelligence readying themselves to join the Overmind.

Jan finds that some Overlords have remained on Earth to study the children from a safe distance. When the evolved children mentally alter the Moon’s rotation and make other planetary manipulations, it becomes too dangerous to remain. The departing Overlords offer to take Rodricks with them, but he chooses to stay to witness Earth’s end and transmit a report of what he sees.

Before they depart, Rodricks asks Rashaverak what encounter the Overlords had with humanity in the past, according to an assumption that the fear that humans had of their ‘demonic’ form was due to a traumatic encounter with them in the distant past. But, in a really imaginative touch, Rashaverak explains that the primal fear experienced by humans was not due to a racial memory, but a racial premonition of the Overlords’ role in their metamorphosis. Time, as the Overlords have repeatedly told their human proteges, is much stranger than we can imagine. It was fear and anger and hatred of this future which endowed the figure of the devil with such terror.

Right up to the end the Overlords want to study what happens. They candidly explain to Jan that they are sad at their barrenness. Why do other species transform into mind and join the Overmind? Why can’t they? Hence their intense interest at studying, for example, all the books in Rupert Boyce’s library, hence their remaining on to study the children long after the rest of the human race has gone extinct.

Now Jan remains behind to witness the end of planet earth and relay his impressions and thoughts via radio to the Overlords whose spaceship retires to a safe distance, namely ‘six thousand million kilometres beyond the orbit of Pluto’ (p.189).

Jan describes earthquakes and spots of fire in the sky, and then how different fires come together to form a vast burning column which ascends from the planet into space. As the column disappears he experiences a terrible sense of emptiness when the children have gone. The atmosphere is leaving the planet taking with it everything which isn’t secured. Then everything around him and the earth itself become transparent and he can see a great white light emanating from the core of the planet upwards towards him.

The Earth evaporates in a flash of light. The children have used every atom of it as fuel to drive their final metamorphosis and journey to join the Overmind. Karellen looks back at the receding Solar System, reflects on the fate of the Overlords to obey, and the incomprehensible fate of the human race.

Critique

The everyday

It is a fantastic book, convincing and thrilling. Some critics think the human settings of each episode – the minutiae of Rikki Stormgren’s living arrangements and his kidnapping, or the immense labour spent describing the ins and outs of George and Jean Greggson’s marriage detract from the story, but I agree with Clarke’s approach and it’s what I like about Wyndham’s novels, as well. That these awe-inspiring changes happen to perfectly ordinary – or in fictional terms, ordinary – people. For me the fantasy is far more effective for being rooted in the everyday.

Anglocentric

When I read the long central section, the Golden Age, I thought, Wow! This is what the future’s going to be like! Clarke predicts that:

  • Everyone will speak English
  • Technology will do all the dirty jobs, giving everyone masses of leisure time
  • Everyone will have advanced university educations, often to age 25
  • organised religion will have withered away
  • quick cheap travel will be available for all

You can see how these assumptions grow out of faith that the post-war American economic boom would prove endless, and spread around the world, providing a never-ending stream of gee whizz technology.

When Clark wrote the Yanks were perfecting and marketing a dazzling array of household white goods – fridges, freezers, fridge freezers, ice machines, toaster, barbecues, hoovers, washing machines, tumble dryers. Futurologists, politicians and advertising companies thought it would never stop.

In economic, technical, scientific and cultural terms America emerged as the leader of the world. Hence the Overlords’ space ship hovers – as so many alien spaceships before and since have done – over New York, the only city which really counts in these kinds of stories.

But the 65 years since the book was published have proved otherwise. There are other countries in the world besides America. Not everyone wants to be American or to speak English. A whole load of angry Muslims can testify to that, not to mention Indians, Indonesians, the whole of South America, and so on.

The poor have not been eradicated. There is not enough food for everyone. There is not so little work to be done that everyone devotes their lives to leisure, poetry and philosophy. It’s striking how sci fi prophets from Wells to Clarke have all made exactly the same set of mistaken predictions based on:

  1. complete ignorance of economics
  2. complete ignorance of human nature

Economics Capitalism works through companies achieving competitive advantage. No company is going to introduce a new labour-saving technology which gives them a competitive advantage – and then let the whole workforce have half the week off. More likely they’ll introduce the technology and make everyone work harder, attending training courses and keeping up with the machines’ new higher levels of demand.

All through my teens in the 1970s Tomorrow’s World and every other magazine and new programme, all the articles by Asimov and Clarke and blizzards of other futurologists told us that technology was just about to usher in a new world of leisure. The great struggle of life by the early 21st century would be deciding how to spend all this leisure time, which course to take at the free universities, whether to become a poet or a painter.

Human nature Educated white men, bookish writers like Asimov and Clarke, imagined that in the future everyone would become educated and bookish like, well like them. That the future would be full of swots who, freed from the need to do work, would dabble in philosophy or art.

Has it turned out that way? Or was that just a laughably self-centred and blinkered view of human nature.

From Dickens through Wells and Huxley and then the great waves of 1950s sci fi gurus, right through to the present day, liberals all pin their hopes on education to bring about social reform. For me, this is a doomed approach. Maybe because I grew up among a lot of working class people who didn’t just not want an education, and were itching to leave school at 16 so they could get a job, money, a car and a girlfriend – but who also actively despised, bullied, threw stones and spat at anyone they caught reading.

Most people are not bookish. Plenty of people never read a book from one Christmas to the next. Those who do read, tend to read very intensively and make the cardinal error of thinking that everyone else is like them. Like all liberals, Clarke assumes that people want to be educated, want to be jolly bookish chaps like himself.

But they don’t, they really don’t.

Religion A massive tell-tale symptom of this secular liberalism is Clarke’s confidence that all religions will fade away, wither and die, disappear.

The numbers of people who admit to religious belief in the post-industrial west may well continue to decline, but in the rest of the world? In the Muslim world? In Latin America? In south-east Asia? In Africa? In nationalist India? All around the world passionate and sometimes violent religious belief continues to flourish.

It seems to me that sci-fi fantasies like this are messages from a specific place and time and culture which made the great mistake of assuming its very narrow and specific values would spread out to conquer all humanity.

Asimov, Clarke, Blish, they write stories in which techy white male Americans end up running everything, everyone speaks English, everyone uses American tech, everyone adopts American values, everyone is behind America’s efforts to colonise space.

As that period of American triumphalism (roughly 1950 to 1975) recedes, these works become more dated, period pieces, insights into a worldview which is becoming as remote as the medieval Europe which thought that the great Day of Judgement was just around the corner.

Maybe you could almost make the generalisation that science fiction, as a genre, expects just such a great change is just around the corner, comparable to all those feverish end-of-the-world predictions which seized men’s minds from the Middle Ages through the Renaissance.

In science fictions from Wells to Wyndham a great event is just about to take place which will change everything.

Maybe, not so deep down, science fiction as a genre feeds on that profound human wish that there should be an apocalyptic change or ending or transformation, now, within our lifetimes, something, anything, to relieve the boredom, oppression, grinding, numbing grind of the daily struggle for existence.

It’s true there have been real changes and great turning points over the past century – the beginning and end of the two world wars, the atom bombs on Japan, the Soviet detonation of a hydrogen bomb, Sputnik, men on the moon, the collapse of the communist bloc in 1990 – these have been big cultural, social, scientific and political changes.

But deep down they didn’t change anything. People everywhere have still had to scrape a living, worried about their children, got ill and died in the same old way. Only above a certain level of education and literacy, and from a particularly Western perspective, do better-educated professional people care much about these kind of historic events.

For most people most of the time there are no such transformations. Life carries on being as much of a struggle as it ever was.


Related links

Other science fiction reviews

1888 Looking Backward 2000-1887 by Edward Bellamy – Julian West wakes up in the year 2000 to discover a peaceful revolution has ushered in a society of state planning, equality and contentment
1890 News from Nowhere by William Morris – waking from a long sleep, William Guest is shown round a London transformed into villages of contented craftsmen

1895 The Time Machine by H.G. Wells – the unnamed inventor and time traveller tells his dinner party guests the story of his adventure among the Eloi and the Morlocks in the year 802,701
1896 The Island of Doctor Moreau by H.G. Wells – Edward Prendick is stranded on a remote island where he discovers the ‘owner’, Dr Gustave Moreau, is experimentally creating human-animal hybrids
1897 The Invisible Man by H.G. Wells – an embittered young scientist, Griffin, makes himself invisible, starting with comic capers in a Sussex village, and ending with demented murders
1898 The War of the Worlds – the Martians invade earth
1899 When The Sleeper Wakes/The Sleeper Wakes by H.G. Wells – Graham awakes in the year 2100 to find himself at the centre of a revolution to overthrow the repressive society of the future
1899 A Story of the Days To Come by H.G. Wells – set in the same London of the future described in the Sleeper Wakes, Denton and Elizabeth fall in love, then descend into poverty, and experience life as serfs in the Underground city run by the sinister Labour Corps

1901 The First Men in the Moon by H.G. Wells – Mr Bedford and Mr Cavor use the invention of ‘Cavorite’ to fly to the moon and discover the underground civilisation of the Selenites
1904 The Food of the Gods and How It Came to Earth by H.G. Wells – two scientists invent a compound which makes plants, animals and humans grow to giant size, leading to a giants’ rebellion against the ‘little people’
1905 With the Night Mail by Rudyard Kipling – it is 2000 and the narrator accompanies a GPO airship across the Atlantic
1906 In the Days of the Comet by H.G. Wells – a passing comet trails gasses through earth’s atmosphere which bring about ‘the Great Change’, inaugurating an era of wisdom and fairness, as told by narrator Willie Leadford
1908 The War in the Air by H.G. Wells – Bert Smallways, a bicycle-repairman from Bun Hill in Kent, manages by accident to be an eye-witness to the outbreak of the war in the air which brings Western civilisation to an end
1909 The Machine Stops by E.M. Foster – people of the future live in underground cells regulated by ‘the Machine’ until one of them rebels

1912 The Lost World by Sir Arthur Conan Doyle – Professor Challenger leads an expedition to a plateau in the Amazon rainforest where prehistoric animals still exist
1912 As Easy as ABC by Rudyard Kipling – set in 2065 in a world characterised by isolation and privacy, forces from the ABC are sent to suppress an outbreak of ‘crowdism’
1913 The Horror of the Heights by Arthur Conan Doyle – airman Captain Joyce-Armstrong flies higher than anyone before him and discovers the upper atmosphere is inhabited by vast jellyfish-like monsters
1914 The World Set Free by H.G. Wells – A history of the future in which the devastation of an atomic war leads to the creation of a World Government, told via a number of characters who are central to the change
1918 The Land That Time Forgot by Edgar Rice Burroughs – a trilogy of pulp novellas in which all-American heroes battle ape-men and dinosaurs on a lost island in the Antarctic

1921 We by Evgeny Zamyatin – like everyone else in the dystopian future of OneState, D-503 lives life according to the Table of Hours, until I-330 wakens him to the truth
1925 Heart of a Dog by Mikhail Bulgakov – a Moscow scientist transplants the testicles and pituitary gland of a dead tramp into the body of a stray dog, with disastrous consequences
1927 The Maracot Deep by Arthur Conan Doyle – a scientist, engineer and a hero are trying out a new bathysphere when the wire snaps and they hurtle to the bottom of the sea, there to discover…

1930 Last and First Men by Olaf Stapledon – mind-boggling ‘history’ of the future of mankind over the next two billion years
1932 Brave New World by Aldous Huxley
1938 Out of the Silent Planet by C.S. Lewis – baddies Devine and Weston kidnap Ransom and take him in their spherical spaceship to Malacandra aka Mars,

1943 Perelandra (Voyage to Venus) by C.S. Lewis – Ransom is sent to Perelandra aka Venus, to prevent a second temptation by the Devil and the fall of the planet’s new young inhabitants
1945 That Hideous Strength: A Modern Fairy-Tale for Grown-ups by C.S. Lewis– Ransom assembles a motley crew to combat the rise of an evil corporation which is seeking to overthrow mankind
1949 Nineteen Eighty-Four by George Orwell – after a nuclear war, inhabitants of ruined London are divided into the sheep-like ‘proles’ and members of the Party who are kept under unremitting surveillance

1950 I, Robot by Isaac Asimov – nine short stories about ‘positronic’ robots, which chart their rise from dumb playmates to controllers of humanity’s destiny
1950 The Martian Chronicles – 13 short stories with 13 linking passages loosely describing mankind’s colonisation of Mars, featuring strange, dreamlike encounters with Martians
1951 Foundation by Isaac Asimov – the first five stories telling the rise of the Foundation created by psychohistorian Hari Seldon to preserve civilisation during the collapse of the Galactic Empire
1951 The Illustrated Man – eighteen short stories which use the future, Mars and Venus as settings for what are essentially earth-bound tales of fantasy and horror
1952 Foundation and Empire by Isaac Asimov – two long stories which continue the future history of the Foundation set up by psychohistorian Hari Seldon as it faces down attack by an Imperial general, and then the menace of the mysterious mutant known only as ‘the Mule’
1953 Second Foundation by Isaac Asimov – concluding part of the ‘trilogy’ describing the attempt to preserve civilisation after the collapse of the Galactic Empire
1953 Earthman, Come Home by James Blish – the adventures of New York City, a self-contained space city which wanders the galaxy 2,000 years hence powered by spindizzy technology
1953 Fahrenheit 451 by Ray Bradbury – a masterpiece, a terrifying anticipation of a future when books are banned and professional firemen are paid to track down stashes of forbidden books and burn them
1953 Childhood’s End by Arthur C. Clarke – a thrilling narrative involving the ‘Overlords’ who arrive from space to supervise mankind’s transition to the next stage in its evolution
1954 The Caves of Steel by Isaac Asimov – set 3,000 years in the future when humans have separated into ‘Spacers’ who have colonised 50 other planets, and the overpopulated earth whose inhabitants live in enclosed cities or ‘caves of steel’, and introducing detective Elijah Baley to solve a murder mystery
1956 The Naked Sun by Isaac Asimov – 3,000 years in the future detective Elijah Baley returns, with his robot sidekick, R. Daneel Olivaw, to solve a murder mystery on the remote planet of Solaria
1956 They Shall Have Stars by James Blish – explains the invention – in the near future – of the anti-death drugs and the spindizzy technology which allow the human race to colonise the galaxy
1959 The Triumph of Time by James Blish – concluding story of Blish’s Okie tetralogy in which Amalfi and his friends are present at the end of the universe

1962 A Life For The Stars by James Blish – third in the Okie series about cities which can fly through space, focusing on the coming of age of kidnapped earther, young Crispin DeFord, aboard New York

1971 Mutant 59: The Plastic Eater by Kit Pedler and Gerry Davis – a genetically engineered bacterium starts eating the world’s plastic

1980 Russian Hide and Seek by Kingsley Amis – in an England of the future which has been invaded and conquered by the Russians, a hopeless attempt to overthrow the occupiers is easily crushed
1981 The Golden Age of Science Fiction edited by Kingsley Amis – 17 classic sci-fi stories from what Amis considers the Golden Era of the genre, namely the 1950s

A Life For The Stars by James Blish (1962)

From the embankment of the long-abandoned Erie-Lackawanna-Pennsylvania Railroad, Chris sat silently watching the city of Scranton, Pennsylvania, preparing to take off.

As opening sentences go, this is a cracking introduction to this, the last-written but third-in-chronological-order of Blish’s four ‘Okie’ novels, about entire cities which take advantage of anti-gravity ‘spindizzy’ technology, to depart earth and go roaming around the galaxy (already well-colonised by humans), trading and dealing and getting into scrapes.

The central Okie novel is Earthman, Come Home, the first to be published (in fact a ‘fix-up novel’ of four or five earlier short stories, brought together in 1953), set around the year 4,000 and which features a series of cracking space opera adventures starring John Amalfi, ‘mayor’ of New York as it roams across the galaxy getting in and out of trouble.

Next in the series was They Shall Have Stars, published in 1956, set in the 2010s (from 2013 to 2020, to be precise). This ‘fix up’ of two long short stories gives us the origins of the two technologies which made interstellar space travel possible, namely

  1. the discovery of anti-death drugs, which allow humans to live for thousands of years
  2. and the Dillon-Wagoner Graviton Polarity Generator which not only allows an object of any size to travel at any speed – faster, even, than light – but also secures a protective field around it enclosing water, atmosphere and so on

Rather than just plonk these discoveries down in front of the reader, Blish goes to great lengths to depict the way the West – specifically America – will, by the 2010s, have become an authoritarian regime dominated by an eavesdropping FBI, which is virtually indistinguishable from the repressive system in the Soviet bloc. Eventually the West, as such, will fall to Soviet domination… but not before a heroic few pioneers have used the spindizzy technology to escape to the stars.

Chapter one: Press gang

I expected this third novel to bridge the gap between those events, which climax in 2020, with the Amalfi era of 4,000 or so AD – but it doesn’t.

Instead the story is set in the 32nd century where anyone with any get up and go has got up and gone in a city to the stars. The entire (short) novel describes the adventures of young teenager Crispin DeFord (p.150, Chris to his family). He is one of the few last impoverished inhabitants of 32nd century earth, living with his father who was once a professor but now routinely suffers from diseases of malnutrition.

Chris comes from their shack to the perimeter of the raggedy old steel-manufacturing city of Scranton to watch it take off but, at the last minute, is caught by perimeter cops and press-ganged aboard. The city takes off, much to Chris’s amazement.

Chapter two: A line of boiling dust

He is dragged in front of the city’s mayor, Frank Lutz, who reminds him of a skunk and demands if he has a speciality (specialists in anything get to eat, non-specialists, not so much). On the spur of the moment Chris claims to know all about astronomy, and manages to answer some basic questions such as the order of the planets, so he is apprenticed to the city’s astronomer, Dr Boyle Warner. He spends a year studying but not getting very far.

Chapter three: ‘Like a barrel of scrap’

Then he and Boyle, attending one of the mayor’s endless public consultations, hear him saying he plans to do a swap with a much bigger city they’ve come in contact with. When he mentions that it’s led by someone named Amalfi, we know this is New York from all the stories we read about in Earthman, Come Home. New York will give them some tech and technies, plus directions to an iron-bearing planet, in exchange Scranton will hand over 300 or so of its least useful citizens.

Chris knows that includes him and finds a hiding place in a disused warehouse. But he’s tracked down by the leader of the press gang which shanghaied him, Frad Haskins (p.146), who has turned out to be a kindly protector of the boy, and persuades him it will be easier to go.

Chapter four: Schoolroom in the sky

So he joins the three hundred or so who take a rocket ship from Scranton to New York, his mind boggled by the awesome scale of the bigger city. Arriving, he is put in a cubicle and questioned by a computerised voice – the City Fathers no less – who reveal that

  1. the first anti-death drugs were perfected in 2018
  2. Mayor Amalfi was born in 2998

Chris is submitted to intense hypnopedia i.e. put in a trance while wearing a helmet which pumps him full of facts. This gives Blish a convenient opportunity to write a prolonged and factual history of spindizzies and anti-agathic drugs which links the years described in They Shall Have Stars (the 2010s), follows through the collapse of the West, the creation of the Bureaucratic State which banned spaceflight, how dissidents who kept secret spindizzies nonetheless set off into space where they bumped into the Vegan Empire (2289), which led to war (2310), how the spindizzy technology (repressed by the Bureaucratic State) was rediscovered by the Thorium Trust’s Plant Eight which promptly took off into space and never came back (2375), followed by other power plants, towns then cities. How the city of Gravitogorsk-Mars, calling itself the Interstellar Master Traders (IMT) annihiliated the earth colony on Thor V (2394) giving Okie cities a terrible reputation. The capital planet of the Vegan Empire was ravaged by earth cities, including IMT, in 2413. How the Third Colonial Navy under Admiral Alois Hrunta destroyed Vega II instead of subduing then fled and set up his own empire, naming himself Emperor of Space (after a battle in 2464). So many cities left earth that the Bureaucratic state collapsed in 2522. Succeeded by a police state which lacked real power, but sent out police forces to police the galaxy, giving rise to the situation whereby Arm II of the galaxy is economically underpinned by Okie cities trading and policed by the earth cops, but neither system is really efficient i.e. there’s lots of friction. And that’s where we are when the story begins.

We learn that in the middle 2000s all the fossil fuels ran out and the highlands around earth were returned to farmland.

Chapter five: ‘Boy, you are dumb!’

Chris is put in the class of the martinet Dr Helena Braziller, and meets classmate Piggy Kingston-Throop, which allows the pair to discuss issues surrounding Okie cities, the meaning of ‘citizenship’ and other backstory information Blish wants to convey. Bascially, to become a ‘citizen’, to enjoy the benefits of the anti-agathic drugs, Chris must study and must pass the citizenship exam.

Chris is made the ward of Perimeter Sergeant Anderson, who we read about in Earthman, Come Home: he is head of a sort of Marine corps which is sent out whenever the city lands.

Chapter six: A planet called Heaven

New York lands on a planet where it is always raining, broken by electrical storms – ironically named ‘Heaven’. Chris isn’t involved in any of this since he is still only 17 and still at school – intensive hypnopedia school – but his guardian being Sergeant Anderson he overhears a lot, such as the planet is ruled by a smallish (60,000) caste of aristocrats, named ‘archangels’, who lord it over a vast population of serfs.

The archangels have made a typical Okie deal, that they’ll provide food and raw materials in exchange for the Okies helping them inaugurate an industrial revolution.

Piggy and Chris hang round one of the wharves on the edge of New York, staring out into the endless rain of Heaven, lit by fierce lightning storms, and generally getting in people’s way. Chris learns that the archangels speak a debased form of Russian, ‘the now dead universal language of deep space’ (p.197) (to understand why you really have to have followed the repeated notion that the Soviet Union wins the Cold War by making the West turn into its mirror image, before finally subsuming the entire world in the Bureaucratic Rule.)

Impatient and curious, Chris tries talking to one of the Archangels who stomp back and forth across the wharves, offering him the ‘small cheap clasp knife with a tiny compass embedded in its handle’ in return for… a go on one of the kind of bubble boats the Archangels speed about in: these are boats but completely covered over in perspex to protect from the awful weather.

The Archangel laughs a big Russian laugh and agrees, they climb aboard the ship (they’re known as swan boats), the guy shows him the pretty simple controls and lets him try it out a little, pushing the accelerator and steering. There’s a call from his mates back in the cabin, so he tells Christ to be careful and goes abaft.

Chris has a happy time steering, but curiosity makes him lean back towards the door into the aft cabin and he hears snippets of Russian which he can just about understand are the six Archangels talking about a conspiracy to seize New York, mentioning hostages they’ve already taken, and a ‘Castle Wolfwhip’.

On impulse Chris throws the lock on the cabin door, takes the helm of the swan boat and sets it towards the homing beacon he’d noticed. It is Young Sherlock, Young James Bond.

Chapter seven: Why not to keep demons

Chris begins to wonder whether he’s doing the right thing and decides he better turn round and steer the boat back towards the New York wharf, when it is seized by the Archangel tractor beam and the controls stop functioning. He sees a huge building emerge from the rain and fog and then the swan boat abruptly sinks beneath the surface of the ocean, down down till its tracks hit bottom and then it clambers along, emerging back up above the surface in a sheltered cavern.

Here he is quickly arrested and thrown into the same cell as his guardian Sergeant Anderson, and a colleague Dulany, as per thousands of American adventure series and movies.

When he tells them that their ‘hover suits’ are hanging up in the main hall where he was interrogated. Anderson and Dulane break out of the cell, fight their way to their suits, and then tear ‘Castle Wolfwhip’ to pieces. Since he hasn’t got a suit, they put him in a swan ship and guide it back to New York.

Where his guardian reads Chris the riot act for being a very naughty boy.

Chapter eight: the ghosts of space

To Chris’s amazement Amalfi keeps on with the contract with Heaven’s Archangels. Business is business, and they need the raw materials.

Chris goes back to school for more densely packed hypnopedia sessions, which Blish summarises. He carries on chatting on quays with Piggy, who tells him the urban legend of the great Lost City of Los Angeles which landed on a remote planet where antiagathic drugs grow in the plants. Chris drops into a Library cubicle after school and quizzes a librarian i.e. one of the city father computers, which tells him about this kind of urban legend.

Then he discusses the idea with his guardian Anderson and wife Carla, and they end up reeling through a number of aspects of their world which are basically backstory which introduce various legends or entities we will meet in Earthman Come Home, such as:

  • cities that go rogue, named ‘bindlestiffs’
  • specifically the city of the IMT which genocided Thor V
  • the Vegan orbital fort

This handy little bit of exposition, or reminder, is threaded through with a bit of home-made Freud: namely that some of these stories may be true (they will, in fact, all prove to be true in Earthman, Come Home) but there is a deeper psychological force at work, namely that we make up bogies to scare us about things we ourselves actually want to do.

‘It’s always themselves that people are scared of.’ (p.207)

Chapter nine: The tramp

New York’s contract with Heaven is fulfilled and it takes off (we hear nothing at all about the supposed industrial revolution the city was meant to have organised).

Chris’s hypnopedia education continues regardless, and becomes so intense, he is being daily stuffed with so many facts via the hypnopedia headgear, that he begins to feel physically ill. He asks his tutor Dr Braziller if this is normal and she explains that the City Fathers (who run the hypnopedia) don’t care about individuals; pupils are stuffed with facts like geese with grain, because the Fathers are waiting to see what traits, what qualities will emerge, which the city can use in its eternal quest for survival.

Wistfully, Dr Braziller tells Chris she harboured hopes of becoming a composer but the City Fathers had never heard of a woman composer so that was that.

Chris is worried because the only subject he shows any gift for is history and the City Fathers are already, in effect, the city’s historians, since they contain a vast database of dates and events which he’ll never be able to match.

All this is interrupted one day when Anderson tells him the city has a new contract but it’s complicated. It’s with a planet, Argus III, to do mining, but it has slowly emerged that the planet already has another city on site, which was under contract but failed to deliver. That city? Scranton. The city which shanghaied Chris right at the start of the story. Not fulfilling your contract but squatting on the site defines you as a ‘tramp’. Theoretically Argus III could call the cops (cops always come into these city disputes) but then Scranton could counter-claim that their contract was being breached and/or New York was trying to poach the work, a serious breach of earth law and Okie tradition.

New York has picked up radio broadcasts by both parties, Scranton and the Argolids. John Amalfi himself wants Chris to listen in on the Scranton broadcasts and use every scrap of knowledge he gained on the city, to help interpret them.

Chapter ten: Argus asleep

New York lands on Argus III. There’s some nice science about how the stars of the system are relatively young and so full of metals, as are the planets. Good mining country. Chris begins to analyse Amalfi’s decisions which, of course, allows Blish to explain them to us, the reader.

Not only that he begins to make his own suggestions based on the little he picked up from seeing Scranton’s mayor in the flesh, namely that he is ruthless, treats passengers like scum, has a shortage of anti-agathic drugs. Also he points out that something must have been going wrong for a while if Scranton is so far from the planets of metal which New York recommended to her back when they did the passenger exchange.

Then the situation is transformed when it is revealed that Chris’s friend, Piggy, has defected to the other side, taking two women with him, one the unhinged wife of a New York cop who had been taught how to fly one of the city’s planes and then stole it. Piggy must have had some plan to become a big valuable man over there, but first thing New York knows is a message from Scranton saying the three are being held hostage.

Chris suggests sneaking over to Scranton on a solo mission, but his guardian emphatically rules it out.

Chapter eleven: The hidey hole

Chris does it anyway, with a plan. He meets up with Frad Haskins, the leader of the grab squad who press-ganged Chris onto Scranton right at the start of the story. Frad explains how even those close to him think Scranton’s mayor has gone nuts. He discusses with Chris what concessions and peace Amalfi would offer if Frad leads a coup to overthrow the mayor. then Chris hides away in his hidey hole in the disused warehouse, the one we saw him seeking refuge in back in chapter three, while a coup actually takes place.

When Frad comes to fetch him it’s something like a week later and Lutz has been overthrown. Frad is shabby, unshaven, dirty and has a black eye. Exiting back onto the streets Chris sees bulletholes and shell holes. Obviously the coup was violent. (It is, pretty simply, a cop-out of Blish’s part not to show any of it at all; all we get for the entire period of the coup is an account of Chris hiding, getting hungry, and trying to sleep. This reminded me a lot of Asimov’s Foundation series where there’s a lot of talk about battles and political struggles, but precious little actual description of them. This, I think, is because the entire approach of space opera is surprisingly limited: the fate of the entire galaxy hangs in the balance – again and again – and yet turns out to hang on the confrontations of a few super-clever characters in a room. This is the opposite of history as we know it, where the fate of empires and nations has been decided by wars which drag on for years and about which vast multi-volume libraries can be written.)

Chapter twelve: An interview with Amalfi

Chris is brought back to New York, along with the new leaders of Scranton to negotiate a deal with Amalfi. With fairy tale simplicity the deadline for doing a deal with Scranton had expired on Chris’s 18th birthday, which was also when his citizenship exam, the one he’s been cramming for for the previous couple of years, was due to take place.

At a stroke Amalfi announces that Chris has shown all the qualities required by a citizen, and amazes Chris and his guardian and Frad by offering to make Chris city manager of New York. Happy ending.

Coda

Very casually, half way through the last book in the series, The Triumph of Time, Blish tells us that DeFord was shot by the City Fathers for crooked dealing ‘seven centuries’ before that story is set, so about 3295 (p.559). Since The Triumph of Time was published in 1959, three years before A Life For The Stars, anyone who’d been reading the books as they came out, will have known Chris’s ultimate fate throughout their reading of this narrative.


Related links

Other science fiction reviews

1888 Looking Backward 2000-1887 by Edward Bellamy – Julian West wakes up in the year 2000 to discover a peaceful revolution has ushered in a society of state planning, equality and contentment
1890 News from Nowhere by William Morris – waking from a long sleep, William Guest is shown round a London transformed into villages of contented craftsmen

1895 The Time Machine by H.G. Wells – the unnamed inventor and time traveller tells his dinner party guests the story of his adventure among the Eloi and the Morlocks in the year 802,701
1896 The Island of Doctor Moreau by H.G. Wells – Edward Prendick is stranded on a remote island where he discovers the ‘owner’, Dr Gustave Moreau, is experimentally creating human-animal hybrids
1897 The Invisible Man by H.G. Wells – an embittered young scientist, Griffin, makes himself invisible, starting with comic capers in a Sussex village, and ending with demented murders
1898 The War of the Worlds – the Martians invade earth
1899 When The Sleeper Wakes/The Sleeper Wakes by H.G. Wells – Graham awakes in the year 2100 to find himself at the centre of a revolution to overthrow the repressive society of the future
1899 A Story of the Days To Come by H.G. Wells – set in the same London of the future described in the Sleeper Wakes, Denton and Elizabeth fall in love, then descend into poverty, and experience life as serfs in the Underground city run by the sinister Labour Corps

1901 The First Men in the Moon by H.G. Wells – Mr Bedford and Mr Cavor use the invention of ‘Cavorite’ to fly to the moon and discover the underground civilisation of the Selenites
1904 The Food of the Gods and How It Came to Earth by H.G. Wells – two scientists invent a compound which makes plants, animals and humans grow to giant size, leading to a giants’ rebellion against the ‘little people’
1905 With the Night Mail by Rudyard Kipling – it is 2000 and the narrator accompanies a GPO airship across the Atlantic
1906 In the Days of the Comet by H.G. Wells – a passing comet trails gasses through earth’s atmosphere which bring about ‘the Great Change’, inaugurating an era of wisdom and fairness, as told by embittered working class narrator Willie Leadford
1908 The War in the Air by H.G. Wells – Bert Smallways, a bicycle-repairman from Bun Hill in Kent, manages by accident to be an eye-witness to the outbreak of the war in the air which brings Western civilisation to an end
1909 The Machine Stops by E.M. Foster – people of the future live in underground cells regulated by ‘the Machine’ until one of them rebels

1912 The Lost World by Sir Arthur Conan Doyle – Professor Challenger leads an expedition to a plateau in the Amazon rainforest where prehistoric animals still exist
1912 As Easy as ABC by Rudyard Kipling – set in 2065 in a world characterised by isolation and privacy, forces from the ABC are sent to suppress an outbreak of ‘crowdism’
1913 The Horror of the Heights by Arthur Conan Doyle – airman Captain Joyce-Armstrong flies higher than anyone before him and discovers the upper atmosphere is inhabited by vast jellyfish-like monsters
1914 The World Set Free by H.G. Wells – A history of the future in which the devastation of an atomic war leads to the creation of a World Government, told via a number of characters who are central to the change
1918 The Land That Time Forgot by Edgar Rice Burroughs – a trilogy of pulp novellas in which all-American heroes battle ape-men and dinosaurs on a lost island in the Antarctic

1921 We by Evgeny Zamyatin – like everyone else in the dystopian future of OneState, D-503 lives life according to the Table of Hours, until I-330 wakens him to the truth
1925 Heart of a Dog by Mikhail Bulgakov – a Moscow scientist transplants the testicles and pituitary gland of a dead tramp into the body of a stray dog, with disastrous consequences
1927 The Maracot Deep by Arthur Conan Doyle – a scientist, engineer and a hero are trying out a new bathysphere when the wire snaps and they hurtle to the bottom of the sea, there to discover…

1930 Last and First Men by Olaf Stapledon – a mind-boggling ‘history’ of the future of mankind over the next two billion years
1932 Brave New World by Aldous Huxley
1938 Out of the Silent Planet by C.S. Lewis – baddies Devine and Weston kidnap Ransom and take him in their spherical spaceship to Malacandra aka Mars,

1943 Perelandra (Voyage to Venus) by C.S. Lewis – Ransom is sent to Perelandra aka Venus, to prevent a second temptation by the Devil and the fall of the planet’s new young inhabitants
1945 That Hideous Strength: A Modern Fairy-Tale for Grown-ups by C.S. Lewis– Ransom assembles a motley crew to combat the rise of an evil corporation which is seeking to overthrow mankind
1949 Nineteen Eighty-Four by George Orwell – after a nuclear war, inhabitants of ruined London are divided into the sheep-like ‘proles’ and members of the Party who are kept under unremitting surveillance

1950 I, Robot by Isaac Asimov – nine short stories about ‘positronic’ robots, which chart their rise from dumb playmates to controllers of humanity’s destiny
1950 The Martian Chronicles – 13 short stories with 13 linking passages loosely describing mankind’s colonisation of Mars, featuring strange, dreamlike encounters with Martians
1951 Foundation by Isaac Asimov – the first five stories telling the rise of the Foundation created by psychohistorian Hari Seldon to preserve civilisation during the collapse of the Galactic Empire
1951 The Illustrated Man – eighteen short stories which use the future, Mars and Venus as settings for what are essentially earth-bound tales of fantasy and horror
1952 Foundation and Empire by Isaac Asimov – two long stories which continue the future history of the Foundation set up by psychohistorian Hari Seldon as it faces down attack by an Imperial general, and then the menace of the mysterious mutant known only as ‘the Mule’
1953 Second Foundation by Isaac Asimov – concluding part of the ‘trilogy’ describing the attempt to preserve civilisation after the collapse of the Galactic Empire
1953 Earthman, Come Home by James Blish – the adventures of New York City, a self-contained space city which wanders the galaxy 2,000 years hence powered by spindizzy technology
1953 Fahrenheit 451 – a masterpiece, a terrifying anticipation of a future when books are banned and professional firemen are paid to track down stashes of forbidden books and burn them
1954 The Caves of Steel by Isaac Asimov – set 3,000 years in the future when humans have separated into ‘Spacers’ who have colonised 50 other planets, and the overpopulated earth whose inhabitants live in enclosed cities or ‘caves of steel’, and introducing detective Elijah Baley to solve a murder mystery
1956 The Naked Sun by Isaac Asimov – 3,000 years in the future detective Elijah Baley returns, with his robot sidekick, R. Daneel Olivaw, to solve a murder mystery on the remote planet of Solaria
1956 They Shall Have Stars by James Blish – explains the invention – in the near future – of the anti-death drugs and the spindizzy technology which allow the human race to colonise the galaxy
1959 The Triumph of Time by James Blish –

1962 A Life For The Stars by James Blish – third in the Okie series about cities which can fly through space, focusing on the coming of age of kidnapped earther, young Crispin DeFord, aboard New York

1971 Mutant 59: The Plastic Eater by Kit Pedler and Gerry Davis – a genetically engineered bacterium starts eating the world’s plastic

1980 Russian Hide and Seek by Kingsley Amis – in an England of the future which has been invaded and conquered by the Russians, a hopeless attempt to overthrow the occupiers is easily crushed
1981 The Golden Age of Science Fiction edited by Kingsley Amis – 17 classic sci-fi stories from what Amis considers the Golden Era of the genre, namely the 1950s

They Shall Have Stars by James Blish (1956)

The second of the four Cities in Flight novels by James Blish, this is a ‘fix-up’ novel made by joining two long short stories, ‘Bridge’ and ‘At Death’s End’, which were originally published in sci-fi magazines.

In terms of internal chronology, these stories describe the two key discoveries which make possible the world of the flying cities which we met in Earthman, Come Home, namely anti-agathic drugs and the spindizzy anti-gravity drive.

Background to the plot

It is 2013 and the Cold War between the Soviet Union and the West continues. It seems to be a big idea (or fixation, or worry) of Blish’s that this sustained animosity will undermine Western society and freedoms. It will require the West to spy on its own citizens, to curtail scientific enquiry, and to enforce voluntary censorship, not least because of the vast spying and political control enforced by the hereditary head of the FBI, Francis X. MacHinery (a character clearly modelled on the Red-baiting demagogue, Senator Joe McCarthy).

Characters are careful what they say to each other and, if speaking candidly, make nervous jokes about being overheard and reported.

(There’s a scene, mid-novel, where Senator Wagoner has reported to him the key discovery which enables the anti-gravity device and Blish says the characters had to speak more or less in code because both knew the senator’s office was bugged by the FBI (pp.52-54). Similarly, on their third date Anne Abbott shows her date, Paige Russell, that the powder compact she keeps looking into is in fact a device which detects bugging devices i.e. tells you when it is safe, or unsafe, to talk freely.)

There are roughly two locations – America, in either Washington DC or New York City, and ‘the Bridge’ on Jupiter, monitored from its control room on a moon of Jupiter’s, Jupiter V.

On earth

In Washington and New York we see Senator Bliss Wagoner take the helm of the Joint Congressional Committee on Space Flight and ask the opinion of Giusseppi Corsi, head of the American Association for the Advancement of Science, what he should do. Between them they make a number of points and recommendations. The basic one is that space travel is going nowhere. They’re still using the same rocket technology invented during the war. Rockets have now taken man to Mars and even Jupiter, but Wagoner is frustrated that no-one is thinking big, beyond the solar system: there’s still no viable kind of trans-space engine. Corsi replies that the entire existing structure of government sponsored science is fossilised, third rate men fine-tuning existing tech. He advises Wagoner to cast the net wide, to look at oddballs, freaks, weird experiments, renegades: the future has got to come from outside existing mind-sets.

In New York Colonel Paige Russell is waiting impatiently in the lobby of Pfitzner and sons, the big pharma company. He has in his pocket samples of soil from Ganymede and Jupiter V. He’s a rocketman, has been to those places, brought back these samples at Pfitzner’s request, and is irritated to be kept waiting. Eventually he is given a cursory guided tour by a flunkey but then superseded by a visiting general and more or less kicked out. Irritated, he hits on the receptionist and persuades her to come to dinner.

The dinner scene contains various bits of information: for a start we learn that there’s been a religious revival, because Paige and the receptionist’s taxi (her name is Anne Abbot) gets caught in a chanting crowd. The religious people are now called Believers and have developed perfume bubbles which they disperse at their rallies. When they burst they disperse narcosynthetic drugs which make people feel like repenting, make them feel guilty and self pitying.

Once at the dinner table Anne slowly opens up about work at Pfitzner which has been mainly focused on developing new antibiotics which have worked very well at combating not only infectious diseases but some of the viruses which cause some cancers and so on. But eliminating infectious disease has just revealed a substrate of harder-to-cure conditions, degenerative diseases, circulatory diseases and so on.

This all hooks up with something Russell had heard while taking the tour of the labs: he thought he had heard a baby crying. Now, to his astonishment, Anne admits that they are experimenting on babies: after years of giving antibiotics to animals to make them stronger and healthier, experiments are taking place on newborn babies, giving them small doses of a range of antibiotics to see what happens.

Jupiter V

Meanwhile, some 600 million miles away, we meet two men who work on a space base on Jupiter V, one of Jupiter’s satellites. Robert ‘Bob’ Helmuth works four hours a day with headgear, visor and headphones on, monitoring the machines which repair and build ‘the Bridge’. His supervisor is Charity Dillon.

The Bridge lies six thousand miles below the top of Jupiter’s cloud layer. It is thirty miles high, eleven miles wide, and fifty-four miles long. Most of it is made of ice, Ice IV to be precise, existing under a pressure of a million atmospheres, at a temperature of 94 below zero Fahrenheit. It takes millions of megawatts to maintain it and keep it growing in Jupiter winds of 25,000 miles per hour.

Bob emerges from his shifts maintaining the Bridge’s equipment shell-shocked and drained. From the dialogue between him and Dillon, we learn that the crew who work on the Bridge project have all had ‘conditioning’; that the Bridge doesn’t go anywhere – it is built with giant pillars based on one of the few stable pieces of ‘land’ they could find on Jupiter’s surface – is more like a travelling crane which is just adding bits to itself not to ‘reach’ anywhere, but to increase its stability. Why? Because. To find out. To see if they can. Bob says the whole thing is a deplorable waste of time and effort. Dillon tells him to get some rest.

Washington

Back at the Pfitzner plant Paige comes to see Anne Abbot again, to apologise, but discovers MacHinery in the waiting room, the scary, Beria-type head of the secret police, who cross-questions him. But when MacHinery’s left, Anne and a Pfitzner scientist finally reveal what they’re investigating. They have established that all complex life forms secrete an aging toxin. Research has moved on to try and identify a drug or drugs which will neutralise this aging toxin: an anti-agathic, an anti-death drug.

Jupiter V

Bob Helmuth over-rides a more junior tech in the Bridge control room, responding to an ‘infection’ of one of the Bridge’s caissons with chemical ‘cancer’ by sending into the leg drills which locate the core of the chemical infection then detonate – badly damaging the caisson, but the cancer would have destroyed it. At least that’s what Bob argues to his boss, Dillon, who warns that Bob’s pessimism about the project is making him enemies.

Especially since a group of earth politicians is about to arrive to inspect the works. Bob is puzzled that they can skip out here to the edge of the solar system so easily and pushes Dillon who concedes that they are using a ship with a new anti-gravity rive. Anti-gravity!?

New York

Paige – now working closely with Anne and a scientist named Harold Gunn (vice president in charge of exports at Pfitzner, p.16) spots a Soviet spy in the lab, follows him to a vast camp of Believers which has is growing up in New York state, watches him go into a trailer, run up an aeriel and, presumably, broadcast his secrets to his controllers.

But when Paige tells Gunn and Anne they reveal that a) they’ve known about him all along, b) they actively don’t want to report the spy to the authorities because that will provide an excuse for MacHinery to close them down, and c) in a long passage Anne explains how the revelation of anti-death drugs will destabilise society, undermine the whole economic, legal, political and moral fabric of civilisation: i) as soon as it is revealed in the west, the Soviets will learn of its feasibility and eventually make their own anyway ii) leaking it to the Soviets will crash their system, so it is not treason to let the spy carry on spying.

Jupiter V

The subordinate he reprimanded, Eva, comes to Helmuth’s quarters to carry on the argument and to announce that she wants to have a baby. It emerges that they had been lovers some time in the past. Now he mocks her and they have a fierce argument. After the leaves Helmuth falls asleep and as his customary nightmare, of using an anti-gravity device on Jupiter which fails so that he is squashed flat – and wakes up screaming.

Book three – Entre’acte: Washington

Wagoner writes a memo to Giusseppi Corsi dated 4 January 2020 in which he explains in some detail how he followed Corsi’s advice from the Prelude, namely to seek out crackpots and radical thinkers, and how two lines of investigation led to a) the anti-gravity impact of spinning electrons and b) the discovery of anti-agathic drugs at Pfitzner.

New York

Knowing that he’s due to be posted to the remotest outpost of the solar system, the base on the newly-discovered planet Proserpine – and hearing mounting rumours that Pfitzner is about to be the subject of an investigation by Senator Wagoner, Paige heads to the company’s offices determined to make a clean breast of what he knows.

But instead he finds Wagoner already there, who briskly orders him and Anne to accompany him in a Cadillac taxi to the New York space port. Here they are bundled into a spaceship the size of a standard planetary ferry without much ceremony, told to strap in, and off they go! (In all these space operas people, completely untrained unprepared people, just get into ‘spaceships’ and off they whizz; as far as you can imagine form the reality which crystallised during the Apollo space programme, that you in fact need highly trained physically fit people to go into space.)

It’s a trick or gag: Paige can’t believe the ship is so small; he can’t believe they’re told they’re beyond earth’s atmosphere in moments; he can’t believe there’s proper one-G earth gravity on the ship, there never is on normal shuttle ships; and he is blown away when he goes up to the control and sees, through the viewing window between Wagoner and Anne – Jupiter appearing.

It is, quite obviously, a new breed of spaceship powered by an anti-gravity drive.

Jupiter V

Bob Helmuth sees what he takes to be another ferry land on the landing platform, but is preoccupied by a particularly fierce outburst of interference near the Bridge, and sends a crawling bot equipped with camera down the nearest leg… and is flabbergasted to see a) white objects fleeting past at top speed and then b) a kind of large bubble attached to the leg. It’s a laboratory, manned by a many-tentacled robot. Nobody told him about this! There’s nothing in the blueprints or plans!

A call comes through on the switchboard, plugs his helmet in and hears Doc Barth, who explains this lab was set up top secret a year ago. They now know for sure there is life on Jupiter, a kind of ammonia-based jellyfish which seems to feed on microscopic plankton!

Wagoner reveals all

But this discovery is nothing to what comes next. Helmuth is politely invited over to the ferry ship (a short walk outside the command centre for which he has to wear a spacesuit), invited into Senator Wagoner’s comfy cabin and introduced to Paige and Anne Abbott.

Helmuth states the grounds of his gloomy pessimism to the threesome: his boss Dillon thinks the creation of the Bridge shows that Man can do anything he sets his mind to, and is also a testament to the power of the West. Helmuth radically disagrees, he thinks it is a sign of the West’s decadence.

Wagoner astonishes Helmuth by saying he is even righter than he thought: the Soviets have already won. The unrelenting pressure of the Reds has made the West into an identikit copy, complete with repressive spying apparatus exemplified by H’s FBI.

‘We Sovietised ourselves’

But this history and politics is beside the point. Wagoner tells Helmuth the Bridge project is complete. They’ll keep it up for a bit longer but it has fulfilled its purpose of confirming the Blackett-Dirac equations about the relationship between magnetism and the spinning of a massive body. It could only be tested on a spinning object of enormous mass – hence, Jupiter. And the experiment has proved it.

Hence, he goes on to explain, the functioning of the Dillon-Wagoner gravitron polarity generator which makes atoms within its field refuse to recognise the existence or function or forces exerted by atoms outside its field i.e. escapes gravity. It leads to both a faster-than-light travel and effective shielding for everything within the field of its operation.

Bring together a) the fact that the West is about to collapse with b) a new technology which permits superfast space travel and you come up with c) Wagoner’s plan to evacuate the West and send freedom-loving Americans to colonise the nearest star systems. The whole thing to be led by Paige, Anne and him, Helmuth!

The final part of the jigsaw is the anti-agathic drugs. Wagoner announces they’ve brought the entire existing supply in the hold of the ferry ship. Helmuth, Anne and Paige will take them, administer them to others, live forever and colonise the galaxy!

Meanwhile, Wagoner will return to earth to face the heat (accusations of treason), probably be executed: who cares; the job will be done.

The end of the Bridge

Helmuth explains all this to his former lover, Eva. They realise that their attachments to the Bridge were, in different ways, a result of the ‘conditioning’ all the Jupiter scientists were subject to. Now they both realise it is not work saving, but was a means to something greater. At this climactic moment, the alarm bells ring. The vast red spot on Jupiter is passing close to the Bridge and threatens to tear apart its fabric. Alarm bells deafen and they hear Charity Dillon’s voice calling for all hands on deck to man the repair bots and drones. Eva, the scales fallen from her eyes, says ‘Let it fall’. In the stunned silence, she and Helmuth both hear Wagoner’s dry chuckle.

Coda

One final page describes Bliss Wagoner’s last day in the atomic pile where, as he predicted, he has been locked after being found guilty of treason. (We realise that the letter date January 2020 which he wrote to Corsi explaining his actions, must have been written from prison). The narrative’s antagonist, MacHiney, has got his way when he announces later that day that ‘Bliss Wagoner is dead’. But Wagoner’s legacy will live on across the galaxy.

Chris Foss’s cover art

Back in the 1970s it was worth buying science fiction paperbacks purely to own the stupendous cover art by Chris Foss. Quite often though, as in this case, when you read the book you discovered the cover had almost nothing to do with the text inside. They Shall Have Stars concerns the bridge – which is buried deep in the stormy atmosphere of Jupiter – controlled from what appears to be a modest little cluster of space buildings on Jupiter V – but most of all in the labs and offices of Pfister Corp in New York – none of which look like anything in this fabulous illustration.

Cover of the 1974 Arrow Books edition of They Shall Have Stars, art by Chris Foss

Cover of the 1974 Arrow Books edition of They Shall Have Stars, art by Chris Foss


Related links

Other science fiction reviews

1888 Looking Backward 2000-1887 by Edward Bellamy – Julian West wakes up in the year 2000 to discover a peaceful revolution has ushered in a society of state planning, equality and contentment
1890 News from Nowhere by William Morris – waking from a long sleep, William Guest is shown round a London transformed into villages of contented craftsmen

1895 The Time Machine by H.G. Wells – the unnamed inventor and time traveller tells his dinner party guests the story of his adventure among the Eloi and the Morlocks in the year 802,701
1896 The Island of Doctor Moreau by H.G. Wells – Edward Prendick is stranded on a remote island where he discovers the ‘owner’, Dr Gustave Moreau, is experimentally creating human-animal hybrids
1897 The Invisible Man by H.G. Wells – an embittered young scientist, Griffin, makes himself invisible, starting with comic capers in a Sussex village, and ending with demented murders
1898 The War of the Worlds – the Martians invade earth
1899 When The Sleeper Wakes/The Sleeper Wakes by H.G. Wells – Graham awakes in the year 2100 to find himself at the centre of a revolution to overthrow the repressive society of the future
1899 A Story of the Days To Come by H.G. Wells – set in the same London of the future described in the Sleeper Wakes, Denton and Elizabeth fall in love, then descend into poverty, and experience life as serfs in the Underground city run by the sinister Labour Corps

1901 The First Men in the Moon by H.G. Wells – Mr Bedford and Mr Cavor use the invention of ‘Cavorite’ to fly to the moon and discover the underground civilisation of the Selenites
1904 The Food of the Gods and How It Came to Earth by H.G. Wells – two scientists invent a compound which makes plants, animals and humans grow to giant size, leading to a giants’ rebellion against the ‘little people’
1905 With the Night Mail by Rudyard Kipling – it is 2000 and the narrator accompanies a GPO airship across the Atlantic
1906 In the Days of the Comet by H.G. Wells – a passing comet trails gasses through earth’s atmosphere which bring about ‘the Great Change’, inaugurating an era of wisdom and fairness, as told by narrator Willie Leadford
1908 The War in the Air by H.G. Wells – Bert Smallways, a bicycle-repairman from Bun Hill in Kent, manages by accident to be an eye-witness to the outbreak of the war in the air which brings Western civilisation to an end
1909 The Machine Stops by E.M. Foster – people of the future live in underground cells regulated by ‘the Machine’ until one of them rebels

1912 The Lost World by Sir Arthur Conan Doyle – Professor Challenger leads an expedition to a plateau in the Amazon rainforest where prehistoric animals still exist
1912 As Easy as ABC by Rudyard Kipling – set in 2065 in a world characterised by isolation and privacy, forces from the ABC are sent to suppress an outbreak of ‘crowdism’
1913 The Horror of the Heights by Arthur Conan Doyle – airman Captain Joyce-Armstrong flies higher than anyone before him and discovers the upper atmosphere is inhabited by vast jellyfish-like monsters
1914 The World Set Free by H.G. Wells – A history of the future in which the devastation of an atomic war leads to the creation of a World Government, told via a number of characters who are central to the change
1918 The Land That Time Forgot by Edgar Rice Burroughs – a trilogy of pulp novellas in which all-American heroes battle ape-men and dinosaurs on a lost island in the Antarctic

1921 We by Evgeny Zamyatin – like everyone else in the dystopian future of OneState, D-503 lives life according to the Table of Hours, until I-330 wakens him to the truth
1925 Heart of a Dog by Mikhail Bulgakov – a Moscow scientist transplants the testicles and pituitary gland of a dead tramp into the body of a stray dog, with disastrous consequences
1927 The Maracot Deep by Arthur Conan Doyle – a scientist, engineer and a hero are trying out a new bathysphere when the wire snaps and they hurtle to the bottom of the sea, there to discover…

1930 Last and First Men by Olaf Stapledon – mind-boggling ‘history’ of the future of mankind over the next two billion years
1932 Brave New World by Aldous Huxley
1938 Out of the Silent Planet by C.S. Lewis – baddies Devine and Weston kidnap Ransom and take him in their spherical spaceship to Malacandra aka Mars, where they discover the Selenite civilisation

1943 Perelandra (Voyage to Venus) by C.S. Lewis – Ransom is sent to Perelandra aka Venus, to prevent a second temptation by the Devil and the fall of the planet’s new young inhabitants
1945 That Hideous Strength: A Modern Fairy-Tale for Grown-ups by C.S. Lewis– Ransom assembles a motley crew to combat the rise of an evil corporation which is seeking to overthrow mankind
1949 Nineteen Eighty-Four by George Orwell – after a nuclear war, inhabitants of ruined London are divided into the sheep-like ‘proles’ and members of the Party who are kept under unremitting surveillance

1950 I, Robot by Isaac Asimov – nine short stories about ‘positronic’ robots, which chart their rise from dumb playmates to controllers of humanity’s destiny
1950 The Martian Chronicles – 13 short stories with 13 linking passages loosely describing mankind’s colonisation of Mars, featuring strange, dreamlike encounters with Martians
1951 Foundation by Isaac Asimov – the first five stories telling the rise of the Foundation created by psychohistorian Hari Seldon to preserve civilisation during the collapse of the Galactic Empire
1951 The Illustrated Man – eighteen short stories which use the future, Mars and Venus as settings for what are essentially earth-bound tales of fantasy and horror
1952 Foundation and Empire by Isaac Asimov – two long stories which continue the future history of the Foundation set up by psychohistorian Hari Seldon as it faces down attack by an Imperial general, and then the menace of the mysterious mutant known only as ‘the Mule’
1953 Second Foundation by Isaac Asimov – concluding part of the ‘trilogy’ describing the attempt to preserve civilisation after the collapse of the Galactic Empire
1953 Earthman, Come Home by James Blish – the adventures of New York City, a self-contained space city which wanders the galaxy 2,000 years hence powered by spindizzy technology
1953 Fahrenheit 451 – a masterpiece, a terrifying anticipation of a future when books are banned and professional firemen are paid to track down stashes of forbidden books and burn them
1954 The Caves of Steel by Isaac Asimov – set 3,000 years in the future when humans have separated into ‘Spacers’ who have colonised 50 other planets, and the overpopulated earth whose inhabitants live in enclosed cities or ‘caves of steel’, and introducing detective Elijah Baley to solve a murder mystery
1956 The Naked Sun by Isaac Asimov – 3,000 years in the future detective Elijah Baley returns, with his robot sidekick, R. Daneel Olivaw, to solve a murder mystery on the remote planet of Solaria
1956 They Shall Have Stars by James Blish – explains the invention – in the near future – of the anti-death drugs and the spindizzy technology which allow the human race to colonise the stars

1962 A Life For The Stars by James Blish – third in the Okie series about cities which can fly through space

1971 Mutant 59: The Plastic Eater by Kit Pedler and Gerry Davis – a genetically engineered bacterium starts eating the world’s plastic

1980 Russian Hide and Seek by Kingsley Amis – in an England of the future which has been invaded and conquered by the Russians, a hopeless attempt to overthrow the occupiers is easily crushed
1981 The Golden Age of Science Fiction edited by Kingsley Amis – 17 classic sci-fi stories from what Amis considers the Golden Era of the genre, namely the 1950s

The Last Chance by Jean-Paul Sartre (2)

Never again, never, will I think about what I am – but only about what I do.
(Mathieu in his diary – p.134)

The Last Chance brings together all the fragments published during his lifetime, and then found among his papers after his death, of what was intended to be the fourth volume of Jean-Paul Sartre’s Roads To Freedom trilogy (1945-49).

I read the first three books (The Age of Reason, The Reprieve, Iron in The Soul) when I was at school in the 1970s and they made a profound impression on me.

This scholarly edition – which brings together all the known fragments for the intended fourth book in the series, along with a number of essays about it and about the tetralogy as a whole – was published in France in 1981, but only translated into English in 2009.

The ideas and issues raised in the introductory material and essays are so numerous that I discuss them in a separate blog post, The Last Chance (1).

In this blog post I am commenting solely on the two large fragments of the uncompleted novel itself. These were given by Sartre the titles of: A Strange Friendship and The Last Chance.


1. A Strange Friendship (68 pages)

In 1939 Sartre was drafted into the French army, where he served as a meteorologist. He was captured by German troops in 1940 in the village of Padoux, and spent nine months as a prisoner of war, first in Nancy and finally in Stalag XII-D. (Wikipedia)

Mathieu and Brunet at the end of Iron in the Soul

In the third novel of the published trilogy, Iron In the Soul, we followed the activities of Mathieu Delarue, the ineffectual philosophy teacher – a sort of self-portrait by the author – and Brunet, the tough-minded Communist organiser, as they both, separately, retreated in June 1940 before the German advance in France and ended up in a small French village.

Here Mathieu finds himself deciding to quit the squad of demoralised men he’d arrived with, and instead throw in his lot with a still-pugnacious lieutenant and his platoon, who have arrived in the village after carrying out a fighting retreat.

Almost before he knows it, Mathieu has accompanied some of the soldiers to the top of the village church tower where they wait anxiously for the first German scouts to arrive. When the first Germans enter the village, Mathieu and comrades begin shooting at them, sparking a fierce firefight, which is only ended when the Germans bring up a field gun and blow the tower to pieces. The reader assumes that Mathieu, until the last minute firing from this church tower, was killed.

Meanwhile, by a large coincidence, without realising the closeness of his boyhood friend, Mathieu, the tough-minded communist, Brunet, has also ended up in the same village, but here he makes a very different decision. He decides to surrender to the Germans in the hope of recruiting and organising what is obviously going to be a larege number of French prisoners of war into a communist cell.

The final part of Iron in the Soul had followed Brunet’s journey, along with thousands of other POWs, to a holding camp in France, where there is no food and his condition deteriorates along with all the others, Decent feeding arrangements are finally made and, after a long period of lassitude, the prisoners are marched to a train station, loaded into cattle trucks and shipped off to a prison camp in the Fatherland.

In other words, both Mathieu and Brunet’s stories rely very heavily on Sartre’s own experiences of capture and imprisonment in 1940.

Throughout the long second section of Iron in the Soul, Brunet had found himself in conflict with a fellow prisoner, Schneider, who declares himself broadly sympathetic to Brunet’s communist intentions, but is much more a genuine man of the people – in contrast with Brunet’s well-educated background. At key moments Schneider points out the flaws in Brunet’s approach, in the way he’s handling the men and so on.

A Strange Friendship

A Strange Friendship opens with Brunet, Schneider and thousands of other French POWs imprisoned in a German prison camp in freezing winter conditions in January 1941. Because it’s based so closely on Sartre’s own identical experiences, we can be confident that the descriptions of the camp and of the horrible conditions are accurate.

What gets the action of A Strange Friendship going is the arrival of new prisoners at the camp, one of them being Chalais, a former Communist Party deputy. He turns Brunet’s world upside down by announcing:

a) that Schneider is none other than ‘Vicarios’, a French Communist Party official who had denounced the Nazi-Soviet Pact of 1939 and was therefore expelled from the Party
b) that Brunet’s entire strategy within the camp, namely organising the prisoners, recruiting the willing ones to a communist cell, with the long term plan of undermining the Germans, is wrong

Chalais is a representative of the French Communist Party (which was, of course, a mouthpiece for Soviet Foreign policy).

He tells Brunet that the views he’s been putting about – that the war isn’t over yet, that the USSR will crush Germany, that the workers should reject the armistice, that the defeat of the Axis will be a victory for the proletariat, that the French prisoners should still consider themselves as soldiers (p.55) – are wrong.

Chalais ridicules de Gaulle’s recent radio broadcast saying the USSR and USA will enter the war, that the Vichy government is illegitimate, that the armistice the new french government signed with the Nazis was treason. With typical bullying insults, in his ‘loudspeaker voice’, Chalais says that Brunet has been dead wrong. He has, ‘objectively’, i.e. in the eyes of the inflexible Party, been merely a propagandist for Churchill and British imperialism.

Chalais tells him that he and his men must not oppose the Germans; the Germans are allies of our heroic Soviet Union. The Soviet Union will never enter the war. (Indeed, at this point and until it was invaded in June 1941, the Soviet Union for nearly two years supported the Nazi regime with food, oil and raw materials). The Soviet Union will wait until Europe has fought itself to a standstill and then dictate the peace in the interests of the proletariat.

So, instead of subverting the Germans, the communist party ought to cosy up to the Nazis in a bid to become officially recognised and to get a foot into the French National Assembly again.

To Brunet’s astonishment Chalais says they must work to attack the imperialism of the bourgeois ‘democracies’ (i.e. Britain), attack de Gaulle – who is merely a mouthpiece for British imperialism – and direct the workers towards pacifism, not towards enmity to the Germans (p.63).

Brunet listens with astonishment to this interpretation of the situation which is completely opposite to everything he has been telling the men he’s recruited to the communist cause. Chalais has the impeccable authority of being a senior party member, and of having been free – and so in touch with the communist hierarchy – more recently than Brunet himself.

Brunet tries to quell his misgivings, to make himself a servant of the Party and to obey.

This is an example of Sartre depicting how a man – Brunet – denies his absolute freedom, represses his own thoughts and feelings, in the name of Obedience to External Law.

(There is also a massive authorly irony at work here, because the reader knows that Chalais is dead wrong – when Hitler invades the Soviet Union in June 1941, Stalin immediately declares Germany the enemy and reverses every one of the policies which Chalais had been championing. Brunet was to be proved right. But not yet.)

The second section of A Strange Friendship jumps to a month later. The result of Brunet following Chalais’s instructions is that the camaraderie Brunet had carefully built up over the previous 6 months in the camp has evaporated, and Brunet is now regarded shiftily by the men he has so suddenly deserted. They no longer trust him.

In another one-on-one scene Chalais confronts Brunet with this problem – the men don’t trust Chalais and now think Brunet was lying to them. Chalais floats the possibility emerges that Brunet should co-host a Party meeting and stand up, validate Chalais and the Party line, and then humiliate and implicate himself – just as so many old Bolsheviks did in the Stalin Show Trials of the late 1930s (as depicted in the classic novel, Darkness At Noon by Arthur Koestler).

Brunet refuses. His unwavering faith in the Party is for the first time broken. For the first time he sees that the Party might be wrong, that the USSR might be wrong. If it loses the war, if the Party is abolished, Man will continue i.e. History is bigger than the Communist Party.

1. Here is Brunet explaining (to himself) his previous attitude to his own free thought i.e. that it was merely a bourgeois self-indulgence which he needed to repress.

So much for ideas. He’d always had them, like everyone, they’re just mildew, leftovers from brain activity; but he never used to pay them any mind, just let them sprout like mushrooms in the basement. So let’s just put them back in their place and everything will be alright: he’ll toe the line, follow orders, and carry his ideas around inside him without saying a word, like a shameful disease. This will go no further, this can go no further: we do not think in opposition to the Party, thoughts are words, words belong to the Party, the Party defines them, the Party controls them; Truth and the Party are one and the same. (p78)

(It’s worth remembering that Sartre was writing these passages just as George Orwell’s terrifying vision of totalitarian thought control, Nineteen Eighty-Four was published [June 1949]. Orwell’s book now stands alone as a classic of dystopian fiction, like an isolated mesa in the desert; but once it was part of the vast ocean of discourse about communism, for and against, which washed over European culture all through and for long after the war.)

2. And here is Brunet, moments later, for the first time in his life considering what it would mean if the USSR did lose the war, and if the communist cause was defeated.

He blows through the roof, flying in the dark, explodes, the Party is below him, a living jelly covering the globe, I never saw it, I was inside it: he turns above this imperishable jelly: the Party can die. He’s cold, he turns: if the Party is right, then I am more alone than a madman [to oppose it]; if it’s wrong, we’re all on our own, and the world is fucked. (p.79)

It seems to me he is undergoing the classic Sartrean awakening to the fact of his abandonment, to his complete aloneness, to the shocking reality of his freedom.

Back in the plot, Brunet realises some men have been despatched from a Party meeting chaired by Chalais to go and beat up Schneider – a traitor to the Party because he criticised Stalin’s Nazi-Soviet Pact with Hitler.

Recalling all their talks and all the help he’s given him, Brunet comes to Schneider’s rescue and interrupts the pair of thugs beating Schneider. But the two men – who Brunet himself recruited to the communist cause – don’t understand why he’s protecting Schneider. Chalais has explained that Schneider is a traitor, why is Brunet defending him? Is Brunet a traitor too?

In the childlike simple-mindedness of the Communist Party, well, yes, Brunet is a traitor. Sticking up for a bad guy makes you a bad guy. Brunet smashes one of the thugs in the face and the pair of thugs slope off, at which point Brunet realises that he has burned all his bridges. Now ‘his’ men belong to Chalais and everything he and Schneider achieved is destroyed, in fact his entire life to date has been negated. He has fought all his adult life for the Communist Party. Now the Party has decreed that he is a traitor and so he is a traitor. He must get away.

Brunet makes plans for him and Schneider to escape. In the face of a blasting howling January gale, they lay planks over the barbed wire fence surrounding the POW camp and escape – only for the floodlights to come on and them to be shot at from all sides. Brunet realises they’ve been betrayed, probably by ‘the comrades’, who want them more dead than the Germans.

As they run for the woodline Schneider is hit. Brunet helps him on and they fall down a wooded slope, coming to rest against a tree which is where Schneider dies in Brunet’s arms, not at all romantically, but vomiting and blaming Brunet for his death.

Brunet stands up and walks back towards the guards. His death is only just starting.

Commentary

1. You can immediately see why Sartre ran into problems trying to finish this story. The more it plunges into the minutiae of the argument between communists loyal to the Soviet-Comintern party line, and every other non-communist brand of leftist, as it stood in the winter of 1940-41, the more obscure this story becomes. Not least because, as the notes in this edition point out, the official Party line was itself continually changing and would, of course, undergo a complete volte-face when Germany invaded the Soviet Union in June 1941.

In addition, a vast amount had happened between spring 1941 and the post-war, Cold War era of the early 1950s when Sartre was writing. The Korean War broke out in June 1950, increasing general hysteria that the Cold War might escalate into a nuclear apocalypse.

Why write about the arcane disputes of this increasingly remote period of time, when your own times are so pressing and urgent? As you read the fragment it becomes increasingly obvious why Sartre gave up struggling with The Last Chance and switched to writing political commentary on the very fraught times he found himself in in the early 1950s.

2. Looked at from this distance of time, nearly 80 years later, all the characters seem like idiots – Brunet and Schneider and Chalais, all blindly defending the Soviet Union which a) they should already have realised was one of the most repressive regimes in human history b) went on to prove it in the brutal repression of Eastern Europe in the 1950s and 60s c) collapsed in 1990 and is now remote, dusty, ancient history.

3. The entire plot exemplifies the way that the communists’ main talent appears to have been carrying out witch hunts against all other leftists, and then among themselves. This is the central theme of George Orwell’s terrifying memoir of the Spanish Civil war, Homage to Catalonia, which shows how the Communist Party systematically suppressed, arrested, tortured and executed all its opponents on the same side in the civil war – in the opinion of historian Antony Beevor, a major contributory factor to why the Republican side lost The Battle for Spain.

And the war of the Communist Party against itself is the subject of Arthur Koestler’s fictional recreation of the interrogation and show trial of an old Bolshevik in his classic novel, Darkness At Noon.

4. Looked at in its broader historical context, the entire sequence is more evidence to add to the 680-page analysis by historian Alistair Horne in his classic account, To Lose a Battle, that France’s defeat by Germany was entirely her own fault and overwhelmingly due to the ruinous divisions in her political culture. The french hated each other much more than they hated the Germans.

At one point Chalais, the hard-line Communist Deputy, actually says out loud that he prefers the Nazis to so-called ‘radicals’ i.e. to left-wingers operating outside the Communist Party (p.64) who he despises and calls ‘dogs’.

(It is important to remember that the French Communist Party called on workers to sabotage the war effort against Germany – to sabotage their own country’s war effort.)

Chalais prefers the Nazis to non-communist left-wingers. This is an amazing thing to really process and let sink in. And Chalais exactly mirrors the attitude of many right-wingers in pre-war France who declared ‘Better Hitler than the reds’.

Taken together it is a picture of a country in which nearly all sides wanted Hitler to beat them. I can see how this section was intended as an ‘analysis’ of the Communist Party line at a particular historical moment, and as a portrait of how it undermines and preys on a man (Brunet) who wants to be a loyal Party servant but finds himself torn between ideology and loyalty to the men he’s recruited.

I can see how it carries out Sartre’s mission to show his ‘heroes’ emerging from various types of ‘bad faith’ into the desolate realisation of their inescapable freedom: as, for example, Brunet realises that his ongoing presence is undermining Chalais’ Communist Party mission, that his own elimination is called for by strict Party logic – but refuses, in the end, to give up and insists on living.

But at this distance of time, the entire sequence seems like just a further example of the complete moral and political bankruptcy of mid-twentieth century French culture.

5. From a literary point of view, more interesting for me is the almost complete absence of any of the prose poetry which characterised the earlier books (and which I quote liberally in my reviews of them). The text is almost completely functional. It often reads like directions for a play: ‘X looks at Y. Y Says Z. X Gets up, leaves through the door.’  This suggests that a lot of the impressionistic poetry, the floods of feeling, the great waves of death and night and futility and emptiness which wash over the characters in the earlier books, that all this was put in later, during the revising, once the narrative scaffold was in place.

This text as we have it consists almost entirely of this very basic scaffold, bare present tense prose used to convey the dry-as-dust theological squabbles of a discredited belief-system and the toxic power struggles it led to.

Only at the end, in the final few pages, when the scales fall from Brunet’s eyes, does his mind then entertain some of the delirious hallucinations so common to the other characters in the series; and only in the escape over the wire and through the howling gale does Sartre let rip with some impressionistic prose.

I’m guessing this is deliberate. Maybe the grindingly boring, factual prose of most of the section is intended to enact the grindingly boring nature of revolutionary politics and its squalid betrayals.

Whereas the moments of high delirium which Brunet experiences in the last few pages, and then the intensely impressionistic description of the escape in the snow storm, represent the return of Freedom, the flooding into Brunet’s consciousness of the confusions, the overwhelming and bewildering sense of finally throwing off his disciplined devotion to The Party, and his arrival in the bewildering abandonment of his human Freedom.

To be free, in Sartre’s fiction, is to be overwhelmed with sensations and thoughts.

6. The whole thing is written as a tragedy but, to an Anglo-Saxon eye it has a certain grim humour. It is notable the way no Germans feature at all anywhere in the story: sure, they’re referred to a lot as the people who run the camp, but:

a) there’s no analysis of Nazi strategy, no mention of Hitler’s likely plans and intentions for Europe (which, though interesting, I can see would be extraneous to the core subject, which is the drama of Brunet’s disillusionment with the Party)
b) no individual Germans appear, even right at the end when they’re pursuing Schneider and Brunet in their escape. The Germans always remain disembodied shouts and bullets.

Again, to the sceptical outsider this is partly because – comically enough – the Germans don’t need to do anything. They know they can leave the French to carry on fighting among themselves, the right-wingers against the radicals, the communists against the Catholics. The French can be relied on to display not a shred of solidarity or patriotism.

Sartre is inside the French political world and so he takes endless internecine fighting for granted. I come from the Anglo-Saxon countries which had a bit more backbone and where patriotism really did unite the country against the potential invader: from a place where Canadians, Australians, Poles and other European exiles came together to fight the Nazis; not, as the French did, to betray each other to the Nazis.

For Sartre this squalid little squabble among communists can be represented as a kind of noble tragedy – but for the reader outside the snake pit of French culture, it’s just another example of the Communist talent for eliminating each other, and the French talent for ruinous infighting.

Vive la France! Vive la Revolution! are essentially comic declarations.


2.The Last Chance (76 pages)

All the readers of the original trilogy of novels thought that Mathieu Delarue – the most obviously autobiographical character in the series, an ineffectual philosophy teacher much like Sartre – had been blown to smithereens at the end of part one of Iron in the Soul. But no, folks, he’s back and more plagued by philosophical doubts than ever!

Nothing is explained. The other sizeable fragment of the unfinished novel – titled The Last Chance – just starts with Mathieu in a German prisoner of war hospital, from which he’s soon transferred out into the wider camp.

The section opens with him helping a young man who has lost both his legs, amputated after being hit by a shell, put on his ‘pants’ (all the way through the text are reminders that this is a translation into American prose). Apparently, Mathieu was shot through the lungs and still feels weak, but survived otherwise unscathed. Huh.

As usual, two things happen immediately with Mathieu: he is nervous around other human beings, over-sensitively noticing all aspects about them, and his reactions to them, and their reactions to his reactions to them, and so on.

And his consciousness is, as usual, susceptible to being flooded with overwhelming, uncontrollable perceptions and sensations. His perceptions flood his mind. This is the Sartre of his first novel, Nausea, and a feature of almost all the characters in the first two novels in the sequence.

He opened his eyes, and saw nothing. He was nowhere. Between two wooden frames with rectangular holes, there were a table and benches, but it was nothing, not even furniture, not even utensils, not even things; the inert underside of a few simple gestures; suspended in emptiness. The emptiness enveloped Mathieu with a glassy dissolving look, penetrating his eyes, gnawing at his flesh, all there was was a skeleton: ‘I’ll be living in emptiness.’ The skeleton took a seated position. (p.110)

This is just the latest in a long line of occasions when Sartrean characters cease to perceive the world normally, cease even perceive themselves as human, instead become perceiving objects, lose all their personality, are suffused with grand abstractions like death, night, freedom and so on.

I like them. I like this way of thinking and writing. The world, very obviously, is far far weirder than official discourse permits, and Sartre is a great poet of this weirdness, the weirdness of being a walking, sentient nervous system adrift in a sea of things.

Just as characteristically, Mathieu then hallucinates that the dour defeated inhabitants of the wider POW camp are sub-human, insects, crustaceans.

Even though they filled him with a slight repulsion, and even fear, like the crazies he had seen in Rouen in 1936, he knew perfectly well that he was not in an insane asylum: rather, he was in a breeding ground of crabs and lobsters. He was fascinated by these prehistoric crustaceans who crawled around on the tormented ground of an unknown planet, suddenly his heart sank and he thought: in a few days, I’ll be one of them. He would have these same eyes, airs and gestures, he would understand these incomprehensible creatures from inside, he would be a crab. (p.113)

Weird, huh? And reminds me of the notion I developed in reading The Reprieve that there is something distinctly science fiction-y about much of the altered states Sartre describes.

He was most certainly not in Africa, not even anywhere on a human planet. He was walking dry and crisp, between the glass panes of an aquarium. The horror was not in him yet, he could still defend himself against it: it was in things, and in the eyes of those who saw what he didn’t see. But soon, because of the water pressure and the great sea-spiders, these panes would break. (p.121)

The contrast between the histrionic, science fiction prose poetry of the Mathieu section and the spare functional prose of most of the Brunet section clinches the idea that Sartre alters his prose style to match the subject/character. I am genuinely impressed by the range of styles and rhetorical effects Sartre can pull off.

The structure of the complete novel

As to the plot, all we have is fragments. In the notes, the editor Craig Vasey, explains that the plan for the entire book appears to have been something like:

  • Novel opens with Mathieu in the infirmary. He helps the amputee put on his ‘pants’.
  • Mathieu transfers to the camp where he thinks the defeated soldiers look like undersea crabs.
  • Cut to Brunet smoothly running his circle of comrades, until Chalais arrives and turns everything upside down.
  • Back to Mathieu: through his eyes we see fragmentary descriptions of camp life and mentality.
    • Ramard: someone has stolen a fur coat from the German stores, Mathieu helps a fellow inmate hide some stolen champagne.
    • The only first-person narrative anywhere in the series, apparently from Mathieu’s diary, as he meets the disconsolate architect Longin.
    • One of the prisoners gets hold of a newspaper from a new inmate and reads it out to Mathieu’s room-mates, with Mathieu interpolating his usual philosophic ruminations.
    • The Dream of killing: Mathieu has a recurrent waking dream of killing his room-mates. A form of post-traumatic stress triggered by his shooting German soldiers back in the church tower. Interestingly, there are seven fragments on this one theme which are obviously reworkings of the same scene: Mathieu is sitting in a prison office watching his colleague, Chomat, doing paperwork and imagines killing him with a knife slipped into the nape of his neck. Over and over.
  • Cut back to Brunet. It’s 40 days after he was captured trying to escape, the snow-bound escape attempt in which Schneider died. Surprisingly, he wasn’t shot but put in the punishment block. Now, released, Brunet returns to his old barrack with trepidation only to discover that Chalais and the cohort of comrades who had it in for him have all been shipped out. Gone as if they never were. He is no longer under imminent threat of assassination. Then Brunet gets wind of an escape committee, is taken to see it and discovers…
  • That it is run by his childhood friend, Mathieu. The book seems to have been intended to climax with the encounter between Mathieu and Brunet, each assessing the road the other has travelled. They don’t particularly like each other. In fact the main tone is one of boredom and mild dislike.
  • The novel climaxes with a dramatic and philosophical encounter between Brunet and Mathieu.

The encounter between Brunet and Mathieu should have triumphantly completed the circle. They met in the first book, The Age of Reason, where the manly and convinced communist Brunet tried to persuade the ineffectual philosopher Mathieu to join him.

Now Brunet has been disowned by the communist party and discovered how tough life is on the ‘outside’, whereas Mathieu has not only ‘become free’ by shooting German soldiers from that church tower, but also – we now learn – runs the team that organises escapes from the camp. He has become the man of action while Brunet has become the man of uncertainty.

And, in a final rather melodramatic twist, it is revealed that the snitch who betrayed Brunet and Schneider’s escape attempt wasn’t Chalais the Commissar, it was the fat, thieving prole Moûlu. And in fact, while they’ve been chatting, Mathieu now reveals that his fellow escape committee members have just tried and executed Moûlu by strangling him. Brunet is more angry than shocked.

But the reader is shocked.

Mathieu says Brunet will be suspected by the Germans when Moûlu’s body is found, so they’ll arrange for his escape early the next morning. And it’s here that this long, fragmented section ends.


American translation

The translation is by an American, Craig Vasey, Professor of Philosophy at the Mary Washington University, Virginia.

This is a shame because Sartre’s demotic French is translated into demotic American, which jars with the English reader. ‘Mad’ means angry’; ‘pants’ mean ‘trousers’; the Germans become ‘the Krauts’, so that it feels like we’re in a U.S. war movie.

Worst of all, all the men or blokes are referred to as ‘the guys’. Innocuous though this trivial verbal choice may sound, it has major ramifications because the word appears numerous times on every page. For me it dominated the entire reading experience and its continual repetition had the effect of making it seem like we’re in a movie about the mafia.

  • Twenty guys are washing quickly under a shelter.
  • The guys are putting on their coats; they are heading off for work.
  • Brunet looks at his guys with satisfaction.
  • ‘This guy’s name is Schneider.’
  • ‘Our guys in Algiers have the proof.’
  • ‘My guys can’t stand him.’
  • ‘He’s not that kind of guy.’
  • ‘Don’t say anything to the guys.’
  • ‘I’m going to send you up one of my guys.’
  • ‘These Dutch guys don’t speak a word of French.’
  • ‘Hey,’ say the guys, ‘it’s Brunet.’
  • ‘What do you guys want?’
  • All the guys are there, all the guys looking at him…
  • ‘Don’t think about it too much guys…’
  • ‘You guys are assholes…’

Credit

The French edition of The Last Chance by Jean-Paul Sartre was published by Editions Gallimard in 1981. This English translation by Craig Vasey was published by Continuum International Publishing in 2009. All references are to the CIP paperback edition.

Related links

Reviews of other books by Jean-Paul Sartre

Reviews of related books

Abstract Expressionism edited by David Anfam (2016)

This is the catalogue or book of the 2016 Royal Academy exhibition of Abstract Expressionism – ‘arguably the most significant movement of the twentieth century’ (Christopher Le Brun) – the first large retrospective in this country since 1959.

It’s a massive hardback book, 320 pages long, and containing:

  • four long essays – by exhibition curator David Anfam, Susan Davidson, Jeremy Lewison, Carter Ratcliff
  • a twenty-page chronology of the movement
  • followed by 200 pages of illustrations of paintings and sculptures, then a further section of watercolours and sketches, and then key photographs from the era

Several thoughts arise from a slow careful perusal of this enormous tome.

Earlier than realised

Although I associate it with the 1950s, and the style did indeed dominate that decade, the creation, labelling, and publicising of Abstract Expressionism all happened in the 1940s. It was as early as 1946 that the art critic Robert Coates, writing in The New Yorker, first used the term ‘Abstract Expressionism’, perceptively describing how the new school took the anti-figurative aesthetic of modernist French and Dutch artists but combined it with the emotional intensity of the German Expressionists.

It was even earlier, in 1943, that Jackson Pollock was talent spotted by the rich heiress Peggy Guggenheim, signed up to her gallery and given his first one-man exhibition, invited to paint a mural in the entrance to her New York apartment (Mural – ‘the first outstanding large-scale painterly abstraction ever created in America’, p.33). This was seen by umpteen influential visitors including the critic Clement Greenberg who promptly wrote an article declaring Pollock ‘the greatest painter this country had produced.’ To step back a bit, this was all happening in the same year as the Battle of Stalingrad i.e. the first decisive defeat of Nazi Germany, and the Allied invasion of Italy. The Second World War hadn’t even finished yet. Nobody knew about the Holocaust.

It was still only in the 1940s that Abstract Expressionism was reaching a mass audience – August 8, 1949 to be precise – when Pollock was given a four-page spread in Life magazine that asked, ‘Is he the greatest living painter in the United States?’ and which projected him to nationwide superstar-artist fame. The next year he dropped his trademark ‘drip’ technique, which in fact only lasted the short period from 1947 to 1950, in order to explore new styles. Neither the critics nor buyers were interested. They wanted more drips. ‘Play us the old songs, Jackson.’ Given the pressures and the spotlight, it’s surprising that he soldiered on till 1956 before dying in a drunken car crash which might have been suicide.

This all lends support to the revisionist view of Stephen Polcari, that the Abstract Expressionists were not responding to the crises of the Cold War – though that is how they were marketed and perceived at the time – but in fact had their roots in the social, economic, and political crises of the 1930s, when they were all impressionable young men. If they shared a tragic sense it was shaped by the Great Depression, the rise of Fascism, the war in Spain and then the descent into darkness of the entire continent whence ‘civilisation’ supposedly originated.

It was well before the Cold War and the A-Bomb, way back in 1943 that Rothko and Gottlieb wrote a letter published in the New York Times which expressed the kind of doom-laden intensity which all the AEs seem to have shared, asserting that:

the subject matter is crucial and only that subject matter is valid which is tragic and timeless. (quoted p.21)

Is Abstract Expressionism a good label?

As usual with many art ‘movements’, many of the key players weren’t particularly happy with the label imposed on them – Abstract Expressionism – and others went the rounds, like ‘the New York school’ or ‘Tenth Street painters’. But AE stuck. They never produced a manifesto or exhibited together, and there’s no one photo with the main players together. But people – curators, collectors, galleries, journalists, and us – the poor uninformed public – we all need labels to hang on to, especially in the middle of the century when art movements came and went with such dizzying rapidity.

And the artists certainly all knew each other, lived in the same area of Downtown Manhattan, hung around in the same taverns and bars, and were subject to the same washes of influence as America experienced the Depression, the great influx of refugee artists from the Nazis, reacted (in different ways) against the naive nationalist art of the 1930s, against Regionalism and Social realism, but engaged in highly individual struggles to find a new idiom, new ways of seeing and doing art.

The paintings

This brings us to the actual art and the obvious conclusion that the mature styles of the four or five main players were very different and extremely distinctive. There were a lot of second string artists floating around, who produced good work or influenced the Big Boys in one way or another – and the generous selection in the RA exhibition and this book goes out of its way to include works by Adolph Gottlieb, Richard Pousette-Dart, William Baziotes, Joan Mitchell, Conrad Marca-Relli, Jack Tworkov, Milton Resnick, some 20 artists in all.

But leafing through the beautiful reproductions, again and again the works of five key names stood out for me, emerging as titans above the crowd. (In essay four, the gallery owner Betty Parsons who played a key role in promoting AE, is quoted describing Pollock, Rothko, Still and Newman as ‘the Four Horsemen’.)

A word about aesthetics

It’s challenging and entertaining to try and put into words what it is that makes some paintings canonical and some redundant or not-quite-there. The latter phrase gives a clue to my approach. I find that, for most art or museum objects I see, some give the sense of being finished and completely themselves. Thus among my favourite works of art anywhere are the Benin bronzes at the British Museum. They seem to me to have set out to do something and to do it perfectly and completely. They are completely themselves, impossible to alter or improve. Similarly, the famous helmet from Sutton Hoo completely (ominously, threateningly) says what it sets out to, bespeaks an entire world and civilisation.

So if I have any aesthetic theory it is not the application of any external guidelines of beauty, requiring a work of art to conform to this, that or the other rule. It is something to do with a work coming entirely into its own, its own space and design. Having suggested a certain form or subject or shape, then delivering on that idea, completely. Fulfilling its premises.

Jackson Pollock (1912 – 1956)

Pollock’s best drip paintings dominate the era and all his contemporaries as clearly as Andy Warhol dominated Pop Art. Possibly others were better artists, showed more consistent artistic development and certainly others have their fans and devotees – but nobody can deny Pollock and Warhol’s works are immediately recognisable not just as art, but as icons of a particular period and place.

And, in my opinion, they fulfil my theory of completeneness – that an artist has a moment when they crystallise a signature style by fully developing the tendencies implicit in their approach (as discerned in their earlier developing works).

Thus it is very obvious that there is a long run-up of pre-drip Pollock (Male and Female 1942, Eyes in the heat 1946) as he groped his way in the dark from works whose size and shape was influence by his mentor, Thomas Hart Benton the mural-maker, but whose content is often dominated by Guernica-period Picasso — and there is a hangover of post-drip Pollock (when he experimented for a while with just black – Number 7, 1952). Both of them are interesting, but so-so.

But then there is drip PollockBlue Poles (1952) is a masterpiece, a completely immersive experience, as completely itself as the huge lily ponds of Monet. Immersive because it is vast and its size is an important factor. After splatting the surface with a preliminary network of black, white, yellow and red loops, Pollock used the edge of a plank dunked in blue paint to create the eight poles. Like Matisse’s dancing cutouts, this is an example of perfect taste, perfectly ‘getting’ the possibility of a visual rhythm. It isn’t classical or symmetrical or figurative of anything – it is a pure design which, for some reason to do with perceptual psychology, just works. Close up you can appreciate the extraordinary lacework of other colours dripped across the canvas, trademark yellow, red and whites, to create a dense tapestry weave of texture and colour. It is entirely itself. It is a summation of everything implicit in the drip approach to painting. And it is this sense of completing all the potential of the method which gives it its thrilling excitement, which makes it a masterpiece, and also a ‘classic’ of this style.

Along with works like Summertime (1948) and Number 4 (1949) these seem complete expressions of what they’re meant to be, of a certain Gestalt. Once you’ve thought of dripping raw paint across the canvas, then it turns out that certain levels of complete coverage and a certain level of complexity of the interlinking lines is somehow optimum, others less so. Too much and it is just mess; too little and it looks empty. At his peak Pollock produced a string of works which experiment with colours, shape of canvas and so on, but which all display an innate feel for just how to do this kind of painting.

Mark Rothko (1903 – 1970)

Rothko, also, is up there in the recognisability stakes in the sense that his final, achieved style is instantly distinctive. He too struggled to find his way from a sort of blocky blurry realism (Interior, 1936) on a journey via a completely different look in a work like Gethsemane (1944), which looks like washed-out surrealism, before coming to the brink of his mature style with experiments in big blotches of soft-edged colour (No.18 1948, Violet, Black, orange, Yellow on White and Red, 1949).

But then – bang! – he hits it, he finds his voice, he claims his brand, he crystallises his vision, he stumbles upon the formula of big rectangular blocks of shimmering colours which will last the rest of his life, what Anfam calls his ‘chromatic mirages’ (p.21).

Rothko left the murals he’d prepared for the restaurant in the new Seagram building to London’s Tate Gallery. There’s a darkened room containing all of them in Tate Modern and you can sit staring into them for hours. Critics saw in them the same kind of existentialist anxiety (all those massive blocks terrifying threatening the viewer, all the anxiety of those unknown fraying edges) that they saw in Pollock — but these days they are more like aids to calm reflection and meditation, and the audioguide plays very quiet meditative music by American experimental composer Morton Feldman. From Cold War angst to post-modern pleasure.

But however you read them, there’s no denying that Rothko stumbled upon (worked his way through to) an entirely new way of conceiving of coloured paint on canvas, a discovery and a formula – and then spent twenty years working through hundreds of variations, exploring and stumbling across further discoveries. Big, bright, abstract, moody. And a world away from Pollock’s splats. the casual viewer could be forgiven for asking how the two could ever be bracketed together, where the one is very much about the dynamic power of vibrantly interlacing lines and the other is very much about the calming meditative effect of enormous blocks of shimmering colour.

Clyfford Still (1904 – 1980)

The much-told story about Still is that he was prickly and difficult, went his own way, argued with all the other AEs, in the early 1950s terminated his contract with a commercial gallery and ended up neither exhibiting nor selling any of his pieces, but working away steadily in provincial obscurity in Maryland. He died in possession of 95% of everything he’d ever painted and made a will leaving his life’s work to whichever organisation could create a museum dedicated to housing and showing it. After numerous negotiations this turned out to be the City of Denver and it was only in 2011 that there finally opened a museum dedicated to Still, and that this vast reservoir of work was made available to critics and the public. In the short time since then his reputation has undergone a major revaluation and the room devoted to his work at the Royal Academy exhibition was, arguably, even more impactful then the displays of Pollock and Rothko. Still was a revelation.

Like the others, Still took a long journey, and his early work is represented by another semi-figurative work from the 30s, PH-726 (1936). But by 1944 he has stumbled upon his formula – sharp rips or tears against solid fields of colour, PH-235 (1944), all done in a really thick impasto or thick layer of paint which adds to the sense of presence and impact.

What are they? Wikipedia says his mature works ‘recall natural forms and natural phenomena at their most intense and mysterious; ancient stalagmites, caverns, foliage, seen both in darkness and in light lend poetic richness and depth to his work.’ Because the commentary goes heavy on his upbringing in the mid-West and of the associations of Denver, Colorado, I saw in several of them the pattern of cattle hides, the tans and blacks and beiges which you see in some Indian art, teepees, shields. Just a fancy.

Barnett Newman (1905 – 1970)

Newman had his first one-man show in 1948, the year he broke through to his mature style with the Onement series. Again, his was a long journey out of 1930s figurativism, until he made a discovery / stumbled across an idea / achieved a mature style (delete as applicable), creating what Anfam calls his ‘transcendent spatial continuums’ (p.21). Once he’d found it, repeated it through countless iterations.

A classic Barnett Newman has a vertical line – or ‘zip’ as he himself called them – dividing a field of colour – initially drab colour but becoming brighter and brighter as the 1950s progressed. The zip defines the picture plane, separates the composition yet binds it together, sunders it yet gives it a weird tremulous unity.

Why does it work? I’d give good money to read an analysis by a psychologist or expert in the psychology of perception, of shapes and colours, who could explain the effect they have on the mind of the viewer.

According to this book, among the big-name AEs, Newman was rather overlooked in favour of the brasher bolder works of his peers. Also, Pollock and Still, to name two, used highly expressive brushwork and thick or spattered layers of paint. Standing close you can see the thick clots of oil on the surface. Newman’s paintwork is flat and restrained. In fact his colourfulness and geometric designs link him more to the school of ‘post-painterly abstraction’ which emerged in the 1960s and are almost connected to the cool understatement of minimalism.

Franz Kline (1910 – 1962)

Kline’s breakthrough moment is much mythologised. Working as a commercial illustrator in New York while struggling to work his way towards some kind of abstract language, Kline was visited by Willem de Kooning who suggested he use a projector to blow up & project his complicated paintings onto the wall and then select small details to reproduce as full scale canvases. Taking this insight, Kline quickly worked out a style of broad black brushstrokes on white, which continually seem to gesture towards something yet are abstract. Are they fragments of larger designs and shapes? Or references to Japanese calligraphy (which Kline always denied)? Or dramatic actions in themselves?

Like all the other AEs, Kline’s work is big, really really BIG. Whatever the differences in style and approach, the AEs had this one thing in common – their work is huge and immersive. (A sign at Barnett Newman’s second exhibition at the Betty Parson’s Gallery in May 1951 actually requested visitors to stand close up to the picture; visitors had been requested to do the same at the Pollock exhibition which immediately preceded it – p.93.)

Kline is further evidence for my theory that artists often reach a recognisable defining style and produce a number of works which somehow express the quintessence of their voice or vision, only after a journey upwards and, alas, sometimes a later decline or wandering away… Having perfected the black and white calligraphy style – so instantly recognisable – by the time he was just 40, after a while at the top of his game, Kline had nowhere to go except back into colour, and these later colour works, although fine in their own way, represent a really noticeable falling away of the energy which the stark black-and-white contrasts produced. For some reason this style looks terribly dated, very late 50s early 60s, whereas the black and white calligraphic works look timeless to me.

Willem de Kooning (1904 – 1997)

De Kooning is the one big AE I couldn’t get on with at all, and the more I saw the more I disliked his stuff. Partly because I think he never did develop a defined style. To me, all of his stuff looks like messy sketches on the way towards something better, they all look like the dispensable journey works on the way to… nowhere. The same horrible messy scrawl effect is his one signature effect.

All the other AEs strike me as having a purpose, a direction. Pollock’s works are far more artful than they appear, Rothko’s are careful experiments, Newman achieved a kind of classic restraint and Still’s jagged compositions are unerringly ‘right’, conveying something much bigger than the images seem to warrant.

Only de Kooning’s works, out of the whole show and this long book, consistently look to me like a slapdash mess, a dog’s dinner, victims of what Anfam calls his ‘lacerating sweeps’ (p.21). And the series of depictions of women  – his ‘wrenching engagements with the female sex’ (Anfam, p.22) – which are often singled out by the critics for praise, to me could hardly be uglier and more repellent if they tried.

Adolph Gottlieb (1903 – 1974)

Apparently Gottlieb is perceived as a second string AE, his career weaving through a series of styles, including surrealism in the 1930s, a spell in the Arizona desert simplifying images to a primal essence, and the development of ‘pictographs’ representing psychologically charged shapes and patterns. It was as late as 1956 that he developed the ‘burst’ style, dividing the canvas into two halves, with a round sun-like object above and a busy earth-like mass below – creating a dialectic between calm and busy, with the use of bright colours to interfere and resonate.

Hundreds of bursts resulted and I can see why critics looking for world-shattering angst and grand existentialist statements might deprecate them, but I like him for devising a new ‘look’ and then producing fascinating variations on it.

Neglected women

One of the most pressing concerns of our times, in the arts and elsewhere, is restoring the reputations, the overlooked achievements and untold stories, of neglected woman. Four women artists worked in and around Abstract Expressionism and are included here:

Janet Sobel (1894 – 1968) began painting at the mature age of 43 when her son left home leaving behind his copious art materials. She progressed from figurative paintings featuring dreamy rather Chagall-like faces enmeshed in zoomorphic patterns, through to pure abstraction and eventually the technique of dripping paint. Some scholars claim it was Sobel who arrived at the drip technique before Jackson. That’s one for the scholars. All her works have a lightness. Maybe it was the light decorative effect as opposed to the Big Boys’ existentialist histrionics more than the fact she was a woman which wrote her out of the story for so long.

Lee Krasner (1908 – 1984) Krasner evolved through a series of styles. During the heyday of the AEs she tended to be overlooked by virtue of the fact that she was married to the top dog, Jackson Pollock. But the works included here show she had a related but distinct vision of her own.

Just living with Jackson sounds like a demanding job, but creating alongside him, in a related but clearly distinctive style, is little less than heroic. The next two are to one side for the simple reason that they were of a younger generation

Joan Mitchell (1925 – 1992) You can see the importance of the gesture but, a little like de Kooning, I don’t see it going anywhere.

They’re big, one of the simplest criteria for being an abstract expressionist. But arriving at Salut Tom at the end of the exhibition felt like we’d moved a long way from late-40s existentialism into a brighter more decorative world. Same style, different world.

Helen Frankenthaler (1928 – 2011) She painted onto unprimed canvas so that the paint soaked into it, thus creating a very flat surface.

Peggy and Betty

The fourth essay in the book is in many ways the most interesting, telling the complementary stories of two hugely important gallery owners who promoted the work of the Abstract Expressionists from the first – the Jewish millionairess Peggy Guggenheim and the scion of a wealthy WASP family, Betty Parsons. Peggy lived in Paris between the wars, becoming fantastically well-connected among the city’s avant-garde, arranging exhibitions and starting her own staggering collection, before fleeing ahead of the Nazi invasion in 1940, back to New York, where in 1942 she set up The Art of This Century Gallery.

Like Peggy, only without the millions, Betty went to live in Paris, where she herself pursued a career as an artist, taking lessons, before losing her money in the Wall Street Crash and being forced back to the States, to teach, and then to work in commercial galleries. She learned the trade, becoming popular among artists for her good taste and business sense (i.e. selling their pictures and making them money). In 1945 she set up the Betty Parsons Gallery which ran till her death in 1982. When Guggenheim returned to Paris after the war, Parsons took on many of ‘her’ artists, and the article turns into an impressive roster of the exhibitions she put on for one after another of all the key artists of the time, working hard to promote them and get them sales.

The essay is a fascinating insight not only into the achievements of these two vital women, but into the art world in general. It’s shocking to learn how little the artists sold at these shows – they’d display a dozen or 16 new works, for between $250 and $1,400 – and quite frequently none would sell at all. Or only small watercolours would sell to what turn out to be friends of the artist or the gallery owner herself. Works which now fetch tens of millions of dollars at auction.

In a fascinating detail, the book mentions several times that one problem was the paintings’ sheer scale: it was one thing to create a fourteen foot square canvas in the space of a half derelict loft-cum-studio, quite another thing to expect even quite rich people in New York to find enough wall space to hang it, back in the cluttered 1940s and 1950s. It was only well into the 1960s and more so in the 1970s that ideas of interior design changed significantly, that clutter was thrown out and rooms knocked together to create large airy spaces, often painted white, in which the vast canvases of the Abstract Expressionists suddenly made sense.

But by this point the AEs were up against the equally large creations of Post-painterly Abstraction, Pop Art, Op Art, Minimalism and so on and New York was established as the centre of a fast-moving, big money art culture.


Related links

Reviews of other American art exhibitions and books

America after the Fall: Painting in the 1930s edited by Judith Barter (2017)

This is the book accompanying the exhibition at the Royal Academy of 45 or so oil paintings from the 1930s designed to give you an overview of the many different, competing and clashing visions of American art during that troubled decade, what the foreword, rather surprisingly describes as ‘aesthetically, perhaps the most fertile decade of the twentieth century.’

It significantly expands your knowledge and understanding of the period by including illustrations of many more paintings than are in the show, along with comparison art works from contemporary and Old Master Europe, as well as photos, sketches, architects plans and related visual information.

The book is structured around five long essays by experts in the period, each of which is fascinating and informative in equal measure (the writers being Judith A. Barter, Sarah Kelly Oehler, Annelise K. Madsen, Sarah L. Burns and Teresa A. Carbone). I picked it up for £15, a snip considering the high quality of the reproductions and the intelligence of the commentary and analysis.

Regionalism versus modernism

The squabble between the Regionalists and the New York-based modernists is only mentioned for a minute or so on the exhibition audioguide, but spills across several of the essays here. This allows you to understand its history, main participants, the arguments on either side, to weigh their merits, as well as considering the whole thing’s relevance to the present day.

Regionalism championed the depiction of realistic scenes of rural and small-town America primarily in the Midwest and Deep South. It was popular and populist. It defined itself against the modernism imported from Europe by New York-based artists, despite the fact that the trio of artists who became most associated with Regionalism – Grant Wood, Thomas Hart Benton and John Steuart Curry – had all made at least one study visit to Europe and were well aware of developments there.

Regionalism is itself subsumed under a broader term – the American Scene – which also covers ‘Social realism’ paintings, also realistic and figurative in nature, but more committed to the world of urban work than the predominantly rural Regionalist ethos. If it’s about small town life it’s American regionalism; if it’s a realistic work about the city, about industrial workers, and especially if it emphasises class consciousness, then it’s American Social Realism.

The most famous example of Regionalism is Grant Wood’s American Gothic, which depicts in a minutely detailed style reminiscent of early Flemish painters, a romantically unromantic vision of the gaunt, upright honest Mid-Western farmer. In the same spirit, though softer edged, is his Daughters of the Revolution (1932), its unflatteringness easy to confuse with a type of realism. Others of his rural pictures shown here are more gently bucolic:

The most fervent regionalist was Thomas Hart Benton. In the exhibition he’s represented by paintings of rural, especially Southern, life depicted with a distinctive wriggly serpentine style.

  • Cradling wheat by Thomas Hart Benton (1938) Note the wriggly lines in the clouds, the clothes, the distant hill.

But the book adds hugely to our understanding by expanding on his activities as a muralist, works which, by definition, can’t be shown in travelling art exhibitions. The New Deal administration, via its huge Public Works of Art Project, helped fund and commission a vast range of public art for public spaces – city halls, post offices, railway stations – across America. Over 4,000 murals in public buildings were commissioned from a huge range of artists in 1934 and 1935. Benton was a leader in the field, producing works like America Today for New York’s New School for Social Research, The Social History of the State of Missouri and The Cultural & Industrial Progress of Indiana for the 1933 Chicago World’s Fair. In these he combines his sinewy, sinuous way with the human body with a kind of muscular social realist style to portray a fascinating cross-section of American activity and enterprise.

Benton not only painted, he engaged in a fierce polemic with a leader of the New York modernists, Stuart Davis, decrying modernism as effeminate, chaotic, elitist and un-American. You can see why his Mid-Western sponsors and many left-wing-minded artists and writers (some influenced by the new dogma of Socialist Realism emanating from the Soviet Union) would support his easily accessible, heroic depictions of the working man and woman, as the real America.

But of course they were up against New York, with its sheer size (with a population of 7 million, by far the largest US city) and its entrenched, articulate and well-publicised intellectual and artistic sets, such as the circle around critic and photographer, Alfred Stieglitz (which included the artists Charles Demuth, Arthur Dove, Marsden Hartley, John Marin and Georgia O’Keeffe) or George L.K. Morris and the American Abstract Artists group.

It was the modernist painter Stuart Davis who ended up defending cosmopolitan modernism against Benton’s Regionalism, in a series of lectures, pamphlets, articles and a few bad-tempered personal encounters – attacking Regionalism as populist, demagogic, conservative even reactionary in form, naive, simple-minded and so on. He was even involved in a petition drawn up by New York art students to have one of Benton’s murals destroyed, because of its alleged stereotyping of African Americans. They hated each other.

Above all, the New York modernists thought Regionalism was holding America back, restraining and imprisoning American art and thought in a utopian fantasy of the past. It was provincial in the worst sense of the word, because it limited American culture to fantasies of a fast-disappearing rural reality while the entire world was urbanising and the great capitals – Paris, London, Rome, Berlin – were developing dazzling new techniques, styles and methods which it would be fatal to ignore.

Why go backwards when the rest of the world was hurtling into the new, they argued. America, above all other countries, should throw off the past and embrace the future.

There are several ways to think about this:

1. On purely personal terms, which do you enjoy most – now? To be honest, I like Grant Wood’s cartoony works and am impressed by Benton’s murals, idealised and muscular representatives of the spirit of the age. Whereas I like the overall impact of Davis’s work – extraordinarily bright and jazzy – but don’t respond to any individual work of his as strongly.

2. In terms of the debate, who do you think was right, at the time? Again, I’m inclined to think the American Scene artists depicted the country and its cultural and political moment better than Davis and the other wannabe modernists. They were right for their time. The Public Works of Art Project wanted art for the broadest mass of the public, which would reflect their local area, their local history, which would provide a unifying focus for thousands of communities across the States. Over 4,000 murals in public buildings were commissioned from a huge range of artists in 1934 and 1935. It seems unlikely that a thousand variations on Davis’s watered-down Paris abstractions could have done that.

3. Who won? With the benefit of hindsight we know that Regionalism had nowhere to go: as America became more fully industrialised during the Second World War, it became more urbanised and rural life became more and more remote from most Americans. The Regionalist artists proved incapable of developing their style: even at the time it was acknowledged to be a romanticised, idealised vision which was actually far removed from the brutal reality of the Dustbowl droughts which were afflicting the southern states. (Captured in one bleak and almost science fiction painting here, Our American Farms (1936) by Joe Jones.) Regionalism proved to be in every way a dead end.

4. Also, in the new atmosphere of the Cold War, the Social Realism of much American Scene art came to look suspiciously like the same kind of thing being churned out by the Soviet Union and her satellites. When the House Un-American Activities Committee got round to investigating artists in the 1950s, it was the Social Realists they accused of being dangerous subversives: in total some 350 artists were accused by the committee of being communists or harbouring unhealthy left-wing tendencies. In the event, the Abstract Expressionism of Jackson Pollock et al was to take the art world by storm at the end of the 1940s and, with government help, transform American aesthetics. Regionalism became an isolated backwater in the history of art.

5. However, studying the debate in some detail throws up surprising insights into our present situation, where a demagogic president has been elected on a platform of appealing to ordinary folk, especially the working class disenfranchised by globalisation, and railing against Big City corruption and cosmopolitanism. There is unemployment – 4.7% (though nothing approaching Depression-era figures, which at their worst had 30% of the workforce without jobs). There’s disillusion with the conventional parties and a rise in racism and xenophobia. Powerful reminders that so many of a country’s political or social issues never really go away but are reborn in each generation in new disguises.

The above is a partial summary of the first of the five essays in the volume. The other four:

  • Transatlantic Expressions
  • 1930s Modernism and the use of history
  • Painting the American wasteland
  • Bodies for the 1930s

are just as in-depth and illuminating, adding to our understanding of a host of other artists of the time.

These include lesser known figures like Marsden Hartley, Arthur Dover, Charles Green Shaw, Millard Sheets, Doris Lee, Helen Lundeberg, Walt Kuhn, Ivan Albright, Peter Blume, Alice Neel, Paul Cadmus, Archibald Motley, Philip Evergood, Reginald Marsh, Paul Sample – as well as, for me, the standout artist of the era – the great Georgia O’Keeffe, with her triumphant marriage of the distinctive New Mexico landscape with an unsettling modernist sensibility.

Cow's Skull with Calico Roses (1931) by Georgia O'Keeffe. Photo Alfred Stieglitz Collection. The Art Institute of Chicago / (c) Georgia O'Keeffe Museum / DACS 2016

Cow’s Skull with Calico Roses (1931) by Georgia O’Keeffe. Photo Alfred Stieglitz Collection. The Art Institute of Chicago / (c) Georgia O’Keeffe Museum / DACS 2016

New names

Presumably familiar to any student of American art, the following were artists who I first learned about at the exhibition and who then especially benefited from the longer treatment and further illustrations provided in this book:

Charles Sheeler

Represented in the show by his wonderful linear depiction of the River Rouge Ford Motor factory – American landscape (1930) – Sheeler is explored in further detail in the book. Not only did he produce these wonderful linear, monumental evocations of pure architecture, but also took many modernist photographs of industrial buildings, interiors and machines. Just my kind of thing.

But Sheeler is also one of the beneficiaries of the well-known phenomenon that some art works which are easy to overlook in the flesh, look much better in reproduction, in book form. Thus the exhibition – divided into 8 or 9 themes – has one devoted to interiors, generally depicting old-fashioned styles and furnishings, and it would be easy to overlook Sheeler’s item in the set, Home Sweet Home. But the book reproduces it in big and lovely colour detail and highlights the continuity between the fascination with geometry and lines evinced in his well-known industrial photos and paintings, and his more recherche interest in traditional fabrics, Shaker furniture and so on, which combine in this quiet but mesmeric interior.

Aaron Douglas

Represented by one work in the show, the impressive mural Aspiration, in the show, the book gives a lot more about his life and work – and searching the internet reveals a brilliantly dazzling talent. Douglas uses a kind of Art Deco silhouette-based style, flooded by geometric washes of pastel colours, to depict an amazingly bold, explicit overview of the African American story, from Africans in Africa dancing and celebrating, their capture into slavery, transport across the seas, to African Americans throwing off their shackles and then Ayn Rand-style monuments of them contributing to the building of the modern (1930s) city with its outline of soaring skyscrapers.

Conclusion

This is a genuinely interesting book, not just about American art but about a pivotal moment in American history. By the end you are ready to believe the claim made at the start (several times) that the 1930s was ‘the most artistically creative and important period of the twentieth century’ (p.24).


Related links

Reviews of other American art exhibitions

Reviews of books about America

Reviews of other Royal Academy exhibitions

Afgantsy: The Russians in Afghanistan, 1979-89 by Rodric Braithwaite (2011)

Sir Rodric Quentin Braithwaite, GCMG, Bedales School and Christ’s College, Cambridge, was born in 1932, so he’s 86 now and was 79 when this book was published. From 1988 to 1992 he was ambassador in Moscow, first of all to the Soviet Union and then to the Russian Federation. Subsequently, he became chairman of the UK Joint Intelligence Committee from 1992 to 1993.

Braithwaite was in Moscow during most of the Soviet War in Afghanistan (1979-89), knew many of the people involved on the Russian side, and saw at first hand the impact it had on Soviet society and politics. He also knows his way around the Russian archives, which allows him to carefully weigh the evidence of precisely who said what, when, and why, at key moments of the story.

Afghanistan is not really a country

Afghan is more a territory carved out by competing empires and squabbled over by a kaleidoscope of violently opposing interests. This has resulted in an almost unceasing sequence of coups, revolutions, civil wars and local uprisings.

The people of Afghanistan are divided by race into Pashtuns [40% of the population], Tajiks [27%], Uzbeks [9%], Hazaras [9%] and other lesser ethnic groupings. Each of these is subdivided into clans defined often by accidents of geography, as so often in mountainous regions. And each clan is further divided into often mutually hostile families. All are ruled by an ethic of fierce pride, martial valour, honour, and hospitality, mediated by the institution of the blood feud. At all levels, from the local to the central, politics and loyalties are defined by conflicts and deals between these same groups, and even between individual families. There is thus little sense of a national entity on which to build a functioning unitary state. (p.12)

Probably the most important paragraph in the book.

Fighting, feuding violence is the Afghan way of life

It is entirely typical that the communist party of Afghanistan – the People’s Democratic Party of Afghanistan (PDPA) – which arose out of the new university set up with the help of the Soviets in the 1960s, immediately split into two violently opposed factions – Parcham (Banner) with its main support in the cities, and Khalq (People) with its main support from the peasants in the countryside.

This was the trigger to the invasion since it wasn’t the communist coup in 1978 which got the Russians involved, it was the inability of the Afghan communist party’s two leading figures, Nur Muhammad Taraki and Hafizullah Amin, to get along together, which gave the murderous communist regime its fatal instability.

The Russians are drawn in against their will

The Russians had a long-established relationship with Afghanistan, stretching back to the 1920s, well before the end of the British Empire and the independence of neighbouring Pakistan (with which Afghanistan has had a very troubled relationship).

Trade deals and support were offered throughout the century and up into the 1970s. The Soviets helped support the small and fractious communist party, continually trying to get the two factions to stop their feuding.

When the Afghan communists seized power in spring 1978 the Russians were obviously gratified, but worried by the violence of the coup itself and then by the tremendous bloodshed the PDPA unleashed on their backward country. (After executing his rival in September 1979, Amin published a list of 12,000 people the regime had liquidated since coming to power 18 months previously. Up to the time of the Soviet invasion, the communists executed an estimated 27,000 in Kabul prison alone (p.76), maybe 50,000 in the country as a whole. All in order to build the socialist utopia. It was a holocaust.)

The first chapter lays out in detail the opinions of Head of the KGB Yuri Andropov, General Secretary Leonid Brezhnev, Foreign Secretary Andrei Gromyko, Defence Minister Dmitri Ustinov, as well as other senior Soviet politicians and the military, that intervention in Afghanistan would likely be a disaster.

Instead, the Soviet leadership encouraged the Taraki regime to ‘broaden its support base’ to include industrial workers and the urban bourgeoisie. Braithwaite shows how out of touch the Moscow Politburo was – since Afghanistan had no industrial workers and only a tiny urban, middle class.

Both Russian and Afghan communists completely underestimated the scale and depth of the opposition they faced from the overwhelmingly rural peasant population who cleaved to a deeply conservative, primitive Islamic faith and time-honoured cultural practices. Braithwaite opens the book with the general uprising against the communist regime in March in the city of Herat. It appears to have been a spontaneous outbreak of revolt at the harshness of communist rule but also at the imposition on the tribal culture of the blasphemous practices of infidel atheists. In one incident, peasants in an outlying village, infuriated by the diktat to force their daughters to school, rose up, killed the Communists, killed all the girls, and marched on Herat, there to join other insurrectionaries.

The war begins

Despite all these analyses of the risk, the uprising in Herat in spring 1979 forced the Russians to get more involved, not least because the Kabul regime was begging them for help through the Kabul embassy. Reluctantly Moscow found itself sending advisers, arms and other support to put down the rebellion.

In the first third of the book Braithwaite details the fateful sequence of events, mainly driven by the poisonous rivalry between communist bosses Nur Muhammad Taraki and Hafizullah Amin, by which the Russians stepped into the quagmire. On several visits to Moscow President Taraki was guaranteed his personal safety, so that when Amin’s men kidnapped and murdered him in September 1979, Moscow leaders took it personally. Amin declared himself president and immediately instituted a rule then even more bloodthirsty than Taraki’s, with the immediate arrest, torture and execution of the former leader’s supporters and dependents, and stepping up the persecution of recalcitrants around the country.

In addition to fearing chaos on their southern border, the Russian leadership heard rumours that Amin would take Afghanistan over into the American camp – or might even have been a CIA agent! The broader background to all this was that the policy of détente with the USA – which had characterised the early 1970s – as fading, as the Americans developed and deployed a new generation of missiles, Congress refused to ratify a previous weapon reduction treaty, and the general atmosphere became more confrontational.

All these arguments began to crystallise into the decision to intervene quickly in Afghanistan to topple the unreliable and maverick Amin and replace him with a reliable Soviet stooge to secure the Soviet Union’s southern border.

It took until December for Moscow to have enough troops on the ground in Afghanistan (where there were already plenty of military advisors). They then undertook the operation to take Kabul, laying siege to all the key ministries, storming the Presidential Palace and – inevitably – killing Amin. Braithwaite describes these events in detail, with precise maps of the city centre and opposing forces.

The Soviet-Afghan War

Maybe the biggest surprise of the book is how featureless the war was. The Russians installed their own man as president, Babrak Karmal and then deployed troops to all the major cities. Immediately they faced resistance which never went away and slowly ramped up in terms of organisation and violence. The mujahideen were never a unified force – the opposite, they were highly fragmented into as many as fifty different bands of various sizes. Only slowly did they coalesce into seven distinct ‘armies’ or groups, but still very much divided along geographic, ethnic, religious and tribal lines.

The war aims of both parties were simple: The mujahideen needed to cut off the Soviet supply lines from Soviet Tajikistan to the north via a couple of well-travelled roads – so they deployed mines and roadside bombs along them and staged periodic attacks on Russian convoys. The Russians needed to cut off mujahideen supplies coming from the south, across the border with Pakistan. The Soviets developed the technique of travelling in large convoys protected by helicopter gunships; the mujahideen made use of remote passes known only to them and travelled in small groups and mostly at night.

And so both sides failed in their war aims. In fact, as Braithwaite points out, the Russians never lost a major engagement and never lost a single post or stronghold or city in the entire war.

But, like the Americans in Vietnam, they learned the hard way that victory in a guerrilla war depends not on hardware, or firepower, or manpower – it depends solely on Endurance, which means the resolve of a country and its civilian population to put up with an unending stream of casualties. If the American war in Vietnam started in 1965 it only took 3 years for opposition to peak in 1968, forcing the president not to seek re-election and his successor (Richard Nixon) to win an election campaigning to end the war. In Afghanistan the casualties weren’t so severe and there weren’t the large-scale engagements of Vietnam (nothing like the battles for Khe Sanh or Hue, no nationwide Tet Offensive), but Soviet soldiers began dying almost from day one and carried on at the rate of 150 to 200 per month.

In a tightly censored society there was nothing like the same groundswell of opposition as in America, but sooner or later every town and city became aware of the coffins returning and the steady trickle of burials of young men. While the soldiers on the ground had a growing sense of futility. Braithwaite describes several massive operations to clear out the Pandsher Valley in the east of the country of the mujahideen under the leadership of the charismatic Ahmad Shah Massoud. The Russians sent in over 10,000 troops, accompanied by tanks and helicopters only to find – the insurgents had melted away into the mountains. There were some small firefights, some losses, some ‘wins’. Then, after a tactful period, the Soviets withdrew their forces and the mujahideen reoccupied the valley, and began to use it once again as a base to attack isolated strongholds and Soviet convoys. This happened year after year and bred a sense of futility even in quite senior officers.

Voices from the Soviet-Afghan

One of the distinctive features of Braithwaite’s book is the deliberate effort to include the testimony of a huge range of participants. He has gone out of his way to include letters, diaries and interviews with the widest possible range of participants – not only soldiers, from generals down to foot soldiers, sergeants and quartermasters, but lots from doctors and nurses, political commissars, the numerous advisers who worked in Afghanistan including agricultural, scientific and medical advisers, interpreters and security guards, intelligence officers and helicopter pilots, tank drivers and sappers, engineers and youth advisers – with lots of women featured from all walks of life – mujahideen leaders and fighters…

It’s like those ‘Lost voices from….’ series about the Great War or WW2, except we very rarely hear the voices of a cross-section of ordinary Russians. This aspect alone makes this a fascinating and valuable book.

In fact, although it refers to the fighting in the relevant places, there’s a case for saying this is more a social history of the war which pays attention to the experiences of a large cast of characters.

For example, there’s a long and detailed section about the physical process of gathering the remains of killed Russian soldiers, with eye-witness accounts from the morgue of how body parts were scooped into lead caskets by very drunk morgue assistants, on the shipping home and then on the generally bad reception any soldier accompanying a dead colleague’s body to his home was likely to get from his grieving relatives. Thorough explanations are given of the process of the draft which the Soviet authorities introduced, again with interviews from soldiers involved. And there is a fascinating section about the small number of Russian soldiers who went over to the side of the mujahideen, taking Muslim names and sometimes wives. Where possible Braithwaite follows the entire careers of some of these defectors and their colourful adventures, right up to the time of writing (2010) 20 years later.

It feels like no aspect of the war is left unexamined, making this read like a very rounded, comprehensive account.

Phases of the Soviet-Afghan war

  1. December 1979-February 1980 – the initial invasion and overthrow of Amin.
  2. March 1980-April 1985 – the mujahideen improved their guerrilla tactics of hit and run attacks, the Russians learned how to protect convoys and strongholds better. 9,175 Soviet soldiers killed: average of 148 per month.
  3. May 1985-December 1986 – Mikhael Gorbachev became General Secretary of the Communist Party of the Soviet Union in March 1985. He immediately ordered his generals to find ways to wind down the war and offensive operations were scaled back. Still, 2,745 soldiers were killed, average of 137 a month.
  4. November 1986-February 1989 – The Soviets replaced Babrak Karmal with Mohammad Najibullah Ahmadzai who was instructed to initiate a policy of National Reconciliation. The Soviet withdrawal took place in two phases – between May and August 1988, and November 1988 to February 1989, when the last tanks were filmed trundling back over the ‘Friendship Bridge’ into Uzbekistan.

The end of the Soviet-Afghan war

The Soviets didn’t lose a single battle or control of a single town or city but they lost the war. The last section of Braithwaite’s book describes the long drawn out process of negotiating a withdrawal, started by the new Mikhail Gorbachev almost as soon as he came to power in March 1985, but which took an inordinate period of time to square with interested parties like Ronald Reagan’s America, Pakistan, the Najibullah regime in Kabul, and the United Nations who were called on to supervise the withdrawal.

In total some 14,500 Russians died, while anywhere between 1.5 and 2 million Afghans were killed with up to 5 million fleeing as refugees outside their country.

But, as Braithwaite points out, this must be compared to the slaughter of Afghan by Afghan in the civil war which broke out, or came into the open, after the Soviets left. By 1996 some 40,000 inhabitants of Kabul alone were estimated to have died in the fighting.

Soldier-bards

I had no idea that the war led to the flourishing of songs composed by the soldiers themselves, many of whom took guitars or harmonicas – handily portable instruments – with them. Braithwaite refers to them as ‘bards’ and many of the songs became very well known, not only among the veterans – who are known as the Afgantsy (plural of Afganets). Here’s a well-known example, ‘Black Tulip’ by Alexander Rozenbaum. Quite a lot different from the Rolling Stones or Jimi Hendrix which were the soundtrack to Vietnam.


Modern Afghan history – thirty years of war

At one point Braithwaite makes the simple but powerful point that the Soviet war was in fact an intervention in an ongoing Afghan civil war. The communist ‘revolution’ (coup) was itself a result of the fractured nature of Afghan society, was characterised by extreme violence against its opponents which promoted uprisings and revolt. I.e. the Soviets walked into an existing civil war situation and, long before they left, the various mujahideen organisations were positioning themselves for the civil war which was to continue after the last Soviet left. Only the rise of the Taliban which was formed around 1994 as a reaction to the endless warring of the corrupt mujahideen warlords, eventually brought the civil war to an end, with the Taliban installed as the de facto rulers of the country by 1996.

So the civil war could be said to have lasted from 1978 to 1996 with a nine-year intervention by the Russians.

Of course, the Taliban government was then overthrown in 2001 by the Americans who invaded and installed their man in power, President Hamid Karzai, hoping that free and fair ‘elections’ would rally the population to a peaceful democracy. Lols.

But the Taliban regrouped and began a deep insurgency against American and allied forces. It is during the 2000s that the British were assigned peace-keeping duties in Helmand Province in south-west Afghanistan, with some 454 deaths to date. As and when the UN forces withdraw, it is an open question whether Afghanistan will return to civil war or whether the Taliban will return to power.


Timeline

1. 20th century background

1901 1 October Habibullah Khan, son of Abdur Rahman, becomes emir of Afghanistan.
1919 20 February Habibullah is assassinated. His son Amanullah Khan declares himself King of Afghanistan.
1919
May – Third Anglo-Afghan War: Amanullah leads a surprise attack against the British.
19 August – Afghan Foreign Minister Mahmud Tarzi negotiates the Treaty of Rawalpindi with the British at Rawalpindi.
1929 Amanullah forced to abdicate in favor of Habibullah Kalakani in the face of a popular uprising. Former General Mohammed Nadir Shah takes control of Afghanistan.
1933 8 November Nadir is assassinated. His son, Mohammed Zahir Shah, proclaimed King.
1964 A new constitution ratified which institutes a democratic legislature.
1965 1 January The Marxist People’s Democratic Party of Afghanistan (PDPA) holds its first congress.
1973 17 July Mohammed Daoud Khan declares himself President in a coup against the king, Mohammed Zahir Shah.

2. Build-up to war

1978
27 April the ‘Saur Revolution’ – Military units loyal to the communist PDPA assault the Afghan Presidential Palace, killing President Mohammed Daoud Khan and his family.
1 May The ‘Saur Revolution’ – The PDPA instals its leader, Nur Muhammad Taraki, as President of Afghanistan. Once in power, the communists…

started a massive reign of terror: landowners, mullahs, dissident officers, professional people, even members of the Communist Party itself, were arrested, tortured, and shot in large numbers. (p.6)

July – A rebellion against the new Afghan government begins with an uprising in Nuristan Province.
5 December – Treaty signed which permits deployment of the Soviet military at the Afghan government’s request.
1979
March – rebellion against communist rule in Herat.
14 September – President Nur Muhammad Taraki murdered by supporters of Prime Minister Hafizullah Amin. Braithwaite describes in detail how he was abducted, separated from his wife, and smothered with a pillow (p.73). The murder of a man they promised to safeguard spurs the Soviet leadership to plan to replace Amin.
24 December – The Soviet army invades Afghanistan to overthrow the very unpopular Amin regime and restore a more friendly client ruler.
27 December – Operation Storm-333: Soviet troops storm major governmental, military and media buildings in Kabul, including the Tajbeg Palace, and execute Prime Minister Amin. The Russians instal Babrak Karmal as president.

—The Soviet occupation turns into a war and lasts nine years and 56 days—

1988 14 April – The Soviet government sign the Geneva Accords, which include a timetable for withdrawing their armed forces.
1989 15 February – Last Soviet troops leave the country. Civil war breaks out immediately between rival mujahideen groups.

3. Post-Soviet civil war

1992 24 April – Warring Afghan political parties sign The Peshawar Accord which creates the Islamic State of Afghanistan and proclaim Sibghatullah Mojaddedi its interim President. Gulbuddin Hekmatyar’s Hezbi Islami, with the support of neighbouring Pakistan, begin a massive bombardment against the Islamic State in the capital Kabul.
28 June – As agreed in The Peshawar Accord, Jamiat-e Islami leader Burhanuddin Rabbani takes over as President.
1994 August – The Taliban government begins to form in a small village between Lashkar Gah and Kandahar.
1995
January – The Taliban, with Pakistani support, initiate a military campaign against the Islamic State of Afghanistan and its capital Kabul.
13 March – The Taliban torture and kill Abdul Ali Mazari, leader of the minority (and Shia) Hazara people.
1996
26 September – Start of another civil war in Afghanistan, which lasts until the U.S. invasion in 2001. The forces of the Islamic State retreat to northern Afghanistan.
27 September – The Taliban conquer Kabul and declare the establishment of the Islamic Emirate of Afghanistan. Former President Mohammad Najibullah, who had been living under United Nations protection in Kabul, is tortured, castrated and executed by Taliban forces.
1998
August – The Taliban capture Mazar-e Sharif, forcing Abdul Rashid Dostum into exile.
20 August – Operation Infinite Reach: Cruise missiles fired by the United States Navy into four militant training camps in the Islamic Emirate of Afghanistan.

4. 9/11 and after

2001
9 September – Resistance leader Ahmad Shah Massoud killed in a suicide bomb attack by two Arabs disguised as French news reporters.
20 September – After the September 11 attacks in the United States, U.S. President George W. Bush demands the Taliban government hand over al-Qaeda leader Osama bin Laden and close terrorist training camps in the country.
21 September – The Taliban refuse Bush’s ultimatum for lack of evidence connecting bin Laden to 9/11 attacks.
7 October – Operation Enduring Freedom The United States and the United Kingdom begin an aerial bombing campaign against al-Qaeda and the Taliban.
5 December – The UN Security Council authorize the creation of the International Security Assistance Force (ISAF) to help maintain security in Afghanistan and assist the new administration of Hamid Karzai.
20 December – International Conference on Afghanistan in Germany: Hamid Karzai chosen as head of the Afghan Interim Administration.
2002 July Loya jirga – Hamid Karzai appointed as President of the Afghan Transitional Administration.
2003 14 December Loya jirga – A 502-delegate loya jirga held to consider a new Afghan constitution.
2004 9 October – Hamid Karzai elected President of the Islamic Republic of Afghanistan after winning the Afghan presidential election.
2005 Taliban insurgency begins after a Pakistani decision to station around 80,000 soldiers next to the porous Durand Line border with Afghanistan.
2006 1 March – George W. Bush and wife visited Afghanistan to inaugurate the renovated Embassy of the United States in Kabul.
2007
13 May – Skirmishes between Afghan and Pakistani troops.
U.S. President Barack Obama sends an additional 33,000 U.S. soldiers to Afghanistan, with the total international troops reaching 150,000.
2011
– After the assassination of Osama bin Laden in Pakistan, many high-profile Afghan officials are assassinated, including Mohammed Daud Daud, Ahmed Wali Karzai, Jan Mohammad Khan, Ghulam Haider Hamidi, and Burhanuddin Rabbani.
– Afghanistan National Front created by Tajik leader Ahmad Zia Massoud, Hazara leader Mohammad Mohaqiq and Uzbek leader Abdul Rashid Dostum.

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