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    Sallust in Defense of History

    February 2, 2022 by Will Morrisey

    Sallust: The War with Catiline. Loeb Classical Library.

     

    Born in 86 B.C., Sallust became a member of the Roman Senate in his late twenties, then a tribune of the plebs a few years later. He therefore can be said to have had first-hand dealings with both the ‘few’ and the ‘many’ at an early age. No aristocrat, initially he seems to have inclined in favor of the plebs, a preference that may have contributed to his expulsion from the Senate for alleged corruption—the sort of crime which, had it been acted against universally, might have severely depopulated the Senate of his time. In the civil war that ensued a few years later, he sided with Julius Caesar—that noteworthy example of the rule of the ‘one’ who wins power by appealing to the many—obtaining an appointment as government of Numidia; for his pains, he was again charged with corruption, although this time his patron got him off the hook. He retired in 44 B.C., and in the ten years remaining to him he composed a substantial body of work, of which The War with Catiline and The War of Jugurtha survive extant. His five-volume history of Rome is lost.

    Why history? Sallust begins his book on the Catilinian conspiracy with a defense of historiography, a defense intended particularly for Romans, who at that time had written so much less of it than the Greeks. “All human beings”—the one, the few, and the many—who “are keen to surpass other animals had best strive with all their vigor not to pass through life unnoticed, like cattle, which nature has fashioned bent over and subservient to their stomachs.” Unlike animals, “all our vitality” resides in both soul and body, with the godlike soul properly ruling the beast-like body. “Therefore, it seems to me more right to seek renown, that we should employ the resources of intellect than of bodily strength, and since the life we enjoy is itself brief, to make the memory of ourselves as lasting as possible.” The best way to do that is to cultivate “manly virtue,” a “shining and lasting possession,” unlike “riches or beauty,” the renown for which doesn’t last. 

    Sallust thus begins his history with a justification of the life of the mind in ‘thumotic’ or aristocratic terms. For Plato’s Socrates, thumos rules the bodily appetites; while they love physical pleasures and fear pain, thumos or spiritedness loves honor and fame, detesting the way bodily appetites drag human beings down to the level of brutes. Logos or reason, in turn, rightly rules thumos, and through it the appetites. Hence the ‘philosopher-king’—king, at least, of his own soul, ruling it in accordance with reason, the distinctively human characteristic. Sallust, however, makes an appeal to the honor-lovers, the aristocrats or patricians: If you want fame, if you seek renown, if you would achieve something like godlike immortality, use your souls to achieve manly virtue. Unlike Socrates, Sallust puts the mind to the service of honor-loving spiritedness. Or, perhaps, that is his argument in justifying his own way of life, his own life of the mind, his historiography, to patricians, to men who scorn mere words and seek glory in great actions.

    He knows that the thumotic few have long debated the priority of soul to body or body to soul. “For a long time, there was a big dispute among mortals whether military sucess depends more on bodily strength or strength of soul.” It is true that both are needed to win battles, and the renown such victory brings. “In the beginning,” kings—for “that was the first title of rule on earth”—chose between the two ways of life, “some training their intellect and others their body.” At that time, a third choice. covetousness, wasn’t seriously considered by such men. “But after Cyrus in Asia and in Greece the Lacedaemonians and the Athenians began to subdue cities and nations, to suppose the lust for dominion a pretext for war, to consider the greatest empire the greatest glory, then finally men learned from perilous enterprises that qualities of intellect can accomplish the most.”

    Sallust makes several noteworthy observations in that sentence. The first kings confined their rule to poleis, to city-states. There, the question of strength of soul, and especially of the intellect, versus strength of body really was a question; city-states are small, and a man of exceptional physical strength, surrounded by friends or kinsmen nearly his equal in prowess might well rule the merely intelligent, as anyone who has experienced a high school gym class has learned. Ruling a vast empire is another matter; physical force doesn’t travel well, at least under the conditions prevailing in the ancient world, without long-range weapons. (And even such weapons require intelligence to design.) Second, the discovery of the superiority of mind to bodily strength in the pursuit of imperial rule and fame occurred both in Asia and in Europe; it was a ‘cross-cultural’ discovery, not limited to any one civilization but a discovery about human nature—one made, moreover, not by philosophers but by the rulers themselves and their subjects, proven in action, not in thought. The human mind proved itself in practice, not in the theory at which it excels more obviously. Finally, “covetousness” found its first expression not in commerce but in conquest and in ruling. It was not first of all a matter of ‘economics.’

    With this discovery, however, a new question or problem came to sight. Manly excellence of soul works well in war, as the great empire builders demonstrated. Surprisingly, it works less well in peace. If it did, “you would not see rule passing from hand to hand and everything in turmoil and confusion.” You would not see empires break up, rebellious provinces, palace revolutions, factions fighting each other in the streets. It is true that “rule is easily retained by the qualities by which it was first won”; a prudent emperor readily maintains his authority. But those very qualities decline with that very sustained imperial rule. As years wear on, “sloth has usurped the place of hard work, and lawlessness and insolence have superseded self-restraint and justice.” With this, “the fortune of princes changes with their character,” as men of real virtue overthrow their complacent superiors. 

    This is true not only in politics but in agriculture, navigation, and architecture. Success in those endeavors also “depends invariably upon manly virtue.” There, too, however, “many mortals, being slaves to appetite and sleep,” slaves to the bodily appetites, “have passed through life untaught and untrained,” living ways of life “contrary to Nature’s intent,” wherein “the body [is] a source of pleasure, the soul a burden.” Such men are “on a par” with one another in life and in death,” since “no record is made of either,” no fame distinguishes them or raises them above animals. They have achieved equality, but it is an equality of obscurity, of slavish subservience to their own mediocrity. “In the very truth, that man alone lives and makes the most of life, it seems to me, who devotes himself to some occupation, seeking fame for a glorious deed or a noble career.” Nature provides many paths to the same end, using the human characteristic closest to the gods, the power of the mind, to win the fame that constitutes the closest men get to divine immortality.

    Here the practice of history arises. “It is glorious to serve the Republic well by deeds; even to serve her by words is a thing by no means absurd; one may become famous in peace as well as in war.” That is, the peace of empire need not bring sloth in its train, nor factitiousness. For “both those who have acted and those also who have written about the acts of others receive praise.” The poet Homer, the historians Herodotus, Thucydides, and Polybius have won fame for themselves with their words by preserving the fame of doers in those words. Rome has had no such historian, before Sallust. In Rome, “by no means equal renown attends the narrator and the doer of deeds, nevertheless the writing of history is an especially difficult task: first, because the style and diction must be equal to the deeds recorded”—as with poetry, art should imitate nature—and also “because such criticism as you make of others’ faults are thought by most men to be due to malice and envy.” With the artistic challenge, the historian faces a moral challenge, not unlike that faced by the man of action, whose every move is prey to malicious and envious rivals. Further, men notoriously believe only what they want to believe, and what they believe they measure by their own capacities. “While everyone is quite ready to believe you when you tell of things which he thinks he could easily do himself, everything beyond that he regards as fictitious, if not false”—a lesson Thucydides had taught, centuries before. Whether you praise great men of action or blame them, you will endure much the same egalitarian animosity, the same growling of men who remain too near the level of beasts, as those you write about must endure. Sallust thus moves to win the sympathy of the few, the men who look down on those who teach, who work with words, instead of doing. 

    He turns to autobiography to increase this sympathy. As a young man, he entered public life, finding “many obstacles, or instead of modesty, incorruptibility, and honesty, shamelessness, bribery, and rapacity held sway,” captivating his ambitious young soul, in “my youthful weakness.” He went along to get along. He exited public life into enforced leisure. But “it was not my intention to waste [that] precious leisure in indolence and sloth,” the bane of peace, “nor yet to turn to farming,” like Cincinnatus, or to hunting—which he deems “slavish employments.” “On the contrary, I decided to return to an undertaking and pursuit from which the harmful craving for advancement had held me back, and to write of the deeds of the Roman people, selecting such portions as seemed to me worthy of record.” With a soul “free from hope, and fear, and partisanship,” he has chosen to write on the conspiracy of Catiline,” a history that deserves “special notice because of the novelty of the crime and of the danger arising from it.” History well written might change the course of events in his country, if citizens understand the way of tyrants, the unnatural way of their nature. 

    What was his nature, his character? A patrician, Lucius Catiline “had great vigor both of soul and body, but an evil and depraved intellect.” Sallust makes no attempt to account for the origin of that nature. It may be that some tyrants are born, not made. However it may have been with Catiline, “from youth up, he reveled in civil wars, murder, pillage and political dissension, and amid those he spent his early manhood.” “His soul was reckless, cunning, treacherous, capable of any form of pretense or concealment,” and he put it to use in a life of covetousness, but not the covetousness of a Cyrus or a Pericles. Like Aristotle’s tyrant, he bent his ambition toward gain for himself, not for his country, a country that already ruled the world, with nothing more to covet. A man of “violent passions,” he threw away his own property while seizing the property of others; “he possessed a certain amount of eloquence, but little discretion.” His was the wrongly ordered soul par excellence, one that “ever craved the excessive, the incredible, the impossible.”

    He saw the dictatorship of Lucius Sulla in the years 83 to 79 B.C. The Romans appointed dictators in times of emergency. “Seized with a great passion of seizing control of the republic,” Catiline understood that he could “make himself supreme” only if another crisis occurred. He couldn’t wait for one to occur by chance, however. Indebted by his own extravagance, vulnerable to prosecution for his crimes, his “fierce soul” was “spurred on, also, by the corrupt public morals, which were being ruined by two great evils of opposite character, luxury and avarice”—public parallels to his own private vices—he needed to foment such a crisis as soon as he could.

    Sallust here pauses to explain how “the public morals” of Rome had “ceased to be the noblest and best,” in accordance with “the institutions of our forefathers in peace and in war,” and thanks to the way those men “governed the republic” within the framework of those institutions, only now to “become the worst and most infamous” of countries, one in which a Catiline might arise. The city of Rome was founded by the Trojans, who arrived in an Italy populated by native, “rustic” folk who had no laws of government, living “free and unrestrained.” Although different in race, language, and way of life, these people “were merged into one with incredible facility,” thanks to its founding lawgivers. But the very prosperity of Rome, as it grew “in population, civilization, and territory,” fostered envy in the surrounding peoples, who “put [the Romans] to the test of war.” Their friends in Italy for the most part looked the other way, forcing the Romans into self-reliance. They “defended their liberty, their country, and their parents by arms,” becoming a powerful military republic. Their victories enabled them to turn to their erstwhile allies and political friends from a position of strength, “establish[ing] friendly relations” with them “rather by conferring than by accepting favors,” in liberty not dependency.

    The regime, “founded on law,” was a monarchy in name, an aristocracy in fact. The patricians were elders, called “Fathers,” their bodies “enfeebled by age,” their intellects “fortified with wisdom” at the service not of themselves but of “the welfare of the republic.” That is, even before embarking on empire, they had already answered the question emperors had settled, the question of whether the soul’s intellect or the body should be authoritative in human life. When the monarchic element of the regime so strengthened as to overbear the few, establishing tyranny, in 509 B.C. the patricians wisely “altered their form of rule,” changed the regime, by appointing two consuls with one-year terms, thereby checking and balancing what would later be called ‘executive’ power while ensuring that no one man or combination of two men could become ensconced in power over the Senate. This again shows the importance of the human mind; the bicephalous executive was designed to “prevent men’s minds from growing insolent through unlimited authority.”

    This reform affected the spirit of the whole population, not only the spirit of the one and the few. “Every man began to distinguish himself and to put his native talents forward.” The Roman regime now brought out what Sallust has called the best of human nature in all its citizens. The Romans used their minds to strive for fame. Although in perpetual danger from its enemies, the Romans’ “civitas, once liberty was won, waxed incredibly strong and great in a remarkably short time, such was the desire for glory that had arrived on the scene.” Its young men consented to the “vigorous discipline” of army life, learning and practicing the “soldier’s duties” enabling them to endure “the hardships of war.” For such men, “valor mastered all obstacles.” Their “greatest struggle for glory” came not from their battles with foreigners but “with one another,” as each strove to surpass the others in striking down enemies, in performing feats of military prowess. “This they considered riches, this fair fame and high nobility:” “this fame they coveted.” They sought “only such riches as could be gained honorably,” their aim being “unbounded renown” not luxury.

    And it is precisely in this that Rome has suffered. The goddess Fortuna “rules everywhere.” One expects Sallust to write that the strong Roman people found themselves overmatched by her, and for the historian to draw from this a lesson of humility. Not at all. Fortuna worked against Rome not in ordaining its downfall but by exercising her capacity to “make all events famous or obscure according to her pleasure rather than in accordance with the truth.” The Athenians performed “great and glorious deeds,” but the fame of those deeds surpasses their true worth “because” Fortuna would have it so. “Athens produced writers of exceptional talent” to laud them, men of “great intellect” who more than matched the deeds with “words of praise.” “The Roman people never had that advantage, since their most prudent men were always engaged with affairs; no one employed his intellect apart from his body; the best citizen preferred action to words and thought that his own brave deeds should be lauded by others rather than that theirs should recounted by him.” (Julius Caesar would become the exception to this rule.) Not only should Romans not denigrate their historians, but they should also understand that the fame they seek can last only in their words.

    In the Rome Sallust admires, the one whose history he would write, “good morals were cultivated at home and in the field…thanks not so much to laws as to nature,” the nature cultivated by the regime, animated by its spirit. Romans reserved their quarrels for their enemies, as “citizen vied with citizen only for the prize of merit.” With respect to money, “they were lavish in their offerings to the gods, frugal in the home, loyal to their friends,” exhibiting “boldness in warfare and justice when peace came.” In war, they observed the mean between extremes, exacting punishment on a soldier for attacking contrary to orders or for leaving the field of battle too reluctantly when so ordered. Thumos, yes, but thumos in right measure. When at peace, “they ruled by kindness rather than fear, and when wronged preferred forgiveness to vengeance,” centuries before Christianity would adjure them to do so. ‘Kind’ also means ‘nature.’ 

    It was only “when our country had grown great through toil and the practice of justice” that Fortuna “began to grow be savage and to bring confusion into all our affairs.” The regime of military republicanism needs adversaries to continue in the spirit of courage, moderation, and justice. Under the austere conditions of danger, “leisure and wealth” were desirable, but under the conditions of world empire they were “a burden and a curse.” Longterm rest imperils the regime of active warrior-citizens by turning their ambition toward wealth and rule not over foreigners but over one another. Avarice ruins honor, integrity, and “all the other noble qualities,” replacing the virtues of the few with insolence, cruelty, impiety—the thumotic impulses gone wrong. Romans began “to set a price on everything.” They began to conceal their corrupt natures from one another, pretenders to the virtues they once openly displayed, showing “a good front rather than a good heart.” They surreptitiously, each in his own heart, raised not the battle standard of Rome but “the standard of self-interest.” 

    Because their ethos had been a warrior ethos, their souls initially “were activated less by avarice than by ambition.” But after the rule of Lucius Sulla had “brought everything to a bad end from a good beginning, all men began to rob and pillage.” This occurred not only through his bad example, bringing out the selfishness which had by now risen dangerously near the surface of Roman souls, but because he corrupted the army. Having led it to Asia, to lands ruled by despots wallowing in luxury, he secured the loyalty of his soldiers to himself, not to Rome, but “allow[ing] it a luxury and license foreign to our ancestral customs”; “those charming and voluptuous lands…easily demoralized the warlike spirit of his soldiers.” The most active and austere segment of the Roman people “learned to indulge in women and drink, to admire statues, paintings,” stealing exquisite vases from private houses and public places, pillaging shrines, and “desecrat[ing] everything, both sacred and profane.” If “prosperity tries the souls of even the wise,” why would it not ruin the souls of soldiers? This is how Sulla made an army of Rome his own private army.

    These men returned to Rome with their trophies and, worse, their newfound vices. “As soon as riches came to be held in honor,” mingling with ambition and the desire for glory and for rule, virtue no longer became a source of honor among honor-lovers. “Luxury and greed, united with insolence, took possession of our young manhood,” those the would-be tyrant needs to boost himself into power. Their ancestors had “adorned the shrines of the gods with piety,” not gold leaf; they had adorned their homes with glory, having taken nothing from the vanquished but “the license of doing harm” to Rome. They lived mindfully, doing honor to their human nature. “The men of today, on the contrary, basest of creatures,” no longer fully human, “with supreme wickedness are robbing our allies”—not only their vanquished enemies—of “all that those most courageous men in the hour of victory had left them; they act as though the only way to rule were to wrong.” They have destroyed friendship among themselves and with Rome’s allies, weakening Rome both internally and abroad.

    In the new Rome, men level mountains and extend their villas on jetties into the seas, abusing nature and squandering money for the gratification of their own pleasure. “Men played the woman, women offered their chastity for sale.” Driven by such “self-indulgence,” young men ran themselves into debt, turning to crime to pay the bills. 

    “In a city so great and so corrupt Catiline found it a very easy matter to surround himself, as by a bodyguard, with troops of criminals and reprobates of every kind.” What Sulla had done in Asia Catiline did in Rome, militarizing vice. A self-ruling republic requires a self-ruling citizenry, but the would-be tyrant wanted neither. This is why “most of all Catiline sought the intimacy of young men,” as “their souls, still pliable as they were and unstable, were without difficulty ensnared by his deceits.” After “carefully studying the passion which burned in each, according to his time of life, he found harlots for some or brought dogs and horses for others,” thus “mak[ing] the dependent and loyal to himself,” borrowing the technique from Sulla. Dependency on ‘the one’ replaced self-governing liberty among the many and the few in the rising generation.

    Catiline himself seems to have needed no such seduction. “Even in youth [he] had many shameful debaucheries,” notably with a woman named Aurelia Orestilla, “in whom no good man ever commended anything save her beauty,” as Sallust finely phrases the matter. In order to clear his way into her household, Catiline murdered her stepson. Sallust suggests that Catiline may have hastened his political conspiracy because “his guilt-stained soul, at odds with gods and men, could find rest neither waking nor sleeping so cruelly did conscience ravage his overwrought mind.” That is, the tyrannical mind, impassioned by the prospect of physical pleasure but then tormented by what remains of its true nature, drives itself insane. “His very glance showed the madman.”

    To blood his young hounds, he kept them busy with crimes, including murder, preferring “to be vicious and cruel rather than to allow their hands and souls to grow weak with lack of practice.” This is the perversion of martial discipline, impossible without an ethos of military discipline to pervert. This is how the military republic can be re-founded as a tyranny. Catiline now needed only the opportunity, the circumstances in which he could make his move with a chance of success.

    He made that decision, however, not in liberty but out of necessity. Both he and the veterans of Sulla’s campaign he counted on for backing were deeply in debt, thanks to their extravagances. There being no foreign lands for them to conquer, they could only plunder Rome itself, becoming “eager for civil war.” The great general Pompey was in Syria and would not be able to return in time to counter the planned coup. Most of the senators suspected nothing, except those who were in on the plot. “All was tranquil and secure; this was a straightforward opportunity for Catiline.” One of the few great men of the time, Marcus Licinius Crassus, may have been in on it, too. Rival of Pompey, “he was willing to see anyone’s power grow in opposition to the power of his rival, fully believing meanwhile that if the conspiracy should be successful, he would easily be the principal man among them.” Catiline would then prove a useful tool, easily discarded if broken in the work.

    Catiline first attempted to murder his way to power. In 66 B.C., after having been charged with extortion and prevented from standing for the consulship because he hadn’t met the deadline for announcing his candidacy, he and his co-conspirator Publius Autronius met with “a reckless young noble,” Gnaeus Piso, who proposed that they arrange for the murder of the two newly elected consuls and several of the senators. Then Catiline and Autronius could seize the consulships, sending Piso to grab two Spanish provinces ruled by Rome. “Had Catiline not been over-hasty in giving the signal to his accomplices in front of the senate-house, on that day the most dreadful crime since the founding of the city of Rome would have been perpetrated.” But thanks to one of his own vices, impatience, Catiline ruined the scheme by calling for action before a sufficient number of conspirators had assembled to carry it out effectively. Curiously, Piso’s ‘punishment’ consisted of being sent off to Spain with military powers; the senators wanted to get him away from them and to use him as a counterbalance to Pompey, now in Spain and himself feared by the senators. Piso was murdered there, perhaps by “the barbarians” there or by some “old and devoted retainers of Pompey.” Thus ended the first Catiline conspiracy.

    As yet uncharged with any crime against the government—evidently, he had covered his tracks—Catiline addressed his co-conspirators, whom he lauds as “brave and faithful to me.” He tells them that his soul therefore “has had the courage to set on foot a mighty and glorious enterprise.” This recalls Sallust’s teaching, that the soul should rule the body for the sake of honor. Catiline, too, understands this, in his own perverse way. Indeed, “I perceive that you and I hold the same view of what is good and bad; for agreement in likes and dislikes—this, and this only us what constitutes firm friendship.” Just so, but one must consider the like-mindedness he invokes. It consists of fear (consider “under what conditions we shall live if we do not take steps to emancipate ourselves”); a desire for liberty that is really license (emancipation from debts brought on by their own extravagance); resentment (we, the “energetic, [the] able” have been reduced to the status of “the common herd,” ruled “a few powerful men” who control a vast empire); libido dominandi (we are the ones who would be “the objects of fear” for our current rulers, were they subservient to us); impatience (“How long will you endure this, O bravest of men?”); hope (“victory is within our grasp”); contempt (“we are in the prime of life,” but they are in a condition of “utter dotage”); spiritedness in the cause of justice defined in terms of envy (“what mortal with the spirit of a man can endure that our tyrants should abound in riches?”); desperation (we have nothing to lose); ‘wokeness’ (“Awake then!”); pride (“use me as your leader or as a soldier in the ranks,” as “my soul and my body shall be at your service”); and shame (surely, I do not “delude myself and you are content to be slaves rather than to rule”). He takes the vices of his like-minded, like-impassioned followers and ascribes them to their enemies, right down to the claim that the ‘exploitive’ few who rule Rome cannot even rule the riches they have amassed—exactly the fault of Sulla’s ‘Asianized’ soldiers.

    Catilinean like-mindedness lacks mindfulness, except insofar that it ‘awakens’ or brings to consciousness a perfect storm of passions, supposedly in service of his confederates but designed to render them subservient to himself. A tyrant would rule for himself, but he cannot rule by himself. He needs allies, the more impassioned the better. Stooping to conquer their minds, he perorates, “Use me either as your leader or as a soldier in the ranks”—small chance of that—either way, “my soul and my body shall be at your service.” Sallust has presented exactly the kind of speech an aspiring tyrant would make. If you hear a man speak like this, he tells his fellow Romans, understand his real nature and his means of persuasion. He hasn’t yet the power to enforce; he must begin with persuasion. He uses his own mind to reinforce the passions of his followers, attaching them to himself even as the Roman generals had already begun to attach their soldiers to themselves, not to Rome. A military republic cannot easily or quickly be redirected into commercial republicanism, but its military republican virtues he had described at the beginning of his book can be perverted toward license and tyranny, redefining liberty as the fulfillment of libido dominandi, introducing the harshest spirit of imperialism inflicted on followers into Roman politics itself.

    The men wanted to know how all of this could be done. Catiline answered by telling them what they need to do to achieve “the prizes of victory.” These included (he assured them) the abolition of debts, the proscription of the current authorities, secular and religious, and “plunder.” After “heaping maledictions upon all good citizens,” he demonstrated his intimate knowledge of each man, praising them by name and reminding each of his particular interest in the enterprise, whether it was escape from poverty or prosecution, or the fulfillment of hitherto thwarted ambition. “When he saw that the souls of all were aroused, he dismissed the meeting.” He may or may not have sealed their allegiance by having them drink a concoction compounded of human blood and wine—themselves agents of heatedness— although Sallust admits he has “too little” evidence to confirm that this actually happened. Whether factual or not, the story makes sense in that it bespeaks a new, decidedly uncivil religion in Rome, replacing the old religion of Jupiter and Juno, Mars and Venus. The purpose of these “solemn rites” was to render each conspirator “more faithful” to the others, sharing “the guilty knowledge”—the content of minds—of “so dreadful a deed.” By refusing to insist on the truth of this detail, Sallust himself exemplifies the way a true, rational mind thinks, inviting a sober form of faith in his readers, trust in his own reliability as a historian.

    The problem with conspiring with evil men is that one or more of them may lack even the modest degree of virtue required to keep his mouth shut. Quintus Curius, “a man of no mean birth but guilty of many shameful crimes” and expelled from the Senate for them, preened himself in the presence of his mistress, Fulvia, who retained some traces of the old Roman patriotism. Having “had no thought of concealing such a peril to her country,” she gossiped about the conspiracy to “a number of people,” while concealing the name of her lover. The senators became sufficiently alarmed to bestow the consulate upon Marcus Tullius Cicero, whose ancestors had achieved no office distinguished enough to cause him to merit such an honor under ordinary circumstances. “But when danger came, jealousy and pride fell into the background.”

    Despite Cicero’s election, “Catiline’s frenzy did not abate.” He stashed arms “at strategic points throughout Italy”; borrowed still more money and sent it to one of his allies, Manlius, who would command troops in the planned civil war. He appealed to slaves in Rome, avid for emancipation, to prepare to set fires in Rome—the imagery of fire, again—at the appointed moment. He enlisted the assistance of Sempronia, a woman “who had often committed many crimes of masculine daring”—but nonetheless refined, “able to play the lyre and dance more skillfully than a virtuous woman need do.” “There was nothing which she held so cheap as modesty and chastity,” “her lust [being] so ardent that she pursued men more often than she was pursued by them,” but she “could write verses, raise a laugh, and use language which was modest, or tender, or wanton,” being possessed of “a high degree of wit and charm.” She, too, enjoyed a sort of life of the mind.

    With such friends in his train, Catiline spent the year scheming against Cicero, “who, however, did not lack the craft and address to escape” the traps set for him. Indeed, Cicero induced blabbermouth Curius to reveal Catiline’s plot. He also took the precaution of agreeing to offer his consular colleague, Antonius, a richer province than the one he had received as a reward for winning high office. Cicero also prudently “provided himself with a bodyguard of friends and dependents.” Sallust’s Cicero understands politics, ‘low’ as well as ‘high’; he isn’t Shakespeare’s windbag. When Catiline attempted to gain election to the consulship the following year, he lost.

    Having failed in Roman politics, politics in the capital city, Catiline moved to activate his military strategy with the provinces. He sent Gaius Manlius, Septimus of Camerinum, and Gaius Julius, among others, to various parts of the empire to prepare for civil war. He would soon turn to them because a plot to murder Cicero failed, thanks again to Curius’ timely warning. [1] Gaius Manlius was particularly successful in gathering support for rebellion because the Etrurians he rallied had been abused by Sulla during his governorship of the colony. In this case, the many had just complaints. (Not to be uncatholic in his recruitment, he also enlisted local “brigands” in the cause.) When Cicero reported these stirrings to the senators, they voted him emergency powers as dictator. 

    The thirty-first, central section of The War with Catiline recounts the reaction of the now-corrupt Romans to their peril. In the earlier centuries of the republic, shared danger had reinforced self-discipline and noble rivalry in service of fame and the public good. Now, “in place of extreme gaiety and frivolity, the fruit of long-continued peace, there was sudden and general gloom.” “The women, too, whom the greatness of our country had hitherto shielded from the terrors of war, were in a pitiful state of anxiety, raised suppliant hands to heaven”—suddenly remembering Roman pietas —bewailed “the fate of their little children, asked continual questions, trembled at everything, and throwing aside haughtiness and self-indulgence, despaired of themselves and their country.” 

    In response to Cicero’s condemnation of him in the Senate [2], Catiline denied everything, asserting that he ought to be believed because he, a man of high birth, could not possibly benefit from revolution in Rome, whereas Cicero, whom he lyingly described as a resident alien, was suspect. The senators were hearing none of that and shouted him down. Invoking the imagery of fire Sallust has attributed to Catiline throughout, the accused man, “in a transport of fury,” screamed “Since I am cornered by my enemies and driven to desperation, I will put out the fire which consumes me by general devastation.” His hope of fighting passion-fire quite literally with fire in the streets were frustrated when the slaves he had engaged to set fires throughout the city were prevented from doing so by watchmen deployed by Cicero, who knew about this tactic from his interviews with Curius. 

    Catiline fled Rome, instructing those followers remaining in the city “to make ready murder, arson, and other deeds of war” within the city, preparatory for his own return at the head of a rebel army. His ally, Manlius, wrote to a loyal Roman general, who had been sent into the provinces to quell the rebellious forces, invoking the gods and men alike as witnesses to their grievances. We are crushed by debts imposed “by the violence and cruelty of the moneylenders”; there is precedence for the forgiveness of debts by senatorial decree. “We ask neither for power nor for riches, the usual causes of wars and strife among mortals, but only for liberty, which no true man gives up except with his life.” With no little effrontery, he concluded with a plea to the general “to restore the protection of the law.” For his part, the general could only reply that if the rebels had any request to make of the Senate, they must disarm themselves “and set out for Rome as suppliants.”

    Catiline deployed the same rhetorical appeal on behalf of the many in a letter to the Senator Quintus Catulus. No longer denying that he had rebelled, he instead argued for the “justice” of his rebellion. “Provoked by wrongs and slights, since I had been robbed of the fruits of my industrious labor”—true enough, as his criminal plots had come to ruin—I “followed my usual custom and took up the general cause of the unfortunate.” A true social justice warrior, he has “adopted measures which are honorable enough considering my situation.”

    These measures, Sallust informs us, included arming the provincial populace Manlius had roused to revolt, joining Manlius in his camp, taking care to bring with him “the fasces and other emblems of authority”—actions that earned him and his chief accomplice designation as “enemies of the state” by the Senate, which decreed that the consul Antonius bring an army against him while Cicero remained to keep watch over Rome itself. “At that time,” Sallust remarks, “the rule of the Roman people, it seems to me, was by far the most pitiable. Although the whole world, the rising to the setting of the sun, had been subdued by arms and was obedient to Rome, although at home there was peace and wealth, which mortals deem the foremost blessings, nevertheless, there were citizens who from sheer perversity set out to destroy themselves and the state.” Lamentably, no one stepped forward to desert Catiline’s conspiracy, symptomatic of “a disease of such intensity as the plague which had infected the souls of many of our citizens.” “Eagerness for change,” animated by envy of wealthy men, hatred of everything old and of “their own lot” as spendthrift debtors who had “squandered their patrimony in disgraceful living,” animated the souls of men with as little respect for the republic” as “they had for themselves.”

    Worse, the disease infected even hitherto respectable citizens. Previously, during the consulship of Pompey and Crassus, “the greater part of the nobles strove with all their might, ostensibly on behalf of the senate but really for their own aggrandizement. For, to tell the truth in a few words, after that time, whoever disturbed the state under the guise of honorable slogans—some as though defending the rights of the people, others so that the senate’s influence might be dominant—under pretense of the public good, each in reality strove for his own power.” Neither the party of the few nor the party of the many “showed moderation in their strife; both parties used victory ruthlessly.” When the pretended populist, Gnaeus Pompey, was sent to wage war overseas, “the strength of the plebians lessened” for a time, but once this new prospect of revolution came to view, “the old contest aroused their passions once again.” Sallust’s remark about the self-interest of both the few and the many should be kept in mind as he proceeds to recount the actions and words of the Romans.

    Catiline’s ally, Lentulus, continued his recruitment of “anyone he thought ripe for revolution by disposition or fortune.” Among these he counted the Allobroges, a Gallic people, debt-burdened and, being Gallic, “by nature prone to war.” He detailed a man named Publius Umbrenus to approach their envoys in Rome. The envoys were receptive but cautious. They engaged in what our contemporaries would call a process of rational choice utility maximization: recognizing the superior power of the Republic, they saw a chance to gain rewards from Rome “in place of [the] unsure hope” of success with the conspirators. Through the Roman noble who served as their patron in the city, they informed Cicero of the plot.

    Cicero then conspired against the conspirators. Pretend to join them, he advised; that way, their guilt will be brought “out into the open” and there will be evidence sufficient to convict them in the eyes of the senators. This they did, and the plotters moved their plans ahead. Once Catiline arrived near Rome with his army of provincials, they would publicly charge Cicero with fomenting civil war. Their people in Rome would then set fire to “twelve strategic points in the city” in the hope that the “ensuing confusion” make it easier to attack Cicero and other key senators. Additionally, the restive sons of aristocratic families “were to kill their fathers.” All of this would make Rome vulnerable to attack by Catiline’s waiting forces.

    Duped by Cicero’s counterplot, the conspirators were arraigned before the Senate. Cicero was ambivalent about the matter, “rejoic[ing] in the knowledge that the disclosure of the plot had snatched the republic from peril” but worried because main conspirators were “citizens of such high standing.” “He believed that their punishment would produce trouble for him personally, that failure to punish them would be ruinous to the republic.” He chose the patriotic course and the in the event, the senators judged them guilty. As for the plebeians, they proved fickle, changing from their “desire for revolution” to denouncing Catiline and praising Cicero. Sallust takes the disclosure of the plan for arson as decisive to them, since fires would burn their own property.

    Part of Cicero’s apprehension proved valid. A witness came forward, claiming that the exceptionally wealthy and powerful Crassus was part of the conspiracy. This was too much for some of the senators to believe, and the ones who did believe the man kept silent because they were in debt to Crassus. As for Crassus himself, he blamed Cicero, claiming that he had induced the witness to perjure himself. The enmity of Crassus would indeed produce trouble for Cicero, later on.  

    Subordinates of the convicted conspirator Lentulus attempted to “rouse workmen and slaves in the neighborhoods of Rome to rescue him from custody, while others sought out leaders of mobs who had made it a practice to cause public disturbances for a price.” When Cicero learned of this, he convened the Senate in order to hasten the determination of the punishment of all the main conspirators. Consul-elect Decimus Junius Silanus arose to argue for a harsh punishment. Caesar opposed this, delivering a carefully worded speech, reasonable on its face if perhaps self-serving under the surface. 

    He began with an appeal to the rule of the rational part of the soul over the passions. “All men who deliberate upon difficult questions,” he told his colleagues (in what then was the world’s greatest deliberative body) “had best be devoid of hatred, friendship, anger, and pity,” since affects hamper the soul’s attempt to “discern the truth.” What kind of reasoning, then? “No one has ever served at the same time his passions and his best interests.” Sallust has already told his readers that Romans by that time inclined toward conceiving of their best interests as their self-interest. Caesar gives two examples of such “bad decisions [made] under the influence of wrath or pity”: in the Macedonian war, Rome was deserted by the Rhodians, its putative allies, yet “our ancestors let them go unpunished so that no one might say that war had been undertaken more because of the wealth of the Rhodians than their misconduct”; in the Punic wars, despite “many abominable deeds” done to Romans by the Carthaginians “never did likewise when they had the opportunity,” but maintained their “dignity” against strict justice. Both of these claims undergird an appeal to the Romans’ honor, their reputation, not their virtue. Further, Caesar overlooks the punishment that was imposed upon the Rhodians, who were deprived of their territories on a strategic mercantile territory in Asia Minor. The “best interests” of Rome, then, evidently require ranking dignity over the virtues.

    In this case, Caesar continued, we should again prefer our “good name” to righteous indignation. “What is the aim of that eloquence” which denounces the conspirators by invoking “the horrors of war”? We senators hold “great power” (magno imperio); men such as us hold a “lofty station” visible to “all mortals,” unlike the many. With the eyes of all upon us, we enjoy “the least freedom of action” of any class of men because we are judged more harshly. “That which is called wrath” among ordinary men is termed haughtiness and cruelty in persons having power.” While admitting that rage at the Catiline treason is just, inflicting a just punishment will provoke just such a claim; people will remember the punishment more vividly than they remember the crime because “most mortals remember the recent past.” Therefore, just punishment of the conspirators is “contrary to the best interests of our republic,” which (Caesar seemed to know) the senators incline to mingle with their own “best interests.” And it is not even just, as death will relieve the malefactors of the “grief and wretchedness” of life in confinement.

    Not one for oversubtlety, Caesar invoked “the immortal gods” in opposing Silanus’ proposal. Setting the “bad precedent” of capital punishment for treason will invite our successors to turn the tables on us. Covetous men will accuse and convict innocents because they want to acquire their houses. To be sure, “I fear nothing of this kind in Marcus Tullius or in these circumstances, but in a great polity there are many and various geniuses”; some consul in the future, given the near-dictatorial power Cicero wields, may have “no limit” to his actions and no one to “restrain him.” He concluded his speech by proposing the exile of the conspirators from the city, the confiscation of their assets, and their imprisonment in several towns throughout Italy. 

    This speech persuaded the senators, until Marcus Porcius Cato (‘Cato the Younger’) spoke. “My judgment is very different,” he began, bluntly. Our first concern should be to guard the city against the remaining conspirators, not to consult with one another regarding the punishments appropriate for those we now have in custody. Without the city, which remains in danger, there will be no capacity to judge or to punish. With sharp irony, he “call[ed] upon you, who have always valued your houses, villas, statues, and painting more highly than the nation”: If you want to remain free “from disturbance for indulging your pleasures, wake up at last, and lay hold of “the reins of government.” Caesar’s invocations of the wrongs of Rome’s allies or are wealth” stray from the point, which is, “our liberty and our lives are in doubt.” I, Cato, “have often deplored the luxury and avarice of our citizens,” thereby making enemies. But that was when we were prosperous and could afford such complacency. “Now, however, at issue is not the question whether our ethics are good or bad, nor how great or magnificent the empire of the Roman people is, but whether all this, of whatever sort it appears to be, is going to be ours or belong to the enemy along with rule over our very lives.” Knowing the less than noble character of the patricians of his time, Cato concentrated their minds on the low but solid ground of survival, while at the same time shaming them in their decadence.

    He then made a critical point about language. “In these circumstances, does someone mention to me clemency and compassion? To be sure, we have long since lost the true names for things.” The right use of words requires moral as well as intellectual rigor. “It is precisely because squandering the goods of others is called generosity, and recklessness in wrongdoing is called courage, that the republic has been placed in a crisis.” If it is “the fashion of the time” to be “liberal at the expense of our allies” and “merciful to robbers of the treasury,” at least do not be “prodigal of our blood, and in sparing a few scoundrels bring ruin upon all good men.”

    In Caesar’s appeal to self-interest in the guise of prudence, Cato recognized an unstated atheism. When Caesar said that a life in prison is worse than death, he tacitly denied “the tales which are told concerning the inhabitants of Underworld.” As for his proposal to disperse the prisoners to prisons throughout Italy, this would only risk their rescue by their fellow plotters or by hired mobs; indeed, such audacity has “greater strength where the resources to resist it are weaker.” Caesar’s advice is therefore “utterly worthless, if Caesar fears danger from the conspirators”; moreover, “if amid such universal dread he alone is not afraid, there is all the more reason for me to fear for your sake and my own,” implying that the alternative to Caesar’s overconfidence is a secret alliance with the conspirators. Not only Caesar’s atheism but the scope of his ambition may lurk beneath the surface of his rhetoric. Better to deter the conspirators who remain at large by vigorous action, for “if they detect even a little weakness on your part, they will all fiercely make their presence immediately felt.” The real source of our ancestors’ greatness was not in arms or even their dignity but in their nobility, seen in their industriousness at home, their just rule abroad, and “in counsel a soul liberated from the enslavement of misdeed and of passion.” With us, including Caesar, our intellects and our language fail us because our character has failed, as we live in “extravagance and greed, public poverty and private opulence, lauding wealth and pursuing idleness,” and for that reason making no distinction “between good men and bad,” a moral relativism that frees “ambition [to] appropriate all the prizes of merit.” No philosophy is needed to understand this, and so Cato exclaims “No wonder!” No need for Socratic dialectic, here. “Each of you takes counsel separately for his own personal interests”—instead of truly deliberating in common for the public good—and “when you are slaves to pleasure in your homes and to money or influence here, this gives impetus to an attack upon the defenseless republic.” Hypocrisy of words, words bent away from the shape of truth, results from hypocrisy of character.

    Nor will piety do, if misunderstood. True, “the immortal gods,” invoked by Caesar, “have often saved this republic in moments of extreme danger.” But the gods don’t respond to “vows” or to “womanish entreaties.” The gods help those who help themselves “by means of watchfulness, vigorous action, and good counsel.” But “when you surrender yourself to sloth and cowardice, it is vain to call upon the gods; they are offended and hostile.” Thus “in the days of our forefathers” a general commanded that his son be executed after the young man, in a display of “immoderate valor,” “fought against the enemy contrary to orders.” In light of that, “do you hesitate what punishment to inflict upon the most ruthless traitors?” No: punish them “after the manner of our forefathers.” And so the senators did. 

    At this point Sallust intervenes to deliver judgments in his own voice. “Now, for my own part, while reading and hearing of the many illustrious deeds of the Roman people at home and in war, on land and sea, a desire happened to stir in me to give thought to what factor in particular had made possible such great exploits,” whereby “a handful of men had done battle with vast enemy legions,” waging war against “powerful kings” with “small resources,” enduring “the cruelty of Fortune.” The Greeks had been more eloquent; the Gauls had won more “martial glory.” What was it, then, that made Rome great? “It became clear to me after much deliberation that many things were in motion and that all had been accomplished by the distinguished courage of a few of the citizens, and that as a result of this, poverty had triumphed over riches, and small numbers over a multitude. But after the civitas was corrupted by luxury and sloth, the republic still sustained the vices of generals and magistrates by its very magnitude, and just as the vigor of parents is exhausted by childbearing, so many storms had exhausted Roman virtue, and there was no one great in virtue remaining in Rome.” 

    This defense of the virtue of the few, of aristocracy, inclines toward Cato’s side of the argument. However, Sallust immediately adds that “within my own memory there were two men of towering virtue, though of opposite character, Marcus Cato and Gaius Caesar.” They were “almost equal” in ancestry, age, and eloquence, equal in “greatness of soul and in renown,” but “each of a different sort. “Caesar was considered great because of his benefactions and lavish generosity, Cato for the uprightness of his life.” Consequently, liberal Caesar provided “refuge for the unfortunate,” severe Cato “destruction for the wicked.” In peace, Caesar worked hard, remained vigilant and often “devoted himself to the affairs of his friends at the neglect of his own,” but he really desired “a major command, an army, a new war in which his merit might be able to shine forth.” Cato instead “cultivated moderation, decorum, and above all sternness,” vying not “in riches with the rich, nor in factitiousness with the factious but with the strong in virtue, with the moderate in moderation, with the innocent in integrity. He preferred to be, rather merely to seem, virtuous,” and “hence the less he sought renown, the more it overtook him.” It is well known that in his youth Sallust allied himself with Caesar. Having retired from political life, he now offers the verdict of his mature judgment.

    Cicero ordered preparations for the execution of the conspirators. Lentulus thereby “found an end of his life befitting his character and his deeds,” as did the others. As for Catiline, still backed by his ally, Manlius, and two legions of poorly armed troops outside Rome, he first attempted to retreat over the mountains into Transalpine Gaul. The Romans cut off that route with three legions already on guard in the Picene district; meanwhile, troops under Antonius’ command pursued him from Rome. Trapped, with no choices but surrender or defiance, he chose defiance, exhorting his men in a speech blaming Lentulus’ failure to foment sufficient disorder in Rome for their plight and invoking their “brave and ready soul.” “We must hew a path with iron “to win “riches, honor, glory, and on top of that, liberty and your native land.” Our enemies only “fight on behalf of the power of a few men.” Coming as it does after Sallust’s praise of aristocratic virtue, this description of a ‘populist’ or ‘democratic’ argument shows that Sallust’s history takes up Aristotle’s theme of the claims to rule by the few and the many, in this case a ‘few’ that has largely declined from true aristocracy, the ‘rule of the best,’ to oligarchy, the rule of the merely rich. Catiline hopes that he can inspire the many to rise up to the virtues of the few who ruled Rome in generations past. So far, however, he has failed to triumph precisely because the many have declined in virtue as badly as the few. He would fortify their remaining aspirations to virtue and their desire for material and political goods with the claim of necessity: “In battle the greatest danger always threatens those who show the greatest fear; boldness serves as a rampart.” And so, “your soul, youth, and valor encourage me, not to mention necessity, which makes even the timid brave.” 

    In the battle, Catiline’s men faced off against the seasoned professional troops led by Marcus Petreius, Antonius’ deputy commander who was pressed into battlefield leadership by his boss, who was suffering gout. Both sides fought courageously. “When Catiline saw that his troops had been routed and that he had been left with a few comrades, mindful of his birth and his former standing, he plunged into the thickest of the enemy and while fighting there was run through.” None of his men had retreated, as “all had fallen with wounds in front.” No freeborn citizen was taken prisoner. The Roman army “had gained no joyful or bloodless victory,” as “all the most resolute had either fallen in the battle or come away with severe wounds.” Therefore, the surviving victors were “affected with exaltation and mourning, lamentation and gladness.”

    The regime of the few rich thus preserved itself, not because its troops were any more courageous than the regime’s enemies but because they were better armed and more experienced in battle. A commander with better resources, appealing to the many, might have prevailed. Eventually, Caesar did. Cato won the debate, Caesar the empire.

     

    Note

    1. Not that Cataline gave up his hopes of murdering Cicero, the one man in Rome who as “a serious obstacle to his plans,” as a man of genuine virtue.
    2. Cicero: “First Oration against Catiline.” In this brilliant speech, Cicero not only presents the evidence against Catiline and his confederates but recommends a course of action superior to the ones proposed by Caesar, some years later. Cicero urges the Senate not to jail the conspirators, as Caesar would advocate, but to expel Catiline from Rome, along with the other conspirators, let them concentrate their forces outside the city, then deploy the superior Roman legions to crush them.

    Filed Under: Nations

    Churchill at War

    December 15, 2021 by Will Morrisey

    Anthony Tucker-Jones: Churchill Master and Commander: Winston Churchill at War 1895-1945. Oxford: Osprey Publishing, 2021.

     

    As the dates Tucker-Jones puts in the title of his book suggests, Winston Churchill was at war, in one sense or another, for most of his adult life. He never initiated a war but he fought—first as a soldier, then as a civilian—in most of the many wars his country engaged in during the last half-century of the empire Victoria had ruled, an empire upon which the sun never set and the dust never settled. Churchill fought his wars with a boldness bordering on recklessness; on Aristotle’s continuum of virtue, whereby courage lies between the extremes of cowardice and rashness, he placed himself on the middle-right of the equation as “one of the greatest military and political chancers of all time.” “On occasion he gambled and lost spectacularly,” but when he finally walked out of the casino his pockets were far from empty. A man of supreme spiritedness, “quite simply he loved to be in the thick of it.” And if “throughout his long life he was drawn to the sound of the guns like a moth to a flame,” it must be said that he never flew right into it, only getting his wings and antennae singed on occasion. The same can be said for the British Empire through the end of the Second World War. As the Brits would say, it was often a near thing, but never a fatal thing. 

    The young man enlisted in the Fourth Queen’s Own Hussars in 1895. Bored, he arranged approval to go to Cuba as an “observer” to the conflict in which Cubans were fighting against the weakening Spanish Empire. In fine aristocratic fashion, his mother pulled strings so he could write reports for a London newspaper—an opportunity to make money and a name for himself. He found himself sympathetic to the rebels’ cause but critical of their lack of discipline; while the Spanish troops did have discipline, they lacked energy. He was “dismayed” to see Spanish officers fail to order close pursuit of “the retreating rebels.” What Tucker-Jones doesn’t mention is Churchill’s suggestion, in one of his published articles, that the British might take over the island, a notion that may have attracted the unfavorable attention of another young chancer, Theodore Roosevelt, who took an early disliking to the British adventurer. Back in London, the men who had signed off on Churchill’s foray “soon regretted” it, as “the Spanish government expressed its displeasure” with Churchillian journalism to the British ambassador in Madrid. 

    This hardly fazed our intrepid reporter. Returning home, he didn’t stay for long, next wangling two trips to India with a promise from Lord Kitchener to put his name on the list for a commission with the British expeditionary force in Egypt sandwiched in between. In his first Indian adventure he joined “the aptly-named Brigadier-General Sir Bindon Blood,” again as a news correspondent, in a punitive mission against Indian rebels at Malakand. “He saw more fighting than I expected,” Sir Bindon recalled, “and very hard fighting too!” Out of this, Churchill wrote not only newspaper articles but his first book, The Story of the Malakand Field Force. Planning a political career, he understood that it wasn’t enough only to act but to think and to write. That, along with an exceptionally kind Providence, saved him from ruin and prepared him for statesmanship. Yes, he was building a reputation, but he was also building a storehouse of well-considered experiences, the foundation of intelligent practice in the future, when he would take charge of the next generation of Bloods.

    Kitchener was unhappy at having his arm twisted to accept Churchill, “not only because of his lack of commitment to his military career, but also because he had pulled political strings to get there.” And he didn’t care for the prying eyes of a young lieutenant who could be counted on to publish judgments on his superior’s conduct of the campaign. For his part, Churchill “wanted to take part in the historic recapture of Khartoum,” which he did. In so doing, he “narrowly escaped death” on several occasions “and felt that glory was calling,” not only to himself but to his country, as “this and his earlier escapades in India gave him an unshakable faith in the country’s prowess on the battlefield.” True, “he had finally overplayed his hand” in his self-conceived role as soldier-journalist. “Kitchener was stung by Churchill’s very public criticism of his conduct” of the campaign and the War Office decreed “that serving officers were not to write for the press.” No less a personage than the Prince of Wales weighed in with a rebuke. It must be said that posterity has reaped the greatest benefit from this affair: Churchill’s superb book, The River War. His previous book had been an adventure story; this one teaches lessons in geopolitics. True, “Kitchener and his circle of friends scoffed at the notion of Churchill as some sort of self-appointed military expert,” but technical expertise wasn’t what Churchill or his readers, then and now, need. They have needed a sense of military and political strategy, and that is what Churchill teaches them. Churchill resigned his army commission in May 1899, having calculated that even a brief (if well-publicized) military career would prove a useful entrée to politics. The voters were less impressed; he lost his first parliamentary election. 

    Churchill solved this problem by returning to the wars, this time as a journalist simply, in South Africa. There, the Boers, Dutch settlers who resented ever-increasing British imperial encroachments, had already fought one war against their rivals in the early 1880s. But by the 1890s, British gold-seekers had begun to outnumber the Boers in Transvaal and in 1899 the Second Boer War began. “If [Churchill] was to get a book out of this trip he needed to have some adventures. If that meant having some close shaves as always that was a price he was prepared to pay.” That’s what happened. He got caught in an ambush, escaped, wrote a thrilling account of it, and returned (after witnessing and writing about several other battles) to a hero’s welcome in England. “The Churchill legend had begun to gather momentum”; “by the age of 25 he was known worldwide.” This time, he won that seat in Parliament, from which vantage point he saw the eventual, costly, British victory over the Boers. 

    Not allowing his newfound fame to go to waste, Churchill “skipped the opening of Parliament,” delaying his maiden speech until mid-May of 1901, rather unprophetically inveighing against “military expenditure and talk of war in Europe.” Three years later, he switched from the Conservative to the Liberal Party and was rewarded with the post of Undersecretary of State for the Colonies in 1905. “He would learn the vast Empire was not strategically or politically integrated and remained wholly reliant on the Royal Navy to defend it.” Appointed to the office of Home Secretary in 1910, he developed an appetite for information provided reformed Secret Service, now divided into an intelligence gathering service (MI6) and a counterintelligence service (MI5). He read evidence showing that German agents were studying the British and their empire with “minute and scientific” precision. He revised his opinion of German intentions and of the need for British military preparedness accordingly and, having already understood the indispensable role of the Navy in imperial defense, he won appointment as First Lord of the Admiralty in October 1911. “The Navy prospered under Churchill, with him overseeing the impressive Dreadnought battleship program, building up the Royal Navy Air Service and introducing a naval staff for the very first time.” Great Britain would need these resources in the conflagration that began in 1914.

    Although Churchill had served in the Army and ran the Navy, he had yet fully to attend to the need to coordinate the two branches in combined operations. This contributed to the calamitous defeat in the 1915 attempt to assault the Dardanelles, by which he intended take pressure off the Western Front and come to the aid of the Russians in the east. “In principle, Churchill’s plan was sound; in its execution it was to prove a disaster,” being undertaken too slowly (the Turks, Germany’s allies, had time to mount defenses) and without adequate British ground support. In response to the criticisms, Churchill could only argue that he wouldn’t have “consented to naval operations in February and March had he known sufficient troops would not be available until May.” He offered his resignation, and after some hesitation, Prime Minister Asquith accepted it. “I thought then that I was finished.” He wasn’t. But he did learn that “combined operations with the army and the navy should never be run by committee. There needed to be an overall commander-in-chief with clear goals from the very start.” When the Second World War began, he saw to it that he would act as that commander.

    Churchill soon volunteered for Army service in France. Appointed Lieutenant-Colonel of the Sixth Battalion, Royal Scots Fusiliers, he overcame the soldiers’ initial skepticism of their celebrity officer, fresh from a major setback, by careful attention to their needs. His adjutant later testified, “He overlooked nothing.” His battalion saw action in Belgium in the first half of 1916, after which he returned to resume his Parliamentary seat. By 1917, Prime Minister David Lloyd George had replaced Asquith, and he brought Churchill into his Cabinet as Minister of Munitions. This, it should be remarked, made a great deal of sense. As a military strategist, Churchill had been discredited, however unjustly. But in his stint at the Admiralty he had shown himself an excellent administrator of military preparation and supply. Sure enough, Churchill set Army technicians to work developing tanks, which proved useful in fending off the last German offensive in 1918 and in the victorious Allied counter-offensive that followed. 

    In the aftermath of the war, the Prime Minister rewarded him with the post of Secretary of State for War and Air. In this capacity, Churchill responded vigorously to the impending threat of a Communist victory in the Russian civil war, which had followed the overthrow of the Czar in 1917. “Churchill warned that Lenin and his Bolsheviks presented a far greater threat than the Kaiser and Germany ever did,” proceeding under the slogan, “Peace with the German people, war on the Bolshevik tyranny.” Although Tucker-Jones laments that “Churchill seemed blind to the reality that the disunited Whites committed just as many appalling atrocities as the Bolsheviks,” he himself seems short-sighted in ignoring the difference in the threat to Europe from a regime of ideologues with international ambitions as distinguished from Whites, who had few if any such designs.

    Churchill supported international military intervention in Russia. This “simply roused the population to support the Red Army against the Whites and the foreign invaders.” Lloyd-George was more cautious than Churchill, worrying that Britain couldn’t afford any major drain on its resources after an exhausting war in the West. In addition, he and the majority of his Cabinet blundered in returning 500,000 Russian prisoners of war who had been interned in Germany, against Churchill’s recommendation that they be re-equipped and sent to fight with the Whites. In the event, the Reds absorbed most of these soldiers into their forces, drove back the White armies and headed west toward Poland, where only a last-hour stand by the Poles in August 1920 saved Central Europe, and possibly even Germany, from Communist revolution. “Churchill felt that with a large chunk of the Red Army destroyed, now was the time for the Whites to renew their attack”; the Cabinet disagreed, British troops withdrew, and the Reds crushed the Whites. “Churchill’s attempts to help the Whites had been constantly hobbled by the Cabinet’s insistence on the withdrawal of British troops.” This suggests the thought that the intervention either should not have been launched in the first place or, having been launched, it needed vigorous and consistent Allied support. As to Churchill’s initial judgment, that Communist Russia would prove more dangerous to Great Britain and the world than Kaiser Germany, it’s hard to argue against that.

    Churchill also made the right call when he insisted on maintaining the independence of the Royal Air Force against those who supposed it would be more economical to merge it with the army. In addition, he established the RAF officer training college; “this was to prove a vital decision come the summer of 1940 when pilot training was at a premium.” In a sense, the Battle of Britain was won by Churchill’s actions some twenty years beforehand.

    Less successfully, Churchill attempted to direct traffic on “Ireland’s bloody road to independence and partition.” Before the war, he “moved from opposing home rule” for the Irish “to supporting it on the basis that Ireland remained under British authority,” inasmuch as an independent Ireland would break up the United Kingdom at exactly the time when Germany was preparing for war. After the war, he was no less “implacably opposed to full Irish independence,” recommending that the RAF be deployed to attack the Irish Republican Army. Less sanguinary policies prevailed, but when the Irish Republican candidates won district council elections in 1920 “a wave of political and sectarian violence” swept through the country. England may have left its religious wars behind, but Ireland had not. Churchill tried to reframe the conflict in economic terms (“If Ireland were more prosperous she would be more loyal, and if more loyal more free”); the trouble was that ‘The Troubles’ weren’t really about comfortable self-preservation. The eventual solution—the 1921 division of Ireland between the mostly Catholic south and the mostly Protestant north—never satisfied Irish Catholics, who continued to demand a united, sovereign Ireland ruled by a Catholic majority. Ireland would simmer throughout Churchill’s lifetime and well beyond it; even in World War II, the president of the Irish Republic, Eamon de Valera, himself threatened by IRA extremists, would refuse to lend much support to the hated English. For his part, Lloyd George discreetly moved Churchill off the problem, transferring him from War and Air to the post of Colonial Secretary.

    There, another problem awaited him, as the aftermath of the Great War required the Allies to manage the elements of the now-dissolved Ottoman Empire. In 1921 he chaired the Cairo Conference, aiming at “ensur[ing] effective administration of Ottoman lands ceded to Britain by the Treaty of Sèvres,” signed the previous year. Churchill established Iraq and Transjordan as buffer states protecting Great Britain’s main interest in the region, the Suez Canal. In Egypt itself, nationalists encouraged by the Irish uprising posed a nearer danger. Here, he partnered with his fellow military-political celebrity T. E. Lawrence, who had practiced the same kind of guerrilla warfare in the Middle East that Churchill had seen in South Africa. Lawrence had initially hoped to see a pan-Arab state in the Middle East. But this required defining who was an Arab and who was not; a shared language could not sufficiently unite the many tribes who spoke it. “It may have pained Lawrence, but it was beholden on him to highlight to Churchill that the bulk of Arabia [against the Ottoman Turks] had not supported the rising that commenced in Mecca.” More, the treaty had granted rule over two parts of ‘Arabia,’ Lebanon and Syria, to France, a rival empire. For his part, Churchill never forgot that the jewel of the British imperial crown, India, was riven by conflicts between Muslims and Hindus, who would be watching British policy toward Arab Muslims with considerable interest. Following Lawrence’s recommendation, Churchill made the Hashemite Faisal I king of Iraq, a move that “replicated British policy with the maharajahs of India.” Unfortunately for the future of Iraq, the local tribes were never disarmed. They proceeded to threaten the monarchy rather as feudal lords had threatened the monarchs of medieval Europe. “Although a small Iraqi army was established it was mainly recruited from the Kurds,” not the Arabs. As with Ireland, this settlement didn’t really settle the matter, although it was well received in Parliament at the time. The British did retain the military power to defeat a Turkish attempt to return to Iraq, using RAF bombers to crush them. Rebellious tribes were treated to the same punishment and Iraq was pacified, for a while, by force majeure.

    Lloyd George’s governing coalition dissolved the following year and Churchill himself lost his seat in the 1933 election. He returned to Parliament as an independent after winning his seat back in 1924, then rejoined the Conservative Party. He became Chancellor of the Exchequer in the new Tory government headed by Stanley Baldwin, but the worldwide economic depression at the end of the decade knocked out that administration and boosted the Labourites to power. As is well known, as a Conservative M.P. in his ‘Wilderness Years’ Churchill strongly opposed the Indian independence movement and its leader, Mohandas Gandhi, warned about British military unpreparedness in the face of Hitler’s regime and its rearmament in defiance of the Versailles Peace Treaty, and continued to inveigh against Soviet Communism, which now had as it leader a tyrant even worse than Lenin.

    With such enormities looming, he understandably paid less attention to East Asia, where he “felt that Japan provided a counterweight to the dangers posed by the spread of Communism in China and the Soviet Union.” In this he was mistaken. Instead of turning north after seizing Manchuria in 1931 the Japanese rulers moved south, where the countries (including China) were much more feebly defended than the Soviet Union was. Against the Japanese invaders, the Chinese Nationalist Chiang Kai-Shek was forced into alliance with Mao’s communists, over whom he had enjoyed the military edge in China’s civil war. In the end, Japan would choose the wrong side in the coming war in Europe and China would be taken by the Communists, but not before causing serious injury to British interests in the region.

    Famously, in 1940 Churchill returned to high office as Prime Minister, his reprobation of the British failure to deter Hitler’s ambitions having been thoroughly vindicated. Removing the hapless Neville Chamberlain and installing the worrisome Churchill was the only way the Conservatives could hope to remain in power. Having learned in the failure of the Dardanelles campaign that winning a war requires a commander-in-chief, Churchill “created for himself the new post of Minister of Defence, thereby placing himself directly above the Chiefs of Staff,” thus taking “personal control of the war.” He did this just in time to oversee the evacuation of British and some French troops from Dunkirk, where they were about to be immolated by the German army as it swept through France to the west coast of the English Channel. “Thanks to the heroic efforts” of British officers on the ground, “Churchill narrowly avoided what would have been the worst defeat ever in British military history,” a defeat that might well have caused the collapse of his government and British capitulation to Hitler.

    Instead, the Battle of Britain began, matching the Royal Air Force Churchill had fostered against the German Luftwaffe. During the German aerial blitz, Churchill “resolutely toured Britain’s bombed cities to show solidarity and boost morale,” in “stark contrast” with Hitler, who “refused to visit any of Germany’s devastated cities.” By September 1940, the main German aerial assault had failed, it was too late in the year to launch for the Germans to launch a land invasion, and although sporadic bombings continued until 1944 Churchill eventually assured one colleague, “We’re going to win, you know.” Sure enough, frustrated in the west, Hitler turned east, betraying his pact with Stalin’s regime and heading for defeat on a Napoleonic scale. For his part, Churchill planned on deploying the RAF to ensure the tyrant’s ruin by what he called “an absolutely devastating, exterminating attack by very heavy bombers from this country upon the Nazi homeland.”

    Throughout the war, Churchill sought to bring together in a coordinated plan the various kinds of warfare he had seen in his near-half century of military study and experience. In 1942, he began to use guerrilla/commando raids in Normandy as preliminary to the major assault that would begin two years later. These forces were gradually expanded; by D-Day they consisted of four Special Service brigades manned by Army and Marine troops. On D-Day itself one of these brigades linked up with the British Airborne Division for coordinated assaults, whereby the air forces would kill enemies and stun those they didn’t kill, making them easier prey for the foot soldiers. Meanwhile, the heavy bombers continued to devastate German cities with area bombing raids, including the firebombing of Dresden, in which some 25,000 people died. Another important dimension of D-Day preparation was the Navy’s war against German submarines, which turned in Great Britain’s favor by mid-1943, ensuring a steady supply of men and material from the United States and Canada. 

    Churchill had always understood that the Americans were indispensable to winning the war on the Western Front, saying that his second order of business, after surviving the Luftwaffe attacks on his island, must be to “drag the Americans in.” He went so far as to have MI6 “forge a German language map showing Hitler’s plans to attack South America; FDR took this spurious bit of intelligence seriously, describing it in an October 1941 radio broadcast. In the event, it was Japan that dragged the Americans into the war, and this led to another worry—that FDR might reduce supplies of ships to Britain in order to concentrate on rebuilding the US Pacific fleet destroyed at Pearl Harbor. Roosevelt, however, understood that the Germans posed the more immediate threat to the North American continent, preserved the supply line, and agreed with Churchill on a ‘Europe first’ strategy.

    “For Churchill the Japanese threat in the Far East was always an unwanted distraction.” Except for Hong Kong, Malaya, and Singapore, Great Britain’s major Asian holdings were well removed from Japan. He overconfidently assumed that even Singapore was too distant to be threatened. He considered the Navy adequate for its defense, although it was already heavily involved in the Atlantic and the Mediterranean; moreover, British air power in the region was weak, and Churchill preferred to manufacture planes for the European campaign, including many he sent to strengthen the Soviet forces. As a result of this miscalculation, both Malaya and Singapore fell to the Japanese early in 1942. This was such a serious blow that Churchill “considered stepping down or at least relinquishing some of his responsibilities,” but he rallied, added Clement Atlee to his Cabinet as Deputy Prime Minister, but stayed on as both Prime Minister and Minister of Defence. Fortunately for Churchill and for the course of the war, “the ample intelligence warnings about the Japanese threat” he had received were unknown to the British public or Parliament at the time. “It is hard to see how Churchill could have survived the political fallout” if they had been.

    Adding to his Asian dilemma, Indian dissidents aimed at taking advantage of the war to fight for independence. Churchill sent Sir Stafford Cripps to offer India self-governing dominion status after the war, the arrangement enjoyed by Canada. Nationalists detested one stipulation: That any Indian state or province “could opt out of the proposed union”; they “wanted a united states of India,” knowing that otherwise the Muslim population in the Pakistan region would readily declare independence—as in fact they eventually did. “Cripps had no magic wand with which to heal the rifts in Indian domestic politics nor could he speed up the process of granting greater autonomy.” Nonetheless, the Indian army and police, who held the real power, “remained steadfastly loyal” to Great Britain for the duration of the war, although Churchill still needed to deploy 100,000 soldiers to put down the nationalist insurrection. “After these tense weeks in the summer of 1942, Churchill knew deep down that Indian independence could not be ignored forever.”

    Scarcely one to regard British help with gratitude, Stalin “could never forget Churchill’s military intervention in Russia” after the First World War. Throughout the 1930s, Stalin “was only interested in the survival of Soviet Communism,” and his “support against Fascism” in the Spanish Civil War and elsewhere “simply fueled Soviet totalitarianism in the name of protecting the [Soviet] state.” (This came as a rude surprise to the leftist utopian novelist H.G. Wells, who interviewed the tyrant and learned that he despised Roosevelt’s New Deal as “a move to con the American working class.”) When Hitler attacked the Soviet Union in 1941, Churchill “was initially convinced that the Soviet Union, despite the size of the Red Army, would fall swiftly just like France,” reprising the fate of the Czarist regime in the First World War. 

    But by spring of 1942, the Red Army had survived, and the Kremlin demanded not only Allied commencement of a push against Germany from the west but postwar control of eastern and central Europe. “Churchill was not prepared to abandon the Poles, as it was Poland’s dismemberment that had brought Britain and France into the war in the first place.” Moreover, Churchill pointed out that Great Britain and the United States simply would not be prepared to launch a western counteroffensive in the near future. Stalin raged, but he had no way to compel the West to act; Churchill was simply telling him the truth, something Stalin was not accustomed to being told by his underlings. Nor could he understand “Britain and America’s preoccupation with the Mediterranean,” which is where they concentrated their efforts in 1943. The was simple: they hadn’t yet mustered the military strength to fight the Germans in northern Europe and permitted themselves to hope that Italy would prove a “soft underbelly” through which northern Europe could be attacked. “Churchill and Roosevelt, thanks to their determination to defeat the Axis powers, made their decisions largely on military rather than political grounds. Stalin in contrast took a much longer-term view of the war. He was determined to safeguard Soviet soil by protecting it from any future surprise attack by Germany.” At the Tehran Conference at the end of the year, Stalin assured FDR that “all he wanted was to ensure the safety of his own country and that he would work towards democracy and peace.” He did not remark that “democracy” to him meant the dictatorship of the proletariat under the triumphant banner of the Communist Party vanguard, and that “peace” meant a world under Communist Party rule. Roosevelt, who often worried more about the British Empire than any impending Soviet one, began to distance himself from Churchill. This left Churchill to worry about Communist inroads in the Balkans, particularly Greece, where civil war between the local Communists and non-Communists had erupted and the latter, with British assistance, managed to hold the line, even though the rest of the Balkans were to be ruled by Communists in the postwar period.

    The result of all this was Soviet domination of the regions Stalin most wanted to dominate, including much of Germany. As for Churchill himself, he lost the prime ministership in the elections following V-E Day. Voters, and especially British servicemen, were fed up not so much with Churchill but the Conservative Party, which they held largely responsible for the failure to deter Hitler in the first place. One suspects that, having ended the danger of the Nazis in Europe, they didn’t relish the prospect of continuing in the fight against Japan, preferring to leave that to the Americans. In the summer of 1945, they knew nothing of the development of the atomic bomb, which would make any drawn-out campaign in the Pacific unnecessary.

    Tucker-Jones concurs with Churchill’s own judgment of his career, writing that “his long apprenticeship” in military affairs prepared him “for the day he became Prime Minister.” By 1940, “no one was as well qualified as he was.” In all, “he chose a role in life and played it well.”

    Tucker-Jones plays his own role well, too, although not without flaw. Clear on the menace of the Nazi regime, he is oddly blind to the character of Soviet Communism. Stalin’s “attempts to shape Russia’s future,” he writes, “were founded on the fear of Bolshevism and the impact it could have on the world order. Unfortunately, by championing international intervention” in the aftermath of the First World War “he helped to ensure that the Soviet Union became an enemy of the West until 1941” and fueled “that historic mistrust” that “quickly returned, leading to the Cold War.” This, it must be said, is rubbish. The Soviets had always intended to overthrow what they regarded as ‘bourgeois democracy.’ They were Marxists. 

    Filed Under: Nations

    The Costs of Chinese Leninism

    November 23, 2021 by Will Morrisey

    Desmond Shum: Red Roulette: An Insider’s Story of Wealth, Power, Corruption, and Vengeance in Today’s China. New York: Scribner, 2021.

     

    Socialism seldom if ever works as advertised. Although socialists intend to equalize economic, political, and social conditions, to do so they must empower themselves. Human nature being what it is, corruption ensues; politics being rule, a ‘new class’ comes to dominate; political economy being what it is, prosperity declines, sooner or later, in the absence of property rights.

    In Soviet Russia, Lenin acknowledged the new regime’s vulnerability in his Report on the Work of the Council of People’s Commissars, published in December 1920. “Communism is Soviet power plus the electrification of the whole country. Otherwise the country will remain a small-peasant country, and we must clearly realize that we are weaker than capitalism, not only on the world scale, but also within the country.” Accordingly, all those now counted among the ruling Bolshevik party who have displayed un-Bolshevik leanings in the past must be purged, and the party must enforce strict labor discipline in order to increase economic productivity. A year later, announcing his “New Economic Policy,” Lenin wrote that “our Party must make the masses realize that the enemy in our midst is anarchic capitalism and anarchic exchange”—what ‘bourgeois’ economists call free markets under the rule of law. The Communist Party must control the means of production and exchange. Internationally, Lenin asserts that “the bourgeois countries must trade with Russia; they know that unless they establish some form of economic relations their disintegration will continue in the way it has done up to now.” He announced that the Soviet Union would send diplomats to the 1922 Genoa Conference on international trade since, although as a Communist he was no pacifist, it is better to encourage bourgeois pacifists than bourgeois warriors,” such as those who had invaded the Soviet Union shortly after the Bolshevik Revolution.

    It would have been awkward to admit that the Soviet Union needed bourgeois goods more than the ‘bourgeois democracies’ and their supposed capitalist masters needed Soviet goods. What Lenin needed was foreign investments in Russia by those very capitalists. This required a new type of economy, one that permitted capitalist development under the ruling eye and arm of the regime of the dictatorship of the proletariat. Yet “not a single book has been written about state capitalism under communism. It did not occur even to Marx to write a single word on the subject…. That is why we must overcome the difficulty entirely by ourselves.” Under ‘proletarian’ rule, “state capitalism is capitalism which we are able to restrain, and the limits of which we shall be able to fix,” inasmuch as we Soviet Communists, as the vanguard of the proletariat in Russia and indeed worldwide, “are the State.” In one sense, Lenin argued, the New Economic Policy was a strategic retreat, in another an advance in relation to the petty-bourgeois economy of anarchic capitalism and anarchic exchange. “We are now retreating, going back, as it were; but we are doing so in order, after first retreating, to take a running start and make a bigger leap forward.” (Decades later, Mao would appropriate “great leap forward” as the term for one of his own ‘programs.’) In so doing, “we must calculate how, in the capitalist environment” now prevailing in the world, “we can ensure our existence, how we can profit by our enemies,” who intend to “bargain at our expense.” (“Do not in the least imagine commercial people anywhere turning into lambs and, having turned into lambs, offering us blessings of all sorts for nothing.”) The “very difficult task” that lies ahead we must “surrender nothing of the new” regime—we “shall not forget a single one of the slogans we learned yesterday”—”and yet give the capitalists such advantages as will compel any state, however hostile to us, to establish contracts and to deal with us.” Although “our Party” remains “a little group of people in comparison with the country’s total population,” this “tiny nucleus has set itself the task of remaking everything, and it will do so,” as “we have proved that this is no utopia but a cause which people live by.” “NEP Russia will become socialist Russia.” Yes, the capitalists and their investment money will be drawn in, but always under the rule of the Communist regime. Once socialism in Russia had been reinforced by foreign capital, a new policy could commence, with few capitalist features.

    China’s path to the New Economic Policy differed, but the purpose was the same. In China, under Mao Zedong’s tyranny, Stalinism came first, not Leninism. But after the old genocidist died (peacefully, in bed, as indeed his role model had done), Communist Party oligarchs began to found Lenin’s latter-day policies more appealing, given the self-induced weakness of their country vis-à-vis the United States, victorious in its Cold War against the regime Lenin had founded. The Party opened China not only to foreign capital but to Chinese capitalists. As Desmond Shum rightly observes, “Starting in the late 1970s, when the Chinese Communist Party gave everyone a breather so it could recover from its own disastrous mistakes, it opened the window a crack and allowed the world to imagine what a freer, more open China could be.” As he correctly sees, this “honeymoon with entrepreneurs…was little more than a Leninist tactic, born in the Bolshevik Revolution, to divide the enemy in order to annihilate it,” a “part of the Party’s goal of total societal control”; in this, the Party remained entirely Maoist—recalling the tyrant’s “Thousand Flowers” campaign, whereby he encouraged his subjects to begin expressing their opinions freely, the better to identify dissenters and to deal with them. And as with the NEP, the Party successfully drew in foreign investors, bringing in the capital they needed from foreigners who, (a) had it and (b) could easily be expelled when their usefulness had been outlived. Also as with the NEP, Chinese with capitalist hankerings and abilities were permitted to use that capital, so long as the Party kept its hands fully on the financial spigot.

    With his then-wife, Mr. Shum joined the ranks of enterprising young Chinese the regime played for suckers. Born in Shanghai in 1968, the year of Mao’s brutal ‘Cultural Revolution,” Shum had no family connections with the CCP; his father’s side of the family were landlords—what the Communists called “born rats.” However, his mother’s family had foreign connections, making them useful to the regime, not persecuted by it. They were by no means protected from all the exigencies of the Cultural Revolution, however, having been shipped “to the countryside to learn from Chinese peasants” about the value of hard physical labor. But because they never lost their permits to live in Shanghai, his parents were allowed to take turns in reporting to the villages, with one always staying with their son in the city. Under this arrangement, little Desmond was urged on to achievement with the Chinese equivalent of tough love, which mixed frequent paternal beatings with such maternal admonitions as “Stupid birds need to start flying early.” A decade later, mother and son moved to then-independent Hong Kong (one of those useful foreign connections, the Party chiefs doubtless supposed), and father joined them a couple of years after that. 

    “Hong Kong was another world”—a different regime with a different way of life, including “the concept of privacy,” which “didn’t really exist on the mainland.” The concept of privacy stems from the concept of property, especially the concept of self-ownership; the boy had moved into a new kind of regime. This move was the first of several; he would attend college in the United States and eventually settle in Europe, where he lives today. “I became a chameleon, adept at changing skins to match the place,” but retaining the Chinese trait of care for personal reputation, driven by “the fear of looking bad,” of ‘saving face.’ Multiple regimes had engrained this ethos in the Chinese, and the CCP regime had never attempted to eradicate it, only to manipulate it when some individual or group stepped out of line—as in the Cultural Revolution itself, when ‘bourgeois’ elements were assigned farm work under the supervision of peasants, themselves under the rule of the Party. 

    Returning to Hong Kong after college, Shum joined an investment firm, with interests on the mainland. After Mao’s death, “the state was effectively bankrupt.” With the accession to Party dictatorship of Deng Xiaoping, a Chinese version of the NEP was firmly installed. Deng and his allies had no “belief in the tenets of free-market capitalism”; they acted out of “necessity,” as Lenin had before them. This, as the slogan went, would be ‘capitalism with Chinese characteristics,’ which predictably consisted of continued Communist Party rule, which means ‘capitalism’ without property rights. If all property belongs to the centralized state, and the state belongs to the Communist Party regime, business requires cultivating the persons who constitute that regime. “I quickly learned that in China all rules were bendable as long as you had what the Chinese called guanxi, or a connection into the system,” the rule of law being infinitely malleable in the hands of the oligarchs. Guanxi is the Chinese “recipe” for “marrying entrepreneurial talent with political connections,” thereby keeping the former firmly controlled by the latter. “In China, connections constitute the foundation of life,” from doing multimillion-dollar real estate deals to getting a vanity plate for your Audi. Accordingly, the children of the regime “functioned like an aristocracy; they intermarried, lived lives disconnected from those of average Chinese, and made fortunes selling access to their parents, inside information, and regulatory approvals that were keys to wealth.” “Basically, the Party said, give us your freedom and we’ll let you make money,” leaving government ministries with “vast gray areas so that if the authorities wanted to target anyone for prosecution, they always could.” This made corruption a growth industry.

    “I was a foreigner in my homeland.” To deal with this newly reshaped Communist regime, Shum desperately needed a mentor. He met and eventually married her: Duan Zong, a.k.a. Whitney Duan, a brilliant and well-connected executive in the Great Ocean corporation, which sold hardware to the telecom industry. “She was the first one who lifted the hood” of the CCP regime, the one who showed him its inner mechanisms of power. For his part, he understood finances, advising her on how to raise money for Great Ocean. In this way, and from the start, the Chinese regime pervaded their partnership: “Whitney’s view of passion, love, and sex was that we could grow into them, but it wouldn’t be the glue that would bind us. What would cement the relationship would be its underlying logic—did we share values, desire the same ends,” namely “to make a mark on China and the world,” and “agree on the means”? The means were to work the guanxi network, currying approval of the ruling class of CCP oligarchs, of which ruling body Whitney was a mid-level member. Alluding to Joseph Conrad’s chilling novel, Shum writes, “Whitney invited me on a journey into China’s heart. Each bend of the river carried us deeper. With each twist, we became more and more creatures of China’s ‘system,’ a Chinese code word used to signify the country’s unique amalgam of political and economic power that emanates from the highest levels of the Chinese Communist Party.” As it happened, Whitney, herself no scion of the oligarchs, had her own mentor and protector, Zhang Ayi, the wife of vice-premier Wen Jiabao, a functionary who, whatever his interest in “a freer, more open China” may have been, cautiously “hewed to the rules of the Chinese power structure,” which he served as an administrator and not as a Party general secretary—the supreme ruling office held by Mao, Deng, and by the late 1990s, Hu Jintao. While “Auntie Zhang,” as the young couple called her, socialized and opened doors for her proteges, Wen usually looked the other way. And rightly so, in the eyes of his superiors: “China’s state-owned firms were losing buckets of money, so private entrepreneurs like Whitney and me were still crucial to keep the economy afloat and unemployment down.”

    “Whitney shared with me her plan to groom Auntie Zheng and others in the Party hierarchy.” Mr. Shum became her sole trusted sounding board for these strategies and tactics. Once the two women decided he “possess[ed] the necessary business acumen to complement Auntie Zhang’s political heft and Whitney’s networking flair,” and had proven entirely trustworthy, he was in. “In addition to my expertise on financial matters, the quality that attracted them was that I was a blank slate,” with “no baggage.” He could be shaped to the task they had in mind, even as the regime had shaped them. True, the business deals they arranged together would never be “as sweet as those available to China’s red aristocrats,” who got “access to monopoly businesses” and “routinely marshaled the entire judicial system of the nation for their personal benefit,” but as long as they remained innocent of illegal activities—or so they thought—they stood to make a fortune. And they did.

    Their major project was the construction of the “Airport City” in Beijing. The Shums needed approvals from seven ministries at each phase of construction; it took three years to get them, prior to putting a shovel in the ground. More, “like all businessmen in China,” they “paid extremely close attention to the macroeconomic policies and the political whims of the central government,” inasmuch as “every major aspect of the economy was controlled by the state, despite all the talk about capitalism in China.” As for Shum himself, he also needed his wife to sign off on any expenditure, as “she used money as a way to control our relationship” even as the regime used its power to control their money. Rule of law be damned: “the courts functioned as a tool of Party control,” the Party consisted of persons, and persons demand attention. “Guanxi wasn’t a contractual relationship per se” but a “human-to-human connection, built painstakingly over time.” Given project deadlines, this made starting up difficult, “but the more I got directly involved in relationship building the more approvals we received,” and the more money they made.

    Most of “China’s nouveau riche” expected that the regime eventually would change, become more like a commercial republic, “more transparent and more open as private enterprise grew to dominate the economy.” After all, “we saw how capitalists like us were becoming essential to [China’s] modernization.” They didn’t consider that what might be true now might not be true a few years later. Regime change “probably wasn’t in the cards anyway, but back then we didn’t know that.” They only knew that “Communist China’s founder, Mao Zedong, had relegated capitalists like those in my father’s family to the bottom rung of society” but by 2001 “the Party had officially changed its policy on capitalists when then Party boss Jiang Zemin made a speech that welcomed all leading Chinese, including entrepreneurs, into the Party’s ranks.” The prospect of a Leninist or Stalinist purge of those ranks was unthinkable, outside the upper echelons of the regime, of whose deliberations the Shums had no inkling. 

    The regime had no intention of changing. Events near and even within its borders strengthened that intention. In 2004 Taiwan, long ruled by a rightist oligarchy, democratized. This “shook Communist Party bigwigs because they saw in it a potential road map for mainland China and thus a threat to the Party’s monopoly on power.” The new Taiwanese president’s determination to wrest long-accumulated riches from the erstwhile ruling Nationalist Party chieftains made CCP officials especially nervous. An oligarchy that maintains its unity seldom relinquishes its power, but fissures began to develop, with some Communists “supportive of China’s peaceful evolution toward capitalism and a more pluralistic political system” since “state-owned enterprises couldn’t survive in the long term because of their inherent inefficiencies.” But when the preeminent reformers contemplated their own political demise, they fell back on Leninism, reaching out to Goldman Sachs and United States Treasury Secretary Henry Paulson to help them list shares from Chinese Telecom in the New York Stock Exchange. “Paulson and others interpreted” such moves “as a way to privatize China’s economy. But actually, the Party’s goal…was to save the state-owned sector so that it would remain the economic pillar of the Party’s continued rule” by “employing Western financial techniques” to strengthen that rule. (More modestly, Lenin had ordered adoption of ‘bourgeois’ accounting practices in Soviet Russia.) For his part, Shum made contact with an operator named Joshua Cooper Ramo, who was convinced “that China’s mix of authoritarian political system, meritocratic government, and semi-free market economy constituted a new model for development around the world,” a model he promoted in his new job at Kissinger Associates, “which made its money doing a foreigners’ version of Whitney’s guanxi business in China.”

    Shum also set up a scholarship at Harvard University to support graduate students studying China; the ever-naïve political philosophy scholar Michael Sandel cleared the way for the deal. In China, Shum adds, “every university…is run by the Communist Party,” which CCP secretaries “who are usually far more powerful than school presidents, deans, or principals.” Unlike the Americans, the Chinese rulers tolerate nothing untoward. The “central message” to Chinese university students is to “enter the party system and serve the state” and to “entice leading scientists, both Chinese and foreign, to move to China to teach and conduct cutting-edge research.” The Shums “worked with think tanks overseas to help educate Chinese scholars about how democracies functioned and how they set foreign policy.” It didn’t occur to them that such knowledge might be used for more than one purpose.

    “Startled at the liberal tendencies of my fellow capitalists, the Chinese Communist Party, starting in the mid-2000s, moved to weaken the moneyed class, uproot the sprouts of civil society that we’d planted, and reassert the Party’s ideological and economic control of Chinese society” by “bolster[ing] state-owned enterprises to the detriment of private firms.” Why, the Party began to ask, should the Shums have “the right to develop the logistics hub” at the Beijing Airport? “Ever since it had seized power in 1949, the Chinese Communist Party had used elements of society when it needed them and discarded them when it was done.” The Shums and many other capitalists were about to be tossed into the CCP’s Dustbin of History. Even such heavyweights as Jack Ma, founder of Alibaba, and Pony Ma, the CEO of Tencent, “were compelled to serve the Party,” services which included gathering intelligence on foreign governments and corporations.

    The 2008 global financial crisis accelerated this movement by “validating a belief inside the Party about the superiority of China’s political and economic system to that of the West.” As far as the Party elite was concerned, “peaceful evolution into a more open society and economy would be a recipe for disaster for the Party and for China,” and all hands must push against “Western ideas” which “would only weaken China.” “Private entrepreneurs, who had saved China’s economy just a few years before, were now painted as a fifth column of Western influence.” “We thought our wealth could foster social change. We were wrong.” Chinese capitalists had overlooked the fact that without firm property rights enforced by judges, their holdings were never their property in the first place. Policies new or old may change, but “the nature of the Chinese Communist Party” does not, retaining its “almost animal instinct toward repression and control.” By the late 2000s, “state-run firms stabilized and the Party no longer needed the private sector like it had in the past.” The status of capitalists shifted from necessary evil to “a political threat.” Notwithstanding all this, Shum continued to present a brave face to foreigners. As late as 2013 he told an Aspen Institute “Leadership in Action” forum that “the Chinese Communist Party was opening up and trying to adapt” to the “rising tide” of Chinese who had become “interested in their rights.”

    Premier Jiang Zemin began to order the arrests not only of rich ‘commoners’ but even of the privileged children of the Party, the main difference being that “red aristocrats got a prison sentence” whereas “commoners got a bullet in the head.” The Shums prudently sold their stake in the airport hub, hedged their bets with overseas investments, and even considered abandoning their policy of cutting “backdoor guanxi deals.” There Whitney drew her line in the shifting Chinese sands. “She feared that if we stopped relying on her connections to win contracts in China she’d become irrelevant and that I might become too independent”—rather as Chinese oligarchs feared the capitalists they’d encouraged. Despite her lifelong Christianity, the regime had embedded itself in her soul. She “wanted to double down on her way by continuing to insinuate ourselves into the upper echelons of the Party and cultivate even more members of the red aristocracy.” 

    For their next enterprise, they chose a hotel development project. “We were on a mission to make this the best real estate project China had ever seen”; somewhat immodestly, he gave it the name, “Genesis.” Unfortunately, but by now predictably, the Shums began to argue with each other more and more. (“She seemed to relish contradicting me.”) Having “shaped and facilitated my success,” Whitney “now felt that I was challenging her authority and she worried that I no longer needed her,” a suspicion Desmond is quick not to deny. Having perfected her skill at “playing the guanxi game,” she “feared the day when it and, by extension, she were no longer needed.” Having arranged their own marriage on pragmatic grounds, they could scarcely maintain it when those grounds shifted. When charges of corruption hit Auntie Zhang’s husband, the respectable lady demanded that Mrs. Shum take the blame, which she did, thereby vindicating the trust of her mentor whilst ruining herself. “Whitney’s Christianity might have played a role. But more than that was her commitment to the relationships that she’d built.” The scandal was part of an internal CCP struggle, and its upshot was that the accused officials, including Auntie Zhang’s family, were invited to “donate” their wealth to China—an invitation they accepted. Under pressure, Whitney turned not to God but to “the divination of a fortune teller.” As Shum explains it, “In its seventy years of power, the Party had destroyed traditional Chinese values and had essentially outlawed religion. In the vacuum, superstition took hold”—confirmation from Asia of Chesterton’s mot affirming that when people stop believing in God they don’t start believing in nothing but in anything. Two more real estate deals soured, and in 2013 Desmond moved out, preferring martyrdom neither to the regime of Marx nor the regime of Jesus.

    By then, the new Party boss, Xi Jinping, had doubled down on the “anti-corruption campaign,” that is, the purge of Party challengers to his authority. Although Shum says “this type of grandstanding wasn’t usual in China and it marked a break with Party tradition,” it was really only the old moonshine in a new bottle, inasmuch as purges of Party members and indeed of whole social classes have remained part of that “tradition” since it was established, very much in imitation of the “tradition” of Bolshevism. “By 2020, China’s authorities had investigated more than 2.7 million officials for corruption and punished more than 1.5 million, including even national-level leaders and two dozen generals.” The purge extended beyond persons to include ideas; the Party issued a “Briefing on the Current Situation in the Ideological Realm” warning “that dangerous Western values, such as freedom of speech and judicial independence, were infecting China and needed to be rooted out.” Such “extremely malicious” notions were “banned from being taught at China’s schools and universities.” To emphasize the point—in Marxism practice must always unite with theory—CCP “security services” undertook “a withering crackdown on lawyers and other proponents of a civil society” while the democratization of Hong Kong was “curtailed” and its regime undermined. Elections in Hong Kong proceeded, but as Shum plaintively asks, “What good was one man, one vote, when the only candidates you could vote for had first been vetted by Beijing?” When Hong Kong residents took to the streets in protest, the CCP ordered Shum and others with Hong Kong ties to march as counter-demonstrators. “Everyone was there because of self-interest and to gain brownie points in Beijing.” Undaunted, Shum wrote a report for Xi Jinping advocating “democratic loosening” on the island. “The Party ignored my advice, preferring to pass a “national security law” outlawing free speech there. As the “anti-corruption” campaign continued, Sherlock Shum “finally concluded that it was more about burying potential rivals” to Xi “than about stamping out malfeasance.” 

    Although he doesn’t put it this way, Shum testifies to the obvious fact that Xi has played something of the role of Stalin to Deng Xiaoping’s Lenin, shutting down China’s version of the NEP with a resounding purge. Xi also returned to Mao-style one-man rule, ending term limits on the ‘presidency,’ “thereby opening the way for him to be emperor for life” under the Maoist title, “the people’s leader,” a.k.a. CCP Chairman, vanguard of the vanguard of the proletariat. 

    Even as their marriage had been founded, and had foundered, on habits of heart and mind inculcated by the regime’s way of life, the Shums’ divorce followed the same pattern. “From an early age, we Chinese are pitted against one another in a rat race and told that only the strong survive”—Social Darwinism with Chinese characteristics. “We learn how to divide the world into enemies and allies,” that “alliances are temporary and allies expendable,” fodder for betrayal “if the Party tells us to” implant a knife into someone else’s back. Whitney had their divorce case moved to Beijing “because she thought she could play her guanxi game and determine the settlement,” but her dear husband had learned a tactic or two from her, leveraging her admitted ‘corruption’ to intimidate her into what he deems a fair settlement. As perhaps it was. Be that as it may have been, she had no problem allowing their son to go to school in England, where her husband had emigrated. This may have been a mother’s self-sacrifice for the sake of her child, although at this point the jaundiced reader might suspect she had been content to get the boy and its father out of her hair. 

    In 2017, four years after the divorce, “Whitney” (Duan) Shum disappeared. “Where is Whitney Duan?” her ex-husband asks. “Is she even alive?” In accordance with the Party’s “investigative system,” shuanggui, the Central Discipline Inspection Commission may “hold people suspected of violating Party regulations” as long as it chooses. And it may do as it pleases with them. Understandably, Mr. Shum and his son have remained in western Europe. 

     

     

     

     

    Filed Under: Nations

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