Everything to play for: Winston Churchill, the rise of Asia, and game changers

By Dr. John C. Hulsman

HulsmanThe ability to know when game-changing events are actually happening in real time is to see history moving. It is an invaluable commandment in the mastering of political risk analysis. To do so, an analyst must adopt an almost Olympian view, seeing beyond the immediate to make sense of what is going on now by placing it into the broader tapestry of world history itself.

The rewards for this rare but necessary ability are legion, for it allows the policy-maker or analyst to make real sense of the present, assessing the true context of what is going on presently and what is likely to happen in the future. It is jarring to compare the lacklustre abilities of today’s Western politicians—so far behind the curve in seeing the game-changing rise of Asia and the decline of the West as we enter a new multipolar age—to the phenomenal analytical abilities of earlier statesmen of vision, such as the querulous, needy, challenging, maddening, often wrongheaded but overwhelmingly talented greatest Prime Minister of England.

Churchill Rejoices over Pearl Harbor

In the hustle and bustle of the everyday world, recognizing game-changing events can prove exceedingly difficult. Being surrounded by monumental goings on makes separating the very important from the essential almost impossible. So it was in December 1941, undoubtedly the turning point of the Second World War. During that momentous month, the Red Army turned back the Nazi invasion at the very gates of Moscow, marking the first time Hitler’s war machine had met with a real setback. But for all that the Battle of Moscow mattered enormously, it did nothing to change the overall balance of forces fighting the war, with the outcome still sitting on a knife’s edge.

But half a world away, something else did. At 7:48 AM in Hawaii, on December 7, 1941, the Imperial Navy of the Empire of Japan, attacking without warning as it had done in the earlier Russo-Japanese War, unleashed itself against the American Pacific Fleet, serenely docked at Pearl Harbor that Sunday morning. The damage was immense. All eight American battleships docked at Pearl were struck, and four of them sunk. The Japanese attack destroyed 188 US aircraft, while 2,400 were killed and 1,200 wounded. Japanese losses were negligible.

The Japanese attack on Pearl Harbor misfired spectacularly, changing the course of the war fundamentally, drawing America into the conflict as the decisive force which altered the correlation of power around the world. Stalin, with his back still to the wall in the snows of Russia, did not immediately grasp the game-changing significance of what had just happened any more than Franklin Roosevelt did, now grimly intent on surveying the wreckage of America’s Pacific Fleet and marshalling the American public for global war.

These were pressing times and it is entirely human and understandable that both Stalin and FDR had other more immediate concerns to worry about during those early December days. But Winston Churchill, the last of the Big Three, immediately latched onto the game-changing significance of what had just occurred. For the Prime Minister understood, even in the chaos of that moment, that the misguided Japanese attack had just won Britain and its allies the war and amounted to the game changer a hard-pressed London had been praying for.

In his history of World War II, Churchill wrote of that seminal day, ‘Being saturated and satiated with emotion and sensation, I went to bed and slept the sleep of the saved and thankful.’ The great British Prime Minister slept well that night because he understood the fluidity of geopolitics, how a single event can change the overall global balance of power overnight, if one can but see.

On December 11, 1941, compounding Tokyo’s incredible blunder, Germany suicidally declared war on America. Hitler, vastly underestimating the endless productive capacity of the United States, didn’t think the declaration mattered all that much. The miscalculation was to prove his doom, as the US largely bankrolled both its Russian and British allies, supplying them with both massive loans and a limitless supply of armaments and material. Because of Pearl Harbor and Hitler’s disastrous decision, America would eventually eradicate the dark night of Nazi barbarism. Churchill was right in seeing the full consequences of what was going on at that pivotal time. December 1941 saved the world.

The decline of the West and the rise of Asia is the headline of our times

In the crush of our 24-hour news cycle, it is all too easy—as it was during the stirring days of World War II—to miss the analytical forest for the trees. Confusing the interesting from the pivotal, the fascinating from the essential, remains an occupational hazard for both policy-makers and political risk analysts. But beneath the sensory overload of constant news, the headline of our own time is clear if, like, Churchill we can but see.

Our age is one where the world is moving from the easy dominance of America’s unipolar moment to a multipolar world of many powers. It is characterized by the end of 500-plus years of western dominance, as Asia (especially with the rise of China and then India) is where most of the world’s future growth will come from, as well as a great deal of its future political risk. The days of International Relations being largely centered on Transatlantic Relations are well and truly at an end, as an economically sclerotic and demographically crippled Europe recedes as a power, and even the United States (still by far the most powerful country in the world) sinks into relative decline.

To understand the world of the future requires a knowledge of Asia as well as Europe, of macroeconomics as well as military strategy, of countries the West has given precious little thought to, such as China, India, Indonesia, Turkey, Argentina, Brazil, South Africa, Saudi Arabia, and Mexico, as well as the usual suspects such as a declining Russia and Europe. International Relations has become truly ‘international’ again. And that, coupled with the decline of the West and the Rise of Asia, is the undoubted headline of the age. Churchill, and all first rate analysts who understand the absolute value of perceiving game-changing events, would surely have agreed.

Dr. John C. Hulsman is the President and Co-Founder of John C. Hulsman Enterprises, a prominent global political risk consulting firm. For three years, Hulsman was the Senior Columnist for City AM, the newspaper of the city of London. Hulsman is a Life Member of the Council on Foreign Relations, the pre-eminent foreign policy organisation. The author of all or part of 14 books, Hulsman has given over 1520 interviews, written over 650 articles, prepared over 1290 briefings, and delivered more than 510 speeches on foreign policy around the world. His most recent work is To Dare More Boldly; The Audacious Story of Political Risk.

Gaming out chess players: The Italian Renaissance and Vladimir Putin

By Dr. John C. Hulsman

HulsmanIf learning the precious truth that we can be the danger (see my Gibbon column of last week) is the first commandment of political risk analysis, gaming out chess players is surely another. Chess players—foreign policy actors playing the long game, possessing fixed, long-term strategic goals even as they use whatever tactical means come to hand to achieve them—are rare birds indeed. Patient, low-key, but implacable, chess players do that rarest of things: they actually think ahead and are not prisoners of short-term day-to-day events, instead conditioning all that they do in furtherance of their long-term strategy.

Chess players manage to cloak their dogged, disciplined strategies, hiding them in plan sight of our frenetic 24-hour news cycle, from a world that does not generally follow such fixed principles and cannot really conceive of how others might be able to hold to a clear strategic line. In a world of tacticians, it is easy for a strategist to conceal themselves.

Pope Julius II as the true hero of The Prince

Following on from the Crusades, the western world entered a period of cultural and political regeneration we now call the Renaissance. As is true for most eras, it was more politically chaotic, brutal, and bloody than it seems in retrospect. In the confusing, uncertain milieu of early-sixteenth century Italy, a man arose who fit the tenor of his times.

Pope Julius II has been shamefully underrated by history, as his contemporary Niccolo Machiavelli—the author of The Prince, the bible of modern realpolitik—instead lionized failed Bond villain Cesare Borgia rather than the more successful pope. However, we have five centuries of distance from the swirling events of the Renaissance, allowing us to take up the more dispassionate, chess-playing view that Machiavelli urges on us. So let us here re-write the ending of The Prince, this time using Julius II as the proper analytical hero of the piece.

Julius was born Giuliano Della Rovere around 1443. Like Cesare Borgia, his path to power was speeded along by close familial contacts to the papacy. Della Rovere was the much-loved nephew of Pope Sixtus IV, becoming his uncle’s de facto prime minister. Following on from the death of Sixtus, Della Rovere assumed that he would succeed him. However, he was beaten out by Cardinal Rodrigo Borgia, Cesare’s father, who assumed the title of Pope Alexander VI. So Della Rovere, in good chess player fashion, tried to undercut Alexander, knowing his time was coming.

When Alexander VI died in 1503 (and with the lightning quick demise of his successor, Pope Pius III, in just 26 days) Della Rovere at last made his long-considered move. He deceived the supposedly worldly Cesare and ran rings around him diplomatically, securing the papal throne by means of bribery, both in terms of money and future promises. With Cesare throwing the powerful Borgia family’s crucial support behind him, the new papal conclave was one of the shortest in history, with Della Rovere winning on only the second ballot, taking all but two cardinals’ votes. He ascended to the papal throne at the end of 1503.

Now that Cesare had outlived his usefulness, Julius withdrew his promised political support from him in true Machiavellian fashion, seeing to it that the Borgias found it impossible to retain their political control over the papal states of central Italy. Julius rightly reasoned that to fail to eradicate the Borgia principality would have left the Vatican surrounded by Borgia possessions and at Cesare’s very limited mercy.

Without papal support Cesare’s rule on his own—without the critical backing his father Alexander VI had provided—lasted merely a matter of months, with his lands reverting to Julius and the papacy itself. Julius had run rings around Machiavelli’s hero, fulfilling the chess-playing maxim that securing one’s political position leads to political stability and long-term rule. That, Niccolo, is what a real chess player looks like.

Making sense of Putin

However, chess players are not just relic of the byzantine Renaissance age. Russian President Vladimir Putin is a perfect modern-day example of a chess player, as all the many devious tactics he pursues ultimately amount to a very single-minded effort to restore Russian greatness, often by blunting the West’s drives into what he sees as Russia’s traditional sphere of influence in the countries surrounding it. In other words, the Russian strong man resembles another chess player, former French President Charles De Gaulle, in his single-minded efforts to restore pride and great power status to his humiliated country.

As such, Putin’s many gambits: theatrically opposing the US despite having a puny, corrupt economy the size of Texas; pursuing an aggressive adventurist policy against the pro-Western government in Ukraine; intervening to decisive effect in the horrendous Syrian war; all serve one overarching strategic goal. They are designed to make the world (and even more the Russian people) change their perceptions about Russia as a declining, corrupt, demographically challenged former superpower (which it is), and instead see it as a rejuvenated global great power, one that is back at the geo-strategic top table.

Despite all facts to the contrary (and in the end, as was true for De Gaulle’s France, the facts just don’t bear out the incorrect perception that Russia will again be a superpower), Putin has been very successful in (wrongly) changing global perceptions of Russia’s place in the world. It is also the reason the current tsar has an 80% approval rating in his own country, as he has restored pride to his formerly humiliated countrymen. By knowing what ultimately motivates the chess-playing Putin, we in the West can do a far better job in assessing the entirely explicable tactical gambits emanating from the Kremlin.

The rewards for spotting the rare chess player

Despite the difficulty in spotting them, it is well worth the time trying to game out chess players, perhaps the rarest of creatures in global politics. For once they are analytically brought to ground, the fixed, rational, patterns that chess players live by means a true analytical understanding of them is possible, as well as a far better understanding of the world in which they live.

Dr. John C. Hulsman is the President and Co-Founder of John C. Hulsman Enterprises, a successful global political risk consulting firm. For three years, Hulsman was the Senior Columnist for City AM, the newspaper of the city of London. Hulsman is a Life Member of the Council on Foreign Relations, the pre-eminent foreign policy organization. The author of all or part of 14 books, Hulsman has given over 1520 interviews, written over 650 articles, prepared over 1290 briefings, and delivered more than 510 speeches on foreign policy around the world. His most recent work is To Dare More Boldly; The Audacious Story of Political Risk.

Hilda Sabato: The dilemmas of political representation

SabatoSince the beginning of the twenty-first century, the word “populism” has gained increasing space in the media, initially associated with political events in Latin America. The term is far from new, but it has reappeared to label very different regimes—from that of Chávez and Maduro in Venezuela, to those of Morales in Bolivia, Correa in Ecuador, and the Kirchners in Argentina. Unlike the spread of populist regimes in the postwar era, however, this latest wave has reached well beyond that continent, to include political and ideological movements all over the world. And while the success of the former was often explained by resorting to the long history of caudillos in Spanish America, it is quite obvious that such an argument cannot be applied to this new spread of populism across the globe. Both moments, however, share some common features that may better account for the flourishing of populism than any reference to a past tradition of caudillismo.

The end of the twentieth century heralded an era of political change on a global scale. Some of the main institutions and practices that had long reigned unchallenged in Western democracies have come under heavy scrutiny. The key political actor of the past century, the party, is in peril of extinction—at best, it will survive in new formats. Analysts talk about the crisis of representation, while most individuals feel foreign to the men and women in government, who they sense operate as a closed caste rather than as representatives of the people. In the words of Federico Finchelstein, “Democracy is confronting challenges that are similar to those it encountered during the Great Depression….” In that context, therefore, “Populism offers authoritarian answers to the crisis of democratic representation.”[1]

We are then, once more, at a critical turn in the history of modern politics, as it developed since the revolutions of the eighteenth century succeeded in introducing the sovereignty of the people as the founding principle of the polity and shattered the edifice of the ancien regime in several parts of Europe and the Americas. Within that framework, a key step in the actual organization of the new was the adoption of representative forms of government. In contrast to former experiences of direct popular rule, in the late eighteeth century the introduction of political representation offered a theoretical and practical solution to the challenge of making operative the principle of popular sovereignty.

Yet such a step posed dilemmas that have persisted throughout the centuries. Thus, the tension between the belief that power should stem directly from the people (an association of equals) and any operation whereby a selected few are set apart to exert power in the name of the many has run through the entire history of self-government. Modern representation did not overcome this quandary, although it offered a partial solution by combining democratic and aristocratic means: elections by all to select the few. Yet the attribute of distinction that marks those few—however chosen—keeps challenging the principle of equality, a value reinforced with the consolidation of democracy in the twentieth century. Besides this conceptual conundrum, the actual relationship between the representatives and the represented has always been, and remains, a crucial matter in the political life of modern times.

A second dilemma involved in representative government has posed even more challenges to the functioning of the polity. At the beginning of this story, although representatives were chosen by individual citizens embedded in their actual social conditions, they embodied, above all, the political community (the nation) as an indivisible whole, thus materializing the unity of the people. For almost a century, this issue informed the public debates around the unanimity or the plurality of the polity, and permeated the discussions on the forms of representation, which found one of its more heated moments late in that period in the controversies around the figure of the political party. By the 1900s, however, parties had become key institutions in the prevailing paradigm of representation, so much so that they were usually considered inseparable from democracy as it consolidated during the twentieth century. But today that whole edifice is crumbling, a clear sign that the challenges and dilemmas of political representation persist.

Republics of the New World addresses these issues at the time when modern representation appeared as a viable solution to the difficulties of instituting forms of government based on the principle of popular sovereignty. It traces the conflict-ridden history of representative institutions and practices in an area of sustained experimentation in the ways of the republic: post-colonial Spanish America. Two hundred years later, political representation remains problematic, and some of the same questions posed by the founders of those republics keep coming up, defying our democratic era. Today, like in the past, the way out of the crisis is uncertain and depends upon our own choices. In this context, populism offers a particular response to this predicament, while other political proposals resist its authoritarian features and seek to address the current dilemmas by enhancing the pluralistic and egalitarian elements of our democratic traditions.

Hilda Sabato is head researcher at the National Scientific and Technical Research Council (CONICET) in Argentina and former professor of history at the University of Buenos Aires. She is the author of Republics of the New World: The Revolutionary Political Experiment in Nineteenth-Century Latin America.

[1] Federico Finchelstein, From Fascism to Populism in History, Oakland: University of California Press, 2017, p.29.

Dr. John C. Hulsman: Gibbon, Decadence, and Europe’s Current Decline

HulsmanBetween 1776 and 1788, the peerless eighteenth century Enlightenment historian (and sometime lackluster British Whig MP) Edward Gibbon set about remaking his profession. The History of the Decline and Fall of the Roman Empire fastened upon an analytical conclusion that has not only proven invaluable to historians since but lays down an incredibly challenging gauntlet for political risk analysts in particular.

Gibbon managed to conjure up through his life’s work a novel, cutting-edge answer to one of the most important historical questions of all time: why did the Roman Empire, in many ways the most powerful and durable political construct ever created, finally disintegrate? He persuasively argues that, while on the surface it was the barbarian invasions that brought it to an end, this was only the final symptom of the Roman malaise, not the root cause of the disease. For Gibbon, Rome fell not primarily because of outside pressures but rather owing to an internal and gradual loss of civic virtue amongst its citizens.

In other words, Rome was destroyed from within. Gibbon creatively saw that the political risk that overwhelmed the greatest of empires came about due to a failure to recognize and combat home-grown problems. Political risk analysts have grappled with Gibbon’s incisive analysis ever since, as there is almost nothing harder than for humans to look in the mirror and honestly say, “We are the problem.”

A Heat Wave in France

In early August 2003, the blood-red sun rose implacably over the city of Paris. It was the hottest summer on record in Europe since at least 1540. Temperatures were regularly hovering at a sweltering 104 degrees Fahrenheit. As the heat rose to wholly unaccustomed levels, many people—particularly the elderly—started dying. According to the French National Institute of Health, in France alone 14,802 people died of heat-related complications that sun-baked August.

As is the case with most catastrophes, there was plenty of blame to go around. Saying this, one basic overriding thread connects all the culprits behind this tragedy: the absolute and ridiculous sanctity of the French summer vacation. In place of religion or ethics, many Europeans have to come to worship their comfortable (if economically unsustainable) way of life as the paramount goal of being, to the exclusion of all else.

At the time of the emergency, President Jacques Chirac was on holiday in Canada. He remained there for the duration of the crisis. Likewise, Prime Minister Raffarin refused to return from his Alpine vacation until August 14, the day before the temperatures at last began to cool. Health Minister Jean-Francois Mattei also exhibited highly dubious priorities, failing to come back to a sweltering Paris when he was most needed. Instead, his junior aides blocked emergency measures—including the state recalling doctors from their holidays—to attend to the afflicted.

But even this is too simple. Do French doctors really need to be told by the government that it is their duty to come back and deal with an obvious medical emergency? Do French families really need the state to instruct them that they must cut short their time at the beach to minister to the endangered elderly relatives they have left behind?

This was a society-wide conspiracy, in that no one was responsible because everyone was responsible. As Gibbon would have appreciated, thousands of individual, personal decisions—on their own merely dots in the national painting—all pointed in the same, indefensible position. Nothing must be allowed to get in the way of les vacances.

Europe’s present state perfectly fits Gibbon’s classic definition of decadence; it is a society that has lost the ability to deal with its problems coupled over time with abdication of responsibility for them. Gibbon would clearly see that it amounts to the psychological, political, and moral process that is destroying the old continent.

Managing, not solving

European leaders, in thrall to decadence, have gotten used to talking of ‘managing’ problems, rather than ‘solving’ them. Yet does anyone think the euro crisis, the refugee crisis, or the political crisis of the EU has been ‘solved?’

Rising above all these unmet challenges is a simple factor of math: EU countries comprise 9 percent of the world’s population, account for 25% of global GDP, but consume a staggering 50% of the planet’s social spending. The bleak truth is that these numbers are simply unsustainable. Europe is not going through some little local difficulty. The way of life it knew and enjoyed from 1950 to the Lehman Brothers crash will never return.

Conclusion: Back to the heat wave

Everyone in France that dreadful August knew that something terribly wrong was happening back in Paris. Few had the will to give up their overly-precious vacations and do anything about it. Gibbon’s old and venerable concept of decadence emerges as the primary roadblock—and the chief source of contemporary political risk—that not only obscures the knowledge necessary to save Europe but saps the will to act itself. Whether we like it or not, we are the risk.

Dr. John C. Hulsman is the president and cofounder of John C. Hulsman Enterprises, a successful global political risk consulting firm. For three years, Hulsman was the Senior Columnist for City AM, the newspaper of the city of London. Hulsman is a Life Member of the Council on Foreign Relations, the preeminent foreign policy organization. The author of all or part of 14 books, Hulsman has given over 1520 interviews, written over 650 articles, prepared over 1290 briefings, and delivered more than 510 speeches on foreign policy around the world. His most recent work is To Dare More Boldly: The Audacious Story of Political Risk.

Andrew Scull: On the response to mass shootings

ScullAmerica’s right-wing politicians have developed a choreographed response to the horrors of mass shootings. In the aftermath of Wednesday’s massacre of the innocents, President Trump stuck resolutely to the script. Incredibly, he managed to avoid even mentioning the taboo word “guns.” In his official statement on this week’s awfulness, he offers prayers for the families of the victims—as though prayers will salve their wounds, or prevent the next outrage of this sort; they now fall thick and fast upon us. And he spouted banalities: “No child, no teacher, should ever be in danger in an American school.” That, of course, was teleprompter Trump. The real Trump, as always, had surfaced hours earlier on Twitter. How had such a tragedy come to pass?  On cue, we get the canned answer: the issue was mental health: “So many signs that the Florida shooter was mentally disturbed.”  Ladies and gentlemen, we have a mental health problem don’t you see, not a gun problem.

Let us set aside the crass hypocrisy of those who have spent so much time attempting to destroy access to health care (including mental health care) for tens of millions of people bleating about the need to provide treatment for mental illness. Let us ignore the fact that President Trump, with a stroke of a pen, set aside regulations that made it a little more difficult for “deranged” people to obtain firearms. They have Second Amendment rights too, or so it would seem. Let us overlook the fact that in at least two of the recent mass shootings, the now-dead were worshipping the very deity their survivors and the rest of us are invited to pray to when they were massacred. Let us leave all of that out of account. Do we really just have a mental health problem here, and would addressing that problem make a dent in the rash of mass killings?

Merely to pose the question is to suggest how fatuous this whole approach is. Pretend for a moment that all violence of this sort is the product of mental illness, not, as is often the case, the actions of evil, angry, or viciously prejudiced souls. Is there the least prospect that any conceivable investment in mental health care could anticipate and forestall gun massacres? Of course not. Nowhere in recorded history, on no continent, in no country, in no century, has any society succeeded in eliminating or even effectively addressing serious forms of mental illness. Improving the lot of those with serious mental illness is a highly desirable goal. Leaving the mentally disturbed to roam or rot on our sidewalks and in our “welfare” hotels, or using a revolving door to move them in and out of jail—the central elements of current mental health “policy”—constitutes a national disgrace. But alleviating that set of problems (as unlikely as that seems in the contemporary political climate) will have zero effect on gun violence and mass shootings.

Mental illness is a scourge that afflicts all civilized societies. The Bible tells us, “The poor ye shall always have with you.”  The same, sadly, is true of mental illness. Mental distress and disturbance constitute one of the most profound sources of human suffering, and simultaneously constitute one of the most serious challenges of both a symbolic and practical sort to the integrity of the social fabric. Whether one looks to classical Greece and Rome, to ancient Palestine or the Islamic civilization that ruled much of the Mediterranean for centuries, to the successive Chinese empires or to feudal and early modern Europe, everywhere people have wrestled with the problem of insanity, and with the need to take steps to protect themselves against the depredations of the minority of the seriously mentally ill people who pose serious threats of violence. None of these societies, or many more I could mention, ever saw the levels of carnage we Americans now accept as routine and inevitable.

Mental illness is an immutable feature of human existence. Its association with mass slaughter most assuredly has not been. Our ancestors were not so naïve as to deny that madness was associated with violence. The mentally ill, in the midst of their delusions, hallucinations, and fury were sometimes capable of horrific acts: consider the portrait in Greek myth of Heracles dashing out the brains of his children, in his madness thinking them the offspring of his mortal enemy Euryththeus; Lucia di Lammermoor stabbing her husband on their wedding night; or Zola’s anti-hero of La Bete humaine, Jacques Lantier, driven by passions that escape the control of his reason, raping and killing the object of his desire: these and other fictional representations linking mental illness to animality and violence are plausible to those encountering them precisely because they match the assumptions and experience of the audiences toward whom they are directed. And real-life maddened murderers were to be found in all cultures across historical time. Such murders were one of the known possible consequences of a descent into insanity. But repeated episodes of mass killing by deranged individuals, occurring as a matter of routine?  Nowhere in the historical record can precursors of the contemporary American experience be found. It is long past time to stop blaming an immutable feature of human culture—severe mental illness—for routine acts of deadly violence that are instead the produce of a resolute refusal to face the consequences of unbridled access to a deadly form of modern technology.

Claims that the mowing down of unarmed innocents is a mental health problem cannot explain why, in that event, such massacres are exceedingly rare elsewhere in the contemporary world, while they are now routine in the United States. Mental illness, as I have stressed, is a universal feature of human existence. Mass shootings are not. Australia and Britain (to take but two examples) found themselves in the not-too-distant past having to cope with horrendous mass killings that involved guns. Both responded with sensible gun control policies, and have been largely spared a repetition of the horrors routinely visited upon innocent Americans. Our society’s “rational” response, by contrast, is to rush out and buy more guns, inflating the profits of those who profit from these deaths, and ensuring more episodes of mass murder.

The problem in the United States is not crazy people. It is crazy gun laws.

Andrew Scull is Distinguished Professor of Sociology and Science Studies at the University of California, San Diego. He is the author of Masters of Bedlam: The Transformation of the Mad-Doctoring Trade and Madness in Civilization: A Cultural History of Insanity, from the Bible to Freud, from the Madhouse to Modern Medicine.

A.G. Hopkins on American Empire: A Global History

American Empire by A. G. Hopkins is a panoramic work of scholarship that presents a bold new global perspective on the history of the United States. Drawing on his expertise in economic history and the imperial histories of Britain and Europe, A. G. Hopkins takes readers from the colonial era to today to show how, far from diverging, the United States and Western Europe followed similar trajectories throughout this long period, and how America’s dependency on Britain and Europe extended much later into the nineteenth century than previously understood. American Empire goes beyond the myth of American exceptionalism to place the United States within the wider context of the global historical forces that shaped the Western empires and the world. Read on to learn more about how A.G. Hopkins turns American exceptionalism on its head.

How did you come to write a book on the United States?

The question is more penetrating than readers might think because I had spent the greater part of my career working on the history of subjects far removed from the national history of the United States. But it so happened that I arrived in the United States to take up a permanent university position in 2001 a few hours before the events of 9/11. The animated debate over the role of the United States as a global power that followed caught my attention because it raised the issue of whether the US was an empire. When the United States decided to invade Iraq in 2003, I found myself involved in an unplanned commitment to identify the prime movers of US foreign policy.

So, your book is really an extended examination of US international policy?

Not really. Iraq was the starting point but the destination has turned out to be both different and distant. I had to undertake so much preparatory work in what, for me, was a new field of study that it was not until about 2012 that I was ready to produce a manuscript. By then, the United States had withdrawn from Iraq and attention had shifted elsewhere. By that time, too, my reading had followed a trail that led in two directions: one took me back through the twentieth and nineteenth centuries to the history of colonial America; the other led me to place the evolution of the United States in a wider, non-national setting.

How did you fit national and global history together?

There was no point in trying to rewrite the history of the United States: that task had long been in the hands of many fine historians who had spent their careers studying the subject. The only prospect I had of contributing to such a well-established subject was by looking at it from the outside in, instead of from the inside out, while also trying to absorb elements of the national story that fitted my purpose. The resulting study has brought together several decades of accumulated knowledge from three diverse fields of history. My interest in globalization has supplied the broad analytical context; my work on Western empires has suggested how imperial expansion transmitted globalizing impulses; my research on the indigenous history of former colonial states, especially those in Africa, has given me an awareness of how different the world looks when viewed from the other side of the frontier.

Yes, but how does this work in practice?

The argument, put simply, is that the history of the United States, from colonial times to the present day, conforms to three phases of globalization. Each phase can be understood by relating it to the history of Western empires, which were the principal agents of globalization from the seventeenth century to the second half of the twentieth century. One phase culminated in the great crises of the military-fiscal state in late eighteenth century, which produced the American Revolution, the French Revolution, and the implosion of the Spanish Empire. A second phase, which was bound up with the rise of nation states and industrialization, fueled the dramatic partition of the world at the close of the nineteenth century. A third phase, which developed after World War II, ushered in decolonization and the post-colonial world order we know today.

Does this interpretation alter the way we understand US history?

I think it offers a different emphasis on some familiar themes. The Revolution, for example, can be seen as part of a wider fiscal crisis that engulfed much of the Western world. The familiar national story that dominates the period after 1783 can be recast to allow for continuing foreign, and especially British, influence. Similarly, the Civil War was an example of a familiar episode in the history of newly decolonized states: how to turn a state in to a nation. The period after 1865 was one of reconstruction and nation-building, as it was elsewhere, notably in Germany and Italy. The era of high imperialism that followed included the United States too. The war with Spain in 1898 that led to United States to establish a formal insular empire was an expression of forces that applied to expansive imperial powers elsewhere.

But what happened after 1898?

That is a particularly astute question because at that point the existing literature changes and so does the emphasis of my argument. The literature on the period before 1898 is voluminous beyond measure, and I need to be familiar with it to develop my argument that the United States continued to be dependent on outside forces after 1783. After 1898, the US had clearly attained effective independence and I have no need to engage with the national story to the same degree. Instead, I need to reconstruct the history of the principal islands, Hawai’i, the Philippines, Puerto Rico (and Cuba, as an example of a protectorate). The big problem here is that, after the war with Spain, historians return to the national story and ignore the empire the war created. The last comprehensive study of the management of the colonial empire was published in 1962. Work of high quality has been completed on individual islands since then but has not yet been pulled together.

Is this where your knowledge of African history becomes helpful?

I hope so. Of course, knowledge of the indigenous history of another set of Western colonies is not directly relevant because the facts are different, but it is helpful in providing a perspective other than the one seen from Washington. An imperial standpoint from outside the US is also valuable because it suggests how the history of the US empire fits that of the other Western empires. The principles and techniques of colonial rule were the same; so was the trajectory. The US empire rose and fell in harmony with the other imperial states.

But many commentators claim that the US created an empire after 1945.

Yes, indeed. But the claim rests on a very general definition of ‘empire’ that makes it synonymous with powerful states. After 1945, the United Sates was a great power but it was not an empire. Comparisons with Rome, accordingly, are anachronistic. I use the term to refer to territorial control, which characterized the Western empires before World War II and was essential to the type of integration that suited the needs of the period from about 1750 to 1950. Under conditions of post-colonial globalization that followed, territorial empires were neither necessary not feasible. The world economy changed; concepts of human rights grew in influence. To the extent that the invasion of Iraq was intended to remake the Middle East, it was a colonial venture that destined to fail. The age of great empires had passed

What readership do you have in mind?

The book should appeal to historians of the United States, who are becoming increasingly sympathetic to global perspectives. It should also attract historians of other Western empires, who have left the study of the US empire to historians of the United States, who have bypassed it. Beyond these two groups, the argument should interest specialists in international relations and policy-makers who recognize that knowledge of the past is vital to an understanding of the present. Ibn Khaldun put it well more than six centuries ago, when he argued that history was a practical art needed for the “acquisition of excellence in ruling.”

HopkinsA. G. Hopkins is Emeritus Smuts Professor of Commonwealth History at the University of Cambridge and former Walter Prescott Webb Chair in History at the University of Texas at Austin. His books include Global History: Interactions between the Universal and the Local; Globalization in World History; British Imperialism, 1688–2015; and An Economic History of West Africa. He lives in Cambridge, England.

A History of Judaism: Nineteen Jewish Groups You’ve Never Heard Of

This month, PUP is publishing the U.S. edition of Martin Goodman’s new History of Judaism. Goodman sifts through thousands of years of historical evidence, archaeological records, and theological debates to present a history of Judaism as a multifaceted and ever-changing belief system.

It comes as no surprise that throughout millennia and across continents, Judaism’s adherents have interpreted the religion’s teachings in myriad ways, living out their faith and articulating their religious identity accordingly. But have you heard of these 19 groups?


1. The Therapeutae, a contemplative sect of the late Second Temple Period, were said to live in isolation six days a week and to eat and drink only after sunset.

2. The Ebionites were an ascetic group who lived east of the River Jordan in the second to fourth centuries CE and believed in elements of both Judaism and Christianity.

3. The Nazoraeans lived in Syria in the 400s CE and used an Aramaic gospel. While following much of the Torah, they also practiced elements of orthodox Christianity.

4. The ruling dynasty of the Khazars, a Turkish kingdom in the Lower Volga region, adopted Judaism in the eighth century, probably for geopolitical reasons. It is not known to what extent the general Khazar population did as well.

5. The Romaniot Jews in Greece and the eastern Mediterranean are neither Ashkenazi nor Sephardic, but took their liturgical rites from the Byzantine Empire. They used Judaeo-Greek (Greek written in the Hebrew alphabet) for religious purposes through the Middle Ages.

6. Nazirites took a temporary or permanent vow (described in the Septuagint as “the great vow”) to avoid wine and grapes, let their hair grow long, and avoid contact with corpse impurity.

7. Beginning around the eighth century, the Karaites denied the authority of the Talmud and rejected rabbinic interpretation of biblical law. For example, they fixed their calendar by celestial observation rather than mathematical calculation, did not observe Hanukkah, and discarded rules about menstrual impurity.

8. The Yudghanites were Karaites who believed that Abu ‘Isa, an eighth-century figure, was the Messiah. They did not drink alcohol, eat meat, or observe the Sabbath.

9. The Szombatos in 17th-century Transylvania were a breakaway Christian group who insisted that all Christians should observe the Old Testament laws literally.

10. The Jedid al-Islam, or “New Muslims,” were Persian Jews who were forced to convert to Islam in 1656, but secretly maintained Jewish practices.

11. Sabbatians were various groups of Jews who believed that 17th-century kabbalist Sabbetai Zevi was the messiah. Zevi lived in Turkey, but Sabbatians as far away as Germany heeded his call and sold all their possessions to prepare to join him in Jerusalem.

12. The Dönmeh were Sabbatians from Salonica who converted to Islam but secretly practiced Judaism. One sect of the Dönmeh believed that messianic Torah required all sexual prohibitions to be reversed and treated as positive commands.

13. The Frankists believed that 18th-century leader Jacob Frank was the reincarnation of Sabbetai Zevi. Some Frankists also believed that Frank’s daughter was a Romanov princess. The Frankists were baptized as Christians in Poland.

14. The Subbotniki, a breakaway Christian group in late 18th-century Russia, advocated adherence to certain Jewish laws and rituals and were exiled to Siberia.

15. The Bratslav Hasidim still make regular pilgrimages to the grave of their 18th-century leader, Rebbe Nahman, in Ukraine, chanting the syllables of his name, “Na Nah Nahma Nahman.”

16. The Status Quo Ante were communities of traditionalist Jews in mid-19th-century Hungary who chose to align themselves neither with orthodox groups nor with reformists.

17. The Bund, a Jewish socialist party founded in Russia at the turn of the 20th century, was devoted to a secular, Yiddish-speaking eastern European Jewish nationalism.

18. The Kach was an Israeli political party, formed in 1971, that advocated the mass expulsion of Arabs from Israel and the occupied territories.

19. The Neturei Karta, or Guardians of the City, are Orthodox Jews who refuse on religious grounds to recognize the existence of the secular State of Israel.


Exploring the Black Experience through Economics

For hundreds of years, the American and global economies have been built on the backs of Black people. In each era, new forms of marginalization—enslavement, segregation, exclusion—have been devised to limit Black economic success. Still, Black dreams and Black resilience have created space for Black people’s hard-won economic gains. As workers, scholars, migrants, and emissaries of empire, Black people have shaped the American and global economies in crucial ways.

From industrial migration to economic colonization, and from unfunded neighborhoods to elite business schools, these four books from PUP’s catalog highlight different aspects of Black Americans’ experiences at the center, the margins, and the cutting edge of the formal economy.

From 1940 to 1970, nearly four million black migrants left the American rural South to settle in the industrial cities of the North and West. Competition in the Promised Land provides a comprehensive account of the long-lasting effects of the influx of black workers on labor markets and urban space in receiving areas.

Employing historical census data and state-of-the-art econometric methods, Competition in the Promised Land revises our understanding of the Great Black Migration and its role in the transformation of American society.

In 1901, the Tuskegee Institute, founded by Booker T. Washington, sent an expedition to the German colony of Togo in West Africa, with the purpose of transforming the region into a cotton economy similar to that of the post-Reconstruction American South. Alabama in Africa explores the politics of labor, sexuality, and race behind this endeavor, and the economic, political, and intellectual links connecting Germany, Africa, and the southern United States. The cross-fertilization of histories and practices led to the emergence of a global South, reproduced social inequities on both sides of the Atlantic, and pushed the American South and the German Empire to the forefront of modern colonialism.

Tracking the intertwined histories of Europe, Africa, and the Americas at the turn of the century, Alabama in Africa shows how the politics and economics of the segregated American South significantly reshaped other areas of the world.

Baltimore was once a vibrant manufacturing town, but today, with factory closings and steady job loss since the 1970s, it is home to some of the most impoverished neighborhoods in America. The Hero’s Fight provides an intimate look at the effects of deindustrialization on the lives of Baltimore’s urban poor, and sheds critical light on the unintended consequences of welfare policy on our most vulnerable communities.

Blending compelling portraits with in-depth scholarly analysis, The Hero’s Fight explores how the welfare state contributes to the perpetuation of urban poverty in America.

For nearly three decades, English has been the lingua franca of cross-border organizations, yet studies on corporate language strategies and their importance for globalization have been scarce. In The Language of Global Success, Tsedal Neeley provides an in-depth look at a single organization—the high-tech giant Rakuten—in the five years following its English lingua franca mandate. Neeley’s behind-the-scenes account explores how language shapes the ways in which employees who work in global organizations communicate and negotiate linguistic and cultural differences.

Examining the strategic use of language by one international corporation, The Language of Global Success uncovers how all organizations might integrate language effectively to tap into the promise of globalization.

Exploring the Black Experience

In honor of Black History Month, PUP is running a special blog series aimed at Exploring the Black Experience. Each week, we’ll highlight titles from PUP’s catalog to highlight a different facet of Black Americans’ experiences and histories. There are as many understandings—not to mention experiences or mobilizations—of identity as there are individuals. Today we look at the role of Black identity in local neighborhood history, nonviolent religious activism, global liberation movements, and American historical memorialization.

These four books explore Black identities both local and transnational, through movements both religious and political, and conversations both current and historical.

American Prophets sheds critical new light on the lives and thought of seven major prophetic figures in twentieth-century America whose social activism was motivated by a deeply felt compassion for those suffering injustice. In this compelling and provocative book, acclaimed religious scholar Albert Raboteau tells the remarkable stories of Howard Thurman, Martin Luther King, Jr., Fannie Lou Hamer, and four other inspired individuals who succeeded in conveying their vision to the broader public through writing, speaking, demonstrating, and organizing.

Raboteau examines the influences that shaped their ideas, discusses their theological and ethical positions, and traces how their lives intertwined—creating a network of committed activists who significantly changed attitudes about contentious political issues such as war, racism, and poverty. A momentous scholarly achievement as well as a moving testimony to the human spirit, American Prophets represents a major contribution to the history of religion in American politics.

I Hear My People Singing shines a light on a small but historic black neighborhood at the heart of one of the most elite and world-renowned Ivy-League towns—Princeton, New Jersey. The vivid first-person accounts of more than fifty black residents detail aspects of their lives throughout the twentieth century. Their stories show that the roots of Princeton’s African American community are as deeply intertwined with the town and university as they are with the history of the United States, the legacies of slavery, and the nation’s current conversations on race.

An intimate testament of the black community’s resilience and ingenuity, I Hear My People Singing adds a never-before-compiled account of poignant black experience to an American narrative that needs to be heard now more than ever.

Jamaican activist Marcus Garvey (1887–1940) organized the Universal Negro Improvement Association in Harlem in 1917. By the early 1920s, his program of African liberation and racial uplift had attracted millions of supporters, both in the United States and abroad. The Age of Garvey presents an expansive global history of the movement that came to be known as Garveyism. Offering a groundbreaking new interpretation of global black politics between the First and Second World Wars, Adam Ewing charts Garveyism’s emergence, its remarkable global transmission, and its influence in the responses among African descendants to white supremacy and colonial rule in Africa, the Caribbean, and the United States.

The United States of America originated as a slave society, holding millions of Africans and their descendants in bondage, and remained so until a civil war took the lives of a half million soldiers, some once slaves themselves. Standing Soldiers, Kneeling Slaves explores how that history of slavery and its violent end was told in public space—specifically in the sculptural monuments that increasingly came to dominate streets, parks, and town squares in nineteenth-century America. Here Kirk Savage shows how the greatest era of monument building in American history arose amidst struggles over race, gender, and collective memory. As men and women North and South fought to define the war’s legacy in monumental art, they reshaped the cultural landscape of American nationalism.

Standing Soldiers, Kneeling Slaves, the first sustained investigation of monument building as a process of national and racial definition, probes a host of fascinating questions: How was slavery to be explained without exploding the myth of a “united” people? How did notions of heroism become racialized? And more generally, who is represented in and by monumental space? How are particular visions of history constructed by public monuments? As debates rage around the status of Civil War monuments in public spaces around the country, these questions have never been more relevant. An updated edition, forthcoming in fall 2018, will feature a new introduction from the author addressing these debates.

John Tutino: Mexico, Mexicans, and the Challenge of Global Capitalism

This piece has been published in collaboration with the History News Network. 

TutinoMexico and Mexicans are in the news these days. The Trump administration demands a wall to keep Mexicans out of “America,” insisting that undocumented immigrants cause unemployment, low wages, and worse north of the border. It presses a renegotiation of the North American Free Trade Agreement, claiming to defend U.S. workers from the pernicious impacts of a deal said to favor Mexico and its people. Meanwhile U.S. businesses (from autos to agriculture) work to keep the gains they have made in decades of profitable cross-border production and marketing. Their lobbying highlights the profits they make employing Mexicans who earn little (at home and in the U.S.), and by their efforts subsidize U.S. businesses and consumers.

The integration of Mexico and the U.S., their workers and markets, is pivotal to U.S. power, yet problematic to many U.S. voters who feel prejudiced in a world of globalizing capitalism and buy into stereotypes that proclaim invasive Mexicans the cause of so many problems. Analysts of diverse views, including many scholars, often imagine that this all began in the 1990s with NAFTA. A historical survey, however, shows that the integration of North America’s economies began with the U.S. taking rich lands from Texas to California by war in the 1840s, driving the border south to its current location. U.S. capitalists led a westward expansion and turned south to rule railroads, mining, petroleum, and more in Mexico before 1910—while Mexican migrants went north to build railroads, harvest crops, and supply cities in lands once Mexican. The revolution that followed in part reacted to U.S. economic power; its disruptions sent more Mexicans north to work. While Mexico struggled toward national development in the 1920s, displaced families still moved north. When depression stalled the U.S. economy in the 1930s, Mexicans (including many born U.S. citizens) were expelled south. When World War II stimulated both North American economies, the nations contracted to draw Mexican men north to work as braceros. Mexico’s “miracle” growth after 1950 relied on U.S. models, capital, and labor-saving technology—and never created enough work to curtail migrant flows. The Mexican oil boom of the 1970s tapped U.S. funds, aiming to bring down OPEC oil prices to favor U.S. hegemony in a Cold-War world. By the 1980s the U.S. gained cheaper oil, helping re-start its economy. In the same decade, falling oil prices set off a debt fueled depression in Mexico that drove more people north. NAFTA, another Mexican collapse, and soaring migration followed in the 1990s. The history of life and work across the U.S.-Mexican border is long and complex. Through twists and turns it shaped modern Mexico while drawing profits, produce, and Mexicans to the U.S.

The Mexican Heartland takes a long view to explore how communities around Mexico City sustained, shaped, and at times challenged capitalism from its sixteenth century origins to our globalizing times. From the 1550s they fed an economy that sent silver, then the world’s primary money, to fuel trades that linked China, South Asia, Europe, and Africa—before British America began. By the eighteenth century, Mexico City was the richest place in the Americas, financing mines and global trade, sustained by people living in landed communities and laboring at commercial estates. It’s merchant-financiers and landed oligarchs were the richest men in the Americas while the coastal colonies of British America drew small profits sending tobacco to Europe and food to Caribbean plantations (the other American engines of early capitalism).

Then, imperial wars mixed with revolutionary risings to bring a world of change: North American merchants and slave holders escaped British rule after 1776, founding the United States; slaves in Saint Domingue took arms, claimed freedom, destroyed sugar plantations, and ended French rule, making Haiti by 1804; insurgents north of Mexico City took down silver capitalism and Spain’s empire after 1810, founding Mexico in 1821. Amid those conflicts, Britain forged a new industrial world while the U.S. began a rise to continental hegemony, taking lands from native peoples and Mexico to expand cotton and slavery, gain gold and silver, and settle European migrants. Meanwhile, Mexicans struggled to make a nation in a reduced territory while searching for a new economy.

The Mexican Heartland explores how families built lives within capitalism before and after the U.S. rose to power. They sought the best they could get from economies made and remade to profit the few. Grounded in landed communities sanctioned by Spain’s empire, they provided produce and labor to carry silver capitalism. When nineteenth-century liberals denied community land rights, villagers pushed back in long struggles. When land became scarce as new machines curtailed work and income, they joined Zapata in revolution after 1910. They gained land, rebuilt communities, and carried a national development project. Then after 1950, medical capitalism delivered antibiotics that fueled a population explosion while “green revolution” agriculture profited by expanding harvests while making work and income scarce. People without land or work thronged to burgeoning cities and across the border into the U.S., searching for new ways to survive, sustain families, and re-create communities.

Now, Mexicans’ continuing search for sustainable lives and sustaining communities is proclaimed an assault on U.S. power and prosperity. Such claims distract us from the myriad ways that Mexicans feed the profits of global corporations, the prosperity of the U.S. economy, and the comforts of many consumers. Mexicans’ efforts to sustain families and communities have long benefitted capitalism, even as they periodically challenged capitalists and their political allies to keep promises of shared prosperity. Yet many in the U.S. blame Mexico and Mexicans for the insecurities, inequities, and scarce opportunities that mark too many lives under urbanizing global capitalism.

Can a wall can solve problems of dependence and insecurity pervasive on both sides of the border? Or would it lock in inequities and turn neighboring nations proclaiming shared democratic values into ever more coercive police states? Can we dream that those who proclaim the liberating good of democratic capitalism may allow people across North America to pursue secure sustenance, build sustaining communities, and moderate soaring inequities? Such questions define our times and will shape our future. The historic struggles of Mexican communities illuminate the challenges we face—and reveal the power of people who persevere.

John Tutino is professor of history and international affairs and director of the Americas Initiative at Georgetown University. His books include The Mexican Heartland: How Communities Shaped Capitalism, a Nation, and World History, 1500-2000 and From Insurrection to Revolution in Mexico: Social Bases of Agrarian Violence, 1750–1940.

Francisco Bethencourt: Exhibition ‘Racism and Citizenship’

Exhibition ‘Racism and Citizenship’, Padrão dos Descobrimentos, Lisbon
6th May to 3rd September 2017
Curator: Francisco Bethencourt, Charles Boxer Professor, King’s College London,
and author of Racisms: From the Crusades to the Twentieth Century

When Racisms: From the Crusades to the Twentieth Century was translated into Portuguese I was invited by the director of Padrão dos Descobrimentos to organize an exhibition on that subject there. The monument had been created in 1960 by the Salazar regime to commemorate Portuguese overseas exploration and colonialism, obviously ignoring the suffering inflicted on other people. I immediately accepted the challenge to transform a comprehensive book into an exhibition naturally based on images and focusing on the Portuguese case. I needed an argument, a narrative, and a structure.

I decided to focus this exhibition on two interlinked realities: racism, understood as prejudice against those of different ethnic origins, combined with discriminatory actions; and citizenship, seen as the right to live, work, and participate in the political life of a country, equally involving duties and responsibilities. The tension between exclusion and integration lies at the heart of this exhibition. I invite viewers to reflect on various historical realities and recent developments, with the help of objects—paintings, sculptures, engravings, shackles, manillas, ceramics, posters, photographs, and videos. Images are presented in a crude way, but they also reveal subtle contradictions, hinting at what lies beyond outward appearances.

The exhibition is arranged into two parts, early modern and modern, and six sections: a) the hostility towards Jews and Moors living in medieval Portugal, which was renewed after forced conversions; b) a focus on people of African origin who were enslaved and transported to Portugal, Brazil, and Asia; c) the representations of native peoples of the New World and Asia, which led to the first European conception of a hierarchy of the world’s people; d) the Portuguese colonies, where slave labor was replaced by forced labor; e) the contradictory realities of the 20th century, in the colonies and Portugal alike; f) the dynamics involved in the attempt to repair the fractures in the contemporary and post-colonial period.

Racism was always confronted with informal forms of integration, which became predominant in the postcolonial period. The assertion of citizenship followed the Revolution of April 1974 and the independence of the colonies in 1975. It is a new period, still under the shadow of informal racism, but in which new values of legal equality have been supported by the state. The anti-racist norm became a reality, still to be systematically implemented. The last section of the exhibition shows the recent work of Portuguese and African artists, who use colonial memory to reflect on new issues of collective identity.

During the period under consideration, Muslim expulsion took place, as did the forced conversion of Jewish people, the slave trade, the colonization of territories in Africa, America and Asia, the abolition of slavery, decolonization, and immigration.

The exhibition aims to encourage the public to question past and present relations between peoples, combining emigration with immigration, exclusion and integration, lack of rights and access to citizenship.

BethencourtFrancisco Bethencourt is the Charles Boxer Professor of History at King’s College London, and the author of The Inquisition: A Global History, 1478–1834.

Jack Zipes on The Sorcerer’s Apprentice

The Sorcerer’s ApprenticeZipes by Jack Zipes enlightens and entertains with enduring, spellbinding tales of sorcery. The title might conjure up images of Mickey Mouse from the Disney film Fantasia, or of Harry Potter. But as this anthology reveals, “sorcerer’s apprentice” tales—in which a young person rebels against, or complies with, an authority who holds the keys to magical powers—have been told through the centuries, in many languages and cultures, from classical times to today. This unique and beautifully illustrated book brings together more than fifty sorcerer’s apprentice stories by a plethora of writers, including Ovid, Sir Walter Scott, and the Brothers Grimm. Zipes recently took the time to answer a few questions about his latest book.

What prompted you to collect all the different “The Sorcerer’s Apprentice” tales?

JZ: We are still living in the Dark Ages, and consequently, five years ago, I wanted to shed some light on what Theodor Adorno and Max Horkheimer have called the dialectic of the Enlightenment, and why reason has been obfuscated and overshadowed by superstition, religion, government, and corporate powers in so-called modern “enlightened” times. At one point in my research I came across various versions of “The Sorcerer’s Apprentice” that contradicted the popular Disney tale with which I was most familiar. These were stories in which the apprentice defeated a sordid, power-hungry sorcerer and which showed how knowledge could be used for emancipation and enlightenment. From that point on, I could not stop collecting similar tales that are included in the present anthology.

Why are these tales so significant?

JZ: The “Sorcerer’s Apprentice” tales are highly significant because they present magic primarily as a stable value of transformation that allows for self-consciousness and self-fashioning. These unusual tales counter the defamation of magic by religion, science, and the state, and raise the question of the master/slave dialectic that challenges elites and the status quo. In this regard, I have framed this anthology of “Sorcerer’s Apprentice” tales to represent the two major strains of “The Sorcerer’s Apprentice” tradition and their historical development. It begins with tales of “The Humiliated Apprentice,” followed by “The Rebellious Apprentice” stories and Krabat tales. The majority of the tales stem from “The Rebellious Apprentice” tale type. This larger number, compared to the smaller amount of “The Humiliated Apprentice” tale type, is not due to my prejudices but simply to the fact that I did not find as many “Humiliated Apprentice” tales in my vast research as I did “Rebellious Apprentice” tales. The disparity speaks for itself, for the rebellion of apprentices of all kinds is a constant in all societies and in all ages.

What is at the basis of the conflict between the sorcerer and his apprentice?

JZ: Our knowledge of ourselves and the world is attained through experiencing “slavery” and knowing what being in slavery entails. This means that we are all involved in what the philosopher Georg Wilhelm Friedrich Hegel, in Phenomenology of Spirit, calls a dialectical bloody battle to death that underlies all types of “Sorcerer’s Apprentice” tales. In most of the oral tales and many of the literary tales about sorcerer’s apprentices, the narrative perspective is what I call the “slave’s perspective,” a voice and view from below, no matter who the collector, mediator, or publisher of the tale may have been. This view is what makes the tales so striking. Though it may be difficult to explore and explain how people, defined and treated as slaves, contributed to the formation of culture from below, it can be done. The renowned American folklorist Richard Dorson drew important historical connections in his collection Negro Folktales in Michigan in dealing with American master/slave tales told by African-Americans. The“Sorcerer’s Apprentice” tales do not provide a solution to the master/slave conflict; they are not prescriptions or formulas for ending this conflict. What I have tried to demonstrate through collecting tales from various periods, and from different European, Asian, African, and American countries, is how these stories play out essential conflicts whose resolutions determine the nature of what it is to be human and humane.

Why do magic and magical transformation matter so much in people’s lives?

JZ: For a variety of reasons throughout the centuries, people have sought knowledge and power through magic. Tales about the desire for magic, which have evolved from words, fragments, and sentences, are not only wish-fulfillment tales but also blunt expressions of emotions that reveal what the people who tell, write, and listen to the tales lack, and what they want. Most people in the world believe in some kind of magic, whether religious or secular, and want to control “magic,” or “mana,” to escape enslavement and determine the path of their lives. According to the French sociologist Pierre Bourdieu, all people are stamped by what he calls our habitus—the beliefs, values and customs that mark and shape our thoughts, values, and behavior from birth. To know ourselves and to free ourselves, Bourdieu writes, we must continually confront masters, who, if they do not learn from their slaves, will ultimately have to die in order for the slaves to gain release and freedom.

In what way did Walt Disney warp the tradition of the rebellious apprentice?

JZ: People tend to believe that the ideal, if not definitive, version of “The Sorcerer’s Apprentice” is the Disney cinematic and literary tale produced as part of the film Fantasia in 1940. This is a misconception, and our unquestioning acceptance of the Disney version, which reinforces notions of humiliation, has ramifications for the abusive way we treat children. In fact, the transformation of the ancient “Humiliated Apprentice” tales into a “charming” children’s tale is one of the ways in which mass-mediated and commodified children’s literature ideologically warps if not perverts folklore to induct children into authoritarian civilizing processes. On the other hand, the oral traditions of anonymous storytelling that favor the “Rebellious Apprentice” tales oppose the oppression of commodified tales. Stories, storytellers, and writers look for the most fitting and artistic modality they can find to articulate views about life and the world. In the formation of what I call a memetic tradition of folk-tale types and fairy tales, there has always been a communal expression of themes that formed tales relevant to be remembered. Many of the themes are connected to beliefs in magic and magical transformation. Indeed, the pursuit of magic often underlies the patterns of folk and fairy tales. In this regard, the themes found in the “Sorcerer’s Apprentice” tales are organically connected with the customs and beliefs of people who engendered them, and they form never-ending cultural traditions of resistance to the domination of magicians who misuse power. This unique collection of “Sorcerer’s Apprentice” tales sheds light on how young people have rebelled against the oppression and domination of magicians who use magic to control and exploit apprentices. The long history of the“Sorcerer’s Apprentice” tales that date back to Greco-Roman times reflects how rebellion is key to understanding the relevance of the tales which expose the contradictions in the popularity of the Disney commodified version.

Jack Zipes is the editor and translator of The Original Folk and Fairy Tales of the Brothers Grimm. He is professor emeritus of German and comparative literature at the University of Minnesota. Natalie Frank is an American artist currently living and working in New York City. Her work is held in multiple museum collections, including the Whitney Museum of American Art and the Brooklyn Museum. They are the author and illustrator of The Sorcerer’s Apprentice: An Anthology of Magical Tales.