Category Archives: economics

Fatal Ausgleich/Kiegyezés of 1867

From From Peoples into Nations: A History of Eastern Europe, by John Connelly (Princeton University Press, 2020), Kindle pp. 207-209:

The Compromise provided a stable legal platform for state consolidation and steady economic progress in both halves of the monarchy. From 1867 to 1914, the national income tripled, with a yearly rate of growth between 2.6 and 2.8 percent. In Hungary, agricultural exports grew and industrialization accelerated, though it lagged behind Bohemia and Austria. Still, its advance was remarkable. In the 1850s, an average of 250 kilometers of railroad were built each year, and after 1867, the total jumped to 600. The assets in Hungarian banks more than tripled between 1866 and 1873.

The Compromise would have continued to provide a basis for law and order in the Habsburg lands beyond 1918 had World War I not intervened. But the new arrangement was also marked by tension from the start. Hungarians were never satisfied with junior partner or even partner status, and they hoped that the center of gravity in the monarchy would be Budapest, not Vienna.

In 1867 the monarchy’s majority was Slavic, and in both halves Slavic politicians became deeply alienated. Czechs, Croats, Serbs, and Slovaks said their nations had come to the Habsburgs’ rescue in 1848/1849 but were now abandoned; the latter three had been placed at the mercy of the amnestied rebels! In Hungary, only Croats received any recognition, and that was due to the historic integrity of the Croatian kingdom. The others were simply “nationalities” to be subsumed in the “indivisible Hungarian nation.” Rights applied not to national groups but exclusively to individual citizens, and there was no appreciation of the need to protect local vernaculars. The Cisleithanian [Austrian] constitution respected German sensitivities above all others, not officially establishing the German language, but also not permitting it to be challenged as the dominant language of state. All ethnic groups (Volksstämme) had equal rights to nationality and language, but what constituted a Volksstamm, or how the state might protect it, was not specified.

In neither half of the monarchy did the new arrangement come close to satisfying the desires of the nationalities’ political elites for self-government and legally binding protection of their cultures. The difference between the two halves was that the Hungarian state actively sought to make its subjects into Magyars, while the Austrian government was for the most part nationally agnostic. It even passed a school law in 1869 that gave each nationality the right to a school if forty of its children lived within 4 kilometers of a given locale. Yet once this provision passed, Czechs took it for granted rather than crediting it to the Austrian government, and as the percentage of literate Czechs reached among the top rates in Europe, so did the dissatisfaction of Czech elites with the fact that they had no national autonomy comparable to the that of the Hungarians. The Czech leader Rieger called the Compromise “unnatural injustice,” and in general, Czechs referred to the December Constitution as “artificial.”

Czech passive resistance dated back to 1863 with the partial boycotting of the Vienna Reichsrat, but full-scale abstention by Czech deputies began in 1868 from Vienna and extended to the Bohemian and Moravian diets. It was accompanied by public protests so severe in October 1868 that the government imposed a state of siege in Prague and surrounding communities. Czech politics became what would later be called “extraparliamentary opposition.” Between 1868 and 1871, the movement staged more than a hundred mass meetings, called tabory, or camps, in the countryside, with between 1 and 1.5 million participants. The protesters called for Bohemian state rights, suffrage, education, and Slav solidarity. Authorities in Vienna tried to suppress the agitation through arrests and confiscations of newspapers, measures that were in clear violation of the freshly printed constitution. As we will see in Chapter 9, promising attempts to placate the Czechs were worked out in 1871 and supported by Francis Joseph, but they came to nothing because of Austro-German Magyar opposition. Magyar politicians feared that any concessions to nationalities in the west—“Cisleithania”—would encourage demands from the nationalities in Hungary.

The Compromise kept the monarchy afloat but ended any pretense that it might call itself an empire. The monarchy had no “imperial center” and no effective control over more than half the realm in the east, which was becoming a nation-state, while Cisleithania became a partly decentralized territorial conglomeration. Yet if Austria-Hungary was no empire, it was propelled by imperialist energies, based in the joint desires of German and Magyar elites to subjugate Slavs and convert them to the “higher” culture. The combination of condescension and fear led the monarchy forward—and also downward. In 1878, Austria-Hungary took the odd step of occupying Bosnia-Herzegovina, and taking charge of even more Slavs. In the background lay the conviction that it was bringing civilization to yet one more benighted region. In the foreground lay the simple determination to deny this land to a growing Serbia. Yet there was no chance of making Bosnians into Austrians or Hungarians. As the monarchy reformed, it made itself less reformable; as it grew in size, it shrank in self-confidence; and as it entered the imperial age, it was less an empire than ever before.

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Czech vs. Magyar Paths to Nationhood

From From Peoples into Nations: A History of Eastern Europe, by John Connelly (Princeton University Press, 2020), Kindle pp. 120-122:

Many residents in these small-town [Bohemian] communities knew German for the sake of public life, but it stirred no deeper sense of loyalty, whereas Czech was the language of the intimacy of the home. They flocked to spectacles that were extensions of their families’ lives, a “traveling theater nation,” where people sang together, instantly understood allusions, and nodded their heads about things that mattered, comedic or tragic. The punch lines came in rapid succession and served to define the community: Czechs were the people who got the jokes and laughed uncontrollably, while their “betters” stared in befuddlement.

Still, the Czech movement advanced slowly against ideas of respectability and facts of ownership. All the established theaters in Bohemia and Moravia remained in German hands. A barrage of petitions moved imperial authorities to permit the building of a Czech theater at Prague, yet they allotted no money for it. Supporting a “nationalist” undertaking was out of the question, and the authorities wanted the two ethnicities to cooperate as they did in the Estates Theater in Prague, where the same actors appeared in German and Czech operas. But ultimately, no force could stop the dividing of institutions in Bohemia. When Czech patriots got a chance, they separated from the Germans as soon as they could, first in theaters but then on every other stage, whether cultural, scientific, economic, religious, or political.

In the early nineteenth century, theaters also expanded in the Hungarian cities Pest and Pressburg, and Magyar-language productions rapidly displaced German. But by the 1830s, there was little to struggle about. If the Hungarian movement wanted Hungarian theater, the parliament simply decreed it. The gentry political elite that controlled this institution was the national movement, and its prime efforts had moved to the stage of public life: to the most recent speeches of Kossuth, or to debates about political reform between him and more moderate opponents that filled the newspapers.

By the 1830s the Hungarian movement was imagining how to take control of and build the institutions of a nation-state that might stand next to England or France, sharing a point of view that would emerge among Czech politicians only two or three generations later. At this juncture, the Hungarian and Czech movements each desired what the other took for granted. If Czech patriots looked with envy on the museums, high schools, casinos, and theaters sprouting up around the Kingdom of Hungary, Magyar activists looked jealously at the cities and industries, roads, bridges, and urban prosperity of Bohemia, the most economically advanced place in the monarchy.

Bohemia had long stood at the crossroads of commercial routes, and it possessed age-old industries, a diversified and intensive agriculture, and an educated workforce in its innumerable small towns and cities. From the time of Joseph II, we can trace a growth spike that made Bohemia unrecognizable within a generation. The number of linen looms in Moravia went from 8,769 in 1775 to 10,412 in 1780, and 14,349 in 1798. Workers in the Moravian textile industry increased from about 288,000 in 1780 to 504,000 in 1789. Glass, wool, cotton, and stationery manufacturing likewise improved in the late eighteenth century, and agricultural products became more abundant. Such increases in production then fostered the expansion of regional and transregional markets, which in turn promoted the communication and movement of people from villages to growing towns.

At the same time, the transformation from rural to modern was achingly gradual in Hungary, noticeable in reforms accomplished through the strong will of a few workaholics like István Széchenyi, the most spectacular being the Chain Bridge connecting Buda and Pest in 1849, designed by Scottish engineers and financed by Greek capital. Yet Hungary’s vaunted reform parliaments of the 1830s and 1840s did little to advance modernization beyond measures facilitating the litigation of commercial disputes; their major achievement was to firm up the use of Hungarian in the educational system.

Hungary remained overwhelmingly and unproductively agricultural, facing tremendous legal barriers to even the thought of modernization. Seigniorial land could not be bought or sold, and peasants were not a labor force available to emergent industry but instead were bound servants of their lords. Széchenyi understood that agricultural land had to attract credit to prosper, but even after 1848, when seigniorial rights were abolished, Hungary did not bring in much foreign investment. Rather than put their money in the agricultural enterprise of an underdeveloped country, Western credit markets tended to fund transportation and industry in more prosperous regions.

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Crucible of Serb Nationalism

From From Peoples into Nations: A History of Eastern Europe, by John Connelly (Princeton University Press, 2020), Kindle pp. 142-144:

Beyond Poland, only Hungary possessed a large group of nationally conscious gentry. As in Poland, the challenge for the patriotic gentry was to extend its notions of national consciousness to a largely illiterate peasantry. But in contrast to Poland, a Hungarian political entity—the Hungarian kingdom—continued to exist, even if the king was Habsburg. Within that kingdom, institutions thrived that were controlled by the Hungarian gentry, above all a parliament and schools that inculcated in children a sense of duty to the Hungarian nation. The challenge was building even more schools in a largely agricultural country and spreading the message to areas where Hungarian was not spoken.

Yet Serb patriots faced challenges unknown to their neighbors. There had been no kingdom of Serbia for hundreds of years, and over the centuries, the Serb nobility had gradually faded away, either on the field of battle or through emigration, Islamicization, or simple reduction to poverty. In general, the Ottoman rulers did not impose Islam, but they encouraged conversion by reserving positions of influence and distributing land to their coreligionists. Landowners, administrators, and the wealthy tended to be Muslims, and Orthodox Christian peasants formed an underclass of sharecroppers. It was unthinkable that a Christian could have a position of authority or command over a Muslim, whether in the economy or in the state. When a Serb national leadership emerged, it was from the more successful livestock farmers and village notables.

Regardless of wealth, Serbs possessed a sense of national identity. Percentagewise, probably more Serb-speakers were conscious of their identity as Serbs, than Polish-speakers were of their identity as Poles. This is a bit of a mystery. There were no Serb political institutions, and unlike Polish or Hungarian elites, even the wealthiest Serb peasants in Ottoman territories could not read and write. Still, Serb-speakers across a vast space, who might never meet one another, nevertheless felt they were linked. That feeling partly had to do with the Serb Orthodox church, the one institution that the Ottomans permitted to survive, with separate legal jurisdiction for Orthodox believers as well as recognition of Serb identity (as opposed to Greek or Bulgarian). The Serb church assumed almost all civil authority of the defunct Serb state and kept that state’s memory alive by canonizing Serbian kings. Humble worshipers were reminded day in and day out that people of their own language had once ruled them and should do so again. The Patriarchate of Peć, a self-governing Serbian branch of Orthodoxy under the Patriarch of Constantinople, referred to the territory under its jurisdiction as the “Serbian lands.” From 1557 that territory included Kosovo as well as old Serbia and also areas farther north in Hungary.

But equally important was a cultural form that no institution could control, the Serb practice of epic folk poetry, maintained from time immemorial, of Serbs gathering in small circles or in their homes and listening to poems sung to the accompaniment of a one-stringed instrument, the gusle. The songs, produced from memory, could last for hours and were passed down from generation to generation because they gave people consolation and a way to make sense of oppression. Best known is the dramatic “Kosovo cycle,” which recounts the glories of medieval Serbia, up to a moment of heroic sacrifice at the battlefield of Kosovo, where a Serb force met a larger Turkish army on June 28, 1389.

A battle did take place on that date, one of several through which the Ottoman Empire expanded northward, into new territories. The historical facts are unglamorous. The Serb kingdom had been shrinking since death of its last great ruler, Dušan, in 1355. In June 1389, the vassals of the leading Serb prince Lazar met the armies of the sultan on Kosovo polje, the field of blackbirds, and both Lazar and the sultan were killed. The battle was not decisive. After the sultan’s successor consolidated his position, he made Lazar’s widow accept his authority. Her daughter Oliviera entered the sultan’s harem, and her son Stefan fought for the sultan, for example in 1396 at Nicopolis against Hungary, where he saved the day for his brother-in-law. In the meantime, his father, Lazar, had been sanctified in the Serb church. During the following century, all Serbian lands gradually came under Ottoman domination as the empire spread its influence north and westward.

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Boundaries of Eastern Europe

From From Peoples into Nations: A History of Eastern Europe, by John Connelly (Princeton University Press, 2020), Kindle pp. 25-26:

This book ascribes no stereotypes to Eastern Europe beyond saying that it is an anti-imperial space of small peoples. In the corners of its political nightmares dwells this indistinct fear of being absorbed into larger powers. The anti-imperial struggle kept ethnic cultures alive, but it also promoted ideologies of exclusion that can become racist. The old empires, especially the Habsburg empire, inspire nostalgia, because they protected human rights and indeed nations and peoples better than did many nation-states that came later. This book uses “Eastern Europe” interchangeably with “East Central Europe” to cut down verbiage, but also because both terms are understood to refer to a band of countries that were Soviet satellites not in control of their own destinies. It denotes not so much a space on the map as shared experience, such that peoples from opposite ends of the region, despite all cultural or linguistic differences, employ a common narrative about the past. When he made his odd invocation of national survival, Viktor Orbán used words that would resonate not only in Hungary and Slovenia but also in Poland, the Czech Republic, or Serbia.

The former western republics of the Soviet Union—the Baltic states, Ukraine, and Belarus—are not included, because they formed a separate story throughout much of the period studied, subject to Sovietization that tested local cultures to a degree not seen in East Central Europe. For the same reason, the German Democratic Republic (GDR) is included: this small country shared the destiny of being controlled by a superpower without being absorbed into it. But the GDR was also special. The East German regime eagerly took part in efforts to crush dissent in Czechoslovakia in 1968 and Poland in 1980, home to small-time co-imperialists with enough hubris to tell the Motherland of socialism what socialism was really about.

The inclusion of the GDR underscores the fact that Germans cannot be thought to be outside East Central Europe, and not only because millions have lived in this space for centuries. The question of how Germany would form a nation-state after the Holy Roman Empire became defunct in 1806 has shaped the region’s fortunes and misfortunes. Bismarck’s supposed resolution of the question in the “second empire” of 1871 only exacerbated the German question by provoking a sense of abandonment among the Habsburg Germans, one in three of the total number. It was no coincidence that the original Nazi Party was founded in Bohemia in 1903. What happened when German nationalism entered Eastern European space in a time of imperial decline—first of the Holy Roman Empire, then of the Habsburg monarchy—was that it gradually moved from the old practice of absorbing Slavs into German culture to a new one of displacing them from a vast supposedly German space.

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Capt. Cook & Sea Otters

From The Wide Wide Sea: Imperial Ambition, First Contact and the Fateful Final Voyage of Captain James Cook, by Hampton Sides (Knopf Doubleday, 2024), Kindle pp. 244-246:

COOK’S MONTH AT Nootka Sound would have far-reaching impacts—and not only in terms of establishing England’s early presence in the region that would eventually become British Columbia. Of the many ripple effects emanating from Cook’s visit here, perhaps the most consequential had to do with a single vulnerable creature: Enhydra lutris, otherwise known as the sea otter. These marine mammals, affectionate and mischievously cute, flourished here, feasting as they did on the huge populations of urchins and shellfish found throughout this extensive waterway. Sea otters appeared to lead a charmed existence, most of it spent cavorting on their backs.

But the trait that made them so beautiful, their thick, glossy coat, was also their curse, for in certain parts of the world—Asia, especially—the pelts were considered “soft gold.” Affluent Chinese men coveted sea otter cloaks as a status symbol and would pay astronomical sums for them. The lustrous fur was soft but also resilient, and it could be brushed in any direction, a result of its incomparably high fiber count—sea otters produce upwards of six hundred thousand hairs per square inch, twice the density of the fur seal.

During those heady days of the Manchu Dynasty, the market for pelts was becoming frenzied, akin to the tulip mania that gripped Holland in the 1630s. The potential profits staggered the imagination. Up until that time, most of the sea otter pelts that found their way into Chinese ports came from the Russian Far East and from the first, tentative Russian forays into Alaska. But stories from Cook’s visit here would lure crass armies of European and American fur hunters to Nootka and nearby locales, setting in motion a brutal industry that became so wildly competitive it would nearly ignite a war between England and Spain to control access to the sound.

Relentless hunting of sea otters, combined with the fact that they are slow breeders—typically producing only one pup every other year—meant that within a few decades of Cook’s arrival they would become virtually extinct. The fur trade springing up around Nootka Sound would doom the sea otter and cause enormous dislocations among the Mowachaht and other tribes living here—for the Europeans brought the deadly triad of alcohol, guns, and disease, which in short order would cast the Native cultures into a tailspin.

In their trading with the Mowachaht, Cook’s men procured many hundreds of sea otter pelts. The sailors called them “sea beaver,” and they well understood, as Midshipman George Gilbert put it, that their fur “is supposed to be superior to any that is known.” At the time, though, the men were not scheming to earn fortunes in Asia. They simply thought the velvety furs would come in handy in the Arctic—and, indeed, they would fashion the pelts into handsome greatcoats, caps, and gloves that would see them through many an Alaskan cold front. “To us who were bound for the North Pole,” said Samwell, the pelts “were extremely valuable articles and every one endeavored to supply himself with some of them.”

The Resolution and the Discovery, thoroughly refurbished, were towed out of the cove on April 26, 1778. Mowachaht men, keening songs in their canoes, accompanied the two ships almost to the mouth of the sound. As a parting gift, a chief bestowed upon Cook a handsome cloak made of “soft gold,” a fur raiment that nearly reached down to Cook’s ankles. In return, the captain presented the chief with a fine broadsword with a brass hilt—which, Cook thought, “made him as happy as a prince.” The Mowachaht implored the Englishmen to return soon. “By way of encouragement,” Cook wrote, the chief promised that he and his people would “lay in a good stock of skins for us, and I have not the least doubt but they will.”

The two ships, their sails rapidly filling, turned out of the sound and into the open sea.

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Omai’s Little Pretani in Huahine

From The Wide Wide Sea: Imperial Ambition, First Contact and the Fateful Final Voyage of Captain James Cook, by Hampton Sides (Knopf Doubleday, 2024), Kindle pp. 185-187, 191-192:

ON OCTOBER 26, when the house was nearly finished, Mai started bringing his English treasures and souvenirs ashore from the Resolution: the regiments of tin soldiers, the metal helmet and suit of armor, the mechanical Punch and Judy, the serpent jack-in-the-box, the barrel organ that could be cranked by hand. The globe of the earth, the portraits of King George and Queen Charlotte, the illustrated Bible, the “electrifying machine” that could give unsuspecting parties a jolt. The compasses and beads, the mirrors and looking glasses, the menagerie of toy animals. The kettles and crockery, the mugs and cutlery, and case after case of port wine. The saddles and bridles and horse tack. The wardrobe of English clothing—riding boots, velvet jackets, satins and linens, and numerous hats. Last but not least, the swords and cutlasses, the muskets and pistols, the fowling piece, the cartridges and pistol balls, and additional kegs of gunpowder.

Mai had wanted far more of these last items; he had originally asked for enough war implements to outfit an entire army. But Cook feared that the guns would do Mai more harm than good. “I was always of [the] opinion,” said Cook, that “he would have been better without firearms than with them.”

Mai took up residence in his new digs and seemed happy with them. The house was a piece of Britain, smelling of fresh-hewn wood, with a Latin carving over its door meant to signify that its occupant was under the protectorship of King George III: GEORGIUS TERTIUS REX. (The locals began to call that part of the island “Pretani,” and the name would stick for generations to come.) Whenever Mai left his cottage—to visit the ships or to ride his horse down the beach—he locked the front door and dropped the key in his pocket, just as he had done with the key to his apartment when he went out on strolls around London.

In the final days, as Cook and Clerke readied their ships for departure, Mai threw a succession of torchlit parties for the officers, dining under the stars beside his English house. They drank port and gorged themselves on fresh-caught fish and barbecued pork. Some of the chiefs, including the boy king Teri‘i-tari‘a, joined in the festivities, while Mai leaped among his guests, grinding his barrel organ. The Huahine people were astonished by the contraption and smiled in wonderment at the treacly mechanized melodies that issued from it.

Mai had a modest assortment of animals penned around his house—a stallion and a mare that was believed to be with foal, four sheep, a pair of ducks, a pair of rabbits, a pair of peafowl, and some cats, among other species that the Huahine people had never seen before. Mai also had a monkey—presumably he had brought it aboard while in Cape Town, but the accounts are vague on this point. The locals were delighted by the nimble creature, which they called “Hairy Man.”

On those last nights, members of Cook’s crew brought out their bagpipes, flutes, and fiddles. Mai set off fireworks, and there was much “mirth and jollity,” said Bayly. “We have nothing but good humor subsisting among us.”

Local lore concerning Mai is practically nonexistent, so nearly everything that is understood about him comes to us through the anecdotes of English sailors, the descriptions of English observers, and the brushstrokes of English painters. One thing is glaringly missing from the record: Mai’s own voice.

Like so many cases of cross-cultural transplantation, Mai’s odyssey led him, in the end, to an ambiguous place. His journey served as an allegory of colonialism and its unintended consequences. England, by showing off her riches and advancements and sending Mai back with a trove of mostly meaningless treasures, had doomed him to a jumbled, deracinated existence. Like the tiare apetahi flower of Raiatea, Mai, after all his travels, couldn’t take root in other soils.

Polynesian scholars recently located the spot where Mai’s house stood and where his remains were buried. It’s set back from the shore, on the outskirts of Fare. A modest yellow church called Iehova Saloma, with a corrugated roof of galvanized metal, had been built on the site. In back of the chapel, thickets of tropical trees, laden with fragrant flowers, swayed in the salt breeze.

This would have been Mai’s vista from the front door of his house, the only door in all of Polynesia that had a lock. Gazing west past the lagoon and the waves smashing on the reef, he would have had a perfect view of Raiatea, the sacred isle, a snaggy mountain on the horizon, just twenty-five miles away.

Mai had sailed around the world and back again in the hope of returning there, to build a life on the shores of his “faraway heaven.” And in his last days, there it stood, right in front of him.

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Capt. Cook’s Cruelty, 1777

From The Wide Wide Sea: Imperial Ambition, First Contact and the Fateful Final Voyage of Captain James Cook, by Hampton Sides (Knopf Doubleday, 2024), Kindle pp. 173-174:

Several months earlier, when Cook was passing through islands in the Tonga group, he had shown a taste for cruelty that some of his officers found both surprising and alarming. In the face of what he called the “repeated insolence” of the Natives—jackets, shoes, and a pewter basin had gone missing, as had daggers, bayonets, and muskets—Cook’s fury smoldered. On Tongatapu and its nearby atolls, he took to flogging Natives far past the daily limit of twelve lashes per man allowed by navy rules; in one instance, he had a Native whipped a sadistic seventy-two times. He cut off the ears of some of the most egregious thieves, and in at least one case, on his orders, a cross was carved into a Native man’s shoulder, all the way to the bone.

Yet Cook had never visited on anyone the kind of widespread retribution that he was now unleashing on the people of Moorea—punishing the many for the misdeeds of an individual. It seemed Cook had taken leave of his senses. The wanton destruction of the homes of people he had no proof were actually connected to the theft—this was a first. Although some of his men threw themselves into the vandalistic acts with gusto, most were appalled by the harshness of their captain’s orders. They understood Cook’s initial frustration over the theft, but his lust for retaliation had grown into something terrifyingly toxic, with no sense of proportion.

“I doubt not,” thought one lieutenant, “but Captain Cook had good reasons for carrying his punishment to these people to so great a length, but what his reasons were are yet a secret.” It was “all about such a trifle as a small goat,” wrote Midshipman George Gilbert. Cook’s reprisals “were so different from his conduct in like cases in former voyages.”

Later in the day, for good measure, Cook had members of his party stalk down to the water’s edge and rip apart every canoe they could find. This was much more than a passing insult. It would be difficult to exaggerate the importance of a canoe in Polynesian society—the labor and craftsmanship it entailed, the utility it provided, the livelihood it advanced. Canoes were transportation, but they were also art. What the horse was to the American West, the canoe was to the Society Islands. To destroy canoes was to strike at the people’s independence, their means of sustenance and of getting about, their sense of aesthetics—and, to some extent, their sense of identity, too.

Cook, who surely understood this, persisted through the day, and the day after that: He sent teams of men along the coast to smash up every outrigger they encountered. Some Mooreans filled their beloved vessels with heavy rocks and sunk them in the lagoon shallows, thinking this might deter Cook. It didn’t. “The Captain,” wrote Lieutenant John Rickman in horror, “ordered the canoes that were sunk to be weighed up and destroyed.”

It is extraordinary that the islanders didn’t rise in defiance and kill these white-skinned invaders. The Native weapons may have been no match for muskets, but the Mooreans outnumbered Cook’s small party by a thousandfold. They could have made quick work of the Englishmen, but for some reason they remained pacific, even as parts of their island were consumed in flames.

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Indentured Servitude vs. Slavery

From The Caribbean: A History of the Region and Its Peoples, ed. by Stephan Palmié and Francisco A. Scarano (U. Chicago Press, 2013), Kindle pp. 214-215:

As the 17th century drew to a close, English and French colonists were no longer able to justify investments in indentured servitude, even as temporary chattel, on economic grounds. They were, however, able to promote the institution on social and political grounds. The policy decision to pull white women from field gangs because they were better placed to serve the colonial enterprise in the field of reproduction exemplifies the significance of social forces in determining the shape of the labor system. Importantly, it shows that the planters’ efforts to reinvent servitude as slavery received some pushback for social and political purposes. In addition, there was the matter of sustaining militia regiments to assist in the suppression of enslaved Africans. To these ends colonial governments, rather than planters, sought to ramp up the demand for male servants.

Given the harshness of Caribbean work and epidemiological environments, for many servants the plantation experience amounted to lifelong enslavement. The legal requirement of fixed-time servitude and the social reality of lifelong labor were offset by mortality trends and management policy. To suggest, as one scholar does, that it “was, of course, inconceivable that any of the [white] labor pools mentioned (convicts, prisoners of war, or vagrants) could have been converted into chattel slaves” is to ignore what was taking place on the ground in the colonies (Eltis 2000, 70).

The conversion of servitude into slavery was conceived by planters of cotton, tobacco, and sugar. If these planters failed at this conversion, it was not because of weak managerial resolve, but because of the multiple internal and external forces that militated against them, including servants’ unrelenting ambition to participate in colonialism as independent wealth makers.

From the beginning, those Barbadian planters who received large grants of land calculated the benefits of importing African labor to work them. Pre-sugar Barbadian planters, such as James Drax, were directly involved in sponsoring slave voyages to the African coast; the Drax family later became sugar barons in Barbados and Jamaica. Other English merchants with investment interests in Barbados were known slave traders. The Earl of Warwick, who claimed in 1629 that Barbados was granted him by the monarch, and Maurice Thompson, a large landowner, were involved in the supply of enslaved Africans directly to Barbados before the “sugar revolution.”

The contrast with smaller landholders is sharp. Before the [Dutch] Brazilian political crisis of 1645 wrecked that country’s sugar industry, the Dutch West India Company was selling slaves on easy terms to creditable planters in Barbados and Guadeloupe. Strapped for cash and alienated from credit, the “small holders did not take to sugar,” says Blackburn, “because it was a new and unfamiliar crop, and because it could not be harvested for at least eighteen months after the first planting” (Blackburn 1997, 231). They did not attract Dutch or English credit, had no access to core funding for slave purchase, and thus remained in the servant market. In this way they drove the demand for servants despite the potential availability of slaves.

“Slavery and cotton,” then, was as established in Barbados and Guadeloupe in 1640 as would be “sugar and servitude” in 1650 and “sugar and slavery” in 1660. Between 1645 and 1650, the midpoint of the transition, the mixed-labor regime was at its peak. As big investors in cotton production, planters with financial access did two things that prepared them for sugar: they consolidated small plantations into large ones, and they made substantive purchases of enslaved Africans. Economies of scale in cotton production enabled many of these planters to access larger external credit instruments that enabled the expansion of both the servant trade and the slave trade. In addition, the planters sped up the land consolidation process that facilitated the sugar industry.

These investors became industry leaders who championed the charge into sugar production and plantation expansion after 1645. In effect, they were deepening rather than creating the reliance upon enslaved Africans. Capital was scarce and expensive; risks were high. In pursuit of profits, planters fully exploited whatever labor was within their reach. Alongside “sugar and black slavery” there was “sugar and white slavery.” Plantation agriculture before, during, and after the sugar revolution generally meant disciplined, coerced labor—and, as Williams so aptly concluded, “at times that labor has been slave, at other times nominally free; at times black, at other times white or brown or yellow” (Williams 1944, 29).

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Caribbean Demographic Changes, 1600s

From The Caribbean: A History of the Region and Its Peoples, ed. by Stephan Palmié and Francisco A. Scarano (U. Chicago Press, 2013), Kindle pp. 197-199:

European and African populations in the Caribbean grew quickly, almost exclusively through migration rather than natural increase. If the numbers are often vague, two patterns are clear. First, the white population in the islands was predominantly young and male until the late 17th century. Second, the population came to be dominated by enslaved Africans by the end of the century, first on the English islands and then on the French. The population of the French islands was 19% black by 1650 but 36% by 1660 (Boucher 2008, 115). By 1655 the population of Barbados contained some 20,000 Africans and 23,000 Europeans; 18 years later, the slave population outnumbered the European population, 33,184 to 21,309 (Dunn 1973, 87). Enslaved Africans came from a variety of ethnic groups, as did Europeans—especially on the English and Dutch islands.

Although most European migrants traveled as indentured laborers, there were some free migrants as well. Some were ambitious men eager to improve their economic condition: Tom Verney hoped in 1639 that his time in Barbados would “be an engagement for mee for my new lead-life,” promising both prosperity and personal redemption for past failures (Games 1999, 80). Some were men of the cloth. The presence of Caribs on French-occupied islands not only hindered French settlement but also inspired the French to send Catholic missionaries to proselytize. Jews found haven in Suriname, Curaçao, Barbados, and Jamaica. English Catholics, forbidden to practice their faith openly at home and banned from holding public office, inhabited all of the English colonies in the Caribbean. French Huguenots made their way to the islands, too, where many governors tolerated their presence. If for many the 17th-century Caribbean was a place of violence, premature death, and avarice, for others the islands offered relative sanctuary—whether prompted by indifference or acceptance from neighbors—from some of the religious and political violence of the era.

European affairs continued to punctuate Caribbean life in the middle of the 17th century, defining mature colonial settlements just as they had facilitated their creation. Other regions of the Atlantic also began to shape the Caribbean. Trading ties thickened connections to the American mainland, Europe, and Africa. One overpopulated Caribbean colony, Barbados, even spawned a supply colony on the American mainland, Carolina. Africans became a larger presence in the region, dominating some islands and posing strategic challenges and opportunities for residents and invaders. Several regional transitions illustrate these new intersections.

The first transition involved sugar, another commodity of growing popularity in Europe. Tobacco may have sparked interest in Caribbean land in the 1620s, but sugar wrought an even greater frenzy. It took hold gradually in the English and especially the French Caribbean, primarily because sugarcane cultivation and processing required a large capital investment in equipment and labor, one well beyond the reach of most European planters, many of whom also lacked expertise in processing cane. In 1654 came a crucial turning point in the Caribbean, sparked by events outside the region: the Dutch, after nine years of struggle with the Portuguese, finally abandoned Brazil, where they had learned the complicated and costly techniques of sugar cultivation and, more important, of transforming sugar into rum and molasses. As Dutch merchants, planters, and investors dispersed into the Caribbean, they brought those techniques with them. While some English settlers had already begun to experiment with sugar on Barbados, the infusion of Dutch capital contributed to the “sugar revolution,” in which sugar monoculture replaced other crops and enslaved Africans replaced European indentured laborers.

Sugar wrought major environmental transformations wherever it took hold, and those changes assisted the Aedes aegypti mosquito, which had crossed the Atlantic from Africa in slaving vessels. As Europeans cleared land for sugarcane, they felled trees, removing bird habitats and facilitating the survival of insects the birds had once consumed. Sugar processing also required clay pots, which stood empty much of the year, collecting rainwater that enabled mosquitoes to flourish. A. aegypti is the vector for yellow fever, and it is no accident that the Caribbean’s first yellow fever epidemic started in Barbados in 1647, in the wake of sugar’s introduction to the island. In that first epidemic, as much as one-third of the island’s population may have died.

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Spanish Caribbean Havana vs. San Juan

From The Caribbean: A History of the Region and Its Peoples, ed. by Stephan Palmié and Francisco A. Scarano (U. Chicago Press, 2013), Kindle pp. 185-188:

As large stretches of the Greater Antilles were falling into general decline and had begun to look inward, giving rise to the peculiar creole cultures one associates today with the Hispanophone Caribbean, one city—Havana—was experiencing unparalleled growth and prosperity. In effect, one of the few Spanish Caribbean success stories of the long 17th century was Havana’s conversion into a major maritime outpost, a dynamic, multicultural center where goods and people from distant lands built an emerging mercantile capitalism. With this change, the economic and demographic epicenter of the Spanish Caribbean moved decisively from the old colonial capital of Santo Domingo to western Cuba. Havana’s growth, laggard at best until about 1590, would be unstoppable after that year. Historians have often remarked how, in economic prowess and cultural achievement, western Cuba became more like a continent than an island. By the end of the 18th century, Havana, this capital of “continental Cuba,” was the third most populous city in the Americas and a crucial link connecting the main elements of Spain’s dispersed overseas empire. The demographic and economic growth that fueled its ascent began around the middle of the 16th century and continued in spurts throughout the long 17th century.

Historian Alejandro de la Fuente and his collaborators (2009) have narrated in great detail the story of Havana’s emergence as the most important of Spain’s Caribbean maritime cities, initially rivaled in importance only by Cartagena [Columbia]. Beginning in the second half of the 16th century, Havana emerged as the crossroads of three key trading circuits in the Spanish Atlantic: the transatlantic trade, the intercolonial trade between various ports in the Spanish circum-Caribbean region, and the intracolonial trade connecting various Cuban ports with the island’s principal commercial hub. The first of these trading circuits funneled large amounts of silver from the continental colonies and some American staples such as sugar, tobacco, indigo, and hides toward Europe in exchange for manufactures, foodstuffs, wine, and enslaved Africans. The second circuit, the intercolonial, grew in importance as Spain’s fleet system of transatlantic navigation (the so-called Carrera de Indias) became more developed. It connected the more marginal ports in the Caribbean, usually bypassed by Spanish ships, with the Atlantic routes. The third circuit, to and from the Cuban interior, linked Havana to the outside world as both supplier and market. Because the forces that made up Cuba’s great maritime city were so far-flung and diverse, and because the people who built the city also hailed from diverse corners of the Atlantic world, referring to Havana as one of the few “Atlantic communities” seems justified.

The three mercantile systems that converged in Havana interconnected with each other in the city’s harbor, a large, deep, well-protected port capable of accommodating dozens of vessels at a time. It was one of the two or three best harbors in the Caribbean and, considering its proximity to the Gulf Stream, easily the best located. During the second half of the 16th century, Havana’s window to the sea would be made virtually impregnable by the construction of three forts (one at each side of the bay’s entrance, and one closer to the main docks) as well as an underwater chain at the harbor’s entrance to interrupt traffic whenever necessary. This defensive complex was highly successful and—as the English corsair Francis Drake found in 1586—could be so formidable that it discouraged even the most daring aggressors from attacking the city.

As an Atlantic city, Havana gradually became a Spanish Caribbean anomaly in several ways. First, it became a thriving port that drew strength from Spain’s increasing presence as a precious-metal producer in the European system at a time when other port cities in the region were becoming more inward-looking and less cosmopolitan. It also bred a social order more hierarchical than those of smaller cities: Havana’s elite was ethnically more diverse, economically more dynamic, and in its business orientation more akin to other Atlantic hubs like Seville, Cartagena, and Veracruz. As its prosperity grew, Havana’s elite drew more resources from the agriculturally rich hinterland, from which it obtained goods, including sugar, that later were sold via Atlantic networks. Local fortunes grew enough in the 17th century so that some habanero families purchased titles of nobility and imitated in the Caribbean the lavish lifestyles of the Spanish aristocracy. The habanero elite stood at the pinnacle of a society profoundly stratified by class, status, and race—a socioracial hierarchy that in its well defined and protected social spaces was not quite replicated in any other Spanish Caribbean city.

If, in its vitality amid the relative poverty of the 17th-century Spanish Caribbean, Havana occupied one extreme, San Juan stood at the opposite end of the spectrum. A heavily fortified bastion governed by military men, it was the only port in Puerto Rico authorized to engage in direct trade with the metropole. When contacts with the mother country were frequent, as in the final quarter of the 16th century, this arrangement had worked relatively well. After 1625 or so, however, the monopoly trading system collapsed and Puerto Rico was thrust essentially to the margins of Spain’s Atlantic trading circuits. Between 1651 and 1675, reportedly only nine ships left Seville, the Spanish peninsula’s single designated port for colonial trade, for San Juan. As commercial relations with Spain came to a virtual halt, the colonists in Puerto Rico were forced to rely on contraband. These contacts, illegal but commonplace, drew them into a web of trade relations that was centered in the Danish and British islands to the east and south. Thus, contrary to Havana, the Atlantic port city par excellence, San Juan had become a regional port city where life centered on the contraband relations that thrived at the imperial margins and in proximity to foreign colonies.

Still, this poor, underpopulated city on the eastern edges of the Spanish empire, surrounded by impressive walls and guarded by a massive fort (San Felipe del Morro) at the entrance to the bay, was racially stratified and hierarchical in ways reminiscent of Havana, although it was less residentially and socially segregated. Whites (whether rich or poor), free people of African descent, and enslaved persons cohabited in many of the barrios into which the city’s small footprint was divided. San Juan’s landholding and commercial elites were clearly poorer than those of Havana or even Santo Domingo, although many foreign observers remarked on their aristocratic aspirations and claims to racial purity.

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