1993 – 2016: (12) : “Social Existence Determines Social and Political Consciousness” Chapter Twelve of “The Logic of Politics” 王沪宁等著《政治的逻辑》

Chapter Twelve Summary: Social Existence Determines Social and Political Consciousness

This chapter of The Logic of Politics: Principles of Marxist Political Science presents a systematic Marxist theory of political culture grounded in historical materialism. Political culture is a specific form of social consciousness, ultimately determined by social existence—particularly material production, economic relations, and the resulting class structure. While political culture reflects political life directly, political life itself is shaped by deeper material conditions. Therefore, political culture cannot be understood or transformed independently of these conditions.

The Logic of Politics: Principles of Marxist Political Science by Wang Huning and others.

First, this chapter establishes that political culture, comprising political ideas, values, ideals, moral attitudes, national psychology, and political beliefs, is not the product of abstract thought or individual imagination but reflects lived social life. Drawing on Marx and Engels, the idealist explanations that treat ideas as the primary drivers of history are rejected. Refuted as well are some Western behavioralist political culture theories, such as those of  Lucian Pye and Gabriel Almond,  that would explain political development by cultural typologies alone. While political culture may influence political life, it cannot explain its essence. That must be sought in material relations and class struggle.

People are subjects of political culture, not abstract individuals; real people engaged in material production and social relations. People both create and are shaped by political culture. Class differences result in different political cultures within the same society, creating dominant and subordinate subcultures. Thus, political culture has a clear class character that reflects specific class interests. In class societies, the ruling class’s political culture becomes dominant not only because of its material power but also because it controls the means of ideological production and distribution. This allows the ruling class to shape social consciousness through education, the media, and political socialization.

Chapter Twelve cautions against vulgar Marxism, emphasizing that while political culture is shaped by a society’s material life (economic structure, class relations, everyday social existence), it doesn’t just passively “reflect” those conditions. Once formed, a political culture can feed back into political life — accelerating, steering, stabilizing, or obstructing political development. Political culture has relative autonomy – it does not march in lockstep with social existence as claimed the vulgar Marxists who so infuriated Marx. It may lag behind social change due to tradition or precede it through theoretical foresight and a scientific understanding of historical tendencies. Political culture is “software” for the political system: institutions are the “hardware,” but political culture provides legitimacy narratives (why rule is justified), value hierarchies (what counts as justice, order, equality), behavioral norms (how officials govern, how citizens participate), and expectations about authority (obedience, contestation, consultation).

Each generation inherits ideas, values, and traditions from the past that shape the present, even as they evolve. This inheritance makes political cultures national and so renders the mechanical transplantation of political cultures across societies impossible. Marxism rejects “national nihilism” (mínzú xūwú zhǔyì)  — in Chinese ideological usage the blanket rejection or denigration of a nation’s historical experience and cultural tradition in the name of abstracting political culture from historical and national contexts.

Rooted in historical materialism and revolutionary practice, proletarian political culture reflects the interests of the majority and aims to abolish class exploitation and achieve human emancipation. Unlike ruling-class ideologies, proletarian political culture openly breaks with exploitative traditions while critically inheriting humanity’s intellectual achievements.


The Logic of Politics: Principles of Marxist Political Science translated in full with citations to sources and context to sources added:

Sources of quoted text are usually not provided in the Chinese text. Source citations have been found and added to the translated English text.

The Chinese text of Chapter Twelve follows the English translation.


Chapter Twelve Social Existence Determines Social and Political Consciousness

Political culture, or social and political consciousness, is an important component of social consciousness. It is shaped by real economic relations and the political relations that stem from them, and it reflects these relations. Once social and political consciousness has taken shape in actual social and political life, it functions as a relatively independent force. In turn, it acts upon society and politics, either promoting or retarding their development. Marxism employs the historical-materialist theory of the relationship between social consciousness and social existence to analyze the fundamental principles that govern the formation and development of political culture and to expose its essence, content, and function. Historical materialism gives the Marxist view of political culture a scientific basis, which contrasts sharply with the modern Western bourgeois view of political culture based on behaviorism.

Section One Politics and Culture Reflect Social Existence

  1. Social existence determines politics and culture

According to Marxism, people’s social consciousness includes political, legal, moral, scientific, artistic, philosophical, and religious ideas and modes of thought. Social and political consciousness is an important component of social consciousness. In modern terms, political consciousness is political culture.

As a subjective domain within political activity, political culture includes elements such as political consciousness, national temperament, national spirit, national political psychology, political thought, political concepts, political ideals, and political morality. Marxists argue that, although the specific causes that form these elements differ, their forms of expression and the roles and influences they exert on political life vary greatly, they are ultimately nothing more than products and reflections of actually lived social life. Marx and Engels pointed out:

“These ideas are the conscious expression (whether true or illusory) of their real relations and activity, of their production, of their intercourse, and of their social and political organization.”

Karl Marx. The German Ideology. 1845, Part I: Feuerbach, Opposition of the Materialist and Idealist Outlook, A. Idealism and Materialism, Ideology in General, German Ideology in Particular

Therefore, the nature, content, and ideological orientation of any social political culture are not rooted in theorists’ doctrines and designs or people’s subjective feelings and imaginings. Rather, they are directly rooted in real lived social life and determined by people’s conditions of social existence.

Social existence determines social consciousness. A people’s social existence is their actual life process—the material conditions of social life, primarily the production of material resources, and the social connections and relations that arise from it. This objective reality exists independently of people’s social consciousness. Marx pointed out that

“the mode of production of material life conditions the general process of social, political and intellectual life.”

Karl Marx 1859, A Contribution to the Critique of Political Economy, Preface

Fundamentally, political culture is a form of social consciousness that is determined by the material conditions of social life. However, since political culture is primarily an abstraction of real political life, the influence of material conditions on political culture is indirect. Material conditions first influence real political life, which then determines the corresponding political culture. Marx made this clear in a passage on the “economic foundation.” Marx wrote:

“The totality of these relations of production constitutes the economic structure of society, the real foundation, on which arises a legal and political superstructure and to which correspond definite forms of social consciousness.”

Karl Marx 1859, A Contribution to the Critique of Political Economy, Preface

Therefore, political culture, as a product of social life, is an abstraction of social political life determined by the material conditions of society.

The internal connection between political culture and political life is confined to the realm of the superstructure. Thus, the ultimate causes of the problems they reflect cannot be found within the object itself; they must be sought in social material life. The Marxist view of political culture explicitly opposes two erroneous tendencies.

First, attempting to use the ideational elements of political culture to explain or alter the phenomena of political life. Many thinkers before Marx, such as Hegel, held that

“the ultimate causes of all historical changes are to be sought in people’s changing ideas, and that, among all historical changes, the most important—decisive for the whole of history—are political changes.”

Works of Frederick Engels 1877, “Karl Marx”

In essence, this conception amounts to the following formula: changes in ideas determine political changes, which in turn determine historical changes. Extended further, it becomes the claim that ideas determine the change and development of social and political life. This conception is clearly mistaken. Marx recognized this erroneous tendency in the early period of his intellectual development. In “Justification of the Correspondent from the Mosel,” Marx soberly pointed out:

“In investigating the phenomena of state life, it is easy to go astray, by ignoring the objective nature of various relations and explaining everything by the will of the persons concerned.”

Karl Marx, Justification of the Correspondent from the Mosel, 1843
Rheinische Zeitung, No. 15, January 15, 1843

Later, as Marx deepened his study of social reality—especially after he carried out a thorough reckoning with Hegel’s philosophy of right—he arrived at a still clearer view:

“My inquiry led me to the conclusion that legal relations, as well as forms of state, are to be grasped neither from themselves nor from the so-called general development of the human mind; on the contrary, they have their roots in the material conditions of life,” and that “the anatomy of civil society is to be sought in political economy.”

Karl Marx 1859, A Contribution to the Critique of Political Economy, Preface

Engels highly praised Marx’s conclusion. He held that although this

“new world outlook not only inevitably ran counter to the representatives of the bourgeoisie, but also inevitably to a whole crowd of French socialists who wanted to turn the world upside down by means of the magical formula of liberty, equality, fraternity,” nevertheless “the first conclusions from this principle dealt a shattering blow to all idealism, even the most concealed idealism. All traditional and customary views of everything historical were negated by this principle.”

Review by Frederick Engels of Karl Marx, “A Contribution to the Critique of Political economy”

Accordingly, the entire traditional mode of political argumentation—the idealist mode that explains or justifies political and social development by appeal to thoughts and ideas—also collapsed.

Second is the oversimplified treatment of political culture as merely a reflection of political life. This approach directly uses political culture to explain political phenomena and guide political life. This erroneous tendency, unlike the former, does not treat viewpoints and ideas as the decisive factor in social and political development. However, the idealist inclination it displays is essentially no different. This tendency is particularly evident in contemporary Western political science research. Some well-known political scientists today, such as Lucian Pye and Gabriel Almond, when conducting comparative politics research, straightforwardly classify types of political life in different societies on the basis of differences in political culture, pronounce judgment on the level of development of these societies’ political life, and then, on that basis, use the value orientations expressed by Western political culture to delimit the goals and orientation of political development in developing countries—treating the development of political culture as an important precondition for political development in those countries.

This tendency is not only theoretically flawed, but also unworkable, as life in our real world makes clear. According to the Marxist view of political culture, political culture is an abstraction of real social and political life. However, as a social ideology, it fundamentally reflects the material conditions of social life and the social relations that arise from those conditions. Thus, although political culture reflects the content of political life, it cannot explain its essence; therefore, it cannot guide its change and development.

The material conditions of social life and the social relations reflected in political culture should explain the essence of political life and become the force that guides its change and development. In the sphere of political life, these social relations are primarily expressed as class relations and class struggle. Therefore, Marx and Engels repeatedly pointed out:

“The ultimate causes of all social changes and political revolutions are to be sought, not in men’s brains, not in men’s growing insight into eternal truth and justice, but in changes in the modes of production and exchange; they are to be sought, not in the philosophy of the given epoch, but in the economics of the given epoch.”

Frederick Engels, Socialism: Utopian and Scientific, III, [Historical Materialism]

According to the Marxist view of political culture, social existence determines political culture. This view not only reveals the essential characteristics of political culture, but also provides a scientific method for studying it. According to this method, to understand the political culture of any society, one must look beyond political culture itself and abstract political life. Instead, one must examine the realm of a society’s material production and social relations. Political cultures formed under different social formations are obviously different, and essential differences cannot be explained by merely comparing political cultures as contemporary Western political scientists do.

As Stalin pointed out, the fact that different periods of social history have different social ideas, theories, views, and political institutions—one set under a slave-owning society, another under feudalism, and another under capitalism—cannot be explained by the “nature” or “attributes” of the ideas, theories, views, or political institutions themselves. Rather, it must be explained by the different material conditions of social life in different periods of social development. Accurately grasping the essence of political culture helps analyze and study various political phenomena.

II. Human beings are the subjects of political culture

Human beings are the creators of their own concepts, ideas, and theories. Political culture, as a form of social ideology, belongs to the domain of human subjective consciousness. Human beings are the subjects of political culture. In this sense, political culture is the subjective reflection, in political life, of human beings whose existence is determined by definite relations of production.

Human beings become the subjects of political culture not only because they create concepts, ideas, and theories, but also because they are the creators and subjects of real social political life and political relations. Marx and Engels pointed out:

“Definite individuals who are productively active in a definite way enter into definite social and political relations.” “The social structure and the state are continually evolving out of the life-process of specific individuals.”

In order to distinguish themselves from earlier thinkers—especially Feuerbach—Marx and Engels repeatedly stressed that the “human beings” they speak of as subjects are not abstract individuals, but real individuals.

“The individuals here in question are not imagined individuals, such as they may appear in their own or other people’s imagination, but real individuals—that is, individuals who are active, who produce materially, and who therefore act and express themselves under definite material limits, presuppositions, and conditions independent of their will.”

By endowing the human subject with such concrete characteristics, Marxism distinguishes itself from other thinkers’ views of political culture. It also establishes a firmer basis for political culture and transforms it into an active force. Thinkers who use political ideas and concepts to explain and determine political phenomena go astray because they abstract the concrete character of human beings as subjects of political culture. Such abstraction inevitably separates ideas and concepts from real people, allowing them to become the dominant force governing people’s lives and social development in the imagination. This leads to idealism.

Human beings are the subjects of political culture. Therefore, the existence and development of political culture are closely related to human activity. As Marx and Engels pointed out:

“The production of ideas, of conceptions, of consciousness, is at first directly interwoven with the material activity and the material intercourse of men, the language of real life. Conceptions, thinking, the spiritual intercourse of men, appear here as the direct efflux of their material behaviour. The same applies to mental production as expressed in the language of politics, laws, morality, religion, metaphysics, etc., of a people.”

All three quotes above in this paragraph are from Karl Marx. The German Ideology. 1845, Part I: Feuerbach. Opposition of the Materialist and Idealist Outlook. A. Idealism and Materialism

It can be seen from this that the existence and development of political culture are related not only to human political activity but also to human material activity and the material relations formed in that activity, namely relations of production. This conclusion can be understood on two levels.

First, at the level of human societal development, this conclusion shows that the level of social production development simultaneously determines the content and level of a society’s political culture, while also determining relations of production and class relations. Historically, the emergence and development of bourgeois political ideas and ideals cannot be separated from the development of capitalism and the changes in social relations it brought about. When analyzing the French “Declaration of the Rights of Man and of the Citizen,” Marx noted:

“In 1789, the political question of human rights absorbed in itself the social rights of free competition.”

Karl Marx and Frederick Engels On Poland, Communism, Revolution, and a Free Poland, Marx’s Speech, Speech delivered in French commemorating 2nd anniversary of Krakow Uprising, Brussels, February 22, 1848

Marx also pointed out that since the modern state is the product of civil society, which was forced to cast off the old political fetters through its own development, it therefore recognizes its birthplace and foundation by proclaiming the rights of man. Additionally, the differences in civic political culture between developed and developing countries ultimately arise from differences in the level of social development between these two types of countries.

At the level of a particular country’s social development, this conclusion shows that, within the social relations formed by material production activity, people occupy different positions and play different roles. Consequently, they form different political ideas, value orientations, and ideals in political life, thereby forming sub-political cultural structures within the broader political cultural context of society. In class societies, differences and conflicts in political culture between classes, especially between the ruling and ruled classes, are directly connected to their respective positions in social production relations.

From the perspective of Marxism, when people occupy different positions within relations of social production, they form different personal interests, group interests, and class interests, and

“everything for which men strive is connected with their interests.”

On Freedom of the Press, Proceedings of the Sixth Rhine Province Assembly, Debates on Freedom of the Press and Publication of the Proceedings of the Assembly of the Estates, [Freedom in General]

These interests constitute the foundation of their thinking. Therefore, because social interests are plural in any society, sub-political cultures representing the interests of various groups and classes inevitably arise. The political culture representing the ruling class occupies the dominant position and sets the overall orientation of the political culture of society as a whole (i.e., the overarching political culture).

While seeing human beings as subjects with full, concrete reality, Marxism also enables people to acquire ample initiative and agency with respect to political culture. A person’s social existence determines their ideas, yet the reflection of social conditions in a person’s ideas is active, not passive. In other words, people can reflect on their situation and the conditions and requirements of social development in an active way and, on that basis, form thoughts and ideas.

In terms of political culture, their agency enables people to choose or form political thought, conceptions, theories, and ideals that correspond to the laws and requirements of social and political development. Therefore, a vital political culture reflects real social and political conditions and strives to express or propagate political ideals and theories that are suited to socio-political development. These ideals and theories often promote social and political development. Thus most important is that the way people choose and form theories and ideas corresponds to what they and society need for their development. This largely depends on gaining a scientific understanding of, and correct grasp of, the conditions of one’s own and society’s existence.

Lenin held that social existence does not depend on human consciousness and that the complex laws and processes of social life cannot be fully grasped by social consciousness. Consequently, achieving the most accurate possible understanding of social life becomes a very important task. He said:

“The highest task of humanity is to comprehend the objective logic of economic evolution (the evolution of social being) in all its main features, so that it may be possible to adjust to it one’s social consciousness and the consciousness of the advanced classes of all capitalist countries in as definite, clear, and critical a fashion as possible.”

V. I. Lenin, MATERIALISM and EMPIRIO-CRITICISM, Critical Comments on a Reactionary Philosophy, , ( Chapter Six: Empirio-Criticism and Historical Materialism ) 2. How Bogdanov Corrects and “Develops” Marx

In this sense, the existence and development of political culture depend on two things: the subject’s social, material, productive activity and relations of production; and the level to which people understand the conditions of their own and society’s existence.

III. Political culture is not only acted upon, it also acts upon society

According to the basic principles of historical materialism, social existence determines social consciousness. At the same time, social consciousness has a counter-effect on social existence. Therefore, as an important component of social ideology, political culture exerts a counter-effect on social and political development in the course of its formation and development. Mao Zedong clearly pointed out:

“Any given culture (as an ideological form) is a reflection of the politics and economics of a given society, and in turn has a tremendous influence and effect upon the politics and economics of that society; economics is the base, and politics is the concentrated expression of economics. This is our fundamental view of the relationship among culture and politics and economics, and of the relationship between politics and economics.”

Selected Works of Mao Tse-tung, ON NEW DEMOCRACY, January 1940

Lenin pointed out:

“Man’s consciousness not only reflects the objective world, but creates the objective world.”

Vladimir Ilyich Lenin, Conspectus of Hegel’s Science of Logic — Book III (Subjective Logic or the Doctrine of the Notion)

This “creation” is a concrete manifestation of the way consciousness acts upon being. Plainly, the reflection of the objective world in human consciousness goes hand in hand with human consciousness exerting a counter-effect upon the objective world. The effect running in the other direction of social consciousness upon social existence naturally makes social consciousness a force that influences social development. Therefore, even as Marxism stresses that

“the ultimately determining factor in the historical process is the production and reproduction of real life,”

Marx-Engels Correspondence 1890, Engels to J. Bloch In Königsberg

it also regards social consciousness as an important factor influencing historical development. Engels said:

“The economic situation is the basis, but the various elements of the superstructure also influence the course of historical struggles, and in many cases determine their form for the most part: the political forms of the class struggle and the results of that struggle—constitutions established by the victorious class after it has won, and so forth—legal forms, and even the reflections of all these actual struggles in the minds of the participants: political, legal, and philosophical theories, religious views, and their further development into systems of dogma.”

Marx-Engels Correspondence 1890, Engels to J. Bloch In Königsberg

The primary target of the effects of political culture is, of course, the sphere of political life. These effects often have a profound impact on the development of society and politics.

Political culture begins to affect political life and development from the moment it emerges. This counter-effect can be divided into two forms: positive and negative. The positive form promotes social and political development, while the negative form obstructs it. Which kind of effect a given political culture produces depends on the culture itself and its relationship with real social and political development.

Generally, the emergence of new political ideas, principles, and ideals foreshadows new demands and tendencies in social and political development and exerts a positive influence.

Conversely, old political ideas and backward political ideals will constitute an obstructive force against social and political development. In the historical development of European society, the medieval theological worldview was unquestionably a tremendous force opposed to the development of modern capitalism. For the sake of their own development, the European bourgeoisie first had to remove this obstructive force.

From the Renaissance to the nineteenth century, many political thinkers, in constructing their political theories and ideas, took the critique of religious theology as their point of departure, and on the ruins of the old theological worldview that had been destroyed, built a new worldview. Thus, in summing up the German Peasant War, Engels pointed out:

“All general and overt attacks on feudalism necessarily first became attacks on the Church, and all revolutionary social and political doctrines necessarily, on the whole, became theological heresies; in order to attack the social conditions of the time, it was necessary to strip them of that sacred aureole.”

The Peasant War in Germany by Frederick Engels, Chapter 2 The Main Opposition Groups and their Programmes; Luther and Muenzer

As the foregoing analysis shows, any social or political development requires an advanced political culture. Such a culture plays a guiding and promoting role in social and political development through the new values, ideals, and ideas it embodies. However, the formation and development of a new, advanced political culture and its positive effect on social politics will inevitably face two problems.

  • First, how to fully bring into play its own strength in the struggle against the old political culture and ultimately take a dominant position.
  • Second, how to make a new political culture widely recognized by society in a manner suited to that struggle and produce positive social effects.

Clearly, resolving these two problems concerns not only the fate of a new, advanced political culture but also the development of society and politics.

First, let us address the initial question. In order for a new political conception, thought, or theory to be effective in challenging an old political culture, it is not important how grand or lofty the realm or ideal it seeks may be compared to the old. Rather, what matters is the depth to which these new conceptions, thoughts, and theories reflect social reality and reveal the laws governing social and political development.

When Lenin evaluated Marx’s materialist conception of history, he noted that Marx expressed his views with the utmost firmness and that these views were wholly “something new” for earlier socialists. They were new because Marx was not satisfied with what earlier socialists had said.

“He did not confine himself to describing the existing system, to judging it and condemning it; he gave a scientific explanation of it, reducing that existing system, which differs in the different European and non-European countries, to a common basis—the capitalist social formation, the laws of the functioning and development of which he subjected to an objective analysis (he showed the necessity of exploitation under that system).”

“By this same objective analysis of the capitalist system, he proved the necessity of its transformation into the socialist system.”

Vladimir Ilyich Lenin, What the “Friends of the People” Are and How They Fight the Social-Democrats, (A Reply to Articles in Russkoye Bogatstvo Opposing the Marxists)
Part I

Clearly, new thoughts, theories, and conceptions of this kind are vital. As society and politics develop, these ideas will display ever-increasing strength against the old political culture until they assume a dominant position. Historically, the bourgeois, classical, legal worldview replaced the medieval, theological worldview because the old worldview could no longer adapt to changed economic conditions and the new class’s way of life. In contrast, the new worldview was well-suited to these changes and opened up new possibilities for further development. Ultimately, the real force that brings about the disintegration of an old political-cultural system is major changes in the social relations of production and social institutions.

“The dissolution of the old ideas keeps even pace with the dissolution of the old conditions of existence.”

Marx and Engels, The Communist Manifesto, Chapter II. Proletarians and Communists

For advanced political thought, theory, or conception to replace an old, backward one depends not only on its own vitality but also on the degree to which society accepts and recognizes these new ideas, theories, and conceptions. If the majority of society or the dominant classes accept these new ideas, they will become a powerful force. As Marx said:

“The weapon of criticism cannot, of course, replace criticism of the weapon, material force must be overthrown by material force; but theory also becomes a material force as soon as it has gripped the masses. Theory is capable of gripping the masses as soon as it demonstrates ad hominem, and it demonstrates ad hominem as soon as it becomes radical. To be radical is to grasp the root of the matter.”

Works of Karl Marx 1843, A Contribution to the Critique of Hegel’s Philosophy of Right
Introduction

Thoroughness means “grasping the root of the matter.” However, if this theory that “grasps the root of the matter” fails to achieve a high degree of identification among its adherents—due to various reasons, particularly those inherent to the adherents themselves—then such a theory cannot fully transform into a force propelling social and political development. When Engels explained why the German workers’ movement appeared so strong and invincible compared with those of other European countries, he believed that one important reason was that scientific socialism could not enter as deeply into the workers’ flesh and blood in other European countries as it did in Germany.

“On the one hand, the indifference of the English labour movement towards all theory… is one of the reasons why it moves so slowly…; on the other hand, … the mischief and confusion created by Proudhonism… among the Frenchmen and Belgians, and in its caricature form, as presented by Bakunin, among the Spaniards and Italians.”

Friedrich Engels, The Peasant War in Germany, Addendum to the Preface

The facts Engels reflects on here make the point clear.

The history of human society and politics shows that for a new political ideology, theory, or set of ideas to replace an old one and play a positive role in social and political development, it must undergo a complex process of repeated twists and turns. This process requires time. Fundamentally, the length of time depends on how quickly the new social or political formation that constitutes the foundation of the new ideas, theories, and concepts matures.

Section Two Political culture has a class character

I. Political culture reflects class interests

The subject of political culture is human beings. Human beings are the producers and bearers of political culture. According to Marxism, the human being is the subject with full reality; therefore, the “human being” here is a real person engaged in productive and social activities. In a class society, the interactions people form during social production appear as specific class relations. Thus, all productive and social activities can ultimately be reduced to class activity.

As Lenin put it:

“The activity of individuals within the bounds of each socio-economic formation—an activity so diverse that it would seem impossible to systematise it in any way—has been summed up and reduced to the activity of groups of individuals differing from one another in the part they play in the system of production relations, in the conditions of production, and consequently in the conditions of their environment, and in the interests determined by that environment—in a word, has been reduced to class activity; and the struggle of these classes determines the development of society.”

Vladimir Ilyich Lenin, The Economic Content of Narodism and the Criticism of it in Mr. Struve’s Book, (The Reflection of Marxism in Bourgeois Literature)
Chapter II A Criticism of Narodnik Sociology

In a class society, people’s activities and relationships are closely tied to class activity and relations. Thus, each person lives and acts from within a specific class position. The class character of political culture determines that political culture itself is class-characterized. It is a comprehensive expression of a particular class’s ideas, notions, theories, values, and emotions. As Mao Zedong pointed out,

“In class society, every person lives as a member of a particular class, and every kind of thinking, without exception, is stamped with the brand of a class.” Taken as a whole, a society’s political culture reflects that society’s class relations.

Selected Works of Mao Tse-tung, ON PRACTICE
On the Relation Between Knowledge and Practice, Between Knowing and Doing

July 1937

In a class society, every class has its own political demands, political ideals, and political viewpoints, and these constitute the political culture of each class. The political culture of each class takes shape within the production and exchange activities that determine its class position.

When Engels analyzed the formation of different class moral conceptions, he pointed out:

“If we see that the three classes of modern society—the feudal aristocracy, the bourgeoisie, and the proletariat—each have their own special morality, then we can only draw the conclusion that men, consciously or unconsciously, derive their moral ideas in the last resort from the practical relations on which their class position is based—from the economic relations in which they carry on production and exchange.”

Anti-Dühring by Frederick Engels 1877, Part I: Philosophy, IX. Morality and Law.
Eternal Truths

Put simply, the nature and content of the activities a class carries on within the system of production relations constitute the foundation of that class’s political culture.

According to Marxists, each class develops its unique interests through productive and social activities that define its position. The content and value orientation of a class’s political culture are precisely determined by its particular interests. In The Eighteenth Brumaire of Louis Bonaparte, With brilliant insight, Marx showed how the particular interests of the various classes in French society drove each class to play its own role in this major political movement. He held that the reason France’s small-holding peasants were devoted to the “Napoleonic idea” and chose Bonaparte was largely determined by their common interests. These peasants were unenlightened, superstitious, and biased, and they wanted to continue living under social conditions shaped by small plots of land. However, capitalist development had increasingly torn those plots away from the peasants and thrown them into capitalism’s alchemical furnace.

When Marx analyzed two other roles in this socio-political movement, he likewise noted the decisive role played by class interests. He said:

“While each of the two factions, Orleanists and Legitimists, sought to make itself and the other believe that it was loyalty to two different royal houses which separated them, later facts proved precisely the opposite: it was their divided interests which forbade the uniting of the two royal houses.”

The Eighteenth Brumaire of Louis Bonaparte. Karl Marx 1852, III

It can be seen from this that class interests have a decisive impact on the thoughts, ideas, and actions of a class’s members. A political culture is determined by and reflects a particular class interest. Therefore, when analyzing and judging a political culture, it is important to consider not only the content of the culture itself, but also the class interests it represents. As Lenin pointed out:

“As long as people do not learn to see behind any moral, religious, political, and social phrases, declarations, and promises the interests of one class or another, they will always, in politics, be the foolish victims of deception by others and of self-deception.”

Vladimir Ilyich Lenin, The Three Sources and Three Component Parts of Marxism

Political culture is determined by and reflects specific class interests. Therefore, no political culture can be separated from its corresponding class interests and reduced to mere concepts, principles, slogans, and fantasies. If one attempts to do so, the consequences will be extremely dire—indeed, dangerous. Marx and Engels pointed out that, once thought departs from “interest,” it is bound to disgrace itself. For instance, when Germany’s petty bourgeoisie detached French liberalism from its represented class interests, French liberalism was made a spectacle of. Marx and Engels offered a vivid depiction of this phenomenon:

“In Kant we again find the characteristic form which French liberalism, based on real class interests, assumed in Germany. Neither Kant nor the German burghers (Kant was the embellisher of their interests) realised that these theoretical ideas of the bourgeoisie were based on material interests and on a will determined by material relations of production. Kant therefore separated the theoretical expression from the interests it expressed; he transformed the materially motivated determinations of the will of the French bourgeoisie into ‘free will,’ will in and for itself, pure self-determination of the human will, thereby turning this will into purely conceptual determinations and moral postulates. Hence, when the powerful practice of bourgeois liberalism appeared in the form of the Reign of Terror and of shameless bourgeois profiteering, the German petty bourgeois recoiled and drew back in the face of that practice of bourgeois liberalism.”

The German Ideology by Marx and Engels, III “Stirner” Delighted in His Construction

The political culture of any class is determined by its specific material activity and interests. The political cultures of different classes often differ. This difference is especially pronounced between the ruling and ruled classes. In capitalist society,

“The workers, as compared with the bourgeoisie, speak another idiom; they have different ideas and conceptions, different customs and moral principles, a different religion and a different politics. They are two entirely different human beings; they differ from each other as much as though they belonged to different races.”

Friedrich Engels, Condition of the Working Class in England, Results

Differences in political culture are simply an expression of differences in class interests. Struggles and conflicts of interest between different classes are necessarily reflected in political culture as an ideological form. In other words, contradictions and conflicts among the political cultures of different classes are the expression of their real class-based struggles and conflicts. Therefore,

“All historical struggles, whether they proceed in the political, religious, philosophical domain, or in any other ideological domain, are in fact only the more or less clear expression of struggles of social classes.”

Works of Frederick Engels 1885, Preface to the Third German Edition of
The Eighteenth Brumaire of Louis Bonaparte

From the Renaissance onward, European history has seen continuous waves of religious reform movements and long conflicts and struggles between new political ideas, such as natural rights, the social contract, and natural law, which were advocated by thinkers of the new age, and old political ideas, such as the doctrine of theocracy, original sin, and the divine creation of the state, which dominated the Middle Ages. These conflicts and struggles were precisely the reflection of the struggle between the rising bourgeoisie and the feudal nobility and clergy in social and political ideology. As the text puts it:

“When Christian ideas succumbed in the eighteenth century to Enlightenment ideas, feudal society was fighting its death battle with the then revolutionary bourgeoisie.”

Marx and Engels, The Communist Manifesto, Chapter II. Proletarians and Communists

By the late nineteenth and early twentieth centuries, the conflict between socialist theory and bourgeois ideology mirrored the struggle between the growing proletariat and the bourgeoisie in the realm of ideas and culture. This was precisely what Engels predicted.

“From that time forward, Socialism was no longer regarded as the accidental discovery of this or that ingenious brain, but as the necessary outcome of the struggle between two historically developed classes—the proletariat and the bourgeoisie.”

Frederick Engels, Socialism: Utopian and Scientific Part II The Science of Dialectics

II. The ruling class’s ideas occupy the dominant position

In class-divided societies, different classes develop distinct political cultures due to their differing class interests. The position of a political culture in society is determined by the position of the class it represents. The political culture of the ruling class is dominant among the political cultures of the other classes, and this is true in every era and country. Marx and Engels analyzed this phenomenon and pointed it out.

“The ideas of the ruling class are in every epoch the ruling ideas; that is, the class which is the ruling material force of society is at the same time its ruling intellectual force. … The ruling ideas are nothing more than the ideal expression of the dominant material relationships; they are the dominant material relationships grasped as ideas; hence they are the expression of the relationships that make one class the ruling class, and therefore the ideas of its rule.”

Karl Marx, The German Ideology, Part I: Feuerbach, Opposition of the Materialist and Idealist Outlook B. The Illusion of the Epoch, Ruling Class and Ruling Ideas


Along with its rule, the ruling class acquired ideological dominance over society. The ruling class establishes ideas aligned with its interests as the dominant ideology not only because it rules, but also because effective political rule demands it. Throughout the historical development of class societies, it has been repeatedly shown that no can dominate politically without also dominating ideologically — that is, domination in the realm of consciousness. Ideological domination is the ruling class’s control of society as a whole through ideas that represent its interests and will.

However, before obtaining a ruling position, the ideas representing the interests of the ruling class existed only as class ideas. Once the ruling class gains power, these class ideas may become the ideas of the ruling class. This does not mean that they are suitable for political rule from the outset—that is, dominating the thinking of the entire society. History shows that the ruling class gradually acquires the capacity for ideological rule over all of society as it consolidates its position.

In that process, every class attempting to dominate must carry out two necessary tasks.

  • First, it must elevate its class interests and the ideas that reflect them into “universal interests” and “universal ideas.”
  • Second, it must present its ideas as new against those representing the interests of the old ruling class and ultimately replace them.

The foregoing analysis has demonstrated that the political culture of different classes is determined by their class interests. Political culture is inseparable from class interests. Thus, the ideas of a subordinate class—or a class attempting to obtain a ruling position—initially have only class-specific meaning. When a class seeking to rule confronts the existing ruling class, it must win the support and recognition of all members of society to prevail.

First, the class must secure recognition and a response from society at large for the ideas, aspirations, ideals, principles, and slogans that represent its will and interests. To accomplish this, the class must elevate its interests to the level of society’s “common interest” and give its ideas a universal form. This allows the class to present its interests as representative of all of society and the masses in its opposition to the ruling class.

This is how the class seeking domination gradually shapes its class interests into an ideology that can guide society as a whole. Once the ruling class is in power, these ideas become an ideology that rules over society. Karl Marx and Friedrich Engels held that a class seeking domination can do this because

“at the beginning its interest really is more closely connected with the common interest of all other non-ruling classes, and under the pressure of the relations then existing it has not yet had time to develop into the particular interest of a particular class. Therefore, the victory of this class also benefits many individuals of the other classes that do not win a dominant position—but only in the sense that this victory makes it possible for these individuals to rise into the ruling class.”

A Critique of the German Ideology, Ruling Class and Ruling Ideas

A class that seeks to take power confronts the old rulers on behalf of society as a whole. When this class tries to overthrow the old ideology born of the old ruling class, it replaces it with a new ideology. Therefore, alongside the class struggle, there is inevitably a struggle between new and old ideas and cultures.

For the new class to win and consolidate its rule, its ideas must prevail. It must do its utmost to eliminate old ideas and desires.

Only then can the ideas of the new class take shape as a force that guides society as a whole, acquiring the function of ideological rule only after the new class has won a ruling position. Precisely for this reason:

“The bourgeoisie, wherever it has attained dominance, has destroyed all feudal, patriarchal, and idyllic relations. … It has drowned religious devotion, chivalrous enthusiasm, and philistine sentimentalism—those sacred upsurges of feeling—in the icy water of egoistic calculation. It has reduced human dignity to exchange value, and replaced innumerable chartered and hard-won freedoms with a single, unscrupulous freedom of trade. In a word, it has substituted open, shameless, direct, and brutal exploitation for exploitation veiled by religious and political illusions.”

Marx and Engels, The Communist Manifesto

As for the concrete workings of ideological domination, the ruling class exercises intellectual control over society through a specific material basis and the creators of ideas. As Karl Marx and Friedrich Engels point out:

“The class that controls the means of material production also controls the means of mental production; therefore, in general, the ideas of those who lack the means of mental production are subject to the ruling class.”

Karl Marx, The German Ideology, Part I: Feuerbach.
Opposition of the Materialist and Idealist Outlook, B. The Illusion of the Epoch

The ruling class’s control over the means of mental production allows it to create and express its ideas as it wishes.

  • This allows the ruling class to disseminate its ideas throughout society and instill them in everyone.
  • This allows the ruling class to use its ideas and demands to shape the feelings and attitudes of “qualified” members of society, thereby facilitating class rule.

Thus, the ideological domination of society by the ruling class relies precisely on its control and deployment of the means of mental production.

The ruling class’s ideological dominance depends on its control of the means of producing spiritual life and the ideas it generates using those resources. To preserve its rule, any ruling class must produce its own theories and notions to regulate and determine society and the age as a whole. As Marx and Engels pointed out, the individuals who comprise the ruling class think and act collectively, shaping the overall character of a historical epoch.

Therefore, they rule in every sphere of that epoch as thinking persons and producers of ideas, regulating the production and distribution of ideas in their time. Hence, their ideas become the age’s dominant ideas. Marx and Engels illustrate this with an example: In a given country and period, if monarchy, aristocracy, and the bourgeoisie share power, then the dominant idea will be the doctrine of the separation of powers. To protect their interests, each class will speak of the separation of powers as an “eternal law.”

The ideological production of any ruling class is not carried out by the class as a whole but by its ideologists and thinkers. In Marxist terms, these thinkers transform the conditions of the ruling class’s existence into seemingly independent, self-sufficient conceptual forms. These forms appear in the form of ideas in law, morality, and so on. These conceptual forms appear formally detached from the real interests of the ruling class and are elevated into “life rules” that the ruling class uses against the oppressed classes.

On the other hand, ideologists instill these conceptual forms into the consciousness of every member of the ruling class, making them imagine these ideas and their advocacy as a kind of mission. This ideological production shapes the spiritual principles and modes of expression of the ruling class’s political culture. With the aid of political and economic power, it also determines the basic orientation of the political cultures of other classes. Consequently, the political and spiritual life of society unfolds under the principles they define and support with ruling power.

III. Proletarian political culture is the highest crystallization of human thought

Like any other class, the proletariat formed its own political culture through revolution and struggle. As representatives of the new productive forces of modern society, they have developed a unique political culture. Due to its unique nature and historical mission, which differ fundamentally from those of all other classes in history, proletarian political culture is entirely novel.

This culture emerged and evolved during the prolonged conflict between the proletariat and the bourgeoisie. As the proletariat transitioned from a class “in itself” to a class “for itself,” this culture matured alongside it. The historical process by which socialism developed from utopia to science fully demonstrates this maturation. The emergence of historical materialism and Marx’s theory of surplus value marks the maturation of proletarian political culture. Throughout years of revolutionary struggle and practice, proletarian political culture has educated and guided wave after wave of proletarians, providing rich ideological weapons for proletarian revolution. The Paris Commune, the October Revolution, and China’s New Democratic Revolution greatly enriched proletarian political culture, strengthening its practical significance.

The character of proletarian political culture is determined by the class interests of the proletariat as an independent class and its historical mission. In the Afterword to the Second German Edition of Capital, Marx succinctly stated the proletariat’s historical mission: “The proletariat’s historical mission is to overthrow the capitalist mode of production and abolish all classes.”

Accordingly, during a revolution, the proletariat will “make the most radical rupture with traditional property relations and ideas.” These ruptures mean that the proletariat will oppose all existing social and political systems during the revolution, and the proletarian political culture that forms during this time will have entirely new content and a revolutionary spirit. Thus, proletarian political culture reflects the current state of the proletarian movement and foreshadows its future. Additionally, the class interests of the proletariat ensure that their political culture differs from that of other classes.“All previous historical movements were movements of, or in the interest of, minorities. The proletarian movement is the self-conscious, independent movement of the immense majority, in the interest of the immense majority.” In such a movement, the resulting political culture reflects the interests and aspirations of the vast majority.

Proletarian political culture has two foundational elements that shaped its formation and development. First, it is based on the scientific worldview and methodology established by Karl Marx. As Friedrich Engels pointed out:

“Marx’s materialist conception of history helped the working class. He proved that people’s ideas about law, politics, philosophy, religion, and so on are ultimately derived from their economic conditions—from their mode of production and exchange. From this arose a worldview suited to the proletariat’s conditions of life and struggle. What corresponds to the propertyless worker is the absence of illusions in their minds.”

Frederick Engels/Karl Kautsky 1886, Lawyers’ Socialism, (excerpt)

Proletarian political culture is also rooted in historical materialism. First, it asserts that the proletarian conception of political culture is fundamentally distinct from those of other classes. This includes conceptions formed by modern Western scholars based on behaviorism.

Second, proletarian political culture is based on the practice of proletarian revolutionary struggle and the scientific analysis of that practice by Marxists. The history of the international communist movement demonstrates that proletarian political culture matures and develops through continuous revolutionary struggle and practice. Regardless of the outcome of each struggle, once the proletariat and Marxists become a “class for itself,” they can make a scientific and comprehensive summation of the struggle and movement process and its results under the guidance of scientific principles. These summaries enrich and develop proletarian political culture, accelerating the maturation and refinement of proletarian struggles and revolutionary experience.

For example, in their summation of workers’ movements in various European countries from 1849 to 1850, Marx and Engels advanced major theories of proletarian revolution and the dictatorship of the proletariat, including “revolution is the locomotive of history,” “the theory of permanent revolution,” “smashing the old state machine,” “the dictatorship of the proletariat,” and “the worker–peasant alliance,” among others. Summing up the experience of the Paris Commune, Marx proposed “the social republic” as a new political form.

Vladimir Lenin developed the theory of “victory in one country” through a historical summary and concrete analysis of imperialism and the proletarian revolutionary movement.

Mao Zedong integrated Marxism with the practical application of the Chinese revolution. He proposed the strategic ideas of “encircling the cities from the countryside” and “transforming the old democratic revolution into a new democratic revolution.”

These rich experiences of struggle and scientific analysis formed a complete system of proletarian political culture, unifying spiritual principles.

Proletarian political culture is an advanced political culture. This is because the class it represents embodies new productive forces, giving it a fully advanced and revolutionary character. Additionally, it is a culmination of the finest intellectual and cultural achievements in human history and a scientific reflection of social development.

As Lenin pointed out:

“Proletarian culture did not drop from the sky, nor was it invented by self-styled experts on proletarian culture. To think so is sheer nonsense.”

Vladimir Lenin, The Tasks of the Youth Leagues

“Proletarian culture must be the development of the entire body of knowledge that humanity has created under capitalist, landlord, and bureaucratic oppression, governed by law.” Socialism is the proletariat’s system of ideas. In its theoretical form, it first appeared as a more thorough development of the principles established by 18th-century French Enlightenment thinkers. Marxism is the core of the proletarian system of ideas.

During its formation and development, Marxism did not discard the most valuable achievements of the bourgeois era, such as German philosophy, British political economy, and French utopian socialism. In fact, Marxism absorbed and transformed all that was valuable in more than two millennia of humanity’s intellectual and cultural development. Thus, if proletarian political culture gains a firm practical foundation by objectively reflecting the historical development of the present and future, then proletarian political culture—especially Marxism as its core—attains the highest point of departure by absorbing and inheriting all that is valuable in the development of human thought and culture.

Like the political culture of any other class, the proletariat has its own social and political ideals: communism and the complete emancipation of humankind. According to Marxism, the realization of communism on a worldwide scale is an inevitable outcome of historical development. Although a long process of struggle is required for communism to emerge as a social formation, the movement to abolish the existing state of affairs and bring about humanity’s final emancipation is thoroughly real. The essence of communism, the proletariat’s social and political ideal, is to abolish the current state of affairs and achieve humanity’s ultimate liberation.

Karl Marx and Friedrich Engels long ago made this clear:

“Communism is for us not a state of affairs to be established, not an ideal to which reality must adapt itself. We call communism the real movement that abolishes the present state of things. The conditions of this movement result from the premises now in existence.”

Karl Marx. The German Ideology. 1845, Part I: Feuerbach., Opposition of the Materialist and Idealist Outlook, A. Idealism and Materialism, The Illusions of German Ideology

The ultimate goal of this movement is to overthrow the foundations of all old relations of production and exchange. It aims to place the objective, alien powers that have dominated history under the control of individuals and replace the old society of classes and class antagonisms with an association of free individuals. Thus, the ideals of proletarian political culture are both ideal and real. These ideals directly guide the proletariat’s real revolutionary movement, in which the proletariat will completely break with traditional property relations and ideas. Thus, this ideal is not fantasy, but rather a guide to action. These ideals will determine the specific thoughts, concepts, and theories the proletariat develops during their revolution and struggle.

Section III: Political Culture Possesses Both Contemporary Relevance and Historical Continuity

I. Political Culture Exhibits Historical Continuity

Human beings are both subjects and producers of political culture. They develop their ideas and perceptions through social production and practical activity. These activities determine not only people’s ideology, but also the historical development of human society. Therefore, Marxism regards social production and social practice as a kind of historical activity. As Marx said, producing material life is an activity that people must carry out every day simply to survive, and their thoughts and consciousness develop within this activity. In this sense, Marx and Engels believed that “ideology itself is only one aspect of human history.”

While producing the material aspects of their lives, people constantly satisfy their basic needs for survival and livelihood. At the same time, they are continuously creating their own history. However, although people undertake conscious actions—considered, passionate, and purposive—in creating their history, they do not create it at will. Rather, people always create their history under specific conditions. Marx pointed out:

‘People make their own history, but not as they please; not under circumstances of their own choosing, but under circumstances they find themselves confronted with and handed down from the past.’

Karl Marx, The Eighteenth Brumaire of Louis Bonaparte.I. 1852

This shows that each generation creates its own history by

“encountering definite material results, a definite sum total of productive forces and historically formed relations between human beings and nature, as well as between human beings themselves”.

Chapter I: A Critique of The German Ideology

This includes productive forces, capital, and circumstances handed down from one generation to the next. It also encompasses the preceding generation’s ideas, conceptions, and traditions. Of course, people’s real social production and practices alter the productive forces, capital, and circumstances inherited from history and prior generations. However, it should be recognized that when people inherit all of this and carry out new historical activities based on it, they must accept the living conditions prescribed for them. While these living conditions provide a foundation for the development of the new generation, they also give that development a specific character.

This historical process demonstrates that human beings create their environment, and in turn, the environment creates them. When considering human activity throughout history and recognizing that people produce ideas and concepts, the relationship between human beings and culture mirrors their relationship with their environment. People create culture, and culture likewise shapes people. Ideas, concepts, and traditions inherited from history influence the formation of a new generation’s ideas and concepts, though this influence is not decisive. As Engels pointed out,

“We ourselves make our history, but first we make it under very definite premises and conditions.”

Engels to J. Bloch In Königsberg, London, September 21,1890

Ultimately, the economic premises and conditions are decisive, but political and other premises and conditions—even traditions in people’s minds—also play a role. Thus, the ideas and concepts of any era reflect its material and economic life, as well as the inheritance and development of ideas handed down from history or the preceding generation. In this sense, the political culture of any era has both a contemporary character and historical continuity.

People’s historical activity realizes the historical continuity of political culture. People are both the creators and bearers of political culture. As bearers of political culture, people are shaped by a specific political culture. Through their historical activity, they transmit and carry forward that political culture. As a society’s political culture is sustained and developed generation after generation through the historical activity of its members, a national spirit, national psychology, and customs form, exerting an internal influence on the society’s development.

Because societies differ in their starting points, natural environments, and structural modes of organization, there will inevitably be differences in their national spirits, psychologies, and customs, which exert internal influence. These differences cause the development and selection of political ideas and concepts to differ across societies and nations. Thus, alongside the historical continuity of political culture is its national character. While analyzing the historical development of social thought in Europe, Marx and Engels recognized this national dimension. They wrote that the difference between French and English materialism corresponds to the difference between the two nations. The French imbued English materialism with wit, making it vivid, eloquent, bold, and elegant. They “civilized” it. Similarly, when Engels analyzed why German workers were able to convince workers in other European countries to accept the theory of scientific socialism, he regarded the fact that Germans belonged to the most theoretically cultivated nation in Europe as an important reason.

Regarding political culture itself, the idea of its inheritable nature requires viewing the development of a society’s political culture as grounded in the inheritance, transformation, or sublation of historical ideas and culture. This development is also constrained and influenced by a specific ideological and cultural background. Lenin approached Marxism with precisely this scientific spirit. He said:

“The history of philosophy and social science has shown with perfect clarity that Marxism is not sectarian. It is not a rigid doctrine produced by departing from the broad highway of world civilization’s development. On the contrary, Marx’s genius lies in answering questions that the most advanced human thought has raised. The emergence of his doctrine was the direct continuation of the doctrines of the greatest representatives of philosophy, political economy, and socialism.”

Vladimir Ilyich Lenin, The Three Sources and Three Component Parts of Marxism

Therefore, according to the Marxist view, analyzing and studying any form of political culture requires considering its internal historical links and development. Similarly, one cannot abstract Marxism as an ideological form from the historical process of inheritance and sublation through which it was formed and developed. Failing to do so will prevent one from understanding the inner spirit and vitality of a political culture and the necessary tendencies of its development.

Along with the historical inheritability of political culture comes its national character. This national character means that the choices and development of a society’s or nation’s political culture in a new era are regulated and influenced, to varying degrees, by that society’s or nation’s national spirit, psychology, customs, and habits. In countries with long histories and ancient cultures, and in societies where traditional forces are relatively strong, the force of such regulation and influence is comparatively greater. Consequently, it is impossible for one society’s or nation’s political culture to be completely grafted onto another. Therefore, the Marxist view of political culture opposes national nihilism (denigration of entire nations).

This view contrasts sharply with that of modern Western political scientists, who tend to study political culture in isolation. They abstract political culture from its relations with other countries, nations, and history, studying it in isolation. Consequently, their perspective on political cultures exhibits a pronounced tendency toward national and ethnic denigration (national and ethnic nihilism). When comparing, analyzing, and generalizing various forms of political culture around the world, they often ignore or deny the differences and effects of national temperament, spirit, and psychology contained within different political cultures. They also undervalue traditional cultural factors within political culture as a historical product. Consequently, they treat the models of political culture they derive by comparing the surface structures of political culture in abstraction.

For example, Gabriel Almond’s threefold classification of political cultures around the world — parochial, subject, and participant — is used to analyze political phenomena. People endow the political-culture model that represents their own society with the highest value, thereby claiming world-historical significance for it. This view of political culture is mistaken. Essentially, it reflects the fundamental interests of Western capitalist society. It is incapable of revealing the operative relationship between each political culture and the political life of the society to which it is adapted, nor can it reveal the regularities of this relationship.

II. Realism and historical continuity form a unity

People in real life are constantly generating their own thoughts, ideas and ideals. However, this production is not arbitrary. It is constrained by existing real conditions and historical conditions inherited from the past. Therefore, whenever people in any society choose and develop their political culture for certain ends, they inevitably encounter the political traditions, thought and ideals bequeathed by history or preceding generations — that is, traditional political culture. This is precisely what Karl Marx meant when he wrote,

Gabriel Almond’s three-part classification of political cultures — parochial, subject, and participant — is one example of a model used to analyze political phenomena. People tend to value the political-culture model that represents their own society the most, thereby claiming world-historical significance for it. However, this view of political culture is mistaken. Essentially, it reflects the fundamental interests of Western capitalist societies. The model is incapable of revealing the operative relationship between a political culture and the political life of the society to which it is adapted, nor can it reveal the regularities of this relationship.

In real life, people are constantly generating their own thoughts, ideas, and ideals. However, this production is not arbitrary. It is constrained by existing real and historical conditions inherited from the past. Therefore, whenever people in any society develop their political culture for certain purposes, they inevitably encounter the political traditions, thoughts, and ideals bequeathed by history or preceding generations—that is, traditional political culture. This is precisely what Karl Marx meant when he wrote,

The tradition of all dead generations weighs like a nightmare on the brains of the living.’

Karl Marx, 1852, The Eighteenth Brumaire of Louis Bonaparte, I

Thus, when people choose and develop thei r own political culture, they face the crucial question of how to treat traditional political culture. Marxism holds that the exploiting classes and the proletariat diverge markedly in their treatment of traditional political culture because of their respective class natures.

The Manifesto of the Communist Party contains the following passage:

“The history of all past societies has consisted of the development of class antagonisms that have taken different forms in different eras. But whatever form they may have taken, one fact is common to all past ages: the exploitation of one part of society by another. It is no wonder, then, that the social consciousness of past ages, despite all its multiplicity and variety, moves within certain common forms or general ideas that cannot completely vanish except with the total disappearance of class antagonisms.”

This passage expresses an important viewpoint: before the proletariat seizes political power, abolishes the exploiting classes, and establishes a socialist society, the forms of social consciousness differ completely from those of a socialist society. Although Karl Marx and Friedrich Engels did not explicitly delineate these “common forms,” we can discern how they take shape by examining their disclosure of the essential nature of ideology in class society.

According to Marxism, all social and political consciousness reflects class interests. The ruling ideas of any epoch are the ideas of the ruling class. The ideologies of past ruling classes represented the interests of a minority within their class. To make their ideas rule society, these classes must elevate their interests to “universal social interests,” portray their ideas as the only rational ones with universal validity, and give them a universal form. One basic means they employ to achieve this is drawing on the power of tradition. There are two main methods.

First, they imbue traditional values with an air of eternity even though their content has fundamentally changed under new social conditions. For example, the bourgeoisie treats freedom, equality, fraternity, justice, and other traditional values as eternal truths supposedly shared by all stages of social development. In doing so, the bourgeoisie expresses its own ideas and simultaneously realizes its class interests. Friedrich Engels pointed out that the idea of equality, whether in bourgeois or proletarian form, is a historical product. This idea’s formation requires specific historical conditions, which presuppose a preceding history. Therefore, regardless of its form, the idea of equality is not an eternal truth.

Second, they used traditional methods to pave the way for their rise to dominance, such as beating drums and sounding gongs. Karl Marx believed that, during the bourgeois revolutions in France and England, the bourgeoisie employed the same strategy.

In France, proponents of bourgeois society found the ideals, artistic forms, and illusions necessary to obscure the limited bourgeois nature of their struggle and maintain their passion as a great historical tragedy in the austere tradition of the Roman Republic. However, once they could devote themselves to creating wealth and engaging in peaceful competition, they forgot that ancient Rome had once guarded their cradle.

In England, Cromwell and the English people borrowed the language, fervor, and fantasies of the Old Testament for their bourgeois revolution. Once the real goal was achieved and the bourgeois transformation of English society was accomplished, Locke replaced Habakkuk.

Marx therefore concluded that in these revolutions, “the awakening of the dead” served to glorify new struggles rather than force imitation of old ones. It magnified an imagined task rather than solving it in reality and rediscovered the spirit of revolution rather than letting the ghost of revolution wander again.

Given how social consciousness moves within exploitative societies, it’s clear that the ruling class uses traditional ideas and modes of expression as tools to disguise their interests and achieve political domination. Therefore, even though their new political notions, ideas, and ideals differ greatly from traditional ones, they still preserve certain traditional forms and content. Once this is recognized, it becomes clear why modern Western capitalist societies protect many traditional political forms and concepts as though they were cultural relics.

Unlike previous exploitative classes, the proletariat seeks to advance the interests of the majority of society in its revolution, not a minority. Furthermore, due to its social position and historical mission, the proletariat has nothing to protect in the revolution. In fact, the proletariat must destroy everything that has thus far protected and guaranteed private property. Its historical mission is to eliminate exploitative classes and ultimately class divisions altogether. Therefore, the proletariat must reject traditional social and political ideas based on class exploitation and oppression.

However, this does not mean that the proletariat must sever all ties with prior history or discard tradition entirely. As it develops, the proletariat will actively absorb every outstanding achievement in human thought and culture by negating and superseding traditional thought and culture. As Lenin pointed out:

Unlike previous exploitative classes, the proletariat seeks to advance the interests of the majority of society in its revolution, not a minority. Furthermore, due to its social position and historical mission, the proletariat has nothing to protect in the revolution. In fact, the proletariat must destroy everything that has thus far protected and guaranteed private property. Its historical mission is to eliminate exploitative classes and ultimately class divisions altogether. Therefore, the proletariat must reject traditional social and political ideas based on class exploitation and oppression.

However, this does not mean that the proletariat must sever all ties with prior history or discard tradition entirely. As it develops, the proletariat will actively absorb every outstanding achievement in human thought and culture by negating and superseding traditional thought and culture. As Lenin pointed out:

“Marxism, the ideology of the revolutionary proletariat, has world-historic significance because it has assimilated and refashioned the most valuable achievements of the bourgeois epoch rather than rejecting them. Only further work in this vein, inspired by the practical experience of the dictatorship of the proletariat (the proletariat’s final struggle against all exploitation), can be considered the development of genuine proletarian culture.”

V. I. Lenin, On Proletarian Culture

Mao Zedong fully acknowledged the historical continuity of culture. Like Lenin, he believed that the development of proletarian culture should unite cultural inheritance and cultural reality. Mao said: “China today is a development of historical China. We are Marxist historicists and should not cut ourselves off from history. From Confucius to Sun Yat-sen, we must sum up and carry forward this precious legacy. This is of great help in guiding the present movement.”

Regarding how to inherit, Mao stated clearly:

“Reviewing the development of ancient culture, discarding its feudal dross, and absorbing its democratic essence are necessary conditions for developing a new national culture and raising national self-confidence. However, we must never accept everything indiscriminately. We must distinguish between the rotten things created by the ancient feudal ruling classes and the excellent culture of the ancient people—that is, things that bear a democratic and revolutionary character.”

Selected Works of Mao Tse-tung, THE ROLE OF THE CHINESE COMMUNIST PARTY IN THE NATIONAL WAR, October 1938

In short, the proletariat differs from other exploitative classes because it does not use traditional political ideas or forms to express its political demands, realize its interests, or secure political rule. In fact, the proletariat must break decisively with all traditional ideas. At the same time, however, the proletariat will adopt the best cultural legacies of the past to enrich and develop proletarian political culture.

III. Political culture develops alongside social development

The political culture of any society is a combination of real-world immediacy and historical continuity. Historical continuity means that the development of political culture is determined by historical development. Real-world immediacy means that political culture develops alongside a society’s actual social life.

According to the basic principles of historical materialism, people establish social relations that correspond to the development of their material production. Then, they create principles, ideas, and categories that correspond to those social relations. Therefore, people’s thinking and ideas—that is, their consciousness—change as real-life conditions, social relations, and modes of existence change. As Marx and Engels pointed out: “With every great historical revolution of social conditions, men’s views and ideas also change.”

Since people’s real life determines their consciousness, the appearance of consciousness’s independence disappears. Thus, Marx and Engels held that consciousness cannot develop independently and therefore has no history. The development and “history” of consciousness merely reflect the development and history of real social life.

“They have no history, no development; but men, developing their material production and their material intercourse, alter, along with this, their real existence, their thinking, and the products of their thinking.”

Karl Marx. The German Ideology. 1845, Part I: Feuerbach.
Opposition of the Materialist and Idealist Outlook
A. Idealism and Materialism, [4. The Essence of the Materialist Conception of History.
Social Being and Social Consciousness]

Therefore, regarding how political culture develops, Marxism arrives at two basic conclusions.

First, the social and political consciousness of any historical period must be explained by that period’s material and economic conditions. Marx provided a vivid explanation of this point when he criticized Proudhon’s metaphysical approach to political economy. Marx wrote:

“Each principle has had its own century in which to manifest itself. The principle of authority, for example, had the 11th century, just as the principle of individualism had the 18th century.” In logical sequence, it was the century that belonged to the principle and not the other way around. Consequently, when we ask why a particular principle manifested in a given century rather than another, we must examine what people were like, their needs, productive forces, mode of production, and raw materials — in short, the relations between people resulting from these conditions of existence.”

Karl Marx, The Poverty of Philosophy,
Chapter Two: The Metaphysics of Political Economy, Fifth Observation

Marx’s point here is perfectly clear. The reason the principles of authority and individualism emerged in the 11th and 18th centuries, respectively, is that they were the necessary reflection of the real requirements of material production and everyday life during those periods. Therefore, when Engels stated this basic idea of Marx’s, he said:

“All social and political relations, all religious and legal systems, and all theoretical conceptions that arise in the course of history can only be understood if the material conditions of life during the relevant epoch are understood, and if these systems are traced back to these conditions…”

Review by Frederick Engels of Karl Marx, “A Contribution to the Critique of Political economy”

Second, because social and political consciousness reflect existing social conditions, the principles, ideas, concepts, and theories it contains are not eternal. They are merely “temporary products of history.” For this reason, Marxism has always rejected the notion that these ideas are eternal truths. These ideas reflect reality and must inevitably change as social reality changes.

The above analysis shows that the development of a society’s political culture is fundamentally grounded in the development and change of real social production and relations. In practical terms, when seeking to advance a society’s political culture, people must consider the historical continuity and inheritances within political culture itself, as well as the concrete social realities on which new political developments are based. If the real foundation is ignored, development will ultimately be like water with no source and a tree with no roots. Before founding the People’s Republic, Mao Zedong recognized this issue and wrote:

“The reactionary elements of the old Chinese culture that we want to eliminate cannot be separated from the old Chinese politics and economy; likewise, the new Chinese culture that we want to build cannot be separated from the new Chinese politics and economy. The old politics and economy are the basis of the old culture, and the new politics and economy are the basis of the new culture.”

Selected Works of Mao Tse-tung, ON NEW DEMOCRACY, January 1940

Mao Zedong’s idea fully embodies the spirit of historical materialism. Political culture exerts a certain counter-effect on social and political development. Therefore, understanding the foundation on which political culture develops and promoting it in the correct direction affects not only the development of political culture itself but also the development of society and politics as a whole.

Section Four: Political and cultural development does not necessarily keep pace with social development

I. Political culture retains relative autonomy

The political culture of any society and era is ultimately shaped by its social production conditions, which change over time. For this reason, political culture does not appear to be independent; it cannot exist or develop on its own. However, although political culture changes with changes in the social productive conditions that determine it, the timing of those changes is often not synchronized. It may outpace or lag behind real social development. In this sense, political culture possesses relative autonomy as it develops alongside real social development. This autonomy does not arise from political culture itself as an ideological form. Rather, it stems from the autonomy of the political forms to which political culture adapts, as well as the processes and characteristics through which its producers generate ideas and concepts.

First, the independence of political forms determines the independence of the corresponding political culture. Political forms belong to the superstructure and are determined by the economic base. Fundamentally, the political form of any society changes with changes in the conditions of social production that determine it. However, a political form emerges to address the needs of social development and regulation within society. Specifically, the state system possesses a certain relative independence once it comes into being. This, in turn, shapes the role of political forms as they adapt to the evolution of social production.

From the standpoint of the division of labor within society, Friedrich Engels explained how the relative independence of the state system comes about. According to Engels, society produces certain common functions necessary for its existence. Those appointed to carry out these functions form a new branch of the division of labor within society. In this way, they acquire special interests that oppose those who empowered them. In their relations with the latter group, these individuals become independent, and thus, the state arises.

Generally, this new, independent power follows the movement of production. However, due to its inherent relative independence, which grows once acquired, the state affects the conditions and course of production. Engels further held that when a particular class forms and controls the state system to serve its interests, the state becomes more independent.

Due to the relative independence of political forms, they often do not synchronize with social development, which changes and develops alongside social production. As Engels pointed out,

“Society’s political structure does not change in step with these violent transformations in the conditions of economic life. When society increasingly becomes bourgeois, the state system remains feudal.”

Frederick Engels, Anti-Dühring, 1877
Part I: Philosophy, X. Morality and Law, Equality

The relative independence of socio-political forms, along with the resulting lack of synchronization with social development, determines the degree of autonomy that the corresponding political culture possesses when adapting to social development.

Second, the characteristics of those who produce political culture, as well as their methods of production, determine political culture’s leading and lagging tendencies as it adapts to social development. Human beings produce political culture, and this production is based on active reflection on reality. This active reflection gives cultural production relative autonomy. The resulting ideas and notions depend not only on the reality presented by society, but also on how people understand its conditions, laws of development, and their own interests and ideals that they seek to achieve through social participation.

Thus, the ideas and notions formed through reflection on real life in society may have one of three orientations: conservative, realistic, or idealistic. People’s orientation in this regard directly influences whether political culture adapts to social development ahead of time or lags behind. Generally, political culture lags behind social existence because “people’s thoughts do not keep pace with the course of events.” This can be explained by the fact that reflecting reality takes time. However, the active nature of reflection enables people to grasp the laws of social development and articulate new possibilities or directions in social and political development in advance. When these ideas become the guiding force for the development of political culture, political culture is ahead of social development.

As discussed above, two major sets of factors determine that political culture has a certain degree of autonomy from overall social development. This autonomy is necessary for political culture to influence sociopolitical development. Without relative autonomy, there can be no feedback effect, or dialectical relationship.

The strength and type of the feedback effect depend on the tendencies that political culture displays within this relative autonomy. Generally, the political culture of any society is unlikely to be purely backward or purely advanced. More often, the two tendencies coexist, and the decisive question is which tendency is dominant. V. I. Lenin once said:

“Every nation’s culture contains elements of democratic and socialist culture, even if they are not yet well developed. However, every nation also has bourgeois culture, which is not merely a set of ‘elements’ but the dominant culture.”

V. I. Lenin, Critical Remarks on the National Question, 2.“NATIONAL CULTURE”

The relative autonomy of political culture means that its development follows an internal logic. Friedrich Engels acknowledged this internal logic. He wrote,

“Once any ideology emerges, it develops in conjunction with the existing stock of ideas and further processes that materialize; otherwise, it would not be ideology…”

Frederick Engels, Ludwig Feuerbach and the End of Classical German Philosophy, Part 4: Marx

This internal logic is expressed through two things: the historical continuity and inheritance of political culture (analyzed above), and the interaction between political culture and contemporary society.

While political culture is ultimately shaped by the material conditions of real society, the process is not simple. Rather, it is a process of mutual interaction with real society. In this process, society selects culture, culture influences society, and society promotes culture. This cycle repeats with each element directly adjusting to the others.

Engels held that history develops through the interaction of a wide variety of factors resting on an economic foundation. These factors include political and legal institutions, as well as political, legal, philosophical, and religious theories. In his view, denying this interaction would make applying the theory to any historical period easier than solving the simplest equation. Since historical development proceeds through the interaction of multiple economic factors, the development of political culture is not simply a one-way process of determination or an arbitrary process of free choice. Rather, it is an interactive process with society.

Political culture establishes the practical and logical starting points necessary for its development through interaction, as well as the distinctive value orientations internal to its development. Proletarian political culture has taken shape based on Marxism, its guiding ideology, through continuous integration with concrete practice and scientific summarization of practical experience.

The internal logic of political-cultural development demonstrates its active, non-mechanical nature as it evolves through ongoing interaction with society. Therefore, promoting the development of a society’s political culture cannot be achieved through socioeconomic development alone or by relying on advanced political theory alone. Rather, interaction is required between ideas, concepts, theory, and social reality.

II. Political culture is anticipatory and predictive

Political culture’s relative independence means its development follows an internal logic. Because of this internal logic, political culture can take the lead in relation to social development. One important expression of this internal logic is historical continuity and inheritance.

Engels concluded that a country that is economically backward can still “play first fiddle” in philosophy based on the historical continuity of ideas. He wrote:

“Each epoch’s philosophy, as a particular domain within the division of labor, presupposes certain intellectual material handed down by its predecessors, which it uses as a point of departure. This is why economically backward countries can play a leading role in philosophy: France in the eighteenth century, for example, as opposed to England (whose philosophy the French adopted), and later Germany, as opposed to both England and France. However, in both France and Germany, philosophy, like the general blossoming of literature at that time, was also the result of an economic upswing.”

Marx-Engels Correspondence 1893, Engels to Franz Mehring, July 14, 1893

Here, Engels not only affirms that ideological and cultural life can be “ahead,” but also explains what this “aheadness” entails. There are two important points to consider.

First, advanced ideological and cultural development does not result from subjective fantasy. Rather, it proceeds according to its own internal logic. During this process, the intellectual materials left by earlier generations provide an important foundation on which ideology and culture can surpass social development. Specifically, the “aheadness” of ideology and culture initially manifests as the “aheadness” of thinkers’ ideas. However, this is not mainly due to the thinkers’ personal merit because:

Historical ideologists (where “history” is shorthand for everything belonging to society rather than nature—politics, law, philosophy, theology, etc.) in every branch of science have a certain material formed independently out of the thinking of earlier generations that has passed through its own independent course of development in the brains of successive generations. Of course, external facts belonging to this or that sphere can also influence this development as concurrent causes.

Therefore, when contemporary thinkers have access to enough historical knowledge to form ideas that go beyond what ongoing social development seems to allow, the ideological and cultural life of that society may surpass its overall social development.

Second, a society’s intellectual and cultural life may surpass what its development seems to allow, but it cannot exceed what its historical era makes possible. When Marx analyzed how German thought could outpace Germany’s social development, he pointed out:

“If speculative jurisprudence—the abstract, remote-from-life thinking about the modern state, whose reality still lies beyond the Rhine—could arise only in Germany, then conversely, the possibility for Germans to abstract the thought-image of the modern state from real man existed only because the modern state itself abstracts from real man or only satisfies the whole man in imagination.” In politics, the Germans have thought what other nations have done. Germany was the theoretical conscience of these nations.”

Works of Karl Marx 1843, A Contribution to the Critique of Hegel’s Philosophy of Right
Introduction

Marx also wrote that “German jurisprudence and the philosophy of the state” constituted “the only German history which stands on a level with the official contemporary reality.” This shows that, in the final analysis, German jurisprudence and the philosophy of the state were nothing more than reflections of the era’s development—only in this case, the reflection went beyond the thinkers’ own country and grasped the movement of the age directly.

From the two viewpoints discussed above, we can see that the “advanced” development of thought and culture is not solely due to inherited intellectual materials. More importantly, advanced thought and culture directly grasp and reflect the newest possibilities in real social development and the necessary outlook toward which that development is heading. In this sense, genuinely “advanced” thought and culture must be foresighted. Such advanced, foresighted thought and culture emerge through the deepest study and understanding of society.

Therefore, the extent to which thought and culture can progress and be foreseen depends on two factors.

First, the level of maturity of the society being studied. This is the condition for forming an advanced culture of ideas that can effectively predict and propel social progress. As is well known, the immaturity of bourgeois social relations was an important reason why socialist doctrines from the late eighteenth to the early nineteenth centuries were utopian. Engels noted:

“As we saw, the Utopians were Utopians because they could be nothing else at a time when capitalist production was so underdeveloped. They had to create the elements of a new society from scratch because the elements of the new society were not yet apparent within the old society. For the basic plan of the new society, they could only appeal to reason because they could not yet appeal to contemporary history.”

Frederick Engels 1877, Anti-Dühring, Part III: Socialism, I. Historical

The second factor is the extent to which thought and culture grasp the overall trend of social development. The more comprehensive and accurate that understanding is, the more profound and foresighted the thought will be. Marxism’s success lies in its comprehensive and accurate grasp of the basic laws governing the development of human society, based on historical materialism. When asked about Marx’s basis for discussing the future of communism, Lenin responded that communism arises from capitalism and develops historically from it. It is the result of the social forces produced by capitalism. Lenin wrote that Marx “did not in the least want to invent Utopias” or “guess at what cannot be known,” and that Marx approached the subject of communism much as the natural sciences approach the development of a new biological species—because we already know how that species arose and in what direction it is evolving.

Advanced (ahead-of-its-time) ideological and cultural thinking will, in turn, exert a positive countervailing influence on the political development of real-world society. This influence rests on two facts:

First, advanced thought and culture can foresee the direction of social development to a certain extent. Accurate foresight can guide society toward the right path. Summing up the revolutionary prospects revealed by Marx’s historical-materialist analysis of capitalist society, Engels wrote:

“The prospect of a gigantic revolution, the most gigantic revolution ever, presents itself as soon as we further pursue our materialist thesis and apply it to the present.”

Review by Frederick Engels of Karl Marx, “A Contribution to the Critique of Political economy”

However advanced, forward-looking thought and culture do not automatically drive social development simply because they are “ahead.” First, they must become an actual necessity for social development. As Karl Marx observed,

“The extent to which a theory is realized in a country depends on the extent to which it satisfies that country’s needs.”

Works of Karl Marx 1843, A Contribution to the Critique of Hegel’s Philosophy of Right
Introduction

However, this does not mean that theory and ideas should submit to reality. For theory to become a real need, theory and ideas must accurately reflect the laws and tendencies of social development and strive to guide reality. In addition, reality itself must adapt to theory and ideas in accordance with the demands of ideals and ideas. Thus, Marx also said:

“It is not enough for thought to strive for realization; reality itself must strive toward thought.”

Works of Karl Marx 1843, A Contribution to the Critique of Hegel’s Philosophy of Right
Introduction

Second, advanced thought and culture can lead real social and political revolutions. In eighteenth-century France, the philosophical revolution preceded the political revolution. This is because the French Enlightenment—especially French materialism—was a struggle not only against the existing political system but also against existing religion and theology. It was also a struggle against seventeenth-century metaphysics and metaphysics of every kind. After forming an ideology suited to their class position through these struggles, the French bourgeoisie began carrying out a thorough revolution—the French Revolution.

Advanced, forward-looking thought and culture do not automatically drive social development simply because they are “ahead.” First, they must become an actual necessity for social development. As Karl Marx observed,

“The extent to which a theory is realized in a country depends on the extent to which it satisfies that country’s needs.”

Works of Karl Marx 1843, A Contribution to the Critique of Hegel’s Philosophy of Right
Introduction

However, this does not mean that theory and ideas should submit to reality. For theory to become a real need, theory and ideas must accurately reflect the laws and tendencies of social development and strive to guide reality. In addition, reality itself must adapt to theory and ideas in accordance with the demands of ideals and ideas. Thus, Marx also said:

“It is not enough for thought to strive for realization; reality itself must strive toward thought.”

Works of Karl Marx 1843, A Contribution to the Critique of Hegel’s Philosophy of Right
Introduction

Second, thought and culture must link up with real social movements. Vladimir Lenin regarded the process of building socialism as a living, creative undertaking of the working class, not a bureaucratic matter of “carrying out” something prearranged.

“The wisdom of millions of creators,” he said, “will create something superior even to the greatest genius’s foresight.”

V. I. Lenin, Fear Of The Collapse Of The Old And The Fight For The New, 1917

Therefore, a forward-looking, predictive theory cannot remain in the realm of ideas; it must enter the realm of practice and combine with social movements. Only through the efforts of millions can it become concrete and come alive. Only then can it be embodied in practical results through their labor and struggle.

III. Political Culture Lags Behind

The relative autonomy of political culture can manifest as being ahead of its time, predictive, or lagging behind. Judged by the basic patterns of human cognition and socio-historical development, lags are extremely common in political culture.

This lag mainly shows up in social consciousness falling behind social existence, or people’s economic position. Residues of old ideas reflecting an old system remain in people’s minds for a long time. In 1919, Lenin gave a vivid description of this lag when speaking of the Russian peasantry:

“Anyone who has spent time in the countryside knows that even thirty years earlier, there were many elderly people in the villages who said, ‘It was better under serfdom—there was more order, things were stricter, and women dressed more plainly.’

Reading the works of Gleb Uspensky, we see descriptions from the 1880s and 1890s of simple, upright old peasants—and sometimes even middle-aged people—who said it was better in the days of serfdom. The old social system has been abolished, but it cannot be abolished all at once in people’s consciousness. There will still be many who long for the past.”

V. I. Lenin, Session Of The Petrograd Soviet, March 12, 1919, I. Report On The Foreign And Home Policy Of The Council Of People’s Commissars

This shows that the disintegration of an old system does not mean that the political culture suited to that system disintegrates immediately. On the contrary, old ideas, viewpoints, and values belonging to the era represented by the old system are preserved for a long time and wither away gradually.

The reasons political culture can lag are connected not only with the relative autonomy of the political forms analyzed above and the processes and characteristics by which cultural producers create culture, but also with tradition. The political culture of any society is formed and develops along a particular historical trajectory based on the selection, inheritance, and continuation of a historical-cultural legacy. Therefore, political culture in any society contains traditional elements. While not all traditional elements hinder social change and development, the longer tradition exists, the more it inevitably includes negative elements that restrict social progress. The existence of these elements is an important reason why political culture can lag. Friedrich Engels said:

“In all ideological domains, tradition forms a great conservative force.”

Frederick Engels, Ludwig Feuerbach and the End of Classical German Philosophy, Part 4: Marx

If the social basis for the advanced character of political culture lies in a society’s few revolutionary thinkers, then the social basis for its lagging character lies in the masses. After a long and continuous process of socialization, the masses inevitably identify with their society to varying degrees and in different ways. They develop life attitudes, habits, patterns of thought, value principles, and personality traits that align with societal expectations. These all take shape through long-term living and have been internalized as basic principles and ways of life that guide people. Therefore, expecting them to immediately change their life principles and ways of life as social life changes in a short period of time is obviously impossible. Hence Marx said:

“People’s ideas do not keep pace with the march of events.”

Karl Marx, The French Crédit Mobilier, 1856, New York Tribune

Before they can form principles and ways of life suited to the requirements of the changed society, the old principles and ways of life they still hold—taken as a kind of culture—become a retarding force in social development.

The negative feedback effect of the lagging character of political culture on real social life is that it obstructs or limits the pace and scope of social transformation and development. This negative feedback effect is expressed in three main ways:

First, there is a lack of identification with social transformation and development. Social change and development require people to abandon old ways of life, habits, patterns of interest, and emotional commitments. However, because people are influenced by old ideas and notions, they do not recognize the practical meaning and value of these changes and developments. Thus, they cannot give comprehensive assent to social change and development in a short time. Consequently, they fail to form a social force that would further propel change and development.

Second, there is resistance to the new ideas and concepts required by the new society. This is essentially a cultural conflict. When this conflict takes the form of class struggle, the resistance of old ideas and notions to social development and new ideas becomes even more confrontational.

Marx and Engels said:

“The greater the contradiction between the forms of intercourse of the existing society and the conditions of the ruling class, on the one hand, and the developing productive forces, on the other, the greater the cleavage within the ruling class itself and between it and the ruled class. The consciousness that originally corresponded to this form of intercourse becomes untrue, i.e., no longer corresponding to it. The old traditional ideas sink down to mere idealistic phrases, conscious illusions, and deliberate hypocrisy.” However, the more life reveals these things for what they are, the less effect they have on consciousness itself. The more resolutely they are defended, the more hypocritical, moralizing, and holy the language of this society becomes.”

Karl Marx, The German Ideology, Part I: Feuerbach.
Opposition of the Materialist and Idealist Outlook
C. The Real Basis of Ideology

Third, the effects on the behavior of social members. Marxism holds that the feelings and ideas people inherit through tradition and education do not determine their behavior; rather, people’s behavior is determined by their interests. However, Marxism also holds that human beings are social animals shaped by culture. Therefore, the culture people inherit influences their social and political behavior to a certain extent. Old ideological culture constrains people’s behavior. When analyzing the British workers’ movement, Engels observed this effect. He said,

“The English still hold a law-abiding outlook that obstructs them from engaging in this kind of violent revolution.”

Friedrich Engels, Condition of the Working Class in England, Labour Movements

Although the old political culture hinders social development in many ways, we should acknowledge that old ideas and notions, no matter how idealistic, hypocritical, or stubborn they are, are only temporary. Ultimately, they will be replaced by new ideas and notions as social development continues. As Friedrich Engels said:

“If our legal, philosophical, and religious ideas are the more or less near or distant offshoots of the economic relations that dominate in a given society, then in the long run, these ideas cannot withstand the impact produced when those economic relations are completely transformed. Unless we believe in supernatural miracles, we must admit that no religious doctrine is sufficient to shore up a tottering society.”

Frederick Engels, Socialism: Utopian and Scientific, 1892 English Edition Introduction
[History (the role of Religion) in the English middle-class]

Even though the survival of old ideas and notions is temporary, eliminating their negative effects requires time and people’s active effort.

There are two ways to eliminate the lagging effects of outdated political ideas on social development.

First, they can disappear on their own as development progresses—mainly, those ideas that sit on the surface of people’s consciousness. When people must acknowledge social change and development that has become an irresistible tide, forming new identifications naturally brings with it the abandonment of ideas and notions formed under the old identification. However, eliminating this lag also requires deliberate human effort because some old ideas and notions will not disappear quickly; in fact, they may persist and have negative effects. Vladimir Lenin pointed out:

“There is no Great Wall separating the working class from the old bourgeois society. When a revolution breaks out, it does not happen the way it does when a person dies—where you simply carry the corpse out and that’s that. When the old society perishes, its corpse cannot be packed into a coffin and buried in a grave. It rots and stinks in our midst and leaves us its poisons.”

V. I. Lenin, Joint Session of the All-Russian Entral Executive Committee, the Moscow Soviet of Workers’, Peasants’ and Red Army Deputies and the Trade Unions[1]
June 4, 1918

Clearly, this kind of intentional effort aims to uproot backward, traditional notions deeply ingrained in people’s thinking. This is chiefly achieved by advancing social development and spreading new ideas and notions. In a sense, social transformation and development will be extremely difficult and full of twists and turns—and may even fail—if these deep-seated old ideas and notions are not cleared away. Mao Zedong said,

“For a brand-new social system to be built on the base of the old system, that base must be cleared away. The remnants of old ideas that reflect the old system always linger in people’s minds, unwilling to retreat easily.”

Selected Works of Mao Tse-tung, EDITOR’S NOTES FROM SOCIALIST UPSURGE IN CHINA’S COUNTRYSIDE, September and December 1955

Section 5: Political culture must be instilled

  1. Political culture serves political rule.

In a class society, the ruling class governs not only as the holder of political and economic power, but also as a producer of ideas. In this kind of ideological rule, they

“regulate the production and distribution of the ideas of their age.”

Karl Marx, The German Ideology, Part I: Feuerbach.
Opposition of the Materialist and Idealist Outlook
B. The Illusion of the Epoch

Ideological production involves creating the ideology necessary for the ruling class’s political domination, while ideological distribution uses that formed ideology to shape society’s members, thereby establishing the social basis for consolidating political rule, or political socialization. Thus,

“the conditions of existence of the ruling class (as determined by the preceding development of production), ideally expressed in law, morality, etc., are given by that class’s ideologists a kind of theoretical independence (more or less consciously); in the consciousness of individuals of the ruling class, they are imagined as a ‘vocation,’ and so on; and they are held up to individuals of the oppressed class as principles for living—partly as an embellishment or recognition of domination and partly as the moral means for this domination.”

Karl Marx and Frederick Engels, A Critique of the German Ideology, Abstract of Chapter 3, [Idealist mistakes & Materialist corrections]

In any society, the process of political socialization unfolds under the guidance of specific class and political objectives, serving the political rule of the ruling class.

Political socialization primarily involves political education, which is the distribution of dominant ideas and beliefs through schooling and the media to every member of society so they become “qualified” citizens. Marxists have revealed the significance of political education for political rule, and some bourgeois thinkers have also recognized its importance, calling on the government and society to pay adequate attention to it. American pragmatist John Dewey viewed schools as a safe instrument of political democracy because they can distribute the ideas of the ruling class. He said:

“The school is the essential distributing agency for whatever values and purposes any social group cherishes. It is not the only means, but it is the first means, the primary means and the most deliberate means by which the values that any social group cherishes, the purposes that it wishes to realize, are distributed and brought home to the thought, the observation, judgment and choice of the individual.”

John Dewey, Problems of Men

“No matter what fine ideals or fine resources, the products
of past experience, past human culture, exist somewhere at the
center, they become significant only as they are carried out, or
are distributed. That is true of any society, not simply of a
democratic society; but what is true of a democratic society is,
of course, that its special values and its special purposes and
aims must receive such distribution that they become part of
the mind and the will of the members of society. ”

John Dewey, Problems of Men

Although Dewey maintained that recipients can think, observe, judge, and choose in the face of the values and aims distributed to them, ultimately, all of this is just a way of making those “distinctive purposes and aims” part of the psychology and will of society’s members.

Because political socialization ultimately affects class rule, the ruling class uses various means and methods to disseminate its ideas and concepts. In the process, it combats ideas that oppose political domination. In his famous book, The Condition of the Working Class in England, Engels vividly depicts this struggle:

“The various working-class factions, which sometimes unite and sometimes split up—trade union members, Chartists, and Socialists—raised funds to establish schools and reading rooms to improve workers’ knowledge.” Such facilities exist in every socialist organization, almost every chartist organization, and many individual trade unions. Here, children receive a purely proletarian education, free from all bourgeois influence. The reading rooms contain almost exclusively proletarian books and periodicals. The bourgeoisie considers these facilities very dangerous. In some of them — the ‘mechanics’ institutes” — the bourgeoisie has eliminated proletarian influence and turned them into institutions that spread scientific knowledge serving bourgeois interests among the workers.”

Friedrich Engels, Condition of the Working Class in England, 1845, Labour Movements

Here, too, political economy that idolizes free competition is preached. From this “science,” the worker can draw only one conclusion: the wisest course for him is to silently and submissively starve to death. Everything here teaches people to bow their heads and obey political and religious rule. So, what the worker hears here are sermons that urge him to be meek and compliant, to let others push him around, and to resign himself to fate.

Therefore, while political socialization spreads class ideas and conceptions, it also directly serves to safeguard class domination. For a ruling class whose political rule is already relatively secure, political socialization is a fundamental part of daily governance. However, for classes that have recently gained political power or are attempting to establish a new social order, political socialization is essential for securing political rule and establishing a new society.

Mao Zedong said:

“For many years, we communists have struggled not only for China’s political and economic revolutions, but also for its cultural revolution. The purpose of all this is to build a new society and state for the Chinese nation. In this new society and state, there will be new politics, a new economy, and a new culture. In other words, we want to transform China from a country that is politically oppressed and economically exploited into one that is politically free and economically prosperous. We also want to transform old China, which was kept ignorant and backward under the old culture, into a civilized and advanced country under a new culture.”

“At the present time, there is no doubt that we should broaden the promotion of communist ideas and intensify the study of Marxism-Leninism. Without such promotion and study, we will be unable to guide the Chinese revolution to the future socialist stage or direct the present democratic revolution to victory.”

Selected Works of Mao Tse-tung, ON NEW DEMOCRACY, January 1940

The study and propaganda process that Mao advocates here is a new process of political socialization that will shape a new generation to establish a new regime and birth a new society.

A socialist society is an entirely new kind of society. As a transitional stage toward communism, its purpose is to eliminate all class exploitation and differences, as well as outdated ways of thinking and ideas, until communism is finally realized. For this reason, a socialist society must establish new production relations and cultivate generation after generation of “new socialist people.”

Marx clearly stated that, during a revolution, the proletariat should discard everything old and corrupt that has accumulated, becoming the new foundation of society.

Engels believed that education was the first of three major measures that would inevitably bring about communism. He said:

“Obviously, educated members of society will benefit society more than ignorant and uneducated people. If it is true that, once educated, the proletariat will be unwilling to endure the oppression they currently face, then, from another angle, only an educated working class can possess the calmness and prudence required for the peaceful transformation of society.”

Works of Frederick Engels, Speeches in Elberfeld, February 8, 1845

The core of political education for shaping “new socialist people” is communist education. In this type of education, establishing communist ideals and convictions occurs simultaneously with eliminating outdated ideas and notions. This is determined by the nature of socialist society itself. Since socialism must completely break with traditional ideas, Lenin believed that:

“The fundamental task of educators and of the Communist Party, the vanguard in the struggle, is to help train and educate the working people so that they overcome the old habits and customs left over from the old system—those habits and customs of private ownership that have taken deep root among the masses.”

V. I. Lenin, Speech Delivered At An All-Russia Conference Of Political Education Workers Of Gubernia and Uyezd Education Departments
November 3, 1920

Marxism holds that this kind of education is a long-term undertaking requiring sustained effort. When discussing how to transform people’s values about labor, Lenin argued that it would take decades for the ideas of “all for one, one for all” and “from each according to his ability, to each according to his needs” to replace the existing idea of “every man for himself and God for all” in people’s minds. Thus, in the Marxist view, political socialization should be an uninterrupted process that runs through a person’s entire life and the entire process of socialist construction and development.

II. Indoctrination is an important means of education

In a class-based society, the ruling class disseminates ideas and concepts that represent its interests in various ways. Sometimes it uses positive, direct instruction, and sometimes it uses negative or indirect instruction. Sometimes it embeds “education” in various social activities, and sometimes it works directly through mass communication channels. However, these methods all aim to continually inculcate the ruling class’s ideas and concepts into people so that they become an indispensable part of their thinking and will. Indoctrination is an important method for achieving effective political socialization.

Political socialization requires ongoing ideological inculcation for two main reasons.

First, in a society where exploitative classes are dominant, the ruling class is a numerical minority whose ideas represent only a minority’s thinking. In order to make these ideas the guiding principles of society as a whole, the ruling class must rely on its dominant status to universalize its ideas and present them as independent and sacred. It must also strive to secure recognition from members of other social classes and internalize these ideas in the hearts and minds of the majority. The deeper the internalization, the more solid the rule. Therefore, the ruling class is bound to adopt all kinds of means to instill its ideas in people.

Second, class consciousness does not directly arise from a class’s real social conditions. Rather, it arises only after the ideas of thinkers representing that class are continually instilled in its members. Lenin repeatedly emphasized that the working masses can never create an independent ideological system on their own and thattheir class’s political consciousness can only come from outside the class.

For any class seeking political domination, ideological indoctrination begins before domination is achieved. This is because, in order to ultimately succeed, it must first transform itself from a class “in itself” to a class “for itself.” The proletariat faces this challenge during the revolutionary process, and the bourgeoisie faces it when preparing for revolution. One could argue that the French Revolution would not have occurred without the Enlightenment.

When Engels discussed the eighteenth-century Enlightenment that helped open minds for the French Revolution, especially French materialism, he gave a highly positive assessment of its role. He wrote,

“The French materialists did not confine their criticism to matters of religious belief. They extended it to every scientific tradition and political institution they encountered.”

To prove that their doctrine could be applied universally, they took the shortest route. In the great Encyclopédie, the monumental work from which they took their name, they boldly applied their doctrine to all objects of knowledge. Thus, in one form or another—open materialism or deism—it became the creed of all educated young people in France. Its influence was so great that when the Great Revolution broke out, this doctrine—hatched by English royalists—provided French republicans and terrorists with a theoretical banner and furnished the text for the Declaration of the Rights of Man.

Frederick Engels, Socialism: Utopian and Scientific, 1892 English Edition Introduction
[History (the role of Religion) in the English middle-class]

Similarly, the proletariat can only carry out a successful socialist revolution if it has its own system of ideas and forms its own class consciousness. When analyzing the German workers’ movement, Karl Marx pointed out:

“Philosophy turns the proletariat into its material weapon, and likewise, the proletariat turns philosophy into its spiritual weapon. Once the lightning bolt of thought strikes this virgin soil of the people, the Germans will be emancipated as human beings.”

Works of Karl Marx 1843, A Contribution to the Critique of Hegel’s Philosophy of Right
Introduction

However, Lenin believed that for this to happen, thought must be introduced consciously from the outside. Lenin wrote,

“We have said that Social-Democratic consciousness could not have arisen among the workers. This consciousness could only be brought to them from outside. The history of all countries shows that the working class, through its own efforts alone, can develop only trade union consciousness—the conviction that it is necessary to organize unions, fight employers, and push the government to pass labor legislation. The theory of socialism, however, grew out of the philosophical, historical, and economic theories elaborated by educated representatives of the propertied classes, by intellectuals.”

Vladimir Ilyich Lenin, What Is To Be Done?, BURNING QUESTIONS of our MOVEMENT, II, The Spontaneity of the Masses and the Consciousness of the Social-Democrats

Confronted with this reality, Joseph Stalin likewise emphasized:

“Our task—the task of Social Democracy—is to divert the spontaneous workers’ movement from the path of trade unionism and bring it onto the path of Social Democracy. Our task is to instill socialist consciousness in this movement and unite the advanced forces of the working class in a centralized party.”

J. V. Stalin, Briefly About Disagreements in the Party, May 1905

Once the proletariat seizes political power and establishes a socialist system, the primary objective of ideological “implantation” becomes instilling communist ideals and convictions among the general population. Lenin noted:

“The purpose of political culture and instruction is to educate genuine communists who can combat falsehoods and prejudices and help the working class overthrow the old order and establish a state free of capitalists, exploiters, and landlords.”

V. I. Lenin, Speech Delivered At An All-Russia Conference Of Political Education Workers Of Gubernia and Uyezd Education Departments
November 3, 1920

In this period, the forms and methods of such education would naturally be far more varied, vivid, and lively.

Marxism holds that ideological “implantation,” or ideological and political education, should run through the entire course of the proletarian revolution. At the same time, Marxism also holds that, in order for such education to have a real effect, one must resolutely oppose dogmatic preaching. Friedrich Engels observed:

“Since socialism has become a science, it must be treated as a science—that is, it must be studied.”

Frederick Engels, The Peasant War in Germany, Addendum to the Preface

Lenin likewise argued that the spirit of Marxism requires examining every proposition

  • (1) historically,
  • (2) in relation to other propositions, and
  • (3) in relation to concrete historical experience.

Thus, communist education and propaganda are not merely the repetition of slogans and stock phrases, but rather, they are educational in nature and include the scientific Marxist worldview and methodology.

According to the Marxist view, effective political education must oppose dogmatic lecturing and be tied to the interests of the masses so that what is taught is easily accepted. V. I. Lenin made this point with particular force when he criticized Russian populism:

“When the thinkers of the working class come to understand and deeply feel this, they will acknowledge that so-called ‘ideals’ should not mean laying out the best and most convenient road, but rather defining the tasks and aims of the ‘stern struggle between social classes’ taking place in our capitalist society. Whether one’s intentions succeed depends not on how cleverly one drafts advice for ‘society’ and the ‘state,’ but on the degree to which these ideals spread within a social class. If you do not know how to bind ideals closely to the interests of those taking part in the economic struggle—linking them to such ‘narrow,’ everyday questions of that class as ‘a fair reward for labor,’ the very questions self-important populists disdain—then even the loftiest ideals are worthless.”

Vladimir Ilyich Lenin, The Economic Content of Narodism and the Criticism of it in Mr. Struve’s Book, (The Reflection of Marxism in Bourgeois Literature)

Here, Lenin effectively advances three important points:

  • First, any ideal must be connected to concrete, real-world tasks and objectives.
  • Second, an ideal’s value lies in the extent to which it is accepted and adopted by society.
  • Third, for an ideal to have a real chance of becoming a reality, it must be linked to the interests of those directly involved.

These three points offer important guiding principles for effectively publicizing and teaching communist ideals and convictions.


王沪宁等著 政治的逻辑 马克思主义政治学原理

第十二章社会存在决定社会政治意识形态

                社会政治意识,即政治文化,是社会意识的重要组成部分。它由现实的经济关系以及在此基础上的政治关系决定,并反映它们。在实际的社会生活和政治生活中,社会政治意识在其形成后作为相对独立的力量,将反作用于社会和政治,对社会和政治的发展起促进或延缓作用。马克思主义是运用历史唯物主义关于社会意识和社会存在关系的理论,来分析政治文化形成和发展的基本规律,揭示政治文化本质、内容和作用的。历史唯物主义赋予了马克思主义政治文化观以充分的科学性,这与确立在行为主义基础上的现代西方资产阶级政治文化观形成了鲜明的对照。

第一节政治文化反映社会存在

                一、社会存在决定政治文化

                马克思主义认为,人们的社会意识包括有政治、法律、道德、科学、艺术、哲学、宗教等观念与思想,社会政治意识是社会意识的重要组成部分。用现在的概念表述,社会政治意识即政治文化。

                政治文化作为政治活动中的一种主观意识领域,主要包括有政治意识、民族气质、民族精神、民族政治心理、政治思想、政治观念、政治理想、政治道德等方面的内容。在马克思主义者看来,尽管这些内容,形成的具体原因各异,表现形式不同,对政治生活所产生的作用和影响也干差万别,但它们归根到底都只不过是现实社会生活的产物,是现实社会生活的反映。马克思和恩格斯指出:“这些观念都是他们的现实关系和活动,他们的生产,他们的交往、他们的社会政治组织的有意识的表现(不管这种表现是真实的还是虚幻的)。”因此,任何社会政治文化的性质、内容及其观念取向,都不是源于思想家的理论与设想或人们的主观情感与想像,而是直接根源于现实的社会生活,是由人们的社会存在状况决定的。

                社会存在决定社会意识。人们的社会存在就是他们的实际生活过程,就是社会物质生活条件,主要是物质资料的生产方式,以及必然由此产生的人们的社会联系和社会关系,它是不依赖于人们的社会意识而存在的客观实在。马克思指出,“物质生活的生产方式制约着整个社会生活、政治生活和精神生活的过程”。从根本上讲,政治文化作为一种社会意识形式,是由社会物质生活条件决定的,但由于政治文化主要是现实的政治生活的抽像,所以从形式上讲,社会物质生活条件,对于政治文化的决定不是直接的,而是间接的,它首先决定现实的政治生活,从而决定与这一定的政治生活相适应的政治文化。马克思在有关“经济基础”的一段论述中,已表明了这种决定关系。马克思说:“这些生产关系的总和构成社会的经济结构,即有法律的和政治的上层建筑竖立其上并有一定的社会意识形态与之相适应的现实基础。”因此,作为社会生活产物的政治文化,实际上是由一定社会物质条件决定的社会政治生活的抽像。

                政治文化与政治生活之间的内在联系,仅停留在上层建筑的领域,因此,它们各自所反映的问题,都不能从对像寻求终极原因;它们所反映问题的终极原因,都必须到社会物质生活中去寻找。马克思主义政治文化观明确反对下列两种错误倾向。

                第一,试图用政治文化观念性的东西来解释或改变政治生活现像。马克思以前的许多思想家,如黑格尔等人认为,“一切历史变动的最终原因,应当到人们变动的思想中去寻求,并且在一切历史变动中,最重要的,决定全部历史的是政治变动”。这种观念所表达的实际上是这样一种公式:思想变动决定政治变动,政治变动决定历史变动。进一步延伸的结果就是:思想等观念性东西决定社会政治生活的变化与发展。这种观念显然是错误的。对于这种错误倾向,马克思在其思想发展的早期就已有认识。在《摩塞尔记者辩护》一文中,马克思就清醒地指出:“在研究国家生活现像时,很容易走入歧途,即忽视各种关系的客观本性,而用当事人的意志来解释一切。”随后,马克思在对社会现实的进一步研究中,特别是在对黑格尔法哲学作全面清算后,形成了更为明确的思想:“我的研究得出这样一个结果:法的关系正像国家的形式一样,既不能从它们本身来理解,也不能从所谓人类精神的一般发展来理解,相反,它们根源于物质的生活关系”,“而对市民社会的解剖应该到政治经济学中去寻求。”恩格斯对马克思这一研究结果给予了极高评价。他认为,尽管这“新的世界观不仅必然遭到资产阶级代表人物的反对,而且也必然遭到一群想靠自由、平等、博爱的符咒来翻转世界的法国社会主义者的反对”,但“这个原理的最初结论就给一切唯心主义,甚至给最隐蔽的唯心主义当头一棒。关于一切历史性的东西的全部传统的和习惯的观点都被这个原理否定了”。随之,政治论证的全部传统方式,即以思想、观念来说明或论证政治社会发展的唯心主义方式也崩溃了

                第二,把政治文化简单化地看作是政治生活的反映,从而直接用政治文化来解释政治现像,引导政治生活。这种错误倾向虽然不像前种错误倾向那样,把思想观点看作社会和政治发展的决定性因素,但它所表现出的唯心主义倾向与前者没有什么两样。这种倾向在当代西方政治学研究中表现得特别明显。当代一些著名的政治学家,如路辛·派伊、阿尔蒙德等人,在进行比较政治学研究时,就直截了当地根据政治文化的差异来划分不同社会的政治生活类型,断定这些社会政治生活的发展水平,然后在此基础上以西方政治文化所表达的价值取向来匡定发展中国家政治发展的目标和取向,并把政治文化的发展看作发展中国家政治发展的重要前提条件。这种倾向,不仅在理论上是错误的,而且现实也已证明是行不通的。马克思主义政治文化观认为,政治文化确实主要是现实社会政治生活的抽像,但作为社会意识形态,从根本上讲,它是社会物质生活条件以及必然由此产生的人们社会关系的反映因而,政治文化虽然反映了政治生活内容,但它还不能说明政治生活的本质,从而它也无法引导政治生活的变化与发展。能说明政治生活本质,并成为引导政治生活变化和发展的力量,应该是政治文化所反映的社会物质生活条件和社会关系,在政治生活领域,这种社会关系,主要体现为阶级关系和阶级斗争。因此,马克思和恩格斯一再指出:“一切社会变迁和政治变革的终极原因,不应当在人们的头脑中,在人们对永恒的真理和正义的日益增进的认识中去寻找,而应当在生产方式和交换方式的变更中去寻找;不应当在有关的时代的哲学中去寻找,而应当在有关的时代的经济学中去寻找。”

                社会存在决定政治文化,这是马克思主义政治文化观的根本点。这其中不仅揭示了政治文化的本质特征,而且揭示了政治文化研究的科学方法。这方法要求,对于任何社会政治文化的把握,都不能仅停留在政治文化或抽像的政治生活这一层面上,而应深人到社会物质生产和社会关系的领域中去。在不同社会形态下形成的政治文化显然是不同的,其间的本质差异并不是像现代西方政治学者那样通过不同政治文化间的比较就能说明的。斯大林指出:社会历史的不同时期所以有不同的社会思想、理论、观点和政治设施,——在奴隶占有制下是一种社会思想、理论、观点和政治设施,在封建制度下是另一种,在资本主义制度下又是一种,——那不能用思想、理论、观点和政治设施本身的“本性”和“属性”来解释,而要用不同的社会发展时期的不同的社会物质生活条件来解释。准确地把握住政治文化的本质,将有助于对各种政治现像的分析和研究。

二、人是政治文化的主体

                人是自己的观念、思想和理论的创造者。政治文化作为社会意识形态的一种,属于人的主观意识领域。人是政治文化的主体。从这个意义上讲,政治文化,是由一定生产关系决定的人在政治生活中的主观反映。

                人成为政治文化的主体,不仅因为人是观念,思想和理论的创造者,而且还因为人也是现实社会政治生活和政治关系的创造者和主体。马克思和恩格斯指出:“以一定的方式进行生产活动的一定的个人,发生一定的社会关系和政治关系。”“社会结构和国家经常是从一定个人的生活过程中产生的”。马克思和恩格斯为了区别于以往思想家,特别是费尔巴哈的理论,一再强调,他们所说的作为主体的人,不是抽像的个人,而是现实的个人。“这里所说的个人不是他们自己或别人想像中的那种个人,而是现实中的个人,也就是说,这些个人是从事活动的,进行物质生产的,因而是在一定的物质的、不受他们任意支配的界限、前提和条件下能动地表现自己的”。马克思主义赋予作为主体的人的如此现实性,不仅使马克思主义政治文化与其他思想家的政治文化观有本质的不同,而且也使得马克思主义所理解的政治文化具有更加坚实的现实基础,并成为一种能动的力量。那些试图用人的政治观念和思想来解释政治现像,决定政治发展的思想家,正是由于抽像掉了作为政治文化主体的人的现实性才走向错误的。因为这种抽像势必使思想、观念与现实的人脱离,并在想像中成为主导人们生活和社会发展的力量,从而陷入唯心主义的泥潭

                人是政治文化的主体。因此,政治文化的存在和发展都与人的活动密切相关。马克思和恩格斯指出:“思想、观念的生产最初是直接与人们的物质活动,与人们的物质交往,与现实生活的语言交织在一起的。观念、思维、人们的精神交往在这里还是人们物质关系的直接产物。表现在某一民族的政治、法律、道德、宗教、形而上学等的语言中的精神生产也是这样。”由此可见,政治文化的存在与发展,不仅与人的政治活动有关,更主要的是与人的物质活动以及在这种活动中所结成的物质关系,即生产关系有关。这一结论实际上可以从两个层面去理解:(1)从人类社会发展的层面理解,这结论表明:社会生产发展的水平在决定社会生产关系和阶级关系的同时,也同时决定该社会政治文化的内容与水平。从历史上看,资产阶级政治观念、政治价值理想的出现与发展,是与资本主义生产发展以及所带来的社会关系的变化分不开的。马克思在分析法国的《人权宣言》时指出:“在1789年,人权这一政治问题本身就包含着自由竞争这一社会问题。”马克思还指出:“现代国家既然是由于自身的发展而不得不挣脱旧的政治桎梏的市民社会的产物,所以,它就用宣布人权的办法从自己的方面来承认自己的出生地和自己的基础。”另外,就现实世界各国发展情况而言,发达国家与发展中国家之间公民政治文化差异,从根本上讲,也是源于这两类国家社会发展水平之间的差异。(2)从具体的国家的社会发展层面理解,这结论表明:在社会的物质生产活动所形成的社会关系中,不同的人在这社会关系中所处地位、所扮角色的不同,在政治生活中会形成不同的政治观念,政治价值取向和政治理想,从而在社会大的政治文化背景下,形成亚政治文化结构。在阶级社会,不同阶级,尤其是统治阶级与被统治阶级之间的政治文化差异与冲突,直接与他们在社会生产关系中所处的地位密切相关。在马克思主义看来,人在社会生产关系中所处的地位不同,就会形成不同的个人利益、团体利益和阶级利益,“人们奋斗所争取的一切,都同他们的利益有关”。而正是这些利益构成他们思想的基础。因此,任何社会,由于社会利益的多元,都势必会形成代表各种集团和阶级利益的亚政治文化。代表统治阶级的政治文化占统治地位,并规定全社会政治文化(即母政治文化)的总体倾向。

                马克思主义在赋予作为主体的人的完全现实性的同时,也使人对政治文化获得了充分的能动性。人的社会存在决定人的观念。但人的观念对社会存在状况的反映,不是消极的,而是能动的,即人能够根据自身与社会发展的状况与要求,能动地反映这种状况与要求,并在此基础上形成思想与观念。对于政治文化来说,正是这种能动性使得人们能够根据社会和政治的发展规律和要求,选择或形成与这种规律与发展相适应的政治思想、政治观念、政治理论和政治理想。因此,任何一种有生命力的政治文化,在反映现实社会和政治状况的同时,也极力表达或宣扬与社会政治发展相适应的政治理想和政治理论,而这些政治理想和理论往往会对社会政治发展起到一定的促进作用。显然,在这里,人如何选择,形成与自身和社会发展的必然要求相适应的理论、思想或政治理论,就变得十分重要了,而这一点很大程度上取决于人对自身和社会存在状况的科学认识和正确把握。列宁认为,社会存在不依赖于人的意识,而且社会生活的复杂规律与过程也不能完全为社会意识所完全把握,因而对社会生活的尽可能准确的认识就变成一项十分重要的任务。他说:“人类的最高任务,就是把握经济进化(社会存在的进化)这个客观逻辑的一切主要之点,以便使自己的社会意识以及一切资本主义国家的先进阶级的意识尽可能清楚地、明确地、批判地与它相适应。”从这个意义上讲,政治文化的存在与发展不仅要取决于作为主体的人的社会物质生产活动和生产关系,而且还取决于人对自身和社会存在状况的认识水平和把握程度。

三、政治文化具有反作用

                历史唯物主义基本原理表明:社会存在决定社会意识,同时,社会意识对社会存在具有反作用。因此,作为社会意识形态重要组成部分的政治文化,在其形成与发展过程中,对社会和政治的发展具有反作用。毛泽东明确指出:“一定的文化(当作观念形态的文化)是一定社会的政治和经济的反映,又给予伟大影响和作用于一定社会的政治和经济;而经济是基础,政治则是经济的集中表现。这是我们对于文化和政治,经济的关系及政治和经济关系的基本观点。”

                列宁指出:“人的意识不仅反映客观世界,并且创造客观世界。”这种创造正是意识对存在作用的一种具体体现。显然,人的意识反映客观世界与人的意识反作用于客观世界是相伴随的。社会意识对社会存在的反作用,自然就使得社会意识成为影响社会发展的一股力量。因此,马克思主义在强调“历史过程中的决定性因素归根到底是现实生活的生产和再生产”的同时,也把社会意识看作影响历史发展的一个重要因素。恩格斯说:“经济状况是基础,但是对历史斗争的进程发生影响并且在许多情况下主要是决定着这一斗争的形式的,还有上层建筑的各种因素:阶级斗争的各种政治形式和这个斗争的成果——由胜利了的阶级在获胜以后建立的宪法等等,各种法权形式以及所有这些实际斗争在参加者头脑中的反映,政治的、法律的和哲学的理论,宗教的观点以及它们向教义体系的进一步发展。”政治文化主要作用对像自然是政治生活领域,这种作用对于社会政治的发展往往会产生深刻的影响。

                政治文化对政治生活和政治发展的反作用,从它形成或出现的那一刻就开始了。这种反作用可分为两种形式:正作用和负作用。正作用表现为对社会和政治发展的促进;负作用则表现为对社会和政治发展的阻碍。至于一种政治文化将对社会和政治发展产生哪种作用,关键取决于政治文化的本身及其与现实社会和政治发展之间的适应关系。一般来说,一种新的政治观念,新的政治价值原则和政治理想的出现,在预示社会和政治发展的新要求与新倾向的同时,将对社会和政治的发展产生积极的影响。与此相反,一种旧的政治观念和落后的政治理想,将对社会和政治发展形成阻碍作用。在欧洲社会历史发展过程中,中世纪的神学世界观,对于现代资本主义的发展无疑是一个巨大的阻碍力量。欧洲资产阶级为了自身的发展不得不首先搬除这一阻碍力量。从文艺复兴到19世纪的许多政治思想家在构建他们的政治理论与思想时,都以批判宗教神学为起点,在被摧毁的旧的神学世界观上,构筑新的世界观。因此,恩格斯在总结德国农民战争时指出:“一般针对封建制度发出的一切攻击必然首先就是对教会的攻击,而一切革命的社会政治理论大体上必然同时就是神学异端,为要触犯当时的社会制度,就必须从制度身上剥去那一层神圣外衣。”

                从以上的分析可以看出:任何社会和政治的发展,都需要一种先进的政治文化,因为,这种政治文化将会以自身所展现的新价值、新理想和新观念,对社会和政治发展起引导和促进作用。但是,一种新的、先进的政治文化的形成、发展并对社会政治产生积极作用,必然要面临两个问题:一是如何在与旧的政治文化斗争中,充分显示自身的力量,并最终占据主导地位;二是与这种斗争相适应,如何使新的政治文化为社会所普遍认同,并产生积极的社会效应。显然,这两个问题的解决,不仅关系到一个新的、先进的政治文化的命运,而且也关系到社会政治的发展

                首先看第一个问题。任何一种新的政治观念、政治思想和政治理论,要在与旧的政治文化内容相对抗中显示出自己的力量,并不在于这些新的观念、思想、理论所追求的境界,所表达的理想,与旧的相比有多少的高远和宏大,关键在于这些新观念、思想、理论对社会现实反映的深刻程度和对社会政治发展规律的揭示程度。列宁在评价马克思的唯物史观时指出:马克思万分确定地表述了自己的观点,这些观点对从前的社会主义者来说,完全是“新东西”。其所以是新东西,是因为马克思不以从前的社会主义者的有关论述为满足,“他并不限于评论现代制度,评价和斥责这个制度,他还对这个制度作了科学的解释,把这个在欧洲各国和非欧洲各国表现得不同的现代制度归结为一个共同基础即资本主义社会形态,并对这个社会形态的活动规律和发展规律作了客观分析(他指明了这个制度下的剥削的必然性)”。“他以对资本主义制度的这种客观分析证明了资本主义制度变为社会主义制度的必然性”。显然,只有这种新思想、新理论、新观念,才是最有生命力的,它们将随着构成其现实基础的社会和政治发展,在旧的政治文化面前显示出越来越强大的力量,直至完全占据主导地位。在历史上,资产阶级经典世界观——法学世界观代替中世纪神学世界观,也正是因为旧的世界观已无法适应改变了的经济条件和新阶级的生活方式,而新的世界观不仅适应了这一切,而且也为这一切的进一步发展提供了新的可能。当然,使旧的政治文化体系瓦解的真正力量,最后还是社会生产关系和社会制度的重大变化。“旧思想的瓦解是同旧生活条件的瓦解步调一致的“

                一种先进的政治思想、理论、观念要取代旧的、落后的思想、理论、观念,除了取决自身所具有的生命力外,还取决于这些新思想、新理论、新观念,被社会的接受和认同程度。如果这些新的东西被社会大多数人或主要的阶级所接受,那它们就会化成强大的力量。正如马克思所说:“批判的武器当然不能代替武器的批判,物质力量只能用物质力量来摧毁;但是理论一经掌握群众,也会变成物质力量。理论只要说服人,就能掌握群众;而理论上只要彻底,就能说服人。所谓彻底,就是抓住事物的根本。”但是,如果这“抓住事物根本”的理论,由于种种原因,尤其是接受者本身的原因,缺乏对理论本身的高度认同,那么这种理论也就无法完全化为推动社会和政治发展的力量。恩格斯在解释为什么德国工人运动与欧洲其他国家相比,显得那么强大有力和不可战胜时认为,其中的一个重要原因是科学社会主义在欧洲其他国家无法像在德国那样深人工人的血肉。“英国工人运动虽然单个行业有很好的组织,但是前进得非常缓慢,其主要原因之一就是对于一切理论的漠视;另一方面,法国人和比利时人由于原有形式的蒲鲁东主义的传播而发生混乱和动摇,西班牙人和意大利人则由于被巴枯宁滑稽化的蒲鲁东主义的传播而发生混乱和动摇”。恩格斯在此所反映的事实已经说明了问题。

                人类社会和政治发展的历史表明:一种新的政治思想、理论和观念要代替旧的政治思想、理论和观念,并对社会和政治发展起积极的推动作用,需经历一个曲折反复的过程。这过程将需要一定的时间,时间的长短,从根本上讲,取决于构成那些新政治思想、理论和观念基础的新社会形态或新政治形态走向成熟的过程和速度

第二节政治文化具有阶级属性

                一、政治文化反映阶级利益

                政治文化的主体是人,人是政治文化的生产者和承受者。马克思主义赋予作为主体的人充分的现实性,因此,这里的人是现实的,从事生产活动和社会活动的人。在阶级社会,人们在社会生产中结成的交往关系必然反映为一定的阶级关系,因而,人们所从事的生产活动和社会活动,最终都可归结为阶级活动。正如列宁所说:“个人在每个社会经济形态范围内的活动,这些极为多样的似乎不能加以任何系统化的活动,已被综合起来,归结为在生产关系体系中所起的作用上、在生产条件上、因而在生活环境的条件上、在这种环境所决定的利益上彼此不同的个人的集团的活动,一句话,归结为阶级活动,而这些阶级斗争决定着社会的发展。”正是由于在阶级社会中,人的活动与关系都与阶级活动和阶级关系密切地联系在一起,所以,每一个人都是在一定的阶级地位上生活和活动。政治文化主体的阶级性,决定了政治文化都是具有阶级性的,都是一定阶级的思想、观念、理论、价值观和情感的综合体现。这正如毛泽东所指出的那样:“在阶级社会中,每一个人都在一定的阶级地位中生活,各种思想无不打上阶级的烙印。”从总体上讲,一个社会的政治文化,反映了这个社会的阶级关系

                在阶级社会,每一阶级都有自己的政治要求、政治理想和政治观点等,这些就构成了每一阶级的政治文化。每一阶级的政治文化都是在决定他们阶级地位的生产和交换活动中形成的。恩格斯在分析不同阶级道德观念形成时指出:“如果我们看到,现代社会的三个阶级即封建贵族、资产阶级和无产阶级都各有自己的特殊的道德,那末我们由此只能得出这样的结论:人们自觉地或不自觉地,归根到底总是从他们阶级地位所依据的实际关系中——从他们进行生产和交换的经济关系中,吸取自己的道德观念。”简单讲,每一阶级在生产关系体系中所进行的活动的性质和内容,构成该阶级政治文化的基础

                在马克思主义者看来,任何一个阶级,在决定他们阶级地位的生产活动和社会活动中,形成本阶级特殊的阶级利益。每一阶级政治文化的内容和价值取向正是由本阶级的特殊利益决定的。马克思在《路易·波拿巴的雾月十八日》一文中,以天才的智慧展现了法国社会各阶级的特殊利益如何驱使各阶级在这场重大的政治运动中扮演各自的角色。马克思认为,法国的小农之所以热衷于“拿破仑观念”,并在此基础上选择了波拿巴,在很大程度上,正是那些不开化的,迷信而富有偏见的,想固守在小块土地所决定的社会存在条件下生活的农民的共同利益决定的,尽管资本主义的发展已使得这些小块土地愈来愈多地脱离农民,并将其投入资本的炼金炉中去。马克思在分析这场社会政治运动中的另外两个角色时,也注意到了阶级利益所起到的决定性作用。他说:“如果奥尔良派和正统派这两个集团中每一个集团,都硬要自己和别人相信它们彼此分离是由于它们对两个不同王朝的眷恋,那末后来的事实所证明的却刚刚相反,正是它们利益的对立才使得这两个王朝不能结合为一”由此可见,阶级利益对于阶级成员的思想、观念和行为都有决定性的意义。一定的政治文化正是由一定的阶级利益决定,并反映一定的阶级利益。因此,在分析和判断一种政治文化时,不仅要看政治文化本身的内容,而且要分析政治文化所代表的阶级利益。列宁指出:“当人们还不会从任何一种有关道德、宗教、政治和社会的言论、声明和诺言中揭示出这些或那些阶级的利益时,他们无论是过去或将来总是在政治上作受人欺骗和自己欺骗自己的愚蠢的牺牲品。”

                政治文化由一定的阶级利益决定,并反映一定阶级利益。所以,任何政治文化都不能与相应的阶级利益相分离,变成纯粹的概念、原则、口号和幻想。如果真这样做了,那么后果将是极其可怕的,甚至是危险的。马克思和恩格斯指出:思想一旦离开“利益”,就一定会使自己出丑。例如,德国的小资产阶级在把法国的自由主义与其所代表的阶级利益割裂开来后,自己却在法国的自由主义面前出尽了丑态。对此,马克思和恩格斯有过一段精彩的描绘:“在康德那里,我们又发现了以现实的阶级利益为基础的法国自由主义在德国采取的特有形式。不管是康德或德国市民(康德是他们的利益的粉饰者),都没有觉察到资产阶级的这些理论思想是以物质利益和由物质生产关系所决定的意志为基础的。因此,康德把这种理论的表达与它所表达的利益割裂开来,并把法国资产阶级意志的有物质动机的规定变为‘自由意志’,自在和自为的意志,人类意志的纯粹自我规定,从而就把这种意志变成纯粹思想上的概念规定和道德假设。因此当这种强有力的资产阶级自由主义的实践以恐怖统治和无耻的资产阶级钻营的形态出现的时候,德国小资产者就在这种资产阶级自由主义的实践面前畏缩倒退了。”

                任何阶级的政治文化都是由特定的物质活动和阶级利益决定的,不同阶级的政治文化往往存在着差异。这种差异在统治与被统治阶级之间表现得尤其明显。在资本主义社会,“工人比起资产阶级来,说的是另一种习惯语,有另一套思想和观念,另一套习俗和道德原则,另一种宗教和政治。这是两种完全不同的人,他们彼此是这样地不相同,就好像他们是属于不同的种族一样”。政治文化的差异,只不过是阶级利益差异的体现。不同阶级之间的利益斗争与冲突,必然要反映到作为观念形态的政治文化上来,也就是说,不同阶级间政治文化的矛盾和冲突,正是它们之间现实的阶级利益斗争与冲突的必然体现。所以“一切历史上的斗争,无论是在政治、宗教、哲学的领域中进行的,还是在任何其他意识形态领域中进行的,实际上只是各社会阶级的斗争或多或少明显的表现”。在欧洲历史上,从文艺复兴以来不断掀起的宗教改革运动,新时代思想家所倡导的天赋人权、社会契约、自然法等这些充满理性色彩的新政治观与在中世纪占统治地位的神权说、原罪说和神造国家说等旧政治观之间的长时间的冲突、斗争,正是新兴的市民阶级与封建贵族、僧侣之间的斗争在社会政治意识形态上的体现。“当基督教思想在十八世纪被启蒙思想击败的时候,封建社会正在同当时革命的资产阶级进行殊死的斗争”。到了19世纪末20世纪初,社会主义理论与资产阶级意识形态之间的斗争,是日益壮大的无产阶级与资产阶级之间斗争在思想和文化上的反映。这正如恩格斯所说:“社会主义现在已经不再被看做某个天才头脑的偶然发现,而被看做两个历史地产生的阶级无产阶级和资产阶级间斗争的必然产物。”

二、统治阶级思想占统治地位

                在划分为阶级的社会中,不同的阶级由于其阶级利益的差异形成不同的政治文化。不同政治文化在社会中所处的地位,是由其所代表的阶级的地位决定的。统治阶级的政治文化在不同阶级政治文化中占据统治地位,这在每一时代,每一国家都是如此。马克思和恩格斯分析指出:“统治阶级的思想在每一时代都是占统治地位的思想。这就是说,一个阶级是社会上占统治地位的物质力量,同时也是社会上占统治地位的精神力量。···占统治地位的思想不过是占统治地位的物质关系在观念上的表现,不过是以思想的形式表现出来的占统治地位的物质关系:因而,这就是那些使某一个阶级成为统治阶级的各种关系的表现,因而这也就是这个阶级的统治的思想”

                统治阶级的思想对于社会的统治力量是随着统治阶级的统治地位的获得而获得的。统治阶级把代表自身利益的思想置于统治地位,不仅是它们的阶级地位决定的,而且也是它们进行有效的政治统治的要求。阶级社会的历史发展一再证明,任何阶级的政治统治,都离不开思想统治,即意识形态的统治。意识形态的统治是统治阶级用表达自己利益与意志的思想对全社会的统治。但是当统治阶级尚未取得统治地位之前,代表它们利益的思想也仅仅作为一种阶级思想而存在。尽管后来随着它们统治地位的获得,这种阶级思想也上升为统治阶级思想,但这并不等于它即刻就具有了政治统治所需要的意识形态与统治的功能,即对全社会思想进行统治的功能。历史事实表明:统治阶级思想统治全社会的功能是在统治阶级获得与巩固统治地位这一历史过程中逐步获得的。在这过程中,每一个试图取得统治的阶级,都要进行两项必要的工作:一是把本阶级的利益和反映这利益的思想上升为普遍利益和普遍思想;二是将本阶级的思想作为新思想与代表旧统治阶级利益的思想相对抗,并最终将其涤除。

                前面的分析已经表明,不同阶级的政治文化是阶级利益决定的,政治文化与阶级利益是不能割裂开来的。这意味着一个被统治阶级或试图取得统治地位的阶级的思想,在它们的最初都只有阶级意义。但是,一个试图取得统治地位的阶级在与现存的统治阶级对抗时,必须得到社会全体成员的支持与认同,否则,就很难在对抗中获胜。为此,它首先要使代表自己意志和利益的思想、愿望、理想、原则及至一些口号,得到社会全体成员的认同与响应。要做到这一点,它必须把本阶级的利益上升为社会的“共同利益”,相应地赋予自己的思想以普遍性的形式,从而使本阶级俨然以全社会代表的身份,以全体群众的姿态反对惟一的统治阶级。正是在这样的过程中,试图取得统治地位的阶级才逐渐使代表本阶级利益的思想获得指导全社会的意识形态形式。当统治阶级获得统治地位时,它也就成了对全社会进行统治的意识形态。马克思和恩格斯认为,试图取得统治地位的阶级之所以能这样做,“是因为它的利益在开始时的确同其余一切非统治阶级的共同利益还有更多的联系,在当时存在的那些关系的压力下还来不及发展为特殊阶级的特殊利益。因此,这一阶级的胜利对于其他未能争得统治的阶级中的许多个人说来也是有利的,但这只是就这种胜利使这些个人有可能上升到统治阶级行列这一点讲的”。

                既然试图取得统治地位的阶级是以全社会的代表身份与旧的统治对抗,那么,它在试图推翻旧的统治的同时,还要摧毁与旧的统治相适应的旧的意识形态,并代之以新的意识形态。因此,伴随着新旧之间的阶级斗争,必然有新旧思想和新旧文化之间的斗争。新的阶级要获得统治,并巩固统治,它就必须使自己的思想在这种斗争中获胜,并尽力清除旧的思想意志的影响。只有在这种斗争中,新阶级的思想才能获得指导全社会的意识形态形式;并在取得统治地位后,获得意识形态统治的功能。正因为如此,所以“资产阶级在它已经取得了统治的地方把一切封建的、宗法的和田园诗般的关系都破坏了。···它把宗教的虔诚、骑士的热忱、小市民的伤感这些情感的神圣激发,淹没在利已主义打算的冰水之中。它把人的尊严变成了交换价值,用一种没有良心的贸易自由代替了无数特许的和自力挣得的自由。总而言之,它用公开的、无耻的、直接的、露骨的剥削代替了由宗教幻想和政治幻想掩盖着的剥削“

                就具体思想统治而言,统治阶级思想对社会的统治,是通过一定的物质基础和思想的生产者实现的。马克思和恩格斯指出:“支配着物质生产资料的阶级,同时也支配着精神生产的资料,因此,那些没有精神生产资料的人的思想,一般地是受统治阶级支配的。”统治阶级对精神生产资料的支配,使得它能随心所欲地创造,表达自己的思想,使得它有可能运用所有的手段把自己的思想传播到社会的每一角落,灌进每一个人的思想;使得它能够按照本阶级的意志,用本阶级的思想与要求去塑造“合格”的社会成员的情感与态度,以利于阶级统治。因此,统治阶级思想对社会统治,正是依靠了统治阶级对精神生产资料的支配与运用

                统治阶级思想对社会的统治,除了依赖统治阶级对精神的生产资料的支配外,还有赖于统治阶级借助这些精神生产资料所进行的思想生产。任何统治阶级为了维护自身的统治,都必须成为思想的生产者,都必须不断地生产自己的思想、理论、观念,并借此来规范和决定整个社会和时代。马克思和恩格斯指出:“构成统治阶级的各个个人也都具有意识,因而他们也思维;既然他们正是作为一个阶级而进行统治,并且决定着某一个历史时代的整个面貌,不言而喻,他们在这个历史时代的一切领域中也会这样做,就是说,他们还作为思维着的人,作为思想的生产者而进行统治,他们调节着自己时代的思想的生产和分配;而这就意味着他们的思想是一个时代的占统治地位的思想。”对此,马克思和恩格斯予以举例说明。他们认为,如果在某国的某个时期,王权、贵族和资产阶级分享统治,那么在那里占统治地位的思想就会是关于分权的学说:而且为了各自的阶级利益,人们都会把分权当作“永恒的规律”来谈论

                任何统治阶级的思想生产,都不是由整个阶级来进行的,而是通过统治阶级的思想家来进行。在马克思主义看来,这些思想家为统治阶级所进行的思想生产,只不过是从理论上把以观念形式表现在法律、道德等等中的统治阶级的存在条件变成某种独立自在的观念形态,从而使这些观念形态在形式上与实际的统治阶级的利益分离,以抽像的形式成为统治阶级用以反对被压迫阶级的个人的生活准则;另一方面,思想家们还将使这些观念形态灌人统治阶级的每个人的意识,使他们在自身的意识中把观念形态与所侣导的东西设想为某种使命。很显然,统治阶级思想家的这种思想的生产,不仅决定了统治阶级政治文化的总体精神原则和表现形态:而且借助统治阶级的政治力量和经济力量,还规范或决定了其他阶级的政治文化的基本取向,从而使整个社会的政治生活和精神生活都在由他们以抽像形式规定的,并得到统治力量支持的社会生活原则下展开。

三、无产阶级政治文化是人类思想的最高结晶

                和任何其他阶级一样,作为现代社会新生产力代表的无产阶级在革命和斗争中,也形成了自己的政治文化。由于无产阶级的性质和肩负的历史使命与历史上的所有其他阶级都有本质的不同,因此,无产阶级的政治文化包含有全新的内容。

                无产阶级政治文化是无产阶级与资产阶级进行长期斗争的过程中形成和发展起来的。它随着无产阶级从自在阶级走向自为阶级而逐渐趋于成熟。社会主义从空想到科学的发展过程已充分证明了这一点。马克思所创立的历史唯物主义和剩余价值学说的出现,是无产阶级政治文化成熟的标志。在长期的革命斗争实践中,无产阶级政治文化,不仅教育和引导了一批又一批无产阶级,而且为无产阶级革命提供了丰富的思想武器。巴黎公社、十月革命和中国的新民主主义革命,大大丰富和发展了无产阶级政治文化,使无产阶级政治文化更具有实践的指导意义

                无产阶级政治文化的性质,是由无产阶级作为一个独立的阶级存在所具有的阶级利益和担负的历史使命决定的。马克思在《资本论》的第二版序言中,以十分简洁的语言表明了无产阶级的历史使命:“这个阶级的历史使命是推翻资本主义生产方式和最后消灭阶级。”因此,无产阶级将在革命中“同传统的所有制关系实行最彻底的决裂;”“同传统的观念实行最彻底的决裂”。这两大决裂,不仅决定了无产阶级将在革命中反对现存的一切社会制度和政治制度,而且决定了在革命过程中形成的无产阶级政治文化将以全新的内容和革命的精神出现。因此,无产阶级政治文化不仅反映无产阶级运动的现在,而且它还将预示运动的未来。另外,无产阶级的阶级利益也决定了无产阶级的政治文化与其他阶级政治文化有本质不同。“过去的一切运动都是少数人的或者为少数人谋利益的运动。无产阶级的运动是绝大多数人的、为绝大多数人谋利益的独立的运动”同时,在这种运动中形成的政治文化是绝大数人利益、愿望的反映

                无产阶级政治文化形成与发展的基础有两方面:一是马克思创立的科学世界观和方法论。恩格斯指出:“马克思的唯物史观帮助了工人阶级,他证明:人们的一切法律、政治、哲学、宗教等等观念归根结蒂都是从他们的经济生活条件、从他们的生产方式和产品交换方式中引导出来的。由此便产生了适合于无产阶级的生活条件和斗争条件的世界观,和工人无财产相适应的只能是他们头脑中无幻想”无产阶级政治文化也正是以历史唯物主义为基础的。这决定了无产阶级的政治文化观与其他阶级,包括现代西方学者在行为主义基础上形成的政治文化观有本质的不同。二是无产阶级革命斗争的实践以及马克思主义者对该实践的科学总结。国际共产主义运动历史表明,无产阶级政治文化是在无产阶级不断进行的革命斗争和实践中成熟和发展起来的。每一次斗争的结局不管是失败还是胜利,已成为自为阶级的无产阶级和马克思主义者都能在科学原则指导下对斗争和运动的过程及其结果予以科学而全面的总结。这些总结,丰富和发展了无产阶级政治文化,加速了无产阶级斗争和革命经验的成熟与完善。对1849年至1850年欧洲各国工人运动的总结,马克思和恩格斯提出了。“革命是历史的火车头”,“不断革命论”,“打碎旧的国家机器”,“无产阶级专政”,“工农联盟”等重要的无产阶级革命和无产阶级专政的基本理论;对巴黎公社经验的总结,马克思提出了“社会共和国”这一新的政治形式。列宁对帝国主义与无产阶级革命运动的历史总结和现实分析,提出了“一国胜利”的理论。毛泽东把马克思主义与中国革命的具体实践相结合,提出了“走农村包围城市道路”,“变旧民主主义革命为新民主主义革命”的战略思想。无产阶级政治文化,正是由于这些丰富的斗争经验以及对经验的科学总结,才形成了一个完整的思想理论体系和统一的精神原则。

                无产阶级政治文化是一种先进的政治文化,这不仅是因为该文化所代表的阶级是新的生产力的代表,具有充分的先进性和革命性,而且是因为该文化是人类历史上最优秀的思想和文化成果的总结与继承,是对社会发展运动所作的科学反映与预见。列宁指出:“无产阶级文化并不是从天上掉下来的,也不是那些自命为无产阶级文化专家的人杜撰出来的,如果认为是那样,那完全是胡说。无产阶级文化应当是人类在资本主义社会、地主社会和官僚社会压迫下创造出来的全部知识合乎规律的发展。”社会主义是无产阶级的思想体系,“就其理论形式来说,它起初表现为十八世纪法国伟大启蒙学者所提出的各种原则的进一步的、似乎更彻底的发展”。马克思主义是无产阶级思想体系的核心。马克思主义在其形成和发展过程中,也并没有抛弃资产阶级时代最宝贵的成就,如德国的哲学,英国的政治经济学和法国的空想社会主义等,相反,吸收和改造了两千多年人类思想和文化发展中一切有价值的东西。因此,如果说无产阶级政治文化是对眼前的和未来的历史发展作客观的反映使自身获得坚实的现实基础的话,那么无产阶级政治文化,尤其是作为其核心的马克思主义,对人类思想和文化发展的一切有价值东西的吸收和继承,则使其获得了最高的基点。

                和世界上的任何其他阶级的政治文化一样,无产阶级政治文化也有自己明确的社会理想及政治理想,这就是实现人类彻底解放的共产主义。马克思主义认为,共产主义在全世界的实现是历史发展的必然。共产主义作为一种社会形态出现,还需经历一个很长时间的奋斗过程,但作为消灭现存的状况,实现人类最后解放的运动,共产主义却是十分现实的。作为无产阶级社会和政治理想的共产主义的主要精神,就是消灭现存的状况,实现人类最终的解放。马克思和恩格斯早就明确指出:“共产主义对我们说来不是应当确立的状况,不是现实应当与之相适应的理想。我们所称为共产主义的是那种消灭现存状况的现实的运动。这个运动的条件是由现有的前提产生的。”运动的最终目标是:推翻一切旧的生产关系和交换关系的基础;将一直统治着历史的客观的异已的力量置于联合起来的个人的支配;以自由人的联合体代替存在若阶级和阶级对立的旧社会。可见,无产阶级政治文化所包含的理想,既是理想的,也是现实的。由于它直接指导着现实的无产阶级革命运动,在这运动中,无产阶级将同传统的所有制关系和传统的观念实行最彻底的决裂,所以,它不是幻想,而是行动的指南。它将决定无产阶级革命和斗争中的具体的思想、观念、理论的选择和形成。

第三节政治文化兼有现实性和历史继承性

                一、政治文化具有历史继承性

                人是政治文化的主体,是政治文化的生产者和承受者。人是在社会生产和社会实践活动中形成自己的思想和观念的。人们的社会生产和社会实践活动不仅决定人们的意识形态,而且也决定人类社会的历史发展。因而,马克思主义把人的社会生产和社会实践看作是一种历史活动,正如马克思所说,生产物质生活本身就是人们仅仅为了能够生活就必须每日每时都要进行的一种历史活动,人们的思想意识也正是在这种历史活动中形成和发展的。正是在这个意义上,马克思和恩格斯认为,“意识形态本身只不过是人类史的一个方面”2

                人们的物质生活的生产,在不断满足自身生存和生活的基本需要的同时,也在不断地创造自己的历史。尽管人们在创造自己历史的活动中所采取的都是有意识的,经过思虑、富有激情的并有自己目的的行动,但是人们并不是随心所欲地创造自己的历史,相反,人们都是在一定的前提下创造自己的历史。马克思指出:“人们自己创造自己的历史,但是他们并不是随心所欲地创造,并不是在他们自己选定的条件下创造,而是在直接碰到的、既定的、从过去承继下来的条件下创造。”这表明,历史上的每一代人在创造自己的时候,“都遇到有一定的物质结果、一定数量的生产力总和,人和自然以及人与人之间在历史上形成的关系,都遇到有前一代传给后一代的大量生产力,资金和环境”,其中自然还包括前一代人的思想、观念和传统。当然,人们现实的社会生产和实践将会改变从历史上、从前代人那里承继下来的生产力、资金和环境;但另一方面应该看到,当人们承继了这一切,并在这基础上进行新的历史活动时,人们也不得不接受这一切预先给他们规定的生活条件,而这些生活条件在为新一代发展提供一定的基础的同时,也赋予了新一代发展以特殊的性质。

                这种历史运动过程表明:人创造环境,同样环境也创造人。就人作为思想、观念的生产者在历史上的活动来看,人与文化的关系,就像人与环境的关系一样,即人创造文化,同样文化也塑造人。从历史上承继下来的思想、观念和传统,将对新一代的思想、观念形成产生影响,尽管这种影响不是决定性的。恩格斯指出:“我们自己创造着我们的历史,但是第一,我们是在十分确定的前提和条件下进行创造的。其中经济的前提和条件归根结底是决定性的。但是政治等等的前提和条件,甚至那些存在于人们头脑中的传统,也起着一定的作用,虽然不是决定性的作用。”因此,任何时代人们的思想观念,不仅是对这个时代物质经济生活的反映,而且也包含了历史上或前一代人的思想观念的继承和发挥。从这个意义上讲,任何时代的政治文化,不仅具有现实性,而且也必然具有其历史继承性

                政治文化的历史继承性,是通过人的历史活动来实现的。人是政治文化的创造者,同时也是政治文化的承受者。作为政治文化的承受者,人们不仅要受特定的政治文化的影响,而且在自身的历史活动中传递和延续着特定政治文化。任何社会的政治文化在通过该社会成员一代又一代的历史活动而得以延续和发展的过程中,必然会沉淀出对该社会发展起内在影响作用的特定的民族精神、民族心理和风俗习惯。由于各社会发展的起点,所面临的自然环境以及自身的结构方式不同,因此,各社会在发展过程中形成的、并对自身产生内在影响的民族精神、民族心理和风俗习惯,必然存在着不同程度的差异,这种差异决定了不同社会、不同民族的政治思想、观念的发展和选择是不同的。所以,伴随着政治文化历史继承性的是政治文化的民族性。马克思和恩格斯在分析欧洲社会思想发展的历史时意识到了民族性问题。他们说:“法国唯物主义和英国唯物主义的区别是与这两个民族的区别相适应的。法国人赋予英国唯物主义以机智,使它有血有肉,能言善辩。他们给它以它过去所没有的气概和优雅风度。他们使它文明化了。”恩格斯在分析德国工人为什么使欧洲其他国家的工人,能接受科学社会主义理论时,也认为其中的一个重要原因是德国人属于欧洲最有理论修养的民族。

                就政治文化本身来说,政治文化的承继性,要求我们要把任何社会政治文化的发展,看作是在历史上形成的思想和文化的继承或扬弃的基础上的发展,看作是受一定思想和文化背景制约和影响的发展。列宁正是以这样科学的态度来看待马克思主义的。他说:“哲学史和社会科学史已经十分清楚地表明:在马克思主义里绝没有与‘宗派主义’相似的东西,它绝不是离开世界文明发展大道而产生的固步自封、僵化不变的学说。恰恰相反,马克思的全部天才正在于他回答了人类先进思想已经提出的种种问题。他的学说的产生正是哲学、政治经济学和社会主义的最伟大代表的学说的直接继续。”因此,在马克思主义看来,分析和研究任何形态的政治文化,就像不能把作为观念形态的马克思主义从其形成和发展的历史继承与扬弃过程中抽像出来一样,把各种政治文化从其发展的内在历史环节中抽像出来。如果那样,不仅无法真正理解一种政治文化的内在精神和生命力,而且也无法把握一种政治文化发展的必然趋向。

                伴随着政治文化历史继承性而来的政治文化的民族性,决定了任何社会、任何民族的政治文化在新时代的选择和发展,都在不同程度上受到了该社会或该民族所具有的民族精神、民族心理和风俗习惯的规约和影响。在历史悠久、文化古老的国度和在传统势力比较强大的社会,这种规约和影响的力量相对就大些。同时,这也意味着一个社会或民族的政治文化要完全嫁接到另一个社会或民族上也是不可能的。因此,马克思主义的政治文化观反对民族虚无主义。这与现代西方政治学者所持的政治文化观形成了鲜明对照。由于西方政治学者把政治文化从其他国家、民族和历史的关系中抽像出来研究,所以他们的政治文化观带有浓烈的民族虚无主义。他们在比较、分析和归纳世界上各种形态政治文化时,往往无视或否认各种政治文化所包含的民族气质、民族精神、民族心理的差异及其影响,轻视作为历史产物的政治文化所包含的传统文化因素。结果,他们就把通过抽像出来的政治文化表层结构的比较所归纳出来的政治文化模式(如阿尔蒙德对世界各国政治文化的三种分类:地区政治文化;臣属政治文化;参与政治文化)。作为分析世界各国政治现像的依据,并且赋予代表他们社会的政治文化模式以最高的价值形态,从而具有世界和历史的意义。这种政治文化观是错误的,其实质是西方资本主义社会根本利益的反映。它根本不能揭示各政治文化与其所适应的各社会的政治生活之间的内在作用关系及其规律。

二、现实性与历史继承性是统一的

                现实生活中的人们,都在不断地生产自己的思想、观念和理想。但是他们的生产不是随心所欲的,不仅要受到现实条件的限制,而且要受到他们所承继的历史条件的限制。因此,任何社会的人们在其所处的现实状况中,为了一定的目的选择和发展他们的政治文化时,都必然要遇到历史上的或上一代人留下的政治传统,政治思想和未实现的政治理想,即传统政治文化,这正像马克思所说的:“一切已死的先辈们的传统,像梦魔一样纠缠着活人的头脑。”于是,现实生活中的人们在选择和发展自身的政治文化时,就必然会遇到如何对待传统政治文化这一重要问题。马克思主义认为,剥削阶级和无产阶级,由于各自的阶级性质不同,因而在如何对待传统政治文化的问题上,有很大的不同

                在《共产党宣言》中有这样一段话:“到目前为止的一切社会的历史都是在阶级对立中运动的,而这种对立在各个不同的时代是各不相同的。但是,不管这种对立具有什么样的形式,社会上一部分人对另一部分人的剥削却是过去各个世纪所共有的事实。因此,毫不奇怪,各个世纪的社会意识,尽管形形色色,千差万别,总是在某种共同的形式中运动的,这些形式,这些意识形式,只有当阶级对立完全消失的时候才会完全消失。”这段话表明一个重要观点:在无产阶级掌握政权、消灭剥削阶级、确立社会主义社会之前的社会意识形式,与社会主义社会的社会意识形式是完全不同的。尽管马克思和恩格斯没有十分明确地描绘出“某种共同的形式”,但是我们从他们对阶级社会意识形态本质的揭示中,还是可以看出这“某种共同形式”的方式和过程的

                马克思主义认为,任何社会政治意识都是阶级利益的反映,任何一个时代的统治思想始终都不过是统治阶级的思想。以往的统治阶级思想都是代表本阶级少数人的利益,为了使它们的思想成为统治全社会的力量,它们不得不把自己的利益上升为“普遍的社会利益”,把自己的思想描绘成唯一合理的,有普遍意义的思想,并赋予普遍的形式。为了实现这一日的,它们采用的一个基本手段就是借助传统的力量。主要方法有两种:一是赋予传统的价值观念以永恒性,尽管这些价值观念的实际内含在新的社会条件下已发生了根本性的变化。例如资产阶级把自由,平等、博爱、正义等这些传统的价值观念看作社会发展的一切阶段所共有的永恒真理,在用这些传统的价值观念表达本阶级的思想的同时,实现本阶级的利益。恩格斯指出:平等的观念,无论以资产阶级的形式出现,还是以无产阶级的形式出现,本身都是一种历史的产物,这一观念的形成,需要一定的历史关系,而这种历史关系本身又以长期的以往的历史为前提。所以这样的平等观念什么都是,就不是永恒的真理。二是借助传统思想为取得统治地位鸣锣开道。马克思认为在法国和英国的资产阶级革命中,资产阶级都采取了同样的方法。在法国,“在罗马共和国的高度严格的传统中,资产阶级社会的斗士们找到了为了不让自己看见自己的斗争的资产阶级狭隘内容,为了要把自己的热情保持在伟大历史悲剧的高度上所必需的理想、艺术形式和幻想。”但当它们能安心地埋头于财富的创造与和平竞争时,也就忘记了古罗马的幽灵曾经守护过它们的摇篮。在英国,“克伦威尔和英国人民为了他们的资产阶级革命,就借用过旧约全书的语言、热情和幻想。当真正的目的已经达到,当英国社会的资产阶级改造已经实现时,洛克就排挤了哈巴谷”。因此,马克思总结说:“在这些革命中,使死人复生是为了赞美新的斗争,而不是为了勉强模仿旧的斗争;是为了提高想像中的某一任务的意义,而不是为了回避在现实中解决这个任务;是为了再度找到革命的精神,而不是为了让革命的幽灵重新游荡起来。“

                从剥削阶级社会的社会意识在某种共同形式中运动的方式和过程中,人们不难看出,传统的思想与精神及其方式,是剥削阶级掩饰其阶级利益的外衣,是实现其政治统治的工具。因此,尽管它们所要表达的新的政治观念、思想和理想与传统的旧思想、旧观念有很大的不同,但它们还是要保留一些传统的形式,甚至是一些内容。认清了这一点,人们也就不难理解为什么现代西方资本主义社会政治生活和政治文化中,还有许多值得它们像保护出土文物似的保护着的一些传统的政治形式和政治观念

                和以往的剥削阶级不同,无产阶级在革命中所要实现的利益,不是少数人的利益,而是社会绝大多数人的利益;而且无产阶级所处的社会地位,以及所担负的历史使命,决定了无产阶级在革命中没有什么自己的东西必须加以保护,相反,他们必须摧毁至今保护和保障私有财产的一切。无产阶级的历史使命是消灭一切剥削阶级,直至最后消灭阶级。所以,无产阶级必须同以往确立在阶级剥削和压迫基础上的传统的社会政治观念实行最彻底的决裂。但是,这并不等于无产阶级要将自身同以往的历史完全割裂开来,并全面抛弃和否定传统。相反,无产阶级在自身发展过程中,将在全面扬弃传统思想和文化的基础上,积极吸收人类思想和文化发展中的一切优秀成果。列宁指出:“马克思主义这一革命无产阶级的思想体系赢得了世界历史性的意义,是因为它并没有抛弃资产阶级时代最宝贵的成就,相反地却吸收和改造了两千多年来人类思想和文化发展中一切有价值的东西。只有在这个基础上,按照这个方向,在无产阶级专政(这是无产阶级反对一切剥削的最后的斗争)的实际经验的鼓舞下继续进行工作,才能认为是发展真正无产阶级的文化“

                毛泽东也完全承认文化的历史继承性,并且和列宁一样都认为无产阶级文化的发展,应实现文化的历史继承性和文化的现实性的统一。毛泽东说:“今天的中国是历史的中国的一个发展;我们是马克思主义的历史主义者,我们不应当割断历史。从孔夫子到孙中山,我们应当给以总结,承继这一份珍贵的遗产。这对于指导当前的伟大的运动,是有重要的帮助的。”在如何继承问题上,毛泽东明确指出:“清理古代文化的发展过程,剔除其封建性的糟粕,吸收其民主性的精华,是发展民族新文化提高民族自信心的必要条件;但是决不能无批判地兼收并蓄。必须将古代封建统治阶级的一切腐朽的东西和古代优秀的人民文化即多少带有民主性和革命性的东西区别开来。”

                总结以上的分析可以看出,无产阶级在如何实现政治文化的现实性与历史继承性的结合问题上与其他剥削阶级的根本不同之处在于:无产阶级绝不利用,也没有必要利用传统的政治观念和政治形式来表达现实的政治要求,实现现实的政治利益与政治统治;相反,无产阶级要同一切传统的观念决裂。与此同时,无产阶级将积极吸收历史上的优秀文化遗产,并将其用于推动无产阶级政治文化的丰富和发展

三、政治文化随社会发展而发展

                任何社会政治文化都是现实性与历史继承性的结合。历史继承性决定了政治文化的发展不能逃离历史发展的内在规定性;现实性则决定了政治文化的发展是随着一定现实社会生活的发展而发展的。

                历史唯物主义基本原理表明:人们按照自己的物质生产的发展建立相应的社会关系,又按照这种社会关系创造了相应的原理、观念和范畴。因此,人们的思想、观念,即人们的意识,是随着决定人们意识的现实的生活条件、社会关系以及存在方式的变化而变化的。马克思恩格斯指出:“随着每一次社会制度的巨大历史变革,人们的观点和观念也会发生变革。”

                既然是人们的现实生活决定人们的意识,那么人们的意识存在就失去了其独立性的外观。因此,马克思和恩格斯认为,人们的意识是不能自己发展的,因而也就没有自己的历史。人们的意识的发展和历史,只不过是现实社会生活发展和历史的反映。“它们没有历史,没有发展;那些发展着自己的物质生产和物质交往的人们,在改变自己的这个现实的同时也改变着自己的思维和思维的产物。”因此,马克思主义对政治文化的发展问题,得出两个基本的看法

                第一,一定历史时期的社会政治意识应由这时期的社会物质经济生活条件来说明。马克思在批判蒲鲁东的形而上学的政治经济学时,对这问题作了生动的阐述。马克思说:“每个原理都有其出现的世纪。例如,与权威原理相适应的是十一世纪,与个人主义原理相适应的是十八世纪。推其因果,我们应当说,不是原理属于世纪,而是世纪属于原理。换句话说,不是历史创造原理,而是原理创造历史。但是,如果为了顾全原理和历史我们再进一步自问一下,为什么该原理出现在十一世纪或者十八世纪,而不出现在其他某一世纪,我们就必须要仔细研究一下:十一世纪的人们是怎样的,十八世纪的人们是怎样的,在每个世纪中,人们的需求、生产力、生产方式以及生产中使用的原料是怎样的;最后,由这一切生存条件所产生的人与人之间的关系是怎样的。”马克思在这里所表达的意思十分明确,权威原理和个人主义原理之所以分别在11世纪、18世纪出现,主要是因为这两个原理只不过是这两个世纪人们的现实社会的物质生产和生活的要求在社会意识领域的必然反映。因此,恩格斯在表述马克思这一基本思想时说:“在历史上出现的一切社会关系和国家关系,一切宗教制度和法律制度,一切理论观点,只有理解了每一个与之相应的时代的物质生活条件,并且从这些物质条件中被引伸出来的时候,才能理解。“

                第二,既然社会政治意识都是历史的产物,都是历史地反映社会现实的存在状况,那么社会政治意识所包含的原理、观念、思想和理论都不是永恒的,都只是“历史的暂时的产物”。因此,马克思主义始终认为任何社会政治意识所含的一切观念,都不是永恒的真理,都只是现实的反映,因而也都必然要随着现实社会的变化而发生变化

                以上分析表明,从根本上讲,任何社会政治文化的发展都是基于现实社会生产和社会关系的发展与变化。这对于政治文化的实际发展而言,就意味着人们在推动一个社会政治文化发展时,除了要考虑政治文化本身的历史继承性外,也不能忽视新的政治发展所基于的社会现实状况。如果忽视了现实基础,那么这种发展最终将成为无源之水,无根之木。毛泽东在新中国成立之前,就充分意识到了这一问题。他说:“我们要革除的那种中华民族旧文化中的反动成分,它是不能离开中华民族的旧政治和旧经济的;而我们要建立的那种中华民族的新文化,它也不能离开中华民族的新政治和新经济。中华民族的旧政治和旧经济,乃是中华民族的旧文化的根据;而中华民族的新政治和新经济,乃是中华民族新文化的根据。”毛泽东的这一思想充分体现了历史唯物主义的精神。政治文化对社会和政治发展具有一定的反作用,所以把握政治文化发展所基于的现实基础,从而推动政治文化朝着正确的方向发展,不仅关系到政治文化发展本身;而且关系到整个社会和政治的发展。

第四节政治文化发展不一定与社会发展同步

                一、政治文化保持相对独立性

                从根本上讲,任何社会、任何时代的政治文化,都是由该社会、该时代的现实社会生产条件决定的,并随着这种条件的变化而变化。因此,政治文化不具有独立性的外观,即它不能独立地存在与发展。但是,尽管政治文化最终要随决定它的社会生产条件的变化而变化,然而,这种变化往往是不同步的,要么超越现实社会发展,要么落后现实社会发展。从这个意义上讲,政治文化在随现实社会发展而发展的过程中,又具有相对的独立性。政治文化的相对独立性,并不是来源于作为观念形态的政治文化本身,而是来源于政治文化所适应的那种政治形式的相对独立性和政治文化生产者生产其思想观念的过程和特性。

                首先,政治形式的相对独立性决定了与之相适应的政治文化的相对独立性。政治形式是上层建筑,受经济基础决定,因此,从根本上讲,任何社会政治形式必然要随决定它的社会生产条件的变化而变化。但是,作为应社会发展和社会内部调控需要而产生的政治形式,即国家制度,一产生就具有相对的独立性,从而决定了政治形式在适应社会生产发展过程中的作用。对于国家制度的相对独立性如何产生,恩格斯从社会内部分工的角度作了解释。他说,社会生产着它所不能缺少的某些共同职能,被指定去执行这种职能的人,就形成社会内部分工的一个新部门。这样,他们就获得了也和授权给他们的人相对立的特殊利益,他们在对这些人的关系上成为独立的人,于是就出现了国家。这种新的独立的力量总的说来固然应当尾随生产的运动,然而它由于它本来具有的、即它一经获得便逐渐向前发展了的相对独立性,又反过来对生产的条件和进程发生影响。恩格斯进一步认为,当国家制度产生并被某一阶级所掌握,直接为实现这一阶级利益服务时,国家制度也就愈加独立了。政治形式的相对独立性,就使得政治形式在随社会生产发展的过程中,与社会发展往往是不同步。因此,恩格斯指出:“社会的政治结构决不是紧跟着社会的经济生活条件的这种剧烈的变革发生相应的改变。当社会日益成为资产阶级社会的时候,国家制度仍然是封建的。”社会政治形式的相对独立性以及由此产生的与社会发展的不同步性,决定了与一定社会政治形式相适应的政治文化,在适应社会发展过程中,具有一定的相对自主性。

                其次,政治文化的生产者的生产特性与生产过程,决定了政治文化在适应社会发展过程中的超前性与滞后性。人是政治文化的生产者,这种生产是人对现实作能动反映的基础上进行的,反映的能动性赋予文化生产以相对自主性。人对现实的能动反映,所形成的思想、观念,除了取决于现实社会所展现的场景外,还取决于人自身对现实社会的状况及其发展规律的把握与理解,取决于人参与社会生活所要实现的利益与理想。这样,人对现实社会反映所形成的思想观念,就可能有三种取向,保守的、现实的和理想的。人们的观念取向,就直接影响政治文化在适应社会发展过程中是超前的,还是滞后的。一般来说,把政治文化作为社会文化意识的一个组成部分看来,政治文化在总体上往往落后于社会存在,因为“人的思想跟不上事变的进程”。这可以从人对现实的反映需要一个过程这一点得到说明。但是,人对现实反映的能动性,使得人有可能根据对社会发展规律的能动把握,超前表达或预测社会和政治发展的新的可能或新的取向。当这种表达与预测所形成的思想成为政治文化的发展的引导性力量时,政治文化相对于社会发展就是超前的了。

                上述两大方面的因素,决定了政治文化相对于社会发展而言。具有相对的独立性。政治文化的相对独立性是政治文化对社会政治发展产生反作用的必要条件。没有相对独立性,也就没有反作用,这是辩证的。政治文化对社会政治发展反作用的程度和性质,自然取决于在这种相对独立性中,政治文化所表现出的倾向。一般来说,任何社会的政治文化,都不可能是单一的,即要么纯粹是落后的,要么纯粹是先进的,往往是两种倾向并存,关键取决于哪一种倾向占主导地位。列宁曾经说过:“每个民族的文化里面,都有一些哪怕是还不大发达的民主主义和社会主义的文化成分,因为每个民族里面都有劳动群众和被剥削群众,他们的生活条件必然会产生民主主义的和社会主义的思想体系。但是每个民族里面也都有资产阶级的文化(··),而且这不仅是一些‘成分”,而是占统治地位的文化。”

                政治文化的相对独立性,在一定程度上使得政治文化发展具有自身的内在逻辑。恩格斯承认这种内在逻辑。他说:“任何意识形态一经产生,就同现有的观念材料相结合而发展起来,并对这些材料作进一步的加工;不然,它就不是意识形态了,就是说,它就不是把思想当做独立地发展的,仅仅服从自身规律的独立本质来处理了。”这种内在逻辑,一方面通过政治文化的历史继承性得到体现,这在前面已作分析;另一方面,则是在政治文化与现实社会间的交互作用中得到体现。尽管政治文化最终是由现实社会生产条件决定的,但是其形成过程不是简单的被决定过程,而是与现实社会交互作用的过程。在这过程中,社会选择文化,文化影响社会,社会促进文化,循环反复,直接相互适应。恩格斯认为,历史是在以经济状况为基础上的包括各种政治、法律制度和各种政治、法律、哲学、宗教等理论在内的各种各样因素交互作用中发展的。在他看来,如果否认交互作用,那么“把理论应用于任何历史时期,就会比解一个最简单的一次方程式更容易了”。既然历史发展是在以经济为基础的各种因素交互作用中发展,那么,政治文化的发展也就不是简单的被决定过程或任意地选择确定过程,而是它与社会交互作用的过程。在交互作用中,政治文化不仅形成了自身发展所需的现实起点和逻辑起点,而且形成了自身发展所特有的内在价值取向。无产阶级政治文化也正是在作为这种文化指导思想的马克思主义不断与具体实践相结合,并对实践经验进行科学总结基础上形成和发展起来的。政治文化发展的这种内在逻辑性表明:政治文化的发展不是机械的,而是能动的,它是在与社会不断交互作用中发展和变化的。因此,要推动一个社会的政治文化发展,不是简单地靠社会经济发展就能实现的,也不是靠一种先进的政治理论就能达到的,这需要思想、观念、理论与社会现实的交互作用。

二、政治文化存在超前性与预见性

                政治文化的相对独立使得政治文化的发展具有自身的内在逻辑,也正是基于这种内在逻辑,政治文化相对于社会发展具有超前性。历史继承性是政治文化发展内在逻辑的一个重要体现。恩格斯从思想的历史继承性,得出了经济上落后的国家在哲学上仍然能够演奏第一提琴的诊断。他说:“每一个时代的哲学作为分工的一个特定的领域,都具有由它的先驱者传给它而它便由以出发的特定的思想资料作为前提。因此,经济上落后的国家在哲学上仍然能够演奏第一提琴:十八世纪的法国对英国(而英国哲学是法国人引为依据的)来说是如此,后来的德国对英法两国来说也是如此。但是,不论在法国或是在德国,哲学和那个时代的文学的普遍繁荣一样,都是经济高涨的结果。”在这里,恩格斯不仅表明了思想文化具有超前性,而且说明了这种超前性的实质,其中包含了两个重要观点:

                第一,超前的思想文化并非主观臆想的产物,而是思想文化按自身内在逻辑发展的结果。在这种发展中,前人的思想资料是形成思想文化超前于社会发展的重要基础。从具体形式看,思想文化的超前,首先表现为思想家们思想的超前,但这种超前并非主要是思想家们的功劳,因为“历史思想家(历史在这里只是政治的法律的、哲学的、神学的——总之,一切属于社会而不仅仅属于自然界的领域的集合名词)在这一科学部门中都有一定的材料,这些材料是从以前的各代人的思维中独立形成的,并且在这些世代相继的人们的头脑中经过了自己的独立的发展道路。当然,属于这个或那个领域的外部事实作为并发的原因也能给这种发展以影响···”。因此,当历史上的思想资料的积累足以使现实的思想家形成超越社会发展所提供的可能的思想时,这个社会的思想文化,就可能超前于社会发展

                第二,一个社会的思想文化虽然能超前于这个社会发展所提供的可能,但不能超越这个社会所处时代所提供的可能。马克思在分析德国思想超越德国社会发展时指出:“如果说,思辨的法哲学,这种关于现代国家(它的现实还是彼世,虽然这个彼世不过只在莱茵河彼岸)的抽像的、脱离生活的思维只在德国才有可能产生,那末反过来说,德国人之所以有可能从现实人抽像出现代国家的思想形像,也只是因为现代国家本身是从现实人抽像出来的,或者只是幻想地满足整个的人。德国人在政治上考虑过的正是其他国家做过的事情。德国是这些国家理论上的良心。”因此,马克思说:“德国的法哲学和国家哲学是唯一站在正统的当代现实水平上的德国历史。”这就说明,德国的法哲学和国家哲学,从根本上讲,也只不过是那个时代发展的反映,只是这种反映超越了思想家所处的国度,直接把握时代的发展。

                从上述两个观点可以看出:思想文化的超前发展,并不仅仅因为前人的思想材料为这种发展提供了可能,更重要的是这种思想文化本身直接把握并反映了现实社会发展的最新可能和必然前景。从这个意义上讲,真正超前的思想文化,必然是具有预见性的。这种超前的,具有预见性的思想文化,正是形成于对现实社会的最深刻的研究与把握之中。因此,思想文化的超前性与预见性取决于两方面:首先是思想文化所试图把握的现实社会的成熟程度,这是形成能有效地预测并推动社会进步的超前的思想文化的条件。众所周知,资产阶级社会关系不成熟,是18世纪末到19世纪初的社会主义学说带有空想性质的重要原因。恩格斯指出:“空想社会主义者之所以是空想主义者,正是因为在资本主义生产还很不发达的时代他们只能是这样。他们不得不从头脑中构思出新社会的轮廓,因为这些轮廓在旧社会本身中还没有普遍地明显地表现出来,他们之所以限于为自己的新建筑的基本特征向理性求助,正是因为他们还不能求助于同时代的历史。”其次是思想文化本身对社会发展的总趋势的把握程度,把握得愈全面、准确,思想也就愈深刻,愈具有预见性。马克思主义的成功,正是在于它在历史唯物主义基础上,全面、准确地把握了人类社会发展的基本规律。列宁在回答马克思有什么根据可以谈论共产主义的未来问题时认为:这里的根据就是,共产主义是从资本主义产生的,它在历史上是从资本主义发展起来的,它是资本主义产生的那种社会力量发生作用的结果。马克思丝毫不制造乌托邦,不想凭空猜测无法知道的事情。马克思提出共产主义的问题正像自然科学提出某一新的生物变种的发展问题一样,因为我们已经知道,这一变种是怎样产生以及朝着哪个方向演变的。

                超前的思想文化,将对现实社会的政治发展产生积极的反作用。这种反作用基于两方面事实:一是超前的思想文化能够在一定程度上预见社会的发展趋势。正确的预见,将给社会发展指明正确的道路。恩格斯在总结马克思的历史唯物主义对资本主义社会分析所展现的革命前景时说:“只要进一步发挥我们的唯物主义论点,并且把它应用于现时代,一个伟大的,一切时代中最伟大的革命远景就会立即展现在我们面前。”二是超前的思想文化将对现实的社会政治革命起前导作用。在18世纪的法国,哲学革命是政治革命的前导。因为18世纪法国的启蒙运动,特别是法国唯物主义,不仅是反对现存政治制度的斗争,同时是反对现存宗教和神学的斗争,而且还是反对17世纪的形而上学和反对一切形而上学的斗争。当法国资产阶级在这种斗争中,形成与他们的阶级地位相适应的意识形态时,他们就开始去进行彻底的革命——法国革命

                超前的思想文化,要真正成为推动社会发展力量,并不是靠超前的思想文化本身能实现的。首先,这种思想文化要成为现实社会发展的真正需要。马克思说过“理论在一个国家的实现程度,决定于理论满足这个国家需要的程度”。但这并不意味着理论和思想应屈从于现实。理论要成为现实的需要,除理论和思想本身能准确地反映社会发展的规律与趋势并努力指导现实外,现实本身也应按理想与思想的要求,去适应理论和思想。因此,马克思说:“光是思想竭力体现为现实是不够的,现实本身应当力求趋向思想。”其次,这种思想文化应努力与现实的社会运动结合。列宁把建设社会主义的过程看作是工人阶级和全体劳动人民活生生的创造性的事业,而不是官僚主义地“执行”预定的东西。“千百万创造者的智慧却会创造出一种比最伟大的天才预见都还要高明的东西。”因此,一种超前的预见性的理论,不能停留在观念的领域,它必须走入实际,与社会运动相结合。只有凭千百万人的努力,它才能成为有生命力的具体东西,才能在一定的实际结果中,在他们的劳动和斗争中体现出来

三、政治文化具有滞后性

                政治文化的相对独立性,在可能体现为超前性和预见性的同时,也可能体现为滞后性。从人的认识过程与社会历史发展的基本规律来看,滞后性在政治文化中表现得十分普遍。

                政治文化的滞后性主要体现为社会意识落后于社会存在,落后于人们的经济地位;反映旧制度的旧思想的残余,总是长期留在人们的头脑里。1919年,列宁在谈论俄国农民时,对这种滞后性作了生动的描述:“谁在农村里呆过,谁就知道在三十年前农村中还有不少这样的老年人,他们说,“在农奴制度下要好些,规矩多,很严格,妇女穿得很朴素。如果我们现在读读乌斯宾斯基的著作,就可从80年代和90年代的描写中看到,一些纯朴正直的老农民、有时甚至一些中年人也说,在农奴制度时代要好些,旧的社会制度消灭了,但它在人们的意识中是不能一下子消灭的,还会有不少的人留恋过去”。这就表明:一种旧制度的解体,并不意味着与该制度相适应的旧的政治文化也随之即刻解体;相反,旧制度所代表时代的旧的思想、观点和价值还将保存很久,只能是逐渐消亡下去

                政治文化出现滞后性的原因,除与前面分析的政治形式的相对独立性和文化生产者生产的过程与特性有关外,还直接与传统有关。任何社会的政治文化都是在一定的历史轨迹中,并选择和继承了一定的历史文化遗产的基础上形成和发展的。因此,任何社会中政治文化中都包含有传统的因素。尽管并不是所有的传统因素都是有碍于社会变革与发展的,但只要传统存在,只要传统的历史愈悠久,传统中总归多少包含有消极的,可能限制社会进步与发展的因素。这些因素的存在也是政治文化出现滞后性的一个重要原因。恩格斯说,“在一切意识形态领域传统都是一种巨大的保守力量。”

                如果说政治文化超前性的社会基础是社会少数先进分子如革命家、思想家,那么政治文化的滞后性的社会基础则是社会大众。在一定社会中生活的大众,在经历了长期的、不断的社会化过程后,都势必在不同程度上,以不同的方式认同于这个社会,并形成与该社会要求相适应的生活态度、生活习惯、思维模式、价值原则和人格心理。这些都是长期生活形成的,并已内化为指导他们人生的基本原则和生活方式。因此,要他们在短时间内,随着社会生活的变化,即刻变化他们的人生原则和生活方式,那显然是不可能的。因此,马克思说:“人的思想跟不上事变的进程。”这样,在他们还没有形成与变化后社会要求相适应的人生原则和生活方式时,他们所持的旧的人生原则和生活方式作为一种文化,就成了社会发展的滞后力量

                政治文化的滞后性对现实社会的反作用是消极的,它将阻碍或限制社会的变革与发展的进程和规模。这种消极的反作用主要体现在以下三方面:(1)对社会的变革和发展缺乏认同。社会的变革与发展,势必要求人们改变旧的生活方式和生活习惯,改变旧的利益模式和情感投向,但由于人们受到旧的思想观念的影响,认识不到这些变革与发展所蕴含的实际意义与价值,因此,无法在短时间内对社会变革与发展表示全面的认同,从而形成进一步推动变革和发展的社会力量。(2)对新的社会所需的新思想和新观念的抗拒。这实质上是一种文化冲突。当这种冲突借助阶级斗争的形式表现出来时,旧思想与旧观念对社会发展和新思想新观念的抗拒就将是更为对立的抗拒。马克思和恩格斯说:“当前社会的交往形式以及统治阶级的条件同走在前面的生产力之间的矛盾愈大,由此产生的统治阶级内部的分裂以及它同被统治阶级之间的分裂愈大,那末当初与这种交往形式相适应的意识当然也就愈不真实,也就是说,它不再是与这种交往形式相适应的意识了;这种交往形式中的旧的传统观念也就愈发下降为唯心的词句、有意识的幻想和有目的的虚伪。但是,这些东西被生活揭穿得愈多,它们对意识本身的作用愈小,那末它们对自身的捍卫也就愈坚决,而这个标准社会的语言也就愈加虚伪,愈加道德化,愈加神圣化。”(3)对社会成员行为的影响。马克思主义认为,人们通过传统和教育所承继下来的情感和观念,不是人们行为的真实动机和出发点,人们的行为是受其利益决定的。但马克思主义同时也认为,人是社会的动物,是文化塑造的作品,因此,人们在社会生活中所继承的文化在一定程度上影响人们的社会行为和政治行为。旧的思想文化对人的行为具有限制作用。恩格斯在分析英国工人运动时看到了这种限制作用,他说,“英国人所持有的守法观念还在阻碍着他们从事这种暴力革命。”

                尽管旧的政治文化对社会发展具有多重的滞后性作用,但应看到已成为历史的旧的思想,观念,不管其表现形式多么唯心,多么虚伪,自我多么坚持,但它毕竟是暂时的,终究是要被社会发展所摧毁,被新的思想观念所代替。恩格斯说:“如果说,我们的法律的、哲学的和宗教的观念,都是在一定社会内占统治地位的经济关系的或近或远的枝叶,那末,这些观念终究抵抗不住因这种经济关系完全改变面产生的影响。除非我们相信超自然的奇迹,否则,我们就必须承认,任何宗教教义都不足以支持一个摇摇欲坠的社会。”虽然旧思想旧观念的存在是暂时的,但要消除它们的滞后作用,不仅需要一定的时间,而且还需人们的积极努力。

                消除旧的政治思想和观念对社会发展的滞后性有两条途径。一方面是在社会发展中自行消除。这主要是那些处于人们意识表层的观念。当人们不得不认同已形成不可阻挡的潮流的社会变革与发展时,伴随新认同的形成,人们也就自然而然地把在旧认同下形成的思想观念抛弃掉了。另一方面,这种滞后性的消除还需人为的努力。因为有些旧的观念、思想,不会在短时间内自行消除,相反,它们将持久存在,从而产生负作用。列宁指出:“在工人阶级和资产阶级旧社会之间并没有一道万里长城。革命大爆发的时候,情形并不像一个人死的时候那样,只要把死尸抬出去就完事了。旧社会灭亡的时候,它的死尸是不能装进棺材,埋入坟墓的。它在我们中间腐烂发臭并且遗害我们。”显然,这种人为的努力主要是要消除人们思想深处落后的传统观念。这主要通过进一步推动社会发展和新思想新观念的传播和教育来实现。从某种意义上,如果这些深层的旧思想、旧观念不清除,社会变革与社会发展就相当艰难曲折,甚至最终夭折。所以毛泽东讲:“一个崭新的社会制度要从旧制度的基地上建立,它就必须清除这个基地。反映旧制度的旧思想的残余,总是长期地留在人们的头脑里,不愿意轻易地退走的。”

第五节政治文化要进行灌输

                一、政治文化服务于政治统治

                在阶级社会,统治阶级作为政治和经济的权力掌握者进行统治的同时,还作为思想的生产者进行统治。在这种思想统治中,“他们调节着自己时代的思想的生产和分配”。思想的生产,则是形成统治阶级政治统治所需的意识形态;思想的分配,则是将已形成的意识形态来塑造社会成员,为政治统治的巩固奠定社会基础,即政治社会化。因此,“以观念形式表现在法律、道德等等中的统治阶级的存在条件,统治阶级的思想家或多或少有意识地从理论上把它们变成某种独立自在的东西,在统治阶级的个人意识中把它们设想为使命等等;统治阶级为了反对被压迫阶级的个人,把它们提出来作为生活原则,一则是作为对自己统治的粉饰或意识,一则作为这种统治的道德手段”。很显然,在任何社会,政治社会化过程都是在一定的阶级目的和政治目的的指导下展开的,都是为统治阶级政治统治服务的。

                政治社会化的核心内容是政治教育,即将占统治地位的思想观念,通过教育和传媒,分配给社会的每一成员,从而使他们成为“合格”的社会公民。不仅马克思主义者揭示了政治教育对政治统治的意义,资产阶级的一些思想家也认识到了政治教育所具有的功能,并要求政府和社会予以足够的重视。美国实用主义思想家杜威,把学校看作政治民主的安全的工具,因为学校的教育能实现统治阶级思想的分配。他说:“教育不是唯一的工具,但这是第一工具,通过这种工具,任何社会团体所珍惜的价值,其所欲实现的目标,都被分配和提供给个人,让其思考、观察、判断和选择。”“在某处中心,不管存在着怎样好的理想、资源、过去经验结果和过去人生文化等,只有当它们被执行和分配后,它们才是有意义的。不仅在民主社会中是如此的,在任何社会中亦是如此的。当然,在民主社会中,其特殊目的和目标必须如此地分配着,致使它们成为社会成员的心理和意志的一部分。”尽管杜威认为接受者面对所分配的价值和目标,可以思考、观察、判断和选择,但这些都只不过是为了使“特殊的目的和目标”成为社会成员的心理和意志的一部分而采取的方式。

                由于政治社会化最终关系到阶级统治,所以,统治阶级往往通过各种手段和方法来分配和传播他们的思想、观念,并在此过程中与任何不利于政治统治的思想作斗争。恩格斯在其著名的《英国工人阶级状况》一书中,生动地描绘了这种斗争过程:“这些时合时分的不同的工人派别——工会会员、宪章主义者和社会主义者——自己出经费创办了许多学校和阅览室来提高工人的知识水平。这些设施在每个社会主义的组织里和几乎每个宪章主义的组织里都有,而且在许多单个的工会里也有。在这里,孩子们受到纯粹无产阶级的教育,摆脱了资产阶级的一切影响,阅览室里也只有或几乎只有无产阶级的书刊。资产阶级认为这种设施是很危险的,他们已经在某些设施中,即在‘技术学校’里面消除了无产阶级的影响,并把它们变成在工人中间传播对资产阶级有利的科学知识的机构。”“这里还进行以自由竞争为偶像的政治经济学的说教;工人从这门科学中只能得出一个唯一的结论:对他说来,最明智之举莫过于默默地驯服地饿死。这里的一切都是教人俯首帖耳地顺从统治阶级的政治和宗教,所以工人在这里听到的只是劝他唯唯诺诺、任人摆布和听天由命的说教。”

                因此,政治社会化在传播阶级思想和观念的同时,也直接起到了维护阶级统治的作用。对于已经获得较稳固的政治统治阶级来说,政治社会化已成为现实政治统治的基本内容;而对于那些刚刚获得政治统治,或试图建立一个全新的社会阶级来说,政治社会化则是实现政治统治和创立新社会的基础。毛泽东说:“我们共产党人,多年以来,不但为中国的政治革命和经济革命而奋斗,而且为中国的文化革命而奋斗;一切这些的目的,在于建设一个中华民族的新社会和新国家。在这个新社会和新国家中,不但有新政治、新经济,而且有新文化。这就是说,我们不但要把一个政治上受压迫、经济上受剥削的中国,变为一个政治上自由和经济上繁荣的中国,而且要把一个被旧文化统治因而愚昧落后的旧中国,变为一个被新文化统治因而文明先进的中国。”为此,“在现时,毫无疑义,应该扩大共产主义思想的宣传,加紧马克思列宁主义的学习,没有这种宣传和学习,不但不能引导中国革命到将来的社会主义阶段上去,而且也不能指导现时的民主革命达到胜利”。毛泽东在这里提倡的学习和宣传的过程,正是一个全新的政治社会化过程,这个过程将为新政权的确立和新社会的诞生塑造出一代新人

                社会主义社会是一个全新的社会,作为向共产主义过渡的阶段,它将消灭一切阶级剥削和阶级差别,消除一切陈腐的思想观念,直至实现共产主义。因此,社会主义社会不仅要确立新的生产关系,而且要塑造一批又一批的社会主义新人。马克思明确指出,无产阶级应在革命中抛掉自己身上的一切陈旧的肮脏东西,成为社会的新基础。恩格斯认为,必然会使共产主义实现的三大措施中,教育是第一措施。恩格斯说,“显而易见,社会成员中受过教育的人会比愚昧无知的没有文化的人给社会带来更多的好处。如果说无产阶级在受了教育之后必然不愿再忍受现代无产阶级所受的那种压迫,那末从另一方面来看,和平改造社会时所必需的那种冷静和慎重只有受过教育的工人阶级才能具有。”

                塑造社会主义新人的政治教育核心是共产主义教育。在这种教育中,确立共产主义的理想信念与消除陈腐的思想、观念是同时进行的。这是社会主义社会性质决定的。因为,社会主义要同一切传统的观念进行彻底的决裂。因此,列宁认为:“教育工作者和斗争的先锋队共产党的基本任务,就是帮助培养和教育劳动群众,使他们克服旧制度留下来的旧习惯、旧风气,那些在群众中根深蒂固的私有者的习惯和风气。”马克思主义认为这种教育是长期的,必须作不断的努力。列宁在谈论如何改造人们的劳动价值观念时认为,要想使“人人为我,我为人人”和“各尽所能,各取所需”的观念,完全代替人们头脑中现有的“人人为自己,上帝为大家”的观念,需要几十年的时间。因此,在马克思主义看来,政治社会化应是一个不间断的过程,它不仅要贯穿人的一生,而且要贯穿社会主义建设和发展的全过程

二、灌输是教育的重要手段

                在阶级社会,统治阶级在向全社会分配代表他们利益的思想和观念时,具体做法可能是多种多样的,有的是正面的、直接的教育,有的是反面的或间接的教育;有的是寓教育于各种社会活动中,有的则直接通过传播媒介进行。但通过这些方法所试图达到的目的是共同的:即向人们不断地灌输统治阶级的思想、观念,直接使这些思想、观念成为人们思想和意志中一个不可缺少的组成部分。灌输是实现有效的政治社会化的重要方法。

                政治社会化过程之所以需要不断的思想灌输,其中主要有两个原因。第一个原因,在剥削阶级占统治地位的社会,统治阶级在人数上占少数,因此统治阶级的思想只代表少数人的思想。要使这种思想成为指导全社会的思想,统治阶级在借助其统治地位,将其思想普遍化,独立化、神圣化的同时,还必须努力使其思想得到社会上其他阶级成员的认同,并使其内化到社会大多数人的心中,内化得越深,统治也就越巩固。因此,他们势必要采取各种各样的手段向人们灌输他们的思想。第二个原因,对于一个阶级来说,阶级意识并非直接从阶级所处的现实社会状况产生出来的,它是在将代表该阶级思想家的思想不断地向本阶级成员不断灌输后产生的。列宁曾一再强调指出:工人群众自己决不能创造独立的思想体系,阶级的政治意识只能从外面灌输给他们。

                对于任何一个试图取得统治的阶级来说,思想的灌输在它还没有取得统治之前就开始了。因为,它们若要最终取得统治,首先必须使这个阶级由自发阶级变为自为阶级。无产阶级在革命过程中面临这项任务,资产阶级在革命的准备过程中也面临这项任务。可以说,没有启蒙运动,也就没有法国的大革命。恩格斯在谈论曾为法国革命启发过人们头脑的18世纪启蒙运动,特别是法国的唯物主义时,对它所起的作用给予了高度评价。他说:“法国的唯物主义者没有把他们的批评局限于宗教信仰问题,他们把批评扩大到他们所遇到的每一个科学传统和政治设施;而为了证明他们的学说可以普遍应用,他们选择了最简便的道路:在他们因以得名的巨著《百科全书》中,他们大胆地把这一学说应用于所有的知识对像。这样,唯物主义就以其两种形式中的这种或那种形式——公开的唯物主义或自然神论,成了法国一切有教养的青年的信条。它的影响是如此巨大,以致在大革命爆发时,这个由英国保皇党孕育出来的学说,竞给了法国共和党人和恐怖主义者一面理论旗帜,并且为《人权宣言》提供了底本。”

                同样,对于无产阶级来说,无产阶级要想从自发阶级走向自为阶级并成功地进行社会主义革命,就必须有自己的思想体系,形成自己的阶级意识。马克思在分析德国工人运动时,就指出:“哲学把无产阶级当做自己的物质武器,同样地,无产阶级也把哲学当做自己的精神武器,思想的闪电一旦真正射入这块没有触动过的人民园地,德国人就会解放成为人。”但思想要真正射人人民的园地,列宁认为必须通过灌输来实现。列宁指出:“我们已经说过,工人本来也不可能有社会民主主义的意识。这种意识只能从外面灌输进去。各国的历史都证明:工人阶级单靠自身的力量,只能形成工联主义的意识,即必须结成工会,必须同厂主斗争、必须向政府争取颁布工人所必要的某些法律等等的信念。而社会主义学说则是由有产阶级的有教养的人即知识分子创造的哲学、历史和经济的理论中成长起来的。”面对这种现实,斯大林也强调指出:“我们的责任,社会民主党的责任,就是使自发的工人运动离开工联主义的道路而走上社会民主主义的道路。我们的责任就是把社会主义意识灌输到这个运动中去,并把工人阶级的先进力量结成个集中的党。”

                当无产阶级夺取政权,确立社会主义制度后,思想灌输的主要目的,则是在广大群众中确立起共产主义理想和信念。列宁指出:“政治文化,政治教育的目的是培养真正的共产主义者,使它们有本领战胜谎言和偏见,能够帮助劳动群众战胜旧秩序,建立一个没有资本家、没有剥削者、没有地主的国家。”当然,在这个时期,思想灌输所采取的形式和方法,将会更加丰富多彩,更加生动活泼。

                马克思主义认为,思想灌输或思想政治教育应贯穿无产阶级革命的始终;同时,马克思主义认为,要使这种教育达到真正的效果,应坚持反对教条的说教。恩格斯指出:“社会主义自从成为科学以来,就要求人们把它当做科学看待,就是说,要求人们去研究它。”列宁也认为,马克思主义的全部精神,它的整个体系,要求对每一个原理(一)都要历史地,(二)都要联系其他原理,(三)都要联系具体的历史经验加以考察。这就意味着,共产主义教育与宣传,不是词句的教育与宣传,而是精神的教育和宣传,这其中包括马克思主义科学的世界观和方法论

                在马克思主义看来,有效的思想灌输式政治教育,除要反对教条化的政治说教外,还要将这种教育与群众的利益结合起来,使教育的内容易于被他们接受。列宁在批判俄国民粹主义时,深刻地指明了这一点:“当劳动阶级的思想家理解到并深深地体会到这一点的时候,他们就会承认:所谓‘理想’不应当是铺设的最好的和最捷便的道路,而应当是规定我国资本主义社会中眼前进行着的各社会阶级间的严酷斗争”的任务和目标;主观愿望能否顺利实现,不取决于对‘社会’和‘国家’的建议拟定得如何,而取决于这些思想在一定社会阶级中传播的程度,如果你不善于把理想与经济斗争参加者的利益结合起来,与该阶级的公平的劳动报酬这类‘狭隘’的生活问题,即自命不凡的民粹主义者不屑理睬的问题结合起来,那么,最崇高的理想也是一文不值的。”在这里,列宁实际上表达了三个重要观点:(1)任何一种理想都应与现实的任务目标相联系:(2)理想的价值在于被社会接受的程度;(3)理想要成为现实的可能,应将其与有关参加者的利益结合起来。列宁这三个观点,对如何进行有效的共产主义理想和信念的宣传与教育,提供了重要的指导原则。

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2026: Taiwan Media on PRC Reaction to Venezuelan President’s Kidnapping — “Zhongnanhai” is Missing!

PRC media reaction to the US kidnapping of the president of Venezuela:

PRC state media (Xinhua / People’s Daily / “钟声” “The China Bell Tolls” group pseudonymous commentaries in People’s Daily) consistent line:

  • PRC coverage also highlights China’s Foreign Ministry line calling for Maduro’s safety and release and condemning the action as violating the UN Charter.
  • The U.S. action against Maduro is described as “强行控制/抓走/绑架” (forcibly taking control of/grabbing/kidnapping) and a dangerous precedent.
  • People’s Daily explicitly frames it as: “今天是委内瑞拉,明天就可能是任何一个国家”,[Today it’s Venezuela, tomorrow it could be any country.”) and argues no country can act as “international police or judge.”

Today I heard Professor Wu Guoguang, Senior Research Fellow at Stanford University’s Center for China’s Economy and Institutions Interview with Yuan Li on Bumingbai Blog talk about the apparent power struggle (or at least purge) going on in the higher Chinese Communist Party realms.

While much of the Chinese people (according   Professor Wu Guoguang, there is much anti-Xi sentiment in China but there are only weak anti-Xi forces in China) and much of the American peoples (especially after listening to Bruce Springsteen’s Minneapolis anthem just out) wouldn’t feel too bad about their despotic leaders if they were kidnapped, it doesn’t seem at all likely. 

The interview with Professor Wu Guoguang is in Chinese but you can read a good quality machine-translated text.  The Chinese text is at https://bumingbai.net/2026/01/27/ep-195-text/

On YouTube at https://www.youtube.com/watch?v=xMKT-Eneutg&embeds_referring_euri=https%3A%2F%2Fbumingbai.net%2F

It starts off like this 

EP-195 Wu Guoguang: Why Did Xi Jinping Purge Zhang Youxia? Who’s Next? (Text Version)

Chinese text at 

Full Text:
01:43 What does Zhang Youxia’s downfall mean?
08:42 Why were the official announcements of the downfall of Zhang and Liu so swift?
17:02 The “Stalinist logic” behind Xi Jinping’s purge
26:17 Why is Xi Jinping even purging his childhood friends?
31:03 How might the military react to Zhang Youxia’s purge?
37:22 Does Zhang Youxia’s downfall mean a war in the Taiwan Strait is imminent?
44:46 How should we view the claim that “the next generation of military leaders may be more warlike”?
46:43 What do the rumors of a power struggle between Xi Jinping and Zhang Youxia indicate? 51:52
The deeper reasons why the CCP’s top leadership dares not challenge Xi Jinping
56:49 How should we interpret the PLA Daily editorial regarding Zhang Youxia’s downfall?
58:58 Who might be the next to be purged?

[00:00:02] Yuan Li: Hello everyone, welcome to the “Don’t Understand” podcast. I’m your host, Yuan Li. At 3 PM Beijing time on Saturday, January 24th, the Chinese Ministry of National Defense announced that Zhang Youxia, a member of the Political Bureau of the CPC Central Committee and Vice Chairman of the Central Military Commission, and Liu Zhenli, a member of the Central Military Commission and Chief of the Joint Staff Department, were placed under investigation for suspected serious violations of discipline and law. This is a further purge of the military’s top leadership by CPC leader and Chairman of the Central Military Commission Xi Jinping. Thus, of the seven members of the Central Committee and the Central Military Commission appointed by Xi Jinping at the 20th CPC National Congress, two vice chairmen and three members have been purged in the past two years, leaving only Xi Jinping as Chairman of the Central Military Commission and one member, Zhang Shengmin.

Why did Xi Jinping target his childhood friend Zhang Youxia? Why is he conducting a massive purge of the military? Does this purge signify an impending danger of war across the Taiwan Strait? Who might be the next CCP leader to be purged? What might be the outcome of this continued purge? In this episode, we invited Professor Wu Guoguang, a senior fellow at the Stanford University Center for Chinese Economic and Institutional Studies. Last summer, Professor Wu joined the podcast to discuss various rumors about Xi Jinping’s loss of power and how to rationally analyze high-level CCP politics. I listened to it again today and still benefited greatly; I recommend everyone watch it along with this episode. Furthermore, the three books on Stalin that Professor Wu recommended last time are excellent; I also recommend checking them out. We’ll include the program link below.

EP-162 Wu Guoguang: Has Xi Jinping Lost Power? | Successor | Central Decision-Making and Coordination Body | Hu Chunhua | Wang Yang | Mao Zedong | Stalin | Deng Xiaoping | Wu Guoguang | Shanghai Gang | Youth League Faction | Bed Listener |

Text version: https://bumingbai.net/2025/08/07/162-wgg-text/

[00:01:30] Yuan Li: Hello, Teacher Wu!

[00:01:31] Wu Guoguang: Yuan Lihao.

[00:01:32] Yuan Li: The news about Zhang Youxia’s possible downfall has been widely circulating on Twitter for the past few days. Some people didn’t believe it, thinking that if Xi Jinping really did this, it would seem too crazy. But as it turns out, this time the official confirmation of the rumors came quickly. We would like to ask you to first analyze what exactly happened with Zhang Youxia’s downfall? What is your view on its nature and significance?

[00:01:53] Wu Guoguang: I immediately believed the news. Last year, some people said that Zhang Youxia seemed to be challenging Xi Jinping, saying that Xi Jinping had lost power. We didn’t believe that at the time. So why do we believe it now when we hear this news? I think there is a structural contradiction in authoritarian politics. The most important point of this structural contradiction is that the supreme autocrat will not allow a faction to dominate under him.

Continue reading on Google Translate link — 


Could the kidnapping of the Venezuelan president made the whole Zhongnanhai leadership compound lie low?  Hard to believe, but it is missing from Baidu Maps.  

Zhongnanhai is Missing!

Baidu Maps: Something is missing from central Beijing — it is Zhongnanhai, the PRC leadership compound. If you find it, contact the PRC Embassy in your country.

Blanking out Zhongnanhai on maps can’t be too surprising. Whether it happened just recently or was just notice recently is another question. A few years ago the White House roof was whited out on Google Maps. Now it is merely bland. It would not be hard to imagine that there is more than blandness on top of such a secure location. This Google Maps photo predates the recent vandalism of the East Wing of the White House.

Baidu Chinese digital maps of Chinese cities, I remember from 20 years ago, were displaced about 60 miles relative to their real coordinates, likely to mislead some unwelcome deliveries by air mail. I saw that mentioned in a Chinese novel and found it was true by entering longitude and latitude into Baidu Maps and comparing it with a physical map. The Soviets used to do that — they ‘moved’ several of their cities and the Baikonur Cosmodrom on their maps. Such map deception may be futile today, though guarding against lower tech non-state actors can be worth doing too. Detailed maps have often been secret in China.


Maduro’s capture startles Xi Jinping “Zhongnanhai” disappears from multiple Chinese map search systems

馬杜羅被活捉嚇壞習近平 「中南海」3字在中國多款地圖搜尋系統被消失

Taiwan Liberty Times 自由时报

2026/01/09 13:22 Compiled by Lu Yongshan / Comprehensive Report

美軍在1月3日突襲委內瑞拉首都卡拉卡斯,活捉該國總統馬杜羅夫婦,令全球的獨裁者心驚膽跳,近日有許多中國網友發現,「中南海」3字在中國多款中文地圖搜尋系統「被消失」。(美聯社資料照)

U.S. forces launched a surprise raid on Venezuela’s capital Caracas on January 3, capturing President Maduro and his wife alive—a development that sent shockwaves through the world’s dictators. Recently, many Chinese netizens noticed that the term “Zhongnanhai” has been “erased” from multiple Chinese map search systems. (AP Photo)

On January 3, the U.S. military launched a surprise raid on Caracas, the capital of Venezuela, capturing President Maduro and his wife alive. This event not only shocked the international community but also sent shivers down the spines of dictators worldwide. Recently, many Chinese netizens discovered that when searching for “Zhongnanhai” in multiple Chinese map search systems, results either failed to appear entirely or were forcibly redirected to completely unrelated locations like Tongzhou or Haidian. This prompted mocking comments online: “Xi Jinping scared himself silly, erasing Zhongnanhai from the map.”

Recently, many Chinese netizens discovered that when searching for “Zhongnanhai” on Chinese mapping systems like Amap, Baidu Maps, and Tencent Maps, the response was consistently: “Sorry, no relevant locations found in Beijing.” Other netizens shared screenshots showing that searching for “Zhongnanhai” on AutoNavi redirects users to Beijing’s Tongzhou District. Ironically, the international version of Google Maps still accurately locates Zhongnanhai.

The news instantly went viral online. Netizens flooded the comments with sarcastic remarks: “The joke of the century: Zhongnanhai got hidden by itself,” “Xi Jinping scared himself silly, erased Zhongnanhai from the map—U.S. troops don’t use Amap anyway,” “Afraid of the people? Every Beijing resident knows where Zhongnanhai is—what’s the point of hiding it?” “This isn’t enhanced security—it’s a mental breakdown.”

On January 3, U.S. forces raided Caracas and captured Maduro and his wife alive. On January 7, they seized a Russian oil tanker, demonstrating formidable deterrent power to China and Russia. Trump’s formidable initiative and execution have sent shivers down the spines of dictators worldwide and left the Chinese Communist Party leadership trembling in fear.

According to a recording obtained by CNN on July 8, 2025, U.S. President Donald Trump stated during a private fundraising event in 2024 that he had warned Xi Jinping that if China invaded Taiwan, the United States would respond by bombing Beijing. The report also mentioned Xi Jinping’s reaction: “He thought I was crazy.”

After Maduro was captured alive, videos of this recording went viral on social media, with comment sections filled with cheers. No one doubted Trump was just talking big anymore. Xi Jinping understood this point all too well and would never again think Trump was crazy.

Hu Liren, a former Chinese entrepreneur residing in the United States, disclosed on January 4 via X that the capture of Maduro has plunged Chinese President Xi Jinping into a state of extreme fear, prompting the activation of numerous underground bunker systems around Beijing.

Bill Gertz, senior national security correspondent for The Washington Times, revealed in a December 28, 2025 post on X: “If China launches a military attack on Taiwan, Beijing will stage a repeat of a ‘Soleimani-style’ drone decapitation operation—targeting every member of the Politburo Standing Committee (the CCP’s highest power core and decision-making body), including Xi Jinping.”

The removal of “Zhongnanhai” from Chinese map search systems is undeniably a testament to Xi Jinping’s escalating fears. Yet this ostrich-like head-in-the-sand approach is not only absurdly laughable but further erodes the CCP’s legitimacy, reducing Xi’s grand rhetoric of “the East rising and the West declining” to its true form: “hiding anywhere they can, be it to the east or the west 东躲西藏”


-Article by a Taiwan freelance writer also published by the Liberty Times

Hsiao Hsi-hui is a Taiwan chemical engineer residing in the United States

“Freedom Forum” — After Maduro’s Arrest, Why the Pro-China Narrative No Longer Holds Up
2026/01/20 18:00
Hsiao Hsi-hui 蕭錫惠

In 2026, the United States carried out a lightning military operation to arrest Venezuelan President Nicolás Maduro and his wife. This was not merely a geopolitical shock in Latin America; it was an unmistakable warning signal: the United States has revived the “regime criminalization” model it used against Manuel Noriega in 1989. With this script returning to the international stage, its shockwaves have not only rattled Caracas, but also pointed straight at Beijing’s Zhongnanhai—and at those political narratives within Taiwan that still try to powder and prettify Beijing.

I. Xi Jinping’s Fear: A Nuclear Button Cannot Protect a Dictator’s Body

For Xi Jinping, the jolt from Maduro’s arrest goes far beyond questions of military balance. It directly shatters the dictator’s myth that “sovereignty is a protective talisman.” In the past, Beijing may have believed that being a nuclear-armed great power was enough to make the United States hesitate. But the Maduro case reveals a new reality: nuclear deterrence may protect territory from occupation, yet it cannot guarantee the personal physical safety of a dictator.

Once a regime is defined as a “criminal organization,” its leader is no longer a negotiating counterpart protected by diplomatic protocol, but a target that can be “surgically” removed. This plants three inescapable anxieties in Xi’s mind:

  • Decapitation anxiety: The United States has demonstrated the will and capacity to deal precisely with specific leaders in a scenario short of all-out war.
  • Breakdown of the loyalty chain: The failure of Maduro’s supposedly impregnable security apparatus shows how fragile “loyalty” can be under intense external pressure and the lure of bounties.
  • De-sovereignization and isolation: When a head of state is downgraded to a criminal suspect, the tools Beijing is best at wielding—“nationalism” and “diplomatic protest”—instantly lose their leverage.

II. Reassessing War Risk: Personal Survival Above National Ambition

For that very reason, such an event may actually curb Xi Jinping’s impulse to use force against Taiwan. Launching a Taiwan Strait war would be equivalent to pushing himself onto the fast track of “personal accountability.” In modern warfare, risk is no longer confined to whether the front lines are won or lost; it includes whether the top leader will become a direct quarry of drones or special operations. For authoritarian rulers, power is for enjoyment and domination. If the price of war is turning oneself into the next Noriega or Maduro, then this “trading your life for an island” is the worst kind of bargain—and the deepest fear.

III. The Bankruptcy of Pro-China Talking Points: The End of “Doubting America”

At the same time, this heavy blow also smashes pro-China and anti-American-skeptic narratives inside Taiwan. For a long time, some political forces have peddled defeatism—“the U.S. is unreliable,” “small countries can only bow to great powers”—and even insinuated that leaning toward China is the way to reduce risk.

But the Maduro case pulls the floor out from under that logic. The facts are plain: the United States not only imposes sanctions; it is willing to assume risk and carry out physical “removal” of a sitting dictator. If the United States dares to act with such thunderous force against Venezuela—far away in Latin America—then the claim that “America wouldn’t dare offend Beijing for Taiwan” looks pale and powerless. It shows that America’s red lines not only exist; they have lethal enforcement capability.

IV. A Positioning Crisis for the KMT and the Pro-China Camp

For the Kuomintang (KMT) and related political currents, this is not only a failure of rhetoric, but a destruction of role positioning. If the international order comes to view the CCP as a potentially “criminalized regime,” then pro-China politicians’ self-styled role as “bridges of communication” could instantly turn into “institutional breaches” within the free world. The younger generation will inevitably ask a soul-searching question: if the civilized world is already preparing to move against dictators, why are some people in Taiwan still rushing to find an escape route for future war criminals?

Conclusion

The most brutal reality is that the essence of the Taiwan Strait issue is no longer “Will the United States help Taiwan?” but “Who will be defined as a problem that must be removed?” What Xi Jinping fears is not Taiwan’s missiles, but being nailed to the pillar of historical shame. And the most dangerous aspect of Taiwan’s pro-China narratives is that they still live in fantasies of an older era—mistakenly believing that kowtowing to a strong power can buy peace—while failing to see that around that very strong power’s own neck, a sword of Damocles has long been hanging overhead.


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2026: Vietnam’s Leader Tô Lâm — Catch up with China, Failure is not an Option

Machine translation of January 26, 2026 Netease article by the DeepL plug-in app for the Chrome browser followed by post-editing.

复刻当年,越南领导人大会上斩钉截铁,追赶中国只许成功不许失败

January 26, 2026 14:16:59 来源: 霁寒飘雪 江西  

Reliving the past, Vietnamese leaders declared at their conference with unwavering resolve: Catching up with China is a mission that must succeed—failure is not an option.

2026-01-26 14:16:59 Source: Jihan Piaoxue Jiangxi  Report

Vietnam’s leadership is launching a bold experiment in transcending time and space, aiming to precisely replicate China’s monumental rise at the turn of the century. Yet reality has already rewritten the rules—the old script remains, but the stage has collapsed and been rebuilt. Embarking on uncharted waters with yellowed blueprints in hand reveals a structural imbalance where the lifeblood of industry remains deeply entangled in external supply chains, alongside the strategic predicament of navigating precariously amid the rivalries of major powers.

This was no ordinary economic sprint, but an extreme balancing act performed on frayed nerve endings. That seemingly dazzling “10%” growth was in fact a collective breakthrough achieved by tens of millions of people giving their all in a do-or-die battle while struggling to breathe.

Vietnam real GDP growth during the first three quarters of 2025 was 7.85%

January 23, 2026, Hanoi. Beneath the dome of the main venue for the 14th National Congress of the Communist Party of Vietnam, a massive LED screen displayed two striking figures: “10%” and “$8,500.” The former represents the annual average growth target for gross national product over the next five years, while the latter marks the ultimate benchmark for per capita national income by 2030.

This is not a sandbox model devised by think tank scholars gathered in a café, but a historic gamble staked by Vietnam’s ruling core with the nation’s destiny at stake.

As Vietnamese Communist Party General Secretary Tô Lâm stood at the center of the podium to read this National Development Program, the hall fell silent as deep as the ocean. Within the stillness surged a highly concentrated collective anxiety.

Every participant understood clearly: the weight of this target—achieving an average annual growth rate of 10% amid intensifying global unilateralism, rising climate compliance thresholds, and accelerating geopolitical fragmentation—not only sets the pace for all of Asia but also confronts the boundaries of modern macroeconomic theory with an unprecedented challenge.

Vietnam GDP growth by year

The real foundation underpinning this ambition has just been laid: per capita GDP has surged above the $5,000 threshold for the first time, with the labor force accounting for 70% of the nation’s 100 million population. Last year, total fixed-asset investment soared to $189 billion, setting a new historical record.

Foreign trade volume has surpassed the $930 billion mark, with exports reaching $475 billion—a robust 17% year-on-year increase—marking the tenth consecutive year of maintaining a trade surplus. While the figures are breathtakingly impressive, Sulin remains more sober than anyone: behind these dynamic numbers lies a life-or-death race where even the slightest deviation is unacceptable.

China-Vietnam border crossing

Vietnam’s decision-makers conducted systematic retrospective research on this matter. They precisely aligned their five-year growth trajectory from 2026 to 2030 with China’s historical template from 2011 to 2016. At that time, China was navigating a critical transition from $5,000 to $8,866 per capita GDP, maintaining a stable 7.3% annual compound growth rate while advancing infrastructure expansion, manufacturing upgrades, and accelerated urbanization simultaneously. Vietnam resolved to achieve comparable progress with greater intensity and in a shorter timeframe—pursuing a 10% compound growth target over five years.

The growth of China’s most economically important provinces– Guangdong in pink, Jiangsu in green, Shandong in blue, Sichuan in red, Henan in light blue

This determination is not based on blind optimism built on castles in the air. Over the past five years, Vietnam’s actual average annual growth rate stood at just 6.25%, significantly below planned projections. Emerging powers like India, Bangladesh, and Indonesia are catching up at an astonishing pace. Any slight delay could see Vietnam overtaken, potentially plunging permanently into the closed-loop trap of the “middle-income trap.” With no room for maneuver left, Vietnam must now rev its development engine to maximum speed.

In black Vietnam’s real GDP growth; in red growth in real per capita GDP

Unfortunately, the “time capsule” failed to launch as scheduled. What China enjoyed back then was a golden window of opportunity when the dividends of globalization were steadily released—the WTO multilateral framework operated smoothly, the global supply chain system was complete and efficient, and energy supplies were abundant with prices under control.

“The Path of China’s Rise”

Vietnam now faces a world order in violent upheaval: the specter of U.S. tariff threats looms ever-present, the EU’s Carbon Border Adjustment Mechanism (CBAM) erects unprecedented green barriers, and global supply chains are pivoting from “efficiency above all” to “security first.” It’s a high-speed dash through an unknown labyrinth with outdated maps—each fork in the road conceals unforeseeable systemic risks.

Vietnam’s current growth momentum is rooted in a sophisticated yet highly fragile “triangular cycle” structure: the upstream segment relies heavily on core components and basic raw materials imported from China, deeply integrated with the mature supply networks of the Pearl River Delta and Yangtze River Delta; the midstream stage concentrates on final assembly and integration within key industrial zones like Hanoi and Ho Chi Minh City; while the downstream phase rapidly ships finished goods to US and European markets, circumventing trade barriers while capturing end-consumer price premiums. Last year’s export value of $475 billion essentially represents geopolitical dividends efficiently extracted from strategic gaps between major powers.

The two future engines of the Chinese economy the Pearl River Delta and the Yangtze River Delta

This model has propelled Vietnam onto the shortlist of “new global manufacturing hubs,” but at the cost of an entrenched, high-level dependency. What is touted as a manufacturing powerhouse actually plays the role of an “international contract manufacturing center”—where core technologies remain in the hands of external players, and the lion’s share of profits flows to upstream R&D and branding, leaving Vietnam with only meager labor-based value-added. More critically, this finely-tuned transmission chain carries an extremely high risk of disruption.

Any sudden policy shift by either China or the U.S., or another large-scale power shortage in the northern industrial cluster (last year Vietnam urgently purchased electricity from China to address an immediate crisis), would immediately expose the entire operational system to systemic shutdown risks.

Su Lin saw this clearly. But he had no choice. Vietnam neither possessed sufficient time to cultivate an independent and controllable semiconductor ecosystem, high-end CNC equipment systems, and next-generation clean energy technologies, nor did it have the institutional flexibility for measured planning. The only viable path was to accumulate foreign exchange reserves and physical production capacity at an extraordinary pace before the global industrial window closed completely. This would secure a precious buffer period and bargaining chips for subsequent technological breakthroughs. It was a national gamble of “trading space for time,” with the stakes being Vietnam’s developmental sovereignty over the next thirty years.

To ensure the 10% growth target is achieved, the Vietnamese government is implementing an unprecedented “system overhaul”: consolidating county-level administrative units, reducing the size of the civil service, and optimizing the structure of state-funded personnel. These measures are not only administrative reforms but also create fiscal space and implementation pathways for infrastructure projects worth hundreds of billions, such as the North-South high-speed railway.

Vietnam’s north-south high speed rail project is scheduled for completion in 2045

This steel artery connecting the capital Hanoi with the largest economic hub Ho Chi Minh City will, once integrated into the Pan-Asia Railway Interconnectivity Network, deeply embed Vietnam within the China-ASEAN land logistics backbone. Overall transportation costs are projected to decrease by more than 30%. This represents the most strategically significant trump card in Su Lin’s hand.

However, as the real economy races ahead at breakneck speed, the undercurrent of asset bubbles has quietly overflowed the banks. Average residential property prices in Hanoi and Ho Chi Minh City have surged by 60% over the past three years, far outpacing the growth in residents’ disposable income. This year has already seen debt defaults among leading real estate developers, while warning lights for non-performing loans at commercial banks flash with increasing frequency.

Vietnamese authorities urgently need to complete their industrial upgrade before the bubble bursts—a high-stakes tightrope walk that demands both sustaining high-intensity capital investment to drive GDP growth and rigorously guarding against financial risks triggering systemic collapse.

Vietnamese Communist Party General Secretary Tô Lâm

Time is the most unforgiving judge. Should Vietnam fail to reach the critical threshold of $8,500 per capita within five years, it risks falling into the dual predicament of “aging before getting rich”: its demographic dividend will rapidly diminish, technological iteration will remain incomplete, and its industrial chain advantages will be gradually eroded by latecomers. At that point, all prior efforts would be nullified, and the nation could become permanently locked into the rudimentary role of an “Asian assembly base,” repeating the developmental stagnation seen in the Philippines or Thailand.

The two strings of numbers flickering on the electronic screen at the main venue in Hanoi are, in fact, a microcosm of the entire group of Southern nations. As the era of inclusive globalization officially draws to a close, latecomers suddenly realize that the ladder leading to developed economies is being pulled away, rung by rung.

Vietnam’s 10% target is not an unrealistic declaration of arrogance, but a courageous choice born of sober recognition—it knows full well that it has lost the capacity for trial and error, nor does it possess the institutional leeway for a gradual transition. It can only stake all its resources, all its will, and all its hopes on the table, striving to cross the finish line before the window of history closes completely.

Vietnamese Communist Party General Secretary Tô Lâm

Where will this high-stakes gamble for the nation’s destiny ultimately lead? The outcome remains uncertain. Yet one thing is clear: Su Lin and his team have nowhere left to retreat. When a nation engraves “must succeed” into its highest political agenda, it is simultaneously launching a full-scale offensive against the dimension of time, the global governance system, and its own deep-seated structural contradictions. The battle is already underway, though victory or defeat remains to be seen.

Source of Information:

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1993 – 2016: (11) : The National Question Is Part of the Overall Question of Social Revolution Chapter Eleven of “The Logic of Politics” 王沪宁等著《政治的逻辑》

 “The Logic of PoliticsPrinciples of Marxist Political Science” 王沪宁等著《政治的逻辑》

Summary:  Chapter Eleven of The Logic of Politics: Principles of Marxist Political ScienceThe National Question Is Part of the Overall Question of Social Revolution’ argues that the national question is inseparable from the history of capitalism’s development and class vs. class power struggles. The modern nation is defined as a stable community formed through common territory, economic life, language, and shared culture and or national character — a typical political form of capitalism. From this standpoint, national movements are much less expressions of timeless identity than outcomes of market integration, state centralization, and uneven development.

The core of the national question thus lies in relations of domination: national oppression, exploitation and colonialism mediated by class rule. These intensify under imperialism. While members of the bourgeoisie may lead national struggles, but their aims and limits remain conditioned by their concerns for property and their lust for state power.  National ideologies can become a tool that mutes domestic class conflict and divides workers across borders. Opposition to national oppression is not mere humanitarianism but a strategic requirement for proletarian emancipation. As Engels observed “A nation which oppresses other nations cannot emancipate itself.

Self-determination is an integral part of social revolution. Self-determination refers primarily as the right to political separation and state independence, while warning that its specific meaning depends on the broader alignment of forces in the anti-imperialist and socialist struggle. Lenin rejected solutions of so-called “cultural autonomy” that do not remove the element of coercion as false. Those are merely a tool of domination.  Genuine equality among peoples requires structural transformation.  Deeper “national fusion” beyond the international solidarity of when ‘the Internationale becomes the human race’ can only emerge over a very long stretch of historical time as the material inequality and national hatreds inherited from capitalism and its highest stage, imperialism, fade.

Chapters Eleven and Fifteen of The Logic of Politics was written by Liu Huihua 刘慧华 and edited by Wang Huning.. Liu Huihua’s research focused on China’s Foreign Aid, International Development Cooperation, and Diplomacy and International Relations. Liu Huihua is the co-author of the 2017 book 中國對外援助:理論與實踐 [China’s Foreign Assistance: Theory and Practice]. Liu Huihua was one of Fudan University’s first PhDs in international relations.


The Logic of Politics: Principles of Marxist Political Science translated in full with citations to sources and context to sources added:

Chinese text of Chapter Eleven follows the English translation.


Chapter 11 The National Question Is Part of the Overall Question of Social Revolution

From the standpoint of Marxist political science, the nation is a historical category that took shape with the emergence of the modern capitalist mode of production. It refers to a stable community of people, demarcated by territory and bound together by economic life, culture, and psychological makeup. The national question is not merely a question of national differences and characteristics; it is also a question of national oppression and exploitation. The national question is closely linked to the class question and thus becomes an important political question.

Section 1 Nations Take Shape in the Course of History

  1. A nation is a stable community

Marxism holds that:

“A nation is a stable community of people formed historically, with a common language, a common territory, a common economic life, and a common psychological makeup manifested in a common culture.”

J. V. Stalin, Marxism and the National Question

In other words, as a political-science concept, “nation” has a strict definition and specific connotations.

First, a nation is not a form of primitive human social organization created through blood ties or marriage relations. This community is neither racial nor tribal. On the contrary, it is forged from different races and tribes in the crucible of history. For example, the modern Italian nation is composed of Romans, Germanic peoples, Etruscans, Greeks, Arabs, and so on; the French nation is composed of Gauls, Romans, Britons, Germanic peoples, and so on; the English nation and the German nation are similar in this respect. Therefore, a nation is neither a racial community nor a tribal community, but a community of people formed over the course of history.

Second, some human communities, although they too are formed in the course of history and are composed of different races and tribes, are only short-lived, fragile unions. Such unions are not nations either. For example, the Alexandrian Empire and the Mongol Empire. Although they too were formed in history and were composed of different tribes and races, they cannot be called nations. They were all haphazard amalgams, lacking internal ties. They came together and breaking apart with victories and defeats of a particular conqueror. This means that a nation is not an accidental, flash-in-the-pan mixture, but a stable community.

II. A nation possesses four major commonalities [Translator’s Note: Following Stalin’s essay.]

First, a nation has a common language. Some human communities, although they too are formed in history and are relatively stable, are still not nations. For example, Austria and Russia in modern history: from a Marxist point of view, they are merely state communities and cannot be called nations. There are many differences between a national community and a state community; one important difference is that a national community must have a common language, whereas a state community does not necessarily have to have a common language. Within Austria and Russia, the various nationalities each have their own different languages, yet the fact of these multiple languages did not affect the integrity of those two states. Of course, “language” here does not mean an officially standardized bureaucratic written language, but rather the spoken language of the people.

Second, a nation has a common territory. The same nation must have the same language, but a community that speaks the same language is not necessarily a nation. Britons and Americans speak the same language, but they are not one nation. The same is true of Norwegians and Danes, and of Britons and Irish. This is mainly because they do not live together, but live in different territories. Only through long-term, continuous interaction, through the shared life of people over generation after generation, can a nation be formed. Over their long-term shared life, a common territory is indispensable.

Third, a nation has a common economic life. A common territory and language alone are not sufficient to form a nation. To form a nation, in addition to these, there must also be internal economic ties that bind the various parts of the nation into a single whole. In pre-capitalist Western Europe, although the Germans lived in a common territory and spoke the same language, strictly speaking they were not yet a nation at that time, because they were divided among different, mutually isolated principalities. They did not share a common economic life; for a long time they fought chaotic wars and destroyed one another. Although some emperor who happened to succeed might once have barely unified them, this kind of accidental and temporary unity was, at most, only a superficial administrative unity, and it would soon fall apart as the princes grew unruly. Only with the advent of modern capitalism, which thoroughly shattered the German-speaking principalities’ economic autarky and linked them into one integrated whole, did the Germans fuse into a single nation.

Fourth, a nation has a common psychological make-up. The differences among nations lie not only in differing conditions of life, but are also expressed in differing national cultural characteristics—in differing spiritual outlooks and temperaments. Although the British, Americans, and Irish all use the same language, they nonetheless belong to three different nations. The distinctive psychological traits formed over generations under different conditions of existence have played a significant role in this respect. Although psychological make-up itself may seem like something elusive, since it is expressed in the common features of a nation’s culture, it is a tangible factor that should not be ignored. A nation’s psychological make-up is not unchanging; it changes along with changes in living conditions. In every definite historical period, it leaves its own imprint on the nation’s overall character.

III. A nation is an integral composite entity

Marxism holds that a nation is a composite of all the characteristics discussed above. It is inadequate to take any single one of those characteristics by itself as the definition of a nation. Not only that: if any one of these characteristics is missing, then it is not a nation.

First, if some people share a common psychological make-up, but are isolated from one another in their economic activity, live in different regions, and speak different languages, then they still do not constitute a nation. For example, Jews dispersed across the world are not only separated from one another economically and geographically, but also use a variety of different local languages; therefore, they are not a single unified nation.

Second, if some people live in a common territory and share a common economic life, but do not share a common language, culture, and psychological make-up, then they still are not a nation. Historically, the Germans and Latvians in the Baltic borderlands were such a case.

Third, even if some people use the same language, if they lack the other characteristics, they still do not constitute a nation. On the question of what a nation is, many different views emerged during the period of the Second International. One relatively representative view held that a nation’s psychological make-up—also called “national character”—is the only essential characteristic of a nation, while all other characteristics are merely conditions for the nation’s development and are not characteristics of the nation itself.

Otto Bauer, the Austrian Social-Democratic Party leader, and that party’s theorist on the national question Rudolf Springer were representatives of this view. Springer held that “a nation is a union of people who think alike and speak the same language,” and a “cultural community composed of a group of modern people, unrelated to ‘territory’.”

Bauer also said:

“A nation is the totality of people bound together, on the basis of a common destiny, into a community of character.”

Quoted in Stalin’s essay; Otto Bauer is the author of The Question of Nationalities
and Social Democracy
[translation of Die Nationalitiitenfrage und die Sozialdemokratie,
(1924)] Stalin discusses Bauer further in Marxism and the National Question, I. The Nation

In short, a common national character formed on the basis of a common destiny need not be connected to a common territory, language, or economic life. Bauer, for example, claimed that although Jews dispersed throughout the world “do not have a common language,” the national character formed on the basis of a “common destiny” makes them cohere into a nation.

In fact, Jews scattered across various places live a shared economic and political life with the local people, are influenced by the local culture, and this cannot but leave its stamp on their national character. If there is still anything that links them together, it is religion, a common origin, and certain remnants of national customs. All this is beyond doubt. But how could rigid religious rituals and psychological residues that are gradually fading exert a stronger influence on their “destiny” than the real socio-economic and cultural environment in which these Jews live? Bauer treats the nation and national character as two sides that correspond one-to-one; this detaches the nation from its roots and turns it into an invisible, independently existing force. The result is that the nation is no longer something living and active, but something mysterious and otherworldly.

Take another example. At the end of the eighteenth century and the beginning of the nineteenth, when the North American colonies were still called “New England,” what difference was there between the British nation and the American nation? It is hard to say that the main difference between them lay in national character, because Americans were mainly migrants from Britain. Undoubtedly, these British immigrants brought to America not only the English language and customs, but also the British national character. Although, under the influence of the new environment, they had begun to form a character uniquely their own, they would not quickly lose their English national character. When they still had more or less something in common with the British in character, they had nevertheless already become a new nation distinct from the British nation. It can be seen, therefore, that what distinguished the “New England” nation from the British nation at that time was not some special national character; or rather, instead of calling it national character, it would be more accurate to say it was an environment—that is, living conditions—different from those of the British nation.

In short, a nation as a category of political science has no single unique feature; it is the sum of a variety of features. What distinguishes different nations is sometimes mainly this feature (national psychology or national character), sometimes mainly that feature (language), and sometimes mainly yet another feature (territory or economic life). A nation is formed by the combination of all these features.

Section Two: The Formation of Nations Is the Result of Historical Development

I. A Nation Is a Historical Category

A nation is a historical category. Like any other historical phenomenon, it is governed by the laws of history and has its own process of emergence, development, and extinction. More specifically, a nation is an inevitable product and a form of social organization that arises when human society develops to the capitalist era. However, the elements that constitute a nation took shape gradually over a long historical period prior to capitalism.

The nation as a historical category is different from the nation as used in ethnology. The latter is a broad term referring to various human communities formed in history and situated at different stages of social development—for example, primitive nations, ancient nations, and modern nations. There are also other, even broader uses of the term, such as the Chinese nation and the Arab nation. In this sense, “nation” is chiefly understood in terms of shared blood ties, shared history, shared religious belief, and national characteristics. This meaning is widely used in everyday life. Distinguishing between these two meanings is very important for theoretical analysis.

In primitive communist society, human production was mainly based on gathering, fishing, and hunting, and social relations of production were extremely narrow and simple. Social labor could produce only the means necessary to maintain existence, leaving little possibility of surplus product. No opposition between possessor and dispossessed could arise, and a primitive communistic system of common production and common consumption naturally took shape.

Economic association consisted only in uniting every member within the clan for cooperative labor and for struggle against nature. The bonds of economic connection were not, at that time, the principal means of cohesion. Social ties were limited to kinship based on a shared natural origin as the sole binding factor. This kinship-based bond constituted the basic socio-economic unit of primitive society—the clan. With productive forces extremely low and the pressures of survival very severe, people remained wary of, and hostile to, anyone outside kinship relations. Therefore, primitive society could only be a clan society of narrow scope, with blood ties as its bond.

As the productive forces developed, society’s productive activity also broke out of the confines of gathering and fishing-and-hunting. Pastoralism, agriculture, and handicrafts emerged; surplus product became possible; and private ownership gradually took shape. The polarization between rich and poor produced the opposition between exploiters and exploited, manifested between slave-owners and slaves and, later, between feudal lords and serfs. Clan settlements became unstable and frequently disrupted under the impact of commercial activity, changes of occupation, and transfers of landownership. Clans and tribes lived intermingled everywhere; everywhere there were slaves, protected dependents, and outsiders living among free persons.

Members of clan communities could no longer effectively manage their public affairs through assemblies; the clan system, as a form of social organization, appeared weak and powerless. The precondition for its existence—namely, that the members of a clan or tribe lived together in a common life within the same territory inhabited exclusively by them—gradually disappeared.

“The territory remained, but the people had already become mobile. Therefore territorial division was taken as the point of departure, and citizens were allowed to exercise their public rights and duties where they lived, regardless of which clan or which tribe they belonged to.”

Frederick Engels, Origins of the Family, Private Property, and the State, IX. Barbarism and Civilization

Common social activity—above all economic activity—slowly replaced blood ties as the bond linking people together. Humanity had already taken an important step toward the formation of a nation; or, put differently, the elements of nationhood were gradually taking shape. Of course, because economic links were still extremely limited and the sphere of activity was still fragmented into very small regions, what followed clan society was only a relatively developed tribal society.

The further development of tribal society was driven by the third great social division of labor. For the first time, society produced a merchant class that did not engage in production and dealt only in exchange. The increasing frequency of commodity exchange brought about the establishment of capitalist society. A commodity-exchange economy replaced the household economy of agriculture and handicrafts.

Surplus product and surplus value advanced together; the accumulation and concentration of capital, the monopoly of the means of production, and the exploitation of wage laborers by owners of capital all arose and grew with historical development.

Exchange further diluted blood relations and broke the narrow bounds of tribal life. With the formation and expansion of the domestic market, people of different ethnic origins lived within a unified economic area, developed a unified language, shared a common economic life, and shared common psychological traits. A community composed of such a population was no longer constituted by lineage; it became the modern nation.

From this it can be seen that the nation is not a general historical category, but a historical category specific to a definite era—namely, the era of capitalism’s rise. The process of abolishing feudalism and developing capitalism is at the same time the process by which people form themselves into nations. This was the case, for example, in Western Europe. The British, French, Germans, Italians, and others became nations as capitalism broke the pattern of feudal fragmentation and advanced to victory.

II. The formation of nations is a historical outcome of capitalist development

In human history, the era in which capitalism thoroughly defeated feudalism was linked with national movements. National movements were driven by economic causes of this kind: in order to completely break up the feudal natural economy and secure the complete victory of a commodity-exchange economy, the bourgeoisie had to establish a domestic market. This required fully unifying the territories inhabited by people speaking the same language, and at the same time removing every obstacle that hindered the development of that language and hindered fixing that language in written form.

“Language is humanity’s most important tool of communication; the unity of language and the unimpeded development of language are among the most important conditions for ensuring that commercial circulation can truly develop freely and extensively in a way suited to modern capitalism; they are among the most important conditions for enabling the population to combine freely and broadly by their respective classes; and, finally, they are the condition for closely linking the market with every proprietor, large or small, and with sellers and buyers alike.”

Vladimir Ilyich Lenin, The Right of Nations to Self-Determination, See also discussion in J.V. Stalin, Marxism and Problems of Linguistics (1950)

History tells us that the process by which various nations take shape is at the same time the process by which they become independent nation-states. Establishing nation-states that best satisfy the requirements of modern capitalism is the trend of all national movements. For the entire civilized world, the nation-state is the typical, normal form of state in the capitalist period. Therefore, the formation of nations and the establishment of nation-states are both an important condition for capitalist development and a historical outcome of capitalist development. The establishment of nation-states is conducive to capitalist development. “One nation,” “one state”—this is the slogan of the rising capitalism; the class driving force of national movements is the capitalist class.

In Britain, the industrial revolution of the eighteenth century propelled capitalist industrial production and a commodity-exchange economy to develop with unprecedented speed. The diversified demand for raw materials and the boundless need for markets generated, in politics, a demand for centralization. As the strength of the bourgeoisie gradually grew, the bourgeoisie combined the various regions—each previously independent and connected at most by a loose alliance, each with different interests, different laws, different political arrangements, and different tariffs—into a single country possessing a unified government, unified laws, unified national class interests, and unified tariffs. In the struggle over state power, the bourgeoisie ultimately won. On the issue of the “Corn Laws,” after Britain’s Liberal Party, representing the capitalist class, defeated Britain’s Conservative Party, representing the feudal landlords, Britain’s capitalist development entered its heyday.

From the standpoint of interethnic relations, a unitary nation-state provides the best conditions for guaranteeing capitalist development, whereas a multinational state is a sign of relatively backward capitalist development.

The reason a given human community can fuse into a single nation, and on that basis form a nation-state, is—as noted above—that capitalist commodity-exchange has become fully developed, breaking through the narrow confines of tribal society and the natural economy; a common economic life powerfully unites people into an inseparable, stable community. This is both a product of highly developed capitalism and a condition for capitalism’s further development. By contrast, multinational states are formed in the following way: several human communities maintain a certain level of intercourse with one another, but not so close as to break down their mutual boundaries.

Not only are capitalist commodity-exchange relations insufficiently developed, but development among them is also highly uneven. One community takes the lead in forming a nation and demands the establishment of a nation-state, while neighboring or surrounding communities have not yet formed nations and have not yet demanded nation-states. As a result, an advanced nation often uses coercive means to unify the surrounding communities and forms a multinational state. The relationship is one in which the advanced national community rules over and exploits the communities that have not yet formed nations, thereby obstructing the latter’s capitalist development.

In the modern period, when the nations of Western Europe developed into nation-states, other regions instead formed multinational states—that is, states composed of several nations. The Austro-Hungarian Empire and Russia are examples of such states. In Austria, the most developed in capitalist terms at the time were the Germans, and so they assumed the task of unifying Austria’s various nations into a single state. In Hungary, the Magyars were the backbone among the various nationalities, and thus they became Hungary’s unifiers. In Russia, it was the Great Russians—headed by a historically formed, powerful, and well-organized noble military-bureaucratic stratum—who took on the mission of unifying the various nations.

“Only under the conditions in which the feudal system has not yet been abolished, capitalism is not yet highly developed, and the nations relegated to a subordinate position have not yet economically coalesced into full-fledged nations, can there arise this special way of forming a state.”

J.V. Stalin, Marxism and the National Question, II. The National Movement

Kautsky argues in his book Nationalism and Internationality (Part I, Part II) [Nationalität und Internationalität (1907)] that states with a complex national composition—that is, so-called multinational states made up of different nationalities—are “for certain reasons, always states whose internal structure is abnormal or insufficiently developed (backward).” Plainly, by “abnormal” Kautsky means not well suited to what is best adapted to the requirements of capitalist development. [Note: Kautsky quoted in Vladimir Ilyich Lenin, The Right of Nations to Self-Determination]

Lenin holds that history proves Kautsky’s view to be absolutely correct. The national state is the general rule and the “normal” form of capitalism, whereas a nationally complex state is either a backward condition or an exceptional case.

“From the standpoint of national relations, the best conditions for the development of capitalism are undoubtedly provided by the national state.”

Vladimir Ilyich Lenin, The Right of Nations to Self-Determination

Luxemburg, c. 1911 via Wikipedia

Rosa Luxemburg, however, saw it differently. She pointed out that a multinational state has already become an organic whole economically. From the standpoint of social reproduction, its component nationalities are inseparable: if one breaks away from the other, it is difficult to sustain social reproduction. Hence, if one would be mistaken to insist that for all multinational states, establishing single-nation states would always be most beneficial to the development of all nationalities. National independence would sever economic ties among the nationalities, and in the end would produce adverse effects on them themselves.

Lenin criticized Luxemburg’s view. Her main errors were twofold.

  • First, although economic intercourse exists among nationalities within a multinational state, from the standpoint of realizing the conditions of social reproduction, each economic unit can complete that process independently; their mutual connections are not a necessary condition.
  • Second, even if, as Luxemburg maintains, economic ties among nationalities are tightly interwoven, political national independence does not necessarily cut off their traditional economic relations; on the contrary, economic exchange can still continue.

In multinational states, the national movements of backward nationalities reflect a demand to develop capitalism. In ancient, pre-capitalist societies, large empires also often appeared: one militarily powerful nationality ruled and oppressed other weaker nationalities, forming multinational states—for example, the Roman Empire and the Mongol Empire.

Such conquest and occupation served the ruling class of the dominant nationality by securing the submission of weaker nationalities and obtaining large amounts of tribute—that is, wealth needed by exploiters; in economic terms, this is use-value for purposes of life. The acquisition of such use-values has no essential connection with the conduct of social reproduction. For the dominant nationality, the existence of the subject peoples’ traditional natural economy is the basis on which it can seize tribute; therefore, this kind of occupation does not endanger the conquered peoples’ traditional mode of production.

Once capitalism began its rise, the situation changed. During this period, within multiethnic states the exploitation by the advanced capitalist nation(s) of the surrounding backward nations—although it is not a necessary condition for their own social reproduction—can greatly promote the accumulation and concentration of capital, reduce the costs of raw materials and labor power, and open up markets for industrial goods; therefore, it can greatly accelerate capitalist development.

On the other hand, for the backward nations, because of the competitive pressure of the advanced capitalist national economy and political restraints, the budding and growth of their own national capitalism is suppressed, making it difficult for this advanced mode of production to grow smoothly. Even so, in the backward nations, capitalism will still develop, though with great difficulty. As commerce and transportation become ever more developed and large cities appear one after another, the backward nations gradually become capitalist in economic life.

“Capitalism burst into the peaceful life of the nations that had been pushed aside, woke them up, and set them in motion,” “but those awakened, sidelined nations that demanded an independent life could no longer form independent national states, because on their path they encountered the extremely fierce opposition of the leading strata within the ruling nation that had long occupied the leading position in the state.”

J. V. Stalin, Marxism and the National Question

Faced with such opposition, national movements arose accordingly. Therefore, if the national resistance movements of ancient societies were still aimed at protecting a nation’s resources and wealth and its political autonomy, then in the ascending phase of capitalism, the national liberation movements of backward nations were the result of capitalist development pushing them forward. After examining the national movements in various Asian countries, Lenin summed up:

“One point is beyond dispute: capitalism has awakened Asia; everywhere there it has aroused national movements; the tendency of these movements is to create national states in Asia, and only such states can ensure the best conditions for the development of capitalism.”

Vladimir Ilyich Lenin, The Right of Nations to Self-Determination, I. WHAT IS MEANT BY THE SELF-DETERMINATION OF NATIONS?

Thus, the national movements of backward nations against oppression and exploitation, on the surface, proclaim that “the nation wants independence and the people want liberation,” and aim at realizing equality and justice; but in reality their deeper driving force is the requirement of their own national capitalist development. Not to see the economic motive within this is not to penetrate deeply.

In short, the nation is a historical category. National independence and the establishment of a national state are most advantageous to a nation’s capitalist development, and constitute a historical demand posed by capitalist development. Put differently, the formation of nations is a historical result of capitalist development.

As history entered the 1990s, nationalist movements once again became one of the most mobilizing political currents in world politics. After the end of the Second World War, many newly independent developing countries were drawn into the Cold War system of U.S.–Soviet confrontation. Some peoples were split into rival states belonging to the two opposing camps; some different peoples were forcibly combined by external powers into a single state, or turned into a part of some great power. Most of these countries were ones in which capitalist development was backward; some were even pre-capitalist countries. The artificial arrangement and distortion of the territorial areas in which these peoples lived greatly obstructed their modern economic development.

Some countries were compelled to accept externally imposed political and economic models, and the proper course of development of their national economies was disrupted. The terror of the Cold War suppressed nationalist demands. With the collapse of the Cold War system, political movements based on nationality erupted on an unprecedented scale: those calling for national unification did so in order to establish nation-states, and those calling for state secession did so as well in order to establish single-nation states. Their internal driving forces were, for the most part, to develop a commodity economy, improve the people’s living standards, and promote the development of the productive forces. All of this once again demonstrates the realism and vitality of the basic principles of Marxist nationality theory.

Section Three The Essence of the National Question Is a Class Question

I. The National Question Is Closely Related to the Class Question

Marxist political science holds that the national question and the class question are interlinked, and that only by analyzing the national question from a class standpoint can one arrive at profound and scientific conclusions. This is the distinctive feature and strength of Marxist nationality theory. The weakness of the various theories of nationality that emerged before the birth of Marxism lies precisely here. A nation, as one form of organization of human society, has political-scientific significance precisely because of its close connection with the class question.

The national question refers to a series of issues brought about by national differences, national contradictions, and national antagonisms. These arise in the course of interactions among nations, and are manifested chiefly in economic, political, historical, religious, lifestyle, and customary domains. These issues run through the entire process of the existence and development of nations. The class question, by contrast, mainly refers to conflicts of economic interests between classes and the various issues generated by the opposing political demands that arise from those conflicts. So long as classes exist, such opposition and conflict will occur. Then what, exactly, is the relationship between the two?

First, in class societies, a nation is usually divided into different classes. Within a nation, its members are not a unified community with identical interests; on the contrary, they further differentiate internally. According to people’s differing relationships to the means of production, those who possess the means of production form the propertied class, while those who do not possess the means of production form the laboring class. Since nations took shape in the capitalist era, these two antagonistic classes are, respectively, the bourgeoisie and the proletariat. Marx said:

“The French nation has split into two nations: the nation of owners and the nation of workers.”

Karl Marx, The June Revolution, in Neue Rheinische Zeitung June 1848

Clearly, “the nation of owners and the nation of workers” here refers to the bourgeoisie and the proletariat. Therefore, every member of a nation necessarily belongs to some class; and members of a given class may also belong to different nations.

Second, the roots from which the national question and the class question arise are both private property. Precisely this shared root makes the national question and the class question closely connected. The relationship between private property and the emergence of classes has already been analyzed in Chapter Three of this book “Politics is Class Struggle” . As for how private property leads to national oppression, Marx was explicit:

“The existing property relations are the reason why some nations exploit others.”

Karl Marx and Frederick Engels in Deutsche-Brüsseler-Zeitung, On Poland
Speeches at the International Meeting held in London on November 29,1847 to mark the 17th Anniversary of the Polish Uprising of 1830

Capitalism is built upon private ownership of the means of production; and private property and capital inevitably disperse people, ignite national disputes, and produce national oppression. The bourgeoisie—especially monopoly capital—besides exploiting their own people, are bound to extend this exploitation to other nations, indeed to the whole world, establishing a colonialist system of national oppression.

Third, the content of the national question is far broader, and far more complex, than that of the class question. The class question mainly manifests itself in the economic exploitation and political oppression of the ruled by the ruling class. By contrast, the national question, in addition to political oppression and economic exploitation, includes many other elements—for example, the insults and discrimination inflicted by an oppressing nation upon an oppressed nation in language and script, way of life, religious belief, customs, and so on.

The facts show that many factors can give rise to national questions; differences in national characteristics may all become causes of national questions. Frictions and contradictions among nations arising from differences in language and writing, living conditions, customs, and religious belief all belong to the national question. This kind of national question is mainly not caused by the class question, but by national differences. Therefore, even after the exploitative system has been overthrown, such national questions will still continue to exist, until national integration leads to the disappearance of national differences.

II. Multiple relations exist between the national question and the class question

Although the content of the national question is broader and more complex than that of the class question, this does not mean, in political science, that the national question has greater significance than the class question. On the contrary, Marxism not only generally holds that the national question is closely connected with the class question; it also emphasizes that the essence of the national question is a class question, and that the national question must be analyzed from the standpoint of class and class struggle. This is because:

First, the direct cause of national oppression is class oppression. As stated earlier, private ownership of the means of production is the root cause whereby some nations oppress other nations. However, for private ownership to produce national oppression, it must operate through the intermediary of class oppression established on the basis of private ownership. Nations took shape in the period of capitalism’s ascent, and the principal class antagonism in capitalist society is that between the bourgeoisie and the proletariat. That the exploitation and oppression of the proletariat by the bourgeoisie necessarily extends beyond the bounds of the bourgeoisie’s own nation—thereby giving rise to national oppression—is not the result of subjective motives on the part of the capitalist class, but is caused by social-historical and economic reasons. This issue must be analyzed in two periods.

To begin with, in the period of free (competitive) capitalism, the chief reason the sphere of activity of the capitalist class became international did not depend on the laws governing the realization of capitalist society’s products (especially surplus value), but rather, as Lenin pointed out, depended mainly on the historical characteristics of the capitalist mode of production.

  • (1) Capitalism is merely the result of a vast expansion of commodity circulation that goes beyond national boundaries. Therefore, a capitalist country without foreign trade is inconceivable, and indeed no such country has existed in history.
  • (2) Proportionality among the various parts of social production (both in terms of value and in physical form) is a necessary premise of the theory of reproduction of social capital. In capitalist society, because individual producers are isolated and work for a market unknown to them, such proportionality is constantly disrupted. Within a single country, disproportions in the development of different branches of production can be “resolved” through the “violent solution” of economic crisis; in addition, they can also be regulated through external markets.
  • (3) Unlike the laws of pre-capitalist modes of production, the law of capitalist production is the continual transformation of the mode of production and the limitless expansion of the scale of production. Under the old mode of production, individual economic units could persist for centuries without any qualitative or quantitative change. By contrast, capitalist enterprises inevitably go beyond the limits of villages and communes, local markets, regions, and national boundaries.

Next, in the stage of monopoly capitalism, the defining feature of capitalist relations of production shifts from free competition to monopoly. Because monopoly-capitalist enterprises must obtain monopoly profits—and because those monopoly profits cannot be produced within monopoly-capitalist enterprises themselves but must instead be seized from other, non-monopoly economic sectors and from other social strata—the existence of monopoly capitalism presupposes the existence of those other economic sectors and social strata. Not only that: the sources of monopoly profit come not only from within a country but also from abroad. Monopoly capitalism therefore inevitably seeks to establish a world system in which it exploits everyone under its rule. At this stage, the world is divided into oppressor nations and oppressed nations. This division becomes a necessary condition for the reproduction of monopoly capitalism.

In addition, the bourgeoisie’s class oppression expands outward. It proceeds not only peacefully through economic means; in order to subdue its “competitors” more quickly and decisively and to suppress the development of “alien” capitalisms, it often also resorts to various high-pressure measures, such as restricting freedom of movement, depriving people of political rights, closing ethnic schools, banning language and culture, and halting religious activities. As a result, the national question develops from economic exploitation into political oppression, and national contradictions become further intensified.

In this way, capitalism’s system of class oppression gradually develops into a system of national oppression on a world scale.

Second, the core of national struggle is class struggle. In class society, class divisions run deeper than national divisions. For every member of society, class interests are more immediate than national interests. Although national struggle sometimes appears as a nationwide mass movement, once major issues arise within a nation, people always determine their stance according to class interests.

National struggles are for the most part led by the bourgeoisie; the bourgeoisie is the principal actor. Bourgeois interests face threats from two directions: on the one hand, proletarian revolution; on the other, exclusion or pressure from foreign capitalism. When the main threat comes from the latter, the bourgeoisie will spring into action, appealing to “our countrymen of the lower strata,” shouting that “the interests of the fatherland are under threat,” passing off their own private affair as the affair of the whole people, and—“for the interests of the fatherland”—recruiting an army from among its “countrymen.” The “lower strata” do not always ignore such appeals; at times they, too, assemble under the bourgeois banner, because the high-handed methods of the foreign power likewise infringe upon their interests and arouse their discontent. In this way, a national struggle begins.

Then once a national movement begins to awaken the class consciousness of the proletariat—its main fighting force—and once the proletariat’s organizations are tempered through struggle so that the bourgeoisie’s ruling position is threatened, the bourgeoisie will not hesitate to swing its guns around and suppress the proletarian revolution. When necessary, it will even sacrifice national interests and collude with the ruling class of the oppressing nation.

The conduct of the French bourgeoisie during the Franco–Prussian War that broke out in 1871 is a classic example. France’s defeats at the front immediately placed the security of Paris under threat. Yet to defend Paris there was only one way: to arm the working class of Paris, organize it into a genuine military force, and allow it to gain combat experience through battle. But

“to arm Paris is nothing other than to arm revolution. For Paris to defeat the Prussian invaders would be nothing other than the victory of the French workers over the French capitalists and their state parasites. When national duty and class interest came into conflict, the Government of National Defence did not hesitate for a moment; it turned itself into a government of national betrayal.”

Karl Marx, The Civil War in France (1870)

As a result, the victorious army and the defeated army joined forces and together slaughtered the proletariat with savage cruelty.

This war was triggered by the sharpening contradiction between the French bourgeoisie and the Prussian bourgeoisie, and the French bourgeoisie mobilized the proletariat to take part under the slogan of “the interests of the fatherland.” Yet when the French proletariat became the only powerful, organized force in Paris, “class rule could no longer cloak itself in the national garb; in opposition to the proletariat, the governments of all nations were of one accord!

At the moment when the French nation was being most harshly oppressed and humiliated, the French bourgeoisie sold itself to the Prussians: a government that claimed to defend the nation turned into a government that betrayed the people; the bourgeoisie of the oppressed nation relied on the soldiers of the oppressing nation to suppress its proletarian “countrymen” who dared to reach out and seize political power. Thus, in the final analysis, the national struggle is a question of class struggle.

Third, the resolution of the national question must be guaranteed by the resolution of the class question. In other words, resolving the class question can create favorable conditions for a fundamental resolution of the national question.

As analyzed above, class oppression is the source of national oppression; therefore, to eliminate national oppression, one must first eliminate class oppression. There is no doubt about this. It is precisely on the basis of this understanding that Marx and Engels said:

“Once the exploitation of man by man is abolished, the exploitation of nation by nation will also be abolished. Once class antagonisms within a nation disappear, hostility between nations will also disappear.”

Marx and Engels, Manifesto of the Communist Party

However, the class question is not the same as the national question. The national question is broader in content and more complex. Not every national problem is caused by class oppression. Besides class oppression, a nation’s own characteristics and differences can also give rise to national problems. National problems that arise from national characteristics and differences will not immediately disappear as class differences disappear. Lenin said,

“national resentment will not quickly disappear; the hatred of the oppressed nation toward the oppressor nation (which is entirely justified) will still exist for a time, and it will dissipate only after socialism has triumphed and fully democratic relations among all nations have been thoroughly established.”

V. I. Lenin, The Discussion On Self-Determination Summed Up

It should be pointed out that national problems caused by differences in religion, culture, language, lifestyle, customs, and so on are not the principal aspect of the national question. The principal aspect is national oppression and exploitation brought about by class antagonisms. Although resolving the class question cannot directly resolve the national question in its entirety, it can create favorable conditions for safeguarding national equality and respecting national characteristics, thereby helping bring about a thorough resolution of the national question. Therefore, resolving the class question can create the conditions for the final resolution of the national question—and this condition is a necessary one.

Section Four: A Nation that Oppresses Other Nations Cannot Achieve Liberation

I. National oppression is a tool of bourgeois political rule

Engels said:

“A nation which oppresses other nations cannot emancipate itself .”

Frederick Engels 1874, A Polish Proclamation

This is a basic Marxist principle concerning the relationship between national liberation movements and the proletarian revolution. It tells us that when one nation oppresses another, or still retains national privileges, it is difficult for the oppressed classes within the oppressing nation—above all the proletariat, which constitutes the overwhelming majority of the population—to win liberation. When the proletariat supports or tacitly acquiesces in the bourgeoisie’s oppression and exploitation of other nations, it is reinforcing the bourgeoisie’s oppression and rule over itself.

National oppression is an excellent instrument for the bourgeoisie to maintain and consolidate its domination over the proletariat at home. Fully exploiting contradictions among nations is one of the bourgeoisie’s “secret techniques” for preserving class rule.

First, however sharp and irreconcilable class antagonisms may be, when faced with “alien” competition or threats, two hostile classes can always find a common “language.” The bourgeoisie often invokes “patriotism” and “defending national interests” to call for a grand national unity that transcends class, thereby smoothing over increasingly acute class contradictions. During the First World War, quite a few social democrats answered the bourgeoisie’s call, joined the army, and defended the “fatherland.”

Marxism pointedly observed that what they defended with their lives was not the working class’s fatherland, but bourgeois political power—thus, in reality, helping the bourgeoisie forge the chains by which it ruled them. The reason the working class responded to the bourgeoisie’s appeal at that time was mainly that a portion of workers—especially the upper strata of the working class—could indeed obtain some tangible benefits from those hollow “national interests.” From national oppression the bourgeoisie extracts enormous super-profits and monopoly profits; economically, this makes it possible to buy off certain layers of workers, and it may even temporarily win over a considerable number of workers, pulling them to the bourgeois side in opposition to other nations.

Second, at moments when the struggle between the proletariat and the bourgeoisie becomes especially sharp, the bourgeoisie can exploit national antagonisms to divert the people’s attention and redirect the goals of struggle, thereby splitting the ranks of the revolutionary movement. Thus Engels said:

“From the beginning up to the present, the aim of all rulers and their diplomats in their maneuvers and activities can be reduced to one point: to prolong the life of absolutist rule by inciting nations to slaughter one another, and by using one nation to oppress another.”

Frederick Engels, Germany’s Foreign Policy

Marx also said:

“In England, the antagonism between the Irish workers and the English workers has always been one of the most powerful means by which class rule in England is maintained.”

Friedrich Engels, Relations between the Irish Sections and the British Federal Council

It can be seen, then, that the existence of national oppression is a tremendous obstacle to proletarian revolution.

II. The dual character of the violent machine for suppressing other nations

The bourgeoisie always uses the pretext of “putting down rebellions by other nationalities” to organize a standing military force whose main body is drawn from the working class. Under the banner of patriotism it launches wars against other nations, sending workers to charge and fight for the interests of the capitalist class. Yet once such a military force is established, it becomes a powerful instrument for the bourgeoisie to maintain its class rule, turning into a reactionary cudgel used to suppress the revolutionary movement of the domestic proletariat. The force a ruling nation uses to oppress other nations always ends up turning back against itself.

Marx pointed out:

“Ireland is the only pretext the English government has for maintaining a huge standing army; once the need arises—just as has already happened—this army, trained in militarism in Ireland, can be unleashed against the English workers. Finally, what England is now witnessing repeats, on a vast scale, what could be seen everywhere in ancient Rome: a nation that enslaves other nations is forging its own chains.”

Karl Marx, The International Workingmen’s Association, 1870, Confidential Communication on Bakunin

Engels also used Russia as an example to explain the point:

“As long as Russian soldiers continue to occupy Poland, the Russian people can obtain neither political emancipation nor social emancipation. But given Russia’s current level of development, one thing is beyond doubt: once Russia loses Poland, the internal movement in Russia will grow strong enough to overthrow the existing order.”

Frederick Engels 1874, A Polish Proclamation

III. National oppression undermines the unity of the proletariat of the whole world

National oppression can split the international proletarian movement, turning it into opposing political forces organized along national lines. A workers’ movement stamped with a national brand can make workers resent and oppose one another, making it difficult to form a united force.

Marx’s analysis of Britain’s rule in Ireland is highly representative. Marx pointed out that in all of England’s industrial and commercial centers, the working class has now split into two hostile camps: the English proletariat and the Irish proletariat. The ordinary English worker hates the Irish worker, viewing the Irish as competitors who lower his standard of living. The English worker feels himself to be part of the ruling nation in relation to the Irish worker; for that very reason he becomes a tool of the aristocrats and capitalists of his own nation against Ireland, thereby strengthening the aristocrats’ and capitalists’ domination over himself. He harbors religious, social, and national prejudices against the Irish worker. His attitude toward the Irish worker is roughly like the attitude once held by poor white people in the slave states of the United States toward Black people. The Irish, in turn, repay the English worker in the same coin, with interest: they see the English worker as an accomplice in Britain’s domination of Ireland and as a blind instrument of that domination.

All the instruments controlled by the ruling class artificially maintain and intensify this antagonism—newspapers, books and periodicals, the pulpit, and so on. This antagonism is the secret of why the English working class, though it has its own organizations, has no real strength. The capitalist class understands this perfectly well. Therefore the English working class should recognize that Ireland’s national liberation is not for them an abstract question of justice or philanthropy; it is the foremost condition for their own social emancipation.

IV. Supporting national liberation clears the road for the proletariat’s own liberation

Since national oppression is the foremost obstacle to the victory of the proletarian revolution, the proletarian revolution must begin by opposing national oppression. One may even say that victory in the liberation struggle of an oppressed nation is a prerequisite for the success of the proletarian revolution in the oppressor nation.

As discussed above, a fundamental resolution of the national question must be guaranteed by the emancipation of the class question. Here, it is further argued that victory in the liberation struggle of oppressed nations is a precondition for the success of the proletarian revolution. Correctly understanding the relationship between these two aspects is the key to answering this question.

The first principle is explained from the standpoint of the roots of national oppression. Since the root of national oppression is class oppression, it is impossible to truly eliminate national oppression without eliminating class oppression.

The second principle is explained from the standpoint of the path to class emancipation. So long as the bourgeoisie can still draw strength from oppressing other nations in order to consolidate its class rule, the proletariat of the oppressor nation must first oppose the bourgeoisie’s oppression of other nations and support without reservation the independence movement of oppressed nations—so that the bourgeoisie loses this “armor” of national oppression, and so that the force of the proletarian revolution can strike the bourgeoisie directly “on the body.” In this way, the national liberation movement and the cause of proletarian revolution are dialectically linked. In short, class emancipation is the fundamental guarantee of national emancipation; national emancipation is the precondition for class emancipation.

Proceeding from this basic principle, Marx and Engels enthusiastically supported the liberation struggles of many oppressed nations in Europe and Asia at the time, and linked those struggles with the cause of proletarian revolution in Europe’s capitalist countries. They believed that Poland’s national liberation was not only a powerful support for the revolutionary struggle of the Russian people, but also had major significance for the European proletarian revolutionary cause.

Regarding Ireland, Marx said:

“It is not in England, but only in Ireland that a decisive blow can be struck at the English ruling classes.”

Letters of Karl Marx 1870, Marx to Sigfrid Meyer and August Vogt In New York

Because Ireland was the secret source through which the British bourgeoisie maintained its rule. Ireland was not only the material pillar of British aristocratic and bourgeois domination; it was also its greatest spiritual force. As long as the English working class had not freed itself from Ireland, it had no way forward. The lever must be placed in Ireland. Before the policy of the English working class toward Ireland made a clean break with the policy of the ruling class—before it had achieved united action with Irish workers—it would never accomplish anything of decisive significance on British soil. For this reason, Marx proposed that one important task of the International Working Men’s Association was to awaken the English working class, to make them aware of this point, and to take Ireland’s side openly everywhere.

In short, the freedom of a neighboring nation is always a guarantee of one’s own nation’s freedom; no one can enslave another nation without being punished themselves. For the sake of one’s own freedom and emancipation, one must join the movement of other nations striving for liberation.

V. The national question is part of the overall question of social revolution

The national question must not be regarded as something self-contained and unchanging. The national question is only one part of the overall question of transforming the existing system; it is completely determined by the conditions of the social environment, by the nature of state power, and, generally speaking, by the entire course of social development. Therefore, the development of the national question always corresponds to the character of the revolutionary movement in each historical period. At the same time, the national question in turn directly affects the course of social revolution.

On the basis of this fundamental principle, from the standpoint of national movements, two fundamentally different capitalist eras have existed in history.

“One era is the era of the collapse of feudalism and absolutism, the era in which a bourgeois-democratic society and state take shape; at that time national movements for the first time became mass movements, and by means of the press, participation in representative institutions, and so on, they drew—one way or another—the inhabitants of all classes into political life.

The other era is the era in which the capitalist states have already fully taken shape, constitutional systems have long been established, and the antagonism between proletariat and bourgeoisie has developed on a large scale; this era may be called the eve of capitalism’s collapse.”

Vladimir Ilyich Lenin, The Right of Nations to Self-Determination,2. THE HISTORICALLY CONCRETE PRESENTATION OF THE QUESTION

In the period of capitalism’s ascent, the national movement was part of the bourgeois-democratic revolution. The national movements that then arose were linked to the era in which capitalism thoroughly defeated feudalism. Politically, they sought to break the fragmentation of feudal principalities and the rigidly hierarchical aristocratic politics; they demanded that the principles of freedom and equality—principles characteristic of a commodity-exchange economy—be implemented in the political sphere, thereby creating conditions for the capitalist class to exploit labor power on equal terms and for proletarians to sell their labor power freely.

Economically, the motive of the national movement was to smash the feudal, self-sufficient relations of production, to open up fully the domestic market within the state, so that the capitalist mode of production could develop rapidly and achieve complete victory. It was precisely these profound political-economic causes that drove certain European peoples to develop into capitalist nations and, politically, to demand the establishment of unified nation-states.

In Eastern Europe at that time, the situation was somewhat different. Because capitalist development was relatively backward and highly uneven, multi-national states were often formed around a single more advanced and powerful nation. In such states, smaller nations in a subordinate position faced two major obstacles on the road to nation-formation:

  • First, the pre-capitalist feudal political and economic order—an hereditary aristocratic politics based on bloodlines, territorial fragmentation, and a natural economy centered on the lordly manor。
  • Second, oppression by the alien capitalist power that occupied the ruling position. Under these conditions, the bourgeois revolution of backward nations carried a dual task: a democratic revolution and a national revolution.

With the development of capitalism, some smaller nations began to demand liberation from alien rule and the establishment of their own nation-states. Poland, Hungary, and the Czech lands, for example, saw successive revolutionary movements for national independence.

In this period,

“because the struggle was for general political freedom, especially national rights, and because the national movement was in full swing, the most numerous and ‘hardest to rouse’ stratum of the population—the peasantry—was drawn into this movement,”

Vladimir Ilyich Lenin, The Right of Nations to Self-Determination,2. THE HISTORICALLY CONCRETE PRESENTATION OF THE QUESTION

and so, for the first time, the national movement appeared in the form of a mass movement. But the movement was always led by the bourgeoisie, subordinated to the interests of the bourgeois revolution, and aimed at establishing a bourgeois nation-state. In this sense, the national movements of that era constituted a part of the world bourgeois revolution.

However, the national independence movements of backward nations oppressed within multi-national states were more complex. Their tasks included not only opposing feudalism within their own nation, but also resisting external oppression by an alien ruling nation.

If the completion of the first task, as analyzed above, formed part of the world process of bourgeois-democratic revolution, then in carrying out the second task the nationalist movement indirectly supported the revolutionary movement of the proletariat within the oppressor nation. This is because the first forces struck in such a nationalist movement were the oppressor nation’s bourgeoisie—thereby supporting and strengthening the proletariat’s forces for social revolution.

In addition, creating conditions of national independence is also important for the growth of the proletariat in the oppressed nation, because eliminating national oppression is a basic condition for the healthy development of every proletarian movement. Engels compared the importance of national independence to the need for

“soil, air, light and space.”

Marx-Engels Correspondence 1882, Nationalism, Internationalism and the Polish Question

A proletarian revolution can develop in a healthy way only within the bounds of an independent nation.

Thus, the relationship between the independence movement of oppressed nations and social revolution includes two aspects: on the one hand, it directly became a component of the world bourgeois-democratic revolution; on the other hand, it indirectly supported the revolution of the proletariat in the oppressor nations, while also creating conditions for the smooth development of the proletarian movement within the oppressed nation itself, and it began to link up with the world proletarian revolution.

Of course, in this period that linkage was still confined to particular regions or a small number of European countries, and it usually remained restricted to the narrow range of questions primarily connected with the major “civilized” nations.

“The Irish, the Hungarians, the Poles, the Finns, the Serbs, and a number of other European nations—these were the peoples without full rights whose fate concerned the activists of the Second International.”

Joseph Stalin, The Foundations of Leninism, VI THE NATIONAL QUESTION

Meanwhile, among the peoples of Asia and Africa who suffered the most crude and brutal national oppression, the connection between their national movements and the world revolution had not yet become clear. That connection would become the historical theme of the next era.

As the world entered the epoch of imperialism, the problem of national oppression further intensified and expanded under new historical conditions. The national question developed from a domestic and local problem into a general and global problem; it became a worldwide issue in which all oppressed nations and all colonial and semi-colonial peoples demanded liberation from imperialist oppression. Their common interests forged them into an allied force.

Lenin said that a typical phenomenon of this era was that bourgeois-democratic movements lost their mass character; capitalist development brought the various nations—now fully drawn into the circuits of trade—closer together and made them live intermingled with one another; and it put to the fore the antagonism between capital unified on an international scale and the international workers’ movement. National liberation movements increasingly became a component of the proletarian revolution.

First, in the imperialist epoch, the development and growing frequency of all kinds of interconnections among nations, the breaking down of national barriers, and the formation of international unities in economic life and political life, and so on, caused the nations to form a single world system. Within this system there existed two opposing camps: one was the camp of a tiny number of “civilized” nations possessing finance capital and exploiting the overwhelming majority of the earth’s inhabitants; the other was the camp of the oppressed and exploited nations in colonies and dependent countries that together constituted that overwhelming majority.

The division of the world into oppressor nations and oppressed nations is the principal feature of world politics in the imperialist epoch. The colonies and dependent countries oppressed and exploited by finance capital are imperialism’s greatest reserve and its most important source of strength. This strength both consolidated the oppression of colonies and dependent countries and reinforced domination over the proletariat.

For the oppressed nations of dependent countries and colonies, anti-imperialist revolutionary struggle is the only path by which they can cast off oppression and exploitation. Once they set out on the road of national liberation, that movement is bound to precipitate a crisis of world capitalism. If such a crisis emerges, it will be both the victory of the oppressed nations and the victory of the world proletarian revolution. Therefore, the interests of the proletarian movement in both the developed countries and the national liberation movement in the colonies require that these two revolutions be combined into a single common front against their shared enemy—an anti-imperialist common front.

If a common revolutionary front is not established and consolidated, then the working class in the advanced countries cannot win, and the oppressed nations likewise cannot be freed from the shackles of imperialism. And in order to build a common revolutionary front, the proletariat of the oppressor nations must directly and resolutely support the liberation movement of the oppressed nations in opposition to its own “imperialism,” because

“a nation that oppresses other nations cannot emancipate itself.”

Frederick Engels 1874, A Polish Proclamation

The problem is indeed this: in the course of the world revolution, if the revolution of oppressed nations does not succeed, the proletarian revolution is difficult to complete; and if the proletarian revolution is not completed, national liberation is likewise difficult to achieve. Therefore, the proletariat of the metropolitan (imperialist) countries must directly and resolutely assist the oppressed nations in their liberation, and support the slogans of the “right of national secession” and the “right to organize an independent state.”

Conversely, oppressed nations should, on the one hand, rise up to demand political and economic independence and equality for their own country, shaking off every shackle of oppression; and, on the other hand, actively participate in the overall struggle of the world revolution, oppose all narrow and vengeful national prejudices, and become a member of the world proletarian revolution—because national interests can be secured only within the overall interests of the world proletariat.

In short, the proletariat of the metropolitan countries should advocate “freedom of secession,” while oppressed nations should advocate “freedom of union.” This is the basic attitude and standpoint of Marxism in viewing the relationship, in the imperialist era, between national liberation and proletarian revolution.

Second, in the imperialist era, national liberation movements should not proceed merely from the interests of one’s own nation, but even more from the fundamental interests of all humanity. The national question has only a relative historical significance; compared with the proletariat’s class struggle against the bourgeoisie, and compared with the cause of socialist revolution, it has only a subordinate significance. Lenin said:

“The separate demands of democracy, including self-determination, are not something absolute, but a small part of the general world democratic (now general world socialist) movement. In individual concrete cases, the part may contradict the whole; then the part must be discarded.”

V. I. Lenin, The Discussion On Self-Determination Summed Up

This means that the development of national liberation movements must be subordinated to the needs of the common cause of the international proletariat against imperialism. Only with the support of the proletarian revolutionary movement can national liberation movements develop smoothly; national freedom and national equality can receive a fundamental guarantee only after the victory of the proletarian revolution.

“Compared with the ‘workers’ question,’ the national question has only a subordinate significance—this, in Marx’s view, is beyond doubt.”

Vladimir Ilyich Lenin, The Right of Nations to Self-Determination, 8. THE UTOPIAN KARL MARX AND THE PRACTICAL ROSA LUXEMBURG

Because the ultimate aim of the proletarian revolution is to liberate all nations of humanity. No other class can realize this goal, and no partial national movement can attain it.

Therefore, the national movement is only one part of the world proletarian revolution.

Section Five National integration is the result of the high development of all nationalities

I. The right of national self-determination is the right to political independence

Marxist political science holds that the so-called right of national self-determination means the right of an oppressed nation to secede from a state of another nationality; it is the right to establish an independent nation-state.

“This means that, from a historical and economic standpoint, what the Marxists’ programme calls ‘national self-determination’ can have no other meaning than political self-determination, i.e., state independence and the formation of a national state.”

Vladimir Ilyich Lenin, The Right of Nations to Self-Determination, 1. WHAT IS MEANT BY THE SELF-DETERMINATION OF NATIONS?

As early as the ascending period of capitalism, the slogan of the right of national self-determination emerged in step with the bourgeois democratic revolution. Its main content at the time was opposition to feudalism and to oppression by other nationalities, and the demand to establish independent bourgeois states. It was precisely this slogan that played an important role in propelling national movements initiated by the bourgeoisie among oppressed nations. For this reason, Marx fully affirmed this principle and linked it with the interests of the proletarian struggle.

In the stage of imperialism, imperialist national aggression and policies of large-scale annexation divided the world into oppressor nations and oppressed nations. Not only did this division transform the right of national self-determination from a matter concerning only a few countries into a worldwide issue, it also changed it from a bourgeois-democratic slogan into a slogan of struggle against imperialism. It also required the proletariat in oppressor nations to resolutely support all liberation movements of oppressed nations, up to and including full recognition of their right of national self-determination. Within the Second International, fierce debates unfolded over what the right of national self-determination ought to mean under the new historical conditions.

Marxists led by Lenin elaborated its meaning in detail. In political terms, the right of national self-determination is only a right to independence—namely, the right freely to separate, politically, from the oppressor nation. Concretely, this political-democratic demand means complete freedom to advocate separation and to agitate for separation, and that the nation seeking separation should resolve the question of separation by a referendum of the whole people. The right of national self-determination is the thoroughgoing expression of opposition to all national oppression.

For the right of national self-determination to be genuinely realized, specific requirements are posed both to the proletariat of the oppressor nation and to the proletariat of the oppressed nation.

First, the proletariat of the oppressor nation cannot oppose annexations and favor national equality in general merely with vague, cookie-cutter platitudes—the kind repeated by every “peace-loving” bourgeois. On the question that is especially “unpleasant” to the imperialist bourgeoisie—namely, the question of state frontiers founded on national oppression—the proletariat cannot keep silent. The proletariat cannot fail to oppose the forcible retention of oppressed nations within the state’s frontiers; that is to say, it must fight for the right of self-determination. The proletariat must demand political freedom of separation for the colonies and nations oppressed by “its” nation.

Otherwise, the proletariat’s internationalism remains empty talk. Mutual trust and class unity between the workers of the oppressed nation and the workers of the oppressor nation become impossible. The hypocrisy of the opportunists and reformists cannot be exposed. Those are people who keep quiet about nations oppressed by “their own” nation and forcibly kept within “their own” state. [Translator’s Note: This paragraph paraphrasing Vladimir Ilyich Lenin, The Right of Nations to Self-Determination.]

Second, the proletariat of oppressed nations must stick especially firmly to, and to realize, the complete and unconditional unity (including organizational unity) of the workers of oppressed nations with the workers of the oppressor nation.

Otherwise, under the various ruses, betrayals, and deceptions of the bourgeoisie, it will be impossible to defend the proletariat’s independent policy and its class solidarity with the proletariat of other countries. The bourgeoisie of oppressed nations often turn slogans of national liberation to their own purposes. These slogans become a way to deceive the workers:

  • In domestic policy, it uses these slogans to enter into reactionary compromises with the bourgeoisie of the ruling nation;
  • In foreign policy, it strives to collude with one of the competing imperialist great powers in order to achieve its own predatory aims.

Many leaders of the Second International’s social-democratic parties usually treated the question of oppressed nations as a purely juridical question. What they busied themselves with was making high-sounding declarations of “equal national rights” and issuing countless pronouncements about “national equality.” They obliterated the fact that, in the era of imperialism—when certain nations (a minority) live by exploiting other nations—so-called “national equality” is nothing but a mockery by the oppressor nations.

Lenin exposed this bourgeois-juridical viewpoint, brought the national question down from the lofty skies of boastful declarations to the ground, and pointed out that if proletarian parties do not directly assist the liberation struggle of oppressed nations, then declarations of “national equality” are empty and hypocritical. Thus the question of oppressed nations became a question of supporting and assisting oppressed nations in opposing imperialism, striving for genuine national equality, and striving to establish independent states. [Note: paragraph parallels Joseph Stalin, The Foundations of Leninism, VI THE NATIONAL QUESTION and V. I. Lenin
The Socialist Revolution and the Right of Nations to Self-Determination]

II. National self-determination must be subordinated to the fundamental interests of the proletarian revolution

Oppressor nations must assist the national liberation movements of the peoples of all oppressed nations and dependent countries. But this does not mean that the proletariat, everywhere and at all times, in every specific concrete case, should assist every kind of national movement.

First, the right of national self-determination does not mean encouraging every demand for separation, fragmentation, or the creation of small states. For, from the standpoint of social development and the aspirations of the proletariat, there is no desire for nations to separate; whether in terms of economic development or the interests of the broad masses, the advantages enjoyed by large states are beyond doubt. The aim of socialism is not only to eliminate the phenomenon of humanity being divided into many states and every form of national isolation; it is not only to bring nations closer together, but to integrate and merge them.

Therefore, it is unscientific to understand the right of national self-determination as encouraging separation, fragmentation, or the creation of small states. The proletariat upholds the right of national self-determination, but it does not advocate that any nation, under any conditions, may exercise the right of self-determination. The purpose of the proletariat’s support for the liberation movements of oppressed nations is to weaken imperialism and overthrow imperialism, not to strengthen or preserve imperialism through that kind of national movement.

Second, at times the national movement of a particular oppressed country may come into conflict with the interests of the development of the proletarian movement. Needless to say, in such cases there can be no talk of offering any assistance. The question of national rights is not an autonomous question that exists on its own; it is one part of the overall question of the proletarian revolution. It is subordinate to the whole and must be viewed from the standpoint of the whole. Lenin said:

“The particular demands of the democratic movement, including self-determination, are not something absolute; they are a small part of the world-wide democratic (now world-wide socialist) movement. In particular concrete cases, the part may contradict the whole; then it is necessary to discard that part.”

V. I. Lenin, The Discussion On Self-Determination Summed Up, 7. Marxism or Proudhonism?

In the 1840s Marx supported the national movements of the Poles and the Hungarians, but opposed the national movements of the Czechs and the South Slavs. Why? Because at that time the Czechs and the South Slavs were “reactionary nations,” Europe’s “Russian outpost,” an outpost of absolutism, whereas the Poles and the Hungarians were “revolutionary nations” opposed to absolutism. Because, at that time, to aid the national movement of the Czechs and the South Slavs was indirectly to aid the most dangerous enemy of the European revolutionary movement: Tsarism.

As for the nature of a national movement, it should not be appraised and judged formally, nor from an abstract juristic standpoint, but rather from the standpoint of the interests of the revolutionary movement. The question of a particular national movement, including the question of the possible reactionary character of such movements, should be approached in this way.

Third, the unquestionable revolutionary character possessed by the overwhelming majority of national self-determination movements—just like the possible reactionary character of certain individual national movements—is relative and specific. Under conditions of imperialist oppression, the revolutionary character of a national movement by no means necessarily presupposes that proletarian elements participate in the movement, that it has a revolutionary program, or that it rests on a democratic foundation.

The struggle waged by the Emir of Afghanistan for Afghan independence was, objectively, a revolutionary struggle, because it could weaken, disintegrate, and damage imperialism—even though the Emir of Afghanistan and his comrades-in-arms held monarchist views.

However the struggles waged during the imperialist war by “radical” democrats and “socialists,” “revolutionaries,” and republicans such as Kerensky and Tsereteli, Renaudel and Scheidemann, Chernov and Dan, Henderson and Clynes were reactionary struggles, because their result was to whitewash and consolidate imperialism and to secure victory for imperialism.

Interlude: Who were They?

  • Alexander Kerensky (1881–1970) — Russian Socialist-Revolutionary–aligned politician (also linked to the Trudoviks) who became the most prominent leader of the Russian Provisional Government in 1917 (Minister of Justice/War, then Prime Minister). A gifted orator and symbol of “revolutionary democracy,” he tried to steer a middle course: continue the war while expanding political freedoms—an approach that collapsed as authority drained to the soviets and the Bolsheviks seized power in October.
  • Irakli Tsereteli (1881–1959) — Georgian Menshevik social democrat and one of the key figures in the Petrograd Soviet in 1917. He championed “revolutionary defensism” (supporting the war conditionally as a defensive struggle) and sought cooperation with liberals in a coalition government. Often described as a principal architect of the Menshevik strategy that tried to stabilize a democratic revolution rather than push immediately to socialist power.

  • Pierre Renaudel (1871–1935) — French socialist leader in the SFIO — the French Section of the Workers’ International—the main French socialist party of the Third Republic era. Renaudel became a leading voice of the pro-war, reformist “majority” during World War I (often associated with “Union sacrée” politics). He supported participation in wartime governments and advocated a parliamentary, gradualist road—positions that put him at odds with anti-war and revolutionary currents in French socialism.
  • Philipp Scheidemann (1865–1939) — German Social Democratic (SPD) leader and a central figure in the German Revolution of 1918–19 on the parliamentary-republican side. He famously proclaimed the German Republic in November 1918 and later served as Chancellor of the Weimar Republic. A staunch opponent of Bolshevik-style revolution, he backed building a democratic state through elections and institutions, not soviet power.

  • Viktor Chernov (1873–1952) — Principal theorist and leader of Russia’s Socialist-Revolutionary (SR) Party, rooted in populist and agrarian socialism. He served briefly as Minister of Agriculture in 1917 and pushed sweeping land reform. After the Bolshevik takeover, he became a major SR opponent; his party’s mass base among peasants and its wavering stance on power helped define (and weaken) the non-Bolshevik socialist alternative.
  • Fyodor Dan (1871–1947) — Prominent Menshevik intellectual and organizer, influential in 1917 and afterward. Like Tsereteli, he favored a democratic revolution with broad coalition politics and resisted Bolshevik one-party rule. In exile he became an important critic and chronicler of the revolution, representing the Menshevik tradition of constitutional, party-based socialism.

  • Arthur Henderson (1863–1935) — British Labour leader and trade-union statesman who helped make Labour a national governing party. He served in wartime coalition governments during WWI and later acted as a major figure in Labour’s parliamentary path to reform. Internationally, he was a prominent advocate of diplomacy and collective security (including work tied to the League of Nations), embodying Labour’s reformist, constitutional tradition rather than insurrectionary revolution.
  • J. R. Clynes (1869–1949) — British Labour and trade-union leader, from a working-class background (a former mill worker), who became a key parliamentary figure. He served as a senior Labour minister (notably Home Secretary in 1924) and helped steer Labour toward practical governance and incremental social reform. Like Henderson, he represents the “Labourist” route: mass organization, elections, and legislation over revolutionary rupture.

End Interlude

For the same reason, the struggle waged by Egyptian merchants and bourgeois intellectuals for Egyptian independence was also, objectively, a revolutionary struggle, even though the leaders of the Egyptian national movement came from the bourgeoisie, possessed bourgeois status, and opposed socialism. Yet, for the same reason, the struggle waged by the British “Labour” government to preserve Egypt’s dependent status was reactionary—even though that government’s ministers came from the proletariat, possessed proletarian status, and “supported” socialism. In other larger colonies and dependent countries, such as India and China, every step on the road to liberation, even if it runs counter to formal democratic demands, is a very heavy blow against imperialism; that is to say, beyond doubt, a revolutionary step.

Lenin said that, when assessing the national movements of oppressed countries, we should not take “formal democracy” as the standard, but rather the actual results, in the final reckoning, of the anti-imperialist struggle. That is to say:

“It should be viewed from the standpoint of the world as a whole, and not in isolation.”

V. I. Lenin, The Discussion On Self-Determination Summed Up, 7. Marxism or Proudhonism?

With regard to the principle of the right of nations to self-determination, there were once intense debates during the period of the Second International. At that time, interpretations of, and the significance attributed to, the right of nations to self-determination gave rise to many erroneous understandings and opportunist viewpoints. Lenin upheld the Marxist method of thought and resolutely criticized all kinds of mistaken views.

First, some leaders of the Second International understood the right of nations to self-determination in an “absolute economic” sense, and drew the conclusion that it could not be realized within the bounds of capitalism. The famous German proletarian revolutionary leader Rosa Luxemburg made precisely this mistake on the question.

Luxemburg’s erroneous understanding of the right of nations to self-determination was based on her mistaken theory of capitalist reproduction. She believed that, from the standpoint of realizing social reproduction, the capitalist mode of production cannot be realized by itself and must rely on a non-capitalist “third party.” In multi-ethnic states, oppressed nations play the role of this “third party.” Therefore, the oppression of backward nations by advanced capitalist nations is, in an absolute economic sense, necessary.

At the same time, she confused the oppressed nation’s freely separating from the oppressor nation and striving for political independence with the notion that it must, economically, necessarily sever ties with the “metropolitan country,” and she therefore believed that national self-determination would also necessarily be unfavorable to the economic development of backward nations. She pointed out that supporting the national self-determination of oppressed nations in fact benefits only that nation’s bourgeois nationalism. She did not see that the political independence of oppressed nations delivers a blow to the bourgeoisie of the oppressor nation and supports the proletarian revolution.

Lenin pointed out that the assertion that the right of nations to self-determination cannot be realised within the confines of capitalism is, in theory, fundamentally mistaken.

  • (1) Under the capitalist system, things like labour money or the elimination of crises are not realisable; but to think that national self-determination is likewise unrealizable is entirely wrong. From the standpoint of Marxism on the conditions of capitalist reproduction, the existence of a “third party” is not a necessary condition.
  • (2) Even the single example of the separation of Norway from Sweden in 1905 is sufficient to refute the claim that national self-determination, in this sense, “cannot be realised.”
  • (3) If Germany and Britain were to alter their political and strategic relations today or tomorrow, the formation of new states such as Poland or India would be entirely “possible”; to deny this is ridiculous.
  • (4) Finance capital strains to expand outward, “freely” buying off and bribing the officials elected in the freest democratic republics, and in any country, even in “independent” countries. The rule of finance capital, like the rule of capital in general, cannot be abolished by any reforms in the sphere of political democracy; whereas self-determination belongs wholly to the sphere of political democracy.

Yet this rule of finance capital in no way eliminates the effect of political democracy as a freer, broader, and more conspicuous form of class oppression and class struggle. That is to say, although even states that have achieved national independence can hardly escape the domination of finance capital, the political-democratic demand of national self-determination can still be realised, and this political right of separation and independence also has an important role.

Second, the principle of national self-determination is often distorted, and is frequently reduced to a right of national autonomy. Some leaders of the Second International even transformed the right of self-determination into cultural autonomy, that is, the right of oppressed nations to establish their own cultural organs while leaving all state power still in the hands of the ruling nation.

The national programme advanced by figures such as Otto Bauer and other opportunists of the Austrian Social Democratic Party and the Second International is a representative expression of the viewpoint of national-cultural autonomy. They first held that a nation is a community of people with a common culture, and that

“nation and territory have no essential connection; the nation is an autonomous union of persons.”

J. V. Stalin, Marxism and the National Question, IV. CULTURAL-NATIONAL AUTONOMY

Next, they advocated using a method of voluntary civic registration to form the members of the same nationality scattered across different places into a legally constituted “nation,” electing a national committee. According to this view,

“the national committee is the national cultural parliament; it has the right, for the administration of national education, national literature, art and science, and for the establishment of academies, museums, art exhibition halls, and theatres, to lay down principles and approve expenditures,”

J. V. Stalin, Marxism and the National Question, IV. CULTURAL-NATIONAL AUTONOMY

and so on. In short, autonomy is implemented in cultural affairs, while in politics governance is carried out by the bourgeois parliament, preserving bourgeois rule. This programme was supported by opportunists in many countries’ social democratic parties, especially by the Bundists in Russia.

Lenin denounced national-cultural autonomy [Note: see V. I. Lenin, The National Programme of the R.S.D.L.P.] as the most refined, the most thoroughgoing, and the most harmful nationalism, because national-cultural autonomy must be strictly distinguished from national self-determination:

  • (1) national-cultural autonomy presupposes the integrity of a multi-national state, whereas self-determination goes beyond the bounds of such integrity;
  • (2) self-determination grants a nation the full set of rights, whereas national-cultural autonomy is limited only to “cultural rights.” If cultural autonomy is used to replace national self-determination, it turns the idea of self-determination from a tool for opposing a policy of annexation into a tool for defending a policy of annexation.

Lenin emphasized that the concept of national self-determination can only be interpreted as the right of oppressed nations in dependent countries and colonies to complete separation, and as the right of nations to establish independent states. Only in this way can one exclude the possibility of interpreting the right of self-determination as a right to autonomy in order to justify a policy of annexation. Thus, the principle of national self-determination is transformed from an instrument for deceiving the masses into an instrument for exposing every imperialist ambition and chauvinist scheme, and into an instrument for giving the masses political education in the spirit of internationalism.

III. National equality and national integration are the historical requirements of proletarian revolution

Marxist political science holds that, at the stage of capitalist development, it is impossible to implement genuine national equality. Without genuine national equality it is impossible to realize genuine national integration, because national equality is a necessary precondition for national integration. Only the proletariat can truly achieve national equality, because putting into practice the principle of complete equality among all nations accords with the proletariat’s fundamental interests. In the imperialist epoch, implementing the principle of national equality is the only road by which the proletariat can fulfill the tasks of socialist revolution. After all nations have achieved national equality, the inevitable trend of historical development is to move toward national integration.

Lenin wrote:

“In the course of capitalism’s development, two historical tendencies can be seen in the national question. The first tendency is the awakening of national life and national movements, the struggle against all national oppression, and the formation of national states. The second tendency is the development and increasing frequency of all kinds of ties among nations, the breakdown of national barriers, and the formation of the international unity of capital, of economic life in general, of politics, of science, and so on. Both tendencies are world laws of capitalism. The first tendency predominates in the early period of capitalism’s development; the second tendency marks capitalism’s maturity and its transition toward a socialist society.”

V. I. Lenin, Critical Remarks on the National Question, 3. THE NATIONALIST BOGEY OF “ASSIMILATION”

If the first tendency calls for national self-determination and equality, then the second tendency points toward integration among nations.

“National equality,” as a slogan of bourgeois-democratic politics, was raised during the period of the bourgeois revolutions in order to oppose feudalism and oppression by alien peoples. In the process of breaking through feudal fortresses, opposing foreign-national oppression, and establishing bourgeois national states, this slogan once played a historically progressive role. But once the bourgeoisie has completed the task of national independence, it casts the slogan of “national equality” to the winds. Having seized state power, the bourgeoisie begins again to oppress the people of its own nation and other nations as well.

“By its very nature, bourgeois democracy is distinguished by raising the question of equality in the abstract, or only in a formal sense, including the question of national equality. In the name of equality of the individual, bourgeois democracy proclaims the formal or legal equality between the propertied and the propertyless, between exploiters and the exploited—thereby greatly deceiving the oppressed classes. The very idea of equality is a reflection of commodity-production relations; under the pretext of absolute individual equality, the bourgeoisie turns this idea into a weapon in the struggle against abolishing classes. The true meaning of the demand for equality can only be the demand to abolish cl asses.”

V. I. Lenin, Draft Theses on National and Colonial Questions For The Second Congress Of The Communist International

But the historic mission of abolishing classes is not something the bourgeoisie can accomplish.

With the entry into the era of imperialism, in order to meet the needs of external aggression, the bourgeoisie once again trumpets the notion that nations are “superior” or “inferior,” and it further expands the national question into a worldwide question of nations and colonies. In outward form, the links among the world’s peoples in this period become unprecedentedly tight, reaching an unprecedented “integration.” In substance, however, this merely formal “integration” only intensifies antagonism among nations and the tendency toward separation, because it is not built on the basis of national equality, but on the basis of armed annexation and conquest.

Commenting on this kind of “integration,” Lenin wrote:

“To achieve the common aim of complete equality among all nations, of their close rapprochement, and then of their fusion, it is obvious that one must take very different concrete paths—just as there are different ways of reaching the center point of a sheet of paper: you can walk leftward from one edge, or rightward from the opposite edge, and you will reach it all the same. If the Social-Democrats of an oppressing, annexing great nation merely preach national fusion in general, and forget—even for a minute—that ‘their’ Nicholas II, ‘their’ Wilhelm, George, Poincaré, and the rest also stand for fusion with small nations (by means of annexation); if they forget that Nicholas II stands for ‘fusion’ with Galicia, Wilhelm II stands for ‘fusion’ with Belgium, and so on—then such Social-Democrats are ridiculous doctrinaires in theory and accomplices of imperialism in practice.”

V. I. Lenin, The Discussion On Self-Determination Summed Up, 7. Marxism or Proudhonism?

For imperialism, these two tendencies—national equality and national amalgamation—form an irreconcilable contradiction. For imperialism cannot survive unless it exploits the colonies and uses violence to bind them within the confines of a “unified whole.” Therefore, imperialism can only rely on annexing and seizing colonies to bring nations closer to one another, and such “closeness” is a precondition for imperialism’s existence.

Marxism has repeatedly stressed that a nation which oppresses other nations cannot itself attain liberation. Where one nation discriminates against another, or still preserves national privileges, there can be no talk of proletarian emancipation. Only by upholding national equality can the proletariat of the whole world achieve unity across national lines. The proletariat can finally liberate itself only by liberating all humanity. Therefore,

“Down with all feudal oppression; down with all national oppression; down with all privileges of any one nation or any one language—this is the absolute duty of the proletariat as a democratic force, and the absolute interest of the proletariat’s class struggle, which is obscured and obstructed by national strife.”

V. I. Lenin, Critical Remarks on the National Question, 4. “CULTURAL-NATIONAL AUTONOMY”

Therefore, only the proletariat can endow national equality with genuinely thoroughgoing revolutionary content:

First, the nations of the world differ in size, strength, and in levels of advancement and backwardness, but there is no distinction of superiority versus inferiority, or nobility versus baseness. All nations are equal. From antiquity to the present, every nation has had its own strengths, and may be superior to other nations in certain respects. Every nation has contributed to the common treasury of world culture.

Second, to uphold national equality one must oppose every form of national privilege. In particular, the rights of small and weak nations must be protected unconditionally. Great nations must compensate for the historically formed inequalities by accepting inequality in their own treatment; only in this way can even the slightest distrust, estrangement, suspicion, and hostility among nations be eliminated.

Third, the principle of national equality requires the gradual elimination of inequalities that exist in fact. Since

“the relations among nations depend on the degree of development of each nation’s productive forces, division of labour, and internal intercourse,”

Karl Marx. The German Ideology. 1845, Part I: Feuerbach, Opposition of the Materialist and Idealist Outlook, A. Idealism and Materialism, [3. Production and Intercourse. Division of Labour and Forms of Property – Tribal, Ancient, Feudal]

socialist states, in handling national relations, must first help backward nations transform old relations of production and develop their economy and culture; otherwise national equality will become empty talk.

Fourth, the real meaning of demanding equality can only be demanding the abolition of classes. Any demand for equality that goes beyond this scope is bound to lapse into absurdity. For as long as class exploitation and class oppression exist, national exploitation and national oppression will inevitably exist. Therefore, only by abolishing class exploitation and oppression and achieving equality among people can equality among nations become possible.

To uphold the thoroughgoing principle of national equality is in order to realize national unity and national fusion. For the proletarian revolutionary movement, national equality and national fusion are one and the same issue—two aspects of the issue of oppressed nations freeing themselves from imperialist oppression. The association of nations within a unified world economy can be achieved only on the basis of mutual trust and voluntary agreement; and the voluntary association of nations can be achieved only by way of separating colonies from the “unified” imperialialist “whole,” by way of turning colonies into independent states. Lenin said:

“People who do not examine the question carefully will think it ‘contradictory’ that Social-Democrats of the oppressing nations insist on ‘freedom of secession’ while Social-Democrats of the oppressed nations insist on ‘freedom of union.’ But the slightest reflection will show that there is no other, and can be no other, road to the goal of internationalism and the fusion of nations than this state of affairs.”

V. I. Lenin, The Discussion On Self-Determination Summed Up, 7. Marxism or Proudhonism?

That is to say, the proletariat strives to bring the nations closer together and even to fuse them further, but the method of attaining this goal is not violence; it is solely the free and fraternal association of the workers and the labouring masses of all nations.

National amalgamation is, in essence, a process of natural assimilation. “Natural assimilation” refers to the phenomenon that, in the course of long-term, close economic ties and cultural exchange, a comparatively less developed nationality is influenced by the surrounding, comparatively more advanced nationalities and, quite naturally, changes its own national characteristics. This kind of assimilation is an inevitable trend of historical development and a manifestation of historical progress. Natural assimilation on a worldwide scale is the ultimate realization of national amalgamation.

Natural assimilation differs from forced assimilation. The latter refers to an assimilation policy carried out by the ruling class of the ruling nationality toward the ruled nationality, adopting a series of coercive measures to compel them to change their national characteristics. This kind of assimilation is a manifestation of national oppression; it is national “amalgamation” in the imperialist era.

In socialist countries under the dictatorship of the proletariat, because the system of exploitation has been overthrown and the roots of national oppression have been eradicated fundamentally, the essence of the national question is no longer a class question.

After the victory of the proletarian revolution, the national question is expressed mainly in the following ways:

  • Truly realizing national equality, thereby truly establishing and consolidating national relations of equality, unity, and mutual assistance among all nationalities;
  • Developing the economy, politics, and culture of all minority nationalities, and gradually eliminating de facto inequalities among nationalities;
  • Acknowledging national differences, taking national characteristics into account, and
  • Correctly confronting and handling national contradictions, so that backward nationalities may enter the ranks of advanced nationalities.

In short, after the victory of the proletarian revolution, the essence of the national question is to resolve the de facto inequalities among nationalities that were historically left over from the past.

Of course, in countries under the dictatorship of the proletariat, the national question will continue to exist for a long time. This is because:

First, nations possess a high degree of stability, and the disappearance of national differences and national characteristics requires a fairly long historical period. The long-term existence of nations determines the long-term existence of the national question, because as long as nations exist, there will inevitably be differences in language and writing, ways of life, customs and habits, psychological makeup, and religious belief, and the national contradictions that arise from these differences. The existence and development of such contradictions determine the existence and development of the national question.

Second, the de facto inequality among the various nationalities that has been left over from history will continue to exist. The nationalities policy of socialist countries enables all nationalities to obtain equal rights in politics, law, and other spheres. However, because minority-nationality regions have generally been relatively backward in economic, political, and cultural terms, this objectively makes it impossible for minority nationalities to enjoy equal rights to the same full extent as advanced nationalities. If this condition of de facto inequality does not change, the national question will be difficult to eliminate.

Third, the national estrangement, national suspicion, and national discrimination created by the ruling classes and left over from history cannot all disappear within a short period of time. For example, great-power chauvinism and local nationalism—together with their influence—will, as a kind of habitual social force, persist for a long time among the people. At the same time, the reflection in relations among nationalities of the international class struggle and the class struggle within a certain domestic scope is also a factor that causes the national question to endure for a long time.

With the development of the socialist cause, the economies and cultures of all nationalities will generally surge upward. In the course of shared labor and life, and of mutual learning and assistance among the people of all nationalities, what they have in common will steadily increase, while their differences will gradually diminish. After communism is realized worldwide, and after a very long period during which the economies and cultures of all nationalities achieve a high level of development and prosperity and their spiritual outlook tends toward uniformity, national differences will completely disappear; nationalities will tend toward extinction; and the world’s nationalities will merge into one whole. National integration is an inevitable trend of historical development.


-第十一章民族问题是社会革命总问题的一部分

                从马克思主义政治学上说,民族是个历史范畴,是随着近代资本主义生产方式的出现而形成的。它是指以地域划分的,以经济、文化和心理素质为纽带的稳定的人们共同体。民族问题不单纯是个民族差异和特点的问题,而且还是个民族压迫和剥削的问题。它与阶级问题紧密地联系在一起,成为一个重要的政治问题

第一节民族在历史中形成

                一、民族是稳定的共同体

                马克思主义认为,“民族是人们在历史上形成的一个有共同语言、共同地域、共同经济生活以及表现在共同文化上的共同心理素质的稳定的共同体”。换言之,作为一个政治学概念的民族,是有严格定义和特定内涵的

                第一,民族不是以血缘或婚姻关系结成的人类原始社会组织。这个共同体既不是种族的,也不是部落的。相反,它是由不同的种族和部落经由历史的熔炉而铸造出来的。例如,近代意大利民族是由罗马人、日耳曼人、伊特拉斯坎人、希腊人、阿拉伯人等等组成的;法兰西民族是由高卢人、罗马人,不列颠人、日耳曼人等等组成的;英吉利民族和德意志民族等亦是如此。因此,民族不是种族共同体,也不是部落共同体,而是历史上形成的人们共同体

                第二,有的人们共同体虽然也是历史上形成的,并且也是由不同种族和部落组成的,但只是短暂的、脆弱的联合体。这样的联合体也不是民族。例如,亚历山大帝国和蒙古帝国。它们虽然也是历史上形成的,并且也是由不同部落和种族组成的,但它们无疑不能称为民族。因为它们都是偶然凑合起来的、内部缺少联系的混合物,它们的分合以某一征服者的胜利为转移。可见,民族不是偶然形成的、昙花一现的混合物,而是稳定的共同体

二、民族具有四大共同性

                第一,民族具有共同的语言。有的人们共同体虽然也是历史上形成的、较稳定的,但它们仍然不是民族。例如近代史上的奥地利和俄国,在马克思主义看来它们只是国家共同体,而不能称之为民族。民族共同体与国家共同体有多方面的区别,其中一个重要的方面就是民族共同体必须要有共同的语言,而国家共同体却不一定要有共同的语言。奥地利和俄国境内的多民族都有各自不同的语言,但这多种语言的事实并不影响这两个国家的完整。当然,这里所指的语言不是指官方通用的文牍语言,而是指民众的口头语言。

                第二,民族具有共同的地域。同一民族必须具有同一语言,但操同一语言的共同体并不一定就是民族。不列颠人和美利坚人操同一语言,但他们不是一个民族。挪威人和丹麦人、不列颠人和爱尔兰人亦是如此。这主要是由于他们不生活在一起,而是生活在不同的地域。只有经过长期不断的交往,经过人们世世代代的共同生活,民族才能形成起来。而要长期共同生活又非要有共同的地域不可

                第三,民族具有共同的经济生活。单有共同的地域和语言还不足以形成民族。要形成民族,除此之外,还必须要有内部的经济联系把本民族各部分结合为一个整体。在前资本主义的西欧,虽然德意志人生活在共同的地域,操着同一语言,可是严格说来他们当时还不是一个民族,因为他们分属彼此隔离的不同的诸侯国,没有共同的经济生活,长期混战,彼此破坏。虽然也有某个侥幸成功的皇帝曾勉强把它们统一起来,但这种偶然暂时的统一至多只是表面行政上的统一,很快就会因王侯跋扈而分崩离析。到近代资本主义出现彻底打破了诸侯国在经济上的闭关自守,使之联成一体,德意志人才融合为一个民族。

                第四,民族具有共同的心理素质。各民族之所以不同,不仅在于它们的生活条件不同,而且还表现在民族文化特点方面的不同精神面貌不同。不列颠人,美利坚人和爱尔兰人虽然都使用同一语言,但毕竞分属三个不同的民族。他们历代因生存条件不同而形成的特殊的心理素质,在这方面起了不小的作用。尽管心理素质本身似乎是一种不可捉摸的东西,但它既然表现在一个民族的共同文化的特点上,它就是可以捉摸而不应忽视的因素。民族的心理素质不是一成不变的,它随着生活条件的变化而变化。在每个一定历史时期内,它都要在民族面貌上打下自己的印记。

三、民族是完整的综合体

                马克思主义认为,民族是上述各项特征的综合体。把上述任何一个特征单位拿来作为民族的定义都是不够的。不但如此,而且这些特征只要缺少任何一个,民族都不成其为民族

                第一,如果有一些人具有共同的心理素质,但他们在经济活动上彼此隔离,生活在不同的地域,操着不同的语言,那么他们还不是一个民族。例如,散居在世界各地的犹太人,不但在经济上和地域上相隔离,而且使用的是各不相同的当地的语言,因此他们就不是一个统一的民族

                第二,如果有一些人生活在共同的地域,过着共同的经济生活,但没有共同的语言、文化和心理素质,那么他们就仍然不是一个民族。例如历史上波罗的海沿岸边疆区的德意志人和拉脱维亚人就是如此

                第三,有的人虽然用的是同一语言,但由于不具备其他特征,他们也就不成其为一个民族。关于什么是民族,第二国际时期出现过许多不同的观点,其中一个有一定代表性的观点认为,民族的心理素质或称“民族性格”是民族的惟一本质特征,而其他一切特征都只是民族发展的条件,并不是民族的特征。奥地利社会民主党领袖奥·鲍威尔和该党民族问题理论家鲁·施普林格就是这种观点的代表。施普林格认为,“民族是思想相同和语言相同的人们的联盟”,是“由一群现代人组成的、和‘地域’无关的文化共同体”。鲍威尔也说:“民族就是那些在共同命运的基础上结合成的共同性格的人们的集合体。”概言之,在共同命运基础上结成的共同的民族性格,可以不与共同的地域、语言以及经济生活相联系。鲍威尔举例说,分散在世界各地的犹太人虽然“没有共同的语言”,但是在“共同命运”基础上形成的民族性格使他们凝聚为一个民族。

                其实散居各地的犹太人与当地人民过着共同的经济生活和政治生活,受着当地文化的熏陶,这就不能不给他们的民族性格打上烙印;如果他们中间还有什么联系的话,那就是宗教、共同的起源和民族习俗的某些残余。这一些是毫无疑问的。可是,僵化的宗教仪式和日渐磨灭的心理残余怎么会比这些犹太人所处的现实的社会经济和文化环境更强烈地影响到他们的“命运”呢?鲍威尔把民族和民族性格视为一一对应的两方面,这就使民族脱离了它的根基,把它变成为不见形迹的独立存在的力量。结果民族就不是有生命的活动着的,而是一种神秘的、非人世间的东西。

                再例如,在18世纪末和19世纪初,当北美殖民地还叫做“新英格兰”时,不列颠民族和美利坚民族有什么区别呢?很难说他们之间主要是民族性格上的区别,因为美利坚人就是主要从英国迁移过去的。无疑,这些英国移民带到美洲去的除英国的语言和习俗外,还有不列颠的民族性格。尽管他们在新环境的影响下已开始形成自己特有的性格,但他们不会很快就丧失其英吉利的民族性格。当他们与不列颠人在性格上还有或多或少的共同点时,他们毕竟已成为有别于不列颠民族的一个新的民族。可见,当时“新英格兰”民族不同于不列颠民族的地方并不是什么特别的民族性格,或者与其说是民族性格,倒不如说是和不列颠民族不同的环境即生活条件。

                总之,作为政治学范畴的民族并没有什么惟一的特征,它是各种特征的总和。区别各个不同民族的,有时主要是这个特征(民族心理或民族性格),有时主要是那个特征(语言),有时又主要是另一个特征(地域或经济生活)。民族是所有这些特征结合而成的。

第二节民族的形成是历史发展成果

                一、民族是一个历史范畴

                民族是一个历史范畴。和其他任何历史现像一样,它受历史的规律支配,并有自己的产生、发展和消亡的过程。具体地说,民族是人类社会发展到资本主义时代的必然产物和社会组织形式。但组成民族的要素则是在资本主义以前漫长的历史时期逐步形成的。

                作为历史范畴的民族与民族学上的民族不同。后者泛指历史上形成的、处于不同社会发展阶段的各种人们共同体。例如原始民族、古代民族、现代民族。同时还有其他更广泛的用法。例如中华民族、阿拉伯民族。这种含义上的民族主要是着眼于它们的共同血缘,共同历史、共同的宗教信仰和民族特征。这种意义上的民族在日常生活中得到普遍使用。区分两者的含义在理论分析中十分重要。

                在原始共产主义社会,人类生产以采集和渔猎为主,社会生产关系非常狭小和单纯;社会劳动只能生产维持生存所必需的资料,难有产品剩余;占有与被占有的对立无从产生,自然地形成一种共同生产共同消费的原始共产制。经济的结合只在于团结氏族内的每个人进行协作劳动,与自然界作斗争。经济联系的纽带,在当时不是主要的结合途径。社会联系限于以自然的共同来源的血缘关系作为惟一的结合因素。这种血缘关系的结合就是原始社会基本的社会经济单位——氏族。在生产力极其低下,生存压力非常严峻的情况下,人们对于一切非血缘关系的人都加以警惕和敌视。因此,原始社会只能是一个范围狭小的以血缘为纽带的氏族社会。

                随着生产力的发展,社会生产活动也越出了采集和渔猎的樊篱,出现游牧业、种植业和手工业,剩余产品成为可能,私有制逐渐确定。富人与穷人的分化导致了榨取与被榨取的对立,它表现在奴隶主与奴隶之间以及后继的封建主与农奴之间。氏族居住地受到商业活动、职业变换和土地所有权转让的影响而变动不定,时常遭到破坏。氏族和部落到处杂居,到处都有奴隶、被保护民和外地人在自由民中间居住着。氏族团体的成员再也不能以集会来有效地处理自己的公共事务,氏族制度作为一种社会组织显得软弱无力,它存在的前提即一个氏族或部落的成员共同生活在纯粹由他们居住的同一地区,已渐渐不存在了。“地区依然,但人们已经是流动的了。因此,按地区来划分就被作为出发点,并允许公民在他们居住的地方实现他们的公共权利和义务,不管他们属于哪一氏族或哪一部落”。共同的社会活动、主要是经济活动慢慢代替了血族关系,成为联结人们的纽带。人类已经向形成民族迈出了重要的一步,或者说民族的要素已逐渐形成。当然,由于经济的联系还极其有限,活动的范围还被分割成极其狭小的区域,所以继氏族社会而起的只是相对发展的部族社会。

                部族社会进一步发展的动力来自第三次社会分工。社会上首次产生了一个不事生产、只管交换的商人阶级。商品交换的频繁造成资本制社会的确立。商品交换经济代替了家庭农业手工业经济。剩余产品与剩余价值并进,资本积聚和集中,生产资料的独占,资本所有者对雇佣劳动者的剥削都随历史演进而发生、成长。交换活动进一步冲淡了血缘联系,打破了部族狭小界限。随着国内市场的形成和扩大,不分种族的人们在一个统一的经济地区生活,形成统一的语言,有共同的经济生活,有共同的心理因素,由这样的人群构成的共同体,就再也不是由血统构成的了,它就成为现代民族。

                由此可见,民族不是普通的历史范畴,而是一定时代即资本主义上升时代的历史范畴。封建制度消灭和资本主义发展的过程同时就是人们形成为民族的过程。例如,西欧的情形就是如此。不列颠人、法兰西人、德意志人、意大利人等都是在资本主义打破封建割据局面而胜利前进时形成为民族的。

二、民族的形成是资本主义发展的历史成果

                在人类历史上,资本主义彻底战胜封建主义的时代,是同民族运动联系在一起的。民族运动是受这样的经济原因驱使的:为了彻底打破封建自然经济,使商品交换经济取得完全的胜利,资产阶级必须建立国内市场,这就要使操同一语言的人所居住的地域完全统一起来,同时扫除阻碍这种语言发展和阻碍把这种语言用文字固定下来的一切障碍。“语言是人类最重要的交际工具;语言的统一和语言的无阻碍的发展,是保证贸易周转能够适应现代资本主义而真正自由广泛发展的最重要条件之一,是使居民自由地广泛地按各个阶级组合的最重要条件之一,最后,是使市场同一切大大小小的业主、卖主和买主密切联系起来的条件。”

                历史告诉我们,各民族形成的过程同时就是它们变为独立民族国家的过程,建立最能满足现代资本主义要求的民族国家,是一切民族运动的趋势。民族国家,对于整个文明世界,都是资本主义时期典型的正常的国家形式。因此,民族的形成,民族国家的建立,既是资本主义发展的重要条件,又是资本主义发展的历史成果。民族国家的建立是有利于资本主义发展的。“一个民族”,“一个国家”,这是新兴资本主义的口号,民族运动的阶级动力是资本家阶级

                在英国,18世纪的产业革命,使资本主义工业生产和交换经济空前迅速地发展起来,对原材料的多样化需求和对市场的无限需要,在政治上产生了集中的要求。随着资产阶级的力量逐步壮大,资产阶级把各自独立的,几乎只有同盟关系的,各有不同利益、不同法律、不同政治、不同关税的各个地区,结合为一个拥有统一政府、统一法律、统一民族阶级利益和统一关税的国家。在国家政权的争夺上资产阶级最终取得了胜利。在“谷物法”问题上,代表资本家阶级的英国自由党战胜代表封建主的英国保守党后,英国的资本主义发展进入了全盛的时代。

                从民族关系方面看,单一的民族国家是保证资本主义发展的最好条件,而多民族国家却是资本主义发展较为落后的表现

                某一人们共同体之所以能融合为单一的民族,并在民族的基础上形成民族国家,正如上述,是由于资本主义商品交换经济充分发展,打破了部族社会狭小区域和自然经济,共同的经济生活强有力地把人们联合成密不可分的稳定的共同体。这既是资本主义高度发展的产物,又是资本主义进一步发展的条件。相反,多民族国家则是这样形成的:几个人们共同体彼此之间保持一定的交往关系,但还没有密切到打破彼此界限的程度。它们不但资本主义商品交换关系不够发展,而且相互间发展很不平衡。其中一个共同体率先形成民族,要求建立民族国家,而其附近或周围的共同体尚未形成民族,尚未要求建立民族国家。结果,先进的民族往往以强制的手段把周边的共同体统一起来,组成一个多民族国家。其关系是先进的民族共同体统治和剥削尚未形成民族的共同体,从而妨碍后者的资本主义发展。

                在近代,当西欧各民族发展成民族国家的时候,其他地区却形成了多民族的国家,即由几个民族组成的国家。例如奥匈帝国和俄国就是这样的国家。在奥地利,当时资本主义最为发展的是德意志人,于是他们就负起了把奥地利各民族统一成一个国家的任务。在匈牙利,马扎尔人是各民族的中坚,于是他们成了匈牙利的统一者。在俄国,是以历史上形成的强大而有组织的贵族军事官僚为首的大俄罗斯人担负了统一各民族的使命。“只有在封建制度还没有消灭、资本主义还不大发达、被排挤到次要地位的各民族在经济上还没有结合成完整的民族的条件下,才能有这种特殊的国家形成方式。”

                考茨基在《民族主义和国际主义》一书中认为,民族复杂的国家,即不同民族的所谓多民族国家,“由于某些原因,始终是内部结构不合常态或不够发展的(落后的)国家”。显然,考茨基所说的不合常态,是指不适合于那些最适应资本主义发展的要求而言的。

                列宁认为,历史证明考茨基的这个观点绝对正确。民族国家是资本主义的通例和“常态”,而民族复杂的国家是一种落后状态或者是例外情形。“民族国家无疑是保证资本主义发展的最好的条件”

                但是,罗莎·卢森堡则不这样看。她指出,多民族国家在经济上已成为一个有机的整体。从社会再生产角度看,彼此是不可分割的,谁离开了对方都难以维持社会再生产。因此,如果针对多民族国家来说,也一般地坚持建立单一民族国家最有利于各民族发展,那就错了。因为民族独立就会割断各民族经济联系,最终会对它们自己产生不利影响。

                卢森堡的这个观点受到列宁的批判。她主要犯了两个错误:第一,尽管多民族国家里各民族间存在经济交往,但从社会再生产条件的实现来看,每个经济单位都可以独立完成,彼此的联系不是必要条件。第二,即使如卢森堡所认为的那样,多民族间经济密不可分,但是民族政治独立并不必然割断彼此间的传统经济关系相反,经济交往还是可以依然开展

                在多民族国家,落后民族的民族运动是要求发展资本主义的反映。在资本主义以前的古代社会,也经常出现庞大的帝国,一个军事上强大的民族统治和压迫其他弱小的民族,组成多民族的国家,例如罗马帝国,蒙古帝国。这种征服和占领,是统治民族的统治阶级为了赢得弱小民族的臣服和得到大量贡纳,即剥削者需要的财富,用经济学术语讲就是生活上的使用价值。这种使用价值的取得,与其社会再生产的进行,并没有本质的联系。对于统治民族来说,被统治民族传统的自然经济的存在是它攫取贡纳的基础所以这种占领不会危及被征服民族的传统生产方式。

                到了资本主义上升时期情况就不同了。在这时期,多民族国家的资本主义先进民族对周边落后民族的剥削,尽管也不是其社会再生产的必要条件,但能极大地促进资本的积聚和集中,降低原材料和劳动力成本,开拓工业品市场,因此,可以极大地促进资本主义发展。另一方面,对落后民族来说,由于有先进资本主义民族经济的竞争压力和政治禁锢,本民族资本主义萌芽和成长受到压制,使这种先进的生产方式难以顺利地成长起来。然而,在落后民族,资本主义还是会艰难地发展起来的。随着商业和交通日益发达,大城市相继出现,落后民族在经济上逐渐资本主义化。“资本主义闯进了被排挤的各民族的平静生活中,惊醒了它们,使它们行动起来”,“但是那些觉醒起来要求独立生活的被排挤的民族已不能形成独立的民族国家了,因为它们在自己的道路上碰到了早已居于国家领导地位的统治民族中的领导阶层极其强烈的反对”。面对这种反对,民族运动应运而生。因此,如果说古代社会的民族反抗运动还是为了保护本民族的资源财富和政治上的自主的话,那么在资本主义上升时期,落后民族的民族解放运动却是资本主义发展推动的结果。列宁在考察了亚洲各国的民族运动后,总结说:“有一点是无可争辩的,这就是资本主义使亚洲觉醒过来了,在那里到处都激起了民族运动,这些运动的趋势就是要在亚洲建立民族国家,也只有这样的国家才能保证资本主义的发展有最好的条件。”因此,落后民族反压迫反剥削的民族运动,从表面上看是“民族要独立,人民要解放”,是实现平等和正义的目标,实际上其更深层次的动因却是本民族资本主义发展的要求。不看到其中的经济动因是不深入的

                总之,民族是个历史的范畴。民族独立和建立民族国家,最有利于一个民族的资本主义发展,是资本主义发展提出的历史性要求。换言之,民族的形成是资本主义发展的历史成果

                历史进入20世纪90年代,民族主义运动再次成为世界政治中一股最具号召力的政治潮流。第二次世界大战结束后,许多刚赢得独立的发展中国家被纳入了美苏对抗的冷战体制,有的民族被分裂为分属两个阵营的对立国家,有的不同民族被外力强行组成一个国家或变成了某一大国的一部分。这些国家大都是资本主义发展落后的国家,有的甚至是前资本主义国家。民族生活区域的人为安排和扭曲,极大地阻碍了这些民族的现代经济发展,有的国家被迫接受外加的政治经济模式,民族经济应有的发展进程被破坏。冷战的恐怖抑制了民族主义要求。随着冷战体制崩溃,以民族为基础的政治运动以前所未有的规模爆发出来,要求民族统一的是为了建立民族国家,要求国家分裂的也是为了建立单一的民族国家,其内在动因大都是为发展商品经济,改善人民生活水平,推动生产力发展。所有这些都再次证明了马克思主义民族理论的基本原理的现实性和生命力。

第三节民族问题的实质是阶级问题

                一、民族问题与阶级问题密切相关

                马克思主义政治学认为,民族问题与阶级问题是相互联系的只有用阶级的观点分析民族问题才能得出深刻和科学的结论。这是马克思主义民族理论的特点和长处。在马克思主义诞生以前产生的各种民族理论的弱点就在这里。作为人类社会组织形式之一的民族之所以具有政治学上的意义,就是因为它与阶级问题的密切联系。

                民族问题是指由民族差别、民族矛盾和民族对立而引起的一系列问题。它们是在民族之间相互交往中产生的,主要表现在经济、政治、历史、宗教、生活方式和风俗习惯各方面。这些问题贯穿于民族存在和发展的整个过程。而阶级问题则主要是指阶级之间的经济利益冲突和由此产生的政治要求对立而产生的各种问题。只要有阶级存在,就会发生这种对立和冲突。那么,两者的关系如何呢?

                第一,在阶级社会里,民族通常划分为不同的阶级。在民族内部,其成员并不是一个利益一致的团结的共同体,相反,他们还会进一步分化。根据各人与生产资料的不同占有关系,占有生产资料者组成有产阶级,没有生产资料的组成劳动阶级。由于民族是在资本主义时代形成的,所以这两个对立的阶级分别就是资产阶级和无产阶级。马克思说:“法兰西民族分裂为两个民族即有产民族和工人民族。”显然,这里的“有产民族和工人民族”,就是指资产阶级和无产阶级。因此,民族的每个成员一定属于某一阶级;阶级的成员也可能分属不同的民族。

                第二,民族问题和阶级问题产生的根源都是私有制。正是这共同的根源,使民族问题和阶级问题紧密地联系在一起。私有制与阶级出现的关系已在本书第三章中作了分析。关于私有制导致民族压迫,马克思明确地指出:“现存的所有制关系是造成一些民族剥削另一些民族的原因。”资本主义建立在生产资料私有制的基础上,而私有制和资本必然使人们离散,燃起民族纠纷,造成民族压迫。资产阶级,特别是垄断资产阶级,除了剥削本国人民以外,定要把这种剥削扩大到其他民族,乃至全世界,建立起民族压迫的殖民主义制度。

                第三,民族问题的内容比阶级问题要广泛得多,复杂得多。阶级问题主要表现在统治阶级对被统治阶级的经济剥削和政治压迫上面。相反地,民族问题除了政治上的压迫和经济上的剥削内容外,还包括其他许多内容,例如压迫民族对被压迫民族在语言文字、生活方式、宗教信仰、风俗习惯等方面的侮辱和歧视。事实表明,可以引起民族问题的因素很多,民族差别和民族特点的不同都可能成为造成民族问题的原因。民族之间由于语言文字、生活条件、风俗习惯、宗教信仰的不同而引起的摩擦和矛盾皆属于民族问题。这类民族问题主要不是由阶级问题引起的,而是由民族差别造成的。因此,在推翻了剥削制度以后,这类民族问题仍将继续存在,直至民族融合导致民族差异的消除。

二、民族问题与阶级问题之间存在多重关系

                尽管民族问题的内容较阶级问题更广泛,更复杂,但在政治学上,并不意味着民族问题比阶级问题具有更为重要的意义。相反地,马克思主义不但一般地认为民族问题与阶级问题关系密切,而且还强调民族问题的实质是阶级问题,必须以阶级和阶级斗争的观点去分析民族问题。这是由于:

                第一,民族压迫的直接原因是阶级压迫。前面说过,生产资料私有制是造成一些民族压迫另一些民族的根源。然而,私有制要造成民族压迫却必须通过建立在私有制这个基础上的阶级压迫这个中介。民族形成于资本主义上升时期,资本主义社会的主要阶级对立发生在资产阶级和无产阶级之间。资产阶级对无产阶级的剥削和压迫之所以必然伸延到本民族之外,从而造成民族压迫,不是资本家阶级的主观原因造成的,而是由社会历史原因和经济原因造成的。这个问题要分两个时期来分析。

                首先,在自由资本主义时期,资本家阶级活动范围国际化的主要原因,不取决于资本主义社会产品(特别是额外价值)的实现规律,而是像列宁指出的那样,主要取决于资本主义生产方式的历史特性。(1)资本主义只是广阔发展的、超出国家界限的商品流通的结果。因此,没有对外贸易的资本主义国家是不可设想的,而且历史上也确实没有这样的国家。(2)社会生产各部分之间(在价值上和实物形式上)的比例是社会资本再生产理论的必要前提。在资本主义社会中,由于为自己所不知道的市场而工作的个别生产者的孤立性,这种比例经常地遭到破坏。在一国内部可以解决各个生产部门发展的不成比例,即通过经济危机的“暴力的解决”。此外,还可以通过外部市场来调节。(3)与前资本主义生产方式的规律不同,资本主义生产的规律,是生产方式的经常改造和生产规模的无限扩大。在旧的生产方式下,各个经济单位能存在好几个世纪,无论在性质上或者在数量上都没有变化。相反地,资本主义企业必然超出村社、地方市场、地区和国家的界限。

                其次,在垄断资本主义阶段,资本主义生产关系的特征由自由竞争演变为垄断。由于垄断资本主义企业必须获得垄断利润,而垄断利润又不能从垄断资本主义企业自身生产出来,而是要从其他非垄断经济成份和社会成分攫取,所以垄断资本主义的存在就要以其他经济成分和社会成分的存在为前提。不仅如此,而且垄断利润的来源不但来自国内而且来自于国外,垄断资本主义必然要建立对其统治下的一切人进行剥削的世界体系。在这阶段,世界就分为压迫民族和被压迫民族。这种划分就成为垄断资本主义再生产的必要条件

                此外,资产阶级的阶级压迫向外扩展,不仅以经济的手段和平地进行,而且为了更迅速更坚决地制服自己的“竞争者”,抑制“异族”资本主义发展,往往还辅以各种高压手段,如限制迁徙自由、剥夺政治权利、关闭民族学校、禁止语言文化、停止宗教活动。于是,民族问题就由经济剥削发展为政治压迫。民族矛盾进一步激化。

                就这样,资本主义的阶级压迫制度逐渐发展为世界范围的民族压迫制度

                第二,民族斗争的核心是阶级斗争。在阶级社会,阶级的划分比民族更为深刻。对每个社会成员来说,阶级利益比民族利益更为切身。尽管民族斗争有时以全民性的群众运动表现出来,但是,一旦民族内部面临重大问题,人们总是按阶级利害关系来决定其立场的

                首先,民族斗争大多是由资产阶级领导的,主角是资产阶级。资产阶级的利益会受到两方面的威胁,一是无产阶级革命,一是外族资本主义排挤。当威胁主要来自后者时,资产阶级就会行动起来,向“下层同胞”呼吁,高喊“祖国的利益受到威胁”,把自己的私事冒充全民的事情,并为了“祖国的利益”而在“同胞”中招募军队。“下层”对这种号召并非始终不理,有时也会在资产阶级的旗帜下集合起来。因为外族的高压手段同样触犯了他们的利益,引起他们的不满。民族斗争就这样开始了

                其次,一旦民族运动开始唤醒作为主力军的无产阶级的阶级意识,并使无产阶级的组织得到斗争的锻炼,资产阶级的统治地位受到威胁时,资产阶级就会毫不犹豫地转过枪口,镇压无产阶级革命。必要时甚至不惜牺牲民族利益,与压迫民族的统治阶级勾结起来。

                法国资产阶级在1871年爆发的普法战争中的表现就是一个典型例子。法国军队在前线的失利立即使巴黎的安全受到威胁。而要保卫巴黎就只有武装巴黎的工人阶级,把他们组织成为真正的军事力量,并使他们在战斗中得到锻炼。可是,“武装巴黎就无异是武装革命。巴黎战胜普鲁士侵略者,就无异是法国工人战胜法国资本家及其国家寄生虫。国防政府在民族义务和阶级利益二者发生矛盾的时候,没有片刻的犹豫便把自己变成了卖国政府”。结果,战胜的军队和战败的军队联合起来共同残酷杀害了无产阶级。

                这场战争是法兰西资产阶级和普鲁士资产阶级矛盾激化而引发的,法国资产阶级以“祖国利益”的口号动员了无产阶级参加了这场战争。然而,当法国无产阶级成为巴黎唯一强大的有组织的力量时,“阶级的统治已经不能拿民族的外衣来掩盖了;在反对无产阶级时,各民族政府是一致的!”在法兰西民族受压迫、受屈辱最厉害的时候,法国的资产阶级把自己卖给了普鲁士人,保卫民族的政府变成了背叛人民的政府,被压迫民族的资产阶级依靠压迫民族的士兵来镇压敢于伸手夺取政权的无产者同胞。所以,民族斗争,说到底,是一个阶级斗争的问题

                第三,民族问题的解决要以阶级问题的解决为保证。换言之,阶级问题的解决可以为民族问题的根本解决创造有利条件

                正如前面所分析的,阶级压迫是民族压迫的根源,因此,要消灭民族压迫,就必须首先消灭阶级压迫。这是毫无疑问的。正是基于这种认识,马克思和恩格斯才说:“人对人的剥削一消灭,民族对民族的剥削就会随之消灭。民族内部的阶级对立一消失,民族之间的敌对关系就会随之消失。”

                但是,阶级问题并不等于民族问题。民族问题比阶级问题的内容更广泛、更复杂。并不是所有的民族问题都是由阶级压迫引起的。可以引起民族问题的除阶级压迫,还有民族自身的特点和差异性。由于民族特点和差异性引起的民族问题并不会随阶级差别的消失而立即消失。列宁说,“民族的反感不会很快消失;被压迫民族对压迫民族的仇恨(也是完全正当的)暂时还会存在,只有社会主义胜利以后,在各民族间彻底确立了完全的民主关系以后才会消散。”

                需要指出的是,由于宗教、文化、语言、生活方式和风俗习惯等方面的差异性引起的民族问题并不是整个民族问题的主要方面,主要方面是由阶级对立带来的民族压迫和剥削。虽然阶级问题的解决不能直接使民族问题的全部得到解决,但是可以创造一种维护民族平等,尊重民族特点的有利条件,从而有助于民族问题的彻底解决。因此,阶级问题的解决可以为民族问题的最终解决创造条件,而且这个条件是个必要的条件

第四节压迫其他民族的民族不能获得解放

一、民族压迫是资产阶级政治统治的工具

                恩格斯说:“压迫其他民族的民族是不能获得解放的。”这是马克思主义关于民族解放运动与无产阶级革命关系的一个基本原理。它告诉我们,在一个民族对另一个民族进行压迫或还保持着民族特权的情况下,压迫民族的被压迫阶级——占人口绝大多数的无产阶级——要获得解放是困难的。无产阶级在支持或者默认资产阶级对其他民族进行压迫和剥削时,就是在巩固资产阶级对自己的压迫和统治。

                民族压迫是资产阶级维护和巩固对本国无产阶级统治的绝好工具。充分利用民族间的矛盾是资产阶级保持本阶级统治的秘密手段之一。

                第一,阶级对立无论多么尖锐和不可调和,但在面临“异族”竞争或威胁的情况下,两个敌对的阶级总能找到共同的“语言”。资产阶级经常以“爱国主义”和“保卫民族利益”为口号,呼吁全民族不分阶级的大团结,以此来调和日益尖锐的阶级矛盾。在第一次世界大战期间,不少社会民主党人响应了资产阶级的号召,参军人伍保卫“祖国”。马克思主义一针见血地指出,他们用生命保卫的并不是工人阶级的祖国,而是资产阶级的政权,这实际上是在帮助资产阶级铸造统治自己的锁链。当时工人阶级之所以会响应资产阶级的号召,主要是由于一部分工人、特别是工人阶级的上层确实能从这空洞的“民族利益”中分得一些实在的好处。资产阶级从民族压迫中剥削到巨额超额利润和垄断利润,在经济上就有可能收买个别的工人阶层,而且还可能暂时收买相当数量的少数工人,把他们拉到资产阶级方面来,反对其他民族。

                第二,在无产阶级和资产阶级之间的斗争特别尖锐的关头,资产阶级可以利用民族矛盾,转移国民的注意力和斗争目标,分化革命运动的队伍。因此,恩格斯说:“迄今为止,一切统治者及其外交家玩弄手腕和进行活动的目的可以归纳为一点:为了延长专制政权的寿命,唆使各民族互相残杀,利用一个民族压迫另一个民族。”马克思也说:“在英国,爱尔兰工人和英国工人的对抗,始终是英国的阶级统治赖以维持的最有力的手段之一。”可见,民族压迫的存在对无产阶级革命来说是个巨大的障碍。

二、镇压其他民族的暴力机器具有双重性

                资产阶级总是以镇压异族造反为由,组建由工人阶级为主体的常备军事力量,在爱国主义的旗帜下对其他民族开战,为资本家阶级的利益冲锋陷阵。然而,这种军事力量一旦建立,就会变为资产阶级维护阶级统治的有力工具,变为镇压本国无产阶级革命运动的反动打手。压迫民族用来压迫其他民族的力量最后总是要反过来反对它自己的。马克思指出:“爱尔兰是英国政府维持庞大的常备军的唯一借口,一旦需要,正像已经发生过的那样,就把这支在爱尔兰受过军阀主义教育的军队用来对付英国工人。最后,目前在英国正重复着古罗马到处都能看到的事件。奴役其他民族的民族是在为自身锻造镣铐。“恩格斯还拿俄国为例说明这个问题:“只要俄国士兵还侵占着波兰,俄国人民就既不能获得政治解放,也不能获得社会解放。但是在俄国目前的发展水平下,有一点是毫无疑问的,就是一旦俄国失去波兰,俄国国内的运动就会壮大到足以推翻现存秩序的地步。“

三、民族压迫破坏全世界无产者的联合

                民族压迫会分裂国际无产阶级运动,使之成为一个个以民族为单位的对立的政治力量。打上民族烙印的工人运动会使他们彼此仇视和敌对,难以形成团结一致的力量

                马克思关于英国在爱尔兰的统治的分析是非常具有代表性的。马克思指出,英国所有的工商业中心的工人阶级现在都分裂为英国无产阶级和爱尔兰无产阶级这样两个敌对的阵营。普通的英国工人憎恨爱尔兰工人,把他们视为会使自己的生活水平降低的竞争者。英国工人觉得自己对爱尔兰工人来说是统治民族的一分子,正因为如此,他们就变成了本民族的贵族和资本家用来反对爱尔兰的工具,从而巩固了贵族和资本家对他们自己的统治。他们对爱尔兰工人怀着宗教、社会和民族的偏见。他们对待爱尔兰工人的态度大致像以前美国各蓄奴州的白种贫民对待黑人的态度。而爱尔兰人则以同样的态度加倍地报复英国工人,他们把英国工人看成英国对爱尔兰的统治的同谋者和盲目的工具。

                统治阶级所掌握的一切工具则人为地保持和加深了这种对立。这些工具包括报纸、书刊、讲坛等等。这种对立就是英国工人阶级虽有自己的组织但没有力量的秘密所在。这一点资本家阶级是非常清楚的。因此,英国工人阶级应当意识到:爱尔兰民族的解放,对他们来说并不是一个抽像的正义或博爱的问题,而是他们自己的社会解放的首要条件。

四、支持民族解放就是为无产阶级自身的解放扫清道路

                既然民族压迫是无产阶级革命胜利的首要障碍,那么无产阶级革命就必须首先从反对民族压迫开始。甚至可以说,被压迫民族解放斗争的胜利是压迫民族的无产阶级革命取得成功的先决条件

                前面讲到,民族问题的根本解决要以阶级问题的解放为保证。这里又谈到被压迫民族解放斗争的胜利是无产阶级革命取得成功的先决条件。正确理解这两方面的关系是回答这个问题的关键第一个原理是从民族压迫的根源来讲的。既然民族压迫的根源是阶级压迫,不消灭阶级压迫就不可能真正消灭民族压迫;第二个原理则是从阶级解放的道路来讲的。在资产阶级还可以从压迫其他民族的过程中汲取巩固阶级统治的力量的情况下,压迫民族的无产阶级就必须首先反对资产阶级对其他民族的压迫,毫无保留地支持被压迫民族的独立运动,使资产阶级失去民族压迫这重“铠甲”,使无产阶级革命的力量可以直接打到资产阶级的“身上”。民族解放运动和无产阶级革命事业就这样辩证地联系在一起。概言之,阶级解放是民族解放的根本保证;民族解放是阶级解放的先决条件。

                从这个基本原理出发,马克思和恩格斯热情支持当时欧洲和亚洲的许多被压迫民族的解放斗争,并把这个斗争与欧洲资本主义国家的无产阶级革命事业联系在一起。他们认为波兰的民族解放不仅对俄国人民的革命斗争是一个有力的支持,而且对于欧洲无产阶级革命事业也有重大的意义。关于爱尔兰,马克思说:“不是在英国,而只有在爱尔兰才能给英国统治阶级以决定性的打击”。因为爱尔兰是英国资产阶级维持自己统治的秘密所在。爱尔兰不仅是英国贵族和资产阶级统治的物质支柱,而且是它的最大的精神力量。只要英国工人阶级没有摆脱爱尔兰,他们就毫无办法。杠杆一定要放在爱尔兰。在英国工人阶级对爱尔兰的政策还没有和统治阶级的政策一刀两断以前,在它还没有做到和爱尔兰工人一致行动以前,它在英国本土永远不会做出任何有决定意义的事情。对此,马克思提出国际工人协会的一项重要任务就是唤醒英国工人阶级,使他们意识到这一点,并且到处都公开站在爱尔兰方面。

                总之,毗邻民族的自由总是自己民族自由的保障,谁也不能奴役一个民族而自己不受到惩罚。为了自身的自由解放,就必须加入到其他民族争取解放的运动中去。

五、民族问题是社会革命总问题的一部分

                “民族问题不能认为是什么独立自在的、一成不变的问题。民族问题只是改造现存制度总问题的一部分,它完全是由社会环境的条件、国家政权的性质并且总的说来是由社会发展的全部进程决定的。”因此,民族问题的发展总是与各个历史时期的革命运动的性质相适应的。同时,民族问题又会直接影响社会革命的进程。

                根据这个基本原理,从民族运动的观点看,历史上存在着两个根本不同的资本主义时代。“一个时代是封建制度和专制制度崩溃的时代,是资产阶级民主制的社会和国家形成的时代,当时民族运动第一次成为群众性的运动,并且通过报刊和参加代议机关等等方式,这样那样地把一切阶级的居民吸引到政治生活中去。另一个时代,就是我们所处的各资本主义国家已经完全形成、宪制早已确立、无产阶级同资产阶级的对抗大大发展的时代,这个时代可以叫做资本主义崩溃的前夜。”

                在资本主义上升时期,民族运动是资产阶级民主革命的一部分。当时兴起的民族运动是同资本主义彻底战胜封建主义的时代联系在一起的。在政治上,它是要打破诸侯割据、等级森严的贵族政治,要求在政治领域贯彻商品交换经济中的自由平等原则,为资本家阶级平等地剥削劳动力,无产者自由地出卖劳动力创造条件。民族运动在经济上的动机,是为了打破封建自给自足的生产关系,充分开拓国家内部的市场,使资本主义生产方式迅速发展起来,并获得完全的胜利。正是这样深刻的政治——经济原因,推动着欧洲一些民族要发展为资本主义民族和在政治上要求建立统一的民族国家。

                在当时的东欧,情况有所不同。由于资本主义发展水平相对落后,并且发展很不平衡,往往以一个较先进和强大的民族为中心组成多民族国家。在这种国家里,处于从属地位的弱小民族在民族形成的道路上面临两大障碍:一是前资本主义的封建政治一经济制度,即根据血统代代相传的贵族政治和地域分割、以领主庄园为基本单位的自然经济;二是处于统治地位的异族资本主义的压迫。在这种情况下,落后民族的资产阶级革命就有民主民族革命的两重任务。随着资本主义的发展,一些弱小民族开始要求摆脱异族的统治而建立起自己的民族国家。如波兰、匈牙利、捷克都相继发生了争取民族独立的革命运动。

                在这个时期,“由于斗争争取的是一般政治自由,特别是民族权利,民族运动方兴未艾,人数最多,最难发动’的一个居民阶层——农民投入了这个运动”,所以民族运动第一次以群众性运动的形式出现。但运动始终是由资产阶级领导的,是服从资产阶级革命利益的,并以建立资产阶级民族国家为目的的。从这个意义上说,当时的民族运动便属于世界资产阶级革命的一部分

                然而,在多民族国家中处于被压迫地位的落后民族的民族独立运动则情况更复杂些。由于它的任务除了反对本族的封建主义外,还要反对异族的外来压迫。如果说在完成前一任务时,与前面分析的一样是属于世界资产阶级民主革命进程中的一部分,那么在完成后一任务的民族主义运动中,则间接地支持了压迫民族中的无产阶级的革命运动,因为在这种民族主义运动中受打击的首先是压迫民族的资产阶级,这就支持和壮大了无产阶级的社会革命力量。此外,创造民族独立的环境对被压迫民族的无产阶级的成长也有重要的意义。因为排除民族压迫是一切无产阶级运动健康发展的基本条件。恩格斯把民族独立对无产阶级斗争的重要性比喻为“土壤、空气、光线和场地”。无产阶级革命只有在独立民族的范围内才能健康进行。

                这样,被压迫民族的独立运动与社会革命的关系就包括这样两个方面:一方面它直接成为世界资产阶级民主革命的一部分;另一方面,它又间接地支持了压迫民族无产阶级的革命,同时也为本民族无产阶级运动顺利发展创造条件,开始与世界无产阶级革命联系起来了。当然,这种联系在这个时期还只是限于个别地区或少数欧洲国家,通常限制在主要和“文明”民族有关的问题的狭隘范围内。“爱尔兰人、匈牙利人、波兰人、芬兰人、塞尔维亚人以及欧洲其他一些民族,——第二国际的活动家所关心的就是这些没有充分权利的民族的命运。”而那些遭受最粗暴最残酷的民族压迫的亚洲人民和非洲人民的民族运动与世界革命的联系还没有突出地表现出来。这种联系正是下一个时代的历史主题。

                世界进入帝国主义时代,民族压迫的问题在新的历史条件下进一步加剧和扩大。民族问题由国内的、局部的问题发展成为一般性的和世界性的问题,变为各被压迫民族、各殖民地和半殖民地人民要求从帝国主义压迫中解放出来的全球性问题。共同的利益使它们结成了同盟军。列宁说,这个时代的典型现像就是资产阶级民主运动失去了群众性,资本主义发展使完全卷入贸易周转的各个民族更加接近,彼此杂居,而把国际范围内联合起来的资本同国际工人运动的对抗提到了首位。民族解放运动日益成为无产阶级革命的一部分。

                第一,在帝国主义时代,民族之间各种联系的发展和日益频繁,民族壁垒的破坏,整个经济生活和政治生活等等国际统一的形成,使各民族结成一个世界体系。在这个体系中,存在两个对立的阵营:一个是拥有金融资本并剥削地球上绝大多数居民的为数极少的文明民族的阵营;另一个是组成这个绝大多数的殖民地和附属国被压迫被剥削民族的阵营。世界被划分为压迫民族和被压迫民族是帝国主义时代的世界政治的主要特征。被金融资本压迫和剥削的殖民地和附属国是帝国主义最巨大的后备力量和最重要的实力来源。这种实力既巩固了对殖民地和附属国的压迫,又加强了对无产阶级的统治。附属国和殖民地被压迫民族所进行的反帝革命斗争是他们摆脱压迫和剥削的惟一道路。一旦他们走上民族解放运动的道路,这个运动就必然会引起全世界资本主义的危机。如果这种危机出现,那么这既是被压迫民族的胜利,也是世界无产阶级革命的胜利。因此,发达国家的无产阶级运动和殖民地民族解放运动的利益,要求把这两种革命结合成一条反对共同的敌人。反对帝国主义的共同的战线。如果不建立并巩固共同的革命战线,那么发达的国家中的工人阶级就不能胜利,被压迫民族也不能从帝国主义的桎梏下解放出来。而要建立共同的革命战线,压迫民族的无产阶级就必须直接和坚决地支援被压迫民族的解放运动来反对本国的“帝国主义”,因为“压迫其他民族的民族是不能获得解放的”。

                问题确是这样:在世界革命的过程中,被压迫的民族革命没有成功,无产阶级的革命则不易完成;无产阶级革命没有完成,民族解放也不易成就。因此,宗主国的无产阶级对于被压迫民族,应直接坚决帮助其解放,拥护“民族分离权”和“组织独立国家权”的口号。相反,被压迫民族,应一方面起来要求本国政治经济的独立平等,脱离一切被压迫的羁绊,另一方面积极参加世界革命的总斗争,反对一切狭隘的复仇的民族成见,成为世界无产阶级革命中的一员。因为民族利益只有在世界无产阶级的总利益中才能获得。

                总之,宗主国的无产阶级应该主张“分离自由”,被压迫民族应该主张“联合自由”。这是马克思主义看待帝国主义时代民族解放与无产阶级革命之间关系的基本态度和立场

                第二,民族解放运动,在帝国主义时代,不应仅仅从自己民族利益出发,而更应当从全人类根本利益出发。民族问题只有相对的历史意义,同无产阶级反对资产阶级的阶级斗争相比,同社会主义革命事业相比,它只有从属的意义。列宁说:“民主运动的个别要求,包括自决在内,并不是什么绝对的东西,而是世界一般民主主义(现在是一般社会主义)运动中的一小部分。在个别的具体情况下,部分可能和总体相矛盾,那时就必须抛弃这一部分。”这就是说,民族解放运动的发展要服从国际无产阶级反对帝国主义的共同事业的需要。民族解放运动只有得到无产阶级革命运动的支持,才能顺利发展;民族自由和民族平等,只有在无产阶级革命胜利以后才能得到根本保证。“民族问题和’工人问题”比较起来,只有从属的意义,这在马克思看来是无可置疑的。”因为无产阶级革命的最终目的是要使全人类各民族都获得解放。这个目标,任何其他阶级都是不可能实现的,任何局部的民族运动都是达不到的。

                因此,民族运动只是世界无产阶级革命的一部分。

第五节民族融合是各民族高度发展的结果

                一、民族自决权是政治独立权

                马克思主义政治学认为,所谓民族自决权,就是被压迫民族脱离异族国家的分离权,就是成立独立的民族国家的权利。“从历史的和经济的观点看来,马克思主义者的纲领上谈的‘民族自决,除了政治自决,即国家独立,建立民族国家以外,不能有什么别的意义”。

                早在资本主义上升时期,民族自决权的口号便伴随着资产阶级民主革命应运而生。当时它的主要内容是反对封建主义,反对异族压迫,要求建立资产阶级独立国家。正是这一口号曾对被压迫民族中的资产阶级发起的民族运动起过重要的推动作用。为此,马克思充分肯定了这一原则,并把它同无产阶级斗争的利益联系起来。

                到帝国主义阶段,由于帝国主义的民族侵略和大规模的兼并政策使世界划分为压迫民族和被压迫民族。这种划分不但使民族自决权由少数几个国家的问题变成了世界范围的问题,使民族自决权从资产阶级的民主主义口号变为反对帝国主义的斗争口号,而且要求压迫民族中的无产阶级坚决支持一切被压迫民族的解放运动,直到完全承认他们的民族自决权。关于民族自决权在新的历史条件下的应有之义是什么,在第二国际中展开了激烈的辩论。以列宁为首的马克思主义者详细阐述了民族自决权的含义。民族自决权从政治意义上讲,只是一种独立权,即在政治上同压迫民族自由分离的权利。具体说来,这种政治民主要求,就是有完全的自由来鼓励分离、鼓动实行分离的民族通过全民投票来解决分离问题。民族自决权是反对一切民族压迫的彻底表现。

                要使民族自决权得以真正实现,对压迫民族的无产阶级和被压迫民族的无产阶级都提出了具体的要求。

                第一,压迫民族的无产阶级不能只用笼统的、千篇一律的、为一切和平主义的资产者所重复的空谈去反对兼并和赞成一般民族平等。对帝国主义资产阶级感到特别“不愉快的”问题,即以民族压迫为基础的国家的疆界问题,无产阶级不能默不作声。无产阶级不能不反对把被压迫民族强制地留在该国疆界以内,这也就是说,要为自决权而斗争。无产阶级应当要求受“它”的民族压迫的殖民地和民族有政治分离的自由。不这样,无产阶级的国际主义就仍然是一句空话,要想在被压迫民族的工人和压迫民族的工人之间达到相互信任或阶级团结是不可能的;那些机会主义和改良派的虚伪性就仍然不能被揭穿,他们是闭口不谈被“他们本”民族压迫并被强制地留在“他们本”国内的民族的。

                第二,对于被压迫民族的无产阶级来说,就必须特别坚持和实现被压迫民族的工人和压迫民族的工人的完全的无条件的(包括组织上的)团结。否则在资产阶级各种诡计、背叛和欺骗下,就不能捍卫住无产阶级的独立政策和它同其他国家无产阶级的阶级团结。因为被压迫民族的资产阶级经常把民族解放的口号变成欺骗工人的手段:在对内政策上,它利用这些口号去同统治民族的资产阶级实行反动的妥协;在对外政策上,它竭力同相互竞争的帝国主义强国之一相勾结,来实现自己的掠夺目的。

                许多第二国际社会民主党的领导人,通常都把被压迫民族问题看成纯粹的法的问题。他们热心干的事情就是冠冕堂皇地宣布“民族的平等权利”,发表无数关于“民族平等”的宣言。他们抹杀了这样一个事实,就是在帝国主义时代,当某一些民族(少数)靠剥削另一些民族生存的时候,所谓“民族平等”不过是对于压迫民族的嘲弄。列宁揭穿了这种资产阶级的法的观点,把民族问题从大吹大擂的宣言的天空拉到地上来,指出如果无产阶级政党不直接援助被压迫民族的解放斗争,“民族平等”的宣言就是空洞的虚伪的宣言。这样一来,被压迫民族问题就变成了支援、帮助被压迫民族反对帝国主义、争取真正的民族平等、争取成立独立国家的问题。

二、民族自决必须服从无产阶级革命的根本利益

                压迫民族必须援助各被压迫民族和附属国人民的民族解放运动。但这并不是说无产阶级在任何地方和任何时候,在每个具体情况下都应当援助任何一种民族运动

                第一,民族自决权并不等于鼓励任何分离,分散或成立小国家的要求。因为就社会的发展和无产阶级愿望来说,并不愿意各民族分离,因为无论从经济发展或人民群众的利益来看,大国家的好处是不容置疑的。社会主义的目的不只是要消灭人类分为许多国家的现像和各民族的任何隔离状态,不只是要使各民族接近,而且要使各民族融合。因此,把民族自决权理解为鼓励分离、分散或成立小国家是不科学的。无产阶级坚持民族自决权,但并不提倡任何民族在任何条件下都可以实行自决权。无产阶级对压迫民族的解放运动的援助,目的在于削弱帝国主义,推翻帝国主义,而不在于巩固和保持帝国主义的那种民族运动

                第二,有时候,个别被压迫国家的民族运动会和无产阶级运动发展的利益相冲突。不言而喻,在这种情况下是谈不到什么援助的。民族权利问题并不是一个独立自在的问题,而是无产阶级革命总问题的一部分,它服从整体,要求从整体的观点来观察。列宁说:“民主运动的个别要求,包括自决在内,并不是什么绝对的东西,而是世界一般民主主义(现在是一般社会主义)运动中的一小部分。在个别的具体情况下,部分可能和总体相矛盾,那时就必须抛弃这一部分。”马克思在19世纪40年代拥护波兰人和匈牙利人的民族运动,而反对捷克人和南方斯拉夫人的民族运动。为什么呢?因为当时捷克人和南方斯拉夫人是“反动民族”,是欧洲的“俄国前哨”,是专制制度的前哨,而当时波兰人和匈牙利人却是反对专制制度的“革命民族”。因为当时援助捷克人和南方斯拉夫人的民族运动就是间接援助欧洲革命运动的最危险的敌人沙皇制度

                对于民族运动的性质,不应从形式上,不应以抽像的法的观点,而是以革命运动的利益的观点去估量和判断。关于个别的民族运动问题,关于这些运动可能具有的反动性的问题,就应当这样对待

                第三,极大多数民族自决运动所无疑具有的革命性,也和某些个别的民族运动所可能具有的反动性一样,是相对的和独特的。在帝国主义压迫的情况下,民族运动的革命性完全不一定要以这个运动有无产阶级分子参加、有革命的纲领、有民主的基础为前提。

                阿富汗的艾米尔为阿富汗独立而进行的斗争在客观上是革命的斗争,因为这个斗争能削弱、瓦解和毁坏帝国主义,虽然阿富汗的艾米尔及其战友抱有君主制的观点;可是像克伦斯基和策烈铁里、列诺得尔和谢德曼、切尔诺夫和唐恩、韩德逊和克莱因斯这些“激烈的”民主主义者和“社会主义者”、“革命家”和共和主义者在帝国主义战争时期所进行的斗争却是反动的斗争,因为这个斗争的结果是粉饰并巩固帝国主义,并使帝国主义取得胜利。埃及的商人和资产阶级知识分子为埃及独立而进行的斗争,由于同样的原因,在客观上也是革命的斗争,虽然埃及民族运动的首领是资产阶级出身,具有资产阶级身份,并反对社会主义;然而英国“工人”政府为保持埃及的附属地位而进行的斗争,由于同样的原因,却是反动的斗争,虽然这个政府的阁员是无产阶级出身,具有无产阶级身份,并“拥护”社会主义。其他较大的殖民地和附属国,如印度和中国的民族运动,在争取解放的道路上的每一次步骤,即使违反形式上的民主要求,也是对帝国主义的一个非常沉重的打击,就是说,毫无疑问是革命的步骤。

                列宁说,在估量被压迫国家的民族运动时不要以形式上的民主为标准,而要以反帝国主义斗争总结算中的实际结果为标准。就是说:“从世界范围来看,而不应当孤立地来看。”

                关于民族自决权原则,在第二国际时期存在过激烈的辩论。当时对民族自决权的解释和意义,产生了不少错误的理解和机会主义观点。列宁坚持马克思主义的思想方法,坚决地批判了各种各样的错误观点。

                第一,有的第二国际领导人从绝对经济意义来理解民族自决权,得出了民族自决权在资本主义范围内不能实现的结论。例如德国著名的无产阶级革命领导人罗莎·卢森堡正是在这个问题上犯了错误。

                卢森堡对民族自决权的错误理解是基于其错误的资本主义再生产理论之上的。她认为,从社会再生产实现的角度看,资本主义生产方式不能独自实现,必须借助一个非资本主义的“第三者”。在多民族国家中,被压迫民族就充当了这个“第三者”的作用。因此,先进资本主义民族对落后民族的压迫,从绝对经济意义上来说是必要的。同时,她把被压迫民族自由地同压迫民族分离开来并争取政治独立,与经济上必然与宗主国断绝联系混淆起来,认为民族自决也必然地不利于落后民族的经济发展。她指出,支持被压迫民族的民族自决,实际上只有利于该民族的资产阶级民族主义。她没有看到,被压迫民族的政治独立对压迫民族的资产阶级的打击和对无产阶级革命的支持

                列宁指出,关于民族自决权在资本主义范围内不能实现的论断在理论上是根本错误的。(1)在资本主义制度下,如劳动货币或危机的消灭等等,从这个意义上讲是不能实现的;如果认为民族自决也不能实现,那是完全不对的。从马克思主义关于资本主义再生产条件看,“第三者”的存在并非一个必要条件。(2)即使只举1905年挪威和瑞典分离的例子,就足以驳倒认为民族自决在这个意义上“不能实现”的论断。(3)如果德国和英国在今天或明天改变一下政治上和战略上的相互关系,则波兰、印度等新国家的形成是完全“可能实现”的,否认这一点是可笑的。(4)金融资本竭力向外扩张,“自由”收买和贿赂最自由的民主共和国以及任何一国、甚至“独立”国的被选出来的官吏。金融资本的统治,也和一般资本的统治一样,并不是政治民主方面的任何改革所能消灭的;而自决则完全是属于政治民主方面的。但是金融资本的这种统治,丝毫不能消除政治民主这一阶级压迫和阶级斗争的更自由、更广泛和更显明的形式的作用。这就是说,尽管已经取得民族独立的国家也难以逃脱金融资本的统治,但是民族自决这种政治民主的要求还是可以实现的,而且这种政治上的分离权和独立权还具有重要的作用。

                第二,民族自决原则通常被曲解,往往把它缩小为民族自治权。第二国际的某些首领甚至把自决权变成文化自治权,就是说,被压迫民族有设立自己的文化机关的权利,而让全部政权仍旧掌握在统治民族手中。奥地利社会民主党和第二国际的机会主义者奥托·鲍威尔等提出的民族纲领就是民族文化自治的代表性观点。他们首先认为,民族是具有共同文化的人们共同体,“民族和地域没有任何本质的联系,民族是自治的个人联盟”。接着,他们主张用公民自由登记的办法,把散居各地的同一民族成份组成一个法定的民族,选出民族委员会,“民族委员会就是民族文化议会,它有权为管理民族教育、民族文学、艺术和科学,为建立学院、博物馆、美术陈列馆、剧院规定原则和审批经费”等等。总之在文化事务方面实行自治,政治方面则由资产阶级议会实行管理,维护资产阶级的统治。这一纲领被许多国家社会民主党的机会主义者,尤其是俄国崩得分子所拥护。

                列宁把民族文化自治斥为最精致、最彻底、最有害的民族主义,因为民族文化自治与民族自决是有严格区分的:(1)民族文化自治是以多民族国家的完整为前提的,民族自决却超出了这种完整的范围;(2)自决是赋予民族以全部权利的,民族文化自治却只限于“文化权利”。如果用文化自治来代替民族自决,就会使民族自决的思想从反对兼并政策的工具变成替兼并政策辩护的工具。列宁强调指出,只能把民族自决的概念解释为附属国和殖民地被压迫民族有完全分离的权利,各民族有成立独立国家的权利。只有这样,才能排除把自决权解释为自治权来替兼并政策辩护的可能。于是民族自决原则就由欺骗群众的工具变成了揭露一切帝国主义野心和沙文主义阴谋的工具,变成了用国际主义精神对群众进行政治教育的工具。

三、民族平等和民族融合是无产阶级革命的历史要求

                马克思主义政治学认为,在资本主义发展阶段不可能真正实行民族平等。没有真正的民族平等就不可能实现真正的民族融合,因为民族平等是民族融合的必要前提。只有无产阶级才能真正做到民族平等,因为实行各民族一律平等的原则符合无产阶级的根本利益。在帝国主义时代,实行民族平等的原则是无产阶级完成社会主义革命任务的惟一道路。各民族实现民族平等后,历史的发展趋势必然是走向民族融合。

                列宁说:“在资本主义的发展过程中,可以看出在民族问题上有两个历史趋向。第一个趋向是民族生活和民族运动的觉醒,反对一切民族压迫的斗争,民族国家的建立。第二个趋向是民族之间各种联系的发展和日益频繁,民族壁垒的破坏,资本、一般经济生活、政治、科学等等的国际统一的形成。这两个趋势都是资本主义的世界规律。第一个趋向在资本主义发展初期占优势,第二个趋向标志着资本主义已经成熟,正在向社会主义社会转变。”如果说第一个趋势是要求实现民族自主和平等,那么第二个趋势则是走向民族间的融合

                “民族平等”作为资产阶级民主主义的口号,是在资产阶级革命时期,为反对封建主义和异族压迫而提出来的。这一口号在冲破封建堡垒,反对异族压迫,建立资产阶级民族国家过程中曾经起过进步的历史作用。但是,资产阶级一旦完成了民族独立的任务,便把“民族平等”的口号抛到九霄云外。夺取了政权的资产阶级又开始压迫本民族人民和其他民族。“按资产阶级民主的本性说来,关于一般平等问题,其中包括民族平等问题的抽像的或形式的提法,是资产阶级民主所特有的。资产阶级民主在一般个人平等的名义下,宣布有产者和无产者间、剥削者和被剥削者间的形式上的或法律上的平等,以此来大大欺骗被压迫阶级。平等思想本身就是商品生产关系的反映,资产阶级借口个人绝对平等,把这种思想变为反对消灭阶级的斗争武器。要求平等的真正意义只能是要求消灭阶级。”而消灭阶级的历史使命不是资产阶级所能完成的。

                进入帝国主义时代,为了适应对外侵略的需要,资产阶级又鼓吹起民族有“优”、“劣”之分,进而把民族问题扩大为世界民族殖民地问题。从形式上看,这个时期世界各民族的联系空前紧密,达到了空前的“融合”。实质上,这种形式上的“融合”只加剧了民族间的对立和分离倾向,因为它不是建立在民族平等的基础上,而是建立在武力兼并和征服的基础上。对于这种民族“融合”,列宁评论说:“要达到使一切民族完全平等、密切接近和进而融合的共同目的,显然要走各不相同的具体道路,就拿达到一张纸的中心点的方法来说吧,可以从纸的一端向左走,也可以从纸的相对的一端向右走,反正都会达到。如果压迫的、兼并的大民族中的社会民主党人仅仅一般地鼓吹民族融合,而忘记了,哪怕是一分钟忘记了‘他的’尼古拉二世、‘他的’威廉、乔治、彭加勒等等也主张和小民族融合(用兼并手段),忘记了尼古拉二世主张和加里西亚‘融合’、威廉二世主张和比利时‘融合’等等,那么,这样的社会民主党人在理论上是可笑的学理主义者,在实践上是帝国主义的帮凶。“

                对于帝国主义,这两个趋向——民族平等和民族融合——是一个不可调和的矛盾,因为帝国主义如果不剥削殖民地,如果不用暴力把殖民地束缚在“统一的整体”范围内,就不能生存。因此,帝国主义只能依靠兼并和夺取殖民地才能使各民族互相接近,而这种接近是帝国主义存在的前提。

                马克思主义一再强调,压迫其他民族的民族是不能获得解放的。在一个民族对另一个民族存在歧视或者还保持着民族特权的情况下,是谈不到无产阶级解放的。只有坚持民族平等,才能实现全世界无产阶级不分民族的团结。无产阶级只有解放全人类才能最后解放自己。因此,“打倒一切封建压迫,打倒一切民族压迫,打倒某一民族或某一语言的一切特权,这是无产阶级这个民主力量的绝对职责,是受民族纷争蒙蔽和阻碍的无产阶级阶级斗争的绝对利益”。

                因此,只有无产阶级才能赋予民族平等以真正彻底的革命内容:

                第一,世界上各个民族有大小、强弱、先进与落后之分,但并无优劣和贵贱之别。所有民族都是平等的。古往今来每个民族都有自己的长处,可能在某些方面优越于其他民族。每个民族都对世界文化的共同宝库作出过贡献

                第二,坚持民族平等,就必须反对任何民族特权。尤其要无条件地保护弱小民族的权利。大民族要以对待自己的不平等来抵偿历史上实际形成的不平等,这样才能消除民族间最微小的不信任、疏远、猜疑和仇视

                第三,民族平等的原则要求逐步消灭事实上存在的不平等。由于“各民族之间的相互关系取决于每一个民族的生产力、分工和内部交往的发展程度”,所以社会主义国家要处理好民族关系,首先要帮助后进民族变革旧的生产关系,发展经济和文化,否则民族平等将会成为空话。

                第四,要求平等的真正意义只能是要求消灭阶级。任何超出这个范围的平等要求,都必然流于荒谬。因为只要有阶级剥削和阶级压迫存在,就必然会有民族剥削和民族压迫。因此,只有消灭了阶级的剥削和压迫,实现了人与人之间的平等,才有可能实现民族之间的平等。

                坚持彻底的民族平等原则是为了实现民族团结和民族融合对于无产阶级革命运动来说,民族平等和民族融合是一个问题即被压迫民族摆脱帝国主义压迫这一问题的两个方面。各民族在统一的世界经济中的联合,只有根据相互信任和自愿协定的原则才能实现;各民族的自愿联合,只有经过使殖民地从“统一的”帝国主义“整体”分离出来的道路,经过使殖民地变为独立国家的道路才能实现。列宁说:“不仔细考虑问题的人,会以为压迫民族的社会民主党人坚持分离自由’而被压迫民族的社会民主党人坚持‘联合自由’是‘矛盾的’。可是,只要稍微思索一下,就可以知道要达到国际主义和民族融合这一目的,除了这种状况以外,没有也不可能有别的道路。”这就是说,无产阶级力求使各民族接近以至进一步融合,但是达到这个目的的方法不是暴力,而仅仅是各民族工人和劳动群众的自由的和兄弟般的联合

                民族融合实质上是一个自然同化的过程。所谓自然同化是指在长期密切的经济联系和文化交流过程中,发展比较落后的民族受周围比较先进的民族的影响,自然而然地改变自己的民族特点。这种同化是历史发展的必然趋势,是历史进步的表现。世界范围的自然同化就是民族融合的最终实现。自然同化不同于强制同化,后者是指统治民族的统治阶级对被统治民族实行同化政策,采取一系列强制措施,迫使他们改变自己的民族特点。这种同化是民族压迫的表现,是帝国主义时代的民族“融合”

                在无产阶级专政的社会主义国家,由于推翻了剥削制度,从根本上铲除了民族压迫的根源,民族问题的实质已不再是阶级问题无产阶级革命胜利后民族问题主要表现在:真正地实现民族平等,从而真正地建立和巩固各民族之间的平等、团结互助的民族关系;发展各少数民族的经济,政治和文化,逐步消除各民族间事实上的不平等;承认民族差别,照顾民族特点,正确对待和处理民族矛盾使落后民族路身于先进民族的行列。总之,无产阶级革命胜利后,民族问题实质是解决历史上遗留下来的各民族间事实上的不平等问题

                当然,在无产阶级专政的国家里,民族问题还将长期存在下去,这是因为:

                第一,民族具有很大的稳定性,民族差别和民族特征的消失需要相当长的历史时期。民族的长期存在决定了民族问题的长期存在,因为只要民族存在,就必然存在着语言文字、生活方式、风俗习惯、心理状态和宗教信仰等方面的差别和由此而引起的民族矛盾。这种矛盾的存在和发展决定了民族问题的存在和发展。

                第二,历史上遗留下来的各民族间事实上的不平等还将继续存在着。社会主义国家的民族政策使各民族获得平等的政治、法律等各方面的权利。但是由于历史上少数民族地区的经济、政治、文化一般都处于比较落后的状态,这就在客观上使各少数民族不可能充分地享受到和先进民族同样的平等权利。这种事实上不平等的状况不改变,民族问题就难以消除。

                第三,历史上遗留下来的统治阶级造成的民族隔阂、民族猜疑、民族歧视不可能在短时期内全部消失。例如,大国沙文主义和地方民族主义思想及其影响,作为一种习惯势力,将在人民内部长期存在。同时,国际阶级斗争和国内一定范围的阶级斗争在民族关系上的反映,也是造成民族问题长期存在的因素。

                随着社会主义事业的发展,各民族的经济,文化普遍高涨,各族人民在共同劳动生活、相互学习帮助的进程中,民族间的共同性将日益增多,差别性会逐渐减少。全世界实现共产主义后,经过一个很长的时期,各民族经济文化得到高度发展和繁荣,精神面貌趋于一致,民族差别完全消失,民族趋于消亡,世界各民族将融为一体。民族融合是历史发展的必然趋势。

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1993 – 2016: (10) : Politics as a Science and an Art Chapter Ten of “The Logic of Politics” 王沪宁等著《政治的逻辑》

Chapter Ten builds upon the discussion of political parties in Chapter 9. 1993 – 2016: (9) : Political Party Divisions Are Based on Class Divisions : Chapter Nine of “The Logic of Politics” 王沪宁等著《政治的逻辑》

 “The Logic of PoliticsPrinciples of Marxist Political Science” 王沪宁等著《政治的逻辑》

Chapter 10 summary:

Lenin’s 1920 dictum —“politics is a science and an art”—is the guiding thesis of this chapter. As a social phenomenon, politics is constrained by material production and objective laws, and therefore can be studied and grasped through scientific methods.

Yet different strokes are needed to address the specific problems of different societies. Deep analysis, experience, openness and judgement are needed not to go too far in one direction or the other. Politics must not go too far right, not too far left, not too centralized, not too ‘democratic’, not too commanding but not abdicating leadership either and always staying in intimate contact with the people.

Politics is intensely practical, situation-dependent, and extremely complex so political science can provide only general laws and principles. In real political work one must still “analyze concrete problems concretely,” and devise strategy and tactics in accordance with time, place, and circumstances—hence politics is also an “art.”

Chapter Ten provides five interrelated lines of institutional, methodological, and strategic arguments.

First, it emphasizes that “politics, compared with economics, takes first place,” with the proposition that “politics is the concentrated expression of economics” as a pivotal point. Politics has the commanding and integrative role in economic life, yet politics does not vulgarly determine economics or vice versa; after the proletariat takes power comes the period of socialist construction, economic development requires political guarantees, while political mistakes can in turn damage economic development.

Second, it presents democratic centralism as the fundamental organizational principle of the proletarian party and the socialist state. Both centralism and democracy are essential components of democratic centralism. Democratic centralism rejects both bureaucratic centralism and anarchism, and advances a higher and more substantive socialist democracy that addresses democracy in both the economic and the political spheres through institutional construction.

Third, the mass line as the basic method of leadership, insisting that it is the people who make history and that policy must “take the standpoint of the tens of millions.” Decision-making and implementation is a cyclical process of policymaking and revision after getting feedback from the masses on how policy works out in actual practice. The Party must guard against the twin typical faults of leadership — getting too far in front and divorced from the masses in commandism and abdicating its leading role by merely following the crowd in tailism.

Fourth, a scientifically defined division of functions and the separation of Party and government in order to improve—and genuinely strengthen—Party leadership. The Party focuses on line, principles, policy, and political leadership and avoids getting bogged down in the details of implementation. State organs act independently and responsibly within their statutory competence, thereby raising efficiency, overcoming bureaucratism, and enabling the Party to concentrate on ideological-political work and Party building.

Fifth, policy and strategy are the “lifeblood” of the Party and government. Both firmness in strategic principles and flexibility in tactical execution are essential. Unify principled steadfastness with situational adaptability. This is what most clearly embodies politics as both “science” and “art.”


The Logic of Politics: Principles of Marxist Political Science translated in full with citations to sources and context to sources added:

Chinese text of Chapter Ten follows the English translation.


In 1920, in his book “Left-Wing Communism: An Infantile Disorder“, Lenin advanced an important principle of Marxist political science: “politics is both a science and an art.” Marxism holds that politics is a social phenomenon; its emergence and development are not accidental, arbitrary, or blind. The nature of politics in a particular society is constrained by that society’s material production. That is, to put it into other words, it is governed by definite objective laws. People can apply scientific methods to study and master politics and identify its underlying principles or regularities; in this sense, politics is a science.

But politics also has a strong practical character. Real political life is extraordinarily intricate and complex. Political science can provide only the general laws and basic principles of political activity; yet amid the endlessly changing realities of politics, one must analyze concrete problems concretely and solve political issues with flexibility and responsiveness. One must formulate strategy and tactics in light of the “characteristics of the times” and actual conditions. In this sense, politics is also an art. To say that politics is both a science and an art means that, on the basis of the objective laws of social movement, one can:

  • Understand the position and role of politics in social and economic life,
  • Grasp the basic principles and methods of political action, and
  • Identify the fundamental policies and tactical means for handling political questions,

In this way the political objectives of the proletariat can be achieved.

Section One Politics takes precedence over economics

I. Politics provides overall leadership and represents the big picture

Materialist dialectics is Marxism’s fundamental method for understanding things as well as the starting point for studying political science and the art of politics. From the standpoint of dialectical materialism, politics belongs to the category of the superstructure that is built upon the economic base. Politics is grounded in the economy; yet because it stands above the economic base, it has the function of taking control of the commanding height and grasping the overall situation. As Lenin pointed out:

“Politics is the concentrated expression of economics … politics cannot but take precedence over economics.”

V. I. Lenin, Once Again On The Trade Unions, The Current Situation and the Mistakes of Trotsky and Buhkarin

Marxism at the very least explains the primacy of politics in social and economic life in the following respects:

First, politics provides overall leadership. In the course of leading the Soviet socialist revolution and socialist construction, Lenin greatly enriched and developed Marxist political theory and was the first to set forth the special importance of politics. In a series of works such as Our Programme and What Is To Be Done?, Lenin emphasized the major significance of political struggle as compared with economic struggle. In particular, in his polemics with Trotsky and Bukharin, he explicitly advanced the famous thesis that Politics must take precedence over economics,” and he sternly pointed out: “To argue otherwise is to forget the ABCs of Marxism.”

In China’s own semi-feudal, semi-colonial historical environment, Mao Zedong, on the basis of the basic principles of Marxism-Leninism and in combination with China’s realities, further elaborated the importance of politics—for example, in 1929, in On Correcting Mistaken Ideas in the Party, he explained the relationship between politics and the military; in 1937, in On Contradiction, he discussed the relationship between politics and the economy; and in 1940, in On Protracted War, he analyzed the relationship between politics and war.

Especially during the period of socialist construction, Mao developed his thinking from the period of revolutionary war and pointed out the leading role of politics over all other work. In his “Sixty Points on Working Methods (Draft)” of 1958, he stressed that in the relationships between politics and professional work, politics and the military, politics and the economy, and politics and technology, politics is always the head; politics always leads the military, leads the economy, leads professional work, and leads technology. The leading role of politics emphasized by Mao is concentrated in the Party’s political leadership. This must be realized through the correct line, principles, and policies formulated by the Party; hence he often said that

The Party’s policies are the Party’s life.” [“Policy and tactics are the life of the Party; leading comrades at all levels must give them full attention and must never on any account be negligent.]

Selected Works of Mao Tse-tung, A CIRCULAR ON THE SITUATION, March 20, 1948

Second, politics is the soul. In the Marxist view, ideas govern action and theory guides practice; and any given set of ideas and theories represents the political standpoint of a particular class. If the proletariat lacks a correct political standpoint, it is like a person who does not think or has no soul. In this sense, politics is equivalent to the soul, and only for that reason can it command and coordinate all other work. Lenin put it succinctly:

“Without revolutionary theory there can be no revolutionary movement.”

“Only a party that is guided by advanced theory can fulfil the role of an advanced fighter.”

Vladimir Ilyich Lenin, What Is To Be Done?, BURNING QUESTIONS of our MOVEMENT, I Dogmatism And “Freedom of Criticism”, A. What Does “Freedom of Criticism” Mean?

Engels had long before observed:

“Revolution is the highest act of politics; whoever wants revolution must also recognize the means for preparing revolution and educating the workers to carry it out—that is, must recognize political action.”

International Workingmen’s Association 1871, Apropos Of Working-Class Political Action, Reporter’s record of the speech made at the London Conference of the
International Working Men’s Association, September 21, 1871

Mao Zedong linked politics even more closely with ideological stance. In his “Editor’s Notes to The Socialist Upsurge in China’s Countryside,” he proposed that “political work is the very life of all economic work.” In “On the Correct Handling of Contradictions Among the People,” Mao further stated explicitly: “Not to have a correct political point stance is like having no soul.

Third, politics is about the overall situation. Politics provides overall leadership and serves as the “soul,” running through everything. Thus it is not a merely partial matter; it involves the whole and the overall picture. Conversely, anything that bears on the whole and the overall picture necessarily also has a political character.

On the basis of the practical realities of Soviet socialist construction, Lenin was the first to advance a new concept, “politics in the economic sphere.” Lenin said:

“Now our main policy must be: to engage in the economic construction of the state, to harvest more grain, to supply more coal, to solve more properly the problem of making use of this grain and coal, to eliminate famine—this is our policy.”

V. I. Lenin, Speech Delivered At An All-Russia Conference Of Political Education Workers Of Gubernia and Uyezd Education Departments, November 3, 1920

Here Lenin tightly links the comprehensive shift in the focus of work with politics: while the proletariat is seizing state power, class struggle is the primary content of politics. However, when arrives the period of socialist construction, developing the economy becomes the main content of politics. Therefore Lenin also pointed out:

“Henceforth, less politics will be the best politics.”

V. I. Lenin, Eighth All-Russia Congress of Soviets, Part II Report On The Work Of The Council Of People’s Commissars December 22, 1920

The meanings of these two instances of “politics” are clearly different: the former refers to “politics in the economic sphere,” while the latter refers to the politics of the class struggle previously carried on. Thus, under different temporal and spatial conditions, politics has different content; politics is always concerned with those matters that are the most central and momentous.

Deng Xiaoping developed Marxism-Leninism still further. He explained that the shift in focus has important consequences:

“At the present time, socialist modernization is of supreme political importance for us, because it represents the most fundamental interest of our people,” but also explicitly defined politics as “the overall situation in the domestic and international class struggle and the fundamental interests of the Chinese people and the people of the world in current struggles.”

Deng Xiaoping, Uphold the Four Cardinal Principles, 1979

In short, whether it is the economy, culture, or education, so long as it involves the “overall situation,” it is politics.

II. Politics and the economy are forces that interact with each other

Politics provides overall direction and as the “soul” is about the overall situation. All of this shows why politics takes center stage in social and economic life. To understand the primacy of politics in depth, we need to clarify the relationship between politics and the economy.

Marx and Engels, because they needed to establish their materialist conception of history, they initially stressed politics primarily from an economic perspective. In 1845–1846, in The German Ideology, Marx and Engels wrote:

“Thus, the fact is as follows: definite individuals who carry on production in a definite way enter into definite social relations and political relations. Empirical observation must in each case reveal, on the basis of experience, the connection between the social structure and the political structure and production, without any mystical or speculative coloring.”

Karl Marx and Friedrich Engels, A Critique of The German Ideology

Here, the founders of Marxism for the first time linked politics with a specific mode of production. Thereafter, in works such as The Communist Manifesto, the “Preface” to A Contribution to the Critique of Political Economy, and Socialism: Utopian and Scientific, they repeatedly pointed out that the ultimate causes of all political transformations should be sought in changes in the mode of production and the mode of exchange. Thus it depended upon the specific kind of economy during a given historical period. In this way Marx and Engels established a materialist view of the relationship between politics and the economy. Politics is a superstructure that arises from the economic base; the nature of politics is explained by the nature of the economy; and political change is, in the final analysis, determined by the economic base.

The reason Marx and Engels, at that time, kept politics so closely tied to the economy lay in historical and social circumstances. The Idealist thinkers who preceded them had inverted root and branch. They discussed politics as something that had nothing to do with the economic base. For example, Hegel and others regarded history as the embodiment of the “Absolute Idea.” Therefore, Marx and Engels needed, from the standpoint of historical materialism, to reduce politics to its fundamentals. In this way they clarified why capitalism must eventually fail and socialism win in the end by revealing the laws of economic motion. In doing so they gave the proletariat hope in their struggle to fulfill their historic mission. This was scientific theory that met the needs of society at that time.

Marx and Engels’s scientific viewpoint was, however, from the very beginning, subjected to distortion and attack by the enemies of Marxism. For example, Paul Barth in his book Hegel and the Philosophy of History of the Hegelian School, including Marx and Hartmann,

[Translator’s Note: original title, available online via the University of Wisconsin, Die Geschichtsphilosophie Hegel’s und der Hegelianer, bis auf Marx und Hartmann published in 1890. ChatGPT didn’t dredge up an English translation of Paul Barth’s critique of Marx but did provide some background information on the controversy the book stirred up with Marxists. Engels on Barth: “If Barth imagines that we deny all and every retroaction of the political, etc., reflexes of the economic movement upon that movement itself, he is simply contending against windmills. He ought at least take a glance at Marx’s Eighteenth Brumaire, which almost restricts itself to the treatment of the special role that political struggles and events play, naturally within the sphere of their general dependence upon economic conditions; or in Capital, e.g., the section on the working day, where legislation, which certainly is a political act, operates so decisively; or the section on the history of the bourgeoisie (Chap.24). Or else, why are we struggling for the political dictatorship of the proletariat, if political power has no economic effects? Force (i.e., the state power) is also an economic power!]

claimed that Marx regarded politics merely as the passive reflection of economics—something that could do nothing and had no efficacy. Engels rebutted this. He said: “If political power is powerless in the economic sphere, then why do we fight for the political dictatorship of the proletariat?” On the other hand, Engels also frankly acknowledged that he and Marx “shared the same fault.” He said:

“At first we placed the emphasis on deriving political ideas … from the economic facts that form the foundation; at the time that was necessary. But in doing so we neglected the formal side for the sake of the content.”

Marx-Engels Correspondence 1893, Engels to Franz Mehring

In fact, even before this Engels had already discovered—and sought to correct—this shortcoming in earlier theory. For instance, in Anti-Dühring, written between 1876 and 1878, he had already pointed to the relative independence of politics.

In particular, in his later years he further elaborated—through the lens of dialectics—the relationship between politics and economics, and especially emphasized the interactive effects of these two forces. He said:

“There is a reciprocity between two unequal forces; on the one side, the economic movement; on the other, the new political power which strives for the greatest possible independence and which having once arisen is endowed with its own movement. The economic movement, upon the whole, asserts itself but it is affected by the reaction of the relatively independent political movement which it itself had set up.

This political movement is on the one hand the state power, on the other, the opposition which comes to life at the same time with it. Just as the money market reflects, on the whole, with the qualifications indicated, the movement of the industrial market, but naturally in an inverted fashion, so there is reflected in the struggle between government and opposition, the struggle between already existing and contending classes but again in an inverted form, no longer direct but indirect, not as a class struggle but as a struggle for political principles. So inverted is this reflection that it required thousands of years to discover what was behind it.”

Marx-Engels Correspondence 1890, Engels to Conrad Schmidt In Berlin
London, October 27 1890

When discussing the basic proposition of the materialist conception of history, Engels also commented:

“If someone distorts this by saying that the economic factor is the only determining one, then he turns that proposition into an empty, abstract, absurd phrase.”

Marx-Engels Correspondence 1890, Engels to J. Bloch
In Berlin
London, September 21, 1890

What is especially worth noting is that, when discussing the relationship between politics and economics, Engels very carefully distinguished two situations.

  • First: from the standpoint of the basic principles of the materialist conception of history—that is, from the standpoint of demonstrating the objective laws of social development—the “decisive factor” in the historical process “in the last instance” is the production and reproduction of real life.
  • Second: with respect to a particular concrete historical period—i.e., when one is not trying to disclose the “in the last instance” driving cause of historical development—one cannot use the “principal principle” to replace the various “factors in interaction,” as Engels put it:

“But as soon as the question arises of describing any particular historical period, i.e., of practical application, the situation is different …”

Marx-Engels Correspondence 1890, Engels to J. Bloch
In Königsberg

Because Lenin lived in an era different from that of Marx and Engels, he confronted the concrete tasks of socialist revolution and construction. Therefore, when discussing the relationship between politics and economics, he focused less on explaining it in terms of the general laws of social development—this theoretical task had already been completed by Marx and Engels—and more on clarifying it through the more practical and more specific activities of revolutionary struggle and construction work. Accordingly, Lenin often expounded the relationship between politics and economics in light of the concrete circumstances and needs of the proletariat’s real struggle, thereby offering a highly valuable development of Engels’s later thinking.

As early as 1899, Lenin clearly pointed out the importance of political struggle relative to economic struggle. He held that “every economic struggle inevitably becomes a political struggle,” and that “to forget political struggle because of economic struggle is to betray the basic principle of the Social-Democratic movement worldwide.In What Is To Be Done? Lenin further elaborated this view and sharply criticized the erroneous position of the Russian “Economists,” who confused the basic principles of historical materialism with the concrete struggle of the moment. At the time, the Russian “Economists” had declaimed with great passion:

“Let me ask: which Social-Democrat does not know that, according to the teachings of Marx and Engels, the economic interests of the various classes play the decisive role in history, and therefore the proletariat’s struggle for its own economic interests should have primary significance for its class development and its struggle for emancipation?”

Vladimir Ilyich Lenin, What Is To Be Done?, BURNING QUESTIONS of our MOVEMENT, II The Spontaneity of the Masses and the Consciousness of the Social-Democrats

Lenin refuted this, saying:

“The word ‘therefore’ is used here in a completely improper way. From the principle that economic interests play the decisive role, one must by no means draw the conclusion that economic struggle (i.e., trade-union struggle) has primary significance, because, generally speaking, the most important, decisive ‘class interests’ can be satisfied only through a fundamental political transformation.”

Vladimir Ilyich Lenin, What Is To Be Done?, BURNING QUESTIONS of our MOVEMENT, II The Spontaneity of the Masses and the Consciousness of the Social-Democrats

As Lenin’s leadership of Soviet socialist revolutionary and construction practice deepened, he continuously developed his ideas on the relationship between politics and economics. After the October Revolution, he drew the explicit conclusions that

“Politics is the concentrated expression of economics,” and that “compared with economics, politics cannot but take first place.”

V. I. Lenin, Once Again On The Trade Unions, The Current Situation and the Mistakes of Trotsky and Buhkarin

In sum, with respect to the interrelationship between politics and the economy, Marxism explains it on two levels.

First, in demonstrating the objective laws of social development, historical materialism holds that the economic base determines politics. But this refers only to the ultimate and fundamental driving force in historical development. As Engels put it:

“According to the materialist conception of history, the ultimately determining factor in the historical process is the production and reproduction of real life. Neither Marx nor I has ever asserted more than this.”

[Translator’s Note: The full paragraph develops this a bit further: “According to the materialist conception of history, the ultimately determining element in history is the production and reproduction of real life. Other than this neither Marx nor I have ever asserted. Hence if somebody twists this into saying that the economic element is the only determining one, he transforms that proposition into a meaningless, abstract, senseless phrase. The economic situation is the basis, but the various elements of the superstructure — political forms of the class struggle and its results, to wit: constitutions established by the victorious class after a successful battle, etc., juridical forms, and even the reflexes of all these actual struggles in the brains of the participants, political, juristic, philosophical theories, religious views and their further development into systems of dogmas — also exercise their influence upon the course of the historical struggles and in many cases preponderate in determining their form. There is an interaction of all these elements in which, amid all the endless host of accidents (that is, of things and events whose inner interconnection is so remote or so impossible of proof that we can regard it as non-existent, as negligible), the economic movement finally asserts itself as necessary. Otherwise the application of the theory to any period of history would be easier than the solution of a simple equation of the first degree.]

Marx-Engels Correspondence 1890, Engels to J. Bloch In Königsberg

Second, if we look at a particular historical cross-section—at the concrete practical activity by which the proletariat and its party transform society—then not only do politics and the economy interact, but politics is the concentrated expression of economic interests and therefore has primacy. Only when these two levels are taken together do we have the complete dialectical-materialist viewpoint.

III. Economic construction requires political guarantees

Clarifying the two levels of Marxism’s account of the relationship between politics and the economy is of great significance for the concrete practice of socialist revolution and construction. Especially after the proletariat seizes political power and enters the period of socialist economic construction, correctly handling the relationship between politics and the economy becomes particularly important.

Because Marx and Engels did not live to see socialist economic construction with their own eyes, this historical mission fell to Lenin. In 1920, when Russia was in “the period of transition from war to economic construction,” Lenin repeatedly emphasized that the “general political tasks of Soviet power” consisted precisely in carrying out socialist economic construction.

On November 3 of that year, he noted in a report:

“Every step we take toward defeating the White Guards shifts the center of gravity of the struggle, little by little, toward political work in the economic sphere.”

V. I. Lenin, Speech Delivered At An All-Russia Conference Of Political Education Workers Of Gubernia and Uyezd Education Departments, November 3, 1920

In Lenin’s view, proletarian politics has two principal aspects: politics in the sphere of class struggle, and politics in the sphere of economic construction—and, as the situation changes, the emphasis will move from the former to the latter. Accordingly, Lenin placed special stress on the “politics of state construction” and “politics in the economic sphere,” holding that politics means producing more grain and coal; and he pointed out:

“If one understands politics in the old way, one may commit very grave and serious errors.”

In his “Report on the Work of the Council of People’s Commissars,” Lenin also said:

“Comrades, economic tasks, the economic front, are again and again assuming prominence as the chief and fundamental tasks and the basic front confronting us,” and he called on everyone to “devote all attention to this work of economic construction.”

V. I. Lenin, Eighth All-Russia Congress of Soviets, Part II Report On The Work Of The Council Of People’s Commissars December 22

He further proposed that, going forward, talking less about politics would be the best kind of politics.

Lenin’s development of the above ideas was not accidental. After the Russian proletariat seized power through the October Revolution and crushed imperialist armed intervention, circumstances changed. The proletariat’s fundamental economic interests came to be concentrated in socialist construction; accordingly, Lenin timely emphasized the “politics” of economic construction, aligning with the needs of historical development.

However, even when economic construction became the center of work, Lenin still did not treat politics as something optional. Instead, he upheld the primacy of politics relative to economics. In 1920–1921, Lenin and Trotsky entered into a dispute over the role and tasks of the trade unions. Lenin reaffirmed the view that politics is the concentrated expression of economics, and that politics, compared with economics, occupies the first place.

At the time, Trotsky and others accused Lenin of viewing problems “from a political standpoint,” whereas they claimed to view them “from an economic standpoint.” Trotsky further reproached Lenin, saying: “Comrade Lenin, in the concluding remarks of his report on our situation at the Eighth Congress of Soviets, once said that we should do a little less politics and a little more economics; but on the trade-union question he puts the political aspect of the matter first.

In response, Lenin incisively retorted that Trotsky thought these words “hit the nail on the head,” when in fact they only showed that Trotsky was utterly confused, and that his “ideological confusion” had reached an extreme. “Naturally, in the past, now, and in the future I have wished that we do a little less politics and a little more economics. But it is not difficult to understand that, to achieve this wish, there must be no political dangers and no political mistakes.

Lenin also addressed Trotsky’s and Bukharin’s claim that they were concerned with raising production while Lenin was concerned only with “formal democracy,” and he categorically pointed out:

“That is incorrect, because the whole point (from the Marxist standpoint, and can only be the point) is this: if a class does not handle political questions correctly, it cannot maintain its rule, and therefore it cannot solve its production tasks.”

V. I. Lenin, Once Again On The Trade Unions, The Current Situation and the Mistakes of Trotsky and Buhkarin

When Russia was placing economic construction at the center of its work, Lenin still advanced the thesis that “politics, as compared with economics, must take first place.” This is not a merely situational or ad hoc view, but a basic political principle of general significance. The more a proletarian party must lead the people in economic construction, the more it must properly handle political questions and formulate correct policies. Political mistakes will, in the end, inevitably affect economic development; economic construction must have political guarantees.

When China was placing economic construction at the center of its work, Deng Xiaoping emphasized:

“While working with complete dedication for the Four Modernizations, we must, with equal dedication, preserve and develop a political situation marked by stability, unity and liveliness.”

Deng Xiaoping, Adhere to the Party Line and Improve Methods of Work, 1980

“If there is no strong, centralized leadership and strict organizational discipline; if we do not vigorously strengthen work and education to stabilize the social and political order; if we do not resolutely improve Party conduct and further restore the Party’s fine traditions of seeking truth from facts, the mass line, and hard struggle, then there may occur disturbances of all sizes that could originally have been avoided, causing our modernization drive to encounter serious obstacles just as it has taken its first step.”

Deng Xiaoping, Implement the Policy of Readjustment, Ensure Stability and Unity, 1980

It can thus be seen that, at any time, political questions always occupy first place. “To say (or merely to imply) that to look at things politically and to look at them ‘economically’ are equally valuable and can be done is to forget the ABC of Marxism.” Trotsky and Bukharin were completely wrong on the relationship between politics and economics. They took an erroneous, eclectic stance and violated the scientific principles of materialist dialectics. In practical work, dialectically handling the relationship between politics and economics is an important expression of political art.

Section 2 Democratic centralism as a basic principle

I. The fundamental organizational principle of the Party and the state is democratic centralism

Compared with the economy, politics occupies the primary place, which shows the status and role of politics in social and economic life. However, as a science and an art, politics can be properly understood, grasped, and handled only by following certain principles and methods. Democratic centralism is precisely the fundamental organizational principle that Marxism applies to the proletarian party and the proletarian state.

First, democratic centralism is the fundamental organizational principle of the proletarian party. In the Marxist view, a proletarian party is neither a simple sum of membership numbers nor a simple federation of the Party’s various organizations; rather, it is a unified organic whole in which all Party members and Party organizations at every level are organized according to definite discipline. Building a proletarian party on the principle of democratic centralism is an important principle in the Marxist theory of party-building, and it is also one of the important marks distinguishing the proletarian party from other parties.

Marx and Engels, when founding the world’s first working-class party—the Communist League—had already put forward the basic ideas of democratic centralism. Although at that time they did not yet explicitly use the concept “democratic centralism,” they consistently treated the unity of democracy and centralism as the basic principle of organizational activity; the principle of democratic centralism already had a rudimentary form.

The organizational statutes of both the Communist League and the First International stipulated elections and recall from the bottom up. In organizational life, Marx and Engels upheld complete equality among all members and upheld the principle that the minority submits to the majority. At the same time, the League’s statutes also stipulated that members must maintain political unity with the League, that their “mode of life and activity must conform to the League’s aims,” that they must “obey all the League’s decisions,” and so on—thus insisting on centralized and unified leadership.

In the course of building the Russian Bolshevik Party, Lenin was the first to put forward explicitly the concept of democratic centralism. Sometimes Lenin said the Party was organized according to democratic principles; at other times he said it was organized according to centralism; in both cases he meant democratic centralism. Lenin held that the Party’s basic-level organizations should truly become the cells of the Party organism, and that all higher bodies should be genuinely elected bodies that report on their work and can be recalled. At the same time, he pointed out:

“To ensure Party unity, to ensure the centralisation of Party work, there is still need of organisational unity, and in a party that has grown to be anything more than a mere family circle such unity is inconceivable without formally adopted rules, without the subordination of the minority to the majority, and of the part to the whole.”

Vladimir Ilyich Lenin, One Step Forward, Two Steps Back (THE CRISIS IN OUR PARTY), Q. The New Iskra. Opportunism In Questions Of Organisation

Lenin not only wrote democratic centralism into the Russian Party rules; he also extended it to the building of Communist parties in all countries, and he explicitly laid down the requirement:

“Parties belonging to the Communist International must be organised on the principle of democratic centralism.”

V. I. Lenin, Terms of Admission into Communist International

The reason a proletarian party must adhere to the principle of democratic centralism is that it has to be a unified, organized whole—something determined by the Party’s nature and tasks. As the vanguard of the working class, if it is to shoulder the historic responsibilities entrusted to it, it must concentrate the power of the working class and the broad masses of the people, act in unison, and carry out struggle in an organized and led way. This requires not only correct theory, a program, a line, and policies; it also requires that the Party itself be a unified and organized whole. The proletariat’s strength lies in organization. Lenin pointed out:

“The proletariat can become—and inevitably will become—an invincible force only because its ideological unity, formed in accordance with the principles of Marxism, is reinforced by the material unity of organization—an organization that welds millions of working people into an army of the working class.”

Lenin, One Step Forward, Two Steps Back : The Crisis In Our Party

Only by following the principle of democratic centralism can the Party become an organized whole.

Second, democratic centralism is not only the fundamental organizational principle of the proletarian party; it is also the basic organizational principle of the proletariat’s socialist state. Marxism holds that a socialist state must adopt a democratic republican system. As a state system, the socialist democratic republic includes two aspects: in terms of the state’s class nature, democracy and dictatorship are linked together; in terms of the form of government, democracy and centralism are linked together. This means implementing the principle of democratic centralism—that is, on the basis of a high degree of democracy, carrying out a high degree of centralization. The unity of democracy and dictatorship, and the unity of democracy and centralism, are the basic characteristics of the socialist democratic republic.

Marx and Engels did not work out a detailed institutional blueprint for the state system of a future society, but they did put forward an overall principle—the “social republic.”

Engels stated explicitly in his 1891 “A Critique of the Draft Social-Democratic Program of 1891” that the “democratic republic” is the specific form suited to the dictatorship of the proletariat. At the same time, they subjected bourgeois hypocritical “democracy,” oligarchic politics, and anarchism to unsparing criticism—critiques that laid a theoretical foundation for democratic centralism.

Lenin specified still more concretely the ways socialist state organs should be organized and how they should operate. He noted that socialist political organization should

“ensure the combination of the advantages of parliamentarism with those of direct democracy; that is, it should combine the legislative function and the function of executing the laws in the elected representatives of the people.”

Vladimir Lenin, Can the Bolsheviks Retain State Power?

This in effect already spelled out the basic content of democratic centralism.

Drawing on relevant Marxist ideas, Mao Zedong advanced a complete and systematic theory of state power based on democratic centralism. In On New Democracy he held that the governmental structure (polity) of the new-democratic state should be a system of the National People’s Congress together with local people’s congresses at all levels, implementing a system of universal and equal elections—“this system is democratic centralism.” Later, he further pointed out that democratic centralism “is both democratic and centralized; that is, centralism on the basis of democracy and democracy under centralized guidance.

Only this system can both give expression to broad democracy, so that the people’s congresses at all levels have a high degree of authority, and also centrally handle state affairs, so that governments at all levels can centrally deal with all matters entrusted to them by the people’s congresses at their respective levels, while guaranteeing all necessary democratic activities of the people.

Selected Works of Mao Tse-tung,ON NEW DEMOCRACY, January 1940

In short, according to Marxist principles of political science, democratic centralism is the basic principle governing the organization and activity of all state organs in a socialist state.

II. Centralism on the basis of democracy, and democracy under centralized guidance

Whether as an organizational principle of the proletarian party or as an organizational principle of socialist state power, the essence of democratic centralism lies in the dialectical relationship between democracy and centralism. Democracy and centralism form a dialectical unity: they depend on and constrain each other and are inseparable—namely, centralism on the basis of democracy and democracy under centralized guidance. Mao Zedong pointed out:

“Within the ranks of the people, democracy is correlative with centralism, and freedom with discipline. They are the two opposites of a single entity, contradictory as well as united, and we should not one-sidedly emphasize one to the exclusion of the other. … This unity of democracy and centralism, of freedom and discipline, constitutes our democratic centralism.”

Selected Works of Mao Tse-tung, ON THE CORRECT HANDLING OF CONTRADICTIONS AMONG THE PEOPLE, February 27, 1957

To uphold democratic centralism, the first requirement is broad inner-Party democracy and people’s democracy; this is the prerequisite and foundation for forming correct centralization and unity. From the very beginning, when Marx and Engels were founding the proletarian party, they attached great importance to the question of Party democracy. In On the History of the Communist League, Engels wrote:

“The organisation itself was thoroughly democratic; its committees were elected and could at any time be recalled. This fact alone blocked the path of any plotters addicted to dictatorial schemes.”

Lenin likewise gave an explicit definition of the breadth of socialist democracy, pointing out that proletarian democracy is

“precisely democracy for the vast majority of the population, i.e., for the exploited working people—a democracy which has developed and expanded in the world in an unprecedented way.”

Vladimir Lenin, The Proletarian Revolution and the Renegade Kautsky, Bourgeois And Proletarian Democracy

Only by fully promoting democracy can correct centralization be guaranteed. The more democracy develops, the firmer the basis of centralization becomes, and the more comprehensive, richer, and more correct what is centralized will be. As Mao Zedong put it:

“Without fully implementing proletarian democracy, there can be no genuine proletarian centralism”; and if one departs from fully promoting democracy, then “this centralization, this unity … can only be false, empty, and wrong.”

Selected, Works of Mao Tse-tung, Talk At An Enlarged Working Conference Convened By The Central Committee Of The Communist Party Of China, January 30, 1962

On the other hand, democracy cannot be separated from centralization. Socialist democracy is democracy with leadership; it is democracy under centralized guidance. Inner-Party democracy and people’s democracy are both realized under the leadership of the proletarian party, and both are constrained by Party discipline and the laws of the state. Without the Party’s centralized and unified leadership, and without the constraints of discipline, extreme liberalization will arise—and there can be no genuine democracy. On this issue, Marx emphasized: “We must now absolutely maintain Party discipline; otherwise we shall accomplish nothing.” [Marx to Engels letter of May 18, 1859]

Lenin repeatedly underscored the importance of centralization and discipline in the Party; he once said:

“The unconditional centralization of the proletariat and the strictest discipline are among the fundamental conditions for victory over the bourgeoisie.”

Vladimir Lenin, “Left-Wing” Communism: an Infantile Disorder, An Essential Condition of the Bolsheviks’ Success

Only by strengthening the Party’s centralized and unified leadership, and strengthening discipline, can the socialist democratic system operate normally. Those currents of thought that deny a high degree of centralization and strict discipline are harmful; Marxist classic authors criticized them long ago. Engels, taking aim at tendencies that repudiated centralization, wrote:

“To wage a struggle we must weld all our forces into a single fist and direct them to a single point of attack. If someone tells me that authority and centralization are, in all circumstances, two things that must be condemned, then I think that the person who says this either does not know what a revolution is, or else is only a revolutionary in words.”

[Engels’s letter to Carlo Terzaghi dated 14–15 January 1872)]

Overall, democratic centralism is the dialectical unity and organic integration of democracy and centralism. Although, under different conditions and in light of actual circumstances, when opposing a particular mistaken tendency it may be necessary to place special emphasis either on the democratic aspect or on the centralist aspect, one must never neglect or deny the other aspect. Rather, both must be taken into account.

As Mao Zedong pointed out:

“Within the ranks of the people, we cannot do without freedom, nor can we do without discipline; we cannot do without democracy, nor can we do without centralism.”

Selected Works of Mao Tse-tung, ON THE CORRECT HANDLING OF CONTRADICTIONS AMONG THE PEOPLE, February 27, 1957

To be adept at grasping, in political practice, the dialectical relationship between democracy and centralism is precisely an expression of political artistry.

Marxist principles of political science also teach that, to correctly grasp the scientific meaning of democratic centralism, one must draw clear boundaries between democratic centralism on the one hand, and bureaucratic centralism and anarchism on the other. Bureaucratic centralism is centralism without democracy; it inevitably leads to feudal autocracy and dictatorship, as well as bourgeois oligarchy—something the revolutionary teachers resolutely repudiated.

Marx and Engels declared in The Communist Manifesto:

“The first step in the revolution by the working class is to raise the proletariat to the position of ruling class, to win the battle of democracy.”

Lenin went further, pointing out that bourgeois parliamentarism fuses democracy together with bureaucracy, whereas proletarian democracy

“immediately takes steps to root out bureaucracy, and is able to carry these steps through to the end, until bureaucracy is completely abolished and democracy for the people is fully realized.”

Lenin, The State and Revolution, The Vulgarization of Marxism by the Opportunists

Under the conditions of the dictatorship of the proletariat, if “centralism on the basis of democracy” is not implemented correctly, bureaucratism, commandism, and even arbitrary personal rule can also arise.

Anarchism is an extreme democratization without centralism. It departs from “democracy under centralized guidance,” and inevitably results in dispersal and disorder. Waving the banner of “autonomy,” anarchism denies any authority; this is not only incompatible with democratic centralism, but also effaces the social nature of human beings. In criticizing Bakunin, Engels sharply observed:

“How could a society—even one consisting of only two persons—exist if each person did not give up some autonomy?”

Marx-Engels Correspondence 1872, Letter from Engels to Theodore Cuno

Engels also wrote in On Authority: “On the one hand, there is a certain authority, no matter how it arose; on the other hand, there is a certain subordination—two things which, whatever the form of social organization, are necessary for us under the material conditions on which the production and circulation of products depend.”

If bureaucratic centralism is something socialist states must discard, then anarchism is something no society can accept. In sum, to uphold democratic centralism one must guard against both bureaucratic centralism and anarchism—just as Lenin said:

“We stand for democratic centralism, but we must clearly understand how vastly democratic centralism differs, on the one hand, from bureaucratic centralism, and on the other hand, from anarchism.”

V. I. Lenin, Original Version of the Article, “The Immediate Tasks of the Soviet Government”

III. Creating a Higher and More Substantive Democracy

Democratic centralism is the dialectical unity of democracy and centralism; however, under different historical conditions and in different historical periods, the relative weight of democracy and centralism will also vary. As early as the beginning of the resistance against Japanese imperialist aggression, Mao Zedong, on the basis of changes in the situation at the time and the needs of struggle, put forward this idea. He said:

“If the Party is to have strength, it must rely on implementing the Party’s democratic centralism to arouse the initiative of the whole Party. In periods of reaction and civil war, centralism shows itself more. In the new period, centralism should be closely linked with democracy. Through the practice of democracy, bring into play the initiative of the whole Party. Through bringing into play the initiative of the whole Party, temper and train large numbers of cadres, wipe out the remnants of sectarian attitudes, and unite the whole Party like steel.”

Selected Works of Mao Tse-tung, THE TASKS OF THE CHINESE COMMUNIST PARTY IN THE PERIOD OF RESISTANCE TO JAPAN, May 3, 1937

From the Marxist point of view, whether in the stage of socialist revolution or in the stage of socialist construction, there can be neither an absence of democracy nor an absence of centralism. Generally speaking, in the period when the proletariat seizes political power and carries out the socialist revolution—that is, in the period of class struggle—there should be relatively more centralism.

However after the proletariat has obtained political power, in the stage of peaceful socialist construction—especially when the proletarian party’s work focus has shifted to economic work and modernization—there should be relatively more democracy, and building a high level of socialist democracy becomes a real task. The bourgeoisie and all enemies of socialism oppose socialism with the pretext that “socialism eliminates democracy”; this is in fact slander against socialism. Although Marxism conducts a relentless critique of bourgeois democracy, this by no means implies that socialism does not need democracy. The revolutionary teachers long ago pointed out that socialism and democracy are inseparable: without democracy there can be no socialism.

Lenin once said:

“If democracy is not realised, socialism cannot be realised; and this includes two meanings: (1) if the proletariat does not prepare itself for the socialist revolution through the struggle for democracy, it cannot carry out that revolution; (2) if victorious socialism does not practise full democracy, it cannot preserve the victory it has won, nor can it lead humanity toward the withering away of the state.”

V. I. Lenin, A Caricature of Marxism and Imperialist Economism, 6. The Other Politicval Issues Raised and Distorted by P. Kievsky

Socialism not only cannot do without democracy; socialist democracy, both in content and in form, should be higher and more genuine than capitalist democracy. This requires drawing on, and sublating (negating while preserving), all the achievements of human civilization. Deng Xiaoping profoundly pointed out:

“In carrying out socialist modernization, we want, economically, to catch up with the advanced capitalist countries, and politically, to create a democracy that is higher and more substantive than the democracy of capitalist countries,”

Deng Xiaoping, On the Reform of the System of Party and State Leadership (18 Aug 1980).

Deng Xiaoping regarded this as one of the requirements for fully bringing into full play the superiority of the socialist system. In short, building a high level of socialist democracy is one of the basic strategic goals for a proletarian party in building socialism.

To create a form of democracy that is higher and more substantive than that found in capitalist states, socialist countries must correctly implement democratic centralism and improve inner-Party democracy and people’s democracy. According to relevant Marxist discussions, this mainly includes the following aspects:

First, we must create a sound political environment in which democracy is fully brought into play. We must first enliven democratic life within the Party. In inner-Party life we must adhere to the principles of

“say everything you know; hold nothing back,” “the speaker is not to be blamed; the listener should take warning,” and “if there is something wrong, correct it; if there is nothing wrong, take it as encouragement.”

Selected Works of Mao Tse-tung, ON COALITION GOVERNMENT, April 24, 1945

We must practice the “Three Don’ts”:

  • Don’t seize on someone’s words,
  • Don’t slap labels on people, and
  • Don’t beat people with a stick.

Mao Zedong once said that

“if there is a lack of democratic life within the Party, we won’t be able to reap the benefits of personal initiative.”

Selected Works of Mao Tse-tung, THE ROLE OF THE CHINESE COMMUNIST PARTY IN THE NATIONAL WAR, October 1938

He called for education on democratic life within the Party, so that Party members understand what democratic life is and what the relationship is between democracy and centralism, thereby genuinely expanding democratic life within the Party. Next, we must fully develop people’s democracy, strengthen the socialist legal system, follow the mass line, and overcome subjectivism, commandism, and bureaucratism.

Lenin pointed out:

“For us, what is important is to draw all working people, without exception, into governing the state… socialism cannot be achieved by a minority—by one party. Only when tens of millions learn to do this themselves can socialism be achieved.”

V. I. Lenin, Extraordinary Seventh Congress of the R.C.P.(B.), MARCH 6-8, 1918
Section Nine 9 Report on the Review of the Programme and on Changing the Name of the Party[24] March 8

Second, we must uphold collective leadership and oppose arbitrary one-man rule. This must be ensured by improving the Party committee system. Mao Zedong clearly pointed out:

“The Party committee system is an important Party institution for ensuring collective leadership and preventing any individual from monopolizing the conduct of affairs.”

Selected Works of Mao Tse-tung, ON STRENGTHENING THE PARTY COMMITTEE SYSTEM, September 20, 1948

To improve the Party committee system, we must correctly handle the relationship between the secretary and the committee members. This relationship is an equal one; it is a relationship in which the minority submits to the majority, not a superior–subordinate relationship. No one—including the Party’s top leader—may place themselves above the Party committee and the collective. Of course, collective leadership must also be organically combined with a division of labor and individual responsibility;

“Using collective leadership as a pretext while no one is held responsible is the most dangerous scourge.”

V. I. Lenin, All Out for the Fight Against Denikin!, Letter of the Central Committee of the Russian Communist Party (Bolsheviks) to Party Organisations

Third, we must reform the political system and improve the political institutions of socialist democracy. In essence, the socialist political system is superior and democratic, but because of various historical and social factors, this superiority has not yet been fully brought into play. Therefore, in accordance with the principle of democratic centralism, we must continually improve the socialist political system through reform and build a high level of socialist democracy.

In his later years Lenin sharply criticized such abuses as bureaucratism within the Soviet state apparatus, calling for the view that

“now that peace has arrived and the minimum needs to escape hunger have been guaranteed, all work should be directed to improving the institutions.”

Lenin, Letter to the Congress, 1922

Deng Xiaoping also criticized such phenomena in China’s political system as bureaucratism, excessive concentration of power, patriarchal practices, and the life tenure system for leading cadres, along with other forms of privilege. He pointed out that giving full play to democracy in political life is required by the superiority of the socialist system, whereas the above-mentioned abuses seriously obstruct the realization of that superiority; therefore, reform of the Party and state leadership system is imperative.

In sum, proletarian parties and proletarian states must, in accordance with the principle of democratic centralism, strive to build a high level of socialist democracy. If people’s democracy and inner-Party democracy are not fully developed then

“the dictatorship of the proletariat would turn into a dictatorship of the bourgeoisie, and it will be a reactionary, fascist-type dictatorship.”

Selected Works of Mao Tse-tung, Talk At An Enlarged Working Conference Convened By The Central Committee Of The Communist Party Of China, January 30, 1962

This is by no means alarmist talk; it is a truth revealed by Marxism.

Section 3 The mass line is a basic method of leadership

I. Historical activity is the undertaking of the masses

Politics, as a science and an art, has not only certain organizational principles but also certain methods of leadership. The mass line is the most fundamental principle in Marxist political science concerning methods of leadership.

Marxism holds that it is the people who make history. The existence and development of human society first require material means of subsistence such as clothing, food, and shelter. If people cannot first obtain these material necessities, they cannot even sustain human survival itself, still less engage in political, scientific, or artistic activity. The material means of subsistence on which human society depends are created by the laboring masses through their own labor. The productive activity of the laboring masses is the premise and foundation of all social activity. It is just because practical activity in material production becomes the fundamental driving force of social development, the broad masses of the people—who in various forms engage in and promote productive practice—play a decisive role in social development.

At the same time, the people also create the preconditions that make spiritual and cultural life possible; the social practice of the people is the source of humanity’s spiritual wealth, and thus the people are also the creators of spiritual wealth. The people are not only the creators of material and spiritual wealth; they are also the decisive force in social transformation. In class society, changes in relations of production and the replacement of social systems must be realized through revolutionary class struggle in which the broad masses participate. In short, history is created by the people; the people are the true masters of history—just as Marx and Engels said:

“Historical activity is the undertaking of the masses.”

The Holy Family Chapter VI, Absolute Critical Criticism, Or Critical Criticism As Herr Bruno, 1) Absolute Criticism’s First Campaign

Since historical activity is the undertaking of the masses, the political activity of the proletariat should take the greatest interests of the masses as the point of departure and the final destination of all work. This requires upholding the mass line of the proletarian party. The so-called mass line means: everything for the masses, everything relying on the masses; everything comes from the masses and goes to the masses; and maintaining close ties with the masses. Maintaining the closest connection with the broad masses of the people is one of the most salient marks distinguishing a proletarian party from any other party.

The relationship between the Party and the masses is like the relationship between flesh and blood: if one breaks away from the masses and loses the people’s trust, it is extremely dangerous. In this sense, the Party’s mass line is the wellspring of the Party’s life.

Lenin said:

“The working people support us. Our strength lies in that. The source of the invincibility of the world communist movement lies in that.”

“Victory will belong only to those who have faith in the people, those who are immersed in the life-giving spring of popular creativity.”

V. I. Lenin The Workers’ State and Party Week

To uphold the mass line, one must first possess a mass standpoint; this is the basic precondition for implementing the mass line. Marxism’s mass standpoint mainly includes the following three aspects.

First is the viewpoint of doing everything for the masses, serving the people wholeheartedly. Apart from seeking the interests of the broadest masses of the people, the proletarian party has no special interests of its own; being responsible to the Party and being responsible to the people are consistent.

“All the words and actions of Communists must take as the highest standard that they conform to the maximum interests of the broadest masses of the people, and that they are supported by the broad masses of the people.”

Selected Works of Mao Tse-tung, ON COALITION GOVERNMENT,April 24, 1945

Under any circumstances, the people’s interests must be safeguarded; this is the purpose of the proletarian party. To serve the people, one must maintain close ties with the masses, listen to their opinions, care about their lives—just as Lenin pointed out:

“What we need is a party capable of maintaining regular and genuinely close contact with the masses.”

V. I. Lenin, The Second Congress Of The Communist International[1]
July 19-August 7, 1920

Second is the viewpoint of relying on the masses in everything, and believing that the masses can liberate themselves. What distinguishes Marxism from all other socialist theories is that it can, with an extremely scientific and cool-headed attitude, analyze the objective situation and the objective course of evolutionary development, while at the same time it resolutely recognizes the significance of the masses’ “revolutionary energy, revolutionary creative genius, and revolutionary initiative.”

The masses of the people are the driving force of historical development; they are the true heroes. Only by firmly believing in and relying on the majority of the masses can the proletarian party fulfill its historical mission. Marx and Engels placed the greatest trust in the masses; as early as the founding of the Communist International, they explicitly laid down a fighting slogan:

“The emancipation of the working classes must be conquered by the working classes themselves.”

The International Workingmen’s Association, General Rules, October 1864

Lenin also pointed out that Soviet power was able to achieve victory

“because from the very outset Soviet power followed the inherent precepts of socialism, relying thoroughly and steadfastly on the masses.”

V. I. Lenin, Third All-Russia Congress Of Soviets Of Workers’, Soldiers’ And Peasants’ Deputies[1], January 10-18 (23-31), 1918

Third is the attitude of learning modestly from the masses. If a proletarian party is to serve the people and lead the masses forward, it must be good at learning from the masses and drawing wisdom and strength from them. Marxism holds that “the wisdom of tens of millions of creators will create something immeasurably higher than the greatest foresight of genius.” [Lenin]

If one learns humbly from the masses, one can correct errors in the revolutionary struggle and improve the proletariat’s art of leadership.

Lenin once said:

“Yes, we have made many mistakes, but the workers themselves are creating socialism; whatever mistakes we have made, we are learning in this practice and laying the foundation for the art of making revolution correctly.”

Vladimir Lenin, Speech In Polytechnical Museum, August 23, 1918

II. Policy should be framed with tens of millions of people in mind

To establish a correct mass viewpoint is to better implement the mass line in practical work, and to carry out leadership and formulate policy in accordance with that viewpoint. Marxism holds that if a proletarian party is to maintain the closest ties with the masses of the people and lead them to victory, the most basic requirement is to ensure that the policies of the Party and the state conform to the people’s interests.

Lenin pointed out:

“The masses number in the millions—policy should be framed with tens of millions in mind, not with a few thousand in mind. Only by framing things with tens of millions in mind can there be a policy based on realities and facts.”

Marxism stresses that, in formulating any policy, a proletarian party must take facts as its foundation. Lenin repeatedly emphasized: “Facts are the basis of our policy.” Marxism requires that when determining any major policy, we must take as the policy’s foundation and basis facts that can withstand precise, objective verification. Then how can policy be made to rest on facts? This requires following the mass line.

Socialism is great precisely because it is

“for the first time built by the real masses, by the broad majority of working people themselves, who use their own experience to solve the most difficult problems of socialist organization in building a new life.”

V.I. Lenin, Letter To American Workers

Therefore, only by framing policy with tens of millions of people in mind—trusting the masses, relying on the masses, and taking the masses’ experience and wisdom as the foundation of policy—can policy accord with reality, and only then can it be ensured that policy accords with the interests of the masses of the people.

So, does emphasizing the use of the masses’ experience and wisdom in policymaking mean neglecting the role of the proletarian party in making policy? Marxism has always attached importance to the proletarian party’s political leadership, but that does not mean the Party may make policy on the basis of its own subjective will. To be sure, the purpose of a proletarian party is to serve the people wholeheartedly; in a fundamental sense, the interests of the Party and the broad masses are consistent; and the policies the Party formulates are meant to advance the people’s welfare.

However while that is true with respect to the starting point of the problem, not necessarily with respect to the result. If the Party cannot proceed from reality—if it does not take as its point of reference the millions upon millions of people, but instead proceeds only from its policymakers’ subjective wishes and abstract theoretical principles, focusing thereby on a small minority—then the policies it formulates will depart from the masses and from reality. In that case, however good the intentions may be, the expected results still cannot be achieved.

When Lenin was giving lessons to the British “Left” communists, he said that in great revolutionary struggles it is not enough to lead the masses by emotion alone; even mistakes made by people who are boundlessly loyal to the revolutionary cause can harm that cause. He warned that scientific policy requires taking account of all active forces—classes and masses—and that one must

“never determine policy solely on the basis of the wishes and views, the level of consciousness, and the determination to struggle of a single group or a single political party.”

Vladimir Lenin, “Left-Wing” Communism: an Infantile Disorder

Practice in the international communist movement shows that proletarian parties, too, can at times commit subjective errors: starting from theory, starting from books and dogma. To correct such deviations in a real and effective way, one must persist in following the mass line.

The role of the masses in the policy-formulation process lies precisely in this: they do not proceed from dogma, but from reality. The masses’ own vigorous and powerful movement can, like the removal of useless rotten matter, sweep away concocted plans dreamed up in offices. This can make up for decision-makers’ deficiencies—just as Lenin pointed out: the masses look at problems not through theory but through practice, and our mistake is that we always look at problems from theory.

In short, for a proletarian party, only by adhering to the mass line and keeping in view the millions upon millions of people is it possible to ensure that policy is grounded in facts; and only policies grounded in facts can genuinely conform to the interests of the broad masses. Whether this relationship is handled correctly is a matter that bears on the life or death of the Party and the state. Lenin once pointedly observed:

“In the sea of the people, we are after all but a drop; only when we correctly express what the people are conscious of can we administer. Otherwise the Communist Party cannot lead the proletariat, the proletariat cannot lead the masses, and the whole machine will fall apart.”

V. I. Lenin, Eleventh Congress Of The R.C.P.(B.)[1], March 27-April 2, 1922

III. From the masses, to the masses: a method of leadership decision-making

To ensure that a proletarian party, following the mass line, can formulate policies that truly accord with the interests of the people, it must have a scientific method of leadership decision-making. In the course of China’s revolutionary practice, Mao Zedong applied Marxism’s principles on maintaining close ties between the Party and the masses, together with the epistemology of dialectical materialism, to the sphere of political leadership and decision-making, and creatively advanced the leadership decision-making method of “from the masses, to the masses.” He said:

“In all the practical work of our Party, all correct leadership must be ‘from the masses, to the masses.’ That is to say, we take the ideas of the masses (scattered and unsystematic ideas) and concentrate them (through study, turning them into concentrated and systematic ideas), then go to the masses and propagate and explain these ideas, so that the masses make them their own, hold fast to them, and translate them into action, and test the correctness of these ideas in such action. Then we once again concentrate them from the masses, and once again go to the masses so that they hold fast to them. Thus the process goes on in an endless spiral, with the ideas becoming more correct, more vivid, and richer each time.” He also said: “To concentrate ideas from the masses and then go to the masses and persist in them, so as to form correct guiding ideas—this is the basic method of leadership.”

Mao Tse-tung, SOME QUESTIONS CONCERNING METHODS OF LEADERSHIP
June 1, 1943

The leadership decision-making method of “from the masses, to the masses” is fully consistent with Marxist epistemology.

Lenin said:

“From living perception to abstract thought, and from abstract thought to practice—this is the dialectical path for knowing truth, for knowing objective reality.”

Vladimir Ilyich Lenin, Conspectus of Hegel’s book, The Science of Logic

“From the masses” means transforming the lively, unsystematic views and feelings that exist among the masses into concentrated, systematic views through the process of abstract thinking; “to the masses” means bringing those abstracted and concentrated views back to the masses, turning them into the masses’ practical activity. Moreover, this movement from sensation to thought, and from thought to practice—that is, the process of “from the masses, to the masses”—cannot be completed in a single pass. It must be repeated in an endless cycle in order to yield knowledge that comes ever closer to objective facts.

As Engels pointed out:

“The sovereignty of thought is realized in a series of extremely non-sovereignly thinking individuals; the cognition that claims unconditional truth is realized in a series of relative errors; and both can be fully realized only through the infinite continuation of human life.”

Anti-Dühring by Frederick Engels 1877, Part I: Philosophy, IX. Morality and Law., Eternal Truths

“From the masses, to the masses” also fully accords with the actual requirements of proletarian-party leadership and decision-making. In the course of leading the Soviets, Lenin called upon Party organizations at all levels and Party members:

“All Party members should exert their utmost efforts to bring to the Party Congress practical experience that has been tested, refined, and summed up. If we do everything possible and are good at carefully, conscientiously, and truthfully collecting, testing, and refining practical experience—that is, what each of us has done and completed, and what we have seen others around us do and complete—if we can do this (and only if we can do this), then our Party Congress and all our Soviet institutions will be able, in the fastest and surest way, to solve the practical task of overcoming economic disruption.”

V. I. Lenin, A Letter To R.C.P. Organisations, On Preparations For The Party Congress

The leadership-and-decision method of “from the masses and to the masses” is consistent with Lenin’s above idea: it matches the process of collecting practical experience, refining and summarizing it, and then testing it in practice; it also fully accords with the general laws of leadership and decision-making. The “from the masses” part is the process of collecting, refining, and summarizing practical experience so as to formulate correct policies; the “to the masses” part is the process of implementing those policies, testing them in reality, and feeding the results back. This method of leadership and decision-making—“from the masses and to the masses”—is, as Lenin put it:

“From congresses and meetings to discuss general questions to congresses and meetings to summarise practical experience—that is the slogan of our times. The task of the moment and the task of time Party Congress, as we conceive it, is to learn from practical experience, to discard what is harmful, to combine all that is valuable, in order to determine precisely a number of immediate practical measures, and to carry out these measures at all costs, not hesitating at any sacrifices.”

V. I. Lenin, A Letter To R.C.P. Organisations, On Preparations For The Party Congress

This is the basic method by which a proletarian party carries out leadership and decision-making.

The working method of “from the masses and to the masses” concretizes and operationalizes, at the level of leadership and decision-making, the proletarian party’s close relationship with the masses. In doing so, it makes the mass line something that can be practically applied, and it provides a guarantee for correctly resolving the relationship between the Party’s line, guiding principles, and policies, on the one hand, and the practical activity of the people, on the other. It is a basic principle of Marxist political science in the domain of the science of leadership and decision-making.

From the masses, to the masses, as a working method, concretizes and makes real—at the level of leadership and decision-making—the close relationship between a proletarian party and the people. In this way it renders the mass line operational, provides a safeguard for correctly resolving the relationship between the Party’s line, principles, and policies and the practice of the people, and constitutes a basic principle of Marxist political science in the science of leadership and decision-making.

IV. Preventing Commandism and Tailism

For a proletarian party to correctly implement the mass line and to master the leadership method of “from the masses, to the masses,” it must, in practical work, pay attention to preventing two erroneous tendencies: commandism and tailism.

To uphold the mass line means fully trusting the masses, relying on the masses, and keeping close ties with them; it means not treating the masses in a bureaucratic and commandist way, and not formulating policies and carrying out work in a manner that goes beyond the masses’ level of consciousness and their wishes.

Lenin pointed out:

“The lively, creative activity of the masses is the basic factor of the new social life. … Socialism is not created by orders from on high. It is fundamentally incompatible with bureaucratic, official mechanical methods; living, creative socialism is created by the masses themselves.”

V. I. Lenin, Meeting Of The All-Russia Central Executive Committee, November 4 (17), 1917

Mao Zedong, in summing up the experience of the Chinese revolution, said that all correct tasks, policies, and work styles are suited to the demands of the masses in the given time and place, and are connected with the masses. He called on the whole Party to educate every comrade to love the people, to listen attentively to the voice of the masses; wherever one goes, to become one with the masses there—not to sit loftily above them, but to go deep among them; to enlighten and raise the masses’ consciousness in accordance with their level of consciousness; and, on the principle of the masses’ inner and voluntary willingness, to help them gradually organize, and gradually to launch struggles permitted by the internal and external environment of the given time and place.

In short, a proletarian party must correctly express the desires of the people and must not adopt commandist methods; otherwise it will become detached from the masses and bring harm to the Party’s cause.

Just as Lenin said:

“For a numerically small Communist Party, for the vanguard of the working class leading a vast country in transition to socialism, one of the greatest and most serious dangers is becoming detached from the masses—the danger that the vanguard may run too far ahead, may fail to straighten out the line, and may fail to maintain firm contact with the whole army of labour, that is, with the great majority of workers and peasants.”

V. I. Lenin, Draft Theses on the Role and Functions of The Trade Unions Under the New Economic Policy

Believe in the masses, rely on the masses, and maintain close ties with the masses—this does not mean that a proletarian party may abandon its responsibility to guide and educate the masses, trailing behind them and becoming their “tail.” Lenin pointed out:

“The party is the vanguard of the class; its task is by no means to reflect the general mood of the masses, but to lead the masses forward.”

V. I. Lenin, The Extraordinary All-Russia Congress Of Soviets Of Peasants’ Deputies
November 10-25 (November 23-December 8), 1917

Especially at critical moments of revolution,

“the leaders of the party must advance tasks more broadly and more boldly, so that their slogans always run ahead of the revolutionary spontaneity of the masses and become their beacon.”

V. I. LENIN, TWO TACTICS OF SOCIAL-DEMOCRACY IN THE DEMOCRATIC
REVOLUTION, Chapter 13 Conclusion Dare We Win?

The slogan that “whatever the masses want to do, let them do” is thoroughly wrong: it neglects the party’s role as the proletarian vanguard, violates the principle of democratic centralism, and in practice amounts to an irresponsible attitude toward the people.

Mao Zedong also criticized tailism within the Chinese Communist Party. In his speech at the Jin-Sui Cadres Conference, he said that on the question of the relationship between the Party and the masses, it should be:

“So far as the correct opinions of the broad masses are concerned, the Party must, in light of the circumstances, lead the masses and realize them; but as for incorrect opinions arising among the people, the Party must educate the masses and correct them.”

Mao Tse-tung, SPEECH AT A CONFERENCE OF CADRES IN THE SHANSI-SUIYUAN LIBERATED AREA, April 1, 1948

From this it can be seen that tailism, like commandism, cannot correctly handle the relationship between the Party and the masses. Both are incorrect working methods, as Mao summed up:

“In all work, commandism is wrong, because it goes beyond the level of consciousness of the masses, violates the principle of voluntariness, and brings on an acute illness… Tailism is also wrong, because it lags behind the level of consciousness of the masses, violates the principle of leading the masses one step forward, and brings on a chronic illness.”

Mao Tse-tung, SOME QUESTIONS CONCERNING METHODS OF LEADERSHIP
June 1, 1943

In short, practicing correct leadership in accordance with the mass line is a profound political art. As Stalin put it:

“The art of leadership is a serious matter. One must not lag behind the movement, because to do so is to lose contact with the masses. But neither must one run too far ahead, because to run too far ahead is to lose the masses and to isolate oneself. He who wants to lead a movement and at the same time keep in touch with the vast masses must wage a fight on two fronts—against those who lag behind and against those who run too far ahead.”

J. V. Stalin, Dizzy with Success: Concerning Questions of the Collective-Farm Movement

Yet the true art of leadership lies in being able, in different historical periods, to keep close ties with the masses and correctly guide them forward, in accordance with the Party’s shifting center of work. In this respect Lenin set an example. In the early period after Soviet power was established, the Bolshevik Party focused its attention on issuing and publicizing decrees. Some people mocked the Bolsheviks, saying they “did not know that people do not carry out their decrees.”

But Lenin believed this was correct; as a result, they won a high level of trust among the people:

“This is a stage that the early period of revolution inevitably has to pass through; otherwise we would not have been able to stay in front of the revolutionary wave, and could only have trailed behind it as its tail.”

However, as the center of work shifted, Lenin criticized this approach, pointing out that “attention should not be concentrated on legislative work, on issuing improved decrees, and so on,” and that

“this stage has already passed, yet we are unwilling to understand it. Now if anyone again tries to set up or reorganize any institution by issuing orders, the workers and peasants will laugh. Now the ordinary worker and peasant is no longer interested in this; and they are right, because the emphasis now is not here.”

V. I. Lenin, Eleventh Congress Of The R.C.P.(B.)
March 27-April 2, 1922

From this it can be seen that the boundary between commandism and tailism is not absolute but relative, and must be analyzed and grasped concretely in light of changing circumstances. Just as Lenin pointed out:

“The whole art of management and policy consists in making a timely estimate and understanding where the main forces and attention should be concentrated.”

V. I. Lenin, The New Economic Policy And The Tasks Of The Political Education Departments: Report To The Second All-Russia Congress Of Political Education Departments October 17, 1921

Section 4 Dividing the functions of the Party and state organs

I. For the Party to lead well, Party and government must be separated

Politics, as both a science and an art, is reflected in the proletarian party’s leadership of state life. Here there is a question of both strengthening the Party’s leadership and improving the way it leads—in other words, it is necessary to “solve the problem of how the Party can be good at leading.” This requires that we scientifically define the relationship between the Party and the other political organizations—especially its relationship with the organs of state power—and raise the art of political leadership.

Marxism holds that the proletarian party is the leading core of the socialist cause, and that its mission is to lead the working class and all other organizations—this is a fundamental principle that must be upheld. But how the Party leads, and how it establishes correct relations with other organizations, must be continuously improved and perfected in accordance with changes in historical conditions.

Before the proletariat seizes power, and in the initial period after it does so, the principal forms of struggle are violent revolution and the defense of the newly born political power. All the work of the Party and of the other organizations must be subordinated to the needs of revolutionary struggle. Tasks are relatively concentrated and single-minded; the situation changes quickly and abruptly; war develops tensely and fiercely. Proceeding from these objective circumstances and characteristics, the Party must exercise centralized and unified leadership.

The first to propose this idea and put it into practice was Lenin. Living in the era of imperialism and proletarian revolution, Lenin saw that the “Economist” and Narodnik movements in Russia at the end of the nineteenth century had already shown in practice that it was impossible, by “handicraft methods,” to organize a mighty proletarian force; and that the adventurous, clandestine actions of isolated radical individuals could do no more than replace a few leading figures of the old regime, and could never ultimately achieve the goal of proletarian seizure of power.

On this basis Lenin advanced his party-building conception of a “new type of party,” holding that if the Party was to defeat the enemy it had to change the internal phenomena of disorganization and indiscipline, form a clenched fist, and constitute a strong fighting whole:

“In its struggle for power, the proletariat has no other weapon but organization.”

Vladimir Ilyich Lenin, One Step Forward, Two Steps Back. (THE CRISIS IN OUR PARTY)

Precisely under the Bolshevik Party’s centralized leadership did Russia win the victory of the October Revolution. In the early period after revolutionary victory, the young Soviet regime again faced extremely severe trials. Lenin then proposed that the Party’s central organs “must possess broad powers” and “become an authoritative institution.” In this way Soviet Russia overcame foreign armed intervention and smashed the offensives of Denikin and others.

In China, because revolutionary organs of political power had already been established during the New Democratic Revolution, the Chinese Communist Party paid comparatively early attention to the Party–government relationship. In 1940, when discussing policy regarding organs of political power, Mao Zedong pointed out:

“We must resolutely carry out the ‘three-thirds system’: Communist Party members should occupy only one third of the positions in the organs of political power, and we should draw large numbers of non-Party people into participation in political power,” and “on no account should our Party monopolize everything.”

Selected Works of Mao Tse-tung, ON POLICY
December 25, 1940

But because the revolutionary war at that time required it, a system of unified Party leadership in practice took shape: local Party committees uniformly directed the work of local governments and of various mass organizations. Overall, this pattern of unified Party leadership conformed to the characteristics of the struggle at the time and played a positive role.

However, this highly centralized and unified leadership method of the revolutionary-war period continued, so that later, during the period of socialist construction, a situation emerged in which Party and government were not distinguished and the Party substituted itself for the government.

However, because arrangement was not well suited to to the conditions and characteristics of the socialist construction period, more and more drawbacks became apparent. As early as March 1918, after Soviet Russia signed the Brest-Litovsk Treaty with Germany and thereby gained an opportunity to readjust the national economy, strengthen state administration, and organize military forces, Lenin had already discovered that the drawbacks of not distinguishing Party leadership from government. Russian Communists—because they were carrying out the “tasks of state administration” placed before Soviet power—were “often compelled to pay excessive attention to petty details of administration.”

Lenin first advanced the idea that the dictatorship of the proletariat must be realized “through Soviet power,” thus expressing the notion of separating Party and government. At the Eighth Congress of the Russian Communist Party (Bolsheviks) in 1919, acting on Lenin’s proposal, a special resolution “On Organizational Questions” was adopted, clearly stipulating two basic principles for Party–government relations: the principle of leadership, and the principle of separating Party and government.

The resolution stated:

“The Communist Party sets itself the task of exercising decisive influence and taking full leadership in all organizations of the toilers (trade unions, cooperatives, agricultural communes, etc.). The Communist Party strives in particular to realize its programme and its complete rule in the present state organization—the Soviets.”

This is the leadership principle. The resolution also pointed out:

“Under no circumstances should the functions of Party organizations be confused with the functions of state bodies, i.e., the Soviets. … The Party should carry out its decisions through the Soviet organs, within the bounds of the Soviet constitution. The Party strives to lead the work of the Soviets, but it does not replace the Soviets.”

This is the principle of separating Party and government. Yet to genuinely achieve Party–government separation—to change the habitual leadership methods formed over a long period of revolutionary struggle—is extremely difficult and complex. Even in Lenin’s later years, the situation of Party–government non-separation and Party substitution for government remained very serious, and the drawbacks became even more obvious.

In 1922 Lenin delivered a political report and said:

“I should speak about the practical aspect of the problem of our highest Soviet institutions and the Party’s relationship with them. An incorrect relationship has taken shape between our Party and the Soviet organs, and this is something we all acknowledge. The example I have just cited shows that even some small, concrete matters were carried to the Politburo for decision. … All questions were transferred from the Council of People’s Commissars to the Politburo. Here my fault is also very great, because the Council of People’s Commissars and the Politburo were, in many respects, linked through me personally. Once I left work, both wheels immediately could not turn.”

V. I. Lenin, Eleventh Congress Of The R.C.P.(B.)[1]
March 27-April 2, 1922

In China, the Party’s model of unified leadership that took shape during the years of revolutionary war not only failed to undergo the changes it should have after the founding of the People’s Republic, but even developed in a more centralized direction. In particular, during the anti-decentralization campaigns of 1953 and 1958, the slogan “Grasp the major powers in one hand; decentralize the minor powers. The Party committee makes the decisions; all sides go and carry them out” was put forward, and it was widely publicized and implemented as an important principle of Party leadership.

However, treating the independent exercise of the proper powers and functions of government departments and mass organizations as “decentralism” and “making a bid for independence” to be criticized only aggravated the situation in which the Party substituted itself for the government, the Party took charge of everything, and power became excessively concentrated.

Deng Xiaoping offered a sharp critique of this situation, pointing out that “our leading organs at all levels have taken on many matters that they should not handle, cannot handle well, or are incapable of handling.”

Deng went further:

“The phenomenon of over-concentration of power arises when, under the slogan of strengthening the Party’s unified leadership, all power is inappropriately and indiscriminately concentrated in Party committees; and the power of Party committees is in turn often concentrated in a few secretaries—especially in the first secretary—so that in everything the first secretary must take command and have the final say. As a result, the Party’s unified leadership often turns into individual leadership.”

Deng Xiaoping, On the Reform of the System of Party and State Leadership
1980

This is one “root cause” of bureaucratism. Deng Xiaoping also proposed that political-structural reform should be used to “solve the problem of the relationship between the Party and the government.” “The Party must be good at leading; Party and government need to be separated.”

It can thus be seen that after a proletarian party establishes and consolidates state power, the Party–government relationship becomes a prominent issue. If the Party’s method of leadership from the revolutionary years is carried over after state power has been established, it will inevitably result in problems stemming from failing to make a proper distinction between the roles of the Party and the government. The substitution of the Party for the government is the result giving rise to many abuses. This, in the end, does not strengthen Party leadership; it weakens it. Therefore during the period of peaceful socialist construction, the relationship between the Party and state organs should be clarified, and separation of Party and government should be implemented.

II. Clearly defining the functions of the Party and the organs of state power

To correctly handle the relationship between the Party and the organs of state power, and to change the situation of Party–government indistinction and the substitution of the Party for the government, the key is to delineate scientifically and clearly the respective functions of the Party and the state organs. Lenin pointed out:

“It is necessary to draw a very clear dividing line between the functions of the Party (and its Central Committee) and those of the Soviet government… The Party’s task is to provide general leadership for the work of all state bodies, not to engage—as is now the case—in excessively frequent, abnormal, and often detail-level interference.”

V. I. Lenin, Letter to Molotov for the Plenary Meeting The C.C., R.C.P.(B.) With
The Plan Of The Political Report For The Eleventh Party Congress

Marxism holds that both political parties and state organs are part of the superstructure that is built upon, and serves, a specific economic base. In a socialist society, the Party and the state organs are both instruments of the dictatorship of the proletariat and “servants of society” serving the people. Their overall goal is to build socialism and realize communism; their fundamental task is to develop the productive forces and build a high level of socialist material and spiritual civilization. Therefore, speaking in overall terms, they should not—and cannot—be absolutely cut off from one another.

However, “the Party is the core of state power, but it and state power are not, and cannot be, one and the same thing.” [Translator’s note: the quote possibly from article by Stalin; PRC legal scholar Dong Biwu is another possible source for this quote. End note.]

In theory, a political party and state power differ in nature, organizational form, and mode of work; this is the condition and basis for making a scientific division of functions between the Party and the state power organs.

A proletarian party is the vanguard of the proletariat and the “highest form of proletarian association”. Therefore, it can represent the highest interests of its class and of the broad masses of working people, and can exercise overall leadership over the life of the state—something no other organization can replace. But the Party is, after all, “a conscious class party,” not a public authority of society; this is different from state power. In terms of form, the state is “the official representative of the whole of society, the concentrated expression of society in a visible organization,” although this does not conceal its class content. Thus the state differs from a political party: it can directly intervene in and administer the whole of society. As Lenin said, “the state is an administrative apparatus that has split off from human society,” and it “specializes in administration.

A party, as an organization of a class, can only provide overall leadership to the state; it does not directly administer state affairs, nor can it perform administrative functions, because “administration is the organized activity of the state.”

As early as the period when he led the Jinggangshan revolutionary base area, Mao Zedong criticized the phenomenon whereby the Party, for the sake of convenience, “handled matters directly and pushed the organs of political power aside,” and he pointed out:

“From now on the Party must carry out its task of giving leadership to the government; with the exception of propaganda, the Party’s policies and the measures it recommends must be carried out through the government organizations.”

Selected Works of Mao Tse-tung, THE STRUGGLE IN THE CHINGKANG MOUNTAINS
November 25, 1928

Deng Xiaoping later also proposed: “Party committees should not set up economic management departments; the work of those departments should be handled by the government,” and “The Party should handle matters of Party discipline; matters within the scope of the law should be handled by the state and the government.” He further urged again and again: “The Party should be good at leading, and must not intervene in too many matters.”

It can thus be seen that the functions of the Party and of the state power organs are different. State organs have not only political functions but also social-management and administrative-management functions: they manage state affairs and administer economic, cultural, and social life. A political party, by contrast, provides overall leadership to the state; this overall leadership is not direct management of state affairs or specific administrative intervention, but political leadership, including setting lines, principles, and policies, and exercising leadership over the government. This is the general principle in Marxist political science concerning the division of functions between the Party and state organs.

To delineate the respective functions of the Party and the state organs and to implement a separation between Party and government is aimed at improving and strengthening the Party’s leadership. As Deng Xiaoping pointed out:

“Reform of the system of Party and state leadership is not intended to weaken Party leadership or to slacken Party discipline; on the contrary, it is precisely in order to uphold and strengthen Party leadership.”

Deng Xiaoping, On the Reform of the System of Party and State Leadership
1980

The so-called strengthening of Party leadership does not mean that the more matters the Party takes charge of, and the more minute the Party’s control becomes, the stronger Party leadership will be. In reality, once the Party becomes bogged down in routine administrative affairs and directly takes over the work that should be done by those it leads, it not only cannot concentrate its energies on studying major policies, but also cannot possibly get things done well; instead, it lowers itself to the position of being led.

This is just as Lenin criticized some leading Party cadres of the time: they

“issue orders and decrees right and left, but the result is absolutely the reverse of what was desired,” and “they think they are directing, but in fact they are being directed.”

V. I. Lenin, Eleventh Congress Of The R.C.P.(B.), March 27-April 2, 1922

It can thus be seen that failing to distinguish between Party and government—substituting the Party for the government in practice—actually lowers the Party’s leading position and weakens the Party’s leading role.

By contrast, scientifically delineating the functions of the Party and the state organs and implementing Party–government separation can mobilize the initiative of government work and raise efficiency.

Lenin long ago proposed dividing the responsibilities of the Party and Soviet state power in order to “increase the responsibility and independence of Soviet officials and of Soviet government institutions.”

Deng Xiaoping pointed out that low efficiency “in large part arises from the failure to separate Party and government: in many matters the Party has substituted for the government’s work, and many Party and government organs are duplicated.

If Party–government separation is carried out—if the Party no longer becomes entangled in administrative affairs and the government is allowed to conduct its work independently within the scope of its authority—then efficiency can be improved and bureaucratism overcome. And when government work is done well, Party leadership can truly be strengthened, as Deng Xiaoping explained: “Government work, of course, is carried out under the Party’s political leadership; when government work is strengthened, Party leadership is also strengthened.”

Delineating the functions of the Party and state power and implementing Party–government separation can also enable the Party to concentrate its energies on its own work and on Party building. The Party’s political leadership is realized through Communists’ vanguard and exemplary role and through the Party’s ideological and political work.

Deng Xiaoping pointed out:

“In improving Party leadership, the most important thing is strengthening ideological and political work… Party organizations at all levels should, as far as possible, hand over a large amount of routine administrative and professional work to the government and specialized departments to undertake. Apart from grasping principles and policies and deciding on the appointment and use of important cadres, Party leading organs must free up their main time and energy to do ideological and political work, work with people, and mass work… Otherwise Party leadership cannot be improved, nor can it be strengthened.”

Deng Xiaoping, On the Reform of the System of Party and State Leadership
1980

In short, only by scientifically delineating the functions of a proletarian party and the organs of state power can the art of Party leadership be enhanced and Party leadership genuinely improved and strengthened.

Fifth Section Policy and strategy are the lifeblood of the Party and the government

I. Upholding the unity of principledness and flexibility

Lenin wrote in his biographical article on Karl Marx:

“As early as 1844–1845 Marx pointed out a basic shortcoming of the old materialism, namely, that it could not understand the conditions for practical revolutionary activity or appraise the significance of such activity. Throughout his life, while engaging in theoretical writing, he also never relaxed his attention to questions of tactics in the proletariat’s class struggle. … Marx justly considered that, without this aspect, materialism is incomplete, one-sided, and lifeless.”

Vladimir Ilyich Lenin, Karl Marx:A Brief Biographical Sketch With an Exposition of Marxism

For a proletarian party and the government it leads, it is extremely important to possess a complete set of scientific principles of policy and strategy and to apply them correctly in practical work. Mao Zedong pointed out:

“Policy is the starting point for all practical actions of a revolutionary party and is manifested in the entire process and final outcome of action.”

Selected Works of Mao Tse-tung, ON SOME IMPORTANT PROBLEMS OF THE PARTY’S PRESENT POLICY, January 18, 1948

“For the proletariat to win victory, it must rely entirely on its party—the Communist Party—on the correctness and resoluteness of its fighting strategy.”

Selected Works of Mao Tse-tung, OPPOSE BOOK WORSHIP
May 1930

“Policy and strategy are the life of the Party.”

Selected Works of Mao Tse-tung, STRATEGY FOR THE SECOND YEAR OF THE WAR OF LIBERATION
September 1, 1947

The level of a proletarian party’s policy and strategy is a concentrated expression of the political art and the art of leadership of that particular Party and government.

The essence of Marxist principles of policy and strategy lies in the organic combination of principledness and flexibility: “The integration of the matter of principle and flexibility is a tenet of Marxism-Leninism. This is the unity of opposites.”

Lenin said that a principled policy is the only correct policy. By “principled policy” is meant the general line and overall tasks of revolution or construction that the proletariat and its party put forward over an entire stage; such policy has strategic significance—it is firm and serious and cannot be altered at will. On the other hand, as Lenin also pointed out, as the objective situation changes rapidly, in each period

“we should be able to put forward our tactics and our immediate tasks in keeping with the peculiarities of the situation at the time,”

V. I. Lenin, Letters From Afar, THIRD Letter Concerning a Proletarian Militia

and “we must ensure that our tactics display the maximum of flexibility.”

Vladimir Lenin, “Left-Wing” Communism: an Infantile Disorder

Therefore, the unity of principledness and flexibility means this: in matters of principled policy one must be firm, while in tactics one may be flexible—that is, the unity of firmness in principle and flexibility in tactics.

Firmness in principle requires that when a proletarian party formulates policy and carries out revolutionary struggle, it must take dialectical materialism as its guide, safeguard the most fundamental interests of the broadest masses, and adhere to the strategic goals of the revolution. It must never sacrifice long-term interests for immediate gain, abandon revolutionary principles, or give up strategic objectives.

Flexibility in tactics requires that, on the premise of adhering to revolutionary principles, the proletarian party, in light of changes in the objective situation and the balance of forces between enemy and ourselves, and with reference to the enemy’s means and methods, employ and shift among various forms and means of struggle in a mobile and flexible way.

Just as Engels said:

“In action, to use the words of our old friend Jesus Christ, we must be as harmless as doves and as wise as serpents.”

Marx-Engels Correspondence 1867, Engels To Ludwig Kugelmann
In Hanover

In On Protracted War, Mao Zedong offered the following explanation: what the ancients called “the marvel lies in the mind of the commander” (yun yong zhi miao, cun hu yi xin)—this “marvel,” we call flexibility. Flexibility is the ability of an intelligent commander, on the basis of objective circumstances, to “judge the moment and assess the situation” (this “situation” includes the enemy situation, our situation, terrain, and so on) and to adopt timely and appropriate measures.

Mao also pointed out:

“Our principles must be firm, and we must also have all permissible and necessary flexibility in order to carry out our principles.”

Selected Works of Mao Tse-tung, REPORT TO THE SECOND PLENARY SESSION OF THE SEVENTH CENTRAL COMMITTEE OF THE COMMUNIST PARTY OF CHINA
March 5, 1949

Lenin, too, said:

“It is necessary to combine the strictest loyalty to the ideas of Communism with the ability to make all the necessary practical compromises, manoeuvres, conciliations, zigzags, retreats and so on.”

V. I. Lenin, Forms of the Working-Class Movement[1] (The LOCKOUT and MARXIST TACTICS)

Lenin also criticized the rigid errors in practice of Kautsky, Bauer, and the leaders of the Second International:

“They are only ‘dead set’ on some particular form of the working-class movement and of socialism, forgetting that this form is one-sided. They are afraid to see the abrupt changes which are inevitable because of changes in objective conditions, and they continue to repeat simple, rote-learned truths which at first glance seem indisputable: three is more than two. But politics is more like algebra than arithmetic, and more like higher mathematics than elementary mathematics. In reality, all the old forms of the socialist movement have been filled with new content; a new sign has therefore appeared before the figures—the minus sign—yet our ‘wiseacres’ have stubbornly continued (and still continue) to assure themselves and others that ‘minus three’ is more than ‘minus two’.”

Vladimir Lenin, “Left-Wing” Communism: an Infantile Disorder
Several Conclusions

Lenin’s criticism above is precisely what Engels once pointed out:

“Many people, for the sake of convenience and to avoid using their brains, want to adopt forever a tactic suited only to a particular period. In fact, our tactics are not invented out of thin air; they are formulated on the basis of constantly changing conditions.”

Adler-Engels Correspondence — M. Zetkin

The unity of principledness and flexibility is the fundamental law of Marxist principles of policy and strategy; it runs through the strategic and tactical theories of Marxism-Leninism and Mao Zedong Thought. As Lenin put it: “Marxist tactics consist in combining the different forms of struggle, in the skilful transition from one form to another.”

II. Representing the future of the movement in the current movement

Engels later said:

“Ever since 1848, the tactics which have often brought the socialists the greatest successes have been the tactics of ‘The Communist Manifesto.’ Throughout the various stages of development through which the struggle between the proletariat and the bourgeoisie has passed, the socialists have always represented the interests of the movement as a whole. They fight for the attainment of the immediate aims and interests of the working class, but in the movement of the present they also represent the future of that movement. Hence they take an active part in every stage of development of this struggle, never for a moment forgetting that these stages are but steps leading up to the great principal aim. This aim is: the conquest of political power by the proletariat as the means of transforming society. Their place is in the ranks of the combatants fighting for every immediate achievement advantageous to the working class; but they accept all such political or economic achievements only as instalments paid on account. Therefore they regard every revolutionary or progressive movement as a step forward on their own road …”

Marx-Engels Correspondence 1894, Engels to Filippo Turati
In Milan, London, January 26, 1894

A basic component of Marxist principles of policy and strategy is to organically unify immediate goals with long-range goals, and immediate interests with fundamental interests. The Communist Manifesto contains a famous saying: “The Communists fight for the attainment of the immediate aims, for the enforcement of the momentary interests of the working class; but in the movement of the present, they also represent and take care of the future of that movement.”

This Marxist principle of policy and strategy contains two important ideas.

First, when a proletarian party strives for its grand objective, it must attach great importance to, and actively participate in, all present revolutionary struggles that benefit the proletariat: The Party recognizes every means of struggle that the Party’s existing strength is capable of adopting, and that, under existing conditions, can enable us to obtain the greatest results.”

Second, when a proletarian party participates in present struggles, it must never forget the grand revolutionary objective: “We must never look only at the one-sided, immediate welfare before our eyes and forget the long-range interests of the working class.”

If one does not participate in present struggles, then achieving the grand objective becomes empty talk; conversely, if one abandons the grand objective, present struggles will lose their direction. These two ideas converge in one point: a proletarian party must both keep the great revolutionary goal in mind and do solid, practical work in the present—linking current tasks with long-range aims.

As Mao Zedong put it:

“Today’s efforts are directed toward the great goal of the future; if we lose this great goal, we are not Communists. Yet if we slacken today’s efforts, we are not Communists either.”

Selected Works of Mao Tse-tung, WIN THE MASSES IN THEIR MILLIONS FOR THE ANTI- JAPANESE NATIONAL UNITED FRONT
May 7, 1937

This principle of policy and strategy applies not only to proletarian parties but equally to socialist people’s governments. “Representing the future of the movement in the current movement” embodies the dialectical unity between political strategy and political tactics. Lenin held that this is a basic Marxist principle “on the tactics of political struggle.”

III. Using revolution’s “two hands” to oppose counter-revolution’s “two hands”

To clarify the relationship between political objectives and political means, and to understand the distinctions and connections between the content and the forms of revolutionary struggle, is another basic requirement of Marxist principles of policy and tactics.

Lenin pointed out:

“What basic requirements should every Marxist pose when examining the question of forms of struggle?

First, Marxism differs from all primitive forms of socialism in that it does not restrict the movement to any one particular form of struggle. It recognizes the most varied forms of struggle, and it does not ‘invent’ them out of thin air; it merely generalizes, organizes, and gives conscious expression to those forms of struggle of the revolutionary classes which arise spontaneously in the course of the movement…. Therefore, Marxism categorically does not reject any form of struggle.”

“Second, Marxism requires that we examine the question of forms of struggle from a historical standpoint…. At different stages of economic development, because political conditions, national culture, customs, and so on are not the same, different forms of struggle inevitably come to the fore, becoming the principal forms of struggle, while secondary and auxiliary forms of struggle change accordingly.”

“Right-wing doctrinairism stubbornly recognizes only the old forms and ignores the new content, and as a result it has gone completely bankrupt. Left-wing doctrinairism, on the other hand, stubbornly and absolutely negates certain old forms; it cannot see that new content is opening up paths for itself through the most diverse forms. It does not understand that the responsibility of us Communists is to master all forms, to learn as fast as possible how one form can supplement another, how one form can replace another, and how to adapt our tactics to any changes in forms that are brought about not by our class or our efforts, but by objective conditions.”

V. I. Lenin, Guerrilla Warfare from Proletary, No. 5, September 30, 1906.

For a proletarian party to realize its political objectives and tasks, it must respond to changes in the objective situation and to the various tricks by which hostile forces deal with the revolution; it must flexibly formulate its own policies and tactics and employ a wide variety of forms and means of struggle.

As Engels put it:

“For me, as a revolutionary, every means that leads to the goal is useful, whether it is the most coercive or seems the mildest.” And: “In my view, for every country the best strategy is the one that achieves the goal in the quickest and surest way.”

Marx-Engels Correspondence 1889, Engels To Gerson Trier
In Copenhagen

London, 18 December 1889 [Draft]

Of course, means must be subordinate to ends, and form must be subordinate to content; the relationship between the two has to be made clear.

Marx vividly remarked:

“In politics, for a given purpose, one may even enter into an alliance with the devil—provided one is sure that one is leading the devil, and not the devil leading one.”

Kossuth, Mazzini, and Louis Napoleon, published in the New York Daily Tribune,
Reproduced from the newspaper No. 3627, December 1, 1852

Applied to real struggle, these principles mean confronting the enemy head-on: using revolution’s “two hands” to oppose counter-revolution’s “two hands.” In order to eliminate revolutionary forces and maintain its own rule, reactionary power will constantly shift its tactics toward revolutionary forces.

Lenin pointed out:

“All oppressing classes, to maintain their domination, need two social functions: one as executioner and the other as priest.”

V. I. Lenin, The Collapse of the Second International

That is, reactionary forces possess two counter-revolutionary “hands”: armed repression and political deception. In response, the proletariat must likewise confront them head-on—using revolution’s “two hands” to oppose counter-revolution’s “two hands”—just as Lenin used the metaphor: If you live among wolves, you must learn to howl.”

In leading the Chinese revolution, Mao Zedong consistently met the enemy with sharp, flexible countermeasures: civilian measures answered with civilian measures, military measures with military measures—an eye for an eye, a tooth for a tooth; fight with fight, negotiate with negotiation; negotiate to cover fighting, and fight to support negotiating. In this way he creatively developed concrete forms of Marxist policy and tactical means: in political struggle, the principle of being justified, advantageous, and restrained; in military affairs, the principles of victory, self-defense, and ceasefire; leaving room for maneuver, stopping at the appropriate point, and—if one fights, then one must win.

In the struggle against the enemy, a proletarian party must not only be good at organizing offensives; it must also be good at organizing maneuvering withdrawals and retreats, and at making temporary compromises and concessions. “Left” opportunists oppose any compromise whatsoever.

Lenin criticized this, saying:

“To accept battle when it is clearly advantageous to the enemy and disadvantageous to oneself is a crime; and a politician of a revolutionary class who is unable to practice ‘maneuvering, flexibility, and compromise’ in order to avoid a clearly disadvantageous battle is a useless person.”

Vladimir Lenin, “Left-Wing” Communism: an Infantile Disorder
No Compromises?

Lenin also distinguished between two kinds of compromise in nature:

one is “a compromise forced by objective conditions, a compromise that in no way weakens the workers who make it in their loyalty to revolution and their determination to continue the struggle”;

the other is “the compromise of traitors, who push everything onto ‘objective causes’ when in fact they are seeking private gain and shrinking back in cowardice.”

The compromises advocated by Marxism are, of course, revolutionary compromises, and never traitors’ compromises. A revolutionary compromise means: for the fundamental purpose of the revolution, and on the condition that one does not violate the people’s fundamental interests, making certain necessary concessions to the enemy in order to prepare future offensives and strike the enemy more effectively.

IV. Despise the enemy strategically, take the enemy seriously tactically

Marxist principles of policy and strategy require not only the organic unification of principle and flexibility, immediate interests and long-term interests, ends and means; they also require the organic unification of political romanticism and political realism, and the correct handling of questions of strategy and tactics.

If a proletarian party is to strike the enemy effectively and win revolutionary victory, it must correctly assess the forces of revolution and the forces of counterrevolution, and on that basis establish its own strategic and tactical thinking. More than a century ago, when capitalism was still in its ascending phase, Marx and Engels, with fearless revolutionary spirit, announced to the whole world that the bourgeoisie’s downfall and the proletariat’s victory are equally inevitable, and they cried out:

“Let the ruling classes tremble before a communist revolution. The proletarians have nothing to lose in this revolution but their chains. They have a whole world to win.”

Marx/Engels, The Communist Manifesto, Chapter IV. Position of the Communists in Relation to the Various Existing Opposition Parties

At the same time, Marx and Engels earnestly warned the proletariat that the communist cause is a great undertaking of extreme difficulty and complexity; it cannot be achieved easily or within a short time, and one must pay attention to the art of struggle. Lenin, in the era of imperialism and proletarian revolution, compared the British, French, and American imperialisms that then dominated the world to a “colossus with feet of clay” and a “scarecrow,” while also stressing that imperialism is dying capitalism, but has not yet died. Therefore, Lenin held that in great revolutionary struggle one should combine the greatest enthusiasm with the calmest and clearest appraisal.

In China’s revolution and the long struggle against international imperialism, Mao Zedong inherited and developed the Marxist spirit of romanticism and realism, and creatively proposed and demonstrated the complete strategic–tactical concept:

“strategically we must despise the enemy; tactically we must take the enemy seriously.”

Selected Works of Mao Tse-tung, ALL REACTIONARIES ARE PAPER TIGERS
November 18, 1957

Mao Zedong said:

“In order to struggle against the enemy, over a long period we formed a concept, namely, that strategically we should despise all enemies, but tactically we should take all enemies seriously.”

Selected Works of Mao Tse-tung, ALL REACTIONARIES ARE PAPER TIGERS
November 18, 1957

“In essence, in the long run, and from a strategic point of view, we must see imperialism and all reactionaries for what they are—paper tigers. On this basis we must build our strategic thinking. On the other hand, they are living tigers, iron tigers, real tigers; they can devour people. On this basis we must build our tactical thinking and our thinking on strategy and tactics.”

Selected Works of Mao Tse-tung, On The Question Of Whether Imperialism And All Reactionaries Are Real Tigers
December 1, 1958

To “despise the enemy strategically” means that, viewed as a whole and over the long term, all reactionary forces are doomed to perish—this is determined by the objective laws of social development. Therefore revolutionaries must “take ten on with one,” dare to struggle, and dare to win. To “take the enemy seriously tactically” means that, viewed partially and in the short term, reactionary forces will not immediately exit the stage of history; they can still “devour people.” Therefore revolutionaries must also adopt a cautious attitude, pay attention to the art of struggle, “take one on with ten,” and be skilled in struggle and skilled in winning.

To despise the enemy strategically and to take the enemy seriously tactically form a unity of opposites: they are closely integrated and mutually dependent. If one severs the two and places one-sided emphasis on only one aspect, grave errors will follow—just as Mao put it:

“If, in the overall assessment, we overestimate the enemy’s strength and therefore do not dare to overthrow them and do not dare to win, we will commit the error of Right opportunism.

If, in every partial situation and in every concrete problem, we do not adopt a cautious attitude, do not pay attention to the art of struggle, do not concentrate our full strength in battle, and do not strive to win over all allies that should be won over … we will commit the error of ‘Left’ opportunism.”

Mao Zedong, More on the Differences Between Comrade Togliatti and Us, Peking Review, March 15, 1963, p. 8

In short, strategic disdain and tactical seriousness are the expression of a political art that unifies revolutionary romanticism and revolutionary realism. It applies not only to revolutionary struggle, but likewise to the various tasks and difficulties faced by proletarian parties and governments in periods of peaceful construction.

V. Unite all forces that can be united

Another basic content of Marxist principles of policy and strategy is that, in revolutionary struggle, the proletarian party must correctly deploy revolutionary forces, split reactionary forces, unite all forces that can be united, and form the broadest possible united front, so as to isolate and strike the principal enemy. This mainly includes the following two aspects of policy and strategy:

First, we must build a broad revolutionary united front. Marx and Engels long ago paid attention to the question of the proletarian liberation movement’s own unity and cohesion, and to the question of allies—this is also the fundamental question of the united front. In The Communist Manifesto, they advanced the view that Communists should “support every revolutionary movement against the existing social and political order of things,” and that they should “work everywhere for the union and agreement of the democratic parties of all countries,” and so on.

Marx and Engels also explicitly advanced ideas about a worker–peasant alliance, holding that in all countries where peasants make up the majority of the population, the peasants are the proletariat’s most reliable ally, and that Communists must first strive for the peasants’ support; without the peasants’ “chorus,” the proletarian revolution would turn into a “swan song.”

Lenin, in 1922, in “We Have Paid Too Much,” explicitly used the concept of the “united front,” and incisively discussed the issue of a united front within the working class, pointing out that, in order to help the worker masses grasp the “trick” of the two fronts in world economics and politics, “we adopted the tactics of the united front, and we must carry this tactic through to the end.

Mao Zedong, in the early period of China’s revolution, raised the slogan of carrying out a great alliance of the masses to defeat the reactionaries; later he continuously developed the theory of the united front, making it one of Mao Zedong’s most important ideas on policy and strategy. He regarded the united front, armed struggle, and Party-building as the Chinese Communist Party’s “three magic weapons for defeating the enemy in China’s revolution. On the eve of victory in the Chinese revolution, Mao Zedong, in summing up China’s revolutionary experience, said that the “united front of all revolutionary classes and all revolutionary groups” led by the Chinese Communist Party was one of the principal weapons for defeating the enemy, and he further pointed out:

“The main and basic experience the Chinese people have gained is precisely these two things: (1) domestically, arousing the masses—that is, uniting the working class, the peasant class, the urban petty bourgeoisie, and the national bourgeoisie, and, under the leadership of the working class, forming a domestic united front … (2) internationally, allying ourselves with those nations and peoples of all countries who treat us as equals,” thereby “forming an international united front.”

Selected Works of Mao Tse-tung, ON THE PEOPLE’S DEMOCRATIC DICTATORSHIP
In Commemoration of the Twenty-eighth Anniversary of the Communist Party of ChinaJune 30, 1949

The policy and strategy of the Marxist united front include the following main elements: first, distinguishing the enemy from ourselves—clarifying who are the revolution’s friends and who are the revolution’s enemies. This requires concrete analysis of concrete conditions, and

  • “first, adopting the strategy of developing the progressive forces, winning over the middle forces, and opposing the die-hard forces”;
  • second, clarifying the boundary between leadership and being led, between the vanguard and the allied forces, and upholding the leading position of the proletariat and its party within the united front;
  • third, within the united front, distinguishing an alliance with working people from an alliance with non-working people, and taking the worker–peasant alliance as the foundation. Toward the bourgeoisie one must both unite and struggle, “integrating the two aspects—unity and struggle—into a single policy.”

Selected Works of Mao Tse-tung, ON POLICY, December 25, 1940, [This inner-Party directive was written by Comrade Mao Tse-tung on behalf of the Central Committee of the Communist Party of China.]

Second, we must make use of contradictions, win over the many, oppose the few, and crush the enemy one by one. The idea of making use of contradictions, winning allies, and isolating and striking the principal enemy to the maximum extent was already put forward by Marx and Engels in The Communist Manifesto. They held that Communists should, according to the conditions of different countries, effectively make use of contradictions between the bourgeoisie and feudal forces, as well as among different bourgeois factions, in order to oppose a common enemy. In examining Germany’s feudal-autocratic revolution, they believed that Communists could join with the bourgeoisie “to fight the reactionary forces of absolute monarchy.”

Lenin paid particular attention to the political strategy of using contradictions to split and disintegrate the enemy. In a famous essay he wrote:

“To vanquish a more powerful enemy, we must exert the utmost effort, and we must also necessarily, most thoroughly, carefully, attentively, and skilfully take advantage of every, even the smallest, ‘rift’ among the enemies, of every conflict of interests among the bourgeoisie of the various countries and among the various groups or types of bourgeoisie within the various countries, and also take advantage of every, even the smallest, opportunity of winning a mass ally, even though this ally is temporary, vacillating, unstable, unreliable and conditional.

Whoever has not understood this does not understand a particle of Marxism,”

Vladimir Lenin, “Left-Wing” Communism: an Infantile Disorder
No Compromises?

and he further pointed out: “Everything said above applies equally to the period before and after the proletariat has won political power.” Mao Zedong developed the foregoing ideas of Marx and Lenin and summed them up in the sixteen-character strategic guideline: “Make use of contradictions, win over the many, oppose the few, and crush them one by one.” [“利用矛盾,争取多数,反对少数,各个击破”]

[Translator’s Note: For more on this topic see J.D. Armstrong THE UNITED FRONT DOCTRINE AND
CHINA’S FOREIGN POLICY
. A Chinese translation of a J.D. Armstrong article appeared on the Mao Zedong Research section of the website of the Chinese Communist Party Central Committee Party History and Archival Research website as 毛澤東的統一戰線學說 [Mao Zedong’s United Front Theory]. Here is a link to a Google Translate machine translation of that article.]

To make use of contradictions primarily means making use of contradictions among the enemy. As Mao Zedong put it, the

“…particularly interesting example of a fight between large and small dogs, between well-fed and ill-fed dogs. It is not a big rift, but neither is it small; it is at once an irritating and painful contradiction. But such fights, such rifts, such contradictions are of use to the revolutionary people. We must turn to good account all such fights, rifts and contradictions in the enemy camp and turn them against our present main enemy.”

Selected Works of Mao Tse-tung, ON TACTICS AGAINST JAPANESE IMPERIALISM
December 27, 1935

To win over the many means to win over and unite the masses; at the same time, it also requires making use of contradictions within the enemy, in order to win over and make use of those recalcitrant forces which, for the time being, are not the principal enemy. To oppose the few means to split and disintegrate the enemy, and to oppose the extremely small number who constitute the principal enemy. Mao Zedong pointed out that the enemy can use divide and align methods to deal with the revolutionary ranks:

“The Communist Party, too, can use divide and align methods to deal with the counter-revolutionary ranks. They can lure the bad elements in our ranks to run off; of course we can also lure the ‘bad elements’ in their ranks (who are good elements for us) to come over. If we can draw more people out of their ranks, then the enemy’s ranks will shrink and ours will expand.”

Selected Works of Mao Tse-tung, ON TACTICS AGAINST JAPANESE IMPERIALISM
December 27, 1935

To crush them one by one means to annihilate the enemy step by step: concentrate superior forces and destroy the enemy in detail.

“War can only be fought battle by battle; the enemy can only be wiped out part by part… military books call this ‘defeating the enemy in detail’.”

Selected Works of Mao Tse-tung, ALL REACTIONARIES ARE PAPER TIGERS
November 18, 1957

VI. Correctly handle two different types of contradictions

Correctly handling contradictions within socialist society is a basic policy of the proletarian party and the organs of state power. Lenin once perceived that contradictions would still exist in socialist society. In 1920, Lenin wrote “A Review of Bukharin’s The Economics of the Transition Period.”

[Translator’s Note: I didn’t find this article in English. A related Bukharin critique is found in Lenin’s March 1918 Speech Against Bukharin’s Amendment To The Resolution On The Party Programme March 8 (Evening) End note.]

Addressing Bukharin’s view that society is divided into two basic classes and that class antagonism and its manifestations are found everywhere, Lenin pointed out: “Antagonism and contradiction are by no means the same. Under socialism, antagonism disappears, but contradictions remain.” Lenin also sharply noticed that the principal content of political life in a socialist state would change; he believed politics could no longer be explained solely from the “old viewpoint” of class struggle, and that “politics should be the business of the people.

Using the law of the unity of opposites to examine socialist society, Mao Zedong was the first to state clearly that it is necessary to correctly distinguish and handle two different types of social contradictions, and to make the correct handling of contradictions among the people the central theme of the country’s political life. Mao Zedong pointed out:

“Before us there are two types of social contradictions: those between ourselves and the enemy, and those among the people. These are two types of contradictions of a completely different nature.”

Selected Works of Mao Tse-tung, ON CONTRADICTION
August 1937

He also stated clearly that the large-scale, tempestuous mass class struggles of the revolutionary period had basically ended: “There are still counter-revolutionaries, but not many.” Therefore, he treated the question of correctly handling contradictions among the people as an “overall subject,” and as the principal aspect of political life.

As for how to distinguish between the two types of contradictions, Mao Zedong held that one must first clarify who the people are and who the enemy is. He said:

“At the present stage, the period of building socialism, all classes, strata and social groups that approve of, support and participate in the cause of socialist construction fall within the category of the people; all social forces and groups that resist the socialist revolution and are hostile to, or sabotage, socialist construction are enemies of the people.”

Selected Works of Mao Tse-tung, ON THE CORRECT HANDLING OF CONTRADICTIONS AMONG THE PEOPLE
February 27, 1957

Contradictions between ourselves and the enemy are antagonistic contradictions, while contradictions among the people are contradictions on the basis of a fundamental identity of interests among the people; under certain conditions, these two types of contradictions can transform into each other.

Contraditions between the enemy and ourselves and contradictions among the people differ in nature, and therefore require different methods of resolution. For enemy–us contradictions, the method is dictatorship—namely,

“for a necessary period, not allowing them to take part in political activities, compelling them to obey the laws of the People’s Government, compelling them to engage in labour, and, through labour, remoulding them into new people.”

Mao Zedong, Be a True Revolutionary
First Published: June 23, 1950
Source: Selected Works of Mao Tse-tung, Volume V

For contradictions among the people, the method is democracy—discussion, criticism, persuasion, and education—rather than coercion or suppression. Mao Zedong pointed out:

“What does it mean to correctly resolve contradictions among the people? It means seeking truth from facts and the mass line. In the final analysis, it comes down to the four characters ‘mass line’.”

Selected Works of Mao Tse-tung, BEAT BACK THE ATTACKS OF THE BOURGEOIS RIGHTISTS, July 9, 1957

Mao also pointed out that the guiding principle for resolving contradictions among the people is “overall consideration and making appropriate arrangements.” [Translator’s Note: To read some of the criticisms the Party was facing at the time from students and intellectuals see 1958: Party’s “Rightist” Speech Collection Published After the Hundred Flowers Campaign End Note.]

To correctly handle contradictions among the people, in addition to using democratic methods and adopting the fundamental guiding principles of the “mass line” and “overall consideration and appropriate arrangement,” one must also implement, politically, the policy of “unity—criticism—unity”; in relations between the Communist Party and the democratic parties, the policy of “long-term coexistence and mutual supervision”; in scientific and cultural work, the policy of “letting a hundred flowers blossom and a hundred schools of thought contend”; and in economic work, the policy of taking into account the interests of the state, the collective, and the individual.


第十章政治是一门科学和艺术

            1920年,列宁在《共产主义运动中的“左派”幼稚病》中提出了马克思主义政治学的一条重要原理——“政治是一种科学,是一种艺术”。马克思主义认为,政治是一种社会现像,它的产生和发展不是偶然的,任意的和盲目的,而是受社会物质生产的制约,也就是说受一定的客观规律的支配。人们可以用科学的方法研究和掌握政治,找出其规律性,因此政治是一门科学。但是,政治又具有很强的实践性。现实政治生活是极其错综复杂的,政治科学只能提供政治活动的普遍规律和基本原则,而在千变万化的现实政治中,必须具体问题具体分析,机动灵活地解决政治问题。根据“时代特征”和实际情况,制定战略策略,因此政治又是一门艺术。政治作为一门科学和艺术,就意味着可以根据社会运动的客观规律来认识政治在社会经济生活中的地位和作用,把握政治活动的基本原则和方法,找出处理政治问题的基本政策和策略手段,从而实现无产阶级的政治目的。

第一节政治与经济相比占首位

            一、政治是统率,是大局

            唯物辩证法是马克思主义认识事物的根本方法,也是研究政治科学和艺术的根本出发点。根据辩证唯物主义的观点,政治属于建立在经济基础之上的上层建筑的范畴,它以经济为基础,但由于它居于经济基础之上,因而又具有高屋建瓴、统揽全局的作用,正如列宁所指出的:“政治是经济的集中表现,···政治同经济相比不能不占首位。”

            马克思主义至少从以下几个方面阐明了政治在社会经济生活中的首要性:

            第一,政治是统率。列宁在领导苏维埃社会主义革命和建设的过程中,大大丰富和发展了马克思主义的政治学说,最先阐述了政治的特殊重要作用。列宁曾在《我们的纲领》《怎么办》等一系列著作中强调了政治斗争较之经济斗争的重大意义,特别是在同托洛茨基和布哈林的论战中,明确提出了“政治同经济相比不能不占首位”的著名论断,并严肃指出:“不肯定这一点,就是忘记了马克思主义的最起码的常识。”毛泽东在半封建半殖民地的中国历史环境中,根据马克思列宁主义的基本原理,结合中国的实际进一步论述了政治的重要性,如1929年在《关于纠正党内的错误思想》中阐明了政治与军事的关系;1937年在《矛盾论》中论述了政治与经济的关系;1940年在《论持久战》中分析了政治与战争的关系。特别是在社会主义建设时期,毛泽东发展了他在革命战争时期的思想,指出了政治对于其他各项工作的统率作用,他在1958年《工作方法六十条(草案)》中强调,政治与业务,政治与军事,政治与经济,政治与技术,政治总是头,政治总是率领军事、率领经济、率领业务、率领技术的。毛泽东所强调的政治的统率作用集中表现为党的政治领导,这要通过党所制定的正确的路线、方针、政策来实现,所以他常说“党的政策是党的生命”。

            第二,政治是灵魂。在马克思主义看来,思想支配行动,理论指导实践,而一定的思想理论代表着一定阶级的政治观点。无产阶级如果没有正确的政治观点,就像一个人没有思想和灵魂一样。从这个意义上说,政治就等于是灵魂,所以它才能够统率其他各项工作。列宁精辟地指出:“没有革命的理论,就不会有革命的运动。”“只有以先进理论为指南的党,才能实现先进战士的作用”。恩格斯也早就说过:“革命是政治的最高行动;谁要想革命,谁就必须也承认准备革命和教育工人进行革命的手段,即承认政治行动。”毛泽东则把政治与思想观点更加紧密地结合在一起,他在《《中国农村社会主义高潮》的按语》一文中提出“政治工作是一切经济工作的生命线”。在《关于正确处理人民内部矛盾的问题》中,毛泽东进一步明确指出:“没有正确的政治观点,就等于没有灵魂。”

            第三,政治是大局。由于政治是统率、是灵魂,贯穿于各项工作之中,因而它就不是局部的问题,而是涉及整体和全局;反之,凡是关系到整体和全局的事情,必然也具有政治性。列宁根据苏维埃社会主义建设的实际,首先提出了“经济方面的政治”这一崭新的概念。列宁说:“现在我们主要的政治应当是:从事国家的经济建设,收获更多的粮食,供应更多的煤炭,解决更恰当地利用这些粮食和煤炭的问题,消除饥荒,这就是我们的政治。”列宁这里是把全面性工作重心与政治紧密联系起来,当无产阶级夺取政权的时候,阶级斗争就是政治的首要内容;而当进入社会主义建设时期,发展经济就是政治的主要内容,所以列宁还指出:“今后最好的政治就是少谈政治。”这里两个“政治”的内涵显然是不同的,前者指的是“经济方面的政治”,后者则是过去开展的阶级斗争的政治。因此,政治在不同时空条件下其内容是不同的,但它所涉及的必然是最核心、最重大的事情。邓小平进一步发展了马克思列宁主义的思想,他不仅根据工作重心的转移提出“社会主义现代化建设是我们当前最大的政治,因为它代表着人民的最大的利益、最根本的利益”,而且把政治明确看作是“国内外阶级斗争的大局,是中国人民和世界人民在现实斗争中的根本利害”总之,无论经济、文化、教育,只要涉及“大局”,就是政治。

二、政治和经济是交互作用的力量

            政治是统率、是灵魂、是大局,这一切都说明了政治在社会经济生活中的首要性。要深刻认识政治的首要性,关键是要弄清政治与经济的关系。

            马克思和恩格斯出于创立唯物史观的需要,最开始都是从经济的角度来把握政治的。1845—1846年,马克思和恩格斯在《德意志意识形态》一书中说:“事情是这样的:以一定的方式进行生产活动的一定的个人,发生一定的社会关系和政治关系。经验的考察在任何情况下都应当根据经验来揭示社会结构和政治结构同生产的联系,而不应当带有任何神秘和思辨的色彩。”这里,马克思主义创始人第一次把政治同一定的生产活动方式联系起来。随后,马克思和恩格斯在《共产党宣言》、《《政治经济学批判)序言》、《社会主义从空想到科学的发展》等著作中都一再指出,一切政治变革的终极原因,应当从生产方式和交换方式的变革中、从有关时代的经济中去寻找。马克思和恩格斯由此确立了政治与经济关系的唯物主义观点:政治是从经济基础上产生的上层建筑;政治的性质是由经济性质说明的;政治变动归根到底是由经济基础决定的

            马克思、恩格斯当时之所以紧扣经济来谈政治,有其历史和社会的原因。他们以前的唯心主义者都本末倒置地离开经济基础谈政治,如黑格尔等人就是把历史看成是“绝对观念”的体现。因此,马克思,恩格斯有必要从历史唯物主义观点出发,对政治作出最根本的说明,并通过揭示经济运动的规律来阐明资本主义灭亡。社会主义胜利的历史必然性,从而鼓舞无产阶级为实现自己的历史使命而斗争。这都是符合当时社会需要的科学理论

            但是,马克思、恩格斯的科学观点,一开始就受到马克思主义的敌人的歪曲和攻击。如保尔·巴尔特在所著《黑格尔和包括马克思及哈特曼在内的黑格尔派的历史哲学》一书中,声称马克思把政治仅仅看成是经济的消极反映,是无所作为的。对此,恩格斯曾经予以驳斥。他说:“如果政治权力在经济上是无能为力的,那末我们又为什么要为无产阶级的政治专政而斗争呢?”但另一方面,恩格斯也坦率地承认,他和马克思“都有同样的过错”,他说:“我们最初是把重点放在从作为基础的经济事实中探求出政治观念···当时是应当这样做的。但是我们这样做的时候为了内容而忽略了形式方面。”事实上,恩格斯在此之前已经发现并注意纠正以前理论这方面的缺陷,如在1876—1878年间所著的《反杜林论》中就已指出了政治的相对独立性。特别是他在晚年进一步从辩证法的角度阐述了政治与经济的关系,特别指出了经济与政治两种力量的互动作用,他说:“这是两种不相等的力量的交互作用:一方面是经济运动,另一方面是追求尽可能多的独立性并且一经产生也就有了自己的运动的新的政治权力。总的说来,经济运动会替自己开辟道路,但是它也必定要经受它自己所造成的并具有相对独立性的政治运动的反作用。”恩格斯在谈到唯物史观的基本命题时,还评论道:“说经济因素是唯一决定性的因素,那末他就是把这个命题变成毫无内容的、抽像的、荒诞无稽的空话。”尤其值得注意的是,在论及政治与经济的关系时,恩格斯十分小心地区分了两种情况:一是从唯物史观的基本原理来看,即从论证社会发展的客观规律的角度看,历史过程中的决定性因素”归根到底”是现实生活的生产和再生产;另一是就某一具体的历史时期面言,亦即不是去揭示历史发展的“归根到底”的动因时,就不能用“主要原理”来代替各种“交互作用的因素”,正如恩格斯所言:“只要问题一关系到描述某个历史时期,即关系到实际的应用,那情况就不同了···”

            列宁因其所处的时代与马克思和恩格斯不同,他面临着社会主义革命和建设的具体任务,因而他在论述政治与经济的关系时,更主要的不是从社会发展规律方面来阐述——这个理论任务已经由马克思和恩格斯完成了,而是从革命斗争和建设工作等更加实际、更加具体的实践活动方面来说明。因而,列宁往往根据无产阶级实际斗争的具体情况和需要,来阐述政治与经济的关系,从而对恩格斯晚年的思想进行了极有价值的发展。早在1899年,列宁就明确指出了政治斗争相对于经济斗争的重要性,认为“一切经济斗争都必然要变成政治斗争”,“因为经济斗争而忘掉了政治斗争,那就是背弃了全世界社会民主运动的基本原则”。在《怎么办》一文中,列宁继续阐发了这一思想,并尖锐批判了俄国经济派把历史唯物主义的基本原理与现实的具体斗争混为一谈的错误观点。当时俄国经济派曾慷慨激昂地喊道:“试问哪一个社会民主党人不知道,根据马克思和恩格斯的学说,各个阶级的经济利益在历史上起决定作用,所以无产阶级为自己的经济利益而进行的斗争对于它的阶级发展和解放斗争应当有首要的意义呢?”列宁对此驳斥说:“这所以’一词是用得完全不恰当的。从经济利益起决定作用的原理中,决不应当做出经济斗争(即工会的斗争)有首要意义的结论,因为一般说来,最重要的。有决定作用的’阶级利益只能用根本的政治改造来满足。”随着列宁领导苏维埃社会主义革命和建设实践的不断深入,列宁不断地发展他关于政治与经济关系的思想,在十月革命后,则明确得出了“政治是经济的集中表现”,“政治同经济相比不能不占首位”的结论

            总之,在政治和经济的相互关系上,马克思主义从两个层面上来加以说明。其一是在论证社会发展的客观规律时的唯物史观,即经济基础决定政治,但这仅就历史发展终极的,根本的动因而言,正如恩格斯所说的:“根据唯物史观,历史过程中的决定性因索归根到底是现实生活的生产和再生产。无论马克思或我都从来没有肯定过比这更多的东西。”其二是从一特定的历史横断面来看,就无产阶级及其政党改造社会的具体实践活动而言,不仅政治与经济是交互作用的,而且政治集中体现了经济利益,因而具有首要性。这两个层面加在一起,才是完整的辩证唯物主义的观点

三、经济建设要有政治保障

            弄清楚马克思主义关于政治与经济的关系的上述两个层面的内容,对于社会主义革命和建设的具体实践活动具有重大意义。尤其是在无产阶级夺取政权以后进入社会主义的经济建设时期,正确处理政治与经济的关系就具有特别重要的意义。由于马克思和恩格斯没有亲眼看到社会主义的经济建设,这一历史使命就落到了列宁身上。1920年,俄国处在“从战争过渡到经济建设的时期”,列宁曾多次强调“苏维埃政权的一般政治任务”就是进行社会主义经济建设。这一年11月3日,他在一次报告中指出:“我们走向战胜白卫分子的每一步都会使斗争的重心逐渐转向经济方面的政治。”在列宁看来,无产阶级的政治有两个主要的方面,即阶级斗争方面的政治和经济建设方面的政治,而且重心会随着形势的变化从前者转向后者。因而列宁特别强调“国家建设的政治”,“经济方面的政治”,认为政治就是生产更多的粮食和煤炭,并指出:“要是用旧观点来理解政治,就可能犯很大的严重的错误”在《关于人民委员会工作的报告》中,列宁又说:“经济任务、经济战线现在又作为最主要的任务和基本的战线提到我们面前来了”,并号召要“把全部注意力转到这种经济建设上去”,他还提出以后少谈政治就是最好的政治。

            列宁上述思想发展并不是偶然的。当俄国无产阶级经过十月革命夺取政权并粉碎帝国主义的武装干涉后,形势发生了变化,无产阶级的根本经济利益集中表现在社会主义建设上,因此,列宁适时地强调经济建设方面的政治,顺应了历史发展的需要。

            但是,即使在经济建设成为工作重心的时候,列宁仍没有把政治看作是可有可无的东西,而是坚持政治相对于经济的首要性。1920—1921年,列宁同托洛茨基就工会的作用和任务问题发生争论,列宁重申了政治是经济的集中表现,政治同经济相比占首位的观点。当时托洛茨基等人指责列宁是“从政治上”看问题,而他们是“从经济上”看问题的。托洛茨基还责难列宁说:“列宁同志在苏维埃第八次代表大会上,在关于我国形势的报告的结论中曾经说,我们要少搞一点政治,多搞一点经济,可是在工会问题上,他却把问题的政治方面放在第一位。”对此,列宁一针见血地驳斥说:托洛茨基同志以为这些话是“正中要害的”,实际上这些话正好说明他极其糊涂,说明他的“思想混乱”已经到了极点。“自然,我在过去,现在和将来都希望我们少搞些政治,多搞些经济。但是不难理解,要实现这种愿望,就必须不发生政治上的危险和政治上的错误”列宁还针对托洛茨基及布哈林自称他们关心的是提高生产,而列宁所关心的只是形式上的民主的言论,断然指出:“这样说是不对的,因为全部问题就在于(从马克思主义的观点来看,也只能在于):一个阶级如果不从政治上正确地处理问题,就不能维持它的统治,因而也就不能解决它的生产任务。”

            列宁在俄国处在以经济建设为中心的情况下提出“政治同经济相比不能不占首位”,这并不是一个具体的观点,而是带有普遍意义的基本政治原理。无产阶级政党越是要领导人民进行经济建设,就越是要处理好政治上的问题,制定正确的政策。政治上的失误最终必然影响经济的发展,经济建设必须有政治上的保障。邓小平在中国处在以经济建设为中心时强调:“一心一意地搞四个现代化建设,必须一心一意地维护和发展安定团结,生动活泼的政治局而”。“如果没有强有力的集中领导和严格的组织纪律性,如果不大力加强稳定社会政治秩序的工作和教育,如果不坚决搞好党风,进一步恢复党的实事求是、群众路线和艰苦奋斗的优良传统,就可能出现一些本来可以避免的大大小小的乱子,使我们的现代化建设在刚刚迈出第一步的时候就遇到严重的障碍。”可见,无论在什么时候,政治问题始终都是占首位的。“如果说(或者只是间接地表达了这种思想)从政治上看问题和‘从经济上’看问题有同等的价值,二者’都可以采用,这就是忘记了马克思主义的最起码常识。”托洛茨基和布哈林正是在政治与经济的关系上持错误的,折衷主义的态度,违背了唯物辩证法的科学原理。在实际工作中辩证地处理政治与经济的关系,是政治艺术的重要体现。

第二节民主集中制作为基本原则

            一、党和国家的根本组织原则是民主集中制

            政治与经济相比占首位,说明了政治在社会经济生活中的地位和作用。然而政治作为一门科学和艺术,要正确把握和处理它,必须遵循一定的原则和方法。民主集中制就是马克思主义关于无产阶级政党和国家的根本组织原则。

            首先,民主集中制是无产阶级政党的根本组织原则。马克思主义认为无产阶级政党不是党员数字的简单总和,也不是党的各个组织的简单联合,而是全体党员和党的各级组织按照一定的纪律组织起来的统一的有机体。按照民主集中制原则建立无产阶级政党,是马克思主义建党学说中的重要原则,也是无产阶级政党区别于其他政党的重要标志之一。

            马克思和恩格斯在创建世界上第一个工人阶级政党——共产主义者同盟时,就已经提出了民主集中制的基本思想。他们当时虽然还没有明确使用民主集中制的概念,但他们始终把民主与集中相统一作为组织活动的基本原则,民主集中制的原则已有雏形。共产主义者同盟和第一国际的组织章程都规定实行自下而上的选举制和撤换制。在组织生活中马克思、恩格斯坚持所有成员一律平等,坚持少数服从多数。此外,同盟的章程还规定盟员必须在政治上和同盟保持一致,“生活方式和活动必须符合同盟的目的”,必须“服从同盟的一切决议”等,坚持集中统一的领导。列宁在建设俄国布尔什维克党的过程中,第一次明确提出了民主集中制的概念。列宁有时说党是按民主原则组织起来的,有时也说党是按照集中制组织起来的,指的都是民主集中制。列宁认为党的基层组织应真正成为党组织的细胞,所有的上层机关都应成为真正选举出来的、要汇报工作的、可以撤换的机关。同时,他又指出:“为了保证党内团结,为了保证党的工作的集中化,还需要有组织上的统一,而这种统一在一个多少超出了家庭式的小组范围的党里面,如果没有正式规定的党章,没有少数服从多数的原则,没有部分服从整体的原则,那简直是不可想像的。”列宁不仅把民主集中制载入了俄国的党章,而且还把民主集中制推广到各国共产党的建设中去,他明确规定:“加入共产国际的党,应该是按照民主集中制的原则建立起来的。“

            无产阶级政党之所以要遵循民主集中制的原则,是因为无产阶级政党必须是一个统一的有组织的整体,这是由党的性质和任务决定的。党作为工人阶级的先锋队,要实现历史赋予的重任,就要集中工人阶级和广大人民群众的力量,统一行动,有组织、有领导地开展斗争。这不仅要有正确的理论、纲领、路线和政策,而且它自身还必须是一个统一的有组织的整体。无产阶级的力量就在于组织。列宁指出:“无产阶级所以能够成为而且必然会成为不可战胜的力量,就是因为它根据马克思主义原则形成的思想统一是用组织的物质统一来巩固的,这个组织把千百万劳动者团结成工人阶级的大军”。只有遵循民主集中制的原则,党才能成为一个有组织的整体。

            其次,民主集中制不仅是无产阶级政党的根本组织原则,而且也是无产阶级的社会主义国家的基本组织原则。马克思主义认为,社会主义国家必须采用民主共和制。社会主义的民主共和制作为国家制度包括两方面的涵义:从国体上说,民主和专政联系在一起;从政体上说,民主和集中联系在一起,这就是要实行民主集中制的原则,即在高度民主的基础上,实行高度的集中。民主与专政的统一,民主与集中的统一,是社会主义民主共和制的基本特征。

            马克思和恩格斯没有对未来社会国家的具体制度进行具体的设计,但他们提出了一个总的原则——“社会共和国”。恩格斯在1891年《爱尔福特纲领草案批判》中明确指出:“民主共和制”是适于无产阶级专政的特有形式,同时他们对资产阶级虚伪的民主和寡头政治以及无政府主义都作了无情的批判,这些为民主集中制奠定了理论基础。列宁更为具体地规定了社会主义国家机关组织和活动的方式,指出社会主义政治组织应“保证能够把议会制的长处和直接民主制的长处结合起来,就是说,把立法的职能和执行法律的职能在选出的人民代表身上结合起来。”这实际上已讲出了民主集中制的基本内容。毛泽东根据马克思主义的有关思想,完整系统地提出了民主集中制的政权理论。他在《新民主主义论》中认为,新民主主义国家的政体应当是全国人民代表大会和地方各级人民代表大会的系统,并实行普遍平等的选举制,“这种制度即是民主集中制”。后来他又进一步指出,民主集中制“是民主的,又是集中的,就是说,在民主基础上的集中,在集中指导下的民主。只有这个制度,才既能表现广泛的民主,使各级人民代表大会有高度的权力;又能集中处理国事,使各级政府能集中地处理被各级人民代表大会所委托的一切事务,并保障人民的一切必要的民主活动”。总之,根据马克思主义的政治学原理,民主集中制是社会主义国家一切国家机关组织和活动的基本原则。

二、民主基础上的集中和集中指导下的民主

            民主集中制,无论它作为无产阶级政党的组织原则,还是作为社会主义国家政权的组织原则,其精髓都在于民主与集中的辩证关系。民主和集中是辩证的统一,二者相互依存,相互制约,不可分离,即是在民主基础上的集中和在集中指导下的民主。毛泽东指出:“在人民内部,民主是对集中而言,自由是对纪律而言。这些都是一个统一体的两个矛盾着的侧面,它们是矛盾的,又是统一的,我们不应当片面地强调某一个侧面面否定另一个侧面。···.这种民主和集中的统一,自由和纪律的统一,就是我们的民主集中制。”

            坚持民主集中制,首先要有广泛的党内民主和人民民主,这是形成正确的集中和统一的前提与基础。马克思和恩格斯在创立无产阶级政党之初就十分注重党的民主问题,恩格斯在《关于共产主义同盟者的历史》中写道:“组织本身是完全民主的,它的各委员会由选举产生并随时可以罢免,仅这一点就已堵塞了任何要求独裁的密谋狂的道路。”列宁也对社会主义民主的广泛性给予了明确的规定,指出无产阶级民主“在世界上史无前例地发展和扩大了的正是对绝大多数居民,即对被剥削劳动者的民主”。只有充分发扬民主,才能保障正确的集中,民主愈发展,集中的基础就愈牢固,所集中的内容也愈全面、愈丰富,愈正确。正如毛泽东所说:“不充分实行无产阶级的民主制,就不可能有真正的无产阶级的集中制”,如果离开充分发扬民主,“这种集中,这种统一..只能是假的,空的、错误的。”

            另一方面,民主又离不开集中,社会主义民主是有领导的民主,是集中指导下的民主。党内民主和人民民主都是在无产阶级政党的领导下实现的,都是受党纪和国家的法律约束的。如果没有党的集中统一领导,没有纪律的约束,就会出现极端自由化,也就不可能有真正的民主。马克思在论及这一问题时强调:“我们现在必须绝对保持党的纪律,否则将一事无成。”列宁也一再指出党的集中和纪律的重要性,他曾说:“无产阶级的无条件的集中制和极严格的纪律,是战胜资产阶级的基本条件之一。”只有加强党的集中统一领导,加强纪律性,才能保证社会主义民主制度的正常运行。那种否认高度集中和严格纪律的思潮,是有害的,对此,马克思主义经典作家早就给予了批判。恩格斯针对否定集中的倾向写道:“为了进行斗争,我们必须把我们的一切力量拧成一股绳,并使这些力量集中在同一个攻击点上。如果有人向我说,权威和集中在任何情况下都是两种应当加以诅咒的东西,那末我就认为,说这种话的人,不是不知道什么叫革命,就是只不过是口头上的革命家。”

            总之,民主集中制是民主和集中的辩证统一和有机结合。虽然,在不同条件下,根据实际情况,在反对某种错误倾向时,需要着重强调一下民主的方面或集中的方面,但也决不能忽视或否定另一方面,而必须两者兼顾,正如毛泽东所指出的那样:“在人民内部,不可以没有自由,也不可以没有纪律;不可以没有民主,也不可以没有集中。”善于在政治实践中辩证地把握民主和集中的关系,正是政治艺术的体现

            马克思主义政治学原理还告诉人们,要正确把握民主集中制的科学含义,必须划清民主集中制与官僚主义集中制和无政府主义的界限。官僚集中制是没有民主的集中制,它必然导致封建专制主义和独裁制以及资产阶级的寡头制,对此革命导师曾予以坚决否定。马克思和恩格斯在《共产党宣言》中宣告:“工人革命的第一步就是使无产阶级上升为统治阶级,争得民主。”列宁则进一步指出,资产阶级议会制是把民主同官僚制连在一起,“而无产阶级民主制度则立即采取办法根除官僚制,并且能够把这些办法实行到底,直到官僚制完全消灭,供人民享受的民主完全实现。”在无产阶级专政条件下,如果不能正确贯彻“民主基础上的集中”,也会产生官僚主义、命令主义甚至个人专断

            无政府主义是没有集中的极端民主化,它背离了“集中指导下的民主”,必然导致分散主义和无秩序状况。无政府主义打着“自治”的旗号,否认任何权威,这不仅与民主集中制格格不入,而且也抹杀了人的社会性。恩格斯在批判巴枯宁时尖锐指出:“一个哪怕只由两个人组成的社会,如果每个人都不放弃一些自治权,又怎么可能存在”。恩格斯还在《论权威》中说:“一方面是一定的权威,不管它是怎样造成的,另一方面是一定的服从,这两者,不管社会组织怎样,在产品的生产和流通赖以进行的物质条件下,都是我们所必需的。”如果说官僚集中制是社会主义国家必须据弃的,那么无政府主义则是任何社会都不能接受的。总之,要坚持民主集中制,就必须防止官僚集中制和无政府主义,正如列宁所说:“我们主张民主集中制,但是必须认清,民主集中制一方面同官僚主义集中制,另一方面同无政府主义的区别是多么大。”

三、创造更高更切实的民主

            民主集中制是民主与集中的辩证统一,但是在不同的历史条件下,在不同的历史时期,民主和集中的比重也会有所变化。早在反抗日本帝国主义侵略之初,毛泽东就根据当时形势的变化和斗争的需要提出了这一思想,他说:“要党有力量,依靠实行党的民主集中制去发动全党的积极性。在反动和内战时期,集中制表现得多一些。在新时期,集中制应该密切联系于民主制。用民主制的实行,发挥全党的积极性。用发挥全党的积极性,锻炼出大批的干部,肃清宗派观念的残余,团结全党像钢铁一样。”

            根据马克思主义的观点,无论在社会主义革命还是在社会主义建设阶段,都不能没有民主,也不能没有集中。但总的来讲,在无产阶级夺取政权、进行社会主义革命的阶级斗争时期,集中相对更多一些;而在无产阶级取得政权以后,在社会主义的和平建设阶段,特别是在无产阶级政党的工作重心转移到经济工作和现代化建设时期,民主就应该更多一些,建设高度的社会主义民主就成为一个现实任务。资产阶级和一切社会主义的敌人,反对社会主义的一个遁词就是“社会主义消灭民主”,这实际上是对社会主义的污蔑。马克思主义虽然对资产阶级民主进行了无情批判,但这决不是说社会主义就不需要民主。革命导师早就指出,社会主义与民主是不可分离的,没有民主就没有社会主义。列宁曾说:“不实现民主,社会主义就不能实现,这包括两个意思:(1)无产阶级如果不在民主斗争中为社会主义革命做好准备,它就不能实现这个革命,(2)胜利了的社会主义如果不实行充分的民主,它就不能保持它所取得的胜利,引导人类走向国家的消亡。”社会主义不仅不能没有民主,而且社会主义民主无论在内容上还是在形式上都应当比资本主义民主更高也更真实,这就需要借鉴和扬弃人类社会的一切文明的成果。邓小平深刻地指出:“我们进行社会主义现代化建设,是要在经济上赶上发达的资本主义国家,在政治上创造比资本主义国家的民主更高更切实的民主”。并认为这是充分发挥社会主义制度的优越性的要求之一。总之,建设高度的社会主义民主,是无产阶级政党建设社会主义的基本战略目标之一。

            社会主义国家要创造比资本主义国家的民主更高更切实的民主,就要正确贯彻民主集中制,完善党内民主和人民民主。根据马克思主义的有关论述,这主要包括以下几个方面:

            第一,要创造一种充分发扬民主的良好政治环境。首先要活跃党内的民主生活,在党内生活中必须坚持“知无不言,言无不尽”、“言者无罪,闻者足戒”,“有则改之,无则加勉”的原则;必须实行不抓辫子,不扣帽子,不打棍子的“三不”主义。毛泽东曾说,“党内缺乏民主生活,发挥积极性的目的就不能达到”。他号召必须在党内施行有关民主生活的教育,使党员懂得什么是民主生活,什么是民主与集中的关系,从而确实扩大党内的民主生活。其次,要充分发扬人民民主,健全社会主义法制,走群众路线,克服主观主义、命令主义和官僚主义。列宁指出:“对我们来说,重要的就是普遍吸收所有的劳动者来管理国家···社会主义不是少数人——一个党所能实现的。只有千百万人学会亲自做这件事的时候,社会主义才能实现。”

            第二,要坚持集体领导,反对个人专断。这要通过健全党委制来保障。毛泽东明确指出:“党委制是保证集体领导、防止个人包办的党的重要制度。”健全党委制,必须正确处理书记和委员之间的关系。这种关系是平等关系,是少数服从多数的关系,而不是上下级关系,任何人包括党的领袖都不能凌驾于党委和集体之上。当然,集体领导也要与个人分工负责有机结合在一起,“借口集体领导而无人负责是最危险的祸害”。

            第三,要进行政治体制改革,完善社会主义民主的政治制度。社会主义的政治制度从本质上是优越的和民主的,但由于种种历史的和社会的因素,这种优越性还不能充分体现出来。因此,必须按照民主集中制原则不断通过改革来完善社会主义的政治制度,建设高度的社会主义民主。列宁晚年曾对苏维埃国家机构中所存在的官僚主义等弊端提出了严厉的批评,号召“在和平已经到来和免于饥饿最低需要已经得到保证的现在,全部工作都应该是为了改善机构”。邓小平也对中国政治体制中所存在的官僚主义现像,权力过分集中现像,家长制现像以及干部职务终身制等特权现像进行了批评,指出政治上充分发扬民主是社会主义制度优越性的要求,而上述种种弊端则严重妨碍了社会主义优越性的发挥,因此必须进行党和国家领导制度的改革。

            总之,无产阶级政党和国家必须按照民主集中制的原则,努力建设高度的社会主义民主。如果不充分发扬人民民主和党内民主,“无产阶级专政就会转化为资产阶级专政,而且会是反动的、法西斯式的专政”。这决不是危言耸听,而是马克思主义所揭示的一个真理。

第三节群众路线是基本的领导方法

            一、历史活动是群众的事业

            政治作为一门科学和艺术,不仅有一定的组织原则,而且还有一定的领导方法。群众路线就是马克思主义政治学关于领导方法的最基本的原理

            马克思主义认为,人民群众是历史的创造者。人类社会的存在和发展,首先需要衣、食、住等物质生活资料,人们如不能首先获得这些物质资料,就连人本身的生存都不能维持,更谈不上从事政治的、科学的和艺术的活动。人类社会赖以生存的物质生活资料,是劳动群众通过自己的劳动创造的。劳动群众的生产活动是全部社会活动的前提和基础。正因为物质生产的实践活动成为社会发展的根本动力,因而以不同形式从事和促进生产实践活动的人民群众,对社会发展起着决定作用。同时,人民群众也创造了使精神文化生活得以进行的前提条件,人民群众的社会实践是人类精神财富的源泉,因此人民群众又是精神财富的创造者。人民群众不仅是物质财富和精神财富的创造者,而且是社会变革的决定力量。在阶级社会里,生产关系的变革,社会制度的更替,都要通过广大人民群众参加的革命的阶级斗争来实现。总之,历史是人民群众创造的,人民群众才是历史的主人,正如马克思、恩格斯所说:“历史活动是群众的事业。”

            既然历史活动是群众的事业,无产阶级的政治活动就应当以群众的最大利益为一切工作的出发点和最终的归宿,这就需要坚持无产阶级政党的群众路线。所谓群众路线,就是一切为了群众,一切依靠群众,从群众中来、到群众中去,密切联系群众。同广大人民群众保持最密切的联系,是无产阶级政党区别于其他任何政党的显著标志之一。党同群众的关系,就像血肉关系,如果脱离群众,失信于民,是很危险的。从这个意义上讲,党的群众路线就是党的生命线。列宁说:“劳动群众拥护我们。我们的力量就在这里。全世界共产主义运动不可战胜的根源就在这里。”“只有相信人民的人,只有投入人民生气勃勃的创造力泉源中去的人,才能获得胜利并保持政权。”

            要坚持群众路线,首先要有群众观点,这是贯彻群众路线的基本前提。马克思主义的群观点主要有以下三方面

            第一是一切为了群众,全心全意为人民服务的观点。无产阶级政党除了谋求最广大人民群众的利益之外,没有自己的特殊利益,对党负责和对人民负责是一致的。“共产党人的一切言论行动,必须以合乎最广大人民群众的最大利益,为广大人民群众所拥护为最高标准”。无论在任何情况下,都要维护人民群众的利益,这是无产阶级政党的宗旨。为人民服务,就要密切联系群众,倾听群众意见,关心群众生活,正像列宁所指出的:“我们需要的党应该是真正同群众有经常联系的党。”

            第二是一切依靠群众,相信群众自己解放自己的观点。马克思主义和其他各种社会主义理论的不同之处,就在于它能以非常科学的冷静的态度去分析客观形势和进化的客观进程,同时又能非常坚决地承认群众的“革命毅力、革命创造力、革命首创精神的意义”。人民群众是历史发展的动力,是真正的英雄。只有坚决相信和依靠群众的大多数,无产阶级政党才能实现自己的历史使命。马克思和恩格斯最相信群众,早在创立共产国际时,他们就明确地规定了一个战斗口号:“工人阶级的解放应当是工人阶级自己的事情。”列宁也指出,苏维埃政权所以能取得胜利,“是因为苏维埃政权一开始就遵循了社会主义所固有的训条,彻底地坚决地依靠群众”。

            第三是虚心向人民群众学习的观点。无产阶级政党要为人民服务,领导群众前进,就必须善于向群众学习,从中吸收智慧和力量。马克思主义认为,“千百万创造者的智慧会创造出一种比最伟大的天才预见都还要高明得多的东西”,虚心向群众学习,就可以在革命的斗争中纠正错误,提高无产阶级的领导艺术。列宁曾说过:“是的,我们犯了许多错误,但是工人们自己在创造社会主义,无论我们犯了什么错误,我们是在这个实践中学习,并为正确地干革命的艺术打下基础。”

二、政策应当从千百万群众着眼

            树立正确的群众观点,是为了在实际工作中更好地贯彻群众路线,按照群众观点实行领导和制定政策。马克思主义认为,无产阶级政党要密切同人民群众的联系,领导人民群众胜利前进,最基本的问题是要保证党和国家的政策符合人民的利益。列宁指出;“群众的人数有千百万,——政策应当是从千百万人着眼,而不是从几千人着眼。只有从千百万人着眼,才会有实事求是的政策”。

            马克思主义强调,无产阶级政党制定任何政策,都要以事实为基础。列宁曾反复强调:“事实是我们政策的基础”,马克思主义要求我们在确定任何重大政策的时候,必须以经得起精确的客观检验的事实作为政策的基础和依据”。那么怎样才能使政策以事实为根据呢?这就必须走群众路线。社会主义之所以伟大,是因为它是“第一次由真正的群众,由广大的大多数劳动者自己来建设新生活,用自己的经验来解决社会主义组织的最困难的问题”。因此,只有从千百万群众着眼,相信群众,依靠群众,用群众的经验和智慧来作为政策的基础,才能使政策符合实际,也才能保证政策符合人民群众的利益

            那么,强调用群众的经验和智慧来制定政策,是不是忽视了无产阶级政党在制定政策中的作用呢?马克思主义向来重视无产阶级政党在政治上的领导作用,但这并不意味着党可以根据主观意志来制定政策。诚然,无产阶级政党的宗旨就是全心全意为人民服务,党和人民群众的利益在根本上是一致的,党所制定的政策是为人民谋福利的,但这是就问题的出发点而言,而不是就问题的结果而言。如果党不能从实际出发,不从千百万群众着眼,而只从决策者的主观愿望出发和理论原则出发,从少数人着眼,那么党所制定的政策就会脱离群众,脱离实际,即使主观愿望再好,也不能达到预期的结果。列宁在教育英国“左派”共产主义者时曾说,在伟大的革命斗争中,单凭情绪来领导群众是不够的;即使是对革命事业无限忠诚的人所犯的错误也会给革命事业带来危害,并告诫道:科学要求估计到一切活动着的力量、阶级和群众,而“决不能仅仅根据一个集团或一个政党的愿望和见解、觉悟程度和斗争决心来确定政策”。国际共产主义运动的实践表明,无产阶级政党有时也会从理论出发,从本本出发,犯主观主义的错误。要切实纠正这种偏差,就要坚持走群众路线。群众在政策制定过程中的作用就在于他们不是从教条出发,而是从现实出发,“群众自己的朝气蓬勃的、强大的运动会像清除毫无用处的腐败东西,把杜撰的、在办公室里想出来的方案一起消除掉”。而这正可以对决策者起到弥补不足的作用,正如列宁所指出的:“人民群众看问题时不是凭理论而是凭实际,我们的错误在于总是从理论上来看问题。”群众路线正是理论联系实际的桥梁。

            总之,对于无产阶级政党来说,只有坚持群众路线,从千百万群众着眼,才可能使所制定的政策建立在事实的基础上;也只有以事实为基础的政策,才可能是真正符合人民群众利益的政策。能否正确处理这个问题,是关系到党和国家生死存亡的大事。列宁曾深刻指出:“在人民群众中,我们到底是沧海一粟,只有当我们正确地表现人民所意识到的东西时,我们才能管理。否则共产党就不能引导无产阶级,而无产阶级就不能引导群众,整个机器就要毁坏。“

三、从群众中来到群众中去是领导决策方法

            要保障无产阶级政党按照群众路线制定出符合人民群众利益的政策,就要有科学的领导决策方法。毛泽东在中国革命的实践过程中,把马克思主义关于密切党和群众联系的原理和辩证唯物论的认识论运用到政治领导和决策方面,创造性地提出了“从群众中来、到群众中去”的领导决策方法。他说:“在我党的一切实际工作中,凡属正确的领导,必须是从群众中来,到群众中去。这就是说,将群众的意见(分散的无系统的意见)集中起来(经过研究,化为集中的系统的意见),又到群众中去作宣传解释,化为群众的意见,使群众坚持下去,见之于行动,并在群众行动中考验这些意见是否正确。然后再从群众中集中起来,再到群众中坚持下去。如此无限循环,一次比一次地更正确、更生动、更丰富”。“从群众中集中起来又到群众中坚持下去,以形成正确的领导意见,这是基本的领导方法”。

            从群众中来、到群众中去的领导决策方法,是与马克思主义的认识论完全一致的。列宁说:“从生动的直观到抽像的思维,并从抽像的思维到实践,这就是认识真理、认识客观实在的辩证的途径”。“从群众中来”就是将群众中所感觉到的、生动的无系统的意见经过抽像思维的过程转化为集中的、系统的意见;“到群众中去”就是将经过抽像的集中的意见再带到群众中去,化为群众的实践活动。而这种从感觉到思维,从思维到实践,即从群众中来,到群众中去的过程,不是一次能够完成的。这一过程要无限循环下去,才能得到愈来愈接近客观事实的认识。正如恩格斯所指出的:“思维的至上性是在一系列非常不至上地思维着的人们中实现的;拥有无条件的真理权的那种认识是在一系列相对的谬误中实现的;二者都只有通过人类生活的无限延续才能完全实现。”

            从群众中来,到群众中去,也完全符合无产阶级政党进行领导和决策的实际。列宁在领导苏维埃的过程中,曾向俄共各级组织和党员号召:“全体党员都应该尽最大的努力,争取把经过检验、经过提炼、经过总结的实际经验带到代表大会上来。如果我们能尽一切努力,善于仔细地、认真地、实事求是地收集、检验和提炼实际经验,即我们每个人所作的、所完成的和我们看到我们旁边的人所作的、所作完的事情,如果能这样,而且也只能这样,我们的党代表大会以及我们所有的苏维埃机关才能解决最迅速最稳妥地战胜经济破坏这一实际任务。”从群众中来、到群众中去的领导决策方法,同列宁上述思想中的收集实际经验、提炼和总结实际经验并在实践中进行检验的过程是一致的,也完全符合领导和决策的一般规律。从群众中来的过程就是收集、提炼和总结实际经验从而制定出正确的政策的过程,到群众中去就是将政策贯彻实施并在实际中加以检验和反馈的过程。“从群众中来,到群众中去”的领导决策方法,就如同列宁所说的:“研究实际经验,去其糟粕,取其精华。正确地确定一些当前的实际措施,并且不惜任何牺牲而坚决予以实现。”这是无产阶级政党进行领导和决策的基本方法。

            从群众中来、到群众中去的工作方法,是从领导和决策上把无产阶级政党同人民群众的密切关系加以具体化和现实化,从而使群众路线具有可操作性,为正确解决党的路线、方针和政策同人民群众的实践的关系问题提供了保障,它是马克思主义政治学在领导和决策科学方面的一个基本原理。

四、防止命令主义和尾巴主义

            无产阶级政党要正确贯彻群众路线,掌握好从群众中来、到群众中去的领导方法,就要在实际工作中注意防止命令主义和尾巴主义两种错误倾向。

            坚持群众路线,就是要充分相信群众,依靠群众,联系群众,而不能用官僚主义和命令主义的方式对待群众,超出群众的觉悟和意愿去制定政策和开展工作。列宁指出:“群众生气勃勃的创造力是新社会的基本因素。···社会主义不是按上面的命令创立的。它和官场中的官僚机械主义根本不能相容;生气勃勃的创造性的社会主义是由人民群众自己创立的。”毛泽东在总结中国革命的经验时说:凡属正确的任务、政策和工作作风,都是和当时当地的群众要求相适合,都是联系群众的。他号召全党要教育每一个同志热爱人民群众,细心倾听群众的呼声;每到一地,就和那里的群众打成一片,不是高踞于群众之上,而是深入于群众之中;根据群众的觉悟程度去启发和提高群众的觉悟,在群众出于内心自愿的原则下帮助群众逐步地组织起来,逐步地开展为当时当地内外环境所许可的斗争。总之,无产阶级政党必须正确地表达人民群众的愿望,而不能采取命令主义的办法,否则就会脱离群众,给党的事业造成危害。正像列宁所说的:“对于领导一个大国向社会主义过渡的工人阶级先锋队来说,最大最严重的危险之一,就是脱离群众,就是先锋队跑得太远,没有拉平战线,没有同全体劳动大军,即同大多数工农群众保持牢固的联系。”

            相信群众,依靠群众,联系群众,并不意味着无产阶级政党可以放弃对群众的引导和教育,跟在群众后面跑,做群众的尾巴。列宁指出:“党是阶级的先锋队,它的任务决不是反映群众的一般情绪,而是引导群众前进。”特别是在革命的关键时刻,“党的领导者也必须更广泛,更大胆地提出任务,使他们的口号始终走在群众的革命自动性的前面,成为他们的灯塔”。那种认为“群众要怎么办就怎么办”的口号是十分错误的,它忽视了党的无产阶级先锋队的作用,也违背了民主集中制的原则,实际上是对人民群众不负责任的态度。毛泽东也曾对中国共产党内存在的尾巴主义倾向进行过批评,他在晋绥干部会议上讲话时说,关于党和群众的关系问题,应当是:“凡属人民群众的正确的意见,党必须依据情况,领导群众,加以实现;而对于人民群众中发生的不正确的意见,则必须教育群众,加以改正。”可见,尾巴主义同命令主义一样,都不能正确处理党和群众的关系,都是不正确的工作方法,正如毛泽东所总结的那样:“在一切工作中,命令主义是错误的,因为它超过群众的觉悟程度,违反了群众的自愿原则,害了急性病···尾巴主义也是错误的,因为它落后于群众的觉悟程度,违反了领导群众前进一步的原则,害了慢性病”

            总之,按照群众路线实施正确的领导,是一门高深的政治艺术,正像斯大林所说:“领导的艺术是一件重要的事情。不能落在运动后面,因为落在后而就是脱离群众。但是也不能跑得太远,因为跑得太远就是失掉群众而使自己孤立。谁想领导运动而同时又保持和千百万群众的联系,谁就应当进行两条战线的斗争——既反对落后的人,又反对跑得太远的人。”然而,真正的领导艺术还在于能够在不同的历史时期,根据党的工作的重心,保持与群众的密切联系并能正确引导群众前进。在这方面列宁曾做出了典范。在苏维埃政权建立初期,布尔什维克党曾把注意力集中在搞颁布和宣传法令方面。当时有人嘲笑说布尔什维克“不知道人们并不执行他们的法令”。但列宁认为那样做是对的,其结果是在人民群众中获得了高度的信任,“这是革命初期必然经过的阶段,不然我们就不会走在革命浪潮的前面,而只能跟着它的尾巴跑。”但是,随着工作重心的变化,列宁则对这种做法提出了批评,指出“注意力不应该集中在搞立法工作,颁布完善的法令等等上面”,“这个阶段已经过去了,而我们却不愿了解这一点。现在再有人靠下命令来设立和改组什么机关,工人农民就要嘲笑了。现在普通的工人农民对这点已不发生兴趣,他们是对的,因为现在的重点不在这里”。由此可见,命令主义和尾巴主义的界限并不是绝对的,而是相对的,必须根据形势的变化来具体分析和把握。正像列宁指出的:“管理和政策的全部艺术在于,适时地估计并了解应该把主要的力量和注意力集中在什么地方“

第四节划分党和国家机关的职能

            一、党要善于领导就要党政分开

            政治作为一种科学和艺术,反映在无产阶级政党对国家生活的领导方面,有一个加强党的领导与改善党的领导的问题,即要“解决党如何善于领导的问题”。这就需要科学地确立党和其他各种政治组织特别是与国家政权机关的关系,提高政治领导的艺术。

            马克思主义认为,无产阶级政党是社会主义事业的领导核心,其使命是要领导工人阶级及其他一切组织,这是必须坚持的一条根本原则。但是党如何领导,如何与其他组织建立正确的关系,则要根据历史条件的变化而不断注意改进和完善。在无产阶级夺取政权之前和初期,主要的斗争形式是暴力革命和保护新生政权,党和其他各种组织的一切工作都必须服从革命斗争的需要,任务比较集中单一,局势变化迅速急骤,战争发展紧张激烈,从这样的客观情况和特点出发,党必须进行集中统一的领导。最早提出这一思想并付诸实践的是列宁。列宁处在帝国主义和无产阶级革命时代,他看到19世纪末叶的俄国经济派和民粹主义运动已经从实践上证明,通过“手工业的方式”不可能组成无产阶级的强大阵营;通过个别的激进分子冒险的、秘密的行动也只能是使旧政权变换几个头面人物,都不能最终达到无产阶级取得政权的目的。据此列宁提出了“新型的党”的建党思想,认为党要战胜敌人,必须改变党内的无组织、无纪律现像,形成一个拳头,组成一个坚强的战斗整体,“无产阶级在争取政权的斗争中,除了组织而外,没有别的武器”。正是在布尔什维克党的集中领导下,俄国才取得了十月革命的胜利。在革命胜利初期,年轻的苏维埃政权又面临极其严峻的考验,列宁又提出党的中央机关“必须拥有广泛的权力”。“成为一个有权威的机构”。由此苏维埃俄国又战胜了外国武装干涉,粉碎了邓尼金等的进攻。

            在中国,由于新民主主义革命过程中就已经建立了革命的政权组织,因此中国共产党相对较早地注意到了党政关系问题。毛泽东在1940年谈到关于政权组织的政策时指出:“必须坚决地执行‘三三制’,共产党员在政权机关中只占三分之一,吸引广大的非党人员参加政权”,“切忌我党包办一切”。但由于当时革命战争的需要,实际上形成了党的一元化领导制度,由地方党委统一指挥当地政府和各种团体的工作。这种党的一元化领导模式总体上是符合当时斗争的特点的,也起到了积极的作用。

            但是,这种革命战争时期的党的高度集中统一的领导方式一直延续了下来,以致在后来社会主义建设时期形成党政不分,以党代政的局面。这种局面由于与建设时期的情况和特点不能很好相适应,暴露出越来越多的弊端。早在1918年3月,苏维埃俄国与德国签订《布列斯特和约》以后,赢得了调整国民经济、加强国家管理、组织军事力量的时机,这时列宁就已发现由于党政不分,俄国共产党人由于执行了摆在苏维埃政权面前的“国家管理任务”,“常常被迫过分注意管理中的琐事”,并最初提出无产阶级专政必须“通过苏维埃政权”来实现这一党政分开的思想。1919年召开的俄共(布)八大,根据列宁的提议,专门作出了《关于组织问题》的决议,明确规定了党政关系的两条基本原则,即领导原则和党政分开原则。决议提出:“共产党给自己提出的任务,在劳动者的一切组织(工会、合作社、农业公社等)起决定性的影响和掌握全部领导。共产党特别力争在当前的国家组织——苏维埃中实现自己的纲领和自己的全部统治。”这就是领导原则。决议又指出:“无论如何不应当把党组织的职能和国家机关即苏维埃的职能混淆起来。···党应当通过苏维埃机关在苏维埃宪法的范围内来贯彻自己的决定。党努力领导苏维埃的工作,但不是代替苏维埃。”这就是党政分开原则。然而,要切实做到党政分开,改变党在长期革命斗争中所形成的一贯的领导方式,是十分艰巨和复杂的。直到列宁晚年,党政不分、以党代政的情况仍十分严重,而且弊端愈加明显。1922年列宁在俄共(布)中央委员会作政治报告,他说:“我应当谈谈我们苏维埃高级机关以及党同它们的关系这一问题的实际方面。在我们党同苏维埃机关之间形成了一种不正确的关系,这一点是我们一致承认的。我方才举的一个例子,说明有些具体的小事情都搬到政治局去解决了。···一切问题都从人民委员会搬到政治局来了。这里我的过错也很大,因为人民委员会和政治局,很多都是通过我个人来联系的。一旦我离开工作,两个轮子立刻都转不动了。”

            在中国,革命战争年代所形成的党的一元化领导模式在新中国建立后不仅未得到应有的改变,甚至朝着更加集权的方面发展。特别是在1953年和1958年的反分散主义斗争中,提出“大权独揽,小权分散。党委决定,各方去办”的口号,并把它作为党的重要领导原则广泛地加以宣传和实行,把政府各部门和群众团体独立行使应有的职权,也当作分散主义、闹独立性加以批判,加剧了以党代政、党包揽一切工作和权力过分集中的状况。邓小平对这种情况提出了尖锐的批评,指出“我们的各级领导机关,都管了很多不该管、管不好、管不了的事”,并进一步分析说:“权力过分集中的现像,就是在加强党的一元化领导的口号下,不适当地、不加分析地把一切权力集中于党委,党委的权力又往往集中于几个书记,特别是集中于第一书记,什么事都要第一书记挂帅、拍板。党的一元化领导,往往因此而变成了个人领导。”这就是造成官僚主义现像的一个“总病根”。邓小平还提出要通过政治体制改革“解决党和政府的关系问题”。“党要善于领导,党政需要分开”。

            可见,无产阶级政党在建立和巩固政权以后,党政关系就成为一个突出的问题。党在革命年代的领导方式沿袭到政权建立后,必然造成党政不分,以党代政,从而产生种种弊端,最终实际上不是加强党的领导,而是削弱党的领导。因此,在社会主义的和平建设时期,应当理顺党和国家机关的关系,实行党政分开

二、明确划分党和国家政权的职能

            正确处理党和国家政权机关的关系,改变党政不分、以党代政的状况,关键是要科学地、明确地划分党和国家机关的职能。列宁指出:“必须十分明确划分党(及其中央)和苏维埃政权的职权···党的任务是对所有国家机关进行总的领导,而不是像目前那样进行过分频繁的、不正常的、往往是对细节的干涉。”

            马克思主义认为,政党和国家机关都是建立在一定的经济基础之上并为之服务的上层建筑。在社会主义社会里,党和国家机关都是无产阶级专政的工具,是为人民服务的“社会公仆”;总的目标都是建设社会主义和实现共产主义;根本任务都是要发展社会生产力,建设高度的社会主义物质文明和精神文明。因此,从总体上说,它们是不应该也不可能绝对割裂的。然面,“党是政权的核心,但它和国家政权不是而且不能是一个东西。”从理论上讲,政党和国家政权的性质、组织形式和工作方式都不同,这是对党和国家政权机关的职能进行科学划分的条件和依据。

            无产阶级政党是无产阶级的先锋队,是“无产阶级联合的最高形式”。因此它能代表本阶级及广大劳动人民的最高利益去实行对国家生活的总的领导,这是其他任何组织所不能替代的。但党毕竟是“一个自觉的阶级政党”,不是社会的公共权威,这与国家政权不同。从形式上说,国家是“整个社会的正式代表,是社会在一个有形的组织中的集中表现”,虽然这并不能掩盖其阶级内容。所以国家与政党不同,它可以对整个社会进行直接的干预和管理,正像列宁所说:“国家就是从人类社会中分化出来的管理机构”,它“专门从事管理”。而政党作为一个阶级的组织,它只能对国家进行总的领导,而不是直接管理国家事务,也不能执行行政职能,因为“行政是国家的组织活动”。毛泽东早在领导井冈山革命根据地时,就对党由于许多事情图省便而“直接做了,把政权机关搁置一边”的现像提出过批评,并指出“以后党要执行领导政府的任务;党的主张办法,除宣传外,执行的时候必须通过政府的组织”。邓小平后来也提出:“党委不要设经济管理部门,那些部门的工作应该由政府去管”,“党要管党内纪律的问题,法律范围的问题应该由国家和政府管”,他还谆谆告诫:“党要善于领导,不能干预太多”

            由此可见,党和国家政权机关的职能是不同的。国家机关不仅有政治职能,还有社会管理和行政管理的职能,要管理国家事务,管理经济、文化和社会生活。政党则是对国家进行总的领导,这个总的领导,不是直接管理国家事务和进行具体的行政干预,而是实行政治领导,包括确定路线、方针、政策和对政府进行领导。这就是马克思主义政治学关于划分党和国家机关职能的一般原理

            划分党和国家机关的职能,实行党政分开,其目的是为了改善党的领导和加强党的领导,正像邓小平所指出的:“改革党和国家的领导制度,不是要削弱党的领导,涣散党的纪律,而正是为了坚持和加强党的领导”。所谓加强党的领导,并不是党管的事越多越细,党的领导就越得到加强。实际上,党陷入日常行政事务,直接包揽被领导者的事情,不仅无法集中精力研究大政方针,而且也不可能把事情办好,反而把自己降到了被领导的地位,正像列宁批评当时一些党的领导干部那样,“到处发号施令,结果完全事与愿违”,“他们以为自己在领导,其实是被领导”。可见,党政不分,以党代政实际上降低了党的领导地位,削弱了党的领导作用。

            相反,科学划分党和国家机关的职能,实行党政分开,则可以起到调动政府工作积极性、提高工作效率的作用。列宁早就提出要划分党和苏维埃政权的职权,“提高苏维埃工作人员和苏维埃机关的责任心和主动性。”邓小平指出工作效率不高“更主要的是涉及党政不分,在很多事情上党代替了政府工作,党和政府很多机构重复”。实行党政分开,党不再卷人行政事务,让政府在自己的职权范围内独立开展工作,则可以提高工作效率,克服官僚主义。而政府工作搞好了,党的领导才能真正得到加强,正如邓小平所阐述的:“政府工作当然是在党的政治领导下进行的,政府工作加强了,党的领导也加强了。”

            划分党和国家政权的职能,实行党政分开,还可以使党集中精力搞好党自身的工作和党的建设。党的政治领导要靠共产党员的先锋模范作用和党的思想政治工作来实现。邓小平指出:“改善党的领导,其中最主要的,就是加强思想政治工作···各级党组织应该把大量日常行政工作、业务工作,尽可能交给政府、业务部门承担,党的领导机关除了掌握方针政策和决定重要干部的使用以外,要腾出主要的时间和精力来做思想政治工作,做人的工作,做群众工作···否则党的领导既不可能改善,也不可能加强。”总之,只有科学划分无产阶级政党同国家政权机关的职能,才能提高党的领导艺术,真正地改善和加强党的领导

第五节政策和策略是党和政府的生命

            一、坚持原则性和灵活性的统一

            列宁在《卡尔·马克思》中写道:“马克思在1844—1845年就阐明了旧唯物主义的一个基本缺点在于不能了解革命实际活动的条件和评价革命实际活动的意义,他毕生除了从事理论写作外,还毫不松懈地注意着无产阶级阶级斗争的策略问题。···马克思公正地认为唯物主义缺少这一方面就是不彻底的、片面的和毫无生气的唯物主义。”对于无产阶级政党及其领导的政府而言,具有一整套科学的政策和策略原理并在实际工作中加以正确运用,是极为重要的。毛泽东指出:“政策是革命政党一切实际行动的出发点,并且表现于行动的过程和归宿”。“无产阶级要取得胜利,就完全要靠他的政党——共产党的斗争策略的正确和坚决”。“政策和策略是党的生命”。无产阶级的政策和策略水平,是党和政府政治艺术和领导艺术的集中体现。

            马克思主义政策和策略原理的精髓,就是原则性和灵活性的有机结合,“原则性和灵活性的统一,是马克思列宁主义的原则,这是一种对立面的统一”。列宁说,原则的政策是惟一正确的政策。所谓原则的政策,就是无产阶级及其政党在某一整个阶段内提出的革命或建设的总路线和总任务,这种政策具有战略意义,是坚定的和严肃的,不能随意变动。另一方面,也正如列宁所指出的那样,随着客观形势的急速变化,在每一时期“我们应当善于根据当时形势的特点提出自己的策略和当前的任务”,“必须使自己的策略具有最大的灵活性”。因此,原则性和灵活性的统一意味着,在原则的政策上,必须是坚定的,而在策略上,则可以是灵活的,亦即原则的坚定性和策略的灵活性的统一。

            原则的坚定性,就是要求无产阶级政党在制定政策和进行革命斗争时,必须以辩证唯物主义为指导,维护最广大人民的最根本利益,坚持革命的战略目标,绝不能为了眼前利益而牺牲长远利益,丧失革命原则,放弃战略目标;策略的灵活性,就是要求无产阶级政党在坚持革命原则的前提下,根据客观形势的变化,敌我力量的对比,针对敌人的手段和方法,机动灵活地运用和变换各种斗争形式和手段,正像恩格斯所说的:“我们在行动时,用我们的老朋友耶稣基督的话来说,要像鸽子一样驯良,像蛇一样灵巧。”毛泽东在《论持久战》中做过这样的解释:古人所谓“运用之妙,存乎一心”,这个“妙”,我们叫做灵活性。灵活,是聪明的指挥员,基于客观情况,“审时度势”(这个势,包括敌势、我势、地势等项)而采取及时的和恰当的处置方法的一种才能。毛泽东还曾指出:“我们的原则性必须是坚定的,我们也要有为了实现原则性的一切许可的和必需的灵活性。”列宁也曾说过:“应当把对共产主义思想的无限忠诚同善于在实践中进行一切必要的妥协、机动、通融、迁回、退却等等的才干结合起来。”他还对考茨基、鲍威尔以及第二国际的领袖在实践中的僵化错误提出了批评:“他们只是‘死盯着”工人运动和社会主义发展的某一形式,而忘记了这个形式的片面性,他们害怕看到由于客观条件的改变而必然发生的急剧变化,而继续重复那种简单的、背熟了的、初看起来是不容争辩的真理:三大于二。然而政治与其说像算术,不如说像代数,与其说像初等数学,不如说像高等数学。实际上,社会主义运动的一切旧形式都已充满了新内容,因此在数字面前,出现了一个新符号即‘负号’,可是我们的聪明角色过去一直(现在还在)固执地向自己和别人担保说,负三’大于‘负二’”列宁的上述批评正像恩格斯曾经指出的那样:“许多人为了图省事,为了不费脑筋,想永久地采用一种只适宜于某一个时期的策略。其实,我们的策略不是凭空臆造的,而是根据经常变化的条件制定的。“原则性和灵活性的统一是马克思主义政策和策略原理的根本法则,贯穿于马克思列宁主义和毛泽东思想的战略策略理论之中,正如列宁所说:“马克思主义的策略,就在于把各种不同的斗争方法结合起来,巧妙地从一个方法过渡到另一个方法。”

二、在当前的运动中代表运动的未来

            马克思主义政策和策略原理的一个基本内容,就是把最近目标与长远目标、眼前利益与根本利益有机统一起来。《共产党宣言》中有一句名言:“共产党人为工人阶级的最近的目的和利益而斗争,但是他们在当前的运动中同时代表运动的未来”。恩格斯后来说:“自从1848年以来,时常为社会主义者带来极大成就的策略就是‘共产主义宣言’的策略。在无产阶级和资产阶级斗争所经历的各个发展阶段上,社会主义者始终代表整个运动的利益,他们为工人阶级的最近目的和利益斗争,但是他们在当前的运动中同时代表运动的未来。因此他们积极参加斗争的每个发展阶段,而且一时一刻也不忘记,这些阶段只不过是导致主要的伟大目标的阶梯。这个目的就是:由无产阶级夺取政权作为改造社会的手段。他们的位置是在为每一个有利于工人阶级的直接成就而斗争的战士的行列中;但是所有这些政治的或经济的成就,他们只是当做‘分期偿付的债款’来接受。因此他们把每一个革命的或者进步的运动看做是他们自己道路上前进的一步··

            马克思主义的这一政策和策略原理包含着两层重要思想:是无产阶级政党在为远大目标而奋斗时,必须高度重视和积极参加当前一切有利于无产阶级的革命斗争,“凡是党的现有力量能够采取并且在现有条件下能够使我们得到最大成绩的一切斗争手段,党都是承认的”。二是无产阶级政党在参加当前斗争时,决不能忘记革命的远大目标,“决不可只看到眼前的片面的福利而忘记了工人阶级的远大利益”。如果不参加当前的斗争,实现远大目标就是一句空话;反之,放弃远大目标,当前的斗争就会迷失方向。这两层思想集中到一点,就是无产阶级政党既要胸怀革命大目标,又要脚踏实地搞好当前的工作和斗争,把当前的任务和远大目标结合起来。正如毛泽东所说:“现在的努力是朝着将来的大目标的,失掉这个大目标,就不是共产党员了。然而放松今日的努力,也就不是共产党员。”这一政策和策略原理不仅对无产阶级政党适用,对社会主义的人民政府也同样适用。“在当前的运动中同时代表运动的未来”,体现了政治战略与政治策略的辩证统一关系,列宁认为,这是马克思主义所提出的“关于政治斗争策略”的一个基本原理。

三、以革命的两手反对反革命的两手

            辨明政治目的和政治手段的相互关系,认识革命斗争的内容和形式的区别与联系,是马克思主义政策和策略原理的另一个基本要求。列宁指出:“每个马克思主义者对于考察斗争形式问题,应当提出些什么基本要求呢?第一,马克思主义同一切原始形式的社会主义不同,它不把运动限于某一种斗争形式。它承认各种各样的斗争形式,并且不是‘凭空想出’这些形式,只是对运动进程中自然发生的革命阶级的斗争形式加以综合、组织,并使其带有自觉性。···因此,马克思主义决不拒绝任何一种斗争形式”。“第二,马克思主义要求我们一定要用历史的态度来考察斗争形式问题。···在经济进化的各个不同时期,由于政治、民族文化、风俗习惯等等条件各不相同,也就不免有各种不同的斗争形式提到第一位,成为主要的斗争形式,而各种次要的附带的斗争形式,也就随之发生变化。”“右倾学理主义固执地只承认旧形式,而忽视新内容,结果彻底破产了。左倾学理主义则固执地绝对否定某些旧形式,看不见新内容正在通过各种各样的形式为自己开辟道路,不知道我们共产党人的责任,就是要掌握一切形式,学会以最快的速度,用一种形式去补充另一种形式,用一种形式去代替另一种形式,使我们的策略适应不是由于我们的阶级或我们的努力所引起的任何形式的变更。”

            无产阶级政党要实现自己的政治目的和任务,必须针对客观形势的变化和敌对力量对付革命的种种伎俩,灵活制定自己的政策和策略,运用各种各样的斗争形式和手段。正如恩格斯所说:“对于作为革命者的我来说,一切可以达到目的的手段都是有用的,不论是最强制的,或者是看起来最温和的”。“对每一个国家来说,能最快、最有把握地实现目标的策略,就是最好的策略”。当然,手段服从于目的,形式服从于内容,二者的关系必须弄清。马克思曾生动地指出:“在政治上为了一定的目的,甚至可以同魔鬼结成联盟,只是必须肯定,是你领着魔鬼走而不是魔鬼领着你走。”

            上述原理运用到实际斗争中,就要在对敌斗争中针锋相对,以革命的两手反对反革命的两手。反动势力为达到消灭革命力量和维持自己统治的目的,会不断变换对待革命力量的策略。列宁指出:“所有一切压迫阶级,为了维持自己的统治,都需要有两种社会职能:一种是刽子手的职能,另一种是牧师的职能。”这就是说反动势力具有武力镇压和政治欺骗的反革命两手。对此,无产阶级必须针锋相对,以革命的两手反对反革命的两手,正像列宁所比喻的:“和狼在一起,就要学狼叫。”毛泽东在领导中国革命的斗争中,对待敌人都是针锋相对,机动灵活,文来文去,武来武去,以眼还眼,以牙还牙,以打对打,以谈对谈,以谈掩护打,以打支持谈,创造性地发展了马克思主义政策和策略手段的具体形式,如政治斗争的有理、有利、有节原则,军事上的胜利原则、自卫原则、休战原则,留有余地,适可而止,不斗则已,斗则必胜。

            在对敌斗争中,无产阶级政党不仅要善于组织进攻,而且要善于组织迁回和退却,作出暂时的妥协和让步。左倾机会主义者一概反对任何妥协,对此列宁曾批判说:“当应战显然对敌人有利而对自己不利的时候,却去应战,那就是犯罪;革命阶级的政治家不善于实行‘机动、通融、妥协’,以避免显然不利的战役,那就是毫无用处的人。”列宁还区分了两种性质的妥协:一种是“为客观条件所迫而作的妥协,这种妥协丝毫不会使实行这种妥协的工人削弱对革命的忠诚和继续斗争的决心”;另一种是“叛徒的妥协,他们把一切推到客观原因上,而实际上却是贪图私利,怯懦畏缩”。马克思主义所主张的妥协,当然是革命的妥协,而决不是叛徒的妥协。革命的妥协,就是为了革命的根本目的,在不违背人民根本利益的条件下,对于敌人作一些必要的让步,为的是准备未来的进攻,更好地打击敌人。

四、战略上藐视敌人,战术上重视敌人

            马克思主义的政策和策略原理不仅要求把原则性与灵活性当前利益与长远利益,目的与手段有机地统一起来,而且也要求把政治浪漫主义和政治现实主义有机地统一起来,正确处理战略和战术问题

            无产阶级政党要想有效地打击敌人,夺取革命的胜利,就必须正确地估计革命力量和反动力量,并在此基础上确立自己的战略和策略思想。早在一百多年前,资本主义还处在上升时期,马克思和恩格斯就以大无畏的革命精神向全世界宣布:资产阶级的灭亡和无产阶级的胜利是同样不可避免的,并呐喊:“让统治阶级在共产主义革命面前发抖吧。无产阶级在这个革命中失去的只是锁链。他们获得的将是整个世界。”与此同时,马克思、恩格斯又谆谆告诫无产阶级,共产主义事业是极其艰巨复杂的伟大事业,它不是轻而易举地和在短时间内可以实现的,必须讲究斗争艺术。处在帝国主义和无产阶级革命时代的列宁,把当时称霸世界的英,法、美帝国主义比作“泥足巨人”和“稻草人”,同时又强调指出,帝国主义是垂死的但还没有死亡的资本主义。因此列宁认为在伟大的革命斗争中,应当把最大的热情和最冷静最清醒的估计结合起来。毛泽东在中国革命和反对国际帝国主义的长期斗争中,继承和发扬了马克思主义的浪漫主义和现实主义的精神,创造性地提出并论证了“在战略上要藐视敌人,在战术上要重视敌人”的战略战术思想的完整概念。

            毛泽东说:“为了同敌人作斗争,我们在一个长时间内形成了一个概念,就是说,在战略上我们要视一切敌人,在战术上要重视一切敌人”。“从本质上看,从长期上看,从战略上看,必须如实地把帝国主义和一切反动派,都看成纸老虎。从这点上,建立我们的战略思想。另一方面,它们又是活的铁的真的老虎,它们会吃人的。从这点上看,建立我们的策略思想和战术思想。”所谓战略上藐视敌人,就是从全面上、长期上看,一切反动势力都是注定要灭亡的,这是由人类社会发展的客观规律决定的,因此革命者要“以一当十”,敢于斗争,敢于胜利;所谓战术上重视敌人,就是从局部上、短期上看,反动势力还不会马上退出历史舞台,还会“吃人”,因此革命者又要采取谨慎态度,讲究斗争艺术,“以十当一”,善于斗争,善于胜利。

            在战略上藐视敌人和在战术上重视敌人,两者是对立的统一是密切结合、相互依存的。如果把两者割裂开来,片面注重某一方面,就要犯极大的错误,正如毛泽东所讲的:“如果我们在全体上过高估计敌人力量,因而不敢推翻他们,不敢胜利,我们就要犯右倾机会主义错误。如果我们在每一个局部上,在每一个具体问题上,不采取谨慎态度,不讲究斗争艺术,不集中全力作战,不注意争取一切应当争取的同盟者···我们就要犯‘左’倾机会主义错误。”总之,战略上藐视和战术上重视,是革命浪漫主义和革命现实主义相统一的政治艺术的体现,它不仅适用于革命斗争,而且对于无产阶级政党和政府在和平建设时期所面临的各种任务和困难,同样也是适用的。

五、团结一切可以团结的力量

            马克思主义政策和策略原理的又一个基本内容,是无产阶级政党在革命斗争中要正确布置革命力量,分化反动力量,团结一切可以团结的力量,结成最广泛的统一战线,孤立和打击最主要的敌人。这主要包括以下两方面的政策和策略:

            第一,要建立广泛的革命统一战线。马克思和恩格斯早就注意到了无产阶级解放运动中的自身团结统一和同盟军的问题,这也是统一战线的根本问题。在《共产党宣言》中,他们就提出共产党要“支持一切反对现存的社会制度和政治制度的革命运动”的观点,要“努力争取全世界的民主政党之间的团结和协议”的观点等。马克思和恩格斯还明确提出了有关工农联盟的思想,认为在一切农民占人口多数的国家中,农民是无产阶级最可靠的同盟者,共产党人首先要争取农民的支持;如果没有农民的“合唱”无产阶级革命就会变成“孤鸿哀鸣”。列宁1922年在《我们付出的代价太大了》一文中,明确使用了“统一战线”这个概念,并精辟地论述了工人阶级内部的统一战线问题,指出为了帮助工人群众了解世界经济和政治方面的两条战线的“妙诀”,“我们采取了统一战线的策略,并且要把这种策略贯彻到底”。毛泽东在中国革命的早期活动中就提出了实行民众大联合,打败反动派的口号,后来他不断发展统一战线的理论,使之成为毛泽东最重要的政策和策略思想之一。他把统一战线、武装斗争,党的建设看作是中国共产党在中国革命中战胜敌人的“三个法宝”。在中国革命胜利前夕,毛泽东在总结中国革命的经验时说:由中国共产党领导的“各革命阶级各革命派别的统一战线”是战胜敌人的主要武器之一,并指出,“中国人民已经取得的主要的和基本的经验,就是这两件事:(一)在国内,唤起民众。这就是团结工人阶级、农民阶级、城市小资产阶级和民族资产阶级,在工人阶级领导之下,结成国内的统一战线···(二)在国外,联合世界上以平等待我的民族和各国人民”,“结成国际的统一战线”

            马克思主义的统一战线的政策和策略包括以下几方面的主要内容:一要分清敌我,弄清谁是革命的朋友,谁是革命的敌人,这需要具体问题具体分析,“采取发展进步势力、争取中间势力、反对顽固势力的策略”;二是弄清领导和被领导、先锋队和同盟军的界限,坚持无产阶级及其政党在统一战线中的领导地位;三是在统一战线中区分与劳动人民的同盟和与非劳动人民的同盟,以工农联盟为基础;对待资产阶级要又联合又斗争,“综合联合和斗争两方面的政策”

            第二,要利用矛盾,争取多数,反对少数,各个击破。关于利用矛盾,争取同盟军,最大限度地孤立和打击最主要的敌人的思想,马克思和恩格斯早在《共产党宣言》中就已提出。他们认为,共产党人应当根据不同国家的情况,有效地利用资产阶级同封建势力以及资产阶级各派别之间的矛盾,反对共同的敌人。在考察封建专制的德国革命时,认为共产党可以同资产阶级“一起去反对君主专制”的反动性。列宁则特别注意到利用矛盾分化瓦解敌人的政治策略,他在一篇著名的论文中写道:“要战胜更强大的敌人,只有尽最大的力量,同时必须极仔细、极留心、极谨慎、极巧妙地一方面利用敌人之间的一切‘裂痕’,哪怕是最小的‘裂痕’,利用各国资产阶级之间以及各个国家内资产阶级各集团或各派别之间的一切利益对立,另一方面要利用一切机会,哪怕是极小的机会,来获得大量的同盟者,尽管这些同盟者是暂时的、动摇的、不稳定的、靠不住的、有条件的。谁不懂得这一点,谁就是丝毫不懂得马克思主义”,并指出:“以上所说的一切,对于无产阶级夺取政权以前和以后的时期,都是一样适用的”。毛泽东发展了马克思、列宁的上述思想,把它概括为“利用矛盾,争取多数,反对少数,各个击破”的十六字策略方针。

            利用矛盾,主要是利用敌人之间的矛盾,正如毛泽东所说:敌人内部的大狗小狗饱狗饿狗之间的一点有趣的争斗,一个不大不小的缺口,一种又痒又痛的矛盾,“对于革命的人民却是有用的。我们要把敌人营垒中间的一切争斗、缺口、矛盾,统统收集起来,作为反对当前主要敌人之用。”争取多数,即争取和团结群众,同时也要利用敌人内部的矛盾,以争取和利用多数暂时不是最主要敌人的顽固势力。反对少数,即分化和瓦解敌人,反对极少数最主要的敌人。毛泽东指出,敌人能够用纵横捭阖的手段来对付革命队伍,“共产党也能够用纵横捭阖的手段对付反革命队伍。他们能够拉了我们队伍中的坏分子跑出去,我们当然也能够拉了他们队伍中的“坏分子’(对于我们是好分子)跑过来。假如我们能够从他们队伍中多拉一些人出来,那敌人的队伍就减少了,我们的队伍就扩大了。”各个击破,即逐步消灭敌人,就是要集中优势兵力,各个歼灭敌人。“打仗只能一仗一仗地打,敌人只能一部分一部分地消灭···军事书上叫做各个击破。”

六、正确处理两类不同性质的矛盾

            正确处理社会主义社会内部的矛盾问题,是无产阶级政党和政权机关的一项基本政策。列宁曾经洞察到社会主义社会仍然存在矛盾。1920年列宁写了《对布哈林(过渡时期的经济》一书的评论》,针对布哈林把社会分裂为两个基本阶级的阶级对抗并且到处都有它的表现的观点,列宁指出“对抗和矛盾断然不同。在社会主义下,对抗消灭了,矛盾存在着”。列宁还敏锐地注意到,社会主义国家政治生活的主要内容将发生变化,认为不能再单从阶级斗争的“旧观点”解释政治,“政治应该是人民的事”。毛泽东用对立统一规律观察社会主义社会,第一次明确提出必须正确区分和处理两类不同性质的社会矛盾,把正确处理人民内部矛盾作为国家政治生活的主题。毛泽东指出:“在我们的面前有两类社会矛盾,这就是敌我之间的矛盾和人民内部的矛盾。这是性质完全不同的两类矛盾”。他还明确指出革命时期的大规模的急风暴雨式的群众阶级斗争已基本结束,“还有反革命,但是不多了”。因此他把正确处理人民内部矛盾的问题作为一个“总题目”,作为国家政治生活的主要方面。

            关于如何区分两类不同性质的矛盾,毛泽东认为首先要弄清什么是人民,什么是敌人,他说:“在现阶段,在建设社会主义的时期,一切赞成、拥护和参加社会主义建设事业的阶级、阶层和社会集团,都属于人民的范围;一切反抗社会主义革命和敌视、破坏社会主义建设的社会势力和社会集团,都是人民的敌人。”敌我之间的矛盾是对抗性的矛盾,而人民内部矛盾则是在人民利益根本一致基础上的矛盾,这两类矛盾在一定条件下可以互相转化。

            敌我矛盾和人民内部矛盾的性质不同,解决的方法也不同。对于敌我矛盾,要用专政的方法解决,即“在必要的时期内,不让他们参与政治活动,强迫他们服从人民政府的法律,强迫他们从事劳动并在劳动中改造他们成为新人”。对于人民内部矛盾,则要用民主的方法解决,即讨论的方法,批评的方法,说服教育的方法,而不是强制的、压服的方法。毛泽东指出:“什么叫正确解决人民内部矛盾?就是实事求是,群众路线。归根到底就是群众路线四个字。”毛泽东还指出解决人民内部矛盾的方针是“统筹兼顾,适当安排”

            要正确处理人民内部矛盾,除了要用民主的方法,采取“群众路线”和“统筹兼顾”的根本方针,还要在政治上实行“团结——批评——团结”的政策,在共产党和民主党派的关系上实行“长期共存,互相监督”的政策,在科学文化工作中实行“百花齐放、百家争鸣”的政策,在经济工作中实行兼顾国家、集体、个人三者利益的政策等。

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1993 – 2016: (9) : Political Party Divisions Are Based on Class Divisions : Chapter Nine of “The Logic of Politics” 王沪宁等著《政治的逻辑》

Now I am about halfway through this translation-exploration of the Chinese Marxist textbook (catechism?) “The Logic of Politics: Principles of Marxist Political Science” 王沪宁等著《政治的逻辑》put together 30 years ago by a group of Shanghai-area Chinese political scientists led by Wang Huning, then a professor at Fudan University, now #4 on the Standing Committee of the Chinese Communist Party Politburo.

“The Logic of Politics: Principles of Marxist Political Science”  王沪宁等著《政治的逻辑》

This political science text has only very few citations to the citations to the original quotations from the Marxist classic authors (Marx, Engels, Lenin, Stalin and Mao Zedong). I am used to seeing academic works with lots of citations in them; their absence makes me wonder what it going on, and wonder about the function of an academic work not filled with citations. Piles of citations are a convenience for readers enabling them to check the integrity of the philosophical tower the author is building. ‘Just trust me’ does seem consonant with being a leader under democratic centralism though. Perhaps I am too cynical.

Selection comes into play as leaders justify their current positions. See Translation and Selective Emphasis According to Ideological Preferences via ChatGPT5 — an intriguing query to ChatGPT5 — Translation and Pedagogy of Lenin’s What is to be Done? as an example.

The vast multilingual Marxist corpus at the Marxists Internet Archive in many languages and the remarkable search capabilities of ChatGPT have made this translation and citation-insertion effort practicable. The quality of the ChatGPT translations is remarkable; I have only had to tweak them a slight bit in places.

As a US diplomat in China, I subscribed to (your US federal tax dollars at work!) the Party ideological journal Seeking Truth 求是. I have wondered how much the Marxist classics guide the Communist Party of China (established with the help of the Communist International under the leadership of the Soviet Party in Moscow) today. Are the Marxist classice texts a guide to groping the way to the future in the light of the present principal contradiction or a convenient rationale, to be mined to support the current leadership? A rationale would also bolster the legitimacy of the Chinese Communist Party as it claims to have a scientific method that makes it the best choice to leading the Chinese people forward towards the glorious renaissance of the Chinese (multi-ethnically Chinese not just Han — zhonghua 中华民族) nation.

I always assume that what they say, what they dredge up/select from the sages of bygone eras and what they stop saying matter. Albeit not always in the way the Party would have foreigners interpret it. See for example In Various Wiki Languages: China’s Final Warning. What is said for the foreigners is often different from what is said for domestic consumption neiwai youbie 内外有别 — sometimes it even seems that the Chinese language is a level of security classification. See 2021: Propagandizing Foreigners to Reach China’s Domestic Audience: Why PRC External Propaganda is Often Ineffective.

From my translation work here, I can say that the texts used in this Marxist textbook are scrupulously based on the originals. That is, in comparison to the English translations — I am innocent of both German and Russian language skills although Marx and Engels were kind enough to write in English sometimes. I assume that both the Chinese and English translation would not have been massaged in the same direction. Or am I insufficiently paranoid?

Marxist seems to have lost its shine in academia these days — Joseph Heath’s 2024 Substack post Key stages in the decline of academic Marxism lays it out. Marxism though remains the guiding ideology/quasi-religion of the rulers of China. They claim a scientific method for their political science. Makes me think of Oliver Cromwell, who, when he took time out from slaughtering my Irish ancestors, said some interesting things:

… I am persuaded that divers of you, who lead the People, have laboured to build yourselves in these things; wherein you have censured others, and established yourselves “upon the Word of God.” Is it therefore infallibly agreeable to the Word of God, all that you say? I beseech you, in the bowels of Christ, think it possible you may be mistaken. Precept may be upon precept, line may be upon line, and yet the Word of the Lord may be to some a Word of Judgment; that they may fall backward and be broken, and be snared and be taken! There may be a spiritual fulness, which the World may call drunkenness; as in the second Chapter of the Acts….

Oliver Cromwell, Letter To the General Assembly of the Kirk of Scotland; or, in case of their not sitting, To the Commissioners of the Kirk of Scotland, Musselburgh, 3d August, 1650

The Chinese Communist Party abolished the social sciences during its first three decades under Mao only to have them make a comeback after the Reform and Opening policy started. D.W.Y. Kwok’s 1965 book Scientism in Chinese thought, 1900-1950 is available on the Internet Archive.

Image from the website of author Daniel Kwok

The Logic of Politics: Principles of Marxist Political Science translated in full with citations to sources and context to sources added:

Chinese text of Chapter Nine follows the English translation.


Chapter Nine: Political Party Divisions Are Based on Class Divisions

Marxist Party Theory, an important constituent part of the theoretical system of Marxist political science, occupies a particularly significant position in the historical development of Marxist political theory. Marxist Party Theory is a body of theory established on the basis of practical experience in which the Party leads the proletariat and the broad masses of the people in class struggle, socialist construction, and the Party’s own organizational development. In a single sentence, it may be summarized as a discipline that studies party building and party governance.

The classical Marxist writers—from Marx and Engels to Lenin, Stalin, and Mao Zedong—devoted great attention to the question of political parties, especially to the problem of the proletarian party. They discussed it often. They left behind extremely rich theories and extensive research materials for the study of Marxist Party Theory. Augmented by the experience of political practice of socialist countries, this theory has been further enriched and expanded.


Section One
Political Parties Are the Most Organized Expression of Class Struggle

I. Political Parties Are Organizations of Class

As a social and political phenomenon, political parties have existed for several hundred years. Bourgeois scholars have offered a wide variety of commentaries on political parties as a social phenomenon, producing a vast array of viewpoints concerning their nature. Although these views differ from one another, they are almost identical in one respect: when discussing the nature of political parties, bourgeois scholars focus only on their external characteristics while avoiding the class essence of political parties.

Marxist political science demonstrates its distinctiveness in just this respect. Marxism holds that political parties are organizations of class and are products of the development of class struggle to a certain historical stage. The primary task of a political party is to organize the members of its own class to carry out class struggle.

First, a political party is an organization of a class. Lenin wrote:

“In a society divided into classes, the struggle between hostile classes (once it has developed to a certain stage) must inevitably become political struggle. The strictest, most complete, and most obvious manifestation of each class’s political struggle is the struggle of the parties.”

[V. I. Lenin, “The Socialist Party and Non-Party Revolutionism“]

A name reveals not the essence. Whatever sign is on its billboard, in its substance a political party can only be an organization representing the interests of a class or of different factions within a class.

When discussing the bourgeois parties in the United States, Lenin pointed out:

“This strange and absurd misuse of terms in party names is not unique. For example, in the United States, yesterday’s slave-owners are called Democrats… To understand a party’s real role, one must not look at its label, but at its class nature and the historical conditions of each country.”

[V. I.   Lenin, “In Australia”]

In the late stage of the development of capitalism, as domestic class contradictions become more complex so too does the composition of political parties. We even see members of different classes joining the same party organization.

Despite thi Marxism still insists upon its view that a party is a class organization. For example, at the beginning of the 20th century, the British Labour Party was organized jointly with groups such as the Social Democratic League, the Fabian Society, and the Independent Labour Party. The vast majority of the Labour Party’s rank-and-file members were workers, but the leadership was in the hands of a minority of worker aristocrats. Regarding this, Lenin noted:

“Of course, most of the Labour Party’s members are workingmen. However, whether or not a party is really a political party of the workers does not depend solely upon a membership of workers but also upon the men that lead it, and the content of its actions and its political tactics. Only this latter determines whether we really have before us a political party of the proletariat. Regarded from this, the only correct point of view, the Labour Party is a thoroughly bourgeois party, because, although made up of workers, it is led by reactionaries, and the worst kind of reactionaries at that, who act quite in the spirit of the bourgeoisie. It is an organisation of the bourgeoisie, which exists to systematically dupe the workers with the aid of the British Noskes and Scheidemanns.””

[V. I. Lenin, Report On The International Situation And The Fundamental Tasks Of
The Communist International
— (6) Speech On Affiliation To The British Labour Party,]

From the above, it can be seen that a party’s class nature is reflected in three aspects: the party’s name and program, the members of the party’s organization, and the party’s leadership. But these three aspects are not of equal importance; they are divided into different levels. The most superficial level is the party’s name and program; the most essential level is leadership. Although in certain circumstances a party may, in terms of its name and program, and even in terms of its organizational members, evade class limits and display “non-class” characteristics, the leadership of the party is inevitably not sharable by different classes; it can only be in the hands of a single class. This exclusivity of leadership reflects the class nature of the party.

The Marxist view that a political party is a class organization can also be seen in the process of establishing a proletarian party. Unlike the bourgeoisie, parties founded under the guidance of Marxism openly declare their class character and consistently make this the purpose of building a proletarian party. In that process, some people sought to change this purpose and build the proletarian party into a party “that transcends class”. Classical Marxist writers waged a determined struggle against this.

For example, in the course of Marx and Engels’ involvement in founding the world’s first proletarian party organization, the Communist League, they upheld the proletarian nature of this organization. They criticized Hermann Kriege’s “Rhapsody of Love”, reversed the tendency of the League’s predecessor, the League of the Just, to blur its class standpoint. They changed its slogan “All men are brothers” to “Workers of all countries, unite!” The first article of the League’s statutes, which Engels was responsible for drafting, provided: the League’s purpose was “to overthrow the bourgeois rule and establish the dictatorship of the proletariat.” [Translator’s Note: See ChatGPT5 note for more detail.]

Similarly, in the revolutionary downturn after the Franco-Prussian War, within the German Social Democratic Party a so-called “Zurich trio” composed of Hirschberg, Bernstein, and Schramm emerged, advocating that the workers’ party should become “a universal party for all those who are genuinely benevolent.” Marx and Engels resolutely criticized this.

In September 1879 Marx and Engels wrote a Notification Letter to Bebel, Liebknecht, and Blaschke, pointing out that if the SPD were run according to “the trio’s” proposals it would become a messy hodgepodge and would lose its ability to fight for the workers. Engels said,

“But no democratic party in England, as well as elsewhere, will be effectively successful unless it has a distinct working-class character. Abandon that, and you have nothing but sects and shams.”

Articles by Engels in the Labour Standard 1881 — A Working Men’s Party

In the process of establishing the Russian proletarian party, Lenin also fought decisively against factions that tried to blur their party’s class nature. At that time Russia’s Labor Group wanted to found a party “that transcends class”. Its representative Vodovozov believed that a party “could perfectly serve the interests of three social classes”—the peasantry, the working class, and the labor intelligentsia.

Lenin held that such “belief” violated the entire truth of economic science, and attempts to construct a “non-class” party that united peasants and workers and treated the nonexistent so-called “labor intelligentsia” as a separate class would be extremely detrimental to the struggle for Russia’s freedom, because these attempts, apart from causing pessimism, loss of strength, and blurred understanding, would bring not get anywhere. Therefore, he asserted that no matter how much the bourgeoisie and petty bourgeoisie lied, they could not change the class nature of a proletarian party. The Russian Established and Socialist Democratic Labor Party should be the most advanced and most revolutionary proletarian party, the vanguard of the proletariat.

Besides the general characteristic that a political party inherently has class character, a party also possesses several general features. These general features include the following:

First, a political party must have a definite political programme. A political party generally specifies its political goals and fundamental purposes in programme documents such as its constitution and party platform. The political programme centrally reflects the fundamental interests and unified will of the class or stratum the party represents, and it embodies the nature of the party. Marx believed that if a party formulates a clear political programme, it erects before the entire world a benchmark by which people can judge the level of the party’s movement. Engels said too that, generally speaking, the formal programme of a political party is not as important as its actual actions, but a new programme is nonetheless a banner openly raised, and outsiders judge the party based on it.

Lenin also repeatedly emphasized that a party must have a political programme that reflects the nature, goals, and tasks of the party’s activity. Lenin said:

“If a political party has no programme, it cannot become a politically relatively complete organism capable of consistently upholding its own line through any turning period.”

V. I. Lenin, The Election Campaign and the Election Platform

Second, a political party must have strict and rigorous organization and discipline. In criticizing Bakunin and other anarchists’ anti-authority arguments, Marx and Engels pointed out that all social organizations (under the material conditions that make production and circulation of products possible) require centralization and authority. Of course, when a political party maintains centralization, unity, and authority, it does not implement coercion in the manner of state power organs, but rather implements strict and rigorous organizational discipline.

Third, a political party is usually led by a cadre of leaders with the greatest prestige, influence, and experience. Any political party must have such a relatively stable core leadership. Lenin believed:

“In modern society, without about ten or so geniuses (and geniuses are not produced by the thousands or hundreds), tested, specially trained and long educated, and coordinated with one another, no class can wage a persistent struggle.”

Vladimir Ilyich Lenin — What Is To Be Done? — Burning Questions of Our Movement

Fourth, a political party by nature is an organization that fights. A political party survives and develops within the surging currents of class struggle. Absent struggle, parties would not emerge. But the combative nature of parties of different classes has different characteristics. The combative nature of bourgeois parties is manifested in struggles for power and profit among parties and among factions within parties. The combative nature of proletarian parties is reflected in their incompatibility with old relations of production and old value concepts, and also in ideological struggles within the party.

Engels pointed out:

“It seems that any workers’ party in a great power can only develop through internal struggle; this conforms with the general law of dialectical development.”

Marx Engels Correspondence 1882 — Friedrich Engels to Eduard Bernstein
In Zurich

Mao Zedong, applying dialectical materialism, explained that the opposition and struggle of differing thoughts within the Party is the internal reflection of society’s class contradictions and the contradiction between the new and old. Without this struggle, the life of the Party would die.

2. Political Parties Are the Product of a Certain Stage of the Development of Class Struggle

A political party is an old historical phenomenon. In China during the Ming dynasty, there was what was called the “Donglin Party”; in Europe there were the so-called “Carbonari” and the “Sans-culottes.” But these groups were merely factions or cliques. Political parties in the modern sense only emerged after the bourgeois revolution secured victory. Why did this political organization — the party — arise? Bourgeois scholars offer various explanations. The more popular ones include the “institutional theory,” the “historical circumstances theory,” and the “development theory.”

  • The “institutional theory” holds that modern parties are the result of reforms of the modern parliamentary and electoral systems.
  • The “historical circumstances theory” argues that parties emerged because, in the process of transition from old to new systems and in national wars, disputes over legitimacy, territorial sovereignty, and questions of participation in governance generated political groupings; it was in these disputes that parties came into being.
  • The “development theory” holds that parties are a result of social modernization: due to developments in political economy and science and technology, relations between central and local authorities, between individuals and government, were strengthened, and this led to the emergence of parties.

The classical Marxist authors differed. They found the origin of modern political parties in class struggle: parties arise at a particular stage in the development of classes and class struggle, and the ultimate cause lies in the economic facts underlying class struggle. In his essay On the History of the Communist League, Engels, reviewing his earlier study of class struggle in England, stated:

“When I was in Manchester I observed with exceptional clarity that economic facts, which up to now have played little or no part in historical writings, are at least in the modern world a decisive historical force; these economic facts form the basis out of which modern class antagonisms arise; these class antagonisms — in states where they are fully developed by large-scale industry, especially in England — are the basis of the formation of political parties, the basis of party struggle.”

Frederick Engels, “On The History of the Communist League

Marx also wrote:

“Economic conditions first convert a large body of the population into workers. The domination of capital creates for this body an equal status and common interests. Therefore, with respect to capital, this body has already formed a class, but is not yet a class-for-itself. In the struggle (of which we have only discussed certain stages) this body gradually unites and forms itself into a class-for-itself. The interests it defends become the interests of the class. And class struggle itself — the struggle of one class against another — is political struggle.”

Karl Marx — The Poverty of Philosophy — Chapter Two: The Metaphysics of Political Economy

These remarks clearly show that Marx and Engels’ analysis of political parties begins with economic life. In economic life, groups of people with different interests divide into classes. To defend their class interests, each class engages in class struggle, and parties arise to meet the needs of that struggle at a certain stage in the development of class struggle. More specifically, this stage refers to a stage in which an advanced ideology widely recognized by the majority of a class has emerged, class members are bound together through the mode of production, and certain forms of class organization and class leadership have arisen. Once these conditions in place, the emergence of political parties becomes inevitable. This is true for bourgeois parties as well as for proletarian parties.

3. The Central Task of a Political Party Is to Conduct Political Struggle

What is the task of a political party? This is also a question on which there are many differing opinions. Some say that it is to “express public opinion.” Others believe the task of a political party is to act as an “intermediary and arbitrator” between society and government. Still others believe the task of a political party is to “promote the general welfare of the people.” Some also argue that as the organization of a class, the central task of a political party is to engage in class struggle. But the content of class struggle is also very broad — there are struggles in economic realms, cultural realms, and ideological realms. Among these aspects, which struggle should take precedence?

In class society, the main task of a political party is to carry out class struggle; among the various forms of class struggle, the political struggle is the principal one. Securing the economic interests of one’s own class is the ultimate goal of the party but this goal must be achieved through political means. Therefore, compared with political struggle, economic struggle inevitably occupies a secondary position. Given that the bourgeoisie has already seized state power and their interests can be protected directly by the state, bourgeois political parties can obscure or dilute their political nature. But for the proletariat — who have nothing but their chains — they can only secure their interests by smashing those chains, that is, by destroying the old state apparatus and replacing it with the workers’ state. Hence, the proletarian party must highlight and emphasize its political character.

In The Communist Manifesto, Marx and Engels explicitly defined the tasks of the proletarian party:

“The first step in the workers’ revolution is to raise the proletariat to the position of ruling class, to win the battle of democracy. The proletariat will use its political supremacy to wrest, step by step, all capital from the bourgeoisie, to centralize all instruments of production in the hands of the state — that is, of the proletariat organized as the ruling class — and to increase the total productive forces as rapidly as possible.”
This formulation shows that political struggle — above all, the control of state power — is central to the party, especially a proletarian party.

Marx also said:

“A general revolution — overthrowing the existing power and smashing the old relations — is a political act. And socialism is impossible without revolution.”

Karl Marx, Vorwarts!, No.63, August 7 1844 — Critical Notes on the Article:
“The King of Prussia and Social Reform. By a Prussian”

Lenin likewise stated:

“A general party — especially a party of an advanced class — if it refuses to seize power when it is in a position to do so, then it no longer has the right to exist, does not deserve the name of a party, and is mere rubbish.”

Vladimir Lenin — “Can the Bolsheviks Retain State Power?”

This argument confirms that Marxist classical authors regarded the political task — most importantly controlling state power — as the central task of a party, particularly a proletarian one.

The classic authors’ idea that the central task of the Party is political struggle is most clearly reflected in the debates over the nature of the proletarian party and opportunism that took place when they were founding the proletarian party. For example, during the First General Congress of the First International in 1866, the Proudhonists submitted a report to the Congress calling for a change in the International’s objectives. The report stated: “The purpose of this Association is to find employment for members in their home country and in the countries of Europe, and the Association will set up liaison bureaus in these places; … the liaison bureaus will open International offices in order to sell the industrial products produced by members to the public.”

Clearly, this was an attempt to make the International Workingmen’s Association engage only in economic improvements and not concern itself with political struggle. Marx and Engels outright opposed this intention.

Marx drafted Instructions for the Delegates of the Provisional General Council for the Congress, in which he pointed out:

“The purpose of the Association is to unite the struggles of workers in various countries, which have so far remained scattered in their fight for their own emancipation, and to bring them onto a common basis.”

The resolution adopted by the Congress based on this instruction stated even more clearly that the “co-operative movement” advocated by Proudhonism can never transform capitalist society at any time.

“In order to establish from social production a great, coordinated, free, and cooperative system of labor, general social conditions must be changed, and this change, unless the organized power of society — in other words, state power — is transferred from the capitalist and landlord to the workers, can never be realized.”

After Proudhon, Bakuninism also appeared within the First International. Bakunin likewise opposed the political struggle orientation of the proletarian party. Bakunin held that abolishing inheritance is the beginning of social revolution; that “the International, as an association, should not engage in political activity”; that “any political organization can only be an instrument of domination favorable to one class and unfavorable to the masses: if the proletariat wants to seize political power, then it also makes itself a ruling and exploiting class.

Engels exposed and critiqued the essence and harm of the Bakuninists’ call for the working class to abandon politics, pointing out:

“The existing governments — for political and social purposes — impose political oppression on the workers, forcing the workers to engage in politics. To preach to the workers that they should give up politics is to push them into the arms of the bourgeoisie.”

Engels also expounded the principle that “revolution is the highest form of political action.” He said:

“We must abolish classes. By what means can this be achieved? — the political rule of the proletariat.” “Revolution is the highest form of political action; whoever wants revolution must also recognize the means of preparing for revolution and educating the workers for revolution, that is, political action. Without political action, the workers will always be defeated the day after the battle by the likes of Favre and Piarron.”

Lenin’s critique of the “Economists” in the early period of the Russian working class party’s formation also reflects his view that political struggle is the foremost task of the party. The Economists ideologically worshipped the spontaneity of the workers’ movement; politically, they worshipped economic struggle and belittled the role of political struggle. The Economists had two famous slogans: one was, “Let every ruble of a worker’s wage be increased by a kopek—this is more tangible and valuable than any socialism and any politics;” the other slogan was that workers’ struggle should be “Not for some future generations, but for themselves and their own children.Lenin, in response, angrily criticized: “What is this? This is simply advocating regression! This is simply propagating the dissolution of socialism!

To comprehensively criticize the Economists’ viewpoint, Lenin wrote his book What Is to Be Done?, in which he devoted extensive space to arguing that political struggle is of primary importance for the party. Lenin pointed out that economic struggle is a spontaneous form of struggle for the working class; if allowed to develop on its own, it can only lead toward trade-unionism. Only by timely transforming such economic struggle into political struggle can the workers’ movement become the political beginning of Social Democracy. Lenin emphasized:

Social democrats must not only refrain from limiting themselves to economic struggle, they must not even allow organizing economic exposures to become the principal part of their activities. We must actively take up the political education of the working class and the development of its political consciousness.”

Vladimir Ilyich Lenin — What Is To Be Done? — Burning Questions of our Movement

In another article, Lenin also pointed out that if

because of economic struggle one forgets political struggle, that would be a renunciation of the basic principles of the Social Democratic movement throughout the world; that would be to forget everything that the history of the entire workers’ movement has taught us.

V. I.   Lenin, Articles for “Rabochaya Gazeta” — OUR PROGRAMME (1899)

Of course, the Marxist classics’ emphasis on the party’s political struggle tasks mainly stems from the fact that for the whole or most of their lifetimes, the proletarian party existed as an oppressed and excluded opposition party. For a party in such a position, the political task of seizing power was obviously more urgent than other tasks. On this Lenin once emphasized:

Historical experience has also conclusively shown that when the proletariat does not have freedom or its political rights are suppressed, one must always put political struggle first.

V. I. Lenin, A Protest by Russian Social-Democrats

But it should also be noted that the classics of Marxism did not draw this conclusion just from strategic necessity—they did so from a theoretical perspective as well. One vivid example is: after the victory of the October Revolution, although Lenin recognized that “now economic tasks and the economic front are again presented to us as the most important tasks and the basic front” and proposed “to gradually shift the center of struggle toward the economic sphere,” when Trotsky and Bukharin and others advocated “looking at the problem economically,” Lenin sharply retorted:

“Politics is the concentrated expression of economics.” V. I. Lenin — Once Again On The Trade Unions, The Current Situation and the Mistakes of Trotsky and Buhkarin

He further pointed out:

“If a class does not correctly handle issues politically, it cannot maintain its rule, and therefore cannot resolve its productive tasks either.” 

 V. I. Lenin — Once Again On The Trade Unions, The Current Situation and the Mistakes of Trotsky and Buhkarin

Thi makes clear the historical significance of this idea. Recalling that after the founding of the People’s Republic of China, Mao Zedong also proposed that political work is the lifeline of all economic work and that “As soon as [you] grasp the class struggle, it works [for you].”, one deeply feels that attaching significant weight to the political character and political struggle tasks of the party is indeed a relatively consistent and settled insight in Marxism.

Section Two: Bourgeois Political Parties Are Political Organizations of the Bourgeoisie

  1. Bourgeois Political Parties Represent the Interests of the Bourgeoisie

Bourgeois political parties generally do not like to admit that their parties have a class character. This attitude can be seen quite clearly in the definitions bourgeois scholars give to “political parties.” They regard parties in bourgeois democratic politics as “organizations that express popular opinion,” as “a component of political liberty, and especially an indispensable element of democracy”; they claim that parties of their own class are “trans-class organizations,” “parties of the whole nation,” “with open doors for everyone.”

By contrast, Marxism unequivocally points out that bourgeois political parties are political organizations of the bourgeoisie and instruments for the bourgeoisie to conduct political rule. The foremost purpose and central task of bourgeois political parties is to maintain a political order favorable to bourgeois rule and a social distribution of interests favorable to the bourgeoisie. Those parties that vie for ruling power and succeed one another all regard the acquisition of this vast edifice of the state as the primary booty of their victory.

From the late 17th century onward, within the British Parliament the two major parties of the Tories and the Whigs gradually formed. These two major parties attacked and checked one another in Parliament and took turns in governing, and have been regarded as the origin of the two-party system. People generally analyze and comment on these two parties’ conflicts and confrontations from the perspective of policy differences.

However, in analyzing Britain’s party system, Marx insisted on class analysis. He pointed out that the Tory Party is the “party of the old aristocracy”; it hates industry because “industry destroys its power and dictatorship and undermines its principles”; whereas the Whig Party is the “representative of the aristocracy of the industrial and commercial middle class.” The difference between these two parties in political contestation is not really a difference over what policies Britain should pursue, but rather indirectly reflects the balance of class forces within Britain. For example,

“in 1760 when George III ascended the throne, he drove from office the Whigs who had governed almost continuously since the time of George I (and naturally pursued very conservative policies), and initiated a situation in which the Tories dominated all the way to 1830. In this way, the government corresponded to its own nature; in Britain’s politically conservative era, there was no doubt that it was right for a conservative party to govern.”

Friedrich Engels, The Condition of England — I The Eighteenth Century

Engels, for his part, provided a straightforward exposure of the class character of bourgeois political parties. In the introduction he wrote for the 1891 standalone edition of Marx’s The Civil War in France, he assessed the political system of the United States as follows:

“It is in the United States that the politician more than anywhere else constitutes a special and powerful part of the people. There, each of the two great governing parties is manipulated by people who turn politics into a lucrative business, speculating for profit on seats in the United States Congress and the state legislatures, or earning their living by agitating for their own party and securing a substantial position as reward once their party is victorious. Everyone knows how Americans have tried in every way over the past thirty years to shake off this embarrassing yoke, but despite this, they have sunk ever deeper into the mire of corruption.”

1891 Introduction by Frederick Engels, On the 20th Anniversary of the Paris Commune
[Historical Background & Overview of the Civil War]

Engels continued, writing that the concentrated expression of the bourgeois dictatorship in America was the dictatorship of the parties. Because the United States had no royalty, no nobility, no standing army except for a small body of soldiers to police the Indians, and no permanent bureaucracy with fixed posts and pensions.

“Yet there we can see two great gangs of political speculators taking turns to wield power, using the dirtiest means to employ that power for the basest ends, while the people are powerless to deal with these two great political groups, who outwardly serve the people but in reality rule and plunder them.”

In 1912, the United States held a new presidential election, and Democrat Woodrow Wilson defeated Republican Taft to become the 28th President of the United States. On this electoral activity in America, Lenin wrote the article “After the Elections in America,” offering the following commentary:

In the United States, the victorious party particularly shamelessly hands out lucrative posts to its supporters. … Is this not the ridiculous and shameless act of buying and selling ‘party loyalty’? But we see the same situation in all capitalist countries. The less free the state, the more base and shameless is this bourgeois practice of buying and selling party loyalty. Behind-the-scenes intrigue and private ‘connections’ in order to gain privileges, subsidies, and lucrative work (for gentlemen lawyers) and so on play an ever greater role.”

In another article, Lenin also pointed out that America’s “old parties”—the Democratic and Republican parties—

are products of their epoch, whose task is to develop capitalism as rapidly as possible. The struggles of the various parties boil down to how to better accelerate and promote this development.”

V.I. Lenin, The Results and Significance of the U.S. Presidential Elections

2. The Two-Party System of the Bourgeoisie Is a Game

The two countries that earliest developed a system of bourgeois parties, Britain and the United States, both implement a political system of two-party government. Some people greatly admire the two-party system, calling it “one of the great contributions of scientific management in the 19th century.” Others believe that the two-party system is a guarantee for achieving social and political democracy, the most perfect party system.

Marxism insists on viewing the bourgeois two-party system with a method of class analysis. The classical authors believe that the two-party system is merely a formal sleight-of-hand; it uses the illusion of democracy to conceal the essence of the bourgeois dictatorship. Even more, the two-party system is a more ingenious and more refined method by which the bourgeoisie oppresses and deceives the working people. Because it is ingenious and refined, it is more effective at maintaining bourgeois rule and even more harmful.

First, the conflict between the two parties is only the conflict between different factions within the bourgeoisie; the scope of their struggle does not depart from the common interests of the bourgeoisie. Marx called the two-party system the bourgeoisie’s “two-handed method,” and Engels more vividly compared the two-party system to a “seesaw game,” rising and falling—effortless for the player, amusing for the onlooker. [p. 18, Engels, “The Condition of the Working Class in England“]

Engels, when discussing the phenomenon of cross-party alliances in the United States, pointed out:

“This seeming random mixture precisely prepares fertile soil for the rampant self-enrichment, fraud, and plunder of the state in America.”

Marx-Engels Correspondence 1892 — Engels to Sorge London, January 6, 1892

Engels also noted in the same letter: within either of the two major American parties, people represent completely different groups and interests due to regional differences, and almost every stratum of the bourgeoisie has its own representatives within both parties. So although it appears that the two parties are politically irreconcilable, in terms of actual policy the differences between the two parties are not great.

Second, the implementation of a two-party system is merely a sleight-of-hand deliberately adopted by the bourgeoisie to manufacture the illusion of democracy. In 1858, when Marx was commenting on parliamentary struggles in Britain, he pointed out that the British bourgeois oligarchic political system

“does not preserve its own existence by constantly keeping power in the same hands, but by a method in which power is released from one hand and immediately grasped by the other.”

Marx, “From Parliament. Roebuck’s and Bulwer’s Motions“, in Neue Oder-Zeitung, No. 323, July 14, 1855

This vividly demonstrates that the two major parties are the right and the left “hands” of the bourgeoisie. The two-party system is the bourgeoisie’s conscious method of taking turns using its two hands to rule the people. Marx further pointed out that the cleverness of parliamentary struggle lies in that “in the hand-to-hand combat, what is struck down is not the office itself but merely the person then occupying it, and when striking, that person should, upon leaving office as a minister, immediately be eligible again as a candidate for minister.” This essentially shows that within the two-party system, although the two major parties superficially play mutually opposing roles, the opposition party does not oppose the government—that is, the bourgeois regime itself—but only the party then wielding power, while it is also always ready to wield power itself.

When Mao Zedong discussed the understanding of Western-style freedom, he also analyzed the illusion of two-party democratic politics. He criticized those who envy Western-style freedom:

“They believe that liberty under our people’s democratic system is too limited and that Western parliamentary democracy is much more free. They call for the implementation of the Western two-party system, with one party in power and the other out of power. But this so-called two-party system is merely a method of maintaining the bourgeois dictatorship; it can never guarantee the freedom and rights of the working people.”

Mao Zedong, “On the Correct Handling of Contradictions Among the People” (1957).

Third, the two-party system poses great harm to the proletarian revolution. By shifting people’s attention from the contradictions between social classes to conflicts within the bourgeoisie itself, the two-party system enables the ruling class to escape its political crises through the “changing of horses” among different factions within the ruling bloc. At the same time, it uses the false appearance of democracy to sap the fighting spirit of the proletariat in its class struggle. Therefore such a party system is even more deceptive, and thus even more harmful to the cause of proletarian revolution.

After the conclusion of the 1912 United States presidential election, Vladimir Ilyich Lenin wrote an article entitled The Results and Significance of the U.S. Presidential Elections,” in which he conducted an in-depth analysis of that election.

Lenin pointed out: “This so-called ‘two-party system’ is one of the most powerful instruments for preventing the emergence of an independent workers’ party, that is, a genuinely socialist party.

He further observed: “The two bourgeois parties use their empty, contentless, and ostentatious duels with one another to deceive the people and divert their attention from their vital interests.” Lenin even drew the conclusion that: “In all bourgeois countries, … the greater the political freedom, the more firmly established the bourgeois parties become.

3. Bourgeois party democracy is a false democracy

The bourgeois party system is not merely the establishment of bourgeois party organizations; it also includes a whole series of political rules and political institutions, such as voting and elections, electoral campaigns, lobbying, parliamentary party caucuses, parliamentary debates, votes of no confidence, and the collapse of cabinets. Because the various political rules and institutions built around political parties all display an aspect of political openness, some people believe that the bourgeois party system is a democratic system, and that it constitutes

“the principal component of all political freedom, especially an indispensable component of democracy.”

Friedrich Engels, The International Workingmen’s Association, “The Prussian Military Question and the German Workers’ Party”

However, Marxism holds that bourgeois party democracy is a hypocritical democracy, a formal democracy that is substantively undemocratic. They observed that in capitalist society competition is free, yet the working masses, bound by capitalist relations of production, are not free; elections are equal in form, yet money’s manipulation of electoral activity is unequal in reality.

Engels, in his earlier examination of the conditions of class struggle in Britain, had discerned this secret of bourgeois party democracy. In his article “The Condition of England, The Eighteenth Century”, he pointed out:

“The electoral system is exceedingly simple, which means the citizens do not have to expend any thought on politics; nominally some are considered Whigs, others Tories, but they understand very clearly that in fact they are the same, since in any case they do not possess the right to vote.”

The working masses can at most participate in elections as chips in the competition of bourgeois parties, in the struggle between different factions within the bourgeoisie. Thus, Engels reached the conclusion: “In the present-day state, universal suffrage cannot and never will provide more than this.”

Because Lenin lived in an era of especially intense class struggle, his exposure of the hypocrisy of bourgeois party democracy was even sharper. He wrote:

“In our era it is not possible to do without elections, it is not possible to do without the masses, and to lure the masses in an age of extraordinarily developed printing and widespread parliamentary systems, it is necessary to have a set of widely deployed, consistently applied, and meticulously arranged methods to flatter, to fabricate rumors, to deceive and extort, to play on fashionable catchphrases, and to promise land various promises of reforms and increases in welfare for the workers, so long as they give up the revolutionary struggle to overthrow the bourgeoisie.”

V. I. Lenin, “Imperialism and the Split in Socialism

Lenin also analyzed the role of money in bourgeois party democracy:

“The infinite power of ‘wealth’ is more reliable under a democratic republic because it does not depend on capitalism’s inferior political shell. The democratic republic is the best political shell that capitalism can adopt, so once capital seizes this best shell … it can solidly and reliably establish its own power, so that in a bourgeois democratic republic, regardless of changes in personnel, institutions, or parties, this power will not be shaken.”

Vladimir Lenin, The State and Revolution, Class Society and the State — 1. The State: a Product of the Irreconcilability of Class Antagonisms

The hypocrisy of bourgeois party democracy is also shown in that it is democratic only within the bourgeoisie, but not democratic toward the proletariat and the masses. For example, regarding the “principle” of bourgeois democracy — “protection of minorities” — Lenin wrote:

“The ruling party of a bourgeois democratic state protects minorities only with respect to other bourgeois parties, but with regard to the proletariat, on all significant, deep, and fundamental issues, not only does it not ‘protect the minority’, but it inflicts harsher or arbitrary suffering. The more developed democracy is, the more readily does harm or civil war occur whenever any profound political division that endangers the bourgeoisie arises.”

Vladimir Lenin, “The Proletarian Revolution and the Renegade Kautsky” — Bourgeois And Proletarian Democracy

Section Three: The Proletarian Party as the Highest Form of Proletarian Organization

  1. The Proletariat Must Establish Its Own Independent Party Organization

Marx believed that the development of the proletariat passes through two stages. In the first stage of proletarian development, the proletariat’s level of consciousness is still low, and its class organization is not yet complete. At this stage, the political struggle of the proletariat is still subordinate to the bourgeois struggle against feudalism, and the proletariat exists only as a “class in itself.” Only through repeated defeats, and through the painful realization that it has been betrayed and swallowed up, does the proletariat gradually come to recognize its own independent class interests.

At this point, it no longer remains satisfied with following behind the bourgeoisie as its mere tail, but instead develops its own independent class consciousness and class aspirations. Thus, the proletariat gradually transforms from a “class in itself” into a “class for itself.” With the maturation and development of class consciousness, the demand for the proletariat to establish its own political organization is placed on the agenda.

However, at the beginning, “the organization of the proletarians into a class, and consequently into a political party, is continually being upset again by the competition between the workers themselves.” Yet, “this organization ever rises up again, stronger, firmer, mightier.” From the initial formation of brotherhoods and trade unions, to the later establishment of various types of political organizations—such as the Chartist Association in Britain, the Society of the Seasons in France, and the League of the Just in Germany—and finally to the founding of the Communist League, this historical process has genuinely reflected the arduous and pioneering course of the proletariat’s political organization, a path forged through hardship and struggle.

The classical Marxist authors give full affirmation and high praise to the proletariat’s organization in the political sphere, especially the establishment of an independent proletarian party. They pointed out that only by establishing such a party organization—one that can represent the interests of the class and embody its will—can the proletariat become strong, and only thereby can it achieve complete emancipation. Marx and Engels expounded this principle theoretically in works such as The Communist Manifesto, The Address of the Central Committee to the Communist League, the Provisional Rules of the International Working Men’s Association, and in many important letters.

In summary, the necessity of establishing a proletarian party mainly lies in two aspects:

First, only by establishing an independent proletarian party can the proletariat act as a class. Marx pointed out with respect to the [1864] Common Statutes of the International Working Men’s Association:

“In its struggle against the collective power of the propertied classes, the working class cannot act as a class except by constituting itself into a political party, distinct from, and opposed to, all old parties formed by the propertied classes.

This constitution of the working class into a political party is indispensable in order to ensure the triumph of the social revolution and its ultimate end—the abolition of classes.”

The International Working Men’s Association, 1872, Resolution on the establishment of working-class parties

In December 1889, Engels further clarified the necessity of establishing a proletarian party in a letter to G. Trier. He wrote:

“To ensure victory at the decisive moment, the proletariat must (this has been the position Marx and I have upheld since 1847) constitute itself as a special party, distinct from and opposed to all other parties, a conscious class party.”

Friedrich Engels, Letter to Gerson Trier, December 18, 1889 on the Militant Archives

That is to say, establishing its own party is an important sign of the proletariat’s political independence and maturity.

[Translator’s Note: You can read the full English text of various versions of the IWA Constitution/Rules online — for example: General Rules, October 1864 (Marx’s drafting):
General Rules of the International Workingmen’s Association — full text online. Marxists Internet Archive

Full 1867 Rules & Administrative Regulations: See General Rules and Administrative Regulations (English translation on Wikisource). Wikisource End note.]

Second, only by establishing a proletarian party can the political strength of the proletariat continually unite and grow. In the Founding Declaration of the International Workingmen’s Association, Marx pointed out:

“The workers have already the numbers as one of the factors of success; but only when the masses are organized and guided by knowledge do numbers decide victory.”

Marx summarized decades of experience and lessons from the workers’ movement, concluding that previous efforts had

“produced no results because the workers of the various branches of labor in each country were not sufficiently united with one another, and because the working class of the different countries lacked close union.”

Karl Marx, The International Workingmen’s Association 1864, Inaugural Address of the International Working Men’s Association — “The First International”

In view of this, it was necessary to create an international proletarian party. That party is the symbol of the unity of the working class.

Marxism not only discussed the necessity of establishing a proletarian party but also its actual possibility. They held that a class foundation and a theoretical foundation were required, and that only by combining the two could the establishment of the party become a reality.

First, regarding the class foundation. The emergence of the modern proletariat and the continuous maturation of this class in struggle laid the foundation for the birth of a proletarian party. Marx and Engels participated in the practice of the workers’ movement and personally experienced the strength of the proletariat. In The Communist Manifesto, they gave high praise to the working class:

“In the present historical condition, among all the classes that stand opposed to the bourgeoisie, the proletariat alone is truly revolutionary. The other classes decay and finally disappear with the development of large-scale industry, whereas the proletariat is its direct product.”

Marx and Engels also emphasized that the proletarians must organize themselves as a class, and thereby organize themselves into a party. In other words, when the modern proletariat organizes itself as a whole and its class character becomes distinct, that is the moment for the proletarian party to be founded.

Lenin believed that the first major cornerstone of Marxist theory is the proletariat. Because it is the only thoroughly revolutionary class in modern society, only the proletariat can form the core of a powerful revolutionary army:

“the proletariat is the most revolutionary class among all classes in Russia,”

V. I. Lenin, Declaration of the Editorial Board of Iskra

“the urban industrial proletariat must be the basic core of our Social-Democratic Party,”

V. I. Lenin, Note to the Article “Russia’s Finances and the Revolution”

and the

“mass pillar of a social democratic parties.”

[Translator’s Note: The Chinese text has mass pillar of socialist parties. The original Russian text has social-democratic parties. A difficult problem in translation — in the Russian context would include the Russian Social-Democratic movement (the Russian Social-Democratic Labour Party, RSDLP) which Lenin led while today, a social democratic party would be socialist yet democratic (supports democratic principles and will allow itself to be voted out of office in free and fair elections) and so non-Leninist.]

Second, concerning the theoretical foundation. Even with the class foundation of the modern proletariat, a proletarian political party cannot yet be formed. To form a proletarian party, a theoretical foundation is also indispensable. This point is likewise an important insight of the classical Marxist authors regarding the basis for the emergence of the proletarian party.

Engels said:

“Our Party has a great advantage: it has a new scientific world outlook as its theoretical foundation.”

[Translator’s Note. This is a reasonable paraphrase of Engel’s view often used. This view contrasts the scientific, materialist view of Marx/Engels socialism based on their scientific understanding of history and society with many other strands of socialism that they criticized as utopian or based on religious ideas that blinded people to oppression and exploitation in society. Characterizing it as Scientism, the claim of scientific authority in realms where scientific claims are contingent or uncertain, might be leveled against Marxist thought and its science of history. To be fair earlier understandings of science as systematized knowledge current in the 19th century could make a science of history more plausible. Marxism in its broadest sense replaced the social sciences in China from the early 1950s to the late 1970s since an extreme understanding of scientific in the ruling ideology made the social sciences superfluous. Edmund Wilson’s To the Finland Station is an intriguing discussion of the idea of a ‘science of history’. Wilson brilliant book might have been a bit better if he had kept in mind Oliver Cromwell’s caution that being too sure of oneself can lead to disaster (although maybe he didn’t take his own advice?) End note,]

This scientific world outlook is Marxist dialectical materialism and historical materialism. As early as 1843, Marx wrote in the Introduction” to A Contribution to the Critique of Hegel’s Philosophy of Right:

“Philosophy finds its material weapons in the proletariat, and the proletariat finds its spiritual weapons in philosophy. Once the lightning of thought has struck deeply into this virgin soil of the people, the emancipation of the Germans into human beings will be completed.”

“The emancipation of Germany is the emancipation of man. The head of this emancipation is philosophy; its heart is the proletariat.” This means that only when the modern proletariat finds its theoretical weapons in Marxist philosophy and masters the scientific theory of proletarian revolution does the emergence of a proletarian political party become possible.

Works of Karl Marx 1843, A Contribution to the Critique of Hegel’s Philosophy of Right — Introduction

Thus Marxism summed up the general law governing the emergence of a proletarian party: the integration of scientific socialism with the workers’ movement. When discussing the significance of combining scientific socialism with the workers’ movement, Engels pointed out:

“If we have philosophers thinking with us, and workers fighting with us for our cause, then what power in the world could stop us from advancing?”

[The New Moral World No. 37, March 8, 1845] Barmen, Feb. 2nd, 1845 82 [page 233 in linked text]

Later, when Engels summed up the historical experience of the founding of the Communist League, he further pointed out that socialism in Germany had arisen long before 1848. At first it existed in two independent currents. On the one hand, there was the purely workers’ movement, a branch of French workers’ communism; this movement produced Weitling’s utopian communism as one of its stages of development. On the other hand, there was the theoretical movement that arose from the disintegration of Hegelian philosophy; in this current, Marx’s name occupied a dominant position from the very beginning. The appearance of The Communist Manifesto in January 1848 marked the fusion of these two currents, a fusion that was completed and consolidated in the crucible of revolution.

In the course of founding the Russian Social-Democratic Labour Party, Lenin further elaborated the general law governing the emergence of proletarian political parties. This was most concentratively reflected in the debates between Lenin and the “Economists” over the guiding principles of party building. In addition to putting by far the greatest emphasis on the workers’ economic struggle and neglecting political struggle, the Economists also belittled the guiding significance of Marxist theory. They believed that Marxist theory had already become obsolete and advocated “freedom of criticism.” They further held the view that “the mass movement is naturally rational,” idolizing the spontaneity of the workers’ movement and, in particular, vigorously opposing the introduction of socialist consciousness into the working masses.

In response to these views of the Economists, Lenin successively wrote such articles and works as A Protest by Russian Social-Democrats, Our Programme, The Urgent Tasks of Our Movement, and What Is To Be Done?, in which he subjected them to criticism. Lenin first emphasized the guiding role of theory in the proletarian party-building movement, pointing out that:

  • Only revolutionary Marxist theory can serve as the banner of the working-class movement.
  • Without revolutionary theory there can be no strong socialist party, for revolutionary theory unites all socialists, from it they derive all their convictions, and with its aid they determine the methods of struggle and forms of activity.

The Economists’ so-called “crisis of Marxism,” he said, was “nothing more than a repetition of the idle chatter of bourgeois philistines.”

Second, Lenin demonstrated that the combination of revolutionary theory with the workers’ movement is a necessary condition for the emergence of a proletarian party. He pointed out:

“In all countries, only when socialism has been combined with the working-class movement has a firm foundation for socialism and the working-class movement been created.”

Vladimir Ilyich Lenin, What Is To Be Done? — Burning Questions of our Movement II
The Spontaneity of the Masses and the Consciousness of the Social-Democrats

Summarizing the experience and lessons since the birth of Marxism, Lenin held that if the workers’ movement is not combined with socialist doctrine, it will never escape a spontaneous state; while if socialist doctrine is not combined with the workers’ movement, socialism will forever remain nothing but a benevolent wish and a utopia, exerting no influence on real life. Once socialism and the workers’ movement are combined, however,

“the workers’ class struggle becomes a conscious struggle of the proletariat for its own emancipation and liberation from exploitation by the propertied classes, and the highest form of the socialist workers’ movement—an independent Social-Democratic workers’ party—comes into being.”

V. I. Lenin, A Retrograde Trend in Russian Social-Democracy

Third, Lenin also demonstrated the concrete path by which revolutionary theory is combined with the workers’ movement. This was a rebuttal directed against the Economists’ view that the workers’ movement generates itself spontaneously, and it constituted one of Lenin’s distinctive contributions to the theory of the emergence of the proletarian party.

“Since the working masses, by their own efforts, are never able to develop an independent ideology, the question can only be posed in this way: either bourgeois ideology or socialist ideology. There is no middle course. Therefore, any belittling of socialist ideology, any distancing from it, means the strengthening of bourgeois ideology. People speak of spontaneity, but the spontaneous development of the workers’ movement leads precisely to its subordination to bourgeois ideology … Hence the task of our Social-Democratic Party is to combat spontaneity, to divert the workers’ movement from this spontaneous tendency of trade-unionism to fall under the wing of the bourgeoisie, and to draw it under the wing of revolutionary Social Democracy.”

Vladimir Ilyich Lenin, What Is To Be Done? — Burning Questions of our Movement II
The Spontaneity of the Masses and the Consciousness of the Social-Democrats

To achieve this, it is necessary

“to imbue the proletarian masses with socialist ideas and political consciousness, and to organize a revolutionary party that is closely connected with the spontaneous workers’ movement.”

V. I. Lenin, The Tasks of the Russian Social-Democrats

II. The Proletarian Party is a Fighting Force composed of its Advanced Elements

The proletarian party differs essentially from bourgeois parties. Marxism has provided extensive generalizations concerning the nature of the proletarian party, which, taken together, are concentrated in three aspects: the class character, the advanced character, and the militant character of the proletarian party.

First, the class character of the proletarian party. Any political party represents the interests of a definite class and is a class party. The proletarian party is no exception. The class character of the proletarian party is primarily manifested in the complete identity of its interests woth those of the proletariat. The direction of the proletarian party’s struggle is precisely that of the proletariat’s struggle for emancipation. In the first “comprehensive theoretical and practical party program” of the proletariat, The Communist Manifesto, Marx and Engels concentrated on explaining the inseparable relationship between the Communist Party and the working class:

  • “The Communists do not form a separate party opposed to the other working-class parties.”
  • “They have no interests separate and apart from those of the proletariat as a whole.”
  • “They do not set up any sectarian principles of their own, by which to shape and mold the proletarian movement.”
  • “In the various stages of development which the struggle of the working class against the bourgeoisie has to pass through, they always and everywhere represent the interests of the movement as a whole.”
  • “The immediate aim of the Communists is the same as that of all other proletarian parties: formation of the proletariat into a class, overthrow of the bourgeois supremacy, conquest of political power by the proletariat.”

The Communist Manifesto, Chapter II. Proletarians and Communists

Secondly, the proletarian party must adhere to its own class principles and make no compromises under any circumstances. After the failure of the Revolution of 1848, Marx and Engels summed up the lessons of revolutionary experience and, for the first time, put forward the theory that independent proletarian parties distinct from bourgeois democratic factions must be established in all countries, emphasizing the independence of the party within the bourgeois-democratic revolutionary movement. During the period of the First International, they once again emphasized:

“The workers’ party must not become the tail of any bourgeois party, but must constitute itself as an independent party, with its own aims and its own policy.”

Karl Marx at the International Workingmen’s Association 1871, Apropos Of Working-Class Political Action, Reporter’s record of the speech made at the London Conference of the International Working Men’s Association, September 21, 1871

Marx and Engels repeatedly stressed the independence of the party precisely in order to uphold its proletarian character. In October 1889, Engels, in a letter to Gerson Trier, summarized the principled task that he and Marx had consistently upheld in maintaining the proletarian character of the party. On the one hand, he pointed out that in revolutionary struggle the proletarian party may form temporary alliances with other parties; on the other hand, he emphasized that when forming such alliances,

“it must be done on the premise that the proletarian character of the party is not thereby called into question. For me, this is an absolute boundary.”

Letter to Gerson Trier, December 18, 1889

In response to the problem that leaders of workers’ parties in some countries were losing principles in the application of tactics, Engels was very critical. He argued that such practices would inevitably lead to the loss of the class character of the workers’ party. Lenin also once said:

“We pursue our own path; we are and remain the party of the advanced class, a class which will never address the masses with vague or ambiguous slogans, will never be directly or indirectly involved in any disgraceful affair of the bourgeoisie, and which, under all circumstances, regardless of the outcome of the struggle, knows how to defend the interests of the revolution.”

V. I. Lenin, Wavering Above, Determination Below

The proletarian party’s adherence to class principles is similarly reflected in its strict requirements concerning the class composition of its organizational members. Marx and Engels believed that as a working-class party, the Communist Party should be composed primarily of members of the working class. In order to preserve the party’s class character, Marx and Engels set forth two conditions for non-proletarians, especially members of the bourgeoisie and intellectuals of bourgeois origin, who sought to join the party:

“First, these people must bring with them real elements of enlightenment that are useful to the proletarian movement”
“Second, if such persons from other classes join the proletarian movement, the first demand must be that they rid themselves unconditionally of all remnants of bourgeois, petty-bourgeois, and similar prejudices, and adopt the proletarian worldview without reservation.”

Works of Marx and Engels 1879, Strategy and Tactics of the Class Struggle

With regard to those who are “filled to the brim with bourgeois and petty-bourgeois notions,” Marx and Engels held that

“if there are reasons to tolerate them temporarily, then we should limit ourselves strictly to tolerating them, not allow them to influence the leadership of the party, and clearly understand that a split with them is only a matter of time.”

Works of Marx and Engels 1879, Strategy and Tactics of the Class Struggle

Marx and Engels further held that while the Communist Party may admit individual persons from any class, it must never allow the entry of groups that represent the interests of different classes. The party admits individual persons of non-proletarian origin in order to “dissolve” them, not to allow them to influence or transform the party in the guise of their original class identity.

Marxism firmly opposed attempts by certain people to vigorously deny the class character of the proletarian party or to shake the class basis of the proletarian party. In 1905, when the Menshevik “Mars Group” attempted to broaden the class content of the party on the question of party building, Lenin replied:

“It is extremely unwise to call the union of broad (and vague) democratic organisations an ‘All-Russia people’s organisation’ or a ‘people’s democratic organisation’. First, in theory this is wrong. Everybody knows that the error of the Economists lay in confusing party with class. The Mars Group repeated this error, confusing the sum of various democratic parties or democratic organisations with a people’s organisation. This formulation is empty, deceptive, and harmful. It is empty because its content is very unclear; it does not identify what democratic party or democratic section is meant. It is deceptive because in a capitalist society even the advanced class, namely the proletariat, cannot establish a party that includes the whole class, let alone one that includes the entire people. It is harmful because it dazzles with resounding words instead of advancing real work to explain the true meaning of real democratic parties, their class basis, the degree of their proximity to the proletariat, etc.”

V. I. Lenin, The Latest in Iskra Tactics, or Mock Elections as a New Incentive to an Uprising

In 1912, after the Sixth Congress of the Russian Social Democratic Labour Party, Lenin wrote articles such as Liberals and Democrats and The Trudoviks and the Workers’ Democratic Group, in which he refuted the viewpoint in the bourgeois camp that demanded abandoning the party’s class character. Lenin wrote:

“The attempt to build a ‘non-class’ party, the attempt to form a party of peasants and workers, the attempt to regard an imaginary ‘labour intelligentsia’ as a separate class, is extremely disadvantageous and extremely harmful to the struggle for Russia’s freedom, because these attempts, except for inducing pessimism, loss of strength, and blurry understanding, will bring no results.”

The Trudoviks and the Workers’ Democratic Group,

Of course, while Lenin insisted on this class character of the party, he did not deny that in struggle the proletariat could form an alliance with other revolutionary classes — such as the peasant class. He also pointed out that if the proletariat is to secure leadership in the democratic revolution, it must unite with the peasants. Only with peasant participation in the proletarian revolutionary struggle could the proletariat become an invincible democratic fighter. However, peasants’ participation in the proletarian revolution does not change the nature of the revolution; therefore, the nature of the proletarian party leading this revolution remains proletarian.

Second, the advanced character of the proletarian party.
An important Marxist view concerning the nature of the proletarian party is this: the proletariat cannot achieve victory through its spontaneous struggle alone; it can advance only under the guidance and leadership of a proletarian party. Because the proletarian party bears such a mission, it must possess a certain degree of advanced character. If this advanced character is denied, then the existence of a proletarian party itself becomes unnecessary.

Marxism holds that the party is the highest form of organization of the proletariat, the organizational form of the proletariat’s vanguard, and the “most advanced and most resolute” section of the proletariat. The party’s advanced character is mainly manifested in three aspects.

(1) The party represents the highest and the most long-term interests of the proletariat; it stands higher and sees farther than the general mass of workers. The Communist Manifesto points out:


“The Communists are distinguished from the other working-class parties by this only:

  • 1. In the national struggles of the proletarians of the different countries, they point out and bring to the front the common interests of the entire proletariat, independently of all nationality.
  • 2. In the various stages of development which the struggle of the working class against the bourgeoisie has to pass through, they always and everywhere represent the interests of the movement as a whole.”

(2) In practice, the Communists are the most resolute part of the workers’ parties of all countries and the part that constantly pushes the movement forward. In summing up the experience of the 1848 revolutions, Marx and Engels pointed out the fundamental difference between the proletarian party and the petty-bourgeois democratic faction. They held that the petty-bourgeois democrats

“do not by any means want to revolutionize the whole of society in the interest of the revolutionary proletariat; what they demand is a transformation of social conditions that will make existing society as tolerable and comfortable as possible for themselves.”

Karl Marx and Frederick Engels, Address of the Central Committee to the Communist League, London, March 1850

The political programme of the proletarian party, by contrast, is fundamentally different.

“Our concern cannot simply be to modify private property, but to abolish it; not to hush up class antagonisms, but to abolish classes; not to improve existing society, but to found a new one.”

Karl Marx and Frederick Engels, Address of the Central Committee to the Communist League, London, March 1850

Marx and Engels further pointed out that the fighting slogan of the proletarian party is “permanent revolution,”

“until all the more or less propertied classes have been driven from their ruling positions, until the proletariat has conquered state power, and until the association of the proletarians has progressed sufficiently far— not only in one country but in all the leading countries of the world— that competition among the proletarians of these countries ceases, and at least the decisive productive forces are concentrated in the hands of the proletarians.”

Karl Marx and Frederick Engels, Address of the Central Committee to the Communist League, London, March 1850

(3) The advanced character of the proletarian party is also expressed in the fact that its members are composed of the finest elements among the workers, and that not all members of the working masses can join it. When founding the Communist League, Marx and Engels strictly stipulated the conditions for admission in Article 2 of the “Statutes of the League” in order to guarantee the party’s advanced character. They further demanded that Communists must not be confused with the general mass of the proletariat; they should be those among the proletariat who possess communist consciousness, the “most indefatigable, fearless, and reliable advanced fighters,” and “the most resolute Communists and the bravest soldiers.”

Every party member must recognize, uphold, submit to, and observe the programme and statutes adopted by the party congress, and must struggle for the great historical mission of the proletariat; every member must fulfill party obligations and exercise party rights in accordance with the statutes. Those who serve as leading figures in the party are required to possess still higher qualities. Engels pointed out:

“To occupy a responsible post in the party, it is not enough merely to possess literary talent or theoretical knowledge, even if one has both. To hold a leading position, one must also be familiar with the conditions of the party’s struggle, master the forms of that struggle, possess a loyalty that has been tested over a long period and a firm character, and finally must voluntarily place oneself in the ranks of the fighters.”

Friedrick Engels, Reply to the Editors of the Sächsische Arbeiter-Zeitung

In the practice of party-building in Russia, Lenin not only upheld the idea of the advanced character of the proletarian party, but also pushed this idea a step further. Lenin repeatedly emphasized that the proletarian party is the vanguard detachment of the proletariat. The proletarian party concentrates the most outstanding advanced elements of the working class and serves as the gathering point of its finest representatives. He wrote:

“One must realize that merely calling ourselves the ‘vanguard’, merely proclaiming ourselves to be the advanced detachment, is not enough; we must act in such a way that all other detachments see and are compelled to admit that we are indeed marching in the van.”

Vladimir Ilyich Lenin, What Is To Be Done?, BURNING QUESTIONS of our MOVEMENT, III Trade-Unionist Politics And Social-Democratic Politics

“The Party is the class-conscious, advanced stratum of the class; it is the vanguard of the class. The strength of this vanguard exceeds its numbers tenfold, a hundredfold, or more.”

V. I. Lenin, How Vera Zasulich Demolishes Liquidationism, Section IV

At that time, the Mensheviks of the Russian Social-Democratic Labour Party, influenced by the revisionist trends of the Second International, advocated abolishing the party’s class limitations and expanding party membership without restriction. They believed that every “professor,” “secondary-school student,” “sympathizer of the Party,” and every “striker” in the workers’ movement could become a member of the Russian Social-Democratic Labour Party. Lenin launched a sharp polemic against this view. At the Second Party Congress in 1903, Lenin pointed out:

“It is better that ten working men should not call themselves members of the Party (real working men do not chase after titles!) than that one talker should have the right and the opportunity to be a Party member. This, in my opinion, is an incontestable principle. … Our task is to safeguard the firmness, the stability, and the purity of our Party. We must strive to raise higher and higher the title and significance of Party member.”

V. I. Lenin, Second Congress of the R.S.D.L.P., July 17 (30)-August 10 (23), 1903

Third, the proletarian party is characterized by its militancy. This militancy is first and foremost manifested in the Party’s firmness in the class struggle. In The Communist Manifesto, Marx and Engels pointed out that the Communist Party is the product of the development of the class struggle to a certain stage, and that its purpose is to lead the proletariat in that struggle.

“The immediate aim of the Communists is the same as that of all other proletarian parties: formation of the proletariat into a class, overthrow of the bourgeois supremacy, conquest of political power by the proletariat.”

The ultimate aim of the Communist Party, however, is to establish a “new society without classes and without private property.” This new society is communist society, and “the communist revolution is the most radical rupture with traditional property relations; no wonder that its development involves the most radical rupture with traditional ideas.” Marx and Engels also made it clear that the means of struggle of the proletarian party is violent revolution:

“The Communists disdain to conceal their views and aims. They openly declare that their ends can be attained only by the forcible overthrow of all existing social conditions.”

The Communist Manifesto, Chapter IV. Position of the Communists in Relation to the Various Existing Opposition Parties

Lenin also pointed out:

“Marx regarded the entire value of his theory as lying in the fact that it is ‘critical and revolutionary in essence.’ This latter quality is indeed fully and unconditionally inherent in Marxism, because this theory openly sets itself the task of exposing all forms of antagonism and exploitation in modern society, examining their evolution, proving their transitory character and the inevitability of their transformation into another form, and thereby helping the proletariat to eliminate all exploitation as rapidly and as easily as possible.”

Vladimir Ilyich Lenin, What the “Friends of the People” Are and How They Fight the Social-Democrats, (A Reply to Articles in Russkoye Bogatstvo Opposing the Marxists) Appendix Three

The combative character of the proletarian party internally is also reflected in the importance that the classical Marxist writers attached to ideological struggle and line struggle within the proletarian party. There is no doubt that the classical authors valued ideological unity and organizational unity within the proletarian party. However, because their philosophy was a philosophy of struggle, they believed that unity and consensus could be achieved only through contradiction and struggle. In the process of founding proletarian parties in which the classical authors themselves participated, almost every step was permeated by various ideological and line struggles within the organization.

Marx summed this up in a letter to Friedrich Bolte:

“The history of the International has been a continual struggle of the General Council against the sects and amateur experiments which sought to assert themselves within the International against the real movement of the working class. This struggle has been carried on at the congresses, but far more in the private negotiations between the General Council and individual sections.”

Marx-Engels Correspondence 1871, Marx to Friedrich Bolte In New York

Why do contradictions and struggles arise within proletarian parties? Marx and Engels analyzed their causes from three aspects.

  • First, because “the proletarian movement necessarily passes through various stages of development; at each stage some people stop short and do not move forward.”
  • Second, because some people have impure motives and “use the party for dirty private business,” and “use the workers for personal criminal ends.”
  • Third, because of bourgeois bribery and changes in strategy, which give rise to a “bourgeoisified proletariat” within the working class.

Marx and Engels summarized the conditions of struggle within proletarian parties and elevated them into a theory of inner-party struggle. In October 1882, Engels pointed out in a letter to Eduard Bernstein:

“It seems that any workers’ party of a large country can develop only through internal struggle—this accords quite generally with the laws of dialectical development.”

Marx Engels Correspondence 1882, Friedrich Engels to Eduard Bernstein In Zurich

In a letter written in the same month to August Bebel, Engels addressed the tendency among some members of the German party to grow weary of struggle and to pursue unprincipled unity, emphasizing:

“When unity is possible, unity is a good thing; but there are things higher than unity. Anyone who, like Marx and me, has fought the sham socialists all his life more than any others (for we regarded the bourgeoisie merely as a class and hardly ever crossed swords with individual bourgeois), will not be greatly troubled by the outbreak of inevitable struggles …”

Marx-Engels Correspondence 1882, Engels to August Bebel In Leipzig

At the same time, he pointed out:

“The development of the proletariat, wherever it takes place, is always accomplished through internal struggle.”

Lenin also summarized the laws governing internal struggle within proletarian parties. He pointed out:

“There has never been a Social-Democratic party in the world (especially in the period of bourgeois revolutions) that was not built up through a hard struggle against the bourgeois fellow-travellers of the proletariat and through repeated splits. The Russian Social-Democratic Party, too, was formed in 1898, and grew, matured, and steeled itself in hard struggles against such fellow-travellers, overcoming all obstacles.”

V. I. Lenin, A Letter to Huysmans, Secretary of the International Socialist Bureau [at end of text]

And:

“If the Russian working class had not waged a resolute struggle for thirty years against all varieties of opportunism, it could not have created its own party.”

Lenin, Socialism and War (The Attitude of the R.S.D.L.P. Towards the War), Chapter IV (“The History of the Split and the Present State of Social-Democracy in Russia”)

III. Organization and Discipline Are the Guarantee of the Fighting Effectiveness of a Proletarian Party

Any political party must possess a certain organizational form and a set of organizational principles. A party’s organizational form and organizational principles are determined by the historical mission it bears, the class foundation on which it rests, and the historical period and struggle environment in which it operates. Although organizational form and organizational principles are only the outward appearance of a party, whether these principles and forms are appropriately determined in accordance with its class characteristics and the requirements imposed by operating in its particular environment are most importance. These determine whether a party can become a politically cohesive core for its class and whether it can be effective in fighting for its goals.

In the process of founding and leading proletarian political parties, the classical Marxist writers paid close attention to designing party organizational forms and organizational principles on the basis of the era in which the proletariat found itself, its struggle environment, and the class characteristics and historical mission of the proletariat. In this respect, they developed a number of theoretical insights. Specifically, these can be summarized in these three points.

First, a proletarian party must have a strict organizational structure and rigorous organizational discipline. This is determined by the class nature of the working class itself. The working class is a product of large-scale industry, and large-scale industry is itself a form of coordinated labor by large numbers of people; it therefore inherently requires a high degree of organization and discipline from its workers. However, before the proletarian party was established, the organizations of the working class consisted only of some loose associations and “conspiratorial organizations.” Consequently, when the classical Marxist authors transformed these elementary forms of workers’ organization into a proletarian party, one of the principles they followed was to endow the new organization with a comparatively strict and well-defined organizational form.

In the statutes drafted by Marx and Engels for the first proletarian party organization—the Communist League—they explicitly stipulated the League’s organizational structure and organizational system. Chapter One of the Statutes provided that the organizational bodies of the League were: branches, district committees, central district committees, the Central Committee, and the Congress. Chapters Two through Seven further specified in detail the tasks and spheres of authority of the branches, district committees, central district committees, the Central Committee, and the Congress, and laid down the relations among the various levels of organization.

By the period of the First International, in addition to establishing the post of General Secretary, the Party’s central organ also set up an Executive Chairman, with the General Secretary presiding over the Party’s day-to-day work as a whole. In order to ensure that the work of the “International” proceeded effectively, more concrete “organizational regulations” were formulated on the basis of the Party’s statutes, establishing a series of systems, such as rules concerning the convening of congresses, democratic election procedures, reporting systems, the payment of membership dues, and systems of investigation and statistics.

In response to Russia’s particular historical and social conditions, Lenin elevated the question of the organizational form of the proletarian party to an even more important position. Lenin wrote: “In its struggle for power, the proletariat has no weapon other than organization.” The Party is the sum total of the organizations linked together. The Party is an organization of the working class, and this organization is divided into a network of various local and sectoral, central and rank-and-file organizations.

Lenin had two famous sayings: The individual proletarian is powerless; millions of proletarians are omnipotent.[V. I. Lenin, The Successes of the American Workers]

He emphasized: “To wage a victorious struggle for the realization of the working class’s ideals, it is necessary to organize. To consolidate all the achievements won at the cost of great sacrifices and tremendous efforts, it is also necessary to organize.” [V. I. Lenin, Speech At A Public Meeting In Simonovsky Sub-District, June 28, 1918]

Lenin also said: “We must create an organizational form best suited to our country’s conditions, in order to spread Social-Democracy and unite the workers into a single political force.” [V. I. Lenin, The Tasks of the Russian Social-Democrats]

What, then, is an organizational form suited to Russia? On this question, at the early stage of party-building Lenin once engaged in a dispute with the Menshevik faction led by Martov. At the Second Congress of the Russian Social-Democratic Labour Party, the draft party rules submitted by Martov required that anyone who accepted the Party programme and actively worked to carry out the Party’s tasks under the supervision and guidance of the Party’s organs could become a member of the Russian Social-Democratic Labour Party. The clause submitted by Lenin, by contrast, stated:

“Anyone who accepts the Party programme, supports the Party materially, and participates in one of the Party’s organizations may be a member of the Russian Social-Democratic Labour Party.”

V. I. Lenin, Account of the Second Congress of the R.S.D.L.P.

The crucial difference between these two clauses lay in whether or not a Party member must participate in one of the Party’s organizations. According to Martov’s conception, anyone could enroll himself in the Party at will—“if you wish, you are a member.” A party established according to such organizational procedures would inevitably be an organization that was loose, heterogeneous in composition, and amorphous. According to Lenin’s clause, however, Party members must participate in one of the Party’s organizations, accept Party leadership, and submit to Party discipline. A party established in this way would necessarily be a fighting, centralized, and disciplined party. Lenin believed that only such a party could meet the requirements of Russia’s harsh and severe political struggle at that time.

In addition to possessing a tightly knit organizational form, a proletarian party must also possess strict organizational discipline. The classical authors of Marxism placed great emphasis on this disciplinary character of the proletarian party. In the statutes they drafted for the Communist League, Marx and Engels already stipulated relatively strict discipline. “We must now absolutely maintain Party discipline; otherwise we shall achieve nothing.”

After the founding of the First International, the Party’s organizational discipline was successively challenged by the anarchist currents of Proudhon and Bakunin. Bakunin held that the implementation of strict discipline violated the principle of a “free federation” and did not accord with the “ideal of future human society.”

Engels strongly opposed this view. In his article “The Congress of Sonvillier and the International,” he wrote: “No Party discipline, no concentration of forces at any point, no weapon for struggle! What, then, will the prototype of future society become? In short, what will we gain by adopting this new form of organization? We shall gain an organization that is as timid, shrinking, and obsequious as that of the early Christians.”

Lenin also repeatedly emphasized that a proletarian party must have “iron discipline,” holding that “unconditional centralization and the strictest discipline of the proletariat are among the fundamental conditions for victory over the bourgeoisie.” “Whoever weakens, even slightly, the iron discipline of the proletarian party (especially during the period of the dictatorship of the proletariat) in fact helps the bourgeoisie against the proletariat.”

Second, a proletarian party must implement the organizational principle of democratic centralism. Democracy and centralism are two opposing aspects of the contradictions inherent in things. However, the classical authors of Marxism, who adhered philosophically to the method of the unity of opposites, unified these two opposing aspects in the organizational principle of the proletarian party, thereby creating democratic centralism as a unique organizational principle for the proletarian party.

First of all, within the proletarian party there should be democracy. If the party is to lead the proletariat in revolutionary struggle, it cannot rely on only a minority of people, and it cannot engage in personal dictatorship. Instead, it must rely on collective wisdom; for this reason, a democratic system must be implemented within the party. During the period the Communist League operated, the party’s

“organization itself was thoroughly democratic: its several committees were elected and removable at any time, and this alone blocked the way for any would-be conspiratorial madmen demanding dictatorship.”

Frederick Engels, On The History of the Communist League

Marx and Engels also placed special emphasis on embedding democracy in the party’s concrete organizational system. In a letter dated September 1892 to August Bebel, Engels pointed out:

“One should insist on holding a party congress every year. Even in order to observe the party statutes, your executive committee must do this; otherwise you will provide excellent pretexts for those who like to shout. Moreover, allowing the entire party even once a year to express its opinions is generally important.”

Marx-Engels to August Bebel, 26 September 1892, p. 543

Lenin also attached great importance to intra-party democracy.:He wrote:

“Only the Social-Democratic Labour Party, regardless of all its enormous difficulties, and even of great sacrifices, truly implements the democratic order in its organisation.”

The Workers’ Party Election Campaign in St. Petersburg, January 14, 1907 (in Prostiye Rechi, No. 1)

And he further explained:

“To really resolve questions in accordance with democratic principles, it is not enough merely to call a meeting of delegates elected by various organisations; one must let all the members of that organisation, when electing representatives, also independently express their individual opinions on all the contested questions that concern the entire organisation.”

V. I. Lenin, The Social-Democrats and the Duma Elections

Moreover within a proletarian party it is also essential to implement centralized leadership. Marx and Engels pointed out that the organization of a proletarian party is centralized and unified. A party must have a unified program and statutes, and revolutionary authority. All members within the party must obey every resolution of the party and observe its discipline. Only by implementing such centralization can all the party’s forces be bound together into one cord and concentrated on the same point of attack. When Engels summarized the lessons of the Paris Commune’s defeat, he believed that the Commune met its destruction because of a lack of concentration and authority.

Reconciling internal party democracy with internal party centralization, Marx and Engels further pointed out that democracy and centralization, autonomy and authority are all relative; none of them should be absolutized. That

“to describe the principle of authority as something absolutely bad, and the principle of autonomy as something absolutely good, is absurd. Authority and autonomy are relative things, and their scope of application changes with the stage of social development.”

Works of Frederick Engels 1872, On Authority

Marx and Engels also noted that within the proletarian party “there are no rights without obligations, and no obligations without rights.”

It can be said that Marx and Engels had already proposed the idea of democratic centralism. Their theory of democratic centralism was then further developed, enriched, and elevated by Lenin. In 1906, during the Fourth (Unity) Congress of the Russian Social Democratic Party, on Lenin’s suggestion the principle of democratic centralism was written into the party constitution for the first time, clearly stipulating that all party organizations are “established according to the principle of democratic centralism.”

Later, Lenin applied this organizational principle to the Communist parties of all countries joining the Communist International. In the document he drafted, “Conditions of Admission to the Communist International,” Lenin stated: “A party wishing to join the Communist International must be established on the principle of democratic centralism.” If a party could not be built on this principle, it could not be called a Communist Party. Lenin also emphasized elsewhere many times: “The principle of democratic centralism in the party is now universally recognized.” “We advocate democratic centralism.”

Besides upholding the Two-point Thesis, democratic centralism is also characterized by its embodiment of the “concrete analysis of concrete conditions,” the “living soul” of Marx’s dialectical materialism.

[Translator’s Note: The Two-point Thesis: Every concrete thing or process contains contradictory aspects. Correct analysis requires identifying both sides of the contradiction, understanding their unity and struggle and grasping which side is principal under specific conditions. So “two-point thesis” means: do not absolutize one side; always analyze contradictions as a unity of opposites. It is usually paired with (and contrasted against) the “one-point thesis”: one-sided thinking that elevates a single factor and ignores contradictions. More detail at link.]

When the classic Marxist authors emphasized democratic centralism, they also noted that its scope of application changes with different stages of social development.

  • During the period of the Communist League, because communists everywhere were being suppressed by reactionary forces, the League could only exist in the form of a tightly knit organization, and in terms of organizational principles, the centralized side was emphasized.
  • During the period of the First International, because the objective situation changed, the International adopted an open form of organization, and in terms of organizational principles, the democratic side was emphasized.
  • During Lenin’s period of building the Party in Russia, he consistently emphasized highly centralized unity in the Party’s organizational principles; this too was a strategy determined in response to the objective situation. In response to the actual conditions at the time—Tsarist autocratic rule, the Party’s inability to exist legally, and the trend of anarcho-syndicalism within the Party—Lenin stated:

“The centralism idea is the only principled idea and should permeate the whole party statutes” that is to say that

“it is the method of determining, in principle, the solution to all local and detailed organizational questions.”

Vladimir Ilyich Lenin, One Step Forward, Two Steps Back, (THE CRISIS IN OUR PARTY)

For the Mensheviks’ call for “more democracy” in the Party, Lenin pointed out that under an autocratic system democracy cannot be implemented because democracy “under a dark autocracy, in the situation where the Tsar’s police make selections everywhere … is only a meaningless and harmful game,” and “attempts to implement the ‘principle of broad democracy’ can only facilitate broad police suppression of our organization.”

In the article “Conditions of Admission to the Communist International,” Lenin also stated:

“In the present era of intense domestic war, the Communist Party must be organized in as centralized a manner as possible, implementing iron discipline like military discipline within the Party; the Party’s central organs must possess extensive power, enjoy universal trust of all party members, and become an authoritative institution.”

Conditions of Admission to the Communist International (2nd Comintern Congress, 1920)

This demonstrates that the classic authors applied the organizational principle of democratic centralism with great flexibility.

Third, the proletarian political party must strengthen organizational unity and oppose fragmentation. Unity is also one of the important organizational principles of a proletarian party. When Marx and Engels founded the Communist League, they took “Workers of the world, unite!” as their basic slogan. This slogan came before they wrote The Communist Manifesto itself. After the First International was established, they emphasized once more what they called “a basic principle of the International — unity.”

If we can firmly consolidate this living principle among all workers in all countries, we shall surely achieve the great goal we aspire to.”

Lenin also attached utmost importance to unity within the proletarian party. He pointed out:

“The more the economic and political struggles of the workers develop, the more urgently they feel the necessity of unity. Without the unity of the working class, there can be no victory in the struggle of the working class. What is this unity to be based on? Obviously, it must be based on the unity of the Social Democratic Party.”

Draft Platform for the Fourth Congress of Social-Democrats of the Latvian Area

Why should unity be made a basic organizational principle of a proletarian party? The classic Marxist authors have the following three understandings.

(1) This is determined by the nature of the proletarian party. The proletariat is the most progressive class in human history; it is closely connected with large-scale production and has gradually formed the fine characteristic of being adept at unity. As the vanguard organization of the proletariat, the party is even more concentrated in this fine characteristic; therefore, the party is necessarily unified — an organized, combatant whole.

(2) Unity is where the strength of the proletarian party lies. The advantage of the proletariat is its numerical superiority; to make this advantage truly effective, it can only rely on unity. Marx said in the Communist Manifesto : “The workers already possess numbers as one of the factors of success; but numbers can decide victory only when organized and guided by consciousness.

(3) This is also the experiential conclusion drawn from the historical experience of the international workers’ movement. Marx pointed out that all previous efforts “have hitherto produced no effect, because the workers of the diverse branches of labor in each country have not been sufficiently united among themselves, and the working classes in different countries have lacked close union. If “we ignore the brotherly unity that ought to exist among workers in all countries… they will be punished — their scattered efforts will meet with common failure.”

After the failure of the Paris Commune in 1871, Marx further pointed out: “Revolution must be united; the great experience of the Paris Commune teaches us this.

Why should unity be taken as a basic organizational principle of a proletarian political party? The classical Marxist authors shared these three understandings.

(1) The organizational principle determined by the nature of the proletarian party. The proletariat is the most progressive class in human history; it is closely connected with large-scale production, and has gradually formed the fine characteristic of being good at unity. As the vanguard organization of the proletariat, the party concentrates this excellent trait even more, and therefore the party is inevitably united and unified, a united and organized fighting whole.

(2) Unity is where the strength of the proletarian party lies. The advantage of the proletariat is the numerical advantage; to truly bring this advantage into play, only unity can be relied upon. Marx said in Address of the General Council of the International Workingmen’s Association (First International).: “Workers already possess in their numbers one of the elements for success; but—only when the mass is organized and led by knowledge does the numerical factor play the decisive role in determining victory or defeat.”

(3) This experience is also drawn from summarizing the historical experience of the international workers’ movement. Marx pointed out that previously

“all efforts up to now have had no result because the workers of the different branches of labor in each country are not sufficiently united with each other, and because the working classes of the various countries lack close union with each other.”

General Rules of the International Working Men’s Association

If “the brotherly unity that ought to exist among workers in all countries is ignored … they will be punished— their scattered efforts will suffer a common failure.”

Marx, The International Workingmen’s Association 1864, Inaugural Address of the International Working Men’s Association “The First International”

In 1871, after the failure of the Paris Commune, Marx again pointed out: “Revolution ought to be united, and the great experience of the Paris Commune teaches us this.”

Since organizational unity of the proletarian party must be strengthened, all forms of splitting behaviour must be opposed, especially the struggle against sectarian elements within the party. Here Marxist dialectics is again embodied: to achieve unity, struggle must be carried out; through struggle, unity is reached. Engels believed:

“In times when it is possible to unite, unity is very good — but there is also something above unity.”

Marx-Engels Correspondence 1882, Engels to August Bebel In Leipzig

What is above unity is the party’s political programme and the fundamental interests of the proletariat; this is the basis on which a proletarian party can achieve genuine unity. Unity based on this foundation must be achieved through the struggle against sectarian elements within the party. The classical authors were deeply disgusted by sectarian activities inside the party.

Marx and Engels pointed out that sectarianism is in essence reactionary:

“The development of socialist sectarianism is always inversely proportional to the development of the genuine workers’ movement. While the working class has not yet matured to conduct independent historical movements, sects have their (historical) justification. Once the working class has matured to that degree, all sects are essentially reactionary.”

Marx, Marx-Engels Correspondence 1871, Marx to Friedrich Bolte In New York

“The characteristic of all sects is mutual attachment and conspiratorial activity.”

Engels, Marx-Engels Correspondence 1872, Letter from Engels to Theodore Cuno

Lenin also pointed out:

“The party must be united, no opposition can be tolerated within the party—this is the political conclusion drawn from the present situation.”

V. I. Lenin, Part II: Tenth Congress of the R.C.P.(B.) 3 Summing-Up Speech On
The Report Of The C.C. Of The R.C.P.(B.) March 9

“Anyone who cherishes the party and the restoration of the party’s work should most resolutely oppose all those who, purely from the perspective of factional organisations and small groups, and purely for the interests of factional organisations and small groups, strive to destroy the party.”

Vladimir Ilyich Lenin, The State of Affairs in the Party (1910)

Section Four: Party Leadership Is a Fundamental Condition of the Dictatorship of the Proletariat

I. The proletarian party must maintain an independent position in the revolutionary cause

Marxism has always attached great importance to the question of leadership by the proletarian party. It has devoted extensive discussion to this issue, making the problem of leadership an important constituent part of the Marxist theory of political parties.

With regard to the question of party leadership, the first issue concerns the relationship between the proletarian party and other classes. The development of the proletarian revolutionary movement is uneven across different parts of the world. Generally speaking, in the initial stages of the movement the forces of the proletariat are still relatively weak. Therefore it needs to form alliances with other classes. In fact it may even become a subordinate force or a “tail” of other classes. However, in the end, only the proletariat is a genuinely revolutionary class. As the revolutionary process advances, the advanced nature of the proletariat will increasingly reveal itself. The establishment of a proletarian party is a sign that the proletariat has reached political maturity. Yet even after achieving political maturity, the proletariat still needs, for a certain period of time, to form alliances with other classes. Marxism holds that within such alliances, the proletarian party must secure an independent position and strive to obtain leadership of the movement.

The proletariat needs to form alliances with other classes for a period of time for two main reasons:

First, strategic considerations.
For example, when the proletarian revolution is carried out in a country where feudal forces have not yet been overthrown and the revolution still has the character of a democratic revolution, the proletarian party can form alliances with the bourgeoisie and the petty bourgeoisie. During the period of the Communist League, given that the revolutionary character in Germany at the time was a bourgeois democratic revolution, Marx, Engels, and other leaders of the League decided to operate in the role of the democratic left. The Neue Rheinische Zeitung they established also appeared as “the organ of the democratic faction.”

Engels said:

“If we had not been willing at that time to do this, to participate in the movement and push the movement forward standing on the side already in existence, the most advanced side, which in fact was the proletariat, then we would have to propagate communism in some small paper in a remote place, and would have to found a small sect instead of creating a vast party of action.”

Engels (1884), Marx and the “Neue Rheinische Zeitung” (1848–1849)


Lenin and Mao Zedong also advocated forming such alliances with the bourgeoisie during the early period after the founding the Communist Party of the Soviet Union and the Communist Party of China.

Second, considerations of strengthening revolutionary forces.
This mainly refers to alliances with the peasant class. The peasants, a class that “can never victoriously undertake an independent movement,” are, under both feudal and capitalist societies, also a dominated class. They possess an instinctive revolutionary impulse; therefore, in the proletariat’s own liberation struggle, it should form an allied army with the peasants.

Marx pointed out

“The exploitation suffered by the peasants and the exploitation suffered by the industrial proletariat differ only in form. The exploiters are the same: capital.”

Karl Marx, The Class Struggles in France,Abstract of Chapter 3: Consequences of June 13, 1849

Hence, the peasants will necessarily regard “the urban proletariat, which has the mission to overthrow the bourgeois system, as their natural ally and leader.”

Karl Marx (1852), The Eighteenth Brumaire of Louis Bonaparte, VII

Both the Russian Communist Party and the Chinese Communist Party in their leadership of revolutionary processes also emphasized the importance of the worker–peasant alliance. Lenin noted that the reason the working class and the peasants could form an alliance “lies in the fact that the interests of these two classes in democratic reforms are inevitably the same.

He emphasized: “Only when the masses of peasants join the revolutionary struggle of the proletariat can the proletariat become an invincible democratic fighter.”

Vladimir Ilyich Lenin, “Two Tactics of Social-Democracy in the Democratic Revolution”

In his essay Making the Revolution’s Facilitation Force, Mao Zedong also pointed out:

“The dictatorship of the proletariat must rely on a broad allied army; the proletariat alone as a single class cannot do it. China’s proletariat is few in number, only over ten million people; it must rely on hundreds of millions of poor peasants, lower-middle peasants, urban poor, impoverished artisans, and revolutionary intellectuals to achieve the dictatorship; otherwise it is impossible.”

Selected Works of Mao Tse-tung “Be Activists in Promoting the Revolution”
October 9, 1957

The problem is that proletarian parties must maintain their independence in strategic alliances with other classes and must not be content to act as someone else’s “tail.” Furthermore, once the proletarian revolutionary movement has developed to a certain stage, it must part ways with other classes and achieve an independent leadership position over the movement. These are points repeatedly emphasized by the classical Marxist writers.

Why must the proletarian party maintain its own independent position and strive to secure leadership of the revolutionary movement? The explanations given by the classic authors of Marxism are mainly threefold.

First, only the proletariat is a thoroughly revolutionary class, whereas other classes are merely fellow travelers in the revolution. If the proletarian party allows itself to follow other classes, it will stray onto a wrong revolutionary path. After 1848, Marx and Engels summed up the experience of the revolution and for the first time offered a relatively comprehensive demonstration of the boundary between the proletarian party and petty-bourgeois parties. They pointed out that the “Social-Democratic Party” led by Louis Blanc and Ledru-Rollin was in essence a radical petty-bourgeois party.

The substance and characteristics of this party’s program were, on the one hand, to block the domination of capital and its rapid growth by restricting inheritance rights, and on the other hand, by transferring as many branches of industry as possible to state management. As for the workers, it was beyond doubt that they were still to remain wage laborers; however, these democratic petty bourgeois wished to grant workers higher wages and a more secure livelihood. In short, they hoped to buy off the workers with what might be called illusory small favors and to blunt the workers’ revolutionary strength by temporarily improving their living conditions.

The program of a proletarian party, by contrast, is entirely different. The interests of the proletariat require that its party “carry on the revolution in permanence until all more or less propertied classes have been removed from power, until the proletariat has conquered state power.” For the proletarian party,

“the question is not the reform of private property, but its abolition; not the concealment of class antagonisms, but the abolition of classes; not the improvement of existing society, but the foundation of a new one.”

Marx, 1850, London, Abstract from the Address of the Central Committee to the Communist League

On the basis of this analysis, Marx and Engels pointed out in the Address of the Central Committee to the Communist League: “The workers, and above all the Communist League, must not again serve as the echoing chorus of the bourgeois democrats.” They called upon the members of the League:

“In order to achieve their final victory, they must first rely on their own efforts: they should clearly recognize their own class interests, as soon as possible adopt the position of an independent party, and not allow themselves, for a single moment, to be led astray by the hypocritical phrases of the democratic petty bourgeois from the path of maintaining the independent organization of the proletarian party.”

Karl Marx and Frederick Engels, Address of the Central Committee to the Communist League, London, March 1850

In the second Address of the Central Committee to the Communist League, Marx and Engels further emphasized: “Under certain conditions, the working-class party can entirely make use of other parties and factions to achieve its own aims, but it must not subordinate itself to any other party.”

Second, because bourgeois political parties are weak, they find it very difficult to carry the struggle against feudalism to its conclusion; this task must be accomplished under the leadership of a proletarian party. This is especially true in countries where the foundations of feudal domination are relatively strong. In Russia, when the Menshevik faction argued that the leadership of the democratic revolution should be handed over to the bourgeois party, Lenin rebutted them saying:

“Marxism teaches the proletariat not to evade the bourgeois revolution, not to be indifferent to it, and not to surrender leadership in the revolution to the bourgeoisie, On the contrary, it teaches the proletariat to participate in it as actively as possible, to fight most resolutely for throughgoing proletarian democracy, and to carry the revolution through to the end.”

V. I. Lenin, “Two Tactics of Social-Democracy in the Democratic Revolution”, 6. From what Direction is the Proletariat Threatened with the Danger of Having its Hands Tied in the Struggle Against the Inconsistent Bourgeoisie?

Lenin further pointed out:

“The outcome of the revolution will depend on whether the working class becomes a powerful assistant of the bourgeoisie—strong enough to help overthrow absolutism, but politically weak—or whether it becomes the leader of the people’s revolution.”

Vladimir Ilyich Lenin, Two Tactics of Social-Democracy in the Democratic Revolution
Preface

In the course of China’s revolutionary process, the Communist Party of China also made the strategic decision to transform the “old democratic revolution” into the “new democratic revolution.” The new-democratic revolution was a revolution led by the Communist Party, based on the worker–peasant alliance, and uniting patriotic personages, democratic parties, and all other progressive forces to oppose imperialism, feudalism, and bureaucratic capitalism. In a revolution of this nature, the position of the proletarian party is, first, independent, and second, leading.

Third, only by establishing an independent proletarian party and affirming the party’s leadership over the revolutionary cause can the proletariat truly unite and act as a class. In the Inaugural Address of the International Working Men’s Association (the First International), Marx wrote:

“The new upsurge of the working-class movement in the most developed industrial countries of Europe, while awakening fresh hopes, also gives solemn warning against a relapse into old errors and calls for the immediate combination of the still disconnected movements.”

The International Workingmen’s Association 1864, General Rules, October 1864

Marx and Engels also came to recognize that merely establishing a unified international workers’ organization was no longer sufficient for organizing and mobilizing the proletariat in a more comprehensive and profound way; they deeply felt the necessity of establishing independent proletarian parties in each country.

In 1869, Marx and Engels first helped the German working class establish the world’s first international proletarian party organization—the Eisenach faction of the Social Democratic Workers’ Party. In February 1871, in his letter to the Federal Council of the Spanish Regional Federation of the International Working Men’s Association, Engels pointed out:

“Experience everywhere has demonstrated that the best way to free the workers from the domination of the old parties is to establish, in each country, a proletarian party with its own policy—a policy clearly distinct from that of all other parties, because it must express the conditions for the emancipation of the working class.”

Marx-Engels Correspondence 1871, Friedrich Engels to the Spanish Federal Council of the International Working Men’s Association, 13 February 1871

After the defeat of the Paris Commune, Marx and Engels summarized the lessons of its failure and believed that one of the important reasons for its defeat was the lack of a unified proletarian party to provide leadership:

“No one knew what ought to be done; factions engaged in futile struggles with one another, exhausting the energies of the Commune.”

Introduction (1891) by Frederick Engels to Karl Marx, The Class Struggles in France

In September 1871, at the London Conference of the First International convened to sum up the lessons of the Paris Commune, Marx and Engels once again emphasized:

“In its struggle against the collective power of the propertied classes, the working class can act as a class only by constituting itself into an independent political party, opposed to all the old parties formed by the propertied classes.”

International Workingmen’s Association 1871, Resolution of the London Conference on Working Class Political Action as adopted by the London Conference of the International, September, 1871

II. The proletarian party must uphold its leadership over class and mass movements

Marxism holds that the proletarian party, as the organized vanguard of the class, must be distinguished from the proletariat’s general masses, must advance at the forefront of the class, and must firmly uphold its leadership over the revolutionary movement.

Marx and Engels did not directly and systematically expound upon the relationship between the proletarian party and the proletariat’s general masses. They did however discuss extensively why the the proletariat needs to establish its own party organization and to the advanced character of the proletarian party. In these discussions, one can already see that a distinction is drawn between the proletarian party and the general masses over which is should exercise leadership. It was Lenin who carried out a clear, comprehensive, and in-depth exploration of the relationship between the proletarian party and the general masses.

Lenin was prompted to examine this question by both international and domestic factors. Internationally, within the Second International at that time, there existed a current of thought that denied the advanced role of Marxist theory and instead emphasized the “natural rationality” of the workers’ movement. Domestically, during the early period of building a proletarian party in Russia, Lenin successively entered into disagreements with the “Economists” and the “Mensheviks” over what kind of party should be established. It was precisely through criticism and polemical struggle that Lenin articulated his own views on the relationship between the proletarian party and the general masses. The core of Lenin’s position was that the proletarian party, as a vanguard, is distinct from the proletariat’s general masses, and that the proletarian party must uphold its leadership over class and mass movements. More concretely, Lenin’s position includes three main aspects:

First, the proletariat cannot “spontaneously” embark upon the socialist road; it must be led forward by the Party. In the early period of party-building in Russia, the Economists proposed that the workers’ movement should be allowed to arise spontaneously and denied the necessity of establishing a proletarian political party. Lenin subjected this view to a fierce rebuttal. He held that the proletariat cannot spontaneously embark upon the socialist road, because socialism is a science and cannot arise spontaneously within the workers’ movement; rather, it must be “introduced” from outside into the working masses by the proletarian party. Lenin pointed out:

“The history of all countries shows that the working class, exclusively by its own effort, is able to develop only trade-union consciousness, i.e., the conviction that it is necessary to combine in unions, fight the employers, and strive to compel the government to pass necessary labour legislation, etc.”

Vladimir Ilyich Lenin, What Is To Be Done?
Burning Questions of our Movement II The Spontaneity of the Masses and the
Consciousness of the Social-Democrats

Since the workers’ movement cannot spontaneously generate socialist consciousness, the task of socialists is to

“introduce socialist consciousness into this movement and unite the advanced elements of the working class into a centralized party.”

Lenin quoting Karl Kautsky in Vladimir Ilyich Lenin, What Is To Be Done?
Burning Questions of our Movement II The Spontaneity of the Masses and the
Consciousness of the Social-Democrats

The “instilling” [Note: Chinese word 灌输 guànshū has the meaning of instill/indoctrinate. This Chinese translation is controversial. See discussion below. End note. ] spoken of here is, in essence, the proletarian party’s exercise of ideological guidance.


Interlude

Translation and Selective Emphasis According to Ideological Preferences via ChatGPT5 — an intriguing query to ChatGPT5 — Translation and Pedagogy of Lenin’s What is to be Done? as an example.

It does match my experience that the translations are reliable but their actual use in China over the years has been selective. This Marxist Political Science textbook “The Logic of Politics” for the most part does not provide citations to the texts so I have added them in with the help of ChatGPT5, the Marxists Internet Archive texts in Chinese and English translations (expect of course when Marx or Engels wrote in English). In my readings of PRC ideological articles I’ve often been struck by how often a sentence or two of a Marxist classic is quoted without any context or even a reference to the particular work and page number of the reference. I suppose a Marxist Political Science textbook, supplemented these days with Xi Jinping Thought, functions as much as a catechism as an academic work.

The Compilation and Translation Bureau of the Chinese Communist Party Central Committee does translations into Chinese. I visited there once with some colleagues from U.S. Embassy Beijing in 2010. One of them, Cliff Edmunds, an expert on Chinese publications from the US government’s FBIS/Open Source Center, told pointed to the 1980s translation of Lenin’s Collected Works into Chinese and told me “When they translated Lenin into Chinese, they massaged the translation from Russian so that Lenin would support Deng Xiaoping Theory.”

I’ve copied below some excerpts from the ChatGPT5 overview. The ChatGPT5 matches my own experience that the official translations are accurate but their use is selective to support the current line of the political leadership. If you want to go deeper into the weeds, or even far into the soil beneath the weeds, you can click on the link! Some sources show up in the linked text but not when I copied it below for some reason.

3. Lexical comparison (1995 vs 2012)

Element19952012Change?
灌输灌输灌输No
从外面从外面从外面No
进去进去进去No
工联主义的意识工联主义的意识工联主义的意识No
必须…必须…必须…retainedretainedNo

Bottom line:
There is zero lexical softening or hardening between 1995 and 2012.
Anyone claiming the 2012 edition “corrected” or “moderated” 灌输 is simply wrong.


4. Where the editions do differ (editorial level)

This is where the real, but subtle, differences lie.

A) Paragraph segmentation

  • 1995: Often printed as a tight paragraph cluster, with less visual separation between Lenin’s assertion (“只能从外面灌输进去”) and the historical generalization (“各国的历史都证明…”).
  • 2012: More consistent paragraph breaks and spacing, making it clearer that:
    1. the “灌输” sentence is a theoretical claim, and
    2. the “各国的历史都证明” sentence is empirical justification.

This affects how readers perceive logical structure, not content.

B) Annotation apparatus

  • 1995: Sparse or absent explanatory notes at this point.
  • 2012: More systematic annotation style overall (though not always footnoted at this exact sentence), reflecting post-2000s PRC editorial norms emphasizing “historical context.”

Importantly, no note retracts or problematizes 灌输.

C) Citation practice encouraged downstream

  • Post-2012 textbooks and party-school materials often quote only the first two sentences, sometimes isolating: “这种意识只能从外面灌输进去。”

This is not a textual change, but a didactic extraction practice that becomes more common after the 2000s.


5. Interpretive implications of “no change”

This is the key analytical takeaway.

1) PRC editorial stance is continuity, not revision

Between 1995 and 2012, the PRC editorial system explicitly chose not to revise the verb 灌输, despite:

  • decades of international criticism,
  • availability of softer alternatives (引入, 带入, 传播),
  • awareness of Western debates.

This tells us that 灌输 is regarded as conceptually correct, not an unfortunate legacy phrasing.

2) The real shift is pedagogical, not textual

What changes after 1995 is:

  • how often the sentence is quoted alone,
  • how it is mobilized in “ideological work” discourse,
  • how rarely Lenin’s subsequent discussion of:
    • newspaper as collective organizer,
    • political exposure,
    • national-level agitation
      is carried along with it.

Thus, the “hardening” people perceive after 2000 is a change in citation ecology, not in Lenin’s Chinese text.

3) Philological conclusion

From a strict textual-critical standpoint:

  • 1995 and 2012 are the same witness for 灌输.
  • Any interpretive divergence must be attributed to:
    • selective quotation,
    • genre shift (theory → pedagogy),
    • or later doctrinal use,
      not to translation revision.

Between the 1995 and 2012 PRC editions of What Is To Be Done?, the key formulation “这种意识只能从外面灌输进去” remains completely unchanged; what evolves is not the translation itself, but the editorial framing and downstream practice of isolating this sentence from Lenin’s broader polemic against Economism.

…… 6. Interpretive implications in post-2012 educational usage

Across PRC party-school textbooks and training excerpts after 2012, the usage of Lenin’s sentence shows three consistent trends:

(1) Decontextualization

The sentence is almost always quoted without the immediately preceding conditions (Lenin criticizes Economism and argues for theoretical science as the basis of socialism) and without the immediately following elaboration on trade-unionism vs socialist politics.

(2) Generalization

It is presented as a timeless principle about how any form of correct ideology must be introduced into the masses—often without qualifiers or attention to Lenin’s own historical specificity.

(3) Doctrinal utility

Textbooks use the line instrumentally to justify current party educational campaigns, party-media practice, and organizational norms around ideological education.


7. Representative schematic of post-2012 citation patterns

Here is a generalized schematic of how the same Lenin sentence appears in party-school contexts, with the typical framing:

Textbook Type / ModuleCitation formFraming
思想政治理论课“这种意识只能从外面灌输进去。”General principle of ideological work
基层党建教材“…灌输社会主义意识…”Party must instill correct ideas in cadres and masses
意识形态安全课程Lenin citation + media strategyParty’s media must fulfill the function described
马克思主义发展史教材Longer Lenin citation with trade-unionismHistoric roots of party organization theory

8. A short illustrative pattern from open syllabi (paraphrased)

Typical excerpted bullet points from post-2012 party-school class notes include:

  • 列宁关于意识形态工作的基本观点
    • “工人不能自发走上社会主义道路…”
    • “这种意识只能从外面灌输进去。”
    • 这反映了党组织在思想建设中的领导作用
  • 意识形态建设的现实意义
    • 当前必须坚持正确舆论导向,把社会主义核心价值观灌输到各级组织和社会公众中去

Notice the transfer: Lenin’s historical sentence becomes a scaffolding for contemporary policy language like “社会主义核心价值观灌输/引导”.


9. What is not done in party-school textbooks

Across many training documents and study guides, you will rarely see:

❌ Lenin’s notes on theoretical science vs economic struggle
❌ The explanation of socialist consciousness as a systematic theory
❌ Any mention of the original polemical context (Economism)
❌ Russian source or discussion of translation choices

Instead, the line functions almost always as a principle of ideological dissemination.


10. Summary / what this means

After 2012, PRC party-school and official ideological textbooks systematically use Lenin’s sentence on 灌输 as:

  • a principle of political-ideological work,
  • justification of top-down ideological leadership,
  • rhetorical support for modern party media/education campaigns.

The original Lenin context is downplayed, and what prevails is instrumental use of the sentence to support ongoing party-education objectives.

End Interlude


Second, the Party is only a portion of the class; it is the advanced element of the class. The Party must not be confused with the masses in general. During the process of party-building, the Mensheviks once advanced the view that “since it is a party of the class, one should try not to exclude from the Party those people who, although not very active or reliable, consciously gravitate toward the Party.” Lenin pointed out that this formulation commits exactly the same error as the Economists: it confuses the Party with the class.

The Party is a party of the class. This means that the Party represents the interests of the working class and leads the working class forward; but this by no means implies that the Party, in its organizational composition, includes the entire working class. The Party is only a part of the working class—the most advanced, most active, and most class-conscious part; it is the advanced detachment of the working class.

Lenin pointed out:

“We are the party of a class, and therefore almost the entire class (and in times of war, in the era of civil war, literally the entire class) should act under the leadership of our Party and should draw as close to our Party as possible; but to think that under capitalism, at any time, almost the entire class or the entire class could rise to the level of consciousness and activity of its advanced detachment, its Social-Democratic Party, is Manilovism and ‘tail-ism.’”

One Step Forward, Two Steps Back (The Crisis in Our Party) I. Paragraph One of the Rules

Lenin held that there are differences, in both the level of consciousness and the degree of organization, between those who join the Party as its vanguard fighters and those active elements and sympathizers who merely draw close to the Party, and that these must never be confused. Anyone who

“forgets the distinction between the vanguard and all the masses gravitating toward it, forgets the constant duty of the vanguard to raise ever broader strata to this advanced level, merely deceives himself, ignores our enormous tasks, and reduces these tasks.”

One Step Forward, Two Steps Back (The Crisis in Our Party) I. Paragraph One of the Rules

By emphasizing this special quality required of Party members, Lenin was in fact affirming that the Party must exercise leadership over the class and over the mass movement.

Third, the party is the highest form of proletarian unity. In the revolutionary struggle the proletariat not only creates its own party organization, but also gives rise to mass organizations such as trade unions, youth leagues, and women’s associations. What should be the relationship between the party and these mass organizations? Lenin argued that it should also be a relationship of leadership and being led. On this question, Marx and Engels discussed it in their early years. They once proposed that the party is the “centre and core of the workers’ unions.”

Lenin developed this idea and proposed that the party is the “highest form of class unity of the proletarians.” Lenin believed that the workers’ movement has a developmental process from the primary to the advanced, and correspondingly, the organizational forms of the proletariat also have a developmental process from the primary to the advanced. It is an inevitable law that the primitive forms of proletarian organization are replaced by higher forms. Lenin described this development process as follows:

At the early stage of capitalist development, trade unions are a tremendous advance for the working class, because trade unions are the transition by which workers move from dispersion and weakness to preliminary class unity. When the highest form of class unity of the proletarians — that is, the revolutionary proletarian party — begins to grow, trade unions inevitably reveal certain reactionary aspects, such as some forms of narrow corporatism, tendencies to avoid politics, and conservative habits, etc.

Vladimir Lenin, “Left-Wing” Communism: an Infantile Disorder, 6. Should Revolutionaries Work in Reactionary Trade Unions?

When this stage of development is reached, trade unions should, under the “supervision and leadership” of the Social–Democratic Party organization, conduct their work, which is beyond doubt for every Social–Democrat. To strengthen the party’s leadership over the various mass organizations

“it is necessary to persistently carry on communist work within trade unions, cooperatives and other mass workers’ organizations. Communist Party branches must be established within these organizations, and these branches should carry on a long and tenacious effort to win the trade unions to serve the cause of communism.”

Terms of Admission into Communist International #9

At the same time, Lenin stressed:

“These Communist Party branches should fully submit to the leadership of the entire party.”

Third Congress of the Communist International, The Communist International and the Red International of Trade Unions, “The Struggle Against the Amsterdam (scab) Trade-Union International”

III. A proletarian party should be led by revolutionaries

Every political party presents itself in a definite organizational structure. Within that structure, a distinction inevitably arises between the party’s leading organs and its lower-level organs, between leading figures and ordinary members. Then, within the party apparatus, what kind of relationship ought there to be: between the leading organs and the lower-level organs, and between leaders and the rank and file?

Marxism’s basic answer to this question is: the party is organized according to the organizational principle of democratic centralism. Accordingly, in the various internal relationships of the party organization, one must embody both its democratic aspect and its centralized aspect. But democracy and centralism are not to be treated as equal in weight. As the social environment and the conditions of struggle differ, the degree of emphasis placed on democracy and on centralism also differs.

Generally speaking, when the environment is relatively complex and the struggle relatively acute, more emphasis should be placed on centralism; conversely, more emphasis should be placed on democracy. However, because for the overwhelming majority of the time since its birth the proletarian party has existed in a complex and acute environment of struggle, centralism has constituted the general characteristic of internal relations within the proletarian party.

The so-called principle of centralization emphasizes a top-down relationship of orders and obedience within the party organization. This is what Comrade Mao Zedong later summed up as the organizational principle of “individuals submit to the organization, lower bodies submit to higher bodies, and the whole party submits to the Central Committee.”

Marx and Engels once opposed the practice of centralization within the party. They criticized that “the organizational form of centralization is extremely useful for secret societies and sectarian movements.” However, when anarchist tendencies became rampant within the First International, Marx and Engels stood up to defend centralization. They pointed out:

“To call the principle of authority absolutely bad and to call the principle of autonomy absolutely good is absurd. Authority and autonomy are relative things; their spheres of application vary with the different stages of social development.”

Friedrich Engels, On Authority (1872)

They summarized the lessons of the defeat of the Paris Commune, pointing out:

“The Commune was defeated for want of centralization and authority.”
Engels’ Letter to Carlo Terzaghi (14–15 January 1872) [Translator’s Note: couldn’t bring up letter in English on the Marxists Archive; it is there in Chinese at 146.恩格斯致卡洛·特尔察吉[385] 都灵[草稿][1872年1月6日左右]于伦敦
瑞琴特公园路122号

Vladimir Lenin elevated the principle of democratic centralism for a proletarian party to a theoretical height. Lenin believed that without a party organization led by revolutionaries, “a genuine revolutionary movement is but an imaginary thing.” Facing debates within the Second International at the time — such as “Is it party dictatorship or class dictatorship? Is it leader dictatorship (party of leaders) or masses dictatorship (party of the masses)?” — Lenin responded:

“In the great majority of cases, at least in modern civilized countries, classes are normally led by parties; parties are normally led by relatively stable groups of people of greatest authority, influence, and experience who are elected to fill the most important posts and are called leaders.”

J. V. Stalin, Concerning Questions of Leninism Dedicated to the Leningrad
Organisation of the C.P.S.U.(B.) January 25, 1926

In the process of building the party in Russia, Lenin gradually developed the idea of establishing an “organization of professional revolutionaries.” Lenin believed that, in order to transform scattered local Social-Democratic organizations into a centralized, unified Marxist political party, one must first organize those who could form the backbone that would forge unity throughout the entire party—namely, professional revolutionaries who devote themselves wholly to the revolution, who are the most cultivated in theory and practical activity, most loyal to the revolutionary cause, and who maintain close ties with the proletariat—and on that basis establish a central leading core.

Trotsky argued that

“the party must seek the guarantee of its stability on its own foundation; that foundation is an active proletariat that has confidence in itself, not its superiors.”

Leon Trotsky: Our Political Tasks (1904) — the line appears in Part III (Organisational Questions), ch. 4.

Lenin’s understanding was the very opposite:

“Any revolutionary movement cannot endure without a stable organization of leaders capable of maintaining continuity”; and “the broader the masses who are spontaneously drawn into the struggle—who constitute the movement’s foundation and who participate in it—the more urgent the need for such an organization becomes, and the more consolidated it must be.”

Lenin: What Is To Be Done? — Chapter IV, The Primitiveness of the Economists and the Organization of Revolutionaries

Lenin pointed out that the organization of a new type of proletarian party should consist of two parts: one part is a relatively small number of leading functionaries who work continuously and serve as the core—primarily professional revolutionaries; the other part is a broad network of local organizations composed of rank-and-file Party members who maintain close ties with the masses and enjoy their support. In the harsh conditions of struggle then prevailing in Russia, only by building a strong organization of professional revolutionaries could the Party avoid being easily smashed by the enemy, preserve the stability of its leading core, and maintain continuity in the links between the center and local Party organizations.

Lenin also identified three differences between an organization of professional revolutionaries and a workers’ organization: first, a workers’ organization is generally made up of people whose occupation is production, whereas a revolutionary organization is made up of people whose occupation is revolutionary activity; second, a workers’ organization is a broad mass organization, whereas a revolutionary organization is a comparatively narrow organization of a small number of leaders; third, a workers’ organization is as open as possible, whereas a revolutionary organization is as clandestine as possible.

Lenin highly valued the role of an “organization of professional revolutionaries” in the revolution. He noted that

“an organization of professional revolutionaries, led by the real political leaders of the entire people”

Lenin: What Is To Be Done? — Chapter IV, The Primitiveness of the Economists and the Organization of Revolutionaries

was the leading core of Social-Democratic committees and groups across Russia, and a “tribune of the people.” The spontaneous struggle of the proletariat, if it is not led by a strong organization of revolutionaries, cannot become the proletariat’s genuine ‘class struggle.’” Therefore, Lenin emphasized: “Give us an organization of revolutionaries, and we shall turn Russia upside down.”

At the same time, within the organization of professional revolutionaries, Lenin also gave full affirmation to the role of revolutionary leaders. In his view, throughout history no class can attain a ruling position unless it puts forward its own political leaders and advanced representatives—people who are adept at organizing and leading movements. Leaders should be those among the professional revolutionaries who are “the most authoritative, the most influential, and the most experienced”; “the duty of revolutionary leaders is to guide the masses toward revolution.” Under normal circumstances, leadership is not a matter of one person; it should be a group of people—a “stable group.”

Lenin wrote:

“In modern society, if there are not ‘about a dozen’ leaders of talent (and people of talent are not produced by the hundred or the thousand), leaders who have been tested, who have received specialized training and long education, and who are able to work together well, then no class whatsoever can wage a persistent struggle.”

Lenin: What Is To Be Done? — Chapter IV, The Primitiveness of the Economists and the Organization of Revolutionaries

Of course, Lenin also opposed excessively deifying leaders. He pointed out:

“Workers’ leaders are not angels, not saints, but ordinary people. They make mistakes, and the party then corrects those mistakes,”

V. I. Lenin, The Italian Socialist Congress (1912)

and therefore it is necessary to

“place each leader in the most suitable position for them.”\

V. I. Lenin, Letter to Iskra

IV. The proletarian party is the ruling party of the socialist state

In November 1917, Russia’s October Revolution achieved victory and was the first to establish the world’s first socialist state. After the Second World War, a number of socialist states were established successively in Asia and Europe, including China. The establishment of socialist states brought about fundamental changes in the nature, status, tasks, and modes of activity of proletarian political parties, and it also gave Marxist political doctrine new content and new development.

The first issue to arise was what kind of party system should be adopted in a socialist state. Party systems take many forms. Broadly speaking, there are one-party systems, two-party systems, and multi-party systems. In terms of how parties hold power, there are also systems like those of the United States and Britain, where parties alternate in governing, and systems like that of Japan at the time, where one party governed for a long period. Which kind of party system should a socialist state choose?

Marxism’s answer to this new question is: a socialist state should have a proletarian political party as the ruling party. This Marxist principle was first manifested in the party practices of socialist states. Socialist states—whether they are countries that implement a one-party system or countries that implement a system of multi-party cooperation—have all implemented a structure led by the Communist Party alone, rather than the alternation in office by different parties as in capitalist states. Moreover, in socialist states that implement multi-party cooperation, the relationship between the Communist Party and other parties is neither an antagonistic relationship nor an equal relationship; it is a relationship of leadership and being led.

The Marxist classic authors also offered explicit discussions on the question of upholding the Communist Party’s one-party leadership under the conditions of the dictatorship of the proletariat. After the victory of the October Revolution, Lenin repeatedly stressed:

“The Party is the direct governing vanguard of the proletariat; it is the leader.”

V. I. Lenin, Once Again On The Trade Unions, The Current Situation and the Mistakes of Trotsky and Buhkarin

He also emphasized:

“Only the advanced section of the working class, only the vanguard of the working class, can lead its country.”

V. I. Lenin, Eighth All-Russia Conference Of The R.C.P(B.) (1919)

At the time, some people in Russia proposed handing over the supreme authority for managing the entire national economy to an “All-Russia Congress of Producers’ Representatives.” The Socialist-Revolutionaries and the Mensheviks also advocated that state power organs should implement a multi-party coalition, criticizing Lenin for pursuing a “one-party dictatorship.” In response, Lenin answered:

“When we are reproached with having established a dictatorship of one party … we say: ‘Yes, it is a dictatorship of one party! This is what we stand for and we shall not shift from that position because it is the party that has won, in the course of decades, the position of vanguard of the entire factory and industrial proletariat … only this party could lead the working class to a profound, fundamental change in the old society.’”

V. I. Lenin, Speech At The First All-Russia Congress Of Workers In Education and Socialist Culture, July 31, 1919

Stalin also pointed out:

“On the few occasions that Lenin was obliged, in controversy with opponents, to speak of the dictatorship of the Party, he usually referred to the ‘dictatorship of one party,’ i.e., to the fact that our Party holds power alone, that it does not share power with other parties.”

J. V. Stalin, Concerning Questions of Leninism Dedicated to the Leningrad
Organisation of the C.P.S.U.(B.)
, January 25, 1926 — IV
THE PROLETARIAN REVOLUTION AND THE DICTATORSHIP OF THE PROLETARIAT

How should we understand this “one-party dictatorship” of which Lenin spoke? Stalin explained that it should be understood as “the leadership of the Party,” “the Party’s leading role.” He further imposed limits:

(1) Lenin used the expression “dictatorship of the Party” not in the strict sense of the word “dictatorship” (i.e., “power based directly on the use of force”), but in a figurative sense, meaning the Party’s undivided leadership;

(2) Whoever identifies the Party’s leadership with the dictatorship of the proletariat distorts Lenin and wrongly attributes to the Party the function of employing force against the working class as a whole;

(3) Whoever attributes to the Party this function of employing force against the whole working class—a function the Party in fact does not possess—violates the minimum requirements of the correct mutual relations between the vanguard and the class, and between the Party and the proletariat.

Stalin’s meaning is very clear: “one-party dictatorship” does not mean that the proletarian party alone monopolizes the coercive functions of dictatorship; rather, it means that, within the overall system of the dictatorship of the proletariat, the Party plays a core and leading role.

Lenin’s understanding of one-party leadership in a socialist state was, in effect, a further development of his idea that

“the Party is the highest form of association of the proletariat as a class.”

Vladimir Lenin, “Left-Wing” Communism: an Infantile Disorder — Should Revolutionaries Work in Reactionary Trade Unions?

The success of the socialist revolution signifies not only the liberation of the proletariat, but also the liberation of other oppressed classes, including the peasantry and the petty bourgeoisie. But because these classes do not represent the direction of the socialist movement, once the new state has been established they can exist only as allies and partners of the proletariat; they cannot become the leading class of society. The political parties of these classes likewise should not share state power with the proletarian party.

Similarly, within the proletariat itself, organizational forms are diverse. There are state organs established to meet the needs of political rule, as well as the army, trade unions, the Communist youth league, women’s associations, enterprises, and so on. All of these organizations are indispensable components of the system of the dictatorship of the proletariat, and from different sides they shoulder the tasks of realizing that dictatorship. However,

“the Party is the principal leading force within the system of the dictatorship of the proletariat.”

J.V. Stalin, Concerning Questions of Leninism, Dedicated to the Leningrad
Organisation of the C.P.S.U.(B.)
, January 25, 1926

“The Party’s mission is, without exception, to unify the work of all proletarian mass organizations and to direct their actions toward a single goal—toward the goal of proletarian emancipation.”

J.V. Stalin, Concerning Questions of Leninism, Dedicated to the Leningrad
Organisation of the C.P.S.U.(B.)
, January 25, 1926


[Translator’s Note: To the limit of a translingual search for the original classic Marxist quotes, these are most likely Stalin quotes. Some Lenin quotes are close. See https://chatgpt.com/share/6962e6ea-c100-8008-9813-8d9eab61e749 For example:

Closest Lenin passages expressing the same idea (with Lenin’s own “system / mechanism” language)

If what you want is Lenin himself saying the substance behind those lines, these are the most directly relevant:

A) Lenin explicitly uses “within the system of the dictatorship of the proletariat… between the Party and the government”

From Lenin, “The Trade Unions, The Present Situation and Trotsky’s Mistakes” (Dec. 30, 1920):

Within the system of the dictatorship of the proletariat, the trade unions stand… between the Party and the government.

Lenin continues immediately with the “vanguard” formulation:

What happens is that the Party… absorbs the vanguard of the proletariat, and this vanguard exercises the dictatorship of the proletariat.

B) Lenin states directly that “under the leadership of the Party, the class dictatorship is exercised”

From Lenin, “Left-Wing” Communism: an Infantile Disorder, ch. 6 (1920):

“…under the leadership of the Party, the class dictatorship is exercised.

And, a few lines earlier in the same chapter, Lenin describes the practical reality of Party guidance:

No important political or organisational question is decided… without the guidance of the Party’s Central Committee.

End Translator’s Note.]


Lenin pointed out in a draft resolution he prepared for the Tenth Congress of the Russian Communist Party that:

“Only the political party of the working class, i.e., the Communist Party, is capable of uniting, educating and organising the vanguard of the proletariat and of all the working people; and only this vanguard is capable of resisting the inevitable petty-bourgeois vacillation among these masses, resisting the inevitable revival of traditions and habits of narrow craft-mindedness or craft prejudices among the proletariat, and of directing all the united efforts of the proletariat—in other words, of leading the proletariat politically and, through the proletariat, leading all the working masses. Without this, the dictatorship of the proletariat cannot be realised.”

V.I. Lenin, Preliminary Draft Resolution of the Tenth Congress of the R.C.P. on the Syndicalist and Anarchist Deviation in Our Party, (Lenin Collected Works vol. 32)

Socialist countries are governed by a single ruling party—the proletarian party—but that does not mean that socialist countries permit only a single proletarian party to exist. In practice, many socialist countries have had some non-proletarian patriotic democratic parties and organizations. For example, in our country there are eight democratic parties. How should we understand the existence of these patriotic democratic parties?

Marxism’s understanding of this issue is as follows.

  • First, regarding the existence of these patriotic democratic parties, we should respect history and respect present reality.
  • Second, we should recognize that the existence of these democratic parties as participating and deliberative parties under the leadership of the Communist Party helps mobilize positive forces from all quarters and develop socialist democracy.

As early as 1941, Mao Zedong pointed out:

“State affairs are the public affairs of the state, not the private affairs of one party or one faction. Therefore, Communists have only the duty to practice democratic cooperation with non-Party people, and no right to exclude others and monopolize everything.”

Selected Works of Mao Tse-tung, SPEECH AT THE ASSEMBLY OF REPRESENTATIVES OF THE SHENSI-KANSU-NINGSIA BORDER REGION
November 21, 1941

“This principle of the Communist Party—practicing democratic cooperation with non-Party people—is firm and unshakable, and it will never change.”

Selected Works of Mao Tse-tung, SPEECH AT THE ASSEMBLY OF REPRESENTATIVES OF THE SHENSI-KANSU-NINGSIA BORDER REGION
November 21, 1941

Our country practices a system of multiparty cooperation under the leadership of the Communist Party. The Communist Party is the ruling party, and the democratic parties are participating parties. This is a socialist party system that accords with China’s national conditions. It is conducive to unity and cooperation between the Communist Party of China and the various democratic parties, to mutual supervision, and to jointly devoting themselves to the great cause of building socialism with Chinese characteristics, reunifying the motherland, and rejuvenating the Chinese nation.


王沪宁等著《政治的逻辑》

第九章政治党派划分基于阶级划分

            马克思主义政党学说是马克思主义政治学说理论体系中的一个重要组成部分,在马克思主义政治学的发展历史中占有特别重要的位置。马克思主义政党学说是建立在党领导无产阶级和人民群众进行阶级斗争和社会主义建设以及党的自身建设实践基础上的一种理论,用一句话来概括,就是研究建党、治党的一门学问。马克思主义经典作家们,从马克思、恩格斯、列宁、斯大林到毛泽东,对政党问题,特别是无产阶级政党问题都给予了极大关注,作出过大量论述,为马克思主义政党学说留下了十分丰富的内容和大量研究资料,在各社会主义国家的政治实践中,这一学说又得到了进一步的充实和扩展。

第一节政党是阶级斗争最严整的表现

            一、政党是阶级的组织

            政党作为一种社会政治现像,已有几百年的历史。资产阶级学者们对政党这一社会现像曾作过各种各样的评说,涉及政党性质的观点洋洋大观。这些观点虽相互之间有所差异,但在一个方面几乎是相同的,即资产阶级学者在评说政党性质时,只重视政党的外部特征,而回避政党的阶级实质。

            马克思主义政治学恰恰是在这一方面显示了与众不同的特点。马克思主义认为:政党是阶级的组织,是阶级斗争发展到一定历史阶段的产物。政党的首要任务,就是组织本阶级的成员进行阶级斗争

            首先,政党是阶级的组织。列宁说:“在以阶级划分为基础的社会中,敌对阶级之间的斗争(发展到一定的阶段)势必变成政治斗争。各阶级政治斗争的最严整、最完全和最明显的表现就是各政党的斗争。”名称并不能反映本质。一个政党无论招牌上写着什么,在实质上它只能是代表一个阶级或一个阶级之内不同派别的利益的组织。列宁在谈到美国的资产阶级政党时指出:“这种在党的名称上奇怪而荒诞地滥用名词的现像并不是独一无二的。例如在美国,把昨日的奴隶主叫做民主党人····,要想了解一个党的真正作用,不是看它的招牌,而是看它的阶级性质和每个国家的历史条件。”在资本主义发展的晚期阶段,随着国内阶级矛盾的复杂化,政党的成分也日趋复杂,甚至出现了不同阶级的成员加入同一政党组织的现像。对这一现像,马克思主义仍然坚持以政党是阶级组织的观点来加以分析。例如在20世纪初,英国职工大会同社会民主联盟、费边社、独立党等团体共同组织成英国工党。工党的基层党员绝大多数都是工人,但领导权却掌握在少数工人贵族手中。对此,列宁指出:“当然,工党大部分是由工人组成的。但是,一个党是不是真正的工人政党,不仅要看它是不是由工人组成的,而且要看是谁领导它以及它的行政和政治策略的内容如何只有根据后者,才能确定这个政党是不是真正的无产阶级政党。从这个唯一正确的标准来看,工党完全是资产阶级的政党。虽然它是由工人组成的,但是领导它的是反革命分子,是完全按照资产阶级的意图行动的最坏的反革命分子。这是一个资产阶级的组织,它成立起来就是为了靠英国的诺斯克和谢德曼之流来有系统地对工人进行欺骗。”由以上可以看出,政党的阶级性质体现在党的名称和纲领、党的组织成员以及党的领导权这三个方面。但这三个方面不是等量齐观的,而是分为不同层次的。最表面的层次是党的名称和纲领,最本质的层次是领导权。尽管在某些情况下党在名称和纲领方面,甚至在组织成员方面可以避开阶级的限制,显示出“超阶级”的特性,但党的领导权却注定是不能为不同阶级分享的,它必定只能掌握在一个阶级手中。而这种领导权的独有性就反映了政党的阶级性。

            马克思主义关于政党是阶级组织的观点还可以从无产阶级政党的建立过程中反映出来。与资产阶级不同,在马克思主义指导下建立的政党公开申明自己的阶级性,并自始至终把这一点作为无产阶级政党建立的宗旨。在这一过程中,有些人想改变这一宗旨,把无产阶级政党建设成为一个“超阶级”的党,马克思主义经典作家们对此进行了坚决的斗争。如马克思和恩格斯在参与创建全世界第一个无产阶级政党组织“共产主义者同盟”的过程中,就坚持了这一组织的无产阶级性质。他们批判了海尔曼·克利盖“爱的呓语”,扭转了同盟的前身“正义者同盟”阶级观点模糊的倾向,将其口号“人人皆兄弟”改为“全世界无产者联合起来”。由恩格斯负责和起草的同盟章程第一条规定:同盟的目的:“推翻资产阶级政权,建立无产阶级统治。”又如在普法战争结束后的革命低潮时期,在德国社会民主党内出现了赫希伯格、伯恩斯坦和施拉姆组成的所谓“苏黎世三人团”,他们主张工人阶级政党应成为“一切富有真正仁爱精神的人的全面的党”。对此,马克思和恩格斯予以坚决批判。1879年9月份,马克思和恩格斯给倍倍尔、李卜克内西和白拉克等人写了一封《通告信》,信中指出,如果按照“三人团”的主张去办,德国社会民主党就会变成乌七八糟的大杂烩,就会丧失战斗力。恩格斯说:“任何民主的政党··除非具有明显的工人阶级的性质,就不可能取得真正的成就。抛弃这种性质,就只有宗派和欺骗”。列宁在创建俄国无产阶级政党的过程中,也同一些企图抹杀党的阶级性质的倾向作过坚决斗争。如当时俄国的“劳动派”想成立一个“超阶级”的政党,该派代表人物沃多沃佐夫认为,一个政党“完全可以为三个社会阶级的利益服务”,这三个阶级就是农民阶级,工人阶级和劳动知识分子。列宁认为,这种“信念”违反经济科学的全部真理,企图建立一个“超阶级”的党,企图使农民和工人结成一个政党,企图把并不存在的所谓“劳动知识分子”看做一个单独的阶级,这对于争取俄国的自由是极端不利的,因为这些企图除了使人悲观失望、丧失力量、认识模糊以外,不会带来任何结果。所以,他断言,不管资产阶级、小资产阶级如何扯谎,也不可能改变无产阶级政党的阶级性质。俄国的建立和社会主义民主工党应该是最先进、最革命的无产阶级政党,是无产阶级的先锋队。

            除了政党具有阶级性这一总的特征以外,政党还具备一些一般的特征。这些一般的特征包括:

            第一,政党必须具有一定的政治纲领。政党一般都把自己的政治目标和根本目的规定在党章、党纲等纲领性文件中,政治纲领集中反映了政党所代表的阶级或阶层的根本利益和统一意志,体现了政党的性质。马克思认为,一个政党制定了明确的政治纲领,这就是在全世界面前树起一面可以供人们用以判定党的运动水平的界碑。恩格斯也说过,一般说来,一个政党的正式纲领没有它的实际行动那样重要,但是,一个新的纲领毕竟是一面公开树立起来的旗帜,而外界就是根据它来判断这个党。列宁也多次强调政党要有反映政党活动的性质、目标和任务的政治纲领。他说:“一个政党如果没有纲领,就不可能成为政治上比较完整的、善于在任何转折时期始终坚持自己的路线的有机体。”

            第二,政党必须具有严密和严格的组织性和纪律性。马克思和恩格斯在批判巴枯宁等无政府主义的反权威论时,提出一切社会组织(在产品的生产和流通赖以进行的物质条件下)都需要集中和权威。当然,政党在保持集中、统一和权威时,不是像国家政权机关那样实行强制,而是实行严密和严格的组织纪律性

            第三,政党通常是由最有威信、最有影响,最有经验的领袖集团来主持的。任何政党都必须有这样一个较稳定的领导核心。列宁认为:“在现代社会中,假如没有“十来个’富有天才(而天才人物不是成千成百地产生出来的)、经过考验,受过专门训练和长期教育并且彼此配合得很好的领袖,无论哪个阶级都无法进行坚持不懈的斗争。”

            第四,政党具有斗争性。政党就是在阶级斗争的浪涛中生存和发展的。没有斗争,就不会有政党的产生。但是不同阶级政党的斗争性有着不同特征。资产阶级政党的斗争性表现为政党之间和党内派系之间争权夺利的斗争。无产阶级政党的斗争性则体现为同旧的生产关系和旧的价值观念的不相容性,同时还表现在党内的思想斗争方面。恩格斯指出:“看来大国的任何工人政党,只有在内部斗争中才能发展起来,这是符合一般辩证发展规律的。”毛泽东运用唯物辩证法阐明了党内不同思想的对立和斗争是社会的阶级矛盾和新旧事物的矛盾在党内的反映。没有这种斗争,党的生命也就停止了。

二、政党是阶级斗争发展到一定历史阶段的产物

            政党是一种古老的历史现像。在中国明代,就有所谓“东林党”;在欧洲,则有所谓“烧炭党”、“无套裤党”。但这类党都只是帮派的意思。现代意义上的政党,是资产阶级革命获得胜利以后才出现的。为什么会产生政党这一政治组织,资产阶级学者有种种解释。较流行的有“制度论”、“历史局势论”、“发展论”。“制度论”认为,政党的出现是近代议会制度和选举制度改革的结果。“历史局势论”认为,政党的产生是因为在新旧制度的交替过程中以及在民族战争中,围绕着正统性、领土主权的完整性以及参政问题发生争论,正是在争论中产生了政党。“发展论”则认为,政党出现是社会现代化的结果,由于政治经济和科学技术的发展,使中央与地方,个人与政府等方面的关系加强了,其结果就导致政党出现。

            与上述这些看法不同,对现代政党的产生,马克思主义经典作家认为,政党起源于阶级斗争,是阶级和阶级斗争发展到一定历史阶段的产物,其最终的原因,是隐藏在阶级斗争背后的经济事实。恩格斯在《关于共产主义者同盟的历史》一文中回顾他早年对英国阶级斗争所做的考察时指出:“我在曼彻斯特时异常清晰地观察到,迄今为止在历史著作中根本不起作用或者只起极小作用的经济事实,至少在现代世界中是一个决定性的历史力量;这些经济事实形成了现代阶级对立所由产生的基础;这些阶级对立,在它们因大工业而得到充分发展的国家里,因而特别是在英国,又是政党形成的基础,党派斗争的基础。”马克思也曾写道:“经济条件首先把大批的居民变成工人。资本的统治为这批人创造了同等的地位和共同的利害关系。所以,这批人对资本说来已经形成一个阶级,但还不是自为的阶级。在斗争(我们仅仅谈到它的某些阶段)中,这批人逐渐团结起来,形成一个自为的阶级。他们所维护的利益变成阶级的利益。而阶级同阶级的斗争就是政治斗争。”这些论述清楚地表明,马克思和恩格斯对待政党这一现像的分析是从经济生活入手的。在经济生活中具有不同利益的人群分裂为阶级,为了维护本阶级的利益,各阶级展开阶级间的斗争,而政党就是适应这种斗争的需要,在阶级斗争的一定发展阶段产生出来的。具体来说,这个一定阶段就是指已经产生了为阶级大部分成员广泛认同的先进思想,阶级成员之间已被生产方式联为一体,并已经产生了一定的阶级组织形式和阶级的领袖人物。具备了这些条件,政党的产生就是必然的了。资产阶级政党是如此,无产阶级政党也是如此

三、政党的中心任务是进行政治方面的斗争

            政党的任务是什么?这也是一个众说纷纭的问题。如有的认为政党的任务是“表达民意”,有的认为政党的任务是在社会与政府之间担任“媒介和仲裁人”,还有的认为政党的任务是“增进人们的普遍福利”。也有些人肯定政党作为阶级的组织,其中心任务是进行阶级斗争。但阶级斗争的内容也很广泛,有经济方面的斗争、文化方面的斗争、思想方面的斗争,在这些方面中,又应以何种斗争为主呢?

            在阶级社会中,政党的主要任务是进行阶级斗争;在阶级斗争的诸方面中,又以政治斗争为主。虽然,争取本阶级的经济利益是本党的最终目的,但这一目的必须通过政治的手段去达到。因而,和政治斗争相比,经济斗争不能不处于次要的地位。鉴于资产阶级已经掌握了国家政权,他们的利益可以由国家直接出面加以保护,因而,资产阶级政党可以把自己的政治性质掩盖起来或冲淡一些。但作为除了锁链一无所有的无产阶级,他们的利益却只有通过砸碎锁链——即旧的国家机器并以工人阶级的国家取而代之才能得到真正保障。所以,无产阶级政党必须突出和强调自己的政治性质

            马克思、恩格斯在《共产党宣言》中明确规定了无产阶级政党的任务:“工人革命的第一步就是使无产阶级上升为统治阶级,争得民主。无产阶级将利用自己的政治统治,一步一步地夺取资产阶级的全部资本,把一切生产工具集中在国家即组织成为统治阶级的无产阶级手中,并且尽可能快地增加生产力的总量。”马克思还说过:“一般的革命——推翻现政权和破坏旧关系——是政治行为。而社会主义不通过革命是不可能实现的。”列宁也说过:“一般政党,特别是先进阶级的政党,如果在可能取得政权的时候拒绝掌握政权,那它就没有权利存在下去,就不配称为政党,就是一块地道的废料。”这些论述都说明,马克思主义经典作家们把政治任务——其中最首要的是控制国家政权——作为政党特别是无产阶级政党的中心任务。

            经典作家们关于党的中心任务是政治斗争的思想,在他们创建无产阶级政党时,就党的性质和机会主义者发生的争论中最为明显地反映出来。如1866年第一国际第一次代表大会期间,蒲鲁东主义者向大会提交报告书,要求改变国际的宗旨,报告书中说:“本协会的宗旨在于为会员在本国和欧洲各国寻找职业,协会将在这些地方设置联络局;···联络局将开设国际办事处,以便把协会人员制造的工业品售给公众。”很显然,这是准备使国际工人协会只从事经济改良,而不过问政治斗争。对这一意图马克思和恩格斯针锋相对地予以抵制。马克思为大会起草了《临时中央委员会就若干问题给代表的指示》,指出:“协会的目的就在于把至今仍然分散的各国工人阶级争取自身解放的斗争联合起来,把它纳入共同的轨道。”根据这一指示作出的大会决议更为清楚地指出:蒲鲁东主义所鼓吹的“合作运动”在任何时候也不能改造资本主义社会。“为了从社会生产中建立巨大的、协调的、自由的和合作的劳动制度,就必须改变一般社会条件,而这种改变,如果社会的组织权,换句话说,即国家政权不从资本家和地主手中转移到工人手中,是永远不能实现的”。在蒲鲁东之后,第一国际内又出现了巴枯宁主义。巴枯宁也反对无产阶级政党的政治斗争方向,他认为:“废除继承权是社会革命的开始”;认为:“国际作为一个协会根本不应从事政治活动”,“任何政治组织都只能是有利于某一阶级而不利于大众的统治机构:无产阶级如果想夺取政权,那末它也就使自己成为统治的和剥削的阶级。”恩格斯揭露和批判了巴枯宁派要工人阶级放弃政治的实质和危害,他指出:“现存政府——为了政治的和社会的目的——对工人施加的政治压迫,都迫使工人不得不从事政治。向工人鼓吹放弃政治,就等于把他们推入资产阶级的怀抱。”恩格斯还论述了“革命是政治的最高行动”的原理。他说:“我们要消灭阶级。用什么手段才能达到这个目的呢?——无产阶级的政治统治。”“革命是政治的最高行动;谁要想革命,谁就必须也承认准备革命和教育工人进行革命的手段,即承认政治行动,没有政治行动,工人总是在战斗后的第二天就会受到法夫尔和皮阿之流的愚”

            列宁在俄国工人阶级政党建党初期对“经济派”的批判也反映出他把政治斗争放在政党任务第一位的思想。“经济派”在思想上崇拜工人运动的自发性,在政治上则崇拜经济斗争,轻视政治斗争的作用。“经济派”有两个著名的口号,一个是:“让工人的每个卢布工资增加一个戈比,这比任何社会主义和任何政治都更加切实可贵;”另一个口号是,工人们“现在的斗争不是为了什么将来的后代,而是为了自己本人和自己的儿女。”对此,列宁怒不可遏地批判道:“什么话?这简直是鼓吹倒退!这简直是宣传瓦解社会主义!”为了全面批判“经济派”的观念,列宁写了《怎么办》一书,其中以大量篇幅论述了政治斗争对政党具有头等重要的意义。列宁指出:经济斗争是工人阶级一种自发性的斗争,若任其发展,只能走向工联主义。而只有及时把这种经济斗争转变为政治斗争,才能使工人运动成为社会民主主义的政治开端。列宁强调:“社会民主党人不但不能以经济斗争为限,而且不能容许把组织经济方面的揭露工作当做他们的主要活动。我们应当积极从政治上教育工人阶级,发展工人阶级的政治意识。”在另一篇文章中,列宁还指出,如果“因为经济斗争而忘掉了政治斗争,那就是背弃了全世界社会民主运动的基本原则,那就是忘掉了全部工人运动史所教导我们的一切”。

            当然,马克思主义经典作家对政党的政治斗争任务的强调,主要是由于在他们生活的全部或大部分年代中,无产阶级政党都是处于受压制、受排斥地位的反对党,对于处在这种位置上的政党来说,夺取政权这一政治任务显而易见要比其他任务来得急迫一些。对此,列宁曾强调说:“历史经验又确凿地证明,当无产阶级没有自由或者政治权利受到压制的时候,始终必须把政治斗争提到首位”但也应该注意到,马克思主义经典作家并不仅仅是从策略的角度,同时也是从理论的角度来总结这一思想的。一个鲜明的例子就是,在俄国十月革命胜利以后,列宁虽然认识到“经济任务、经济战线现在又作为最主要的任务和基本的战线提到我们面前来了”,并提出“使斗争的重心逐渐转向经济方面”,但当托洛茨基、布哈林等人主张“从经济上看问题”时,列宁却批驳说:“政治是经济的集中表现。”并指出:“一个阶级如果不从政治上正确地处理问题,就不能维持它的统治,因而也就不能解决它的生产任务。”这就使得这一思想具有了跨时代的意义。联想到毛泽东在新中国建立以后也曾提出过“政治工作是一切经济工作的生命线”,“阶级斗争,一抓就灵”,这使人深深感到:比较重视政党的政治性质和政治斗争任务,的确是马克思主义比较一贯、比较确定的认识

第二节资产阶级政党是资产阶级的政治组织

            一、资产阶级政党代表资产阶级利益

            资产阶级政党一般都不愿承认自己的阶级性。这种态度,从资产阶级学者们对政党所下的定义上可以看得相当清楚。他们认为资产阶级民主政治中的政党是“表达民意的组织”,是“整个政治自由的组成部分,尤其是民主不可缺少的成分”;标榜本阶级的政党是“超阶级的组织”,是“全民的党”,“对一切人敞开大门”。

            而马克思主义毫不含糊地指出:资产阶级政党是资产阶级的政治组织,是资产阶级进行政治统治的工具。资产阶级政党的首要目的和中心任务,是维护有利于资产阶级统治的政治秩序以及有利于资产阶级的社会利益分配。那些争夺统治权而相继更替的政党,都把这个庞大的国家建筑物的夺得视为自己胜利的主要战利品。

            从17世纪末叶起,在英国议会内部逐渐形成了托利和辉格两大政党。这两大政党在议会内互相攻击,互相牵制,轮流执政,被人们认为是两党制的起源。对于这种两党的冲突和对抗,一般人是从政策分歧的角度来进行分析和评述的。但马克思在分析英国的政党制度时,却坚持了阶级分析的方法。他指出,托利党是“旧式贵族的党”,它恨工业,因为“工业破坏了它的威力和专政,动摇了它的原则”;而辉格党则是“工商业中等阶级的贵族代表”这两个政党在政治较量中的差别并不是英国应执行何种政策的差别,而是曲折地反映出英国国内阶级力量的对比。比如“1760年乔治三世即位,他把自乔治一世时起几乎一直在执政(自然是执行着很保守的政策)的辉格党人赶下了台,开创了一直延续到1830年的托利党人称霸的局面。这样一来,政府就和自己的本性相符合了;在英国的政治保守时代,无疑是应该由保守的党派来执政的。”

            恩格斯则对资产阶级政党的阶级性进行了直截了当地揭露。他在为马克思《法兰西内战》1891年单行本所写的导言中,这样评价了美国的政治制度:“正是在美国,政治家”比在任何其他地方都更加厉害地构成国民中一个特殊的和富有权势的部分。那里、两个轮流执政的大政党中的每一个政党,都是由这样一些人操纵的,这些人把政治变成一种收入丰厚的生意,拿合众国国会和各州议会的议席来投机牟利,或是以替本党鼓动为生,而在本党胜利后取得相当职位作为报酬。大家知道,美国人在最近三十年来是如何千方百计想要摆脱这种难堪的桎梏,可是尽管如此,他们还是愈来愈深地陷人到贪污腐化的泥沼中去。”恩格斯甚至认为,美国的资产阶级专政集中体现为政党的专政。因为美国没有工朝,没有贵族,除监视印地安人的一小群士兵外没有常备军,没有那种拥有固定职位与领取年金权利的官僚。“然而,我们在那里可以看到两大帮政治投机家,他们轮流执掌政权,用最航脏的手段为最卑鄙的目的运用这个政权,而国民却无力对付这两个大的政客集团,这些人表面上是替国民服务,实际上却是统治和掠夺国民的”。

            1912年,美国举行新的总统选举,民主党人伍德罗·威尔逊战胜共和党人塔夫脱就任美国第28任总统。对美国这次选举活动,列宁写了《美国在选举以后》一文,进行了这样的评论:“在美国,取胜的政党特别厚颜无耻地把肥缺分配给自己的拥护者。····这不是买卖‘党性’的愚蠢而无耻的行为吗?但是我们在所有资本主义国家里看到的情况也是这样。国家愈不自由,资产阶级市偿买卖党性的行为就愈卑鄙无耻。为获得特权、津贴和进款(给律师先生)的工作等等而进行的幕后阴谋活动和私人‘联系’的作用就愈大。”在另一篇文章中,列宁还指出,美国“老的政党”即民主,共和两大党“是时代的产物,它的任务是最迅速地发展资本主义。各个政党的斗争归结为如何更好地加速和促进这种发展”。

            以上这些论述可以看出,经典作家们都是从阶级本质的角度来看待资产阶级政党的,而且认为,资产阶级政党的本质,就是维护资产阶级的物质利益和维护资产阶级的阶级专政。

二、资产阶级两党制是一种游戏

            最早形成资产阶级政党制度的两个国家英国和美国都实行两党制的政治制度。对于两党制,一些人十分推崇,称“两党制是19世纪科学管理的一大贡献”。还有一些人相信,两党制是实现社会政治民主的保证,是最完美的政党制度。

            马克思主义坚持以其阶级分析的方法看待资产阶级两党制。经典作家们认为:两党制只不过是一种形式上的障眼法,它是以民主的假像来掩盖资产阶级专政的实质。更有甚者,两党制还是资产阶级压迫和愚弄劳动人民的一种更为巧妙、更为精致的手法,惟其巧妙、精致,所以对维护资产阶级的统治更有效,有害性也更大。

            第一,两党之间的争斗不过是资产阶级内部不同派别的争斗,他们争斗的范围,不会离开资产阶级的共同利益。马克思称两党制是资产阶级统治的“两手办法”:恩格斯更形像地把两党制比作“跷跷板游戏”,上下起落,玩者省劲,看者有趣。恩格斯在谈到美国跨党派的现像时指出:“这种看来是偶然的杂乱的混合,恰恰为美国那大肆猖獗的营私舞弊和盘剥国家的行为准备了肥沃土壤。”恩格斯还指出:美国“两个大党中的任何一个党的内部,人们都因地区的不同而代表着完全不同的集团和利益,而且几乎有产阶级的每个阶层在两党内部都有自己的代表”。所以,看上去两党在政治上势不两立,但在实际的政策方面,两党的差异并不大

            第二,实行两党制不过是资产阶级为制造民主假像而有意采用的一种障眼法。1858年,马克思在评论英国的议会斗争时就曾经指出,英国资产阶级的寡头政体,“不是靠把政权经常保存在同样一些手中而使自己永存下去的,而是采取这样的办法:它轮流使政权从一只手中放下,又立刻被另一只手抓住。”这形像地指出,两大政党同是资产阶级的两只手,两党制是资产阶级有意识地轮流使用两只手来统治人民的方法。马克思还指出,议会斗争的技巧恰好在于“在短兵相接的格斗中打击的不是职位,而仅仅是当时占据职位的人,并且在进行打击的时候,要使这个人作为大臣下台以后,马上又能作为大臣的候选人而上台”。这实际上是说明,在两党制中,两大政党表面上扮演着互相反对的角色,但就反对党来说,它反对的并不是政府亦即资产阶级政权本身,而是当时在这个政权中执行权力的党,同时自己也随时准备去执行权力。毛泽东在谈到对西方式自由的理解时,也曾经对两党制民主的假像作过分析。他批评那些羡慕西方式自由的人说:“他们以为我们的人民民主制度下自由太少了,不如西方的议会民主制度自由多。他们要求实行西方的两党制,这一党在台上,那一党在台下。但是这种所谓两党制不过是维护资产阶级专政的一种方法,它绝不能保障劳动人民的自由权利。”

            第三,两党制对无产阶级革命具有很大的危害性。两党制以资产阶级内部的矛盾冲突来转移人们对社会阶级矛盾冲突的视线,以统治集团内部不同派别“换马”的方式来摆脱资产阶级的政治危机并以民主的假像来瓦解无产阶级进行阶级斗争的斗志,故这种政党制度更有欺骗性,对无产阶级革命事业来说危害更大。1912年美国总统选举结束后,列宁著文《美国总统选举的结果和意义》,对这次选举进行了深入分析。列宁指出:“这个所谓’两党制’,是阻止独立的工人政党即真正的社会主义政党产生的最强大的工具之一。”“两个资产阶级政党利用它们之间的虚张声势的毫无内容的决斗来欺骗人民,转移人民对切身利益的注意”。列宁甚至得出结论说:“在一切资产阶级国家中,···政治自由越多,资产阶级政党就越稳固。”

三、资产阶级政党民主是一种虚伪的民主

            资产阶级政党制度不仅仅是指建立资产阶级的政党组织,它还包括投票选举、竞选、游说、议会党团、议会辩论、倒阁等一系列政治规则和政治制度。由于围绕政党所建立的各种政治规则和政治制度都体现了政治公开性的一面,故有人认为资产阶级政党制度是一种民主的制度,是“整个政治自由的主要成分,尤其是民主的不可缺少的成分”

            但是,马克思主义认为,资产阶级政党民主是一种虚伪的民主,是形式上的民主和实质上的不民主。他们看到,在资本主义社会中,竞争是自由的,但被资本主义生产关系束缚住的工人群众是不自由的;选举是平等的,但金钱对选举活动的操纵是不平等的。恩格斯早年在英国考察阶级斗争状况时就发现了资产阶级政党民主的这种奥秘。他在《英国状况,十八世纪》一文中指出:“选举制度无比简单,这使市民用不着在政治上花费任何心思,人们在名义上有的算是辉格党人,有的算是托利党人,但是他们十分清楚,其实都是一样,反正他们没有选举权。”劳动群众得以参加选举,顶多也就是在资产阶级政党的竞争中,在资产阶级内部不同集团的争斗中充当一个筹码。所以,恩格斯得出结论说:“在现今的国家里,普选制不能而且永远不会提供更多的东西。”

            列宁由于身处阶级斗争特别激烈的年代,所以,他对资产阶级政党民主虚伪性的揭露也更为尖锐。他写道:“在我们这个时代没有选举是不行的,没有群众是行不通的,而要在印刷术异常发达和议会制度盛行的时代诱惑群众,就必须有一套广泛施展、一贯推行、周密布置的手法,来阿谀奉承、制造谣言、欺骗敲诈、玩弄流行的时髦字眼、信口答应工人实行种种改良和增进种种福利,只要他们肯放弃推翻资产阶级的革命斗争。”列宁还分析了金钱在资产阶级政党民主中的作用,“‘财富’的无限权力在民主共和制下之所以更可靠,是因为它不依赖资本主义的不好的政治外壳。民主共和制是资本主义所能采用的最好的政治外壳,所以资本一掌握···这个最好的外壳,就能十分巩固十分可靠地确立自己的权力,以致在资产阶级民主共和国中,无论人员、无论机构、无论政党的任何更换,都不会使这个权力动摇。”资产阶级政党民主的虚伪性还体现在它仅仅对资产阶级内部是民主的,对无产阶级和人民群众则并不民主。比如对资产阶级民主制的“原则”之———“保护少数”,列宁写道:“资产阶级民主国的统治党仅仅对其他资产阶级政党才保护少数,而对无产阶级,则在一切重大的、深刻的、根本的问题上,不仅不‘保护少数’,反而实行或严或横加残害。民主愈发达,在发生危及资产阶级的任何深刻的政治分歧时,残害或内战也就愈容易发生。”

第三节无产阶级政党是无产阶级组织的最高形式

            一、无产阶级必须建立自己独立的政党组织

            马克思认为,无产阶级发展经历了两个阶段。在无产阶级发展的第一个阶段,无产阶级的觉悟还不高,阶级组织还不完善。在这一阶段,无产阶级的政治斗争,还是依附在资产阶级反对封建的斗争之中的,无产阶级仅仅作为一个“自在的阶级”而存在。无产阶级在一次又一次的失败中,在痛感自己被出卖、被吞并之后,才逐渐认识到自己独立的阶级利益。这时他们就不再满足于跟在资产阶级之后做其附庸了,而产生了自己独立的阶级意识和阶级追求。这时,无产阶级就逐渐由“自在的阶级”变为“自为的阶级”随着阶级意识的成熟和发展,无产阶级建立自己政治组织的要求也被提上日程。然而,在起初,“无产者组织成为阶级,从而组织成为政党这件事,不断地由于工人的自相竞争而受到破坏”。但是,“这种组织总是一次又一次地重新产生,并且一次比一次更强大、更坚固、更有力”。从最初成立兄弟会,工会到后来成立各种类型的政治组织,如英国的宪章协会、法国的四季社、德国的正义者同盟,一直发展到成立共产主义者同盟这一历史,的确体现了无产阶级的政治组织筚路蓝缕、披荆斩棘的艰难发展历程。马克思主义经典作家们对无产阶级在政治上组织起来,特别是建立独立的无产阶级政党这件事给予了充分肯定和高度评价。他们指出,无产阶级只有建立这样一个能够代表本阶级利益、体现本阶级意志的政党组织,才能使自己强大起来,从而使无产阶级获得彻底解放。马克思和恩格斯在《共产党宣言》《中央委员会告共产主义者同盟书》、《国际工人协会临时章程》以及许多重要通信中,都从理论上阐述了这一原理。概括起来,建立无产阶级政党的必要性主要有两条:

            第一,只有建立独立的无产阶级政党,才能使无产阶级作为一个阶级而行动。马克思在《国际工人协会共同章程》中指出:“工人阶级在反对有产阶级联合权力的斗争中,只有组织成为与有产阶级建立的一切旧政党对立的独立政党,才能作为一个阶级来行动。”“工人阶级这样组织成为政党是必要的,为的是要保证社会革命获得胜利和实现这一革命的最终目标——消灭阶级”。1889年12月,恩格斯在致格·特利尔的信中,进一步阐明了建立无产阶级政党的必要性,他说:“要使无产阶级在决定关头强大到足以取得胜利,无产阶级必须(马克思和我从1847年起就坚持这种立场)组成一个不同于其他所有政党并与它们对立的特殊政党,一个自觉的阶级政党。”这就是说,建立自己的政党,是无产阶级在政治上独立和成熟的重要标志。

            第二,只有建立无产阶级的政党,才能使无产阶级的政治力量不断团结壮大。马克思在《国际工人协会成立宣言》中指出:“工人们已经具备了作为成功因素之一的人数;但是只有当群众组织起来并为知识所指导时,人数才能起决定胜负的作用。”马克思总结了几十年来工人运动的经验教训,认为,以前“所做的一切努力至今没有收到效果,是由于每个国家里各个不同劳动部门的工人彼此间不够团结,由于各国工人阶级彼此间缺乏紧密的联合”。鉴于这个理由,必须创建国际性无产阶级政党。而这个政党就是工人阶级团结的像征。

            马克思主义不仅论述了建立无产阶级政党的必要性,而且论述了建立无产阶级政党的现实可能性。他们认为必须具备阶级基础和理论基础,并且使两者结合起来,才能使党的建立变为现实。

            第一,关于阶级基础。现代无产阶级的出现以及这个阶级在斗争中的不断成熟,为无产阶级政党的产生奠定了基础。马克思和恩格斯参加了工人运动的实践,他们亲身感受到无产阶级的力量。在《共产党宣言》中,他们给予工人阶级以高度评价:“在当前同资产阶级对立的一切阶级中,只有无产阶级是真正革命的阶级其余的阶级都是随着大工业的发展而日趋没落和灭亡,无产阶级却是大工业本身的产物。”马克思、恩格斯还强调无产者必须组织成为阶级,从而组织成为政党。也就是说,当现代无产阶级组织成为一个整体,其阶级性鲜明之日,就是无产阶级政党建党之时。列宁认为:马克思主义理论的第一块主要基石就是无产阶级。因为它是现代社会中唯一彻底的革命阶级,所以只有无产阶级才能造就一支强大的革命大军的核心,“无产阶级是俄国各阶级中最革命的阶级”,“城市工业无产阶级必然是我们社会民主工党的基本核心”,是“社会主义政党的群众支柱”

            第二,关于理论基础。有了现代无产阶级的阶级基础,还不能形成无产阶级政党。要形成无产阶级政党还必须具备理论方面的基础,这一点,也是马克思主义经典作家们关于无产阶级政党产生基础的重要认识。恩格斯说:“我们党有个很大的优点,就是有一个新的科学的世界观作为理论的基础。”这个科学的世界观就是马克思主义的辩证唯物论和历史唯物论。马克思早在1843年写的《<黑格尔法哲学批判》导言》中就说过:“哲学把无产阶级当作自己的物质武器,同样地,无产阶级也把哲学当作自己的精神武器;思想的闪电一旦真正射入这块没有触动过的人民园地,德国人就会解放成为人。”“德国人的解放就是人的解放。这个解放的头脑是哲学,它的心脏是无产阶级”这就是说,只有当现代无产阶级从马克思主义哲学那里找到自己理论的武器,掌握了无产阶级革命的科学理论时,无产阶级政党的产生才有可能。

            于是,马克思主义总结出无产阶级政党产生的一般规律:这就是科学社会主义思想与工人运动相结合。恩格斯在谈到科学社会主义和工人运动相结合的重要意义时指出:“如果我们有哲学家和我们一起思考,有工人和我们一起为我们的事业奋斗,那末世界上还有什么力量能阻挡我们前进呢?”后来,恩格斯在总结“共产主义者同盟”成立这一段历史的经验时又指出:德国的社会主义在1848年以前很久就产生了。起初它有两个独立的派别。一方面是纯粹工人运动,即法国工人共产主义的支流;这个运动产生了作为它的发展阶段之一的魏特林的空想共产主义。其次是由于黑格尔哲学的解体而产生的理论运动;在这一派中马克思的名字从一开始就占有统治地位。1848年1月出现的“共产党宣言”标志着两个派别的融合,这个融合是在革命熔炉中完成和巩固起来的。

            列宁在俄国和社会民主工党的建党活动中,对无产阶级政党产生的这个一般规律作了更进一步的阐述,这在列宁与“经济派”就建党指导思想而引起的争论中集中地反映出来。“经济派”除了崇尚工人的经济斗争、忽视政治斗争之外,还轻视马克思主义的理论指导意义。他们认为马克思主义的理论已经过时,主张“批评自由”。他们还持一种“群众运动天然合理”的观点,崇拜工人运动的自发性,特别是竭力反对向工人群众灌输社会主义意识。对“经济派”的这些观点,列宁先后写了《俄国社会民主党人抗议书》、《我们的纲领》、《我们运动的迫切任务》、《怎么办》等文章和著作进行了批判。列宁首先强调了理论在无产阶级建党运动中的指导作用,指出:“只有革命马克思主义的理论,才能成为工人阶级运动的旗帜。”“没有革命理论,就不会有坚强的社会主义政党,因为革命理论能使一切社会主义者团结起来,他们从革命理论中能取得一切信念,他们能运用革命理论来确定斗争方法和活动方式”。经济派所谓“马克思主义的危机”一语,“不过是重复资产阶级下流文人无聊的议论”。其次,列宁论证了革命理论与工人运动相结合是无产阶级政党产生的必要条件。他指出:“在所有的国家里,只有当社会主义和工人运动结合以后,才造成了社会主义和工人运动的牢固基础。”列宁总结了马克思主义诞生以来的经验和教训,认为工人运动若不同社会主义学说相结合,工人运动就永远也摆脱不了自发的状态;而社会主义学说若不同工人运动相结合,那社会主义永远只是一种善良的愿望和空想,对实际生活不会发生影响。而一旦把社会主义和工人运动结合起来,“工人的阶级斗争就成了无产阶级争取自身解放、摆脱有产阶级剥削的自觉斗争,而社会主义工人运动的高级形式——独立的社会民主主义工人政党也就产生了”。再次,列宁还论证了革命理论与工人运动相结合的具体途径,这是列宁针对“经济派”工人运动自发产生的观点而提出的反驳,也是列宁对无产阶级政党产生原理的一个独特贡献,“既然工人群众自己决不能在他们运动进程中创造出独立的思想体系,那末问题只能是这样:或者是资产阶级的思想体系,或者是社会主义的思想体系。这里中间的东西是没有的。因此,对于社会主义思想体系的任何轻视和任何脱离,都意味着资产阶级思想体系的加强。人们谈论什么自发性,但工人运动的自发的发展,就恰恰是使它受资产阶级思想体系的支配··。因此,我们社会民主党的任务就是要反对自发性,就是要使工人运动脱离这种投到资产阶级羽翼下去的工联主义的自发趋向,而把它吸引到革命的社会民主党的羽翼下来”。而要做到这一点,就要“把社会主义思想和政治自觉灌输到无产阶级群众中去,组织一个和自发工人运动有紧密联系的革命政党”。

二、无产阶级政党是由阶级的先进分子所组成的战斗队

            无产阶级政党与资产阶级政党具有本质上的差别。马克思主义对无产阶级政党的性质作了大量的概括,集中起来表现在三个方面,这就是无产阶级政党的阶级性、先进性和斗争性。

            第一,无产阶级政党的阶级性。任何政党都是代表一定阶级的利益的,都是阶级的政党。无产阶级政党也是如此。首先,无产阶级政党的阶级性体现在它与无产阶级的利益是完全一致的,无产阶级政党奋斗的方向正是无产阶级争取解放的方向。在无产阶级第一部“周详的理论和实践的党纲”——《共产党宣言》中,马克思和恩格斯集中论述了共产党和工人阶级这种密不可分的关系:“共产党人不是同其他工人政党相对立的特殊政党。”“他们没有任何同整个无产阶级的利益不同的利益。”“他们不提出任何特殊的原则,用以塑造无产阶级的运动。”“在无产阶级和资产阶级的斗争所经历的各个发展阶段上,共产党人始终代表整个运动的利益。”“共产党人的最近目的是和其他一切无产阶级的最近目的一样的:使无产阶级形成为阶级,推翻资产阶级的统治,由无产阶级夺取政权。”其次,无产阶级政党必须坚持自己的阶级原则,在任何情况下都不妥协。1848年革命失败后,马克思和恩格斯总结了革命的经验教训,第一次提出了要在各国建立区别于资产阶级民主派的独立的无产阶级政党的理论,强调了党在资产阶级民主革命运动中的独立性。在第一国际时期,又再次强调指出:“工人的政党不应当成为某一个资产阶级政党的尾巴,而应当成为一个独立的政党,有它自己的目的和自己的政策。”马克思和恩格斯一再强调党的独立性,就是为了坚持党的无产阶级性质。1889年10月恩格斯在给特利尔的信中,总结了他和马克思坚持党的无产阶级性质的原则任务,一方面指出无产阶级政党在革命斗争中可以同其他政党结成暂时同盟,另一方面又强调在结成同盟时,“必须以党的无产阶级性质不致因此发生问题为前提。对我来说,这是绝对的界限”。针对当时有些国家工人政党的领导人在运用策略时有丧失原则的问题,恩格斯提出尖锐批评,认为这样做必然会丧失工人政党的阶级性。列宁也曾说过:“我们沿着自己的道路前进,我们始终是先进阶级的政党,这个阶级决不会向群众发出任何一个暖昧不明的口号,决不会和资产阶级的任何一件丑事直接或间接地发生关系,这个阶级在各种情况下,不管斗争的结局如何,都善于捍卫革命的利益。”无产阶级政党坚持阶级原则,还体现在对其组织成员阶级成分的严格限制方面。马克思和恩格斯认为,共产党作为工人阶级政党,其人员组成,也以工人阶级为主。为了保持党的阶级性,马克思和恩格斯对要求人党的非无产阶级分子,特别是资产阶级和资产阶级出身的知识分子,提出以下两个条件:“第一,要对无产阶级运动有益处,这些人必须带来真正的启蒙因素。”“第二,如果其他阶级中的这种人参加无产阶级运动,那末首先就要要求他们不要把资产阶级、小资产阶级等等的偏见的任何残余带进来,而要无条件地掌握无产阶级的世界观。”对于那些“满脑子都是资产阶级的和小资产阶级的观念”的人,“如果有理由暂时还容忍他们,那末我们就应当仅限于容忍他们,而不要让他们影响党的领导工作,并且要清楚地知道,和他们分裂只是一个时间问题。”马克思和恩格斯还认为,共产党内可以吸收任何阶级的个别人物,但绝不能容纳代表各阶级利益的集团。党把非无产阶级出身的个别人物吸收进来是要“溶化”他们,而不是让他们用本阶级的面目来影响党,改造党。

            对一些人极力否认无产阶级政党的阶级性质,或者使无产阶级政党的阶级基础发生动摇的企图,马克思主义给予了坚决的反对。在1905年,当孟什维克“火星派”在建党问题上试图扩大党的阶级内容时,列宁反驳道:“把广泛的(和含混的)民主组织的联合叫作‘全俄人民组织’或‘人民的民主组织’是极不明智的。首先在理论上这是错误的。大家都知道,经济派的错处在于把党和阶级混淆起来。火星派重犯了这种错误,把各种民主党派或民主组织的总和同人民的组织混淆起来。这种说法是空洞的,骗人的,有害的。说它空洞,是因为它内容很不明确,没有指明是什么民主政党或民主派别。说它骗人,是因为在资本主义社会中,甚至先进阶级,即无产阶级,也不能建立一个包括整个阶级的政党,更不用说要包括全体人民了。说它有害,是因为它用响亮的字眼使人头昏目眩,而不去推进实际工作来解释真正民主党派的真正意义,它的阶级基础,它们接近无产阶级的程度等等。”1912年,在俄国社会民主工党第六次全国代表会议召开以后,列宁先后写作了《自由派和民主派》《劳动派和工人民主派》等文章,对资产阶级阵营中要求放弃党的阶级性的观点进行了批驳。列宁写道:“企图建立一个‘超阶级的’政党,企图使农民和工人结成一个政党,企图把并不存在的所谓‘劳动知识分子’看作一个单独的阶级,对于争取俄国的自由是极端不利、极端有害的,因为这些企图除了使人悲观失望、丧失力量、认识模糊之外,不会带来任何结果。”当然,列宁在坚持党的这种阶级性的同时并没有否认无产阶级在斗争中可以和其他革命阶级——如农民阶级结成同盟。他也曾经指出,无产阶级要实现在民主革命中的领导权,必须联合农民。只有农民加入无产阶级的革命斗争,无产阶级才能成为战无不胜的民主战士。但是,农民参加无产阶级革命并不能使革命的性质发生改变,因而,领导这一革命的无产阶级政党的性质仍然是无产阶级的。

            第二,无产阶级政党的先进性。马克思主义关于无产阶级政党性质的一个重要观点是:无产阶级是不能靠其自发的斗争取得胜利的,它必须在无产阶级政党的指引和领导下才能前进。由于无产阶级政党负有这样的使命,因而,党就要具有一定的先进性。若是否认了这种先进性,无产阶级政党的存在也就成为不必要的了。马克思主义认为:党是无产阶级组织的最高形式,是无产阶级的先锋队的组织,是无产阶级“最先进的和最坚决的”部分。党的这种先进性,主要表现在三个方面:(1)党代表着无产阶级的最高利益和最长远利益,他们比一般无产阶级群众站得更高、看得更远。《共产党宣言》指出:“共产党人同其他无产阶级政党不同的地方只是:一方面,在各国无产者的斗争中,共产党人强调和坚持整个无产阶级的不分民族的共同利益;另一方面,在无产阶级和资产阶级的斗争所经历的各个发展阶段上,共产党人始终代表整个运动的利益。”(2)在实践方面,共产党人是各国工人政党中最坚决的,始终推动运动前进的部分。马克思和恩格斯在总结1848年革命的经验时,指出了无产阶级政党和小资产阶级民主派之间的根本区别。他们认为:小资产阶级民主派“根本不愿意为革命无产者的利益而变革整个社会,他们所要求的社会制度的改变,是想使现存社会尽可能让他们感到满意而舒服”。而无产阶级政党的政治纲领则根本不同。“我们的利益和我们的任务却是要不间断地进行革命”,“对我们说来,问题不在于改变私有制,而在于消灭私有制,不在于掩盖阶级矛盾,而在于消灭阶级,不在于改良现存社会,而在于建立新社会”。马克思和恩格斯还指出,无产阶级政党的战斗口号是“不断革命”,“直到把一切大大小小的有产阶级的统治都消灭掉,直到无产阶级夺取国家政权,直到无产者的联合不仅在一个国家内而且在世界一切占统治地位的国家内部都发展到使这些国家的无产者间的竞争停止,至少是直到那些有决定意义的生产力集中到了无产者手里的时候为止”。(3)无产阶级政党的先进性还表现在它的成员是由工人中的优秀分子所组成的,而不是所有工人群众都能参加的。在成立共产主义者同盟时,马克思和恩格斯就在“同盟章程”第二条中严格规定了入党的条件,以保证党的先进性。马克思和恩格斯还要求共产党员不能混同于一般无产阶级群众,他们应是无产阶级群众中具有共产主义觉悟的“最不知疲倦的、无所畏惧的和可靠的先进战士”,是“最坚定的共产主义者也是最勇敢的士兵”。每个党员都必须承认,维护,服从、遵守党的代表大会所通过的党纲党章,为无产阶级伟大历史使命而奋斗;都必须按照党章规定履行党员的义务和行使党员的权利。作为党的领导人物则要求具有更高的素质。恩格斯指出:“要在党内担任负责的职务,仅仅有写作才能或理论知识,甚至二者全都具备,都是不够的;要担任领导职务,还需要熟悉党的斗争条件,掌握这种斗争的方式,具备久经考验的耿耿忠心和坚强性格,最后还必须自愿地把自己列入战士的行列中。”

            列宁在俄国的建党实践中不仅坚持了无产阶级政党先进性的思想,而且把这一思想向前推进了一大步。列宁反复强调,无产阶级政党是无产阶级的先进部队。无产阶级政党集中了最优秀的工人阶级的先进分子,是工人阶级优秀分子的集合点。他写道:“要知道,只是自称为‘先锋队’,自称为先进部队是不够的,——还要做得使其余一切部队都能看到并且不能不承认我们确实是走在前面。”“党是阶级的觉悟的、先进的阶层,是阶级的先锋队。这个先锋队的力量比它的人数大10倍,100倍或者更多”。当时,俄国社会民主工党孟什维克受到第二国际修正主义思潮的影响,主张取消它的阶级限制,无限制地扩大党的成员,认为每个“教授”“中学生”、“对党的同情者”和工人运动中的每个“罢工者”都可以成为俄国社会民主工党的党员。对这种观点列宁进行了针锋相对的批驳,在1903年党的第二次代表大会上,列宁指出:“宁可十个实际工作者不自称为党员(真正的工作者是不追求头衔的!),也不让一个空谈家有权利和机会做一个党员。这在我看来是一个无庸置辩的原则,···我们的任务是要保护我们党的巩固性、坚定性和纯洁性。我们应该努力把党员的称号和作用提高,提高,再提高。”

            第三,无产阶级政党的斗争性。无产阶级政党的这种斗争性首先体现在党在阶级斗争方面的坚定性上。在《共产党宣言》中,马克思和恩格斯就指出:共产党是阶级斗争发展到一定阶段的产物,它成立的目的,就是率领无产阶级进行阶级斗争。“共产党人的最近目的是和其他一切无产阶级政党的最近目的一样的:使无产阶级形成为阶级,推翻资产阶级的统治,由无产阶级夺取政权”。而共产党的最终目的,则是建立一个“没有阶级、没有私有制的新社会”。这个新社会,就是共产主义社会,而“共产主义革命就是同传统的所有制关系实行最彻底的决裂;毫不奇怪,它在自己的发展进程中要同传统的观念实行最彻底的决裂”。马克思和恩格斯还言明无产阶级政党的斗争手段是暴力革命。“共产党人不屑于隐瞒自己的观点和意图。他们公开宣布:他们的目的只有用暴力推翻全部现存的社会制度才能达到”。列宁也曾经指出:“马克思认为他的理论的全部价值在于这个理论“在本质上是批判的和革命的’。后一品质真正是马克思主义完全地和无条件地所固有的,因为这个理论公开认为自己的任务就是揭露现代社会的一切对抗和剥削形式,考察它们的演变,证明它们的暂时性和转为为另一种形式的必然性,因而也就帮助无产阶级尽可能迅速地、尽可能容易地消灭任何剥削。”

            无产阶级政党内部的这种斗争性,还体现在马克思主义经典作家对无产阶级政党的思想斗争、路线斗争的重视上。毫无疑问,经典作家们是重视无产阶级政党内部的思想团结和组织团结的。但由于他们的哲学是斗争哲学,因而他们认为,团结和一致只有通过矛盾和斗争才能达到。在经典作家们参与的无产阶级政党的建党过程中,几乎每一步都充斥着组织内部的各种思想和路线斗争。马克思在写给弗·波尔特的信中总结道:“国际的历史就是总委员会对那些力图在国际内部巩固起来以抗拒真正工人阶级运动的各个宗派和各种浅薄尝试所进行的不断的斗争。这种斗争不仅在历次代表大会上进行,而且更多的是在总委员会同个别支部的非正式的商谈中进行。”无产阶级政党的内部为什么会产生矛盾和斗争呢?马克思和恩格斯从三个方面分析了它的原因:其一,是由于“无产阶级的运动必须要经过各种发展阶段;在每一个阶段上都有一部分人停留下来,不再前进”。其二,是由于一些人人党的动机不纯,他们“利用党去干私人的肮脏勾当”,“利用工人去从事个人犯罪行为”。其三,则是由于资产阶级的收买与策略变化,使无产阶级内部出现了“资产阶级化的无产阶级”。马克思和恩格斯对无产阶级政党内部的斗争状况进行了总结,把它上升为党内斗争的理论。1882年10月,恩格斯在致爱·伯恩斯坦的信中指出:“看来大国的任何工人政党,只有在内部斗争中才能发展起来,这是符合一般辩证发展规律的。”在同月给倍倍尔的信中,恩格斯针对德国党内有些人厌烦斗争面追求无原则团结的思想倾向,强调说:“在可能团结一致的时候,团结一致是很好的,但还有高于团结一致的东西。谁要是像马克思和我那样,一生中对冒牌社会主义者所作的斗争比对其他任何人所作的斗争都多(因为我们把资产阶级只当作一个阶级来看待,几乎从来没有去和资产阶级个人交锋),那他对爆发不可避免的斗争也就不会感到十分烦恼了···”同时指出:“无产阶级的发展,无论在什么地方总是在内部斗争中实现的。”列宁对无产阶级政党内部斗争的规律也做过总结,他指出:“世界上没有一个社会民主党(特别是在资产阶级革命时代)不是经过同无产阶级的资产阶级同路人的艰苦斗争和多次分裂才建立起来的。俄国社会民主党也是在反对这种同路人的艰苦斗争中,排除一切障碍,于1998年形成,成长、壮大、锻炼出来的。”,”俄国工人阶级如果不是同形形色色的机会主义作了三十年的坚决斗争,就不可能建立起自己的政党。”

三、组织和纪律是无产阶级政党的战斗力保证

            任何政党都必须具备一定的组织形式和组织原则。一个政党的组织形式和组织原则,是由这个政党所担负的历史使命,这个政党所具有的阶级基础以及这个政党所处的历史时期和斗争环境所决定的。组织形式和组织原则虽然只是一个政党的外观,但能否依照阶级的特征和环境的要求来恰当地确定组织原则和组织形式,却是关系到一个政党是否能成为本阶级有凝聚力的政治核心以及是否有战斗力的大事。马克思主义经典作家在他们创建和领导无产阶级政党的过程中,很注意从无产阶级所处的时代、斗争环境和无产阶级的阶级特点及历史使命出发来设计党的组织形式及组织原则,在这一方面形成了一些理论。具体说来有以下三个方面。

            第一,无产阶级政党必须具有严密的组织形式和严格的组织纪律。这是由工人阶级的阶级性质所决定的。工人阶级是大工业的产物,而大工业又是许多人的协调劳动,它本身就要求它的劳动者具有高度的组织性和纪律性。但是在无产阶级政党建立以前,工人阶级的组织却是一些松散的团体和“密谋组织”。因而,马克思主义经典作家在把这些初级形态的工人组织改造成无产阶级政党时所遵循的原则之一,就是赋予新的组织以较严整的组织形式。马克思和恩格斯在为第一个无产阶级政党组织——共产主义者同盟起草的章程中,明确规定了同盟的组织机构和组织制度。《章程》第一章规定:同盟的组织机构是:支部、区部、总区部、中央委员会和代表大会。第二章至第七章还具体规定了支部、区部、总区部、中央委员会和代表大会的任务和职权范围,并规定了各级组织之间的关系。到第一国际时期,党的中央机关除设立总书记之外,还设立了执行主席,由总书记主持全党的日常工作。为了使“国际”的工作卓有成效地进行,还根据党的章程制定了更为具体的“组织条例”,确定了一系列制度,如关于召开代表大会的制度,关于民主选举的制度,关于建立报告的制度,关于缴纳党费的制度,关于调查统计的制度等。列宁针对俄国特殊的历史和社会环境,把对无产阶级政党组织形式的认识提高到一个更重要的位置。列宁写道:“无产阶级在争取政权的斗争中,除了组织而外,没有别的武器。”党是联系在一起的各个组织的总合。党是工人阶级的组织,这个组织又分成一个网状般的各种地方的和部门的,中央的和普通的组织。”列宁有两句名言:“单个无产者是无能为力的;上百万的无产者是万能的。”他强调:“要为实现工人阶级的理想而进行胜利的斗争,必须组织起来。为了巩固以重大损失和巨大努力换来的一切成果,也必须组织起来。”列宁还说:“创造一个最合于我国条件的组织形式,以便传播社会民主主义并把工人团结为一个政治力量。“什么是适合俄国的组织形式呢?对这个问题,列宁在建党初期曾和以马尔托夫为首的孟什维克派发生过一次争论。在俄国社会民主工党第二次代表大会上,马尔托夫提交大会的党纲草案中要求:凡是承认党纲、并且在党的机关监督和指导下为实现党的任务而积极工作的,都可以成为俄国社会民主工党党员。而列宁提交的条文是:“凡是承认党纲、在物质上帮助党并且参加党的一个组织的,都可以成为俄国社会民主工党党员。”这两个条文的差别,关键在于党员要不要参加党的一个组织。按照马尔托夫的设想,每个人都可以自行列名人党,“如果你愿意的话,就算是党员”,按照这种组织程序建立起来的党,必然是一个组织涣散、成分复杂、不定型的党。而按照列宁的条文,党员必须参加党的一个组织,接受党的领导,服从党的纪律。这样建立起来的党,必定是一个战斗的、集中统一的、有纪律的党。列宁认为,只有这样的党,才能符合俄国当时严酷恶劣的政治斗争环境的要求。

            除了具有严密的组织形式以外,无产阶级政党还应具有严格的组织纪律。马克思主义经典作家十分强调无产阶级政党的这种纪律性。马克思和恩格斯在为共产主义者同盟所制定的章程中,就规定了较严格的纪律。“我们现在必须绝对保持党的纪律,否则将一事无成。”第一国际成立以后,党的组织纪律先后受到蒲鲁东和巴枯宁无政府主义思潮的挑战。巴枯宁认为,如果实行严格的纪律,那就违背了“自由联盟”的原则,就不符合“未来人类社会的理想”。恩格斯对这种观点进行了严厉的反驳。他在《桑维耳耶代表大会和国际》一文中写道:“没有任何党的纪律,没有任何力量在一点的集中,没有任何斗争的武器!那末未来社会的原型会变成什么呢?简而言之,我们采用这种新的组织会得到什么呢?会得到一个早期基督徒那样的畏缩胆怯的而又阿谀奉承的组织”。列宁也反复强调,无产阶级政党必须有“铁的纪律”,认为“无产阶级的无条件的集中制和极严格的纪律,是战胜资产阶级的基本条件之一”。“谁要是把无产阶级政党的铁的纪律哪怕是稍微削弱一点(特别是在无产阶级专政时期),那他事实上就是帮助资产阶级来反对无产阶级”。

            第二,无产阶级政党必须实行民主集中制的组织原则。民主和集中是事物矛盾对立的两个方面。但是,在哲学上坚持对立统一方法的马克思主义经典作家们把这两个对立的方面统一在无产阶级政党的组织原则上,为无产阶级政党创造了民主集中制这个独一无二的组织原则

            首先,在无产阶级政党内部应是民主的。党要领导无产阶级进行革命斗争,不能只靠少数人,不能搞个人独裁,而必须依靠集体的智慧,为此,就要在党内实行民主制度。在共产主义者同盟时期,党的“组织本身是完全民主的,它的各委员会由选举产生并随时可以罢免,仅这一点就已堵塞了任何要求独裁的密谋狂的道路”。马克思和恩格斯还特别重视把民主制落实在党的具体的组织制度上。1892年9月恩格斯在写给倍倍尔的信中指出:“应当坚持每年召开一次党代表大会。即使为了遵守党章,你们执行委员会也必须这样做;否则,你们就会为那些喜欢叫喊的人提供极好的口实。而且,让全党哪怕一年有一次发表自己意见的机会,一般说来也是重要的。”列宁也十分重视党内的民主。他写道:“只有社会民主工党才不顾各种巨大的困难,甚至不顾重大牺牲,真正在组织中实行民主制。”“要真正按照民主原则解决问题,只召集由各组织选出的代表开会还是不够的,必须让该组织的全体党员在选举代表的时候,同时就整个组织所关心的争论问题都能人人独立地发表自己的意见。”

            同时,无产阶级政党内部也必须实行集中领导。马克思和恩格斯指出,无产阶级政党的组织是集中统一的。党必须有统一的纲领和章程,有革命的权威。党内全体成员都必须服从党的一切决议,执行党的纪律。只有实行这样的集中制,才能使党的一切力量拧成一股绳,集中在同一个攻击点上。恩格斯总结巴黎公社失败的教训时认为,巴黎公社遭到灭亡,就是由于缺乏集中和权威。综合党内的民主和党内的集中,马克思和恩格斯进一步指出,民主与集中、自治与权威都是相对的东西,不能把它们任何一方面加以绝对化。那种“把权威原则说成是绝对坏的东西,而把自治原则说成是绝对好的东西,这是荒谬的。权威与自治是相对的东西,它们的应用范围是随着社会发展阶段的不同而改变的”。马克思和恩格斯还曾指出,在无产阶级政党内部,“没有无义务的权利,也没有无权利的义务”。可以认为,马克思和恩格斯已经提出了民主集中制的思想。在理论上对民主集中制思想进一步加以完善、充实和提高的是列宁。1906年在俄国社会民主党第四次(统一)代表大会期间,根据列宁的建议,首次把民主集中制原则写入党章,明确规定:党的一切组织是按“民主集中制原则建立起来的”。后来,列宁又把这一组织原则适用于加入共产国际的各国共产党。列宁在他起草的《加入共产国际的条件》这个文献中指出:“加入共产国际的党,应该是按照民主集中制的原则建立起来的。”如果不能按这个原则建党,就不能称为共产党。列宁在别处还多次强调:“党内民主集中制的原则是现在一致公认的原则”。“我们主张民主集中制”。

            民主集中制除坚持了两点论之外,它的特点还在于体现了“具体问题具体分析”这一马克思辩证唯物主义的“活的灵魂”。经典作家们在强调民主集中制时,注意到它们的应用范围是随着社会发展阶段的不同而改变的。在共产主义者同盟时期,由于共产主义者到处受到反动势力的压,所以同盟只能以一种密团体的组织形式存在,在组织原则上,也比较强调集中的一面。到第一国际时期,由于客观形势发生了变化,国际就采取了公开性的组织形式,在组织原则上较强调民主的一面。列宁在俄国建党期间,在党的组织原则上始终强调高度的集中统一,这也是适应客观形势而确定的战略。列宁针对当时沙皇专制统治,党不能合法存在以及党内的无政府工团主义思潮这些实际情况,指出:“集中制思想,是从原则上确定了所有局部的和细节的组织问题的方法”。这个思想,“是唯一的原则性思想,应该贯穿在整个党章中”。针对孟什维克派要求党内“多一些民主”的主张,列宁指出:在专制制度下,不能实行民主,因为民主“在黑暗的专制制度下,在宪警到处进行选择的情形下,···只是一种毫无意思而且有害的儿戏”,“实行‘广泛民主原则’的企图,只能便于警察来广泛破获我们的组织”。在《加入共产国际的条件》一文中,列宁还指出:“在目前激烈的国内战争时代,共产党必须按高度集中的方式组织起来,在党内实行像军事纪律那样的铁的纪律,党的中央机关必须拥有广泛的权力,得到全体党员的普遍信任,成为一个有权威的机构。”这证明经典作家们在运用民主集中制这一组织原则时,是十分灵活的。

            第三,无产阶级政党必须加强组织团结,反对分裂。团结也是无产阶级政党重要的组织原则之一。马克思和恩格斯在创建共产主义者同盟时,把“全世界无产者联合起来”作为基本的口号,写在《共产党宣言》之前。在第一国际成立后,他们又强调指出“国际的一个基本原则——团结”。“如果我们能够在一切国家的一切工人中间牢牢地巩固这个富有生气的原则,我们就一定会达到我们所向往的伟大目标”。列宁也极为重视无产阶级政党内部的团结,他指出:“工人的经济和政治斗争越发展,他们就越迫切地感到统一的必要。没有工人阶级的统一,就不可能有工人阶级斗争的胜利。这种统一要靠什么呢?显然是要靠社会民主党的统一。”

            为什么要把团结作为无产阶级政党的一个基本组织原则呢?马克思主义经典作家们有以下三条认识。(1)这是由无产阶级政党的性质所决定的。无产阶级是人类历史上最进步的阶级,它和大生产是密切联系在一起的,逐渐形成了善于团结的优良特性。党作为无产阶级的先锋队组织,更集中了这优良特征,因而,党必然是团结统一的,是一个有组织的战斗的整体。(2)团结是无产阶级政党的力量所在。无产阶级的优势是人数的优势,要使这一优势真正被发挥出来,只有依靠团结。马克思在《共产主义者同盟成立宣言》中说:“工人们已经具备了作为成功因素之一的人数;但是只有当群众组织起来并为知识所引导时,人数才能起决定胜负的作用。”(3)这也是总结国际工人运动历史经验所得出的经验。马克思指出:以前“所做的一切努力至今没有收到效果,是由于每个国家里各个不同劳动部门的工人彼此间不够团结,由于各国工人阶级彼此间缺乏亲密的联合”。如果“忽视在各国工人间应当存在的兄弟团结,··就会使他们受到惩罚,——使他们分散的努力遭到共同的失败”。1871年,当巴黎公社失败以后,马克思又指出:“革命应当是团结的,巴黎公社的伟大经验这样教导我们。”

            既然要加强无产阶级政党的组织团结,就要反对一切形式的分裂行为,特别是要与党内的宗派主义分子作斗争。这里,马克思主义的辩证法又一次被体现出来,即:为了团结,开展斗争,通过斗争,达到团结。恩格斯认为:“在可能团结一致的时候,团结一致是很好的,但是还有高于团结一致的东西。”这种高于团结一致的东西,就是党的政治纲领和无产阶级的根本利益,这是无产阶级政党达到真正团结的基础。建立在这一基础上的团结,必须通过对党内宗派主义分子的斗争来达到。经典作家们对党内的宗派活动深恶痛绝。马克思和恩格斯指出,宗派主义实质上是反动的。“社会主义的宗派主义的发展和真正工人运动的发展总是成反比。只要工人阶级还没有成熟到可以进行独立的历史运动,宗派是有其(历史的)理由的。一旦工人阶级成熟到这种程度,一切宗派实质上就都是反动的了。”“一切宗派的特点都是彼此依附和进行阴谋活动”。列宁也指出:“党必须团结,党内不容许有反对派存在,——这就是从目前形势中得出的政治结论。”“凡珍视党、珍视恢复党的工作的同志,都应该最坚决地反对一切纯粹从派别组织、小集团的角度出发,纯粹为了组织派别、小集团的利益而竭力破坏党的人“

第四节党的领导是无产阶级专政的基本条件

            一、无产阶级政党必须在革命事业中保持独立地位

            马克思主义对无产阶级政党的领导权问题历来十分重视,对这一问题进行过大量论述,使领导权问题成为马克思主义政党学说的一个重要组成部分。

            在党的领导权问题上,首先就是无产阶级政党和其他阶级之间的关系问题。无产阶级革命运动在世界各地的发展是不平衡的,一般说来在运动的初期阶段,无产阶级的力量还很弱小,因而,必须与其他阶级结成联盟,甚至成为其他阶级的附庸力量或“尾巴”。但是,毕竟只有无产阶级才是真正革命的阶级。随着革命进程的发展,无产阶级的先进性会日益显露出来。无产阶级政党的建立,是无产阶级在政治上成熟的标志。但是无产阶级在政治上成熟以后,仍有必要在一段时期内与其他阶级结成联盟。马克思主义认为,无产阶级政党必须在这一联盟中获得独立地位并争取对运动的领导权。

            无产阶级之所以有必要在一段时期内与其他阶级结成联盟,主要出于两种原因:一是出于策略上的考虑。例如,当无产阶级革命在一个封建势力还没有被打倒,革命还带有民主革命性质国度里进行的时候,无产阶级政党就可以和资产阶级、小资产阶级结成结盟。如在共产主义者同盟时期,鉴于当时德国的革命性质是资产阶级民主革命,马克思和恩格斯等同盟领导人决定以民主派左翼的身份活动,他们创办的《新莱茵报》也是以“民主派机关报”的面目出现。恩格斯说:“如果我们当时不愿意这样做,不愿意站在已经存在的、最先进的,实际上是无产阶级的那一端去参加运动并推动运动前进,那我们就会只好在某一偏僻地方的小报上宣传共产主义,只好创办一个小小的宗派而不是创立一个巨大的行动党了。”列宁和毛泽东在俄国共产党和中国共产党创建初期也都曾主张与资产阶级建立过这样的联盟。二是出于壮大革命力量的考虑。这主要是指与农民阶级的联盟。农民这个“永远不能胜利地从事独立的运动”的阶级,在封建社会和资本主义社会中都同样是被统治阶级。他们身上有本能的革命冲动,因而,无产阶级在自己的解放事业中应该与农民结成同盟军。马克思指出:“农民所受的剥削和工业无产阶级所受的剥削,只是在形式上不同罢了。剥削者同是一个:资本。”因此,农民必然会把“负有推翻资产阶级制度使命的城市无产阶级看做自己的天然同盟者和领导者”。俄国共产党和中国共产党在他们领导的革命进程中也都曾强调过工农联盟的重要性。列宁指出,工人阶级之所以和农民能够结成联盟,就“在于这两个阶级在民主改革方面的利益必然一致”。他强调说:“只有农民群众加入无产阶级的革命斗争,无产阶级才能成为战无不胜的民主战士。”毛泽东在《做革命的促进派》一文中也指出:“无产阶级专政要靠广大的同盟军,单是无产阶级一个阶级不行。中国无产阶级数量少,只有一千多万人,它要靠几亿人口的贫农、下中农、城市贫民、贫苦的手工业者和革命知识分子,才能实现专政,不然是不可能的。”问题在于,无产阶级政党在与其他阶级的策略结盟中必须保持自己的独立性而不能甘心充当别人的“尾巴”,并且,当无产阶级革命运动发展到一定阶段以后,就要和其他阶级分道扬镳,取得对运动的独立领导地位。这些是马克思主义经典作家们反复强调的观点。

            为什么无产阶级政党要保持自己的独立地位,并且要争取对革命运动的领导权呢?马克思主义经典作家的解释主要有三点:

            第一,只有无产阶级才是彻底革命的阶级,而其他阶级只不过是革命的同路人。如果让无产阶级政党去追随其他阶级,就会走到革命的岔路上去。在1848年之后,马克思和恩格斯总结革命的经验,第一次比较全面地论证了无产阶级政党与小资产阶级政党之间的界限。他们指出,以路易·勃朗和赖德律——洛兰为首的“社会民主党”在实质上是一个激进的小资产阶级政党,这个党的纲领的实质和特点是“一方面用限制遗产权的办法,另一方面用尽量把各种事业转归国家经营的办法,阻挡资本的统治及其迅速的增长。至于工人呢,那末首先毫无疑问的是他们还应当照旧做雇佣工人,不过这班民主主义的小资产者想使工人有较高的工资和较有保障的生活”,“总之,他们希望用可以说是虚假的小恩小惠来收买工人,用暂时改善工人生活条件的办法来挫折工人的革命力量”。而无产阶级政党的纲领与之完全不同。无产阶级的利益要求它的政党“不间断地进行革命,直到把一切大大小小的有产阶级的统治都消灭掉,直到无产阶级夺得国家政权”。对无产阶级政党来说,“问题不在于改变私有制,而在于消灭私有制,不在于掩盖阶级矛盾,而在于消灭阶级,不在于改良现存社会,而在于建立新社会”。基于上述分析,马克思和恩格斯在《中央委员会告共产主义者同盟书》中指出:“工人,首先是共产主义者同盟,不应再度充当资产阶级民主派的随声附和的合唱队。”他们号召“同盟”盟员:“为了要达到自己的最后胜利,首先还是要靠他们自己的努力:他们应该认清自己的阶级利益,尽快地采取自己独立政党的立场,一时一刻也不要由于受到民主主义的小资产者花言巧语的诱惑而离开无产阶级政党保持独立组织的道路。”在第二封《中央委员会告共产主义者同盟书》中,马克思和恩格斯又强调指出:“工人阶级政党在一定的条件下完全可以利用其他政党和党派来达到自己的目的,但是它不应当隶属任何其他政党。”

            第二,由于资产阶级政党的软弱性,他们很难把反封建斗争进行到底,这个任务,也要靠无产阶级政党的领导来完成。这在封建统治基础比较牢固的国家尤为如此。在俄国,当孟什维克派主张把民主革命的领导权交给资产阶级政党时,列宁批驳说:“马克思主义教导无产者不要避开资产阶级革命,不要不关心资产阶级革命,不要把革命中的领导权让给资产阶级,相反地,要尽最大的努力参加革命,最坚决地为彻底的无产阶级民主主义、为把革命进行到底而奋斗”。列宁又指出:“革命的结局将取决于工人阶级是成为在攻击专制制度方面强大有力、但在政治上软弱无力的资产阶级助手,抑或是成为人民革命的领导者。”中国共产党在中国革命的历程中也作出过变“旧民主革命”为“新民主革命”的战略决策。而“新民主主义革命”就是以共产党为领导的,以工农联盟为基础的,团结爱国人士、民主党派和其他一切进步力量所进行的反对帝国主义、封建主义和官僚资本主义的革命。无产阶级政党在这种性质革命中的地位,当然第一是独立的,第二是领导的。

            第三,只有建立独立的无产阶级政党和确立党对革命事业的领导权,才能使无产阶级真正作为一个阶级团结起来和行动起来。马克思在国际工人协会(即第一国际)的《成立宣言》中写道:“目前欧洲各个最发达的工业国工人阶级运动的新高潮,在鼓起新的希望的同时,也郑重警告不要重犯过去的错误,要求立刻把各个仍然分散的运动联合起来。”马克思和恩格斯还认识到,仅仅建立统一的国际性工人阶级政党组织已不利于更全面、更深入地对无产阶级进行组织和发动,他们深感在各国建立独立的无产阶级政党的必要。1869年,马克思和恩格斯首先帮助德国工人阶级建立了世界上第一个国际性无产阶级政党组织——社会民主工党爱森纳赫派。1871年2月恩格斯在《致国际工人协会西班牙联合委员会》的信中指出:“各地的经验都证明,要使工人摆脱旧政党的这种支配,最好的办法就是在每一个国家里建立一个无产阶级的政党,这个政党要有它自己的政策,这种政策将同其他政党的政策显然不同,因为它必须表现出工人阶级解放的条件。”巴黎公社失败以后,马克思和恩格斯总结了公社失败的教训,认为,公社没有统一的无产阶级政党加以领导,“无论哪一派都不知道应该干什么,彼此进行着无谓的斗争,致使公社精力疲惫”,是失败的重要原因之一。1871年9月,在第一国际总结巴黎公社失败的经验教训的伦敦代表会议上,马克思和恩格斯再次指出:“工人阶级在反对有产阶级联合权力的斗争中,只有组织成为与有产阶级建立的一切旧政党对立的独立政党,才能作为一个阶级行动。”

二、无产阶级政党必须坚持对阶级和群众运动的领导权

            马克思主义认为:无产阶级政党作为阶级的先锋队组织,必须和无产阶级的一般群众区别开来,走在阶级的前列,坚持对革命运动的领导权

            马克思和恩格斯没有正面论述过无产阶级政党和无产阶级一般群众之间的关系,但他们用大量篇幅论述过无产阶级建立自己的政党组织的必要性和无产阶级政党的先进性。从这些论述中,已经可以看出无产阶级政党与一般群众是有所区分的,并且应该由前者对后者实行领导的端倪。对无产阶级政党和一般群众关系进行明确、全面和深入探讨的是列宁。促使列宁对这一问题加以探讨的有来自国外和国内两个方面的原因。国外的原因就是在当时的第二国际中,有一种否认马克思主义理论的先进作用,强调工人运动“天然合理”的思潮;国内的原因,则是俄国无产阶级建党初期,就建立一个什么性质的党,列宁先后与“经济派”和“孟什维克派”发生分歧。正是在批判和论战中,列宁提出了自己关于无产阶级政党和一般群众关系的主张。列宁主张的核心,是无产阶级政党作为先锋队和无产阶级的一般群众是有区别的,无产阶级政党必须坚持对阶级和群众运动的领导权。具体说,列宁的主张包括三个方面的内容:

            第一,无产者是不能“自发地”走上社会主义道路的,必须由党率领他们前进。在俄国建党初期,经济派提出要让工人运动自发产生,否认建立无产阶级政党的必要性。对这一思想列宁进行了激烈的反驳。他认为,无产者是不能自发地走上社会主义道路的。因为社会主义是一种科学,不能在工人运动中自发产生,必须由无产阶级政党把社会主义的意识从外面“灌输”到工人群众中去。列宁指出:“各国的历史都证明:工人阶级单靠自己本身的力量,只能形成工联主义的意识,即必须结成工会、必须同厂主斗争必须向政治争取颁布工人所必要的某些法律等等的信念。”既然工人运动不能自发产生社会主义意识,那么社会主义者的任务就是把“社会主义意识灌输到这个运动中去,并把工人阶级的先进力量团结成一个集中的党”。这里的“灌输”,实际上就是无产阶级政党实行思想上的引导。

            第二,党只是阶级中的一部分人,是阶级的先进分子。不能把党和一般群众混为一谈。孟什维克派在建党中曾提出一个观点,即:“既然是阶级的党,就应当想法不把那些虽然不十分积极可靠,可是自觉地靠近党的人抛在党外。”列宁指出:这一说法正是犯了和经济派一样的错误,把党和阶级混为一谈了。党是阶级的党,这是指党代表工人阶级的利益,领导工人阶级前进,但这决不是说,党在组织成分上包括整个工人阶级。党只是工人阶级的一部分,是最先进、最积极、最觉悟的一部分,是工人阶级的先进部队。列宁指出:“我们是阶级的党,因此,几乎整个阶级(而在战争时期,在国内战争年代,甚至完全是整个阶级)都应当在我们党的领导下行动,都应当尽量紧密地靠近我们党;但是,如果以为在资本主义制度下,不论在什么时候,几乎整个阶级或整个阶级都能提高到自己的先进部队即自己的社会民主党的觉悟程度和积极程度,那就是马尼洛夫精神和‘尾巴主义’”。列宁认为,加入党的先锋战士同靠近党的积极分子和同情者在觉悟程度和组织程度上都是有区别的,绝对不能混同。谁如果“忘记先进部队和倾向于它的所有群众之间的区别,忘记先进部队的经常责任是把愈益广大的阶层提高到这个先进的水平,那只是欺骗自己,漠视我们的巨大任务,缩小这些任务”。列宁强调党员素质的这种特殊性,实际上就是肯定党应该对阶级和群众运动实行领导。

            第三,党是无产阶级联合的最高形式。无产阶级在革命斗争中,不仅产生了自己的政党组织,而且产生了自己的工会、青年团和妇女联合会等群众组织。党和这些群众组织应该是一种什么样的关系呢?列宁认为,也应该是一种领导与被领导的关系。对于这个问题,马克思和恩格斯早年也有过议论。他们曾提出,党是“工人联合会的中心和核心”。列宁发展了这一思想,提出党是“无产者的阶级联合的最高形式”。列宁认为,工人运动有一个由初级到高级的发展过程,与此相适应,无产阶级的组织形式也有一个从初级到高级的发展过程。无产阶级组织的初级形式被高级形式所取代是必然规律。列宁这样描述这一发展过程:“在资本主义发展初期,工会是工人阶级的一个巨大进步,因为工会是工人由散漫无力进到初步阶级联合的过渡。当无产者的阶级联合的最高形式,即无产阶级的革命政党开始成长的时候,工会就不可避免地暴露出某些反动色彩,如某些行会的狭隘性,某些不问政治的倾向以及因循守旧的积习等等。”到了这一发展阶段,“工会应当在社会民主党组织的‘监督和领导下’进行工作,这对于每一个社会民主党人都是没有疑问的”。为了加强党对各群众团体的领导,还“必须在工会、合作社以及其他群众性的工人组织中坚持不懈地进行共产主义的工作。必须在这些组织内部成立共产党支部,这些支部应该进行长期的顽强的工作,争取工会为共产主义事业服务”。同时,列宁还强调:“这些共产党支部应该完全服从整个党的领导。”

三、无产阶级政党应该由革命家来领导

            任何政党都表现为一定的组织结构。在这个机构中,必然区分为党的领导机构和下级机构,党的领袖人物和一般党员。那么,在党的机构之中,在领导机构与下级机构之间,在领袖与一般党员之间,又应该是一种什么样的关系呢?

            马克思主义对这一问题的基本问答是:党是按照民主集中制的组织原则组织起来的。因而,在党组织内部的各种关系上,既要体现出其民主的一面,又要体现出集中的一面。但民主和集中这二者不是等量齐观的。随社会环境和斗争条件的不同,对民主和集中强调的程度也不同。一般说来,在环境比较复杂、斗争比较尖锐的情况下,就要强调集中多一些;反之,就要强调民主多一些。但是,由于无产阶级政党自从诞生以后绝大多数时间里都是处在复杂、尖锐的斗争环境中,因而,集中制构成了无产阶级政党组织内部关系的一般特征。

            所谓集中制,就是强调在党组织内部是一种自上而下的命令和服从关系。也就是后来毛泽东同志总结的“个人服从组织、下级服从上级、全党服从中央”的组织原则。马克思和恩格斯曾一度反对在党内实行集中制。他们批评说,“集中制的组织对秘密团体和宗派运动是极其有用的”。但当在第一国际内部无政府主义思潮泛滥时,马克思和恩格斯又站出来捍卫了集中制。他们指出:“把权威原则说成是绝对坏的东西,而把自治原则说成是绝对好的东西,这是荒谬的。权威与自治是相对的东西,它们的应用范围是随着社会发展阶段的不同而改变的。”他们总结巴黎公社失败的教训,指出:“巴黎公社遭到灭亡,就是由于缺乏集中和权威。”就

            列宁把无产阶级政党的集中制原则上升到了理论高度。列宁认为,如果没有一个由革命家来领导的无产阶级政党组织,“真正的革命运动是以想像的”。针对当时第二国际内有人提出“是党专政还是阶级专政?是领袖专政(领袖的党)还是群众专政(群众的党)?”这样的问题,列宁答道:“在多数情况下,至少在现代的文明国家内,阶级通常是由政党来领导的;政党通常是由最有威信、最有影响、最有经验、被选出来担任最重要职务而称为领袖的人们所组成的比较稳定的集团来主持的。”

            在俄国建党过程中,列宁逐渐形成了建立“职业革命家组织”的思想。列宁认为,要把分散的社会民主党地方组织建设成一个集中统一后的马克思主义政党,首先必须把那些能够造就全党统一的骨干力量,即那些完全献身革命,在理论和实际活动方面最有修养、对革命最忠诚、同无产阶级保持密切联系的职业革命家组织起来,建立一个中央领导核心。托洛茨基认为,“党必须在它自身的基础上寻求它的稳定性保证,这个基础就是积极的、信赖自己的无产阶级,而不是它的上级”但列宁的认识与之相反,“任何革命运动,如果没有一种稳定的和能够保持继承性的领导者组织,便不能持久”;“自发地卷入斗争、构成运动的基础和参加到运动中来的群众越加广泛,这种组织也就越加迫切需要,也就应当越加巩固”。

            列宁指出:新型无产阶级政党的组织应当由两部分组成:一部分是人数不多,经常进行工作,作为骨干的领导工作人员,这里主要是职业革命家;另一部分是同群众有着密切联系并受到群众支持的党员群众所组成的广泛的地方组织网。在俄国当时严酷的斗争环境中,只有建立坚强的职业革命家组织,才不易被敌人破坏,才能保持领导核心的稳定性和中央与各个地方党组织间联系的连续性。列宁还指出了职业革命家组织与工人组织的三个不同点:一是工人组织一般是一个以生产为职业的组织,而革命家组织则是以从事革命活动为职业人的组织;二是工人组织是广泛的群众性组织,而革命家组织是不很广泛的少数领导者的组织;三是工人组织是一个尽量公开性的组织,而革命家组织则是尽可能秘密的组织。列宁对“职业革命家组织”在革命中的作用给予了高度评价。他指出:“一个由职业革命家组成而由全体人民的真正政治领袖领导的组织”是俄国各地社会民主党委员会和小组的领导核心,是“人民的代言人”。“无产阶级的自发斗争如果没有坚强的革命家组织的领导,便不能成为无产阶级的真正‘阶级斗争”因此,列宁强调说,“给我们一个革命家组织,我们就能把俄国翻转过来”

            同时,在职业革命家组织中,列宁又对革命领袖的作用予以了充分肯定。他认为:历史上,任何一个阶级,如果不推举出自己善于组织运动和领导运动的政治领袖和先进代表,就不可能取得统治地位。领袖应是职业革命家中“最有威信、最有影响、最有经验”的人,“革命领袖的职责是引导群众走向革命”。在通常情况下,领袖不是一个人,而应是一批人。是一个“稳固的集团”。列宁说:“在现代社会中,假如没有“十来个’富有天才(而天才人物不是成千成百地生产出来的)、经过考验、受过专门训练和长期教育并且彼此能够很好配合的领袖,无论哪个阶级都无法进行坚持不懈的斗争。”当然,列宁也反对把领袖人物过分神化,他指出:“工人领袖不是天使,不是圣人,而是普通的人。他们犯了错误,党就去纠正这些错误”,因而,要“把每个领袖放在适当的位置上“。

四、无产阶级政党是社会主义国家的执政党

            1917年11月,俄国十月革命取得胜利,率先建立了世界上第一个社会主义国家。在第二次世界大战以后,在亚洲和欧洲,又相继有一批社会主义国家诞生,其中包括中国。社会主义国家的建立,使无产阶级政党的性质、地位、任务和活动方式都发生了根本的转变,也使马克思主义的政治学说有了新的内容和新的发展。

            最先遇到的问题就是,在社会主义国家中,应该采取何种政党制度。政党制度是多种多样的,从大处说,有一党制、两党制、多党制。从政党执政的方式上看,又有像美、英那样的轮流执政制和像当时日本那样由一党长期执政制。社会主义国家应选用何种政党制度呢?

            对这一新的问题,马克思主义的回答是:社会主义国家应由无产阶级政党作为执政党。马克思主义的这一原理,首先从社会主义国家的政党实践中体现出来。社会主义国家,无论是实行一党制的国家,还是实行多党合作制的国家,都实行了由共产党一党领导的体制,而不是像资本主义国家那样由不同政党轮流执政。另外,在实行多党合作制的社会主义国家中,共产党与其他政党的关系不是一种对抗关系,也不是对等关系,而是一种领导与被领导的关系。

            马克思主义经典作家对无产阶级专政条件下坚持共产党的一党领导问题也有过明确论述。在十月革命胜利以后,列宁曾多次强调:“党是无产阶级的直接执政的先锋队,是领导者。”“只有工人阶级的先进部分,只有工人阶级的先锋队,才能领导自己的国家”。当时,俄国曾有人提出把全部国民经济的管理大权交给“全俄生产者代表大会”。社会革命党人和孟什维克也主张国家政权机关要实行多党联盟,批评列宁要搞“一党专政”。对此,列宁回答道:“当有人责备我们是一党专政,···我们就说:“是的,是一党专政!我们所依靠的就是一党专政,而且我们决不能离开这个基地,因为这个党是在几十年内争得了整个工厂无产阶级和工业无产阶级的先锋地位的党。···只有这个党才能领导工人阶级去深刻地根本地改变旧社会’。”斯大林也指出:“在很少的地方,当列宁和敌人论战而不得不说党专政时,他通常说一党专政’,就是说我们党独掌政权,不和其他政党分掌政权。”怎样理解列宁所说的这种“一党专政”呢?斯大林解释说,应该理解为是“党的领导”,“党的领导作用”。他进一步作出限制:“(1)列宁使用党专政这个词并不是指专政这个词的本意(凭借暴力的政权而言),而是指其转义而言,即指党独掌领导而言;(2)谁把党的领导和无产阶级专政等同起来,谁就是曲解列宁的意思,就是错误地给党加上对工人阶级使用暴力的职能;(3)谁给党加上这种党本来所没有的对整个工人阶级使用暴力的职能,谁就是违背了先锋队和阶级之间、党和无产阶级之间正确的相互关系的起码要求。“斯大林的意思很清楚,“一党专政”并不是说由无产阶级政党独掌专政职能,而是指党在无产阶级专政的系统中起到一种核心和领导的作用。

            列宁对社会主义国家一党领导的认识,实际上是对他“党是无产阶级联合的最高形式”思想的进一步发展。社会主义革命的成功不仅意味着无产阶级的解放,而且也意味着其他被压迫阶级的解放,其中包括农民阶级和小资产阶级。但由于这些阶级并不代表社会主义运动的方向,因而,在新的国家建立以后,这些阶级只能作为无产阶级的同盟军和伙伴而存在,而不能成为社会的领

导阶级。这些阶级的政党也不应和无产阶级政党分享国家权力。同样,在无产阶级内部,组织形式也是多种多样的,有适应政治统治需要而建立的国家机关,还有军队,工会,共青团,妇女会,企业等等。这些组织都是无产阶级专政体系中不可缺少的组成部分,从不同方面担负着实现无产阶级专政的任务。但是,“党是无产阶级专政体系中的主要领导力量”。“党的使命是把无产阶级一切群众组织的工作毫无例外地统一起来,并把它们的行动引向一个目标,引向无产阶级解放的目标”。列宁在为俄共第十次代表大会起草的一份决议草案中指出:“只有工人阶级的政党,即共产党,才能团结、教育和组织无产阶级和全体劳动群众的先锋队,也只有这个先锋队才能抵制这些群众中不可避免的小资产阶级动摇性,抵制无产阶级中不可避免的种种行会狭隘性或行会偏见的传统和恶习的复发,并领导全体无产阶级的一切联合行动,也就是说在政治上领导无产阶级,并且通过无产阶级领导全体劳动群众不这样,便不能实现无产阶级专政。“

            社会主义国家由无产阶级政党一党执政,并不意味着在社会主义国家中只允许无产阶级政党一党存在。在实践中,很多社会主义国家都存在着一些非无产阶级的爱国民主党派和团体。如在我国有8个民主党派。应怎样看待这些爱国民主党派的存在呢?马克思主义对这一问题的认识是:第一,对这些爱国民主党派的存在,要尊重历史,尊重现实;第二,应该看到这些民主党派作为在共产党领导下的参政和议政党面存在,有利于调动各方面的积极因素,发展社会主义民主。毛泽东早在1941年就指出:“国事是国家的公事,不是一党一派的私事。因此,共产党员只有对党外人士实行民主合作的义务,而无排斥别人、垄断一切的权利。”“共产党的这个同党外人士实行民主合作的原则,是固定不移的,是永远不变的。”我国实行的是共产党领导的多党合作制度。共产党是执政党,民主党派是参政党。这是符合中国国情的社会主义政党制度。它有利于中国共产党和各民主党派团结合作、互相监督,共同致力于建设有中国特色的社会主义和统一祖国、振兴中华的伟大事业。

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2025: 莎拉·佩恩——俄罗斯为何输掉冷战

莎拉·佩恩——俄罗斯为何输掉冷战

石油危机、中苏分裂、民族叛乱与军备竞赛

德瓦尔凯什·帕特尔

2025年12月19日

这是莎拉·佩恩讲座系列的最终篇章,或许也是我最钟爱的一期。

莎拉系统梳理了导致苏联解体的关键因素,深入剖析了美国的作用、中苏边境冲突、石油危机、民族叛乱乃至罗马天主教会的影响。正如她所言,当我们可能正站在新一轮冷战的起点时,这些论述尤具深意。

在系列讲座收官之际,我要特别感谢莎拉与我共同完成这项工作。这段合作经历令人愉悦。

若想深入了解她的学术成果,强烈推荐阅读她撰写的著作,可在此处查阅。

YouTube观看;Apple PodcastsSpotify收听。

一下有美国海軍戰爭學院莎拉·佩恩教授講座與訪談文字紀錄DeepL 英汉语机器翻译。文字紀錄英文原文在 
Sarah Paine – Why Russia Lost the Cold War Oil crisis, Sino-Soviet split, ethnic rebellions, and arms build-up
  可以找得到。Substack上Dwarkesh Podcast还有其他莎拉·佩恩教授講座

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时间戳

(00:00:00) – 里根是否单枪匹马赢得了冷战?

(00:15:53) – 东欧集团起义与石油危机

(00:30:37) – 戈尔巴乔夫的失误

(00:37:33) – 德国统一与北约扩张

(00:48:31) – 海湾战争与冷战终局

(00:56:10) – 中央计划经济为何能存续如此之久

(01:14:46) – 莎拉1988年在苏联的生活

文字记录

00:00:00 – 里根是否单枪匹马赢得了冷战?

莎拉·佩恩

感谢各位前来。能与诸位共聚并分享这些内容实属荣幸。鉴于我们似乎正处于第二次冷战,此刻或许正是重温上一次冷战的良机——探究其最终走向的成因,以及参与者为何如此看待结局。

我将提出核心问题:俄罗斯为何在冷战中败北?对此众说纷纭。本讲将梳理各类反驳观点,首先探讨许多美国人的简单答案:“罗纳德·里根单枪匹马击败了苏联。” 这确实是一种可能的答案。但随后我将提出各种反驳观点。

其中既有针对苏联外部因素的解释——即其他国家对苏联采取的行动;也有聚焦苏联内部因素的分析——即苏联自身未能妥善利用的战略资源。此外我还将提出若干总体性解释。以上便是今晚的讨论框架。

关于里根功不可没的说法…看这张冷战结束后里根牧场的照片。戈尔巴乔夫夫妇与里根夫妇欢聚一堂,尽显融洽,这似乎暗示该解释存在漏洞。

但无论如何,“里根功不可没”学派的核心观点是:里根实施了大规模军事扩张,有人认为这耗尽了苏联国力。他言行一致,发表过许多令人难忘的精彩演讲。

他在英国议会发表演说时曾说:“极权主义建立的政权已有三十余年时间来确立其合法性,但没有一个——没有一个政权——敢于举行自由选举。用刺刀建立的政权无法扎根。”

随后他在勃兰登堡门前发表讲话,这座位于柏林的建筑曾是德国辉煌的象征,但当时它已成为柏林墙上的一道铁门。罗纳德·里根在此宣告:“戈尔巴乔夫总书记,若你寻求和平,若你渴望苏联与东欧繁荣,若你追求改革开放,请来到这座城门前。戈尔巴乔夫先生,打开这扇门。推倒这堵墙!

谁又能忘记他在佛罗里达州奥兰多向全国福音派协会发表的“邪恶帝国”演讲?听众们甚至放弃迪士尼乐园之行前来聆听。

里根实施了重大军事扩建——其实早在卡特执政时期,当苏联入侵阿富汗时(后来我们发现这是个重大错误)就已启动。他还投资并在欧洲部署导弹。他忙于资助反共叛乱势力,以及全球各地反苏组织。他开始推行更具侵略性的军事巡逻。离任时,他计划打造的600艘舰队规模仍差六艘舰艇。他还试图建立导弹防御系统——即战略防御计划

问题在于苏联试图与之抗衡。若将美国、北约盟国及日本的国民生产总值相加,其总量可达苏联的七倍。必须警惕不对称战略。冷战期间中情局推测俄罗斯国防开支占国民生产总值比例可能高达20%。冷战结束后,更精确的统计数据表明实际比例至少为40%至50%。若将军事相关的基础设施投资纳入考量,有人指出实际比例高达70%,足以摧毁整个经济。反观冷战时期:美国军费占比不足8%,德国低于6%,日本不足2%,而纳粹德国——这个绝非小打小闹的国家——军费占比高达55%。综合这些数据,其艰辛可见一斑。

今天我将大量引用俄罗斯人的观点,因为他们对祖国的命运进行了深刻反思——他们熟悉的生活方式如何消逝,苏联如何解体,帝国如何瓦解。他们对此进行了大量思考。以下是前苏联驻西德大使瓦伦丁·法林的观点: 他的见解是:“美国通过军备竞赛耗尽我方国力的战略,使我国公共卫生危机及所有与民生水平相关的问题都达到了新的高度。”若将美中边境持续的军备竞赛叠加,这场军备竞赛使苏联经济陷入永久性危机。

格奥尔基·阿尔巴托夫作为苏联末期最杰出的美国问题专家(至少是最负盛名的),在分析苏联阿富汗战争时指出:“阿富汗战争对美国显然最为有利,而我们却陷入了属于自己的越南战争。”因为美国忙于资助敌对势力,这代价极其高昂。戈尔巴乔夫上台一年后向政治局阐述时指出:“看,美国人正是押注于苏联对战略防御计划(SDI)的恐惧——这种导弹防御系统令我们心惊胆战。他们施压的根本目的就是耗尽我们的国力。”此言极是。

有人认为美国在军备竞赛中的胜利确保了冷战胜利。干得好,罗纳德。这是其中一种解释。但我将带大家了解反驳观点及其他解释,从福特总统、卡特总统和《赫尔辛基宣言》说起。

二战后,苏联曾试图召集欧洲国家会议以确认其二战后扩张的边界。长期以来无人理会——西欧国家厌倦了这场闹剧。美国仍不愿出席,但为配合盟友,我们最终参与其中。而盟友坚持加入人权条款,我们认为这纯属痴心妄想,因为深知苏联绝不会执行这些条款。然而《赫尔辛基协定》却包含了各种人权条款。

令人惊讶的是,在无人预料的情况下,东欧集团的异见人士与西方的人权活动家开始要求共产党履行签署的协议,并对比共产主义承诺的解放与实际实施的独裁统治。这场在苏联集团内外兴起的人权运动,逐渐发展出自己的生命力。

前中情局局长兼国防部长罗伯特·盖茨曾坦言:“苏联人极力推动这场大型会议,却为帝国覆灭埋下伏笔。我们多年抵制,数年后才惊觉这场会议带来的收益远超想象。”真是耐人寻味。

吉米·卡特推行人权倡议时,正是戈尔巴乔夫的英语翻译指出,卡特着重强调苏联民众被剥夺的那些人权,引发了强烈共鸣,使人们开始渴望更民主、开放、自由的社会。卡特在圣母大学毕业典礼上发表演讲时说:”我们重申美国将人权作为外交政策基本准则的承诺。凝聚美国人的是自由信念。我们要让世界知道,我国追求的远不止经济繁荣。我们的价值超越物质层面。“

埃德瓦尔德·谢瓦尔德纳泽——戈尔巴乔夫的外交部长——也呼应了这些理念。他坦言:”我内心深处坚信我们是伟大国家,但伟大体现在何处?领土?人口数量?军备规模?民众苦难?个人权利缺失?我们这个婴儿死亡率几乎居世界之首的国度,究竟该为何而自豪?这些问题难以作答。你是谁?你渴望成为怎样的国家?一个令人畏惧的国家,还是一个赢得尊重的国家?一个以实力取胜的国家,还是一个以仁爱为本的国家。”

其他人士认同共产主义对苏联存续至关重要,但这终究是反民主的意识形态。从根本上说,它无法成为永恒的基石。俄罗斯记者维塔利·伊格纳滕科持此观点。苏联职业外交官奥列格·格里涅夫斯基则表示: “请看,共产主义意识形态首先与苏联紧密相连。其被抛弃造成了真空,并最终决定了苏联的命运。”鲍里斯·叶利钦——戈尔巴乔夫的继任者——曾说:“看啊,没人想要一个新苏联。”

因此有人提出反驳:赫尔辛基协议中的人权条款以及卡特随后的人权运动,摧毁了共产主义者对共产主义的信仰。好吧。换个总统,换个反驳观点。理查德·尼克松的支持者会说:“不不不不不,是理查德·尼克松打出了中国牌,让美中两国联手围堵苏联,通过财政过度扩张使其军力崩溃。”

我认为中国人会持不同意见,他们会说:“不不不不,是毛泽东打出了美国牌。”因为1969年发生了什么?当时正爆发中苏边境战争

中国早在1964年就拥有了核弹。他们不再需要对苏联俯首称臣,开始在边界争端中采取更强硬的姿态。这让苏联人非常恼火。他们找到美国人询问:轰炸这些家伙可以吗?因为他们认为美国人不喜欢中国人。虽然我们确实不喜欢,但我们回答:“不行,轰炸这些人是不可接受的。”

于是中国人明白了:想用核武器对付你的人才是你的主要对手,对吧?在此之前……想想看,对中苏两国而言,美国才是主要对手。现在他们彼此成了主要对手,美国便得以决定要亲近哪一方。而美国决定要亲近中国。

为什么?因为中国的咄咄逼人迫使苏联采取行动。他们不仅已在欧洲边境部署了庞大的军事力量,现在还要在中国漫长的边境线上重复同样的部署。这些都是装备核武器的机械化部队,极其昂贵。试想如果我国必须在加拿大和墨西哥边境部署同等规模的部队,那将耗尽国库——而我们比当时的苏联富裕得多。对苏联而言,这无疑是破产的边缘。因此有人认为,美国与中国合作最终导致苏联过度扩张而崩溃。

从尼克松总统到里根总统,所有这些论点都能支撑一个核心观点:“看吧,每位总统都为继任者创造了机遇,而后者则善加利用。” 尼克松打出中国牌,后任者则愈发娴熟地运用这张牌。福特上台后开始涉足人权议题。卡特继任时全力推进人权议程并启动军事扩建,而里根则真正落实了这些举措。待到里根执政时,美国已凭借意识形态与军事双重优势与苏联周旋。

若认为冷战期间美国外交政策缺乏连贯性,那是未能从战略层面审视。虽然存在不同策略及实现路径的差异,但两党始终认同核心目标:自由贸易、民主制度、遏制共产主义。这些始终是冷战时期美国外交政策的基本要素。

因此有人认为,从尼克松到里根的历任总统共同产生了击败苏联的累积效应。

当然也有人反对这种伟人理论,认为历史归根结底取决于军事平台——五角大楼术语中指大型军事系统。具体而言就是核动力核潜艇,他们坚称这才是关键所在。

冷战期间威慑理论的运作机制——我认为至今依然适用——在于:要遏制对方,就必须拥有可靠的二次打击能力。当对方考虑向你投掷核弹时,必须确信你拥有二次打击能力予以反击。因此他们永远不敢率先发动核打击。

吉米·卡特就任总统时,作为安纳波利斯学院毕业生兼潜艇兵,美国开始更积极地部署舰队,里根执政期间此举更为强化。我们派遣潜艇锁定苏联本土水域堡垒中的潜艇。苏联人意识到我方首轮打击就可能摧毁他们的二次打击能力,为此惊惶失措。

此时,戈尔巴乔夫的长期助手瓦列里·博尔丁坦言:“美国最强大的力量在于其海军舰队,而我们既无法拥有同等规模的舰队,地理条件也不允许我们像美国那样有效运用舰队。”随后,雅佐夫元帅更直言:“对美国人而言,舰队是实施核打击的主要手段。”

接着是阿赫罗梅耶夫元帅——1987年访美时,这位冷战末期自杀身亡的将领向美方东道主坦言:“你们知道我方潜艇位置,而我们却不知贵方潜艇所在。这种失衡极不稳定。美国海军才是症结所在。” 海军万岁。而接待他的特罗斯特海军上将则回应道:“没错,苏联无法维持强大防御能力,最终导致其解体,也消除了苏联对我们的重大威胁。”

因此完全可以合理论证:苏联在技术和财政上都无法抵御美国潜艇对其核力量的威胁,终结战争成为其唯一选择。

上述所有解释都是“脐带式解释”——字面意思就是盯着自己的肚脐。它们只关注美国做了什么或没做什么。现在让我们超越美国团队的半场网球式论述,把目光投向网的另一端。西方军事思想大师卡尔·冯·克劳塞维茨正是在此强调战争的互惠性与双方互动。若不考量对手的行动,你将难以取得优势。

00:15:53 – 东欧起义与石油危机

以上是外部因素的阐释,现在转向内部因素。请看阿诺德·汤因比——这位二十世纪最杰出的历史学家之一,在其巨著《西方的未来》中提出:文明的消亡源于自杀而非他杀。此前我已论及美国对苏联实施的“谋杀”,现在要探讨苏联自身的“自杀”行为。首项反驳观点是:苏联作为帝国崩溃,意味着其在冷战中败北。

冷战期间,朝鲜战争越南战争期间,西方世界曾深陷多米诺骨牌理论的恐惧。该理论认为:若一国沦陷于共产主义,则其他国家将接连倒下。事实证明,骨牌效应并不适用于资本主义。它却精准作用于共产主义——当民主浪潮席卷东欧某华沙条约组织国家时,便迅速蔓延至其他成员国,最终引发沸腾的动荡,使它们如骨牌般接连倒下。

因此在1988-89年间,东欧集团(苏联)各地爆发了各种示威活动。苏联国内民众追求政治自由,而东欧集团国家则渴望摆脱苏联控制。戈尔巴乔夫或许未能理解这层差异——民众诉求不仅关乎政治自由,更涉及崩溃的经济体系和如何改善悲惨的生活水平。不同寻常的是,苏联并未派遣坦克镇压。事实上,戈尔巴乔夫不仅在苏联推行改革,更积极鼓励东欧集团进行政治与经济变革。他的公开性理念与重建政策,在国内外引发强烈共鸣。

这些改革始于波兰。该国曾多次爆发工人骚动,如1956年1970年1976年,以及1980至1981年。1981年,工人运动组织团结工会正式成立,并迅速获得国内外声誉。

1988年,新一轮罢工浪潮席卷而来——此前数年间,波兰国民生活水平已萎缩逾3%。

政府财政枯竭欲上调基本食品价格,民众随即走上街头抗议。当局陷入恐慌,担忧经济将陷入自由落体式崩溃。于是政府与团结工会达成协议:“你们停止罢工,我们就允许你们参与政治谈判”,工会接受了条件。但整个局势存在复杂变数——罗马天主教会作为波兰极具公信力与合法性的机构,对团结工会持偏袒态度,且当时教皇来自波兰

圆桌会议正是这些政治谈判的载体。谈判于一年后的1989年2月举行,苏联对此予以鼓励。事实上,当时有位苏联顾问这样告诫波兰人:“你们必须迅速解决经济和政治困境。你们是小国,犯错影响有限;但若我们犯错,后果将极其严重。” 这点他们说对了。

波兰共产党以为通过操纵选举规则就能掌控局面。事实并非如此。他们举行选举的那天,恰是邓小平在北京动用坦克镇压示威者、引发天安门惨案的日子。问题有两个解决方案。波兰选举的结果是:团结工会赢得了除一个席位外的所有可竞选席位。而共产党指定的席位中,仅有三名候选人当选。其余席位归谁?答案是选票上“以上皆非”的选项。没错,罗马天主教会曾指导民众选择这个选项。至此,共产党执政的合法性已然瓦解,波兰民主进程就此开启。

这场民主浪潮四个月后蔓延至东德。当时正值东德建国四十周年纪念,七万民众在莱比锡示威。一周内,逾一百四十万德国人在两百余场示威中涌上街头。按惯例,东德当局本会出动坦克镇压。这本是他们的惯用手段。但未来的“坦克人”埃里希·霍内克早已下台。自1971年掌权以来,他奉行靠债务维生的破产政策,几乎将东德推向崩溃边缘。因此他被罢免。

不到两周后,部长会议集体辞职。11月8日,政治局全体辞职。9日,残余政府颁布了新的出境条例。你或许疑惑这与事件有何关联——且听下文。

在记者会上,当被问及出境政策时,冈特·沙博夫斯基(当时仍在掌权的共产党员之一)因不知答案而即兴回答: 提问者问:“这些出境条例何时生效?”他脱口而出:“立即生效。”话音刚落,人群便蜂拥至柏林墙的六处关卡。其中一处边防军官权衡利弊后决定放行,东德民众随即涌入西柏林。

仅首周就有超过半数东德人口前往西方。一个月内,1%的人口移居西方。如同波兰选举,这扇大门的开启成为关键转折点。任何关键决策都意味着历史无法回溯。老古恩特当时还懵懂地表示:“天哪,我们完全没意识到打开柏林墙竟是东德覆灭的开端。”

好吧,下次再接再厉。而俄罗斯人震惊于自己竟如此不得人心。他们原以为戈尔巴乔夫会因解放东欧而获得赞誉,而非因东欧沦陷而遭谴责。

看看这位尤里·里日霍夫——科学家兼议员——的表态:“所有昔日的卫星国都在强迫下尽可能快地、尽可能远地抛弃了我们。” 而阿纳托利·科瓦廖夫这位副外长则坦言:“说实话,我们完全无法确定东德军队会向谁开枪——是示威者还是我们自己。波兰和匈牙利军队同样如此。”太棒了。有这样的盟友,谁还需要敌人?盟友们倒是把事情包办了。因此该论点认为,帝国境内的动荡迫使苏联在冷战中败下阵来。

好,我还有另一种反驳观点。它说:“胡说八道,真正的问题在于那些卫星国根本不健康。这才导致整个体系分崩离析。”

这张地图是1960年的。你看那些诱人的绿色区域,它们即将独立,对西欧殖民者早已忍无可忍。此时苏联推出计划,要将西方势力逐出这些地区。响应者不计其数。

快进到1980年代末。苏联势头正盛。但有个小插曲:1970年代末爆发了持续至80年代的严重经济衰退,导致大宗商品价格暴跌。对安哥拉、南也门、埃塞俄比亚、尼加拉瓜等新结盟国而言,出口创收遭受重创——它们依赖大宗商品出口,而商品价格正持续走低。在许多情况下,其出口收入锐减一半。苏联当时高度依赖石油出口(至今仍是如此),而油价暴跌导致石油出口占苏联预算的比重高达55%。此时勃列日涅夫手握大量无力偿债的国家,却无力维持所有援助。

更令苏联当局忧心的是,在向第三世界盟友倾注巨额资金的同时,国内各民族群体却深陷不满情绪,纷纷寻求脱离帝国。最棘手的是,这些民族恰在同一时期爆发了集体反抗。大陆帝国的铁律是“不打两线战争”。而此时俄罗斯战线纵横交错,多到难以计数。

民族内部的不满情绪在戈尔巴乔夫上台后立即爆发。哈萨克斯坦学生运动与雅库特地区动荡,两极相异却异曲同工。至1990年,帝国各处已涌现76场沸腾的民族叛乱。苏维埃政府根本无力应对如此纷繁的局势。因此可以说,苏联在第三世界耗尽国力之际,却忽视了自身内部的“民族第三世界”——正是这些民族同时爆发叛乱,最终摧毁了苏联。

我另有截然不同的论点。若你对上述观点皆不认同,我还有第三种解释:归根结底是经济问题,对吧?那句名言。有人认为共产主义作为经济体系已然失败。观察苏联战后重建时期的增长数据,表现尚可,但自70年代中期起便陷入停滞。在戈尔巴乔夫掌权前的十年间,苏联经济增速始终比美国低1-2个百分点,这种差距的累积效应极其巨大。

问题出在哪里?所有人都在互相欺骗。苏联使用的数据根本是垃圾。如果你在企业下属单位工作, 就必须谎报库存量——声称库存低于实际水平;同时还需虚报需求量——夸大所需物资数量,唯恐物资短缺。这并非由价格决定的市经济,而是完全依赖计划。你必须输入“正确”数据,才能从中央计划中获取相应投入。

于是谎言层层叠加。数据向上汇集的层级越高,失真程度就越严重。苏联政府根本无法掌握资本和劳动力的真实价值,更无从知晓实际生产力水平,消费者偏好更是无人知晓。市场与价格机制被彻底摒弃,资本与劳动力的错配在演变为灾难前始终无人察觉。

为说明这种错配的严重性:苏联每年有20%至40%的农作物腐烂,却耗费稀缺的外汇储备进口农产品弥补缺口,简直是一团糟。看看油价下跌时经济会如何崩溃就明白了。我们陷入螺旋式恶化的困境:从戈尔巴乔夫1985年上台到1998年俄罗斯经济触底,可见东欧集团在全球GDP中的份额急剧萎缩。观察苏联赤字、贸易收支、债务等统计数据,这些指标都在飙升,随后国民生产总值增长率出现两位数负增长——这被称为经济萎缩,绝非常态。

马歇尔·亚佐夫如此评价:“我们根本无法与这些富裕的北约国家抗衡,必须另寻军备竞赛的替代方案。”外交官员阿纳托利·阿达米申则指出:”问题根源在于我们摆脱了孤立状态。崩溃的主因是内部因素而非外部因素。苏联经济因这场恐怖的军备竞赛、军国主义以及与半数世界为敌而彻底枯竭。“戈尔巴乔夫向中央委员会坦言:”我们被包围的并非不可战胜的军队,而是更强大的经济体。“他常对人说:”再这样下去绝无可能。”因此完全可以有力论证:正是苏联经济输掉了冷战。

00:30:37 – 戈尔巴乔夫的失误

这位先生亚历西斯·德·托克维尔以撰写《论法国君主制末期》闻名,该书记录了法国大革命推翻君主制前的历史。他还著有《论美国的民主》,两部皆为杰作。此段引自其法国著作,托克维尔观察到:“对恶政而言,最危险的时刻莫过于它开始改革之时。” “

俄罗斯各界人士至少在一点上达成共识:戈尔巴乔夫对冷战结局起到了关键作用,扮演了至关重要的角色。戈尔巴乔夫的决策基于若干错误预设,其中之一便是历史不可逆转的论断。戈尔巴乔夫认为历史永远向前迈向共产主义,绝不会倒退至资本主义。当然,东欧国家来了个急转弯,直接回到了资本主义。列昂尼德·谢巴尔申——这位克格勃情报机构的高级官员曾坦言:“政府从未想到过可能从社会主义中撤出。”

若同时审视共产主义理论与帝国主义的实际运作模式,通常母国比所有殖民地都更为发达,对吧?而苏联恰恰是倒置的帝国。东欧民众整体受教育程度更高,生活水平也优于俄罗斯人,宛如一个“甜甜圈帝国”。当帝国扩张至东欧时,俄罗斯人无法再攫取这些被奴役人口的财富,这解释了他们为何渴望脱离。这也揭示了普京为何想要收回这些领土。

另一项错误预判涉及邻国的情绪。戈尔巴乔夫坚信自己将因解放东欧而获得赞誉,而非作为最初奴役这些地区的俄罗斯人而遭受谴责。

对戈尔巴乔夫而言,历史的转折始于他的任期。但对其他人来说,不,斯大林才是转折点——当他开始大规模处决民众时。

戈尔巴乔夫的外交政策顾问阿纳托利·切尔尼亚耶夫坦言,戈尔巴乔夫曾以为将自由带给东欧卫星国,会促使它们接受“人道主义的社会主义”。“他犯了巨大错误,因为这些国家残酷地背弃了我们。” 说真的,如果这算残酷,那斯大林又算什么?更精彩的是后续:“我们对前盟友采取的政治手段完全出乎意料。”真的吗?你们占领他国,长驻不归,枪杀对方政府要员,扶植傀儡政权,攫取大量财富,强加低效经济体系,还纳闷为何不受欢迎?

想想美国吧。它在全球各地干涉别国事务,倾注数十亿经济援助甚至撤军,人们依然不喜欢我们。真不知俄国人为何自以为特殊。

另一个错误假设:戈尔巴乔夫认为,若华沙条约组织(东欧集团军事联盟)消失,北约也会随之瓦解。他还以为,若经互会(其贸易组织)解体,当时的欧洲共同体(后演变为欧盟)也会消亡。事实并非如此。强制性组织与自愿性组织的解体原因截然不同。

此外,戈尔巴乔夫还预判美国会认同“不愿看到强权崛起”的大陆思维,因此不会支持德国统一,更遑论支持一个强大的统一德国。当德国局势动荡之际,这位领导人却在度假。这真是糟糕的人生抉择,因为就在那一刻,老布什总统与德国科尔总理正全力推动德国统一进程——一个完全主权的统一德国,其东西两部分都将加入北约。

最终,许多戈尔巴乔夫最亲密的追随者都指责他。他们说:“看啊,他的外交政策失误源于国内政策失误,这最终摧毁了苏联。” 回到这位美国问题专家弗拉基米尔·卢金的观点:“戈尔巴乔夫绝非邓小平。”而俄罗斯顶尖美国问题专家阿尔巴托夫则断言:“正是我们领导人的愚蠢导致了苏联解体。” 那个大傻瓜玩塑料袋,把袋子套在头上自杀了。纯属意外。卢金继续说:“西方人喜欢戈尔巴乔夫,因为一切都来得轻松又便宜,基本上就是这样,但这只对你们有利。对我们来说,代价太高了。”不过你可以说,重新评估所有斯大林主义的东西早就该做了。

这里提供另一种视角。此前我分析的是作为之罪,现在转向不作为之罪。这是个有效的框架,对其他问题同样适用。作为之罪指戈尔巴乔夫所为之事,而我将探讨军队未采取的行动。有人认为红军本应效仿邓小平对军队下达的指令:直接派遣坦克镇压平民示威者,彻底粉碎抗争,三十年后的今天共产党仍将执掌中国政权。因此部分人坚信这是个致命错误。

这种观点认为,及时部署坦克——TTD,这是我对军事缩略语的贡献——本可改变冷战结局。另一些人则会回归历史伟人论与作为之罪,他们不会苛责戈尔巴乔夫,而是指向其继任者鲍里斯·叶利钦

关键证据有二:其一,他废除了苏联宪法第6条,该条款保障共产党永久垄断权力;其二,次年叶利钦作为俄罗斯领导人,联合乌克兰与白俄罗斯领导人签署别洛韦日协议,正式解散苏联。按此逻辑,解体实属其过失。这是蓄意的自杀行为。其结果是为苏联帝国境内的多党制和民族独立敞开了大门。

00:37:33 – 德国统一与北约扩张

以上我提供了内部解释和外部解释。现在将给出一些综合性解释,它们基于所有先前证据,却得出截然相反的结论。第一种观点认为:上述任何单一因素都足以导致崩溃。而基于相同证据的相反结论则是:非但需要所有因素共同作用,西方阵营才勉强获胜。

先谈“任何单一因素”论。有人会说:面对如此严峻的危机,苏联解体只是时间问题。其体制恰恰因西方所诟病的特质而令人反感。其经济体系效率低下得令人发指。连俄罗斯人——这个体系的缔造者——最终也对其深恶痛绝。持这种观点的代表人物如尤里·里佐夫,这位真正的火箭科学家直言:“苏联解体的主因在于其体制的腐朽本质。”而记者泰穆拉兹·斯捷潘诺夫则表示: “我认为,从一开始,解体的基因就存在于这个政府政治体制的基因中。”苏联教育体系培养出的人物真令人叹服啊?千万别用这种措辞。

因此有人会说,苏联注定要失败,问题实在太多。也有人得出相反结论:“不,正是这些问题共同促成了冷战以西方条件结束。” 回到副外长阿纳托利·科瓦廖夫的观点,他说:“看,所有因素——内政、意识形态、经济、军事——都交织在一起。缺失任何一个,结局就会不同。冷战或许终结,但结局可能截然不同。”按此逻辑,西方堪称险胜,应当庆幸自己赢了。

有人或许会反驳说,这还远远不够。更关键的是两位杰出领袖的执政交汇:德国的赫尔穆特·科尔与美国的乔治·布什(父)。注意,此处指的并非卷入永无休止战争的儿子,而是未曾发动战争的父亲。老布什的履历堪称美国历任总统中最耀眼的之一。看看他的经历:年轻时已是二战英雄,担任海军飞行员——那可是高危职业,他却勇往直前。退役后进入耶鲁大学,以优异成绩获得学士学位。随后在石油行业白手起家成为百万富翁,又当选德克萨斯州联邦众议员。继而出任联合国大使,随后成为美国驻中华人民共和国代表——这还是在两国建立正式外交关系之前。正是他促成了这一历史性突破。他担任中情局局长,又作为罗纳德·里根的副手担任了八年副总统。他堪称总统职位的不二人选。

赫尔穆特·科尔同样堪当重任。自其杰出的前任奥托·冯·俾斯麦以来,他成为德国历史上任期最长的总理。他最初攻读历史与政治学博士学位,也曾涉足商界,后转入州政府任职,先是担任州议员,继而出任州长。他领导其政党基督教民主联盟长达二十五年。

入主政府后,他决定通过吸引游客逐步“收购”东德。这如何实现?事实证明东德人热衷旅行。西德人向来能自由前往东德,但东德人却难以前往西德——因为他们总爱“住下不走”。但东德突然放宽了旅行限制。你或许会问为什么?答案就是金钱。和波兰人一样,东德人也深陷自己制造的经济泥潭。

那个差点成为坦克人(注:指1989年柏林墙倒塌时阻挡坦克的英雄)的埃里希·霍内克,在最后时刻被赶下台。他1971年实施的掌权模式就是靠借债度日。为维持劳动力稳定避免动荡,他必须保障社会福利和消费补贴。为此他减少国内投资,大量借贷——尤其向西德借贷。这种模式显然难以持久。冷战结束之际,若要修复财政失衡,东德民众生活水平将下降30%。因此他亟需依靠游客带来的零花钱。

科尔采取的对策是大力发展旅游业。他通过放宽旅行限制换取东德政府额外支付数亿德国马克作为补偿。随后他游说匈牙利配合行动。他促使匈牙利开放奥地利边境,让东德人由此出境,并为此小恩小惠支付了五亿德国马克。

当科尔提出十点统一纲领时——此时他已决心实现两德统一——便开始向经济崩溃的苏联拨付巨额资金。戈尔巴乔夫当时正急需这笔资金。于是西德向缺乏这些物资的苏联提供了1亿吨食品援助,尤其是肉类。

然而动荡仍在持续。正如我所言,柏林墙被突破后,西德成立了看守政府,而俄罗斯自身的财政状况也正分崩离析。到1990年1月,布什和科尔会晤后决定加速推进德国统一进程。为何如此?因为他们必须在危机全面爆发导致戈尔巴乔夫下台前完成统一。两人展开了一场复杂博弈,原因如下:

戈尔巴乔夫坚决反对统一后的德国加入北约。他本就不热衷于德国统一,更遑论让统一后的德国加入北约。而美国国务院的专家们——那些自诩无所不知的人——却主张:“统一进程必须循序渐进。” 科尔执掌的联合政府中,存在着他无法解雇的成员——这些来自不同政党的官员。其中包括外交部长根舍,此人对德国加入北约持强烈怀疑态度。更棘手的是,尽管英国在冷战期间曾高调表态,但实际上与法国一样,都反对统一后的德国加入北约。原因何在?统一后的德国将对其经济地位构成威胁。他们不愿看到这种局面。

于是科尔与布什分工协作:科尔负责安抚苏联,保证德国不会采取好战或恶劣行径;同时推进金融统一进程——因为苏联人只关注军事统一问题,即军队部署问题。要知道,军事部署决定一切。

苏联人恰恰不理解金融,所以他们才陷入如此困境。而德国人懂。他们的策略是让东德采用西德的德国马克,届时他们将掌控所有资金和决策权。但俄罗斯人不会预见到这一点。

与此同时,布什需重点维系西方盟国——尤其是英法两国的联盟关系。各类会议即将召开,布什的任务是尽可能拖延这些会议,让德国统一进程推进到最大程度。美英两国正对戈尔巴乔夫实施双管齐下的外交攻势,而戈尔巴乔夫根本无力招架——毕竟他国内经济正面临两位数的萎缩率。

具体操作如下:随着交易规模扩大,支付给戈尔巴乔夫的金额也随之增加。最初只是换取德国统一,随后是换取统一后西德仍留在北约,最后是换取统一后整个德国加入北约。资金流向如下:戈尔巴乔夫同意德国统一。我们不再支付数亿马克,而是支付数十亿马克——仅此一项就达50亿马克。随后戈尔巴乔夫同意各国自主选择联盟,即是否加入北约。美国提出九项保证,但这同时也是戈尔巴乔夫真正渴求的贸易协议。接着经济联盟正式生效。

至此我们完成了德国的财政统一。此时发表的《伦敦宣言》邀请东欧国家加强与北约的协调。作为回报,戈尔巴乔夫获得七国集团峰会的承诺,将为其提供快速援助通道——此后确实兑现。随后戈尔巴乔夫同意德国加入北约。

此时更重大的事件正在酝酿。德国将同意与波兰划定边界——稍后我会详细说明。德国提供150亿德国马克,包括为返乡的苏联士兵建造各类新公寓楼。为何要这么做?因为你希望这些士兵专注于购买家具,而非发动军事政变。这正是他们的目的。

因此统一于1990年9月中旬实现。这是波兰边界图。二战结束时,斯大林将波兰边界向西推进200公里,最终吞并了德国三分之一的领土。德国人自然不愿签署割让协议。此外,作为战争赔偿,1200万德国难民被驱逐出居住地遣返德国,其中200万人在途中死亡。这无疑是重大事件,且记忆犹新。德国最终同意划定边界,德波边界就此确立。

00:48:31 – 海湾战争与冷战终局

复杂因素:统一条约签署前一个半月,萨达姆·侯赛因因财政枯竭决定入侵科威特。他与伊朗打了场漫长战争,背负巨额债务,其中许多欠库威特的债他根本不想偿还。所以入侵库威特就能解决这个问题。此外,他还能控制库威特极其丰富的油田,两者结合将使伊拉克成为石油市场的关键生产国。他认为这是个绝妙的主意。

然而冷战已然终结。苏联人极愿与美国合作。戈尔巴乔夫亟需资金,他同意协助驱逐伊拉克军队,但反对伊拉克政权更迭。试想,伊拉克是苏联的重要债权国,欠款高达100亿至130亿美元——对一个财政枯竭的债权国而言,这笔钱意义重大。

但戈尔巴乔夫对老布什展现出超乎寻常的合作态度。他多次派遣叶夫根尼·普里马科夫前往巴格达。首次任务中,普里马科夫成功解救所有被扣押的俄罗斯人质。第二次出访时,他又将包括美国人在内的所有西方人质带离伊拉克。第三次任务却不那么顺利。他亲历了联军空袭行动,想必对此颇为不满。但试想若西方人质与目标一同遭轰炸会如何?俄罗斯直接清除了这张人质牌。

其决策逻辑如下:谢尔盖·塔拉先科时任外交部长谢瓦尔德纳泽的助理,他们洞悉美国必将对伊拉克入侵科威特采取行动。因此俄方认为:“若能迫使所有行动通过联合国渠道推进——毕竟俄罗斯拥有否决权——将更有利。”他解释道:“当时存在明确分工。”俄罗斯提供的协助也延伸至中国。”当美国要求我们与中国合作时,我们对中方表示: ‘想想看,你们作为五大常任理事国之一拥有否决权。通过联合国渠道推进所有事务,让你们能行使否决权,这难道不符合你们的利益吗?’中国最终接受了这个提议。”

然而俄方设定了红线。副外长科瓦廖夫再次强调:红线是美军不得进入伊拉克,不得改变伊拉克政权。若触犯此线,冷战终结进程将彻底崩溃——这正是我们的目标。科瓦廖夫强调:“我提出基本原则:必须维护伊拉克领土完整。这是我们的神圣立场,绝不容许伊拉克分裂。”

若想知晓地面战争为何百小时后终结,答案就在此。真正的核心在于终结冷战。这才是重中之重。萨达姆·侯赛因不过是场边角事件——抱歉,事实如此。倘若战争破坏了冷战终结进程或阻碍了德国统一,英法两国或许会欣喜若狂,因为时任法国总统弗朗索瓦·密特朗与英国首相玛格丽特·撒切尔都反对德国统一。他们深知统一后的德国将使本国沦为边缘角色——如今德国经济体量确实远超法国。

当东欧国家陆续加入欧盟时,弗朗索瓦·密特朗最终在欧洲共同体向欧盟的转型中找到了慰藉。他在促成《马斯特里赫特条约》的签署过程中发挥了关键作用,该条约奠定了欧盟的基石。但玛格丽特·撒切尔却彻底败下阵来。她对整个局势深感愤懑,曾断言:“德国将成为欧洲的日本,甚至比日本更糟。” 想必她近年未曾造访日本。她还宣称:“德国人将和平获得希特勒战争未竟之业。”她甚至主张红军部队永久驻扎德国。试想若真如此,如今面对普京……若其军队驻扎德国,我们将陷入困境。

但布什与科尔绕开了所有阻碍。布什最终对科尔说: “听着,我不会拍着胸脯在柏林墙上跳舞。”两人始终谨慎避免羞辱戈尔巴乔夫,不提苏联在冷战中的败北。为何?因为他们深知若如此行事,戈尔巴乔夫恐将提前下台。更重要的是,他们担忧强硬派势力会比实际情况更快地掌权。直到二十年后,普京才开始巩固权力。

东欧新独立国家需要这二十年时间,在军事、政治、经济上与西方融合,让根基稳固后再面对俄罗斯的颠覆企图。他们为自己争取了二十年时间来完成这点。但这一切都有代价。布什在以西方条件终结冷战中的关键作用从未获得认可。

正因如此,他未能连任第二任期。

无论如何,当诺贝尔奖评选冷战终结原因时,前苏联外交官阿纳托利·阿达米申坦言:“苏联才是终结冷战的主导力量,这点难以否认。”而里根的顾问兼司法部长埃德温·米斯则指出: 冷战因苏联政策而起,某种意义上也因苏联政策而终结。“诺贝尔委员会采纳了这一观点,将奖项授予戈尔巴乔夫而非布什——后者在解放东欧方面功不可没。

因此当思考俄罗斯为何在冷战中落败时,希望诸位能得出比”罗尼干的”更复杂的答案。其中必然存在其他作用因素。无论如何,感谢各位的关注。以上便是今晚的分享内容。

00:56:10 – 中央计划为何能存续如此之久

德瓦克什·帕特尔

莎拉,非常感谢你主持这些讨论。

莎拉·佩恩

感谢您的邀请。这才是最重要的。

德瓦尔凯什·帕特尔

苏联为何在那个特定时刻解体是个有趣的问题。但我认为更有趣的是:为何这样一个高度集权、效率低下、残暴统治、建立殖民帝国的体制,竟能在二十世纪存续如此之久?这才是真正需要解答的谜题——这个政权如何维持了74年?

莎拉·佩恩

地球上存在无数功能失调的地区,它们永远处于失序状态。若追问“为何失序”,朝鲜便是典型例证。在所有理应崩溃的国家中,这个21世纪仍持续饥荒的地区,曾是朝鲜半岛最富庶之地。

这些威权政权极擅长维持强制统治。想想看:培养一个人的过程何其漫长——父母耗费数年养育孩子,再经教育培养,或许能成就顶尖政治家;而刺杀他们只需几秒。建设与毁灭之间存在着巨大的不对称性。毁灭何其容易。独裁政权遍布全球,这是人类境遇中令人悲哀的一面。他们显然心知肚明自己在做什么。

以苏联为例,其情报机构层出不穷。斯大林正是通过这些机构监控全民。他们企图垄断信息以获取绝对优势,同时培养大批官僚阶层精英作为傀儡。关键在于确保所有利益相关者都被收买。试想一下—— 人类社会中,奴隶、农奴……我们彼此施加这些压迫已久。

德瓦尔凯什·帕特尔

独裁政权确实能长期维系。但苏联的特殊性在于:到六七十年代,其国民生产总值达到美国的60%,经济活力惊人。而在四五十年代, 其经济增速远超美国,以至于保罗·萨缪尔森等著名经济学家曾断言:根据当时观察到的趋势,到90年代苏联经济规模将超越美国。

如此高的增长率着实令人惊讶。试想中央计划经济的运作模式:政府会规定钢铁产量配额,分配棉布与水泥等资源给特定企业。在数亿人口生活于此体制下,二战后数十年间竟能持续保持显著增长率,实属震撼。

莎拉·佩恩

首先,这本质上是战争经济。所有资金都投入到庞大的军事建设中。俄罗斯人将“伟大”定义为拥有强大军事力量和领土的超级大国,而战争时期各国都会动员军事力量。二战期间美国也采取了同样策略——实施各种配给制度,摒弃市场定价机制。政府设定不同价格,发放配给卡等措施。苏联的特殊性在于他们永久保留了这种机制,从未废除。这是其一。

苏联的另一问题在于数据。我不清楚你接触过哪些数据,但我了解自己所见的数据。由于卢布是不可兑换货币,且许多数据以重量等非标准单位计量,数据真实性难以考证。比如他们宣称自己是全球最大电视机生产国——原因何在?因为他们制造了世界上最笨重的电视机。说真的,我在当地亲眼所见:这些电视会自燃,这可不是电视机该有的表现,甚至能烧毁整栋公寓楼。

所以他们把笨重的电视机当作积极指标来统计,而卢布又不可兑换。有个叫默里·费什巴赫的人——记不清他在美国政府哪个部门任职了——特别擅长分析他们的统计数据并进行修正。但当时没人知道。我给过你中情局的报告。中情局的人可不傻。他们用尽可能精确的数据推算出苏联军费占比约20%。冷战结束后才惊觉:“哎呀,我们算错了。”实际至少是这个数字的两倍,甚至三倍。所以即便掌握统计数据也难以判断。保罗·萨缪尔森的数据显然不准确。这终究只是猜测。

德瓦尔凯什·帕特尔

最典型的例子是自上而下的钢铁产量指令。钢铁厂为完成任务,会优先生产粗钢材而非薄钢材——因为粗钢材计入的产量更高,尽管许多终端产品实际需要薄钢材。于是其他工厂不得不将粗钢材加工成薄钢材,而加工过程又计入GDP。这意味着低效的粗钢生产与后续切割工序都被重复计入GDP。

莎拉·佩恩

更别说资源浪费了。比如笨重的电视机,其生产投入可能是实际需求的四倍,这些资源本可用于其他领域。这恰恰暴露了“经济可规划”的谬误。价格机制才是奇迹——老亚当·斯密提出的看不见的手理论才是真理。价格机制才是正道,市场运作更高效。

德瓦克什·帕特尔

我想关键在于:20世纪中叶的经济体系远比当今简单。即便在那个时代,命令控制模式显然也比不上资本主义可行。但重工业需要固定量的水泥、钢铁、混凝土、纺织品和煤炭。这种需求比“必须集中管控企业可使用的SaaS工具”要实际得多。

莎拉·佩恩

确实如此。关于发展路径很有意思——共产主义者执着于发展重工业,这正是他们追求的方向。消费品根本不值一提。看看真正成功的国家,比如日本和明治维新时期,他们先发展轻工业和消费品,再转向重工业——但那时民众早已骑上自行车,纺织业等基础产业也已运转起来。

台湾和韩国同样如此。重工业终将发展起来,但绝非起步阶段的重点。起步阶段的核心是保障基本生活水平。我虽非经济学家,但观察谁富裕谁贫穷,这种方法似乎更切实可行。

德瓦尔凯什·帕特尔

更关键的是,该国实行集权体制,至今仍按三十年代制定的计划推进建设。即便在战后重建时期,他们仍在沿用三十年代的规划——那些为过时重工业时代设计的蓝图。

70、80年代,我们经历了锈带制造业的崩溃。人们抱怨说:“看啊,美国制造业基础被掏空了。”但保留落后产业反而更好,这样整个经济体才能更具活力、持续发展——不像苏联那样,整个经济体都沦为锈带,因为他们无法转型。

莎拉·佩恩

这比表面现象更令人振奋。我虽非经济学家,但显然他们错过了塑料革命。想想我们自己的生活吧——如今我们抱怨塑料泛滥,但塑料实为非凡材料,他们却完全错失了这点。记得在俄罗斯时,我因找不到酸奶油在商店里手忙脚乱,被俄罗斯人嘲笑得够呛。如今酸奶油都装在塑料小盒里。而80年代末我在那儿时,得自带玻璃罐到柜台,让店员用肮脏的勺子舀满你的罐子。这正是缺乏塑料制品的写照。

后来他们彻底错过了计算机革命。这直接导致罗纳德·里根在军备竞赛中获胜。我们把芯片之类的东西装进弹道导弹,而他们做不到。这成了大问题。

德瓦克什·帕特尔

说到塑料制品,准备这次讲座前我才意识到石油在解释苏联为何能长期维持运转、又为何最终崩溃的过程中扮演了压倒性角色。到50年代末,苏联经济增速已开始下滑,尤其与美国战后繁荣形成鲜明对比。1959年,他们在西伯利亚发现了这些巨型油田

而从1973年到1985年,苏联80%的外汇收入都来自石油。他们依赖石油收入,因为中央计划经济连粮食都无法保障,更遑论先进技术。这些收入用于进口物资维持红军运转、保障民生、补贴东欧国家。而1985年油价崩盘后,你认为若没有50年代末发现的西伯利亚油田,苏联是否可能提前三十年崩溃?

莎拉·佩恩

我不确定,但他们肯定无力推行所有非洲计划之类的事务。成本实在太高。所以规模必然会缩减。还有就是苏联中北部地区的天然气储备——具体地名记不清了——这些气田向欧洲输送天然气,因为那里更有利可图。这些巨额投资需要漫长回报期。这曾引发重大争议——究竟该不该出售相关技术?当时西方石油公司及管道压缩设备供应商都参与其中。欧洲人想卖,我们则力主保留。里根执政时期也存在这种分歧。

总之,他们投入巨资建设了这些设施,这笔收入对他们的财政至关重要。但当他们坐拥这笔财富时,却从未储蓄。无论石油收益多丰厚,他们都挥霍无度。这难道不似曾相识吗?政府拿到钱就花,全然不顾未雨绸缪。

德瓦尔凯什·帕特尔

苏联解体后,普京曾经历一段相对自由的选举时期。若探究俄罗斯经济复苏及普京在2000年代(2000至2008年)高支持率的根源,会发现同期油价从每桶10美元飙升至140美元。这正印证了你的观点:我们常将政治领袖的功过与长期的宏观趋势混为一谈。

莎拉·佩恩

我未提及的是,苏联解体后,苏联(即俄罗斯)民众生活水平急剧崩溃,此后二十年陷入混乱。那段时期困难程度超乎想象。

哦,还有苏联管理层的“杰作”:为维持帝国控制,他们不集中生产,而是把飞机零件分散到帝国各地制造。帝国解体时,人们手握四分之一飞机零件,其余部件从何而来?整个体系就此崩溃。

当普京突然获得巨额资金时,他开始投入民生领域——毕竟初期资金充裕。俄罗斯民众生活水平确实提升了,自然对他赞誉有加,将功劳都归功于他。但这种好景终究是暂时的,对吧?当好日子不再时,他便更热衷于……嗯,这本就是他的思维定式。当你手握更多财富时,自然想重建帝国。俄罗斯人其实也喜欢这种想法,对吧?

德瓦尔凯什·帕特尔

说到帝国,苏联解体后俄罗斯经济经历了极其艰难的时期。许多东欧卫星国却呈现爆发式复苏态势——东德自不必说,如今波兰更是成功典范。为何本土经济举步维艰,而其他国家却能更顺利地摆脱共产主义阴影?

莎拉·佩恩

这些国家历来与西欧联系更为紧密。战前捷克斯洛伐克就是高度发达的国家,与西方紧密相连。波兰嘛,哥白尼不就来自波兰吗?那里可是启蒙运动的中心。

但查阅老布什档案时发现耐人寻味:1988-1989年苏联解体之际,大量东欧(尤其是波兰)领导人致函布什政府称:”我们的银行体系已陷入混乱,金融体系同样瘫痪。我们需要专业人士协助规划法律体系蓝图。”布什对此积极响应,我确信他将这些事务转交私营部门处理——那些机构同样热情高涨,甚至提供免费咨询。因此波兰确实充分利用了这二十年。

与此同时,尽管布什也渴望提供类似建议……像杰弗里·萨克斯等人确实曾赴苏联,但性质截然不同。波兰社会各阶层都在主动寻求建议,而非像莫斯科某办公室里的单个顾问。根本问题在于,俄罗斯人自以为无所不知,自以为洞悉一切。而这恰恰是“未知之未知”——那些你无法理解的盲区。诚然,经济领域是苏联的盲区。

试想沙皇统治时期,其模式近似蒙古帝国:从商业贸易中抽取税赋,贩卖基础商品。沙皇时代根本不会考虑发展高端制造业。当然,若硬要举例,法贝热等珠宝或许算得上。但这绝非主流。俄罗斯缺乏与西欧商业传统及海上贸易航线相联结的商业基因。

而共产主义者上台后,更彻底背离了商业本质。因此其认知领域存在巨大缺口。

想想这个国家随处可见的小孩在街头卖柠檬水吧?他们很早就开始学习经商。送报的孩子们,在很小年纪就学会了买卖之道。我们把这些知识视为理所当然,但在苏联时期这些根本不存在——虽然与西方联系更紧密的东欧国家情况稍好些。

德瓦尔凯什·帕特尔

在探讨俄罗斯崩溃时期前,让我们回溯苏联末期。戈尔巴乔夫推行经济改革,同时推行公开性改革。但令我困惑的是,这些经济改革不仅未能阻止苏联的经济停滞,反而使情况恶化。

按理说改革即便执行不力,也应产生某种积极影响——即便效果有限。但此番改革却引发严重恶性通胀,导致诸多重大问题。为何改革竟产生反效果?

莎拉·佩恩

当时亟待改革的领域实在太多。但部分原因在于,他执意推行政治改革。这才是他真正理解的领域。作为人类,这才是他最熟悉的领域。想想看,作为中共核心成员,在进行代际更替时,他就是那个被选中的人。显然他在政治层面非常精明,但问题在于经济。他在解决经济问题之前就放弃了政治权力。中国的结论是:政治权力绝不容触碰。他们会牢牢掌控政治权柄,同时尽可能处理经济问题。这是其一。

但问题在于,中国缺乏处理这些事务的传统经验。于是人们不禁要问:“俄罗斯是如何走到今天的?” 这确实是个棘手的问题。工业革命前,俄罗斯地势平坦,邻国频频入侵,因此需要庞大军队来抵御。而庞大军队必然催生战争经济。从历史角度看,维持强大陆军是必然选择——当然这只是我的见解,真正研究俄罗斯历史各时期的专家或许有不同观点。但我的观点是,俄罗斯将经济资源持续导入军事领域。

反观欧洲,尤其是英国,其经济支柱是商人阶层。英国虽有庞大的贵族阶层,但贵族们不屑于经商贩卖,而众多富有的商人却能影响政府立法等事务——这种情况在俄罗斯绝无可能发生。英国海军的优势在于可远征部署——水兵不会在首都发动政变,因为他们远在船上。且海军人数远少于常备陆军。我推测(虽无法证实)这导致了不同的历史走向或促成了这种差异。

德瓦尔凯什·帕特尔

我听闻的另一种理论与您的观点互补:戈尔巴乔夫推行改革源于他主张权力下放与民主化,但他本质上并不认同市场体系。因此他将权力下放给这些准企业机构。同时他认为价格机制不道德,私有财产制度不道德。所以这些机构无法通过真实价格进行资源分配。

那么这些企业如何进行中介?答案是腐败。当无法通过真实价格和产权来分配稀缺资源时,交易只能在幕后暗箱操作,这反而加剧了问题。

莎拉·佩恩

问题在于缺乏法律体系,而法律体系需要漫长发展。你要求苏联“共产主义倒台后立刻建立新法律体系”,这根本不可能实现。

01:14:46 – 莎拉1988年在苏联的生活

德瓦尔凯什·帕特尔

您提到东欧国家面临的困境:因无法生产具有全球竞争力的出口商品而债务不断累积。他们孤注一掷地宣称”我们将依靠技术奇迹解决问题。“我们需要进一步过度举债。只要引进西方机械或技术,终将生产出世界所需的产品。”我想知道这种希望究竟有多大可能性。整个80年代乃至80年代末,他们是否仍相信捷克斯洛伐克或东德等国能追上西欧?

莎拉·佩恩

他们走投无路了。想想看,作为共产主义领导人,还能打什么牌?他们只能说:“好吧,这张牌就是我唯一的底牌。”同时他们还因社会动荡采取其他措施,想进口食品和消费品,因为这些领域长期被忽视。

还有另一部分是录像机,录像带。这些东西突然就出现了。记得1988-89学年我在苏联时,有位同学曾给莫斯科某人当英语家教,就给我牵线——因为每周能吃上一顿好饭的唯一机会就是这样。我用英语聊一小时就能换一顿饭。

那家人最渴望的便是录像机。用硬通货在外交商店就能买到。于是我动用仅有的外币,在外交商店为他们购置了价格高昂的录像机,换取了全年丰盛的餐食。这意味着他们终于能观看西方电影了。

电影里常出现逃犯在伯克利超市水果区奔跑的画面,俄罗斯观众看到都会惊呼“哦”,简直难以置信。记得拉伊萨·戈尔巴乔夫访美时,她一定意识到:靠食品券生活的福利母亲,仅凭进入沃尔玛的权利就比她更有消费能力。

我认为精英阶层在旅行时……虽无统计数据佐证,但旅行体验就像我买酸奶油罐头时那样。还有件趣事:在苏联超市清点商品总数,结果这家超市总共才77种商品。这可比不上从7-11便利店出来时糖果架的丰富程度。经过肉类区时,腐肉的恶臭几乎令人窒息,实在令人作呕。

我练就了一手做罗宋汤的本事。去农贸市场用硬通货买骨头——我买不起肉,但骨头还能负担得起。接着买甜菜,俄罗斯产的甜菜根品质上乘。到了冬天,烂苹果开始泛滥,但至少它们来自匈牙利。当年俄罗斯连苹果都种不出来,匈牙利人倒是种得不错。罗马尼亚人提供罐装番茄,我做的罗宋汤还算像样。

但你说的可是莫斯科——万物中心。记得在集市买土豆时,烂掉的部分摸起来像果冻。所以必须切掉那些部分。接着你又会怀疑剩下的土豆里还剩多少营养。那真是糟透了的一年。记得去糖果店时,我会买波兰产的焦糖之类的东西。那简直是救命食品,因为它至少还能吃。

德瓦尔凯什·帕特尔

说到这儿,你八成在想:当初为什么不写拿破仑传记,这样就能去巴黎了。

莎拉·佩恩

我哥哥评论说:“你研究的俄罗斯和中国,可是两个在紧急车道上打转的国家。”

德瓦尔凯什·帕特尔

顺便说,杂货店只卖74种商品这件事有两点耐人寻味。其一,当需要优化的商品数量极少时,中央管控反而更有效。所以标准化能让体系运转得更好。其次,关于你提到的苏联与美国GDP难以比较的问题——腐烂的西红柿或土豆,怎么能和爱达荷州产的优质农产品相提并论?

莎拉·佩恩

他们会按重量来比较。

德瓦尔凯什·帕特尔

正是如此。

莎拉·佩恩

是的。

德瓦尔凯什·帕特尔

你说你88年和89年在那儿。那还是柏林墙倒塌之前。

莎拉·佩恩

我在苏联电视台看了天安门示威。能看到电视报道纯粹因为戈尔巴乔夫当时在北京。所有媒体都在场,所以才有报道。他们持续播报是因为学生在示威,而封闭的中国社会尚未意识到电视的力量。伙计们,他们会把你们做的一切都拍下来,然后把胶片带出去。

德瓦尔凯什·帕特尔

1988年时,人们的情绪是……显然局势正急转直下,但当时有人意识到苏联彻底解体仅剩两三年时间吗?

莎拉·佩恩

不。或许有人预见苏联终将解体,但当时普遍乐观地认为我们终将建成完整的民主国家。人们憧憬美好未来,却未曾体会资本主义经济体系的运作规律。要创造国家财富,许多人每周工作远超40小时,尤其初入职场时更是加班加点。

这点却鲜少被人提及。当然,那些成为莫斯科大剧院芭蕾舞团舞者的孩子确实付出过漫长训练时光。但作为整体经济体,人们既不理解财富的来源,也未曾察觉诸多缺失——最关键的是,他们根本没有接受过正确的教育。就算你背诵了整部《马克思》,那又有什么用呢?

德瓦尔凯什·帕特尔

正是在这个时期,人们终于开始了解斯大林时期真实发生过什么。

莎拉·佩恩

哦,是的。

德瓦尔凯什·帕特尔

于是人们满怀希望,期待权力更迭后局势能有所改善。但与此同时,他们也认识到自身历史何其惨痛。在这两者之间……90年代某个节点,人们必然意识到现状非但未见好转,反而每况愈下。那么情绪转折的临界点究竟在何时?

莎拉·佩恩

我无法断言,毕竟当时未身处当地。作为一个美国人,我总像小鸡利特那样忧心忡忡:“天要塌了!天要塌了!”美国人永远觉得灾难即将来临,我大概也属于这类人。但当时确实存在乐观情绪,人们满怀激情地认为:“我们拥有自由,能真正理解历史与当下。”

这指的是莫斯科和圣彼得堡受过高等教育的人群。而其他地区的情况则截然不同——莫斯科的生活已够艰难,乡间居民的生活却如同倒退数十年。那些人的境遇极其困苦,未来更将雪上加霜。

德瓦尔凯什·帕特尔

那么民众是首次知晓这些历史吗?他们是否早有预感?毕竟人们都有亲属。他们必然知道“二战结束后,我叔叔被迫在某个偏远矿镇劳役十年”这类事。民众是完全震惊,还是早有预感情况糟糕,如今只是知晓了具体程度?莎拉·佩恩我认为人们确实意识到情况很糟,但普遍存在“情况会大幅好转”的乐观预期。随后失望同样剧烈。接着又涌现出“西方欠我们”的念头——你们都富得流油,现在理应偿还债务解决所有问题。而反驳观点是:“不,你们才是巨大的麻烦。你们兜售的共产主义模式让全球多国倒退,现在还想额外索要援助。”问题在于我们本想提供部分援助,但他们根本不会接受。布什政府得出的另一个结论是:若我们倾注大量资金,钱财只会直接流入腐败体系。资金投放需要法律框架支撑,而他们根本不具备这样的框架。这正是布什政府担忧的另一件事。根本无处安置资金。德瓦克什·帕特尔谈及冷战时期美苏争夺的这些国家,您在演讲中指出里根并非孤军奋战。但我想探讨更深层的教训:任何美国总统的外交政策举措……不过是场边缘戏码,这场争夺第三世界国家的双边博弈不过是: “我们要拿下巴西,我们要拿下越南,我们要拿下阿尔及利亚。”相比之下,自由资本主义更具吸引力且生产力超越共产主义的事实显然更为关键。因此即便某个国家——哪怕是巴西——转向共产主义,也无法改变根本格局。莎拉·佩恩若不守护欧洲的自由经济体,自由经济游戏就无处可玩,日本亦然。自由经济之所以被认为行之有效,正是因为日本、韩国、台湾、新加坡和昔日的香港都曾上演经济奇迹。若放弃这些地区……冷战时期全球经济曾实现飞速增长,第三世界尤为显著。为何?因为过去若爆发内战,败方总会向我们或苏联求援:“请援助我们。” 于是援助方出手相助,另一方则被迫效仿,财富便以更快的速度被摧毁。冷战在第三世界绝非“冷”战——数千万民众死于这些冲突。当冷战终结,这些地区突然得以开启复合式增长。问题在于,若放任某人将共产主义体系强加于各地,其危害不容小觑。共产主义体系在内战中极擅长扶植独裁者掌权——这套手段极为高效,毛泽东正是如此上台的。但问题在于:他们赢得内战掌权后,虽消灭了反对派,却由此催生了持续恶化的贫困。德瓦凯什·帕特尔这确实是个两难困境,我真心不知如何解答。为击退共产主义派系和游击队,冷战期间我们常不得不扶持其他独裁者。多数情况下他们或许比共产主义政权更优,但论残暴程度,要超越波尔布特和毛泽东实在太难。

但显然这种做法本身存在问题。即便不必支持独裁者,我们仍不得不疏远某些国家。

你之前讲授的讲座中提到印巴历史章节,当时为抵御苏联在该地区的小规模行动,我们不得不疏远印度。我不知道这该如何解决。若认为该战区次要,或许该主张对第三世界国家保持中立。但如你所言,若要证明这些国家能在资本主义下发展,就必须阻止其落入共产主义统治。然而这又意味着有时不得不支持令人反感的政权。

莎拉·佩恩

讽刺的是,那代人反而更乐观。那些经历过二战的人们怀有真正的慷慨胸怀。美军官兵在欧洲各地受到欢迎,深受欧洲民众爱戴。他们归国后成为极具奉献精神的一代,他人也因此对他们心怀感激。

正是在那时通过了《退伍军人权利法案》,宣告:“你们拯救了所有人,因此我们将提供大学教育和住房贷款。” 非裔美国人被排除在外,这固然是个问题。但白人美国人获得了机会。这催生了大规模经济增长,许多家庭中从未有人上过大学的人得以求学。突然间,人们摆脱了艰苦的体力劳动,迎来了真正的乐观主义。这种乐观主义还延伸到国外。当时美国对其他国家极为慷慨,这对我们非常有利。

想想马歇尔计划。向欧洲注入巨额资金看似慷慨,但我们和欧洲都从中获益匪浅。明智之举是寻求双赢局面,让双方都受益,这样才能激励对方参与进来。这是基本战略。正因如此,我对美国转向零和博弈的策略深感忧虑——那种“我独吞一切,你一无所得”的思维。当我们制造“我全赢你全输”的噱头时,这种策略看似精明,实则不然。

另一关键在于:许多举措不会立即见效。乔治·布什未能连任总统实属不公——他结束冷战并使西方占据主导地位的功绩本应获得回报,但这些成果未能在下一届选举前显现。我认为这正是美国人的盲点:人们只关注某人当下的所作所为,却忽视了十年后才显现的深远影响。比如税收政策,若持续增加债务,或许能让我们暂时脱困,但未来是否会陷入更深的困境?美国人需要更深入思考政策的长期影响。

德瓦克什·帕特尔

你提到西德需支付600亿马克让戈尔巴乔夫同意东德统一时,我曾以为这笔钱相当可观。这笔钱确实巨额。但若考量未来数十年的增长潜力,实属超值交易。只盯着眼前成本的思维是错误的——你已成功整合了又一个大国。

莎拉·佩恩

有句名言说:政客考虑下届选举,政治家考虑下一代。乔治·布什和赫尔穆特·科尔正是政治家,他们着眼于下一代。那些参与二战的群体——包括许多美盟国领袖——都是政治家。他们着眼于下一代。再看密特朗,他正就欧盟《马斯特里赫特条约》进行谈判,这正是政治家为下一代谋划的典范。这至关重要。我们需要更多政治家、更多具有远见的领袖。

德瓦尔凯什·帕特尔

换个角度看,苏联在此期间也试图收买其他国家,尤其当其认为本国经济能增长时。特别是1973年石油危机后,油价暴涨。这正是部分苏联公民对勃列日涅夫时代怀有美好回忆的原因。石油不仅使苏联能够进口物资,更在勃列日涅夫时期实现了对东欧卫星国的净资源输出,而非相反。

莎拉·佩恩

这大概是他们的统计数据。我明白,他们的石油确实享受补贴,但苏联境内所有有价值的东西都来自别处。问题在于如何衡量?他们只会按重量或其他标准计量,这根本无法反映实际获取的价值。

德瓦尔凯什·帕特尔

更关键的问题在于,苏联并非没有考虑过实施类似马歇尔计划的举措。虽然规模无法比拟,但他们确实认同通过提供军事援助和对外援助来赢得民心的理念。只是苏联根本没有美国那样的资源来推行这种政策。

莎拉·佩恩

确实如此,但其中也存在强制的成分。若招惹他们,后果将不堪设想。

德瓦尔凯什·帕特尔

冷战期间军备竞赛令我困惑的是:苏联核武器开支曾占其GDP的2%。军控倡导者常调侃道,我们现有的武器足以摧毁世界数次。为何还要继续扩充?但这确实是个耐人寻味的问题:为何要耗费如此巨额GDP去研发边际核武器或边际武器系统?

莎拉·佩恩

我虽不知答案,但读到相关计划时不禁疑惑:这些人究竟在想什么?我们曾试图研发战术核武器,但其中存在个小问题——部署者自身将处于战术核武器的爆炸范围内。你不禁要问:“谁会研发这种武器?”显然是我们。所幸最终未部署。

我无法解释为何核武库存在如此巨大的冗余,为何储备规模如此庞大。也不清楚这些武器的维护机制和使用寿命。这对我而言和对你一样难以理解。

德瓦克什·帕特尔

还有个问题。中苏分裂堪称重大外交胜利。苏联被迫在西伯利亚前线部署百万军队应对中国,仅驻防该区域就耗费了2%的GDP——这显然是笔巨款。许多国家整个国防开支都不及这个数,更别说单一战线了。

但2%GDP的代价——只要再多一两年经济增长或加速增长,就能抵消这场重大外交胜利。这再次印证了核心观点:若国内政策能推动经济增速微幅提升,便足以弥补冷战时期最重大的外交胜利。归根结底,经济优先,外交次之。

莎拉·佩恩

首先,我对这些统计数据存有严重质疑。我的样本量仅有一个——。记得在莫斯科生活时,那里的落后程度简直令人窒息,几乎所有方面都落后得超乎想象。他们建了宏伟的地铁系统,外观却极具复古感,至少还能运行。但消费品质量极其糟糕,看看那些建筑本身就知道了。

我明白,他们制造核武器。但除此之外还有什么?他们的汽车简直是笑话,那些拉达之类的玩意儿。问题层出不穷。所以当你审视所有数据时——毕竟他们宣称自己多么伟大——这根本是《皇帝的新装》的翻版,直到最后有个小孩喊出:“噢,你其实赤身裸体!”

举个例子。莫斯科的几位熟人提到郊区医院竟没有自来水。医院怎么能没有自来水?这根本不可思议。还有次他们家孩子把手戳穿玻璃门,流血不止需要缝合。孩子不会死,但肯定血流满地。他们带她去一家医院,结果没缝合线。只好转去另一家。谁会这样管理国家?

德瓦尔凯什·帕特尔

行,你说服我了。BART可以接受。我就留在这里。地铁无所谓。我可不想搬去莫斯科。

好吧,当东欧卫星国试图脱离苏联时——这种事在20世纪已屡见不鲜。1956年的匈牙利1968年的捷克斯洛伐克、波兰的团结工会运动。每次都有二战遗留的数百万红军驻扎东欧,开着坦克镇压,阻止这些革命发生。

那么80年代末90年代初发生了什么?红军依然驻扎,数百万士兵仍在,只是他们不再开枪。

莎拉·佩恩

这是代际更替。领导人已无力再下此狠手。试想派遣坦克碾压民众的场景——“我们要把这些人碾得粉碎”——这种选择对多数美国人而言都难以接受。那个冷酷无情的时代已然终结。

另一关键因素是戈尔巴乔夫的海外经历,他结识了捷克友人。我记不清他所有朋友名单了。但1968年捷克斯洛伐克事件令他们震惊——当时身为年轻人的俄罗斯人目睹这一切,深感“这太荒谬了,我们不该这样做。如果共产主义本应如此,这绝非应有之态”。

这是戈尔巴乔夫及其同代人的青春记忆。这不仅是他个人的想法,他代表了整整一代共产主义者的思考:“必定存在另一条道路,现状绝非正途。”于是他坚信自己找到了出路——那便是俄罗斯改革浪潮中蓬勃涌动的活力。他向波兰人宣称:”你们也行动起来。“我们都要这么干。”但他缺乏专业知识和经验——他自己没意识到缺什么,其他人也一样,毕竟他们怎么可能有?他们一直生活在计划经济里。

德瓦克什·帕特尔

这正是我想请教您的。您曾引用托克维尔的论断:当政府启动改革时,革命便会发生。戈尔巴乔夫推行改革公开性,而共产党内部的保守势力——说来我本不该用这个词——正试图阻挠变革。于是戈尔巴乔夫着手解散党中央书记处,将权力下放给各加盟共和国。后来的事我们都知道了——这些共和国纷纷宣告:“看,我们现在要自己的国家。”

但这引发了一个问题:如果你继承的是残暴政权,如今却宣称“我要推行改革”。正如托克维尔指出的政治规律:改革伊始,权力往往会流失,而非向改革者集中。这究竟该如何应对?你本想改善民生,却发现稍一尝试,整个体系便摇摇欲坠。

莎拉·佩恩

这远超我的职权范围。我只是个教授,连给论文打B+都得费劲辩解。我主张渐进式改革——循序渐进。对苏联而言,应通过国家杜马逐步推进法律改革。但要寻求欧盟援助,那里有无数专家,若普京及其同伙停止对乌克兰的暴行,他们定会欣喜若狂。问题在于,这将涉及对他们制造的恐怖行径进行赔偿。遗憾的是,这艘船对这一代人而言已然远去。俄罗斯人不会有美好结局,为时已晚。

但可以关注欧洲自身制度的完善以及乌克兰制度的改进。若思考迫使变革的力量——乌克兰面临的生存威胁——倘若他们能挺过这一切,这将真正迫使他们整顿体制。变革正在那里加速推进,但结局如何仍是未知数。

德瓦尔凯什·帕特尔

我认为这里存在耐人寻味的启示:每当我们从外部审视一个国家时,总会抱有“只要全面改革就能修复经济”的幻想。但当我们更深入理解其体制后——例如美国医疗支出占GDP比重高达20%。特朗普、奥巴马或拜登无论谁上台,都无法简单宣称“我来解决医疗问题”——我们深知这种设想荒谬至极。但我们却期待戈尔巴乔夫或叶利钦能对俄罗斯说:“整个经济都烂透了,我来彻底整顿”。

莎拉·佩恩

这正是美国式狂妄的体现。想想我们自己的国家:拥有全球最复杂的税法体系,两党却无人敢动。因为任何细微调整都涉及精心设计的条款。试想有多少经济资源被消耗在税务会计的行政成本上,有多少资金因钻税制漏洞而错配——这些不过是税务体系的产物。

多年前讨论推行单一税率时,有人问:“这样不是更高效吗?”可想而知会计师们对此作何感想。这个想法彻底夭折了。这简直是效率的反面教材。如今我们意识到国家面临预算危机,清理税法理应成为全民关注的焦点。但问题恰恰在于——许多人根本不愿让税法进入公众视野。正因如此,我们才在纠结谁该进男女卫生间,而非审视本该成为核心议题的税法改革。

德瓦克什·帕特尔

我认为播客应享有大额税收减免,这应被视为研发支出。

莎拉·佩恩

德瓦克什,你几乎达到那个阶段了,该在华盛顿找个说客了。

德瓦克什·帕特尔

我们会努力的。

有本关于朝鲜的书非常有意思,书名记不清了,作者指出朝鲜如今根本无法启动改革——因为一旦朝鲜民众接触到外界信息(这本是改革必经环节),他们会立刻意识到政府灌输的一切都是谎言。韩国富裕得多,而朝鲜民众生活水平却极其糟糕。

显然,这与东欧国家的经历如出一辙。许多情况下,一个国家被一分为二,另一半却过着富裕得多的生活。这种情境下,问题又回到了原点:“如果金正恩突然改变主意,或另有人掌权,当今朝鲜的变革究竟该如何启动?” 他们恐怕正深陷于权力维系的困境中。

莎拉·佩恩

哦,他之所以陷入困境,是因为若试图退休就等于自寻死路。在亚洲——我不确定具体哪些地区适用——存在一种观念:政权延续三代便会终结。而他正是第三代。信不信由你,但若信以为真,这便会成为自我实现的预言。我倒想看看——虽然可能活不到那一天,在座各位或许能见证——金氏家族能否延续到第四代。按他们的信仰体系,理论上是不可能的。所以谁知道呢?

德瓦克什·帕特尔

最后问个石油问题。

莎拉·佩恩

以我对石油的深厚造诣——零。好吧。

德瓦克什·帕特尔

1973至1985年间,朝鲜坐拥巨额石油收入,想必曾经历过某种程度的狂热。但政府是否意识到自己对油价极其脆弱?若油价崩盘,难道不需要应急预案或储备基金?他们总该注意到:“半数预算来自石油,所有外汇都依赖石油,而这是极不稳定的商品”。难道没人意识到?

莎拉·佩恩

确实耐人寻味。我读过一部关于普京执政早期的详尽编年史——那是在政府全面封锁信息前出版的冷战纪实巨著。像我这样的人自然爱读这类书。逐日追溯历史进程时,我注意到编纂者对冷战结局怀有强烈愤懑。编纂者反复强调的结论是:他们不断批判俄罗斯每年从石油收入中获得的巨额资金,却“从未进行任何储蓄”。完全缺乏投资意识。

消费和投资是两回事。四处采购西方粮食属于消费行为。这些资金从未投入任何能产生回报的事业。这正是本书作者的核心批判。回答你的问题:不,他们执政期间只是在榨取资源。

德瓦克什·帕特尔

最后一个问题,与其说是提问不如说是观察。不知您对此有何见解。看看俄罗斯整个20世纪的历史:沙皇统治、共产主义、集体化运动,二战中超过10%的人口死亡,接着是斯大林时期,再到共产主义,随后经济崩溃,最后迎来普京。尤其那些卫星国,它们经历了这一切,甚至更糟——如今还遭受入侵。

而其他国家呢?日本和德国同样经历过悲剧,但最终实现了复兴。或许这就是俄罗斯的宿命。

莎拉·佩恩

是啊,你真幸运不是俄罗斯人。

德瓦尔凯什·帕特尔

没错,正是如此。

莎拉·佩恩

不,这确实是悲剧。这确实是悲剧。他们从工业革命前就处于艰难境地,生存需要特定条件支撑。他们比邻国更残酷,却确实生存下来。在之前的讲座中我提到过,他们曾彻底消灭整个亲王领地和汗国,毫不留情地抹杀。在这样的险恶环境中,你只能依靠精英阶层。问题在于,若不在胜利者阵营,注定沦为失败者,对吧?

但工业革命后,依靠商业贸易与工业实现复合式经济增长,才成为真正的强权之路——因为权力已然成为财富的函数。这需要健全的法律体系、制度框架与社会稳定。俄罗斯在这一进程中举步维艰,我认为根源在于其复杂的历史遗留问题:权力更迭的特殊性,以及诸多缺失的要素。他们既没有经历文艺复兴,也没有经历宗教改革——这些深刻影响西方的根本性运动。

因此存在大量未发生的空白领域。你所见到的种种惨剧确实发生过,但同时存在诸多缺失。这使得发展异常艰难。而普京之流却能将历史时钟大幅倒转,因为他屠杀了太多乌克兰人。他的所作所为至少需要一代人的时间才能让人们开始思考……人们会长期讨论俄罗斯的赔偿问题,而他们本就贫穷,根本无力承担。

德瓦克什·帕特尔

本该以更乐观的基调结束,但……

莎拉·佩恩

历史已经终结,对吧?

德瓦克什·帕特尔

您已阐明各国如何为自身规划更佳发展路径,这正是乐观的源泉所在。

莎拉·佩恩

其实我讲述过上一次冷战的故事——工业化世界始终保持着冷战状态,这实属幸事,否则可能演变为核战争。尽管全球其他地区饱受战火蹂躏,但至少工业化区域维持了冷战格局。当时有位极具远见的群体——不仅在美国,整个西方世界都参与其中——制定了战略,使苏联解体时得以实现非核化着陆。由此可推导出部分成功终结冷战的策略。这些正是我们驾驭第二次冷战所需的策略。

冷战的另一面是苏联人自食其果的悲惨生活。而美国人却过得相当惬意——他们缴纳税收,承担核武器开支,但记忆中人们仍能在迪士尼乐园欢笑,享受欧洲之旅,购置房产。实际上,当西方世界等待他人跟上步伐时,美国人和西欧民众正过着充实的生活。

若想度过这场新冷战,我们必须与盟友合作、完善制度、优化法律。切勿自毁家园。我们终将挺过这场危机,在等待普京或习近平提出新方案时继续享受充实生活。但若挥霍掉手中的好牌……

你采访过众多科技前沿人士。若我们削减所有大学经费,那些企业赖以生存的智力资本将荡然无存。若我们因不明缘由抛弃所有盟友,任其在没有我们的情况下结盟…若我们不经深思熟虑就摧毁整个体制… 我们将沦为自取其辱的对手,活像自己往头上套塑料袋的蠢货。

我注意到其中的相似性。苏联那套陈腐的领导体制始终无法有效运作,他们靠债务维生而非创新求变。这种相似性令人不快,但我们不必重蹈覆辙。因此前景更乐观,但我们必须整顿内部事务。这正是我开设这些讲座的初衷——通过战略课程赋予你们自主决策的工具。这属于你们的事务范畴,而非我的职责。

德瓦尔凯什·帕特尔

这是绝佳的结语。莎拉,衷心感谢您参与本次系列讲座。这六场讲座堪称真正的教育盛宴——从具体战争到阐释战争的战略战术决策,再到对当今世界的深刻启示。我采访过形形色色的人物,但若以“每分钟观点密度”为衡量标准,我主持的莎拉·佩恩播客堪称典范。只要按人气排序,莎拉·佩恩的名字总会频频出现。

莎拉·佩恩

但你搞反了顺序。我原本只是个默默无闻的学者,是你主动联系我进行访谈。我当时就答应了。德瓦克什,正因如此,我如今收到来自各地的邮件。所以该讨论的是谁该感谢谁。总之,我对你们这一代人充满敬意。感谢邀请我来此,感谢各位观众的热情参与,真的非常感激。

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2025: “中国正在摆脱危机。而美国的运气正在耗尽。” ——曾任国际货币基金组织首席经济学家肯·罗格夫

德瓦克什·帕特尔(Dwarkesh Patel) :肯·罗格夫曾任国际货币基金组织首席经济学家,现为哈佛大学经济学教授,其新作《我们的美元,你的问题》《这次不一样》已相继出版。

本期节目中,肯预测未来十年美国将爆发债务引发的通胀危机,但不会出现日本式的金融危机(后者危害更为深重,可能导致国家数代人陷入贫困)。

肯同时剖析了中国的困境:为解决当前问题,中国持续依赖金融压制和国家主导投资,反而使局面雪上加霜。

我们还探讨了美元主导地位的削弱、海外股票配置再平衡的必然趋势、人工智能如何影响财政赤字与利率等深度议题!

YouTube观看;Apple PodcastsSpotify收听。

一下有 曾任国际货币基金组织首席经济学家肯·罗格夫訪談文字紀錄DeepL 英汉语机器翻译。文字紀錄英文原文在 “China is digging out of a crisis. And America’s luck is wearing thin.” — Ken Rogoff A debt shock is coming for both China and the US.  可以找得到。Substack上有Dwarkesh Podcast.

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赞助未来节目请访问dwarkesh.com/advertise

时间戳

(00:00:00) – 中国经济停滞

(00:25:46) – 美国如何摧毁日本经济

(00:37:06) – 美国通胀危机即将爆发

(01:02:20) – AGI能否解决美国赤字?

(01:07:11) – 利率为何必将上行

(01:10:55) – 美国股市将表现疲软

(01:22:24) – 美元霸权的侵蚀

文字实录

00:00:00 – 中国经济陷入停滞

德瓦尔凯什·帕特尔 0:00:00

今天我邀请到肯·罗格夫教授,他是哈佛大学教授,近期出版了《我们的美元,你的问题》一书,曾任国际货币基金组织首席经济学家。

肯,非常感谢您参加本期播客。

肯尼斯·罗格夫 00:00:12

感谢邀请,欢迎来到哈佛大学——我们正在这里录制节目。

德瓦克什·帕特尔 00:00:16

您在书中记载了许多与中国领导人会晤的轶事,尤其是在担任IMF首席经济学家期间。这些经历似乎颇为积极——对方会倾听您的建议。您曾携家人会见总理,他认真听取了您的建言。

其一,这些经历如何影响您对中方领导层能力的判断?其二,您认为中国是如何陷入当前困境的?是大规模刺激政策失当,还是其他因素?

在21世纪初与他们交流时,双方似乎观点一致,他们能理解您的立场。您认为这期间发生了什么变化?

肯尼思·罗格夫00:00:49

首先需澄清:中方倾听各方意见的态度远胜于我们。我的观点只是他们听取的众多意见之一。

中国领导人的能力令我印象深刻。我曾在中央党校做过讲座——那里是市长、省长等晋升官员的必修课,堪称他们的哈佛商学院。

他们真正看重的是能力。当然忠诚度也是考量因素。但当你接触这些领导者——我在培训期间接触过许多——他们甚至会提出极其尖锐的问题。有些提问内容令我难以置信。据我所知,在培训学校内,学员可以畅所欲言。

这个机制已沿用多年。当你接触中国技术官僚——甚至上海市长——时,他们令人印象深刻。我并非贬低我们的人,但两者存在差异。我想你明白这点。我认为习近平确实改变了这种局面。自2013年担任国家主席以来,他逐步淘汰了原有体系,转向提拔更具忠诚度、技术官僚色彩较弱的人选。

我2016年在中国中国发展论坛的演讲堪称生涯最重要的一次。那座巨型会场云集了党内绝大多数高层领导,科技界精英如马克·扎克伯格等也齐聚一堂。我直言:”我正审视你们的住房体系。我观察你们的基建。在我看来,你们正步入经典的住房危机困境。赶超阶段已结束,人口结构也不容乐观。“

我列举了一系列问题:”顺便说一句,经济权力似乎正高度集中。” “我作为西方经济学家,你们确实成就斐然。我懂什么呢?但这恐怕不利于长远发展。”演讲结束后——我心想人生苦短,该说的话必须说——几位高层领导走过来对我说:“罗格夫教授,我们非常赞赏您的见解。” 当时我暗自忐忑:“糟了,这下怕是要被关进监狱了。”

如今我对他们的印象大打折扣,更深感忧虑。假设他们陷入危机——我认为当前他们正身处危机之中。我认为他们仍深陷危机——或者美中两国的强硬派占上风,导致我们陷入无人愿见的纠葛。我担心我们不够胜任。我指的是当下。我们确实有优秀人才,但最高层的平均素质已然下滑。中国同样不够胜任。这正是灾难发生的温床。

德瓦凯什·帕特尔 00:04:16

您在书中提到演讲前需经过审批。您提交的版本比实际发言内容有所淡化。不得不说,敢于直面最高层党领导需要相当胆识。演讲时您是否紧张?毕竟您说的是“权力过于集中”。

肯尼斯·罗格夫 00:04:33

当时我已相当有经验。坦白说我从不看讲稿,所以根本没想过要照本宣科。或许有些即兴发挥。但那一刻我确实想:我来这儿究竟是为什么?来这儿有什么意义?何不直面众所周知的问题?我不确定是否所有人都清楚,但对我而言再明显不过,我必须说出来。

德瓦克什·帕特尔 00:05:03

我认为多数人处在这种境地时——即便理应如此或逻辑上合理——往往仍会回避。

肯尼思·罗格夫 00:05:08

没错,我是教授。那些科技巨头、金融公司或其他企业,多数人负担不起。他们清楚邀请教授时,既不能削减经费,也无法阻止你再次出席。顺便说,他们确实再次邀请了我——虽然第二次我只面对小会议室而非大礼堂。但必须承认,中国人确实愿意倾听。

德瓦克什·帕特尔00:05:41

您曾指出当前危机的种子源于2010年实施的大规模刺激政策。那么将责任归咎于习近平是否不公?那项政策在他执政前就已启动。正是胡锦涛政府推出的刺激计划导致了如今的种种问题。

肯尼斯·罗格夫 00:05:57

胡锦涛政府启动了刺激计划,但后续政策延续了这一模式。你提到的地方政府债务,正是2010年刺激政策中引入的创新机制。他们放任该机制持续运作,将其作为刺激工具。虽有些离题,但地方政府确实缺乏多元融资渠道。

于是允许地方政府通过卖地来启动和资助这些建筑公司,获取收入维持运转。他们放任这种模式持续发展。

习近平上台时,我曾被告知他将成为中国的里根。我在中国知识界有非常可靠的渠道——包括曾在我担任国际货币基金组织首席经济学家时共事的人,以及其他我深信不疑的知情人士。这些人士极具智慧且人脉深厚(至今仍是,故不便透露姓名)。他们曾断言:“他将彻底改变现状,这正是我们逐步开放市场的契机,将推行前所未有的改革。”但实际推进甚微。观察中国经济增长,其实在他执政后增速明显放缓。

衡量国家产出有不同方法,因为中国生产的商品与我们截然不同。他们用本国货币计价,我们用美元计价。没有完美方案。但可采用这种方法:他们以人民币报告产出,我们以美元报告产出,再用汇率进行比较。通过这种方式观察增长,中国的发展堪称惊人,表现极其出色。

显然他们是在凭空创造增长。但也有方法试图控制变量,真实比较普通民众的生活水平或普通企业的经营状况。采用这些指标时,中国的增长幅度就小得多。若观察1980至2012年间,官方增长率接近10%。而购买力平价率——容我使用这个术语——仅略高于7%。

近些年增速明显放缓,即便官方数据也呈现下降趋势。具体数字我没记住,但习近平时期是6%或7%,现在可能只有3.5%。他们是从很低的基数起步的。

经济放缓本是必然,不能全怪他。但我认为他过于畏惧风险,这才导致了当前局面。我认为他们面临诸多困境。基础设施建设过度,住房供应过剩。你去过中国吗?

德瓦克什·帕特尔00:09:00

我半年前刚去过。

肯尼思·罗格夫00:09:02

去了哪些地方?

德瓦克什·帕特尔00:09:03

上海、北京、重庆成都杭州峨眉山

肯尼斯·罗格夫00:09:09

所以你去了几个中等规模的城市。其中至少有一个,我认为是新兴科技中心。我念不出那个地名。

德瓦克什·帕特尔00:09:21

杭州?

肯尼斯·罗格夫00:09:22

没错,那是个重要科技中心。有些小城市不像大城市那样繁华。而中国60%的收入来自所谓的三线城市

我成长于罗切斯特,那在美国就像个三线城市。但你可以选辛辛那提、利物浦。法国的鲁昂——我可能没念对——就是三线城市的典型。这些地方投资力度惊人。我实地考察过几座,也深入研究过相关数据。它们拥有卓越的道路、卓越的房地产、卓越的住房。但这些城市弥漫着死亡的气息…

它们在建造方面确实很出色。苏联当年建造水泥厂、钢铁厂和铁路就很厉害。但这些产业已走到尽头。他们还有其他领域:绿色能源、人工智能、电动汽车。但信不信由你,这些产业规模仍远小于基础设施和房地产。按某些指标计算,房地产占经济总量三分之一。所以我认为中国现在面临巨大困境。他们放任这种局面持续太久了。

不过话说回来,我并非决策者。当体系看似运转良好时,若试图改革就会被清除。身处那个位置实非易事。

德瓦克什·帕特尔00:10:48

我在中国时曾造访成都郊外一座五十万人口的城市,属于三线城市。抵达时发现火车站规模宏大,住宅区也极为壮观。即便开车穿行,连电影院都是巨型综合体。

我意识到中国的一切都更宏大。当时我已见惯其他城市,但不禁思忖:我见过五十万人口的城市,自己就住在旧金山这样的五十万人口城市。这里的一切规模与人口基数完全不成比例。

后来我们参观了一座新建的佛教寺庙,作为旅游景点。规模极其宏大。穿过一座小殿堂,后面竟是更宏伟的建筑群,如此同心圆状延伸八层之多。开车穿过整个建筑群大概需要十分钟。现场空无一人,只有我和另外三名白人游客。

肯尼斯·罗格夫00:11:42

这种感觉非常强烈。年轻人根本不想住在那儿。我这里有很多年轻学生,也常遇到当地人。他们不愿住在这些小镇,工作机会又少。我无法指责他们选择离开。

若2005年有人问我:“该鼓励人们迁往罗切斯特、利物浦或法国鲁昂吗?”我会说“应该”。大城市人口过密,看看圣保罗的现状,再看看孟买的境况。但当时的判断是错误的。这些力量实在太强大。

因此他们所谓的GDP增长,很大程度上源于这些因素。现在他们不得不调整方向,但人们的适应性实在有限。这就像人工智能出现导致全民失业——当建筑业岗位消失,所有间接就业机会都消失时,要让所有人重新安置绝非易事。

德瓦克什·帕特尔00:12:42

倘若没有金融压制,所有投资都通过纯粹的市场机制进行,结果会好得多吗?

即便中国今天完全取消金融管制,民众储蓄依然庞大。这些资金终究需要去向。现有生产性机会能否吸纳全部储蓄?过去是否存在足够机会?取消金融管制后,问题是否真能解决?或者说,问题本可解决却未解决?

肯尼斯·罗格夫 00:13:10

长期以来,各方都强调中国储蓄率和投资率惊人。其消费率虽曾更高,但目前仍仅约45%。而我们的消费率逼近70%。欧洲国家稍显克制,但消费率也仅在60%出头。他们的消费水平极低。虽然在核心城市能见到富裕阶层,但中国多数地区民众月收入仅200美元左右。政府本可直接发放资金,让民众消费而非出口。但他们对此始终犹豫不决。

其实只需调整汇率政策,允许人民币适度升值,进口商品就会更便宜。但他们对此始终犹豫不决。这是各方给出的建议,也是我在2016年强调的观点。

要刺激消费,关键在于提供更完善的社会保障体系。首先,他们根本没有像我们这样的社会保障体系。民众必须为养老储蓄。他们的医疗体系也远不及我们完善。只有在大型国有工厂工作才能享受医保,其余人群只能自谋生路。

他们被禁止海外投资。虽然存在周期性波动,但资金不得流向境外。因此他们行事谨慎,避免突发性举措。问题不可能一夕解决。

但根本问题在于,中国当前的症结在于消费不足。眼下形势更严峻,因为房价正在崩盘。房产是政府唯一允许民众储蓄的渠道——要么存入银行账户获得微薄利息,要么投资房产。如今房价下跌,民众自然缩减开支。

他们可以逐步摆脱困境。没有灵丹妙药能让他们实现5%的增长。顺便说一句,这是官方数据,但我认为实际增长率远低于此。没有简单的方法,但总体目标应是努力重新平衡投资与消费。

德瓦克什·帕特尔00:15:37

让我们回到你关于购买力平价与名义数据孰优的论点。我记得你在书中主张名义GDP比较更合理,因为用购买力平价美元既买不到爱国者导弹也买不到石油。但若要比较两国实力——尤其是军事层面的相对实力——当某国能以更低成本建造军舰弹药,且士兵薪资更低时,这难道不是判断战争胜负的关键指标?我们是否该将对方更庞大的购买力平价经济体视为其实际更强的信号?

肯尼斯·罗格夫00:16:18

没错。我在书中讨论的是地缘政治实力——当你向某国提供资金时,这笔资金的价值及其可利用程度。但你说得完全正确。

他们在造船领域碾压我们。部分原因在于他们建造商用船舶,而商用与军用船舶存在大量协同效应。我认为他们占据全球造船市场50%的份额。而我们建造一艘新航母需要耗费数年时间和惊人成本。我们犯的一个错误是试图独自承担所有建造任务。应该让盟友分担部分工作——韩国人造船技术非常出色,这本是我们可以进口的领域。

关于士兵的论点很正确。他们的薪酬远低于美军,但在对抗我们时具备诸多优势。目前我们在技术领域遥遥领先,这正是我们的核心优势。若此优势消散,必将造成重大打击。

德瓦尔凯什·帕特尔 00:17:22

您的预测如何?目前我认为他们名义GDP约为美国的75%。

肯尼思·罗格夫 00:17:29

是的,以美元计价,即我们所说的市场条件。

德瓦克什·帕特尔00:17:34

您预测2030年和2040年的比率会如何变化?

肯尼思·罗格夫00:17:41

我没想到比例高达75%,原以为会低些。其实我原本预计2030年达到75%。2024年某时曾达到三分之二左右,但汇率波动影响很大。美元汇率很高时,会让我们看起来更大。

我认为他们每年可能比我们增长约1个百分点。我不认为他们的增长会远超美国。

德瓦尔凯什·帕特尔00:18:08

等等,这意味着您认为中国经济规模永远不会超越美国?至少在可预见的未来?

肯尼思·罗格夫00:18:13

这需要漫长时日。我们讨论的是绝对规模。中国人口是美国的四倍。高盛等机构曾预测美国很快会像加拿大之于美国那样沦为次席。

但所有这类外推模型都已被证明是错误的。

这引出了一个重要议题:许多人看到某种趋势——无论是经济增长、人工智能还是中国发展——就直接将其线性外推到未来。

德瓦克什·帕特尔 00:18:47

这在人工智能领域尤为普遍。

肯尼斯·罗格夫 00:18:52

至少经济学家们自认在这方面很糟糕。回顾那些试图解析经济现象的委员会报告——这类机构总会周期性出现,可能是布鲁金斯学会组建的,也可能是政府设立的。我已故的同事迪克·库珀曾整理过完整清单。

真相难以捉摸。但我的直觉是:中国正在经历日本曾经历的变迁,这正是亚洲的轨迹,也是苏联的宿命。我们的经济更具活力。我们并非完美无缺。当前的关税战和去全球化浪潮或许正在破坏这种优势。但我们拥有其他地区——至少其他大型经济体——无法复制的活力与创造力。

他们能制造产品。法国的高速列车比我们更先进。但愿你没坐过波士顿到纽约的列车——虽比预期舒适,却远非高速列车。你提到中国,天哪,他们的高铁确实惊艳,这方面他们很擅长。但真正具有创造力的领域?我并非全盘否定,中国确实存在卓越企业。但必须承认,美国在此领域始终领先。这种基因已融入我们的血脉。我认为守护这份基因至关重要。

德瓦尔凯什·帕特尔00:20:15

年均1%的增速压缩实际上是极其悲观的预测。即便对中国持悲观态度的人也会说:“到2040年,中国名义GDP将达到美国水平的125%或150%。”他们认为中国经济规模会更大,但增幅有限。而你认为即使到2040年他们仍无法赶超,这观点实在过于悲观。

肯尼思·罗格夫00:20:36

我认为他们正在艰难摆脱危机。当前我们看到物价持续下跌,这并非源于创新加速,而是利率已被压至零水平。这些迹象都表明需求严重萎缩,经济状况不佳。从历史数据来看,中国公布的统计数字平均而言是准确的——至少在我们所知范围内如此。但习近平执政时期,这种准确性正日益削弱。

德瓦克什·帕特尔 00:22:02

让我们回到您著作的核心议题。试图预测中国何时以何种方式入侵或封锁台湾的人们,会通过卫星照片观察不同港口的舰船数量。他们会关注军事准备状态。

从货币角度看,我们能观察到哪些迹象?例如,若他们预判大量受美国主导的资产将遭制裁或无法动用,是否可能出现资产变现?货币层面是否存在某种准备迹象,能让我们察觉他们正在筹备重大行动?

肯尼斯·罗格夫 00:22:40

我不认为他们会突然行动。但粗略观察其储备构成,他们确实在持续增加黄金配置。转向欧元或加元未必有效,因这些国家可能与我们站在同一阵营。不过他们正在竭力实现多元化配置。目前尚未涉足加密货币领域。我曾让学生就此写过论文。但谁知道呢。

他们正在采取的具体行动不仅关乎持仓规模——这只是众所周知的大事实。官方数据显示其持有万亿美元美国国债储备,但我的学生在一篇精彩论文中估算(且我认为其他学者认同)实际规模更接近2万亿美元。他们通过代理机构间接持有大量资产。

更关键的是整个金融体系都通过美国运转。我们常说的轨道管道系统——当你的银行收到一笔交易时,我的银行会立即获得相应信用。这种跨国资金流动如何实现?美国对此拥有不成比例的控制权。

这点他们无法忍受。他们或许能暂时承受失去2万亿美元的损失,但绝不能失去向供应商和其他国家付款的能力。因此他们正全力开发自主支付机制。俄罗斯在入侵前已做了大量准备工作,我们也看到中国在推进此事。

或许他们正在抛售美国国债,具体情况尚不明确。若我是与中国对话的经济学家,会建议他们这么做。但我认为他们不会突然采取行动。或许特朗普会引发市场崩盘,届时就无物可救了。但他们不愿成为引发全球金融危机的始作俑者。

德瓦尔凯什·帕特尔 00:24:46

他们试图建立的替代性贸易通道会是什么形态?是否会用人民币从伊朗购买石油?其他供应国是否接受这种结算方式?2030年的愿景是什么?他们的目标究竟是什么?

肯尼思·罗格夫 00:24:59

完全正确。非洲和拉丁美洲许多国家——其中部分几乎是中国的附庸国——可以被强迫配合。伊朗即便在受制裁期间,仍有大量石油销往中国。他们正朝着这个方向推进。这不仅关乎结算货币,更涉及交易确认与账目清算机制。这正是他们正在构建的体系。

变革正在发生。顺带一提,欧洲也在推进相关工作。欧洲对现状并不满意,他们正在筹建央行数字货币。进展速度远超我的预期,这恰恰是他们推进该计划的原因之一——为国际支付体系提供替代方案。

00:25:46 – 美国如何摧毁日本经济

德瓦凯什·帕特尔00:25:46

让我们谈谈日本——您在书中也探讨了这个国家及其危机。您将危机归咎于美国事先施压要求日元升值,以及日本央行的政策。但放眼全局,这场危机有多少并非源于这些因素,而仅仅是高 低技术制造业在全球产出中的比重日益下降?人口结构因素同样存在。即便没有重大危机先兆,日本遭遇此类困境是否在所难免?

韩国人均GDP同样不高,至少相较美国而言。其中有多少是特定行为体决策所致?

肯尼斯·罗格夫 00:26:30

韩国在1983年经历过一次危机,1997年又遭遇另一次危机。顺带一提,他们并非从未经历危机。

影响因素众多。人口结构变化最为明显。不仅中国崛起,韩国及其他竞争对手也迅速发展。日本开创的出口导向型增长模式被众多国家效仿。值得注意的是,这种模式会催生竞争。

多数国家规模不及美国,且缺乏众多企业同时从事相同业务的竞争环境。当然,我们国内也面临竞争困境。墨西哥曾有过著名案例:全国仅两家电话公司、两家面包公司、两家墨西哥卷饼公司。要阻止垄断企业坐享其成并滥用政治影响力实属不易。

那么如何突破困境?日本采取了相当创新的举措。

德国也在某种程度上效仿了这种做法。在出口领域,企业面临的是全球竞争而非国内竞争,这催生了创新与创造力。日本凭借此策略取得巨大成功。但随着时间推移,其他国家纷纷效仿并开始复制相同模式。这是部分原因。人口老龄化也是因素之一。但我认为金融危机才是关键因素。

德瓦克什·帕特尔00:28:02

假设没有发生金融危机,日本今天的财富水平会比实际高出多少?

肯尼斯·罗格夫00:28:08

我认为人均财富至少增长50%,差距会非常显著。这取决于采用何种衡量标准。按市场汇率计算,1980年代末日本曾比美国更富裕。即便采用更复杂的衡量标准,其财富水平也超越所有欧洲国家——比德国、法国、意大利都富裕。如今他们已跌至阶梯底层。

当然,金融危机并非唯一因素。长话短说,我们实质上迫使日本以超出其文化政治承受力的速度推进开放与放松管制。这正是我在书中改变观点的例证之一。

此后我长期关注此事。回溯2005年——那已是日本危机多年后——我曾与时任中国国家主席江泽民会面。他断言:“绝不让这种事发生在我们身上。”当时我们讨论我认为中国不应维持固定汇率的问题,他反驳道: “当年美国对日本也是这么说的,看看日本现在成了什么样子。”

面对这样的权威人物,我并未过多反驳。转而与其他人交流时,却发现许多人持相同观点。我常思忖:这怎么可能?1985年9月签署的广场协议中,我们明明推动日本实行更自由的汇率制度。但我总强调:那是1985年的事。卡门·莱因哈特——我多部著作的合著者——和我将危机起点定在1992年。这已是七年之后。

我曾固执己见,但这些年来,尤其最近,我开始意识到自己错了。这类危机的酝酿是缓慢的,绝非一夕之间。日本推行了金融自由化,且初见成效。但他们根本不明白自己在做什么。我认为日本同意签署协议是个重大错误。

我曾听一位出席东京广场协议十周年纪念活动的人士透露:1985年时任日本央行行长在官员面前发表讲话时,以极具象征意义的方式致歉:”我毁了这个国家。是我造成的。我承担责任。”没错,金融压制确实有害。但金融自由化必须循序渐进。若操之过急,必将引发危机——许多危机的根源正在于此。

德瓦克什·帕特尔00:31:25

作为一个明显不了解细节的人,您会如何向初学者解释这个概念?一个国家怎么可能仅仅因为金融危机,就比原本可能达到的财富水平低50%?那些本该创造的财富,为何至今仍无法实现?一个国家生产着各种商品,为何仅因几十年前的金融危机,产量就减少了50%?

肯尼斯·罗格夫00:31:57

他们的案例非常特殊,尽管10%或20%的数字很典型。事实上,我在麻省理工学院的教授曾讲授大萧条时期。没有黑板很难演示,但他这样解释:“增长曲线原本是这样的,然后突然跌落至此,之后持续低迷。我们永远没能恢复到原有水平。”

德瓦克什·帕特尔 00:32:24

许多经济模型中都存在索洛赶超模型

肯尼思·罗格夫 00:32:29

没错,但金融危机——尤其在日本——彻底摧毁了他们的商业模式。比如,倘若日本能更自由地借贷,金融市场运转更顺畅,应对更灵活,中国或许不会如此迅速地超越他们。日本消费市场崩溃了,他们不知如何应对。

美国在容忍危机恶化方面比日本更狠,但我们很快摆脱了困境。虽不确定是否完全恢复原状,但复苏速度确实迅猛。日本是高度共识驱动的社会,不愿看到任何人陷入困境,这种挣扎长期制约了他们的发展。或许50%的估计过高,应改为25%或30%,但美国现状已远优于日本。

德瓦凯什·帕特尔 00:33:25

请具体说明:若没有2008年金融危机,您认为美国当前的反事实财富水平会如何?

肯尼斯·罗格夫 00:33:34

哎呀,这问题问得好。我有些犹豫,因为可能有论文给出过具体数字,我怕说错。我们确实累计损失了大量财富。这场危机引发的政治动荡又导致更多损失。我猜可能低了15%,远低于本应达到的水平。我们正身处这种动态之中——金融危机的余波至今仍在发酵。

请注意,你问的是国民收入。不平等问题不容忽视,我们是否本可采取其他措施?某种程度上,2008-2009年危机是对体系的审判,人们都看在眼里。或许它促成了某些健康的洗牌,但我认为造成的破坏远大于这种健康洗牌。

德瓦克什·帕特尔 00:34:32

这让我更新了认识:金融危机的危害远超我的预想。它并非仅是突发灾难后便能复苏。若近二十年后仍有15%的负面影响持续存在,这影响实在巨大。

肯尼斯·罗格夫 00:34:46

这意味着累积增长的巨大损失。看看今天的希腊或葡萄牙——它们虽能恢复正增长率,却无法重拾……这与常规衰退截然不同。正常衰退是先下行再回升。美国曾自认对金融危机免疫,毕竟自1933年后我们确实未经历过危机。

2009年我们出版了不同寻常的著作。我主要撰写论文,但这本与卡门·莱因哈特合著的书名为《这次不一样》。我们曾提前发表过论文指出:“金融危机截然不同,其持续时间远超预期,经济衰退程度也远超想象。”当时我们因此遭到嘲笑。记得《纽约时报》曾用整版篇幅嘲讽我们观点荒谬。

我们本可能被证明是错的——若应对得当或许真会如此。但金融危机本就是常态,仅有少数例外,比如瑞典一两年就走出危机。通常而言,金融危机与普通衰退截然不同。

00:37:05 – 美国通胀危机将至

德瓦克什·帕特尔00:37:05

您在书中预言未来十年内通胀将再度飙升,同时指出美国财政状况难以持续。

若展望十年或二十年后,当危机真正来临、账单到期时,实际会发生什么?会是像希腊那样的急性危机?还是会陷入日本式的“失去的十年”?具体会怎样?

肯尼思·罗格夫00:37:32

通常当债务高企且政治体制僵化时就会爆发危机。

我们已满足这些条件。此时若遭遇未预见的冲击,便会措手不及。具体后果取决于冲击性质及应对方式。

日本采取了我们称之为金融压制的策略,即把债务塞进所有保险公司、养老基金和银行。日本央行持有的债务规模接近GDP的100%。我们认为美联储持有的债务规模相当可观——具体数字我没法立刻说出来,但估计约7万亿美元。日本持有的债务相当于30万亿美元。他们采取了这种做法。这当然不是日本经济停滞的唯一原因,但绝对不利于增长。这是其中一种选择。

对美国而言,这很棘手。我们是高度市场驱动的体系。若金融体系承受同等压力,后果将比日本更严重。许多国家都向我们提供贷款,我们不能强迫他们。我们无法强制法国保险公司持有美国债务,只能要求美国本土机构这么做。

因此我认为最可能的结果是通货膨胀,这只能暂时缓解压力。因为通胀某种程度上相当于……嗯,类似于债务违约。我指的不是恶性通胀,而是持续10-20%的通胀率。我们刚刚经历过这种情况,当时通胀实际削减了约10%的GDP债务。下次可能需要更大规模的通胀。这能释放部分压力,但若支出仍失控且未解决根本问题,危机将卷土重来。当前正是如此——我们释放了部分压力,但远未足够。

我认为下次危机爆发时,市场将毫不留情。他们会审视我们并宣告: “你们不可信。”届时利率将进一步攀升,债务累积速度将加快。我认为到那时……有句归因于温斯顿·丘吉尔的美国谚语:我们总是在尝试所有其他方法后才做正确的事。我猜我们还会尝试其他办法。

德瓦克什·帕特尔00:39:58

为听众说明:摆脱债务有四种途径:我们可以违约——你认为可能性不大。

肯尼斯·罗格夫00:40:02

但这对我的书可太有利了。

德瓦尔凯什·帕特尔00:40:05

你这次时机把握得真好。等你下一本书出版时,我就要做空市场了。

金融压制。或许真能削减赤字。或是通胀。你的意思是若再掀通胀浪潮,之后就会…

肯尼思·罗格夫00:40:22

所谓紧缩政策。顺便说,进步派总用“紧缩”来指责不顾债务累积肆意挥霍的行为,但真正的“紧缩”恰恰是拒绝这种做法。我的意思是,埃兹拉·克莱因的著作《丰裕》恰恰指出:万事皆有得失。所谓“紧缩”的论调,无非是假装债务膨胀毫无代价,只有好处。所以没错,这是其他国家必须采取的措施。我们比多数国家都拖得更久。

德瓦克什·帕特尔 00:41:03

如果即将爆发金融危机,而金融危机如此严重……

肯尼思·罗格夫 00:41:06

通胀危机。金融危机属于私营部门范畴,而公共部门会出手救助私营部门。因此政府不会违约,我们只会采取通胀措施、金融压制或小幅紧缩政策之类手段。我们不会像希腊那样陷入危机。这种观点完全错误。但通胀绝非好事。

德瓦克什·帕特尔 00:41:32

为什么我们不会?

肯尼思·罗格夫 00:41:33

因为我们能印钞。我们能履行债务。我们永远不必违约。希腊使用欧元却无法掌控货币。

德瓦克什·帕特尔 00:41:43

日本使用本国货币却未违约。

肯尼思·罗格夫 00:41:46

他们经历的是金融危机而非债务危机。那段时期政府债务从未违约。我不确定他们是否曾违约。抱歉,他们在二战期间确实违约了。当然,日本在二战期间确实违约了政府债务。这段历史很有意思。

但他们经历的是金融危机。金融危机会导致银行体系瘫痪,创新者无法获得贷款,充满活力的企业无法获得融资。本·伯南克当时就此撰写过一篇思想性文章。他虽缺乏具体数据,但推测这正是大萧条如此严重的根源

米尔顿·弗里德曼——这位史上最伟大的经济学家之一——审视大萧条时,他断言:“你们印钞不足,货币供应收缩过度。”而本在25年后提出了新见解。他是我研究生院的同窗。在普林斯顿大学时,我的办公室就在他隔壁。他后来发表了那篇惊世之作——虽仍是思想性文章而非传统经济学论文。他提出质疑:“若问题仅在于货币供应不足,工资与物价终将调整。或许需时一年,或许两年,但大萧条持续了十年之久,这怎么可能?”

他由此提出推测。后续大量研究印证了这一观点。当然,这仍存在诸多争议,我必须谨慎表态。但我确信现有证据表明金融危机危害极大。这导致美国陷入盲目乐观的境地——我们总想着把所有人都救出来。

我认为财政部和美联储当前的政策可概括为“遇疑即救”。因为他们目睹了危机后果。但随着金融业扩张,终将引发问题——正如硅谷银行事件所示,其余波至今未平。不过我认为通胀危机比金融危机更可能发生,尽管这类事件极难预测。

德瓦克什·帕特尔 00:44:01

您在书中指出,我们并未通过经济增长摆脱二战债务。实际情况是战后实施金融压制,加上1970年代的通胀,导致债务占GDP比率……本应达到70%多,最终却维持在20%左右。

当然,我们最近又经历了通胀。鉴于当前局势可预测性,您是否认为美国国债市场已存在非理性因素?投资者既能通过您的著作预见通胀上升趋势,也能从历史经验中汲取教训。您认为当前市场行为是否存在非理性成分?

肯尼思·罗格夫 00:44:38

我认为首要问题在于,人们对美联储的独立性抱有过高期待。美联储作为一个不断演进的卓越机构,一直是低通胀的守护者——尽管我们可争论其通胀目标是否合理。美联储坚称自身高度独立,最高法院近期裁定特朗普无权解雇美联储主席鲍威尔。但我认为这不过是痴人说梦。

国会和总统完全有办法绕过美联储,尤其是在宣布某种战时状态或“抗疫战时”状态时。

德瓦克什·帕特尔 00:45:21

不过从政客角度看,美联储的独立性或许正给了他们推卸责任的便利,这反而让他们乐见其成。他们可以推脱说:“我本想采取这种不负责任的措施,但美联储不允许,这超出了我的权限。”

肯尼斯·罗格夫 00:45:38

确实如此。这正是特朗普抨击美联储的原因之一——当然并非唯一动机。

我认为他确实与美联储理念相左。但他深知,若经济陷入衰退(这种可能性确实存在),抨击美联储就能为自己不降息的行为找到替罪羊。

关键在于利率是否会开始攀升…目前十年期国债收益率约4.5%,这是名义利率。通胀挂钩国债收益率略高于2%。三十年期利率约5%。我认为这些利率将逐步走高,进而推升房贷利率、学生贷款利率、车贷利率和商业贷款利率。这将带来痛苦。

关键在于,这种痛苦何时会真正显现?如我所言,若遭遇冲击,这种痛苦将被催化。在这种情境下,美联储更容易暂时收回部分独立性。我认为这比人们想象的更容易实现。鉴于冲击终将发生——或许AGI会带来我们尚未预见的冲击——人们对美联储独立性的信任过度了。

我本人热爱美联储的独立性。早在全球几乎不存在独立央行时,我便撰写了首篇论述央行独立必要性的论文。当时我在美联储只是个棋子。如今我为自己立场辩护时,所言确是真心实意——此处“立场”非指学术著作,而是指我的人生资本。

我常说美联储每天都在为独立性而战。我听过参议员说:“他们是蠢货。”也听过硅谷人士说:“他们是蠢货,该把美联储置于财政部管辖。”过去这类言论仅出自进步派之口,但最近连科技巨头也开始说:“斯科特·贝森特当财政部长比鲍威尔强,何不让他掌管货币政策?”他们确实有这个能力。

德瓦凯什·帕特尔00:47:50

美联储现行运作模式确实相当有效。它保持着独立性。诚然,正如你所言,有人批评其决策。但总体而言,它仍是能做出明智判断的可靠机构。当然他们可能犯错,但相较政府其他部门,其专业能力显然更胜一筹。

若想复制美联储的运作模式——让政府其他部门也如此运作——我们能采取什么措施?还是说这本质上是人才储备问题而非独立性问题?比如银行家和经济学家确实才华横溢,但教育部或农业部能否培养出同等水平的人才?

肯尼斯·罗格夫00:48:29

美联储拥有的优势之一是那面人人可见的简易晴雨表。民众未必真正理解,但能切身感受——他们看到汽油价格波动,这大概就是判断通胀的依据。这种直观晴雨表至关重要。

请注意,近年来进步派尤其希望美联储解决不平等、社会正义和环境问题。但美联储长期掌控着一个指标——虽非短期内,但确实在长期内可控。这使得他们更容易回应:“你们要求我们维持低通胀。”

而政府其他诸多举措或许能让所有人受益,但实际效果往往是让部分人获益更多,另一些人则毫无改善。这便迅速演变成政治议题——毕竟美联储并非民选机构,决策自然更艰难。我显然是技术官僚,或至少支持技术官僚。我的学生都是技术官僚。我认为更多领域都该如此运作。

德瓦尔凯什·帕特尔00:49:33

但若真要推行这种模式,假设明天五角大楼致电你,说“我们要像美联储那样管理五角大楼”,你会给出什么建议?

肯尼思·罗格夫00:49:41

我本想说,五角大楼?我指的不是现在的五角大楼,而是迄今为止的运作。虽然没深入研究,但它确实管理得相当出色。军队效率很高。

有人对我说:”埃隆·马斯克能以NASA成本的1/15——或者说十五分之一——将有效载荷送入太空。“为什么不让马斯克管理五角大楼?”这话或许有道理。我认为在某种程度上——也许我太偏袒他们了——但你永远不知道下一次打击会从何而来。表面看你们似乎浪费了大量资源,但敌人正盯着你们的底牌:哪里是弱点?哪里是强项?所以五角大楼未必是最显而易见的改革对象。

但以加密货币监管为例,这才是绝佳范本。为何不设立更独立的监管机构?而你心知肚明,该领域早已沦为政治角力的战场。

事实上当前正酝酿着重大变局。虽无法预判最终走向,但美联储虽受保护,其独立性远不及外界想象。但特朗普上任后,最高法院裁定他有权解雇任何机构的负责人。由此我推断,他也能解雇任何机构的任何员工。我认为这是个可怕的错误。我们需要独立机构。它们有评估机制,向国会负责。若方向偏离,可及时纠正。但让所有机构每四年大换血?这实在令人忧心。

德瓦克什·帕特尔 00:51:28

在特朗普之前——或许是制度使然,或许是规范约束——解雇官员本就困难重重。这种机制并未催生出卓越的政府效能。

让我尝试整合各位的观点。或许关键在于让更多政府部门效仿美联储模式:每个部门只专注单一目标(如美联储的2%通胀目标),无需分心其他事务。美联储成功避免任务扩张确实令人钦佩——全球各类机构(企业、政府部门)似乎都难逃此劫。

肯尼斯·罗格夫00:52:02

不,他们并未避免。他们承受着巨大压力。显然形势已变。我在书中略有提及:翻阅各联邦储备银行的工作论文和研究报告,内容尽是关于不平等、环境、社会正义。那段时期你很难找到关于货币政策的论文,因为他们承受着压力。保持独立性的一部分意义,就在于顺应形势而灵活应对。

但他们成功守护了核心能力——制定货币政策这一独立职能。这确实令人惊叹,但始终是场持久战。以土耳其为例,我不清楚当前通胀率,但当时曾逼近100%。而土耳其总统埃尔多安每年都会解雇央行行长。每当他们试图加息,总统就解雇他们。类似情况在其他国家也屡见不鲜。

我们很幸运。但这种幸运不可能永远持续。

德瓦克什·帕特尔 00:53:10

除了外部的政治压力问题,您提到观察到年轻同事或年轻经济学家在美联储撰写关于不平等或气候变化等议题的工作论文。

从内部来看,鉴于这个行业年轻一代的关注点,你是否预期新一代的竞争力或专注度会自然衰退?

肯尼斯·罗格夫 00:53:42

不,这恰恰是警钟。胡佛研究所曾发布一篇博客,分析我们年度大会最常出现的词汇。有个叫美国经济协会年会的会议。

所有人都参加。他们梳理了过去15年的所有摘要和标题,发现“通货膨胀”这个词直到今年才首次出现。

德瓦克什·帕特尔00:54:08

但为何你对他们掌权后的局面持乐观态度?

肯尼思·罗格夫00:54:10

因为存在知识市场。这次重大失误催生了解决方案的市场。美国大学体系的优势——至少在科学领域,我以经济学为例——在于理论虽会偏离正轨,但当某项理论严重失误时(我认为他们对通胀的判断显然严重失误,对利率和债务的判断也严重失误),就会出现某种再平衡机制。

我们拥有极具竞争力的学术出版体系,研讨会制度更是残酷无情。围绕这些问题持续展开辩论——结论尚未尘埃落定,或许我错了而他们是对的,但争议确实正在发生。而十年前,当我预言这些现象可能重演时,简直像荒野中的孤寂呼喊。我曾向学生讲授通货膨胀理论。他们听得面无表情,仿佛我在讲解弗雷德·阿斯泰尔的舞蹈动作。他们总说:“21世纪互联网时代,这种事绝不可能重演。”

再比如讲授债务理论时,外国学生个个忧心忡忡,美国学生却满不在乎:反正我们想怎么借就怎么借。但现在情况变了。

德瓦克什·帕特尔00:55:35

回到潜在的未来风险,如果我们选择金融压制而非通胀路线,后果会有多严重?

正如你所言,二战后我们经历了金融压制,但那段时期却实现了史上最高增长。反观中国和日本,许多问题似乎源于金融压制造成的资本错配。你是否对这种路径与通胀路径相比会造成多大自我伤害有直观判断?

肯尼斯·罗格夫00:56:02

我们先从二战说起,但显然从来不是单一因素。当时存在诸多因素。二战期间,金融压制实施起来相当容易——金融市场已被大萧条摧毁,战争催生了某种指令控制型经济

大量关于二战的有趣研究表明,当时美国人工作热情高涨,生产中蕴含着真正的爱国主义精神。我并非否定当下,但当时他们能填补的工厂岗位,如今我们恐怕都难以招满。二战结束后,大批士兵返乡,这带来了巨大的增长动力。虽然我们未能完美驾驭,该时期实际经历了相当程度的通胀。

你们成长过程中所熟知的金融市场,以及当今年轻人所了解的金融市场,在当时根本不存在。世界已发生巨变。

德瓦克什·帕特尔 00:57:05

这是否意味着,若当时我们维持政府债务规模或另寻他法处理债务,同时让金融市场更早发展,二战后美国的增长率本可以更高?

肯尼思·罗格夫 00:57:17

或许吧。市场长期受到压制,我们才得以避免金融危机。金融危机往往发生在有人提出“我知道如何让经济飞速增长,让我们一夜之间废除所有法规”之时。

这种情况在各国接连上演。这种做法看似有效,直到最终崩盘。因此总体而言,当时的债务管理相当得当。

我们实现了增长,世界其他地区也实现了增长。私营市场的发展需要时间。我本应强调的是,二战后我们的债务水平非常高,大约相当于现在的水平。

但除此之外别无他物。当时不存在如此庞大的私营债务。那些债务都已违约。我这里略带夸张,但总债务可能占GDP的50%。其余的州和地方债务都已违约。而如今,这些债务规模已远远超过联邦债务。因此,当时实施金融压制与当今金融业将此作为商业模式核心的时代截然不同。

德瓦克什·帕特尔 00:58:25

为确保具体情景讨论完整,您的预测是:先出现危机与通胀飙升,继而实施紧缩政策。之后会怎样?由于政府支出受限,经济增长是否将长期低迷?您预见的未来几十年会是怎样的景象?

肯尼斯·罗格夫 00:58:50

我认为这将对美国人构成重大警醒,迫使他们在艰难环境下调整。最可能的情况是遭遇冲击:我们急需大量借贷,但债券增速远超以往,且政策空间受限。

这并非世界末日。2010至2012年欧洲债务危机期间,多数欧洲国家都提高了退休年龄。他们并非立即实施,而是提前10至15年布局。总有可行的应对方案。

因此我必须谨慎表态:这并非世界末日,但确实相当不愉快。由于全球体系高度依赖美元,这场危机将波及全世界。美元的广泛流通性将使我们的经济体系陷入困境。随着其他国家减少美元使用,我们的利率将进一步攀升。

我是一名学者,并非试图通过极端恐慌来推销观点。但恐慌确实存在于可能性范畴。我的论断是“大概率会发生”而非“必然发生”。我们仍有可能实现经济增长,吸引大量高技能移民,实施政策变革。许多事情都可能向好的方向发展。

德瓦克什·帕特尔 01:00:19

关于经济增长,2010年后欧洲增长相当糟糕。日本危机后增长显然也很差。如果我们遭遇类似危机,为何会处于不同境地?为何增长能持续加速?

肯尼斯·罗格夫 01:00:34

不,这将导致增长停滞。债务危机发生的核心原因在于缺乏自动化解机制。股市崩盘虽痛苦,但能立即锁定受损方;而债务崩盘后,我们需耗费五至十年厘清债务归属。正是这种损失分摊过程引发了问题。

顺带一提,这正是为何许多人认为“中国没问题,总统只需公布数据即可”——事实证明这种想法并不如他们想象中可靠。

01:02:20 – AGI能解决美国赤字问题吗?

德瓦克什·帕特尔01:02:20

既认为AGI近在眼前,又认为美国财政状况难以维系——这种双重认知是否成立?

肯尼斯·罗格夫 01:02:26

你所说的AGI即将到来指的是什么?

德瓦克什·帕特尔 01:02:28

任何纯粹通过计算机就能完成的工作都将被自动化。因此包括白领工作在内,我们所从事的工作将在20年内实现自动化。

肯尼斯·罗格夫01:02:36

任何重大生产力提升都是好事。若能快速实现,确实能解决问题。但历史表明,许多国家曾实现高增长——甚至超过利率水平——却仍陷入困境,因为财政政策并非机械运作,而是政治博弈。关键在于支出规模与利益分配。这绝非算术问题。

换个角度说:从未有国家因算术问题违约或陷入高通胀——不是因为无力偿债,也不是因为找不到解决之道。真正原因在于政治压力。

若通用人工智能以如此迅猛的规模降临,当前的民粹主义现象将相形见绌。

德瓦凯什·帕特尔 01:03:33

若人工智能将引发大规模通货紧缩——使所有商品价格大幅下跌——我们是否仍该印钞维持2%通胀目标?抑或这已无关紧要?

肯尼思·罗格夫 01:03:46

当然,我们仍可沿用现有货币政策框架。商品价格下跌并不必然导致通缩。通过刺激需求可形成最终价格的上涨压力。即便人工智能取代了劳动力,企业仍可通过大幅提升需求来抬高定价——不仅是替代人工的服务,还包括原材料等所有投入要素。

根本上,当生产力提升时,货币当局——美联储——更容易实现低通胀与良好增长的双重目标。这正是他们努力的方向,也减轻了其工作难度。当前形势向好,这在一定程度上缓解了他们实施通胀政策的压力。因此压力性质已然不同。

德瓦克什·帕特尔01:04:39

但在这种环境下,他们是否还应努力对抗通缩?

传统上我们需要通胀来清除食利阶层并对抗工资下行刚性。但如今人工智能已接管所有工作,这方面无需担忧。人类存在诸多需要通胀来矫正的偏见,但在人工智能时代,这些偏见是否依然存在?

肯尼斯·罗格夫 01:04:56

说得很有道理。坦白讲,凯恩斯奠定了现代宏观经济学的基石。他是位非凡的文艺复兴式人物,兼具左右脑思维。他最具颠覆性的洞见在于: 在凯恩斯之前,我们使用的是如今称为一般均衡模型的理论:供需关系通过价格波动实现平衡。但凯恩斯观察大萧条现象时提出质疑:“价格理应下跌,为何停滞不前?”这正是理论的基石。归根结底,问题核心在于人类行为,尤其是劳动者行为。

倘若存在这些温顺的人工智能企业——它们并非劳动力,而是企业主体——且这些企业愿意放任价格下跌,那么降价自然可行。当然,我们是否仍会保留部分人类劳动力?我无法断言。

但这引出了货币政策方向的关键问题:你认为利率将上升还是下降?上次出现通缩时——无论是需求通缩(如金融危机后)还是疫情期间——利率都出现了下降。我的直觉是,这次利率需要上升。我指的是实际利率,即扣除通胀因素后的真实利率。在这种情况下,通缩就不是那么大的问题了。你只需避免让利率上升过多。

上次利率基本降至零。这完全是另一条讨论路径。他们认为无法将利率降至显著负值区间,因而陷入某种瘫痪状态。当时存在通缩现象,或至少是通胀过低。货币当局自认掌握创造通胀的方法,但历来都依赖降息实现。当利率触底时,他们便束手无策。

我专门写过一本关于负利率的书,这又是另一回事了。如果我们设想实际利率上升,那么技术上并不存在太大问题。只需让利率涨幅稍小一些,就能避免通货紧缩。

01:07:11 – 利率为何会上行

德瓦克什·帕特尔01:07:11

您预期利率会上升吗?因为存在两个动因:其一是人们希望投资 未来,而未来蕴藏着巨大潜力。另一因素是,或许你希望当下增加消费,因为你确信未来财富终将增长,不如趁现在尽可能多花钱。

肯尼斯·罗格夫01:07:26

我认为AGI和AI会对利率形成上行压力,原因很简单:它们需要大量能源。传统上,大规模投资会推高工资,但像达龙·阿西莫格鲁这样的经济学家已证明可能出现相反情况—— 其实不难证明——若只是用机器替代劳动力,反而会提升资本价值,促使投资进一步扩张。

货币政策面临的压力将受此影响。理论上这会让政策更宽松。若利率因此降至零,虽存在有趣的理论问题,但听众可能不如我对此感兴趣。

德瓦克什·帕特尔 01:08:27

让我们深入探讨。若预期人工智能将推高利率,政府当下应如何布局?是否该趁当前利率水平锁定百年期债券?毕竟利率只会持续攀升。

肯尼思·罗格夫 01:08:43

这个我稍后会谈到。但首先,关于当前形势…我每天都在关注利率走势。或许听众中很多人并不关注。但让我们谈谈通胀调整后的利率。美国财政部发行了一种与通胀率挂钩的十年期债券。通胀挂钩债务仅占我们总债务的10%左右。虽然存在税收考量——并非完美——但这是衡量所谓实际利率的相当可靠指标。

疫情期间该利率曾跌至负1%。2012至2021年间平均值维持在零。如今已回升。对宏观经济学家而言,这堪称全球最关键问题——它影响资产价格、风险偏好及波动性

我认为这只是回归常态。这种情况本就可能发生。若你与我的年轻同事或外部学者交流,会发现对此存在相当大的争议。许多人认为“我们老了,没有创新能力了…”。我知道你一直在反驳这种观点,这很好。

我倾向于认为未来利率更可能上升而非下降。我指的是长期利率——美联储仅设定隔夜利率——这些长期利率由市场决定,我认为它们更可能走高。

但人工智能仅是其中一环。全球债务正持续攀升。全球多地重启军备竞赛,应对气候变化势在必行——若放任不管,终将面临气候灾难。民粹主义抬头、地缘政治裂痕加深,诸多因素交织。因此我认为利率将上升,但绝非仅因创新力增强或万事向好。

01:10:55 – 美国股市将表现逊色

德瓦克什·帕特尔01:10:55

您在书中提到预期美国股市将向海外股市转移配置。过去二十年美国股市持续跑赢海外市场,您认为这种格局将改变或出现再平衡。原因何在?

肯尼斯·罗格夫01:11:11

我明确指出:当美元极度强势时,欧元必然走强。对此我深信不疑。我早期的重要论文就聚焦汇率问题,因此本书也围绕汇率展开。当日元极度疲软或美元极度强势时——汇率走势本就难以预测——但我认为欧元将表现良好。欧洲市场存在巨大增长空间。

我认为书中的论述其实相当细致。特朗普当时尚未当选,但我指出欧洲似乎正面临重新军事化的压力。我意识到哈里斯很可能削减美国国防预算,这将给欧洲带来压力。重新军事化对欧元其实有利,能促进欧洲科技发展,并增强其在地缘政治体系中的影响力。

为便听众理解,需说明我的首部著作《国际宏观经济学基础》是本高度数学化的学术专著。理论上应进行多元化配置,不应将全部资金押注美国。我曾与兹比格涅夫·布热津斯基米卡·布热津斯基之父)合作拍摄视频——需说明的是,他堪称卡特政府的基辛格。我与他合作拍摄的视频由美林证券制作。

内容聚焦国际多元化投资的益处。他们让我表达的观点非常有限。我对当时的发言很满意。当时我没有从事任何咨询工作,只做学术研究。我不做演讲,不做咨询。虽然与央行有过些许交流,但从未为金钱服务。不过那次合作确实获得了报酬。该视频发行了五十万份。许多朋友戏谑我,说若不遵循自己的建议本可赚取更多。类似例子不胜枚举。

但我的直觉是:美国溢价——即认为其优势将持续扩大——这类现象存在均值回归。不过人工智能领域是否仍集中于美国,我尚不确定。

德瓦尔凯什·帕特尔 01:13:44

您预测标普指数将保持8%的增长率,但海外股票表现会更出色?

肯尼思·罗格夫 01:13:50

我谨慎地预测海外股票表现将优于美元计价股票。

德瓦克什·帕特尔 01:13:55

但并非因为美国股市增速放缓,而是海外股市表现更佳?

肯尼思·罗格夫01:14:00

要知道,有许多同行整天研究这个。我可不敢自诩专家。我的投资组合保持高度中立——毕竟我时常与政策制定者及世界领导人交流。我不想成为那种一边主张监管比特币,一边大量持有比特币的人(举个随机的例子)。

所以我不认为自己在这方面很在行。但确实,我认为国际多元化配置有其道理,尤其当前应关注欧洲市场——他们存在巨大的潜在增长空间。就像你来自的加州,当地隐约意识到监管可能过度,需要另辟蹊径;我感觉欧洲正在经历类似转变。

德瓦凯什·帕特尔 01:14:52

若从国际视角观察,假设你押注于“追赶效应”,我好奇如何进行回测。直觉上,贫困地区距离前沿越远,追赶就越容易——这逻辑似乎成立。但另一种直觉是:若长期落后于前沿,必然存在某种深层的内生性原因。

肯尼斯·罗格夫 01:15:11

您说得完全正确。例如亚洲整体治理问题更为突出,其市盈率偏低正是源于治理信任缺失。您分析得很有道理。

这种观点确实合理,许多人正押注于此。但我认为欧洲并非毫无希望,它完全有能力扭转局面。我举个比喻: 我是篮球迷。就在录制节目前,波士顿凯尔特人刚被纽约尼克斯痛击。部分原因在于我们的明星球员杰森·塔图姆受伤了。欧洲或许并未因此变强,但当美国队有人带伤上阵——我认为当前确实存在这种情况——你的表现就会更好。

德瓦克什·帕特尔 01:16:07

我们能否通过制度改革打破当前的政治僵局?两党执政时都倾向于增加债务,而这种倾向缺乏制度制约。

肯尼斯·罗格夫 01:16:26

许多人尝试过改革,例如设立财政委员会。我曾与杰出的经济学家朱莉娅·波拉克合作撰写关于财政委员会的论文,那时她还是本科生。这已是多年前的事了。多个国家尝试过这种机制,但均未奏效。

在这一领域投入最多的国家可能是英国。乔治·奥斯本担任财政大臣时设立了财政委员会。其核心举措是制定预测机制,防止政府随意调整预测数据。政府虽不必完全采纳其数据,但必须公开其预测结果。

我们的国会预算办公室则无法完全做到这点。国会预算办公室虽能力出众,但其结论必须符合国会要求。若国会宣称“我们将实施这项税收政策,但十年后将取消”,或” 我们推行这项政策,一切都将改变“,他们就必须采用这些参数。英国的版本则更具独立性。虽然对此有诸多抱怨,但这本质上是穷人的财政权威——只是有人说”你们的赤字状况是这样的”。这与我们的国会预算办公室本质相同,只是更具独立性。这很有帮助。但我认为这必须从选举制度入手,对吧?我们的竞选资金制度。我们是否实行任期限制?

德瓦克什·帕特尔01:18:05

你认为这会有帮助吗?我认为,如果任期更长,反而可能形成更长期的激励。鉴于许多赤字问题源于民粹主义,我不确定竞选资金改革能起到多大作用。

肯尼斯·罗格夫01:18:19

或许你说得对。我没有神奇的解决方案。这是全球性问题,至今无人找到特别有效的对策。唯一令人鼓舞的是这类危机具有周期性,或许这次终将结束。但眼下我们确实身处极其艰难的境地。

有人问我:“若你担任共和党总统顾问,会采取什么行动?面临哪些难题?”最大难题在于数年后民主党总统上台,他们将推行与你政策完全相反的路线。民主党总统同样面临此困境。如何建立政策延续性?如何制定民众可依赖的政策?

美国某些方面做得不错,因为政府相对弱势且不作为。私营部门能绕开政府限制运作。我并非说这很完美,还有许多事情需要做。但说到底,这已超出我的职责范围。

德瓦尔凯什·帕特尔 01:19:27

您可是国际货币基金组织前首席经济学家!

肯尼斯·罗格夫01:19:31

没错,但那是经济学范畴。这些问题纯属政治议题。英国脱欧就是民主失控的典型案例。多么愚蠢的主意。脱欧对错尚难定论,或许五十年后才能见分晓。但这种重大决策不该仅凭简单多数票决定。

必须达到三分之二的投票门槛,或者类似的标准。

我们这里有一个专门研究决策机制的政府部门。实际上,我认为已有相关实验。华盛顿州曾尝试过不同的投票选择方案。缅因州也做过类似尝试。这些理念确实存在,但距离形成共识还有很长的路要走。

德瓦克什·帕特尔 01:20:17

若您认为市场低估了债务问题的严重性,是否特别看好澳大利亚、挪威等债务占GDP比例较低的国家?

肯尼斯·罗格夫01:20:28

债务只是全球经济中的一个因素。以澳大利亚和加拿大为例,这类国家属于大宗商品出口国。它们深谙经济周期起伏的规律——有时阳光灿烂,有时寒冬漫漫。虽然不直接出口石油,但它们销售煤炭、天然气及部分石油。这些国家明白经济波动的本质,懂得未雨绸缪的必要性。

挪威则属于完全不同的级别。但确实,国家发展状况取决于诸多因素。债务较低的国家面临的问题较少。但加拿大和澳大利亚因大宗商品依赖导致收入流极不稳定,因此对债务问题更为敏感。

顺带一提,这些国家还背负着沉重的住房债务,比如加拿大就面临着严峻的住房债务问题。但我对美国持乐观态度。请别误会,我并非主张人人都该离开美国去加拿大——虽然我妻子有时这么想,但动机另当别论。

1960年代末我在欧洲独居下棋时,尼克松当选总统。我对尼克松的感受,就像你们这代人——至少千禧一代对特朗普的感受。当时我根本不想回美国。所以很多人都会这么说。但我认为美国很棒。

那些规模较小、不持有储备货币、无法获得海内外深厚借贷支持的国家——所有符合这些特征的国家都需要更加谨慎。

01:22:24 – 美元霸权的侵蚀

德瓦克什·帕特尔01:22:24

您认为这种所谓的“过分特权”是否可能在某些方面对我们不利?或许它诱使我们承担超出理智的债务。这种机制允许——甚至鼓励——我们过度举债,尤其当这种优势并非永久性时?

我们处于顶端地位,因此能获得低成本债务。但随着时间推移——若失去储备货币地位,或其地位稍有动摇——我们将被迫以更高利率再融资。因此短期内,我们被激励采取长期不可持续的行为。这种情况对我们不利,是否有政治经济学的解释?

肯尼斯·罗格夫 01:23:08

我听过这种论调,但基本认为这对我们极有利。不仅政府如此,全民借贷成本都降低了。我们真希望利率更高吗?如今申请房贷的人大多觉得利率已足够高,根本不愿再见其攀升。

我认为超额特权确实存在某些弊端,但无需深究。当政府背负37万亿美元债务时,能将利率降低0.5%至1%,这简直是天大的好事——这意味着数百亿美元的节省。

我们还能透视全球局势。我们的情报活动很大程度上依赖于超额特权和美元体系。看看我们的制裁措施。我曾提到,1960年代末我十几岁时不想回国,其中一个原因是越南战争令人恐惧。许多朋友被征召入伍,即使没阵亡,海洛因也摧毁了他们的头脑。

我并非宣称制裁已解决所有战争问题。但毋庸置疑,我们确实多次以制裁替代军事干预。这成效卓著。如今若丧失这种手段却未能认识其重要性,恐怕正犯下重大战略失误。

德瓦克什·帕特尔 01:24:37

这个问题很天真。我知道您在书中详细探讨过。我将用最直接的方式提问,请您阐释背后的逻辑:我们本质上是向世界其他地区提供纸张,却换取了实实在在的商品与服务——我该如何理解这种现象?

当然,从宏观层面看,可以说他们获得了流动性或金融网络,这正是其价值所在。但我不禁怀疑,我们是否在某种程度上占了便宜?

肯尼斯·罗格夫 01:25:06

需要指出的是,英国并非储备货币,也不是主导货币。一百年前他们曾是,如今却与我们相似——都面临巨额经常账户赤字。这恰恰是特朗普能与他们达成协议的原因,毕竟他们对我们本就无盈余可言。英国金融化程度甚至比我们更甚。

我们获得的核心利益在于:通过发行安全资产(若你愿意称我们的债务为安全资产)来借贷,同时投资于高风险领域。查尔斯·金德尔伯格撰写了关于危机的经典著作之一。我在麻省理工学院曾师从于他。他称我们为“世界的银行家”他说:“没错,我们存在赤字,他们持有大量我们的国库券,但我们正赚得盆满钵满。” 这与股权溢价原理相同:持有股票虽非绝对,但平均收益优于债券。这种机制成效卓著。

美元流动性极强,市场同样充裕。假设你是硅谷企业,规模足以在国际市场发行债券。虽然不确定硅谷企业是否真的发行过债券,但假设你发行了,投资者会抢购——因为债券以美元计价。若同一家公司在法国发行,那就没戏了。他们不愿持有欧元债券,即便你承诺以美元偿付,他们仍不买账,因为公司收入并非美元。因此美元表现堪称惊艳。这点曾引发诸多争论。

斯蒂芬·米拉恩是哈佛博士,才智过人,现任特朗普政府经济顾问委员会主席。他提出精妙论点:正因全球热捧美元,反而削弱了我们在其他领域的竞争力。他认为这部分导致制造业空心化,后果极其严重。

这种说法确实有些道理。首先,美元汇率并非始终坚挺。其次,正如我提到的,英国也面临类似处境。我们在许多领域具备优势——科技领域尤为突出。科技实力无疑推高了美元汇率。我们在生物技术、农业等诸多领域同样出色,这些都支撑着美元汇率。而当你精于这些领域时,制造业就更难发展——它推高了所有产品的成本。

总体而言,我们承担着银行职能,这才是关键所在。这种状态自50、60年代便已形成。这正是所谓“超额特权”的核心所在。

德瓦克什·帕特尔 01:28:07

查尔斯·曼恩有本极具启发性的著作,书名是《1493》。书中描述17世纪明朝时期,中国不断发行各类纸币导致货币体系极度动荡。

当时中国民众渴望可靠的交换媒介。于是西班牙从新大陆运来的数万吨白银,换取了中国出口的大量实物商品。从西班牙角度看,他们获得满船实物商品,付出的只是交换媒介。这种模式与当前情况有多大相似性尚难断言。肯尼思·罗格夫 01:28:47厄瓜多等国实行美元化政策,它们实际使用美元且需要美元储备。我们能让这些国家持有美元——虽非白银,但我们印钞,而它们只需支付极低利率。他们持有的是国库券,而非实物美元。对我们而言这简直太棒了,债务成本因此大幅降低。你提到的这个例子很有意思。中国其实是印刷术的发明者,比欧洲人更早创造了纸币。但后来呢?他们大量印钞导致严重通胀。我没读过那本书,但这确实是个绝佳例证。我知道他们使用银币,但这个数字比我听说的还要大。德瓦克什·帕特尔 01:29:38最后一个问题。您书中很大篇幅讨论了不同时期看似能真正挑战美国的国家,如苏联、日本和当今的中国。我们已探讨过它们为何未能成功。我们可以深入探讨任何一个案例的细节,但从宏观角度看,是否存在某种普适性解释,能说明美国为何始终保持如此强的竞争力?为何如此难以被取代?肯尼斯·罗格夫01:30:09我们不仅始终保持领先,更像这样持续发展。请记住,1970年代欧洲曾试图脱离美元体系。但世界其他地区开始全球化进程——中国融入全球,苏联最终也加入其中。美元由此殖民了这些地区:它们持有美元债务,使用美元结算。其影响力远超大英帝国鼎盛时期英镑的全球覆盖。这般景象令我等学者惊叹不已。若回顾当时众人的论调,无非是美元持续走强,美国在全球各领域的份额不断扩大。诚然,我们在某种程度上确实幸运。我们谈及日本,我认为中国坚持美元体系过久是个重大失误。欧洲本应推迟希腊加入欧元区,否则其危机不会如此严重。因此,对手的失误让我们受益良多。我们确实做过许多正确的事。但美国人常忘记的是,我们屡屡受益于运气。我担忧这份幸运正在消退。我引用一位棋手的话——伟大的本特·拉森,在我参赛时期他是鲍比·菲舍尔的副手。当被问及“下棋时更希望幸运还是实力?”他答道:“两者兼备。” 美国人似乎忘了这点。他们知道我们实力强劲,这点毋庸置疑。我们总谈论活力——这个至今支撑我们的秘密武器。但幸运同样不可或缺。若重来一次,结果未必相同。德瓦克什·帕特尔 01:32:01这种幸运令人心惊。当其他国家稍有失误就可能彻底落后时,这应当提醒我们:国家陷入发展困境其实轻而易举。这就像费米估算所揭示的——我们未曾发现外星文明的事实本身就令人不安,因为这暗示存在某种筛选机制,使文明延续变得异常艰难。肯尼斯·罗格夫 01:32:29

但愿不会,不过且看后续发展。美元和美国经济的表现确实令人惊叹。我希望这种态势能延续,但当前我们正在推行许多政策……我不认为特朗普是美元温和贬值的根源,这种说法完全错误。即便哈里斯当选,这种趋势也会发生。但现任总统推行解放日等政策……我接触过科技界人士,他们认为这极具远见。我理解这种观点,我们大可就此展开辩论。我很乐意与他们探讨。我们谈及法治。好吧,我身处哈佛大学。自然会产生这种感受。但我们也讨论过总统能否撤销所有独立机构。过去外国投资者在美国投资时,至少确信能收回本金。股票或许会下跌,购置的房产可能贬值,但资金终将得到保障。我认为这方面我们曾比多数国家更具特殊性。如今这点已成疑问,毫无疑问。这本书探讨的内容远不止“超额特权”,涵盖美国发展的全景。但当我向人们介绍书中观点时——”我不知道,我看着这些数据,观察中国的动向,阅读欧洲央行数字货币的报道。我觉得我们正在走下坡路。“我把书给学者看,给金融界人士看,给科技界人士看。他们都说:”你疯了。”他们不愿去想这些。我不知道自己是否正确。但我认为值得思考。德瓦尔凯什·帕特尔01:34:16我在中国时接触过当地风投人士,他们普遍情绪低落。连创业者都说融资困难。我追问原因,他们表示投资者不愿出手——即便投中了下一个阿里巴巴,谁能保证政府不会叫停IPO?肯尼斯·罗格夫01:34:36他们确实陷入困境。在当前环境下,欧洲作为伤员较少的队伍前景光明。但中国…这种状况不会永远持续,不过未来五到十年他们恐怕仍将举步维艰。德瓦克什·帕特尔 01:34:53好的。非常感谢您接受我的访谈并解答所有问题。我肯定提出了许多误解和幼稚的问题。感谢您的耐心,也感谢您在这个话题上给予我的启发。肯尼思·罗格夫 01:35:03不,能参加您著名的播客节目是我的荣幸。当我告诉年轻人要和你对话时,他们纷纷表示:“你和德瓦尔凯什对话?赶紧从这里飞回去!无论怎样都要去!”很高兴你最终能来。这次对话非常有趣,也很高兴能更深入了解你的工作。德瓦尔凯什·帕特尔01:35:28荣幸之至。能专程前来与您对话实属难得。76人点赞∙3人转发关于本视频的讨论奥里奥尔 6月13日德瓦尔凯什,这篇论文或许能引起您的兴趣。它驳斥了“过去三十年日本表现远逊于其他发达经济体”的观点。关键在于老龄化人口扭曲了宏观统计数据。但每小时产出增长始终强劲。论文名为《劳动国家的财富》,作者是赫苏斯·费尔南德斯-维拉韦尔德、古斯塔沃·文图拉和姚文。https://www.sas.upenn.edu/~jesusfv/Wealth_Working_Nations.pdf点赞 (2)回复分享马克斯·贝里6月12日精彩集锦赞(1)回复分享约翰·塞纳6月14日当嘉宾礼貌反驳后,德瓦尔凯什仍固执坚持“政府无能”论调,暴露其幼稚与浅薄。鉴于他年轻且不谙政事,我选择宽容。但希望他今后能避免在缺乏事实依据的情况下草率下结论。

6月22

是的,我之前从未听过他的节目——因为罗格夫才点开这期访谈…整体而言,他对问题的浅薄程度令我失望。

罗格夫终究是罗格夫,但多次错失绝佳追问机会。

朱莉娅

6月14

6月12

虽然我认为他依然错了。比如购买力平价的调整并不能改变你用名义货币购买石油的事实

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汤姆·V

6月12日

西方似乎将中国体系中的稳定缓冲视为弊端,他们希望中国经历西方的繁荣与萧条周期。我们正在美国目睹繁荣与萧条周期的后果。两极分化正动摇着我国根基。这正是“发现教义”的典型傲慢。我们过度追求效率,却忽视了体系稳定性。这场效率十字军东征正催生当前的债务危机与贸易战。

戈弗雷·罗伯茨

6月12日

“中国陷入困境:为解决当前问题,他们持续依赖金融压制和国家主导投资,这只会使局面恶化。”

所谓“金融压制”=96%的住房自有率?

所谓“金融压制”=90%的中国人比美国人更富裕?

所谓“国家主导投资”——正是它无可争议地使中国成为头号经济体——竟会导致恶化?(高速铁路这类“白象工程”的投资回报率,据彼得森研究所称是6%,世界银行称是8%,取决于你相信谁的数据)

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Japanese Press (Kyodo): U.S. Public Diplomacy, Which Has Spread the Appeal of Freedom Through Education and Cultural Exchange, Is Rapidly Weakening Under Trump

U.S. Public Diplomacy, Which Has Spread the Appeal of Freedom Through Education and Cultural Exchange, Is Rapidly Weakening Under Trump

Interview with Ann Walker

By Kyodo News Editorial Board Member: Shōgo Kawakita

U.S. public diplomacy—through which the United States has promoted the ideals of freedom and expanded its appeal via education and cultural exchange—is undergoing marked deterioration under the Trump administration, according to multiple surveys. This is the first of a two-part series examining public diplomacy policy and its aftermath. We spoke with Ann Walker, co-chair of the U.S. Advisory Commission on Public Diplomacy and a visiting professor at Georgetown University.

Vivian Walker, co-chair of the U.S. Advisory Commission on Public Diplomacy, said:
“Professor Nye pointed out that leaders tend to be drawn to hard power, but in the long run, soft power often proves superior.” (Photo: Rick Friedman for Kyodo)

Following President Trump’s inauguration, America’s international image has worsened. Public diplomacy had long been a major policy tool for advancing U.S. national interests through diplomacy—whether in formal negotiations between states, informal conversations among diplomats, or statements and speeches by heads of state and cabinet officials.

“Diplomacy is communication,” Walker said. “All diplomacy is based on persuasion.”

“However, the Trump administration has turned away from soft power—the ability to attract others through ideals and language—and from public diplomacy, which seeks to influence foreign public opinion through outreach.”

Many people have criticized this retreat. Among them was Harvard University professor Joseph Nye, a leading advocate of soft power, who passed away at the age of 87 on May 6, 2025. After his death, the diplomatic journal Foreign Affairs published his posthumous essay titled ‘The End of the Long American Century.’ In it, Nye wrote that “the president appears not to understand soft power.”

That assessment seems to hit the mark. The Trump administration dismantled the U.S. Agency for International Development (USAID), which had long supported American foreign aid, and drastically reduced the U.S. Agency for Global Media (USAGM), which had served as a platform for promoting freedom and democratic values abroad.

“My view is different,” Walker said.

“Like Nye, I have spent time in both academia and government. Professor Nye, who left a profound legacy through foreign aid, public outreach, and diplomacy, was a heroic figure to me. But on this point, I rarely find myself disagreeing with him as much as I do here.”

“I think President Trump actually understands soft power very well. Just look at his television show The Apprentice. He built an image of himself as a successful businessman, spoke in language people related to, and attracted a huge audience. That is a textbook example of soft power—persuasion and attraction.”

“So if you ask me whether Trump understands the importance of persuasion and image in moving people, I would answer: absolutely, he understands it. He also understands the importance of America’s international image.”

“Then what is the problem? If he recognizes the importance of persuasion and image, why are soft power and public diplomacy being rolled back? That is the core question.”

Walker’s conclusion is that the problem lies in Trump’s impatience and fixation on immediate results.

“Building relationships with foreign governments and peoples through aid, outreach, and diplomacy requires patient effort—planting seeds, cultivating fields of mutual understanding, and steadily nurturing the seedlings of soft power.”

“These efforts take a very long time. It takes even longer for results to appear, and there is no easy way to quantify them. Developing soft power requires years—often decades—of patience.”

“Trump’s diplomacy runs completely counter to this. Instead of steady, long-term engagement, it prioritizes short-term deals, seeks quick wins, and demands immediate, visible results.”

“I call this a ‘lack of strategic patience.’ While misunderstandings about public diplomacy have existed before, the Trump administration represents the most dramatic and troubling failure to date.”

Programs such as the Fulbright scholarships, which since World War II have promoted the ideals of freedom and democracy, and international broadcasting such as Voice of America—products of painstaking work by earlier generations—are now being undermined.

“A country’s soft power cannot be created overnight,” Walker emphasized.


自由の理念の発信や教育・文化交流を通じ、魅力を広めてきた米国のパブリック・ディプロマシー

「トランプのアメリカ」で著しく弱体化
——アン・ウォーカー氏に聞く

複数の調査によると、自由の理念の発信や教育・文化交流を通じて米国の魅力を広めてきたパブリック・ディプロマシーが、「トランプのアメリカ」で著しく弱体化している。今回から計2回にわたり、パブリック・ディプロマシー政策の現状とその影響を検証する。

話を聞いたのは、パブリック・ディプロマシーの強化に取り組む米公共外交評議会の共同会長で、ジョージタウン大学の客員教授も務めるアン・ウォーカー氏。

トランプ大統領の就任後、米国の対外イメージは悪化している。外交は、国家間の交渉であれ、外交官同士の非公式な会話であれ、首脳や閣僚による声明や演説であれ、米国の国益を推進する主要な政策ツールだった。そうした取り組みは明らかに後退している。

「外交とはコミュニケーションだ。あらゆる外交は『説得』に基づいている」

「しかし、トランプ政権は、理念や言葉の力で相手を魅了するソフトパワーや、対外広報を通じて相手国の世論に働きかけるパブリック・ディプロマシーから手を引いている」

これに対し、多くの人が批判している。その一人がソフトパワーの提唱者で、2025年5月6日に87歳で亡くなったハーバード大学のジョセフ・ナイ特別功労名誉教授だ。

ナイ氏の死後、外交誌『フォーリン・アフェアーズ』には、「長い米国の世紀の終焉」と題する遺稿が掲載された。ナイ氏はその中で「大統領はソフトパワーを理解していないようだ」と書いた。

その指摘は正鵠を射ているように思える。トランプ政権は、米国の対外援助を支えてきた国際開発局(USAID)を解体し、自由や民主主義の発信拠点となってきた米グローバルメディア局(USAGM)も大幅に縮小した。

「私の見方は違う」

「私もナイ氏と同じく大学と政府の両方に身を置いてきた。対外援助や広報、外交を通じて海外の政府や国民との関係を築くという点で、大きな足跡を残したナイ氏は、私にとって英雄のような存在だ。しかしこの点については、珍しく彼の意見に同意できない」

「トランプ氏はソフトパワーを非常によく理解していると思う。彼のテレビ番組『アプレンティス(見習い)』を見れば分かる」

「あの番組で、彼は成功した実業家というイメージを作り上げ、人々の言葉で語りかけ、数多くの視聴者を引き付けた。説得と魅力を旨とするソフトパワーの好例と言える」

「だから『トランプ氏は人を動かす上で説得の重要性を理解しているか』と問われたら、『絶対に理解している』と答える。対外イメージの大切さも、もちろん分かっている」

「では、何が問題なのか。説得とイメージの重要性を認識しながら、なぜソフトパワーやパブリック・ディプロマシーが後退しているのか。その点こそが問題の核心だ」

「結論は、性急に結果を求めるトランプ氏の姿勢にある」

「海外の政府や国民との関係を築いていくには、労をいとわず種をまき、相互理解という畑を耕し、ソフトパワーの苗を地道に育てていく必要がある」

「こうした取り組みには長い時間がかかる。成果が出るまでにはさらに時間がかかり、その成果を数値化するすべもない。ソフトパワーの育成には長年に及ぶ忍耐が求められる」

「ところが、トランプ外交は全く逆行している。地道な取り組みよりも目先の取引を重視し、短期間のディールを目指し、即効性を求め、すぐにアピールできる成果を追い求める」

「私はこれを『戦略的忍耐の欠如』と呼んでいる。パブリック・ディプロマシーに対する認識不足はこれまでも見られたが、トランプ政権は最も劇的で憂慮すべき失敗を犯している」

「フルブライト・プログラムのような留学・奨学金制度も、第2次世界大戦中から自由と民主主義の理念を発信してきた国際放送『ボイス・オブ・アメリカ』も、先人の地道な営為のたまものだ。長い取り組みを経て米国のソフトパワーは築かれてきた」

「一国のソフトパワーは、一朝一夕に生み出されるものではない」

(共同通信編集委員・川北省吾、写真:リック・フリードマン)

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2025: 《俄罗斯如何破坏中国的崛起 — 此外,俄罗斯和中国今后将何去何从》美国海军战争学院莎拉·佩恩教授讲座

德瓦克什·帕特尔(Dwarkesh Patel) : 在这场讲座中,军事史学家莎拉·佩恩阐释了俄罗斯——尤其是斯大林——如何彻底阻断了中国的崛起之路,使其发展进程被延缓逾一个世纪。

这堂课对我尤为引人入胜,因为在我看来,中国内战堪称二十世纪三大关键事件之一。要理解这场战争的成因,就必须洞悉斯大林在整个事件中的作用。

观看请访问YouTube;收听请通过Apple PodcastsSpotify

一下有美国海軍戰爭學院莎拉·佩恩教授講座與訪談文字紀錄DeepL 英汉语机器翻译。文字紀錄英文原文在    Sarah Paine – How Russia sabotaged China’s rise Plus, where Russia and China go from here   可以找得到。Substack上Dwarkesh Podcast还有其他莎拉·佩恩教授講座

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时间戳

(00:00:00) – 俄罗斯如何利用中国的弱点

(00:22:58) – 斯大林之后的中国崛起

(00:33:52) – 俄罗斯帝国主义

(00:45:23) – 中俄两国的生存困境

(01:04:55) – 问答环节:中苏分裂

(01:22:44) – 斯大林从二战汲取的教训

文字记录

00:00:00 – 俄罗斯如何利用中国的弱势

莎拉·佩恩00:00:00

人们担忧中俄能否建立持久关系。看这张照片,两国关系更像冰封而非融洽,小国正拽着大国的胳膊。这令人费解。

恰巧我的专业领域正是俄中关系。这是我在研究生院的研究课题,我的博士论文追溯了两国边界从19世纪中叶鸦片战争时期,直至1920年代外蒙古被夺离中国势力范围并纳入俄罗斯势力圈的历史脉络。因此探讨这个特定主题颇有趣味。

正式开始前,我将说明术语定义。我将用“俄罗斯”统称沙皇时期、苏联时期及现代时期——正如你们用“法国”涵盖其历代君主制与共和制政体。布尔什维克自诩特殊,故为特殊政权创造专属词汇:苏联、苏维埃联盟。但事实证明这些政权终属短暂,俄罗斯才是永恒的存在。术语说明至此结束。

在推测未来之前,我们唯一的数据源就是从此刻向后追溯的过往事件——即人们所称的历史。仅限于过往事件。仅此而已,这就是我们的数据库。因此我将考察19世纪中叶至20世纪中叶俄罗斯强盛而中国衰弱的时期,随后权力平衡的逆转,以及近现代中国强势而俄罗斯衰微的阶段。

中俄两国在各自历史后期才相遇。当俄罗斯人追逐皮毛——当时利润极为丰厚——时,正值两国王朝末期。这促使他们向太平洋扩张。但直到19世纪中叶,两国关系始终零星交集,而我的叙述将从这一时期开始。

18世纪时,中国强大而俄罗斯衰弱。但这种局面并未持续太久。两大帝国遵循着大陆帝国的生存法则。若想在大陆世界立足——它们历史上都属于此类——就必须避免两线作战,因为邻国众多,任何一个都可能随时发动进攻。若遭群起攻之,后果不堪设想。因此必须逐个击破,同时避免强权国家毗邻而居。

这正是两国关系的核心症结。今日盟友可能成为明日敌人,这确实是个棘手问题。那么如何解决?答案是:依次应对邻国。先制造其衰败,再瓦解崛起者,吞并衰败者,并在其间建立缓冲区。静待时机成熟便伺机吞并。这正是弗拉基米尔·普京的战略。

但若玩这种游戏,你终将被失败国家包围——因为你不是忙于颠覆它们,就是忙于吞并它们。好奇者或许会问:俄罗斯和中国被这么多功能失调的地区包围,是运气不好,还是同谋?

此外,世上不存在持久的同盟关系,因为邻国终将明白霸权国家长远只会带来麻烦。更无人能给出扩张止步的忠告。正因如此,俄中两国皆以过度扩张、行径过激著称。这或许能解释它们漫长血腥历史中周期性崩溃的部分原因。

极高的死亡率。在否定这种模式前, 你已在叙利亚乌克兰的实时剧本中目睹其运作。总有人在践行这种模式。这也解释了为何所有古代遗迹终成废墟——此类战争具有毁灭性。但无论如何,这正是欧亚大陆诸多伟大文明的根基所在。他们向来如此行事。

我的叙事始于19世纪中叶,当时中国正遭受一系列叛乱的侵袭,几乎被摧毁殆尽。俄罗斯人趁机而入。还记得大陆帝国的第二法则吗?不与强国为邻。俄国人屡次阻挠中国崛起,通过操纵中国采取极度损害自身利益却极利于俄国利益的行动。中国人花了很长时间才看清真相。这段时期政权更迭频繁,局势动荡,但到1949年毛泽东实现中国统一时,他们终于认清了本质。

接下来我将逐一剖析这些案例,首当其冲的是鸦片战争——这场由英法联军发动的战争,旨在强迫中国接受其贸易条款。这恰与中国动荡时期两大起义——太平天国捻军起义——的爆发期重合。

此处展示简化版历史图表。起义浪潮始于18世纪末。所谓“起义”实为误称,本质上是内战。

或为少数民族寻求脱离帝国独立,或为推翻北京中央政权。红色标记为叛乱高峰期,白色区域则为规模最大的起义。中国面临两线作战的困境:既要抵御欧洲列强,又要应对国内动荡。事实上,中国战线过多,已无力周旋。

俄国人对清朝说:“嘿,我们可以替你们对付英法解决问题,你们专心处理内政。但需要你们签署几份文件——1858年《瑷珲条约》1860年《北京条约》。” 结果呢?他们把中亚和太平洋沿岸的大片土地割让给了俄罗斯。

清朝对地理概念很模糊。他们被其他问题缠得团团转,根本不明白欧洲人把这些纸上条约当成永久性文件。他们以为只要先把国内乱局收拾好,日后就能收回这些领土。

好,第二个例证将揭示俄国斡旋如何持续搅动中国乱局。在甲午战争中,日本痛击中国,将其逐出朝鲜属国。随后日军又觊觎辽东半岛的领土。清朝遂向俄国求援,意图制衡日本以保住亚洲大陆的这片疆土。

俄国拉拢法国、德国组成所谓三国干涉,合力对抗日本。日本面对三大国威慑,当即表态“恕难从命”,随即撤军。从中国视角看,至此尚属顺利。然而俄国随即占领了这片刚被拒绝授予日本的领土

事态进一步恶化。所有欧洲列强——或多数列强加日本——纷纷涌入中国,割据出大片租界。中国在数代人时间里都无法对领土行使完全主权。原本只需面对一个相对狭小的日本租界,如今却处处都是外国势力。想想大陆帝国的第二条法则:不与强国为邻。而此时中国显然违背了这条法则。

布尔什维克掌权后同样践行这些法则。他们上台时实力薄弱——俄罗斯在第一次世界大战中已遭重创。直到1922年,布尔什维克才结束惨烈的内战。当时与现在相同,他们依赖一种成本极低却极其有效的战略传播策略。

俄国人深谙各国民族情感的分歧点,精于炮制煽动民众相互仇视的宣传。他们的宣传将助长中国人对日欧的憎恶,而俄罗斯更严重的掠夺行径——诸位已见识过的那些——却能悄无声息地进行。

列夫·卡拉汉这封信。这位前副外长在1919年向中国外交部递交了《卡拉汉宣言》。他宣称:“我们不是帝国主义者,而是布尔什维克。我们将收回不平等条约夺走的领土,永远做你们的盟友——与那些邪恶的帝国主义国家截然不同。我们已非昔日模样。”

中国人看到这封信时心想:“哇,这些布尔什维克推翻了帝国主义政府,正在重建支离破碎的国土。”这让中国人看到了希望——他们也能如此。这可能是值得效仿的典范,也是可能提供帮助的导师。

但关键细节在于:当布尔什维克在内战中占据上风后,他们大幅缩减了承诺内容。最初的承诺是“废除条约,中国收回所有领土,无需支付赔偿”。而在俄罗斯外交部电报发往中国外交部的新版《喀喇汗宣言》中—— 我曾在台湾档案馆见过这份文件(或至少是其副本)。俄方回复称:“我们愿就此展开磋商,将举行谈判。”

但事实是,这些租借地直至20世纪中叶——1950年代——才归还,此时西方列强已几乎收回所有租借地。此事非同小可。提及帝国主义时期的中国租界,人们往往想到英国的香港。但香港实际面积不大,之所以为人所知,是因为它创造了大量财富——至少曾经如此。

而俄国租界规模庞大,虽未创造财富(这又有什么新鲜的?),但其面积远超其他任何国家。而《喀喇汗宣言》正是“中苏友谊”神话的起源——宣称俄国人曾善待中国人。当时中国外交部官员本应更清楚真相,但他们的政府十年内就被推翻了。这些文件大概就在档案室里积灰了。

我关于阻碍中国崛起的第四个例子,涉及中国国民党中国共产党之间的第一次国共合作。这位国民党领袖兼军队统帅——蒋介石将军——曾领导北伐战争,通过击败或收编军阀,至少名义上实现了中国统一。图中不同颜色标注着主要军阀的势力范围。

此前南方的分裂或独立企图,皆因缺乏精锐军队而失败。但俄罗斯改变了局面。它提供援助、武器、专业技术和组织架构,资助位于广州的黄埔军校。这所学府培养的军官——无论共产党员还是国民党成员——不仅领导了统一事业,其中部分内战时期的将领更促成了中国最终的统一。

但俄罗斯的援助是有条件的。援助国民政府的前提是:国民政府必须接纳共产党人加入国民党。这便是“统一战线”的本质。此时恰逢苏联国内激烈的权力继承斗争——独裁政权的弊病正在于此,其权力交接机制严重缺陷,这正是选举制度的优势所在。而当时的斯大林托洛茨基正为争夺最高权力展开激烈角逐。

斯大林奉行一国社会主义,主张俄罗斯应专注国内发展;而托洛茨基则宣称:“胡说!我们必须推动世界革命,唯有海外革命兄弟相助,我方革命方能存续。”值此之际,中国共产党的成员们却急于脱离统一战线。为何?因为这使他们与国民党控制的军队近在咫尺。他们开始担心自己是否即将被杀害。俄国人说:“不不不不,没问题,你们留在统一战线里。”于是他们照做了。

蒋介石如猛虎般席卷中国。我已展示过地图。他抵达上海大本营后稍作停留,随即调转枪口对准共产党人,大肆屠杀。此时毛泽东不得不另辟蹊径,转而制定农村革命路线——城市革命已然行不通。斯大林随即利用此局势在党内斗争中击溃托洛茨基,他宣称:“看吧,一国革命行不通,海外革命更不可能。”无数中国人的鲜血,恰恰印证了斯大林的论断。

俄罗斯还曾以另一种方式阻断中国崛起之路。满洲地区的铁路系统便是例证。1904至1905年日俄战争后,日本战胜俄国,以赔偿金形式从俄国手中获得其在中国境内修建的铁路网——即该铁路网的南部区域。

日本随后对铁路、基础设施及当地政界投入巨资。但当地军阀统治者显然未能充分满足日方需求,遂于1928年遭暗杀。其子张学良于次年(1929年)决定向俄索回铁路。俄方如何应对?这并非《喀喇汗宣言》的任何版本。俄军调遣逾十万大军,坦克、飞机等全副武装,猛烈打击此人。俄国人保住了铁路。因此若想延缓中国崛起,此类手段确实能阻滞中国崛起。

但现在要讲大陆帝国的第一法则:绝不打两线战争。快进到1930年代,斯大林认为自己很可能面临西德东日两线作战的局面。他为何会有此想法?源于反共产国际条约共产国际是共产主义国际的简称,即苏联的对外扩张计划。该条约于1936年由日德两国签署。

斯大林惊觉:“糟了,他们要对付我。”他倾尽手中所有中国牌——而他握有大量筹码。若想瓦解邻国以延缓其崛起,就该资助内战双方及所有中间势力,任其相互厮杀。

于是他倾尽所有筹码。他真正想要的是让国民党停止与共产党内战,反之亦然,转而联合抗击日本。只要斯大林提供常规援助——他确实提供了——他们就愿意合作,但他们以为斯大林还会派兵。他们没明白。一旦他们加入, 俄罗斯便抽身而退。

斯大林为中日双方设计的剧本完美奏效。当国民党与共产党在第二次国共合作中再度联手,日本便暴跳如雷。他们随即在1937年发动大规模战争,将势力扩张至俄罗斯南部地区。

因此日德两线作战的局面始终未能形成。斯大林大获成功,而中国则不然——正因中国在与日作战,俄军才得以免于参战。这代价是数百万死亡、数百万流离失所,中国崛起之路再度受挫。

下一个案例。根据雅尔塔协定,苏联终于在亚洲战场参战。此时为时已晚。在战争最后几周的八月风暴行动中,苏军投入150万士兵,这是二战规模最大的军事行动之一。他们迅速占领满洲里。这本是正常战事,但异常之处在于:他们同时掠夺了满洲里的工业基地——这绝非常规作战手段。

他们掠夺了83%的电力设备运回俄罗斯,致使满洲里陷入黑暗;86%的矿业设备、82%的水泥生产设备、80%的金属加工设备亦遭劫掠。此外还掳走64万日本战俘,使其沦为长达数十年的奴工——若他们还能活着回国的话。他们还占领了北方诸岛,这些岛屿至今仍是争议焦点。

但细想之下,若要追究赔偿责任——无论称之为赔偿还是补偿——中国以各种形式与日本交战长达十五年之久。苏联只是在战争尾声客串登场。因此若因日本在战争中的所作所为需要赔偿,理应由中国而非苏联接收这些战利品。

此外还有另一个例子:斯大林不仅夺走了工业基地,还把蒙古也据为己有。这怎么说得通?雅尔塔协定明明规定蒙古应维持现状。那么问题来了:何为现状?北部的俄罗斯势力范围,南部的中国持续控制。蒙古历来同时属于这两个势力范围,它曾是清帝国的一部分,从未属于俄罗斯帝国。更何况斯大林早在1944年就已吞并图瓦。这片区域在地图上看似狭小,实际面积却超过英国。那里蕴藏着大量黄金,苏联早已将其变现。

若将俄国自1858年《珲春条约》和1860年《北京条约》起从中国势力范围夺取的领土相加,再快进到将外蒙古从中国势力范围剥离,其真实规模远超密西西比河以东的全部美国领土。这绝非寻常的领土扩张。若论破坏某方利益,此举堪称典范。

公平地说,俄国人确实将日本在满洲储备的军事装备移交给了共产党,尽管过程缓慢。他们还迟迟地培训了共产党人如何使用这些装备,以及如何运营满洲铁路系统。作为一个农村农民运动,中国共产党人怎么可能懂得这些?他们根本不懂。

这种常规援助使共产党得以调动兵力,将轻装游击队转型为重装常规部队,为国共决战奠定基础。正如黄埔军校之于国民党,这正是共产党取胜的关键助力。

因此无论是共产党还是国民党,都未曾抱怨满洲的工业空心化。共产党人很可能用工业换取了常规援助;国民党则用工业及外蒙古自治权换取斯大林不援助共产党的承诺——而斯大林旋即背弃了这个承诺。

毛泽东开始察觉事态异常。当他在内战攻势中势如破竹时,战场上正上演着惨烈的厮杀。1940年后中国内战的真正转折点出现在1948年——那年毛泽东率军南下,如猛虎般势不可挡。当他即将抵达长江时,斯大林警告道:“老兄,在长江边歇歇脚,别把自己累垮。”毛泽东置若罔闻。斯大林或许想在长江以南保留国民党的残余政权,通过分裂中国来削弱邻国实力,但毛泽东对此毫无兴趣。

第十个例子是朝鲜战争。观察朝鲜战争,首年是运动战,部队在半岛上上下下反复拉锯,其机动性令人难以置信。但随后两年陷入僵局,令人困惑:“究竟怎么回事?为何不早日结束战争?”双方都承受着巨大伤亡。

事情的真相是这样的:当中国介入朝鲜战争后,双方暂停攻势开启和谈之际,中国人(朝鲜人可能也参与其中)展开了惊人的隧道工程,构筑起庞大的地下隧道网络。这意味着韩国和联合国军永远无法再逼近苏联边境。

自此斯大林认定自己掌握了低风险高回报的战略:既能削弱美国,又能延缓中国崛起。在朝鲜打到最后一个中国人,还有什么不值得欣喜的?斯大林认为这极具战略价值,既能延缓中国发展进程,又能使孤立无援的中国(除苏联外别无盟友)更紧密地依附于苏联。当西方敌人在朝鲜耗尽精力时,苏联便能获得重建的喘息空间。

若将所有因素综合考量——中国内战、朝鲜战争、苏联对内战双方时断时续的援助、其对双方的两面手法,以及外蒙古与满洲工业基地的处置, 斯大林建议毛泽东在长江停步,却又在朝鲜战场战至最后一名中国士兵——这一切都符合大陆帝国的第二法则:不与大国为邻。

00:22:58 – 斯大林之后的中国崛起

莎拉·佩恩00:22:58

斯大林之死堪称他人生最辉煌的时刻,俄罗斯再未出现如此强势的领袖。此时毛泽东已洞悉苏联不愿看到中国强大。他虽需暂且忍耐,却深谙局势本质。毛泽东的怨念日益累积。他不仅不满斯大林的附庸式对待,更以自身履历自认应成为国际共产主义领袖。

斯大林继任者尼基塔·赫鲁晓夫却断然拒绝。赫鲁晓夫的资历远不及毛泽东——后者刚通过统一中国完成大陆统一。这绝非赫鲁晓夫所能企及。毛泽东同样无法忍受赫鲁晓夫的内外政策。

国内方面,赫鲁晓夫推行去斯大林化。毛泽东对此深恶痛绝——他奉行个人崇拜,绝不愿效仿此类举措。赫鲁晓夫还主张与西方和平共处——至少名义上如此——而毛泽东正深陷以激烈反西政策为根基的文化大革命。双方还因谁在越南战争中援助北越、谁将因此获得功劳而争执不休。种种矛盾交织。

赫鲁晓夫对中国人也有自己的不满。他环顾四周,看到美国在全球各地建立军事基地,其盟国允许美国驻军。而中国境内几乎没有苏联基地——那些遗留的租借地——中国却想要收回。赫鲁晓夫对此无法理解。

他真正无法理解的是1954年1958年的两次台湾海峡危机——当时毛泽东开始向紧邻大陆海岸的国民党控制岛屿投掷弹药。赫鲁晓夫气得发狂,因为毛泽东事先未作任何警告。顺带一提,此类行动可能触发《中苏友好条约》中的安全条款,进而引发核连锁反应。

就在事态发展之际,赫鲁晓夫提出建立联合潜艇基地。他认为既然要承担这些风险,就需要在不同地区部署潜艇。毛泽东断然拒绝:“绝无可能。”赫鲁晓夫当即表示:“那原子弹设计图你们休想得到。”

1960年事件公之于众,引发各方愤慨。中苏两国在越南战争问题上争执不休。北越试图从双方获取最大援助——最终如愿以偿。他们恳请中国允许苏联通过陆路运输物资。中方虽感有义务配合,但陆路贸易条款却成为无休止争端的导火索。

因此中苏力量对比逆转的根源在于多重因素,绝非一蹴而就。这既是中国崛起的历程,也是苏联衰落的写照。中国的第一步是拥有自己的原子武器——1964年成功研制,从而摆脱苏联的束缚。

1964年核爆成功后,毛泽东宣称:“苏联占领的领土太多,俄国人攫取了能拿的一切。我们尚未就这份被侵占领土清单清算。”他列举所有争议区域:“我们要收回这些土地。”俄方闻言震惊失措。

此后中国对所谓领土权利的诉求变得愈发强硬。一场边境领土战争由此爆发,焦点集中在珍宝岛(俄称达曼斯基岛)这座阿穆尔河中的岛屿。国际河流边界遵循这样的原则:根据国际法,边界应以河槽为界,即河流主航道的中线。俄罗斯在欧洲边界问题上遵循此原则,但在中俄边界却另立标准,声称阿穆尔河两岸均属其领土。

中国对此忍无可忍,夺取珍宝岛后,俄方勃然大怒并向美国求援。他们问:“用核弹轰炸这些人可以吗?”我们回答:“不行。”俄方挠头思索后又问:“那用常规武器摧毁他们的核设施可以吗?”我们仍答:“不行。”

毛泽东明白了:想用核武器对付你的,才是头号敌人。于是主要敌对对象重新洗牌。过去中美俄都把美国当头号敌人,这本是合作契机。如今彼此成了主要对手。美国则能在这场博弈中扮演摇摆角色。

对俄罗斯而言,中国成为敌人简直是毁灭性的打击——它必须在绵延的中俄边境、中亚等地部署全副武装的机械化核部队。它已在欧洲边境实施类似部署,并占领东欧地区,驻军成本极其高昂。试想若我国要在漫长的加墨边境部署同等兵力,财政必将崩溃。俄国经济规模始终仅为我方零头。

但这段昔日兄弟情谊的破裂,恰使美国得以扮演摇摆角色。于是我们展开合作。尼克松与毛泽东均认为联合围堵俄罗斯大有可为——通过军事扩张迫使俄国过度投入军备,最终使其财政不堪重负。

此外,伴随中国崛起进程的还有内部改革——邓小平放弃某些共产主义经济管理原则后,农业、工业和商业领域生产力显著提升。中国由此保持约二十年的两位数增长率,产生了显著的复合效应。

这就是中国崛起的历程。现在转向这个反乌托邦式的俄罗斯衰落平行宇宙。左侧是列昂尼德·勃列日涅夫,他显然在1976年中风导致思维永久受损,1982年去世彻底终结了其统治。继任者尤里·安德罗波夫自身健康状况极差,两年内便去世。随后康斯坦丁·切尔年科执政不足一年便去世。这听起来有点像我们,但无论如何都行不通。

观察苏联经济增长数据可见,二战结束后初期增长强劲,当时正忙于战后重建。但进入70年代中期,经济便陷入不可逆的衰退。当戈尔巴乔夫1985年掌权时,苏联经济增速已连续十年落后于美国1-2个百分点,这种累积效应造成的后果相当可怕。

此外还存在其他问题。列昂尼德·勃列日涅夫执政长达18年,不仅热衷收藏汽车(这似乎是他最青睐的礼物),还在第三世界国家大肆收购一堆无利可图的资产,以此彰显俄罗斯实力。但这些投资成本高昂,而苏联经济根本无力承担。

观察油价走势便能发现,其波动与苏联解体及普京崛起密切相关。苏联时期政府财政高达55%依赖石油能源收入,油价低迷必然导致财政储备缩水。戈尔巴乔夫曾多次警示:“我们不能再这样下去了。”

他试图通过政治经济改革挽救共产主义,但这些举措反而加速了这个僵化体制的崩溃。他的改革引发了巨大的领土变动:苏联在东欧的帝国版图瓦解,以民族为基础的加盟共和国相继独立。

我将通过地图展示俄罗斯的领土变迁历程。这是1938年,即《莫洛托夫-里宾特洛普条约》签署前夕——纳粹与苏联通过该条约瓜分波兰及东欧部分地区。此图更早,但到战争结束时,俄罗斯已囊括波罗的海三国、加里宁格勒、整个白俄罗斯和乌克兰全境。随后自然吞并了东欧地区。

戈尔巴乔夫施展魔法后,俄罗斯仅剩加里宁格勒。如今俄军在此部署大量武器,据称还倾倒了大量有毒废料——这便是加里宁格勒的全部意义。因此它至关重要。1991年末,当俄罗斯失去一切时,它已沦为一个严重萎缩的残余国家。随后俄罗斯经历了多年的动荡。

00:33:52 – 俄罗斯帝国主义

莎拉·佩恩00:33:52

俄罗斯人坚信自己的国家始终是、理应是、也必将永远是世界强国,但他们衡量强国标准并非财富。尽管常掠夺他人财富,俄罗斯的财富始终远逊于西方邻国。他们衡量国力的标准在于辽阔疆域,以及践踏他国、迫使他国服从俄罗斯意志的能力。

在考量安全问题时亦是如此:“我们需要这片辽阔疆域来保障安全。”但他们从不换位思考——永远担忧外敌入侵。“你们可曾想过我们对他人构成威胁?”他们从不这样思考。然而俄罗斯对邻国的生存威胁早已延续千年。那些从历史长河中消失的邻国,你们从未听闻其名——这要归功于俄罗斯人。

让我们回到中世纪,当时俄罗斯以莫斯科公国之姿崛起。它消灭了其他诸侯国。曾有诺夫哥罗德大公国,那是更进步的地方。他们消灭了那里,还有罗斯托夫等众多地区。后来他们又消灭了中亚各汗国。这些都是国家,属于不同的组织形式。克里米亚汗国喀山阿斯特拉罕科坎德希瓦布哈拉,他们统统消灭了。

俄罗斯还反复对欧洲邻国进行肢解——乌克兰波兰立陶宛瑞典芬兰——蚕食其领土。这种行径至今仍在延续。俄罗斯人根本不明白,当你这样对待他人时……这正是冷战结束时各国争相加入北约的原因。这并非阴谋论,而是俄罗斯对这些国家所作所为的必然结果。

现在我将通过波兰的命运来说明,当你被贪婪的大陆帝国包围时会发生什么。18世纪波兰的三次瓜分。当时普鲁士、奥地利和俄罗斯正在吞并波兰。俄国人辩称:“我们没占领波兰领土。”他们实际吞并的是波兰帝国——这不过是技术性说辞。若想明白波兰人为何痛恨俄国人,答案就在此。更别提二战后持续数代的种族灭绝式占领。

部分原因仍要追溯到雅尔塔会议。俄方强行将波兰边界西移200公里——这种对国家疆域的肆意改动实属异常。此举使波兰腹地深陷德意志领土,俄罗斯得以吞并波兰大片疆域。随后俄国当局决定实施种族清洗:让德国人回德国,波兰人回波兰,乌克兰人回乌克兰。数百万民众——在战火摧残的欧洲根本无力安置难民——被四处驱逐,其中许多人丧生。

捷克斯洛伐克、德国、匈牙利、波兰、乌克兰首次成为历史上民族单一的国家。波兰、匈牙利和捷克斯洛伐克需要依靠俄军维持部分既得领土。因此这里发生了诸多事态。

若与西方在美国的举措对比,美国推行过马歇尔计划,想必诸位有所耳闻。美国向西方盟国倾注援助以助其战后重建。而俄罗斯正在复制这一模式:他们赢得战争后驻军驻留,却永不撤军,转而忙于策动政变。接着他们忙着枪决异见者,或将人送进劳改营,手段不择手段。随后通过国有化或集体化手段,将当地所有财富重新分配。他们强加给这些民众的经济模式根本行不通——那叫共产主义。这种制度注定失败。难怪东欧人对重蹈覆辙毫无热情。想想也罢。

更精彩的是,幕后推手包括这位“魅力人物”——苏联最毒害的政客之一。安德烈·维辛斯基被派往罗马尼亚,罗马尼亚人真“幸运”。这位操纵审判秀将布尔什维克元老送上断头台的家伙,抵达罗马尼亚后做了什么?他直接任命司法部长、战争部长和内政部长。掌控司法、军队和警察系统,一切尽在掌握。你便能开始没收一切财产、推行国有化,逐步消灭其他政党,迫使罗马尼亚仅与苏联进行贸易。

另一位毒瘤人物是克里门特·伏罗希洛夫元帅。他同样是A级清洗团队的核心成员。他曾做什么?在大清洗运动期间,他签署了大量针对军中同僚与军官的处决令。真是个了不起的人物。他后来去了匈牙利,匈牙利人真走运。他不如另一人能干。在1945年匈牙利大选中,小农党获胜。哎呀,他们不是共产党人。此后他再没犯过这种错误。

于是他火速任命共产党人掌管各部:土地改革、接管公务员体系、启动宣传机器、控制青年妇女组织实施渗透,并在举行1947年选举前逮捕各类非共产党政客——这场选举自然由共产党胜出。随后展开大规模清洗,全国10%人口面临审判。试想一下:在这个房间里,10%的人将因俄军进驻而接受审判。

俄罗斯拥有构建集团的模板。我详述这些细节,是为让诸位理解大陆帝国的运作方式。俄国人观察到意大利向西方盟军投降后,他们基本掌控了意大利全局。于是俄国人宣称: “好,等我们接受投降时,就要在东欧掌控全局。”

但俄国人更想利用战争引发的绝对混乱。战争往往催生战时经济,政府通过高度集权来调动战争资源。俄国人正是想借此之势。加之他们拥有庞大的红军力量,企图整合所有资源——而他们确实这么做了。

他们的模板是这样的:掌控权力部门——即国防部和内政部。如此便能垄断强制手段,消灭反对势力。若再控制司法部和信息部,便可随意逮捕或处决。接着你便掌控了所有不为人知的真相。若掌控农业部门——尤其在当时——通过重新分配他人土地就能收买大量效忠者。这将清除阶级敌人、叛徒、各类不受欢迎者,以及原本统治农村地区的精英阶层。

他们还编造了一个关于此事的故事,这就是所谓的“大谎言”。还记得共产主义吗?在共产主义叙事里,我们生活的世界里真正的恶人是谁?是帝国主义者,对吧?帝国主义极其邪恶。可我刚才展示了:俄罗斯才是20世纪帝国主义的最大实践者。他们这么做时,恰逢西方帝国主义者正在放弃殖民地。

然而存在着这个大谎言——这个巨大的虚构:俄罗斯人竟是好人。他们披着民主的外衣。不像沙皇时期那样直接抹杀波兰国家,仍保留波兰之名,却虚构其独立性——实则不然。他们假装举行选举,实则非民主。结果早已注定。本质上是独裁统治,他们正在大肆清洗,屠杀大批东欧民众。若以为东欧人已遗忘这段历史,大错特错。

此外还存在更具区域性的操作模板。我已提及种族清洗——他们确实实施过。随后他们试图移动国家疆界:将波兰向西迁移,蒙古则向东移入中国领土(此点尚未详述)。他们还企图建立扩张跳板。加里宁格勒的战略意义正在于此。另一个例子是摩尔多瓦——这片位于罗马尼亚与俄罗斯之间的土地掌控着重要河流系统。摩尔多瓦与德涅斯特河沿岸地区存在争议,该地区已被俄罗斯蚕食。这场纷争至今未息。

还有阿塞拜疆这类地区。它曾被伊朗和苏联分割——如今虽已独立,但当年确实被瓜分。此外还有分裂的德国、朝鲜、蒙古和中国。俄罗斯希望所有邻国都陷入边界争端,这样它就能制定规则,逐步蚕食邻国领土,若能吞并整片区域则更佳。

因此俄罗斯民族认同不仅关乎帝国版图扩张,更承载着某种宏大叙事——一种将领土扩张包装成进步、有益或积极行为的意识形态。这不过是神话。沙皇时期,俄罗斯东正教会宣扬的“第三罗马”理念便是典型例证。第三罗马在莫斯科。我知道这可能令你意外,容我详解其逻辑。

众所周知的罗马,即“罗马”罗马,是第一罗马——教皇所在之地。而俄罗斯人认定的第二罗马,则与拜占庭帝国相关。即君士坦丁堡(今伊斯坦布尔)。当拜占庭覆灭时,俄国人宣称:“瞧,莫斯科才是真正的罗马。”虽非事实,但他们借俄罗斯东正教之名,将教会势力深植东欧腹地。

当共产主义者掌权后,传播的已非东正教,而是共产主义。普京面临的困境在于:当今时代,共产主义与俄罗斯东正教皆非具有市场价值的意识形态。他只能执着于维持国土辽阔的形象,这便是其核心诉求。

俄罗斯面临着噩梦般的历史情境——他们并非总能赢得战争,反而屡屡败北。所谓蒙古铁蹄黄祸(此为俄方用语而非笔者所创),指13世纪蒙古铁骑横扫时,俄罗斯精英沦为蒙古人的敛税者,这种掠夺性角色延续至今。想想俄罗斯人,他们掠夺资源——无论是本国还是他国——却鲜少创造财富。这不过是资源榨取。这正是历史遗留的烙印。

俄罗斯还遭受过毁灭性打击:拿破仑入侵、一战和二战,这些战争彻底摧毁了西俄罗斯。他们历经苦难。当下,普京正将所有军火倾泻到乌克兰,使西伯利亚完全暴露在中国野心之下。若他继续这般行事,最终可能落得被中国套上枷锁的下场,噩梦将真实降临。

00:45:23 – 中俄的生存困境

莎拉·佩恩00:45:23

中国人同样怀揣宏大愿景,虽非宗教或帝国图谋,而是关乎文明本身。传统上,中国人坚信世间仅存一种文明——即他们自己的文明。这种文明根植于儒家思想,自成一套世界秩序。此体系曾支撑他们数千年。

某些合法性支柱历久不衰,或许源于此,但确为永恒基石。其一是伦理统治。然而共产党已丧失此根基。且看下一个支柱——经济繁荣。哎呀,这根基正急速消亡。这使得当今共产党只剩领土扩张这一条路。他们持续侵占印度领土,在南海填海造岛,并对台湾不断施加威胁。

某种程度上,中共正效仿普京打民族主义牌。当别无他法时,煽动沙文主义民族主义便成了首选——毕竟人类对此类诉求尤为敏感。只要聚焦此道,或许就能转移中国民众对中共道德缺失的视线,掩盖其薪资停滞不前的现实。

老实人习近平,他已无可推销的意识形态。真正可怕的是,儒家思想曾是中国永恒的基石——朝代更迭,儒家思想长存——直到中国在甲午战争(我曾提及)中败于日本,在鸦片战争中败于欧洲列强,儒家思想突然显得不堪一击。

当足够多的中国人不再信奉儒家思想,1911年革命便应运而生,儒家思想作为治国理念就此消亡。这才是真正的噩梦。共产党最恐惧的莫过于民众放弃对共产主义的信仰。中国的噩梦情景就是那些可怕的混乱时期。他们担忧:若共产党垮台,中国将陷入内战乱局。

另一重噩梦是苏联解体的命运——共产政权终难永存。因此俄罗斯的噩梦是遭外敌入侵。中国的噩梦则是国家崩溃。这是两种截然不同的忧虑。

中国人面临两难困境:若不再相信共产主义赖以生存的经济理论,如何为一党专政辩护?共产党试图在未解决此问题的情况下硬撑下去。中国人从俄罗斯人玩弄大理论的过程中汲取了深刻教训。他们从米哈伊尔·戈尔巴乔夫身上学到很多——当他试图修复共产主义时,最终却害死了病人。我认为中国从戈尔巴乔夫的行动中领悟到:面对街头骚乱时,绝不犹豫地出动坦克,让坦克碾压平民。这才是真正的速效良方。经济改革可以推进,但政治改革绝对不行。

同时必须全力汉化少数民族。为何?苏联曾编造“被占领少数民族自愿归属且享有平等权利”的谎言。于是他们资助各种民俗舞蹈和语言课程,在各类政治机构中安排身着传统服饰的少数民族代表充当摆设。但这些少数民族实质上毫无实权。当苏联解体时,民族分裂的根基早已埋下——乌兹别克斯坦、塔吉克斯坦等国的诞生正是如此。而中国则断然拒绝这种模式。这有助于解释当前正在发生的维吾尔族种族灭绝。这是他们的行动逻辑。

当经济效率与维持中共垄断权发生冲突时,习近平的做法就是优先保障后者。由此可理解他某些抑制经济增长的决策。

戈尔巴乔夫在尝试改革共产主义时发现,民主与共产主义根本无法兼容。一旦允许选举,民众必然支持多党制。当共产主义的真实面目——无能的经济管理、即决处决、饥荒等种种行径——公之于众时,他们就很难继续掌权。同样,正如戈尔巴乔夫所发现的,民主与帝国也不相容。当你给不同少数民族选择权,或让被占领地区选择去留时,他们就会逃离。

中国占主导地位的汉族普遍认为,他们希望维持帝国。因此他们根本不在乎多少藏人自焚抗议。如今这类事件已不复存在,因为迫击炮已覆盖西藏全境。他们也不在乎多少蒙古人哀叹领土丧失。汉族就是要守住疆域。对于经历过文化大革命那代人——习近平恰属此年龄层——他们绝不愿重蹈文化大革命的混乱覆辙。那段岁月惨不忍睹。因此可预见他们将稳定置于自由之上。

这引出第三个问题:民主与共产主义水火不容,民主与帝国同样相悖。在互联网手机时代,当人们紧密相连时,政府如何维系统治合法性?因为选举是赋予政府权力的强大手段。民族主义正由此登场。中国共产党与俄罗斯同样试图利用狭隘民族主义煽动民众忠诚,转移国内矛盾焦点,煽动“看那些可恨的外部敌人”。将责任归咎外部势力并非中国独有,诸如“都是移民的错”之类的说辞比比皆是。

问题在于,当中国在1980年——即天安门事件后——采取这种策略时,中共决定全面改写教科书。他们不再聚焦阶级敌人,转而强化沙文主义民族主义,将矛头指向邪恶的日本人、邪恶的美国人,以此转移视线。民族主义的弊端在于它如同烈酒,过量饮用便会蒙蔽判断力。更甚者,它会排斥中国帝国境内那些对汉族民族主义毫无兴趣的少数民族群体。它令邻国心生畏惧,促使他们相互协作并寻求大国力量来制衡这团乱局。同时,它也阻碍了国际突发冲突或危机的降级处理。

面对普京的最新冒险,人们自然会认为中国人对当前局势有所思考。普京抛弃了大陆帝国规则中的苏联附则——那条是什么?不打热战。回想苏联统治者,从列昂尼德·勃列日涅夫到后继者,皆是二战老兵。他们深谙战争易起难收,充满变数。他们热衷代理人战争,尤其乐见美国陷入热战。朝鲜战争和越南战争何等美妙——美军深陷泥潭,美国人因这些事互相撕扯。

太棒了,太棒了,太棒了。直到勃列日涅夫中风后,俄罗斯才介入。那次阿富汗行动成了他们的大失误。他们入侵阿富汗后,我们突然乐在其中——向反俄势力提供毒刺导弹,让俄军付出惨重代价。执意入侵阿富汗的是尤里·安德罗波夫,这位非军事出身的领导人无视俄军将领“勿涉足阿富汗”的警告,与同僚们一意孤行。

再看普京,他是在热战中崛起的。他上台时正值第二次车臣战争初期,他夷平了车臣首府格罗兹尼,将车臣大部分地区变成环境废墟。但他解决了这场战争。随后他因2008年对格鲁吉亚的战争声名鹊起,将南奥塞梯阿布哈兹从格鲁吉亚分离出去。如今他计划在阿布哈兹建立海军基地,因为他在克里米亚的基地遇到了麻烦。

当他在2012年取消自身任期限制——这一举动在俄罗斯并不受欢迎——他通过2014年入侵乌克兰解决了问题,几乎不费吹灰之力就占领了约7%的乌克兰领土。而俄罗斯人认为这太棒了!若观察这些小块跳板,这就是大陆主义者的思维逻辑。所有小地方都排好队了,你只需填满空白。这就是乌克兰在2022年的意义所在。

普京意图收复所有失地。

他觊觎绿色区域与紫色区域。不知他是否想重演拿破仑战争直捣巴黎?谁知道呢?以下是他看待北约(或漠视北约)的视角。观察成员国加入时间便知端倪。北约有两大扩张时期:其一是冷战初期,欧洲所有小国(即所有成员国)加入。我们都比俄罗斯小。

欧洲国家加入是为抵御苏联帝国主义。冷战末期,当这些苏联卫星国终于挣脱枷锁时——我已阐明所有原因——它们蜂拥加入北约。并非北约诱骗它们加入,而是它们基于充分理由主动涌入。事实证明他们是对的。当普京在2022年第二次对乌克兰施展魔力时,芬兰和瑞典就意识到中立政策行不通,必须加入北约。

但普京看到这景象时,却说:“哦,他们正以弧形阵势向我们逼近。” 这种说法荒谬至极。俄罗斯对这些地区构成的生存威胁由来已久。当今世上无人想入侵俄罗斯——谁会想去?那里满是俄罗斯人,我们倒希望他们待在家里。根本没人想要俄罗斯。俄罗斯人惯用精神操控手段,把责任推给别人:“问题出在你们身上”。这种手段向来很有效。许多美国人会谈及北约扩张,声称“普京入侵乌克兰就是因为你们扩大了北约”。这完全是他在玩弄心理操控。

俄罗斯人本身就是问题根源。更关键的是他们那套彻底失灵的国内体制,给世界带来的只有麻烦。他们本该聚焦国内问题、进行改革,成为国际社会中富有建设性的成员,却偏偏选择侵略他国。

回归现实问题:这两位能建立兄弟情谊吗?除非爆发第三次世界大战——届时大国将全面交锋……若大国开战,或许真能让两人形影不离。但若战局不利,败方极可能动用核武器,届时毒性烟云将弥漫全球。

因此我们必须做好外交工作,因为在这个特殊时代,外交失误的后果极其严重。我们正处于第二次冷战的开端,而当前的领导层并未从经历第一次世界大战、大萧条和第二次世界大战中汲取教训——正是这些经历造就了当年应对早期冷战极为有效的成熟领导者。如今我们已失去这样的领袖。

若审视主要对手与战略战区,你绝不希望敌对势力形成战略协同——一旦形成,他们必将联手行动。当前,“恶魔弗拉基”(普京)痴迷乌克兰,习近平痴迷台湾,二者分居欧亚大陆两端。习近平同时在挑动印度事端,推进南海岛礁建设。但这两大势力版图的两端,他们仍处于对立状态。迄今为止,这两股势力尚未形成战略协同。即便爆发世界大战,其主要战场也可能不会像轴心国那样形成统一战线。

他们很可能将资源分散至不同方向。但问题在于当今拥有核武器的国家众多。热战绝非明智之选。若西方及其他国家能妥善处理,我已为你们提供了大量充满紧张关系的历史遗产。若能妥善布局,这两大势力自会相互牵制。其余国家若能正确应对,便不必相互发动贸易战,而应竭力提升自身繁荣程度——当他们深陷摧毁财富的战争时,我们便能日益强大。普京在乌克兰挥霍所有资产却毫无建树,这正是我们赢得上轮冷战的制胜之道。

普京是在民族主义时代搞帝国扩张,这条路从一开始就走不通。他把所有的军事资源都倾泻在乌克兰身上,却把西伯利亚完全敞开了。习近平甚至在乌克兰战争之前就已经直接介入了。 “一带一路”倡议 正在逐步瓦解俄罗斯在中亚地区的传统势力范围。

普京选择在俄罗斯虚弱、中国强势的时候发动这场热战,这使得局势格外具有破坏性。为什么这很重要?因为西伯利亚恰恰拥有中国如今所需要、所觊觎的资源,而且中国希望这些资源在地理上是连续的,这样其他国家就无法插手。尤其是水资源——中国北方的地下水已经被严重透支。贝加尔湖拥有全球地表淡水资源的20%以上。如果你想要一个快速解决方案,那几乎是最理想的选择。中国以大型水利工程闻名,他们在湄公河和长江上修建了大量水坝,实施过规模空前的水利项目。所以,这也许就是俄罗斯未来的走向。谁知道呢?

如今,习近平掌握着所有筹码。中国的人口是俄罗斯的九倍,国民生产总值是俄罗斯的九倍,而两国的人均GDP正在趋同。这对普京来说可不是什么好消息。问题不在于这段“兄弟情”是否会永远持续,而在于它什么时候会结束。习近平什么时候会认为,自己已经拥有足够的杠杆,可以拿到他想要的一切?

眼下正在发生的一切,正好说明了误判主要对手的危险性。尼古拉二世曾与日本打一场“消遣式战争”——1904至1905年的日俄战争。他把资源投入到当时实际上并不重要的战场上,而不是把这些资源用于建设欧洲俄罗斯迫切需要的铁路系统,以便应对德国。不到十年,俄罗斯就与德国正面交锋,并且失败。

尼古拉二世最终被推翻,部分原因是圣彼得堡的面包骚乱;由于铁路系统严重不足,外国援助无法进入国内。后来铁路修好了,在“租借法案”时期倒是派上了用场。但他和他的家人最终却被枪杀在西伯利亚的一间地下室里。这一切花了大约十年才完全展开。我不知道这一切最终会如何落到弗拉基米尔·普京头上。如果我们出牌得当,也许他会在历史中孤独地谢幕。不过,这可能需要很长时间。

因此,我想引用伯里克利的一句话。他是雅典鼎盛时期的领袖,正是在那个时代,那些如今被称为“古代遗迹”的建筑被修建起来——当时它们还不是废墟。后来一切都消失了。这句警告出现在雅典一连串重大错误的前夜,而古代雅典此后再也没有恢复过来。伯里克利说:“我更害怕我们自己的失误,而不是敌人的阴谋。”

另一方面,如果我们陷入一场热战,甚至核战争;与此同时,如果美国通过对盟友发动一场毫无必要的贸易战,亲手摧毁自身最重要的优势之一——联盟体系;然后再与中国发生冲突……那么,我们不妨认真想一想。

日本在第二次世界大战时期,曾对中国采取过这种“单打独斗、非此即彼”的策略。当时的中国还是一个失败国家,而这一战略最终却把日本自己拖入了毁灭。

而今天的中国,人口规模是我们的数倍,工业基础也是我们的数倍。究竟为什么要选择单独去挑战这样一个对手?

因此,我想引用伯里克利的一句话。他是雅典鼎盛时期的领袖,正是在那个时代,那些如今被称为“古代遗迹”的建筑被修建起来——当时它们还不是废墟。后来一切都消失了。这句警告出现在雅典一连串重大错误的前夜,而古代雅典此后再也没有恢复过来。伯里克利说:“我更害怕我们自己的失误,而不是敌人的阴谋。”

我们的领导人确实需要在毁掉我们所有人——包括他们自己——之前,好好思考这句话。

感谢各位的聆听。这就是我对中苏问题想要说的话。

01:04:55 – 问答环节:中苏决裂

德瓦尔凯什·帕特尔01:04:55

第一个问题:我想了解意识形态在中苏分裂中的作用。作为全球两大共产主义国家,他们肩负着改变世界的宏大使命——要在全世界传播共产主义。但这并不足以阻止1969年那场战争,战争的导火索不过是河道中几座岛屿。这根本算不上什么重大战略利益。既然同为共产主义国家,为何不能更牢固地维系关系?

莎拉·佩恩01:05:24

我列举了俄罗斯对华诸多恶行,这些绝非小事。那么共产主义的症结是否在于其经济模式根本行不通?本质上两国都是大陆强权,是大陆帝国。它们确实更换了意识形态—— 沙皇的意识形态转变为共产主义,中国则用共产主义取代儒家思想。但两国都想称霸天下的原则从未改变。这必然形成相互排斥的局面——谁将统治亚洲乃至欧亚大陆?毕竟他们共享着漫长的边界线。

况且共产主义本就宣称要统治全世界。我们理应建立无阶级社会。正因如此,我们甚至不必担忧政府等事物,因为它们终将消亡。然而这全是胡说八道。随着时间推移,独裁者们愈加根深蒂固,他们正利用共产主义。还有一段关于“大谎言”的论述令人震惊。我不确定是否是斯大林说过:谎言足够大,人们就会信以为真。当谎言荒谬到极致时,人们反而会盲从。比如所谓“西方帝国主义势力”的论调——我们竟信以为真,认为罪魁祸首不在他们。但数据摆在眼前。还有我们这个时代另一个谎言:“哦,是西方,是北约扩张,这解释了普京的行为。”我给过你们数据,纯属胡说八道。

至于俄国人为何觉得有义务侵占他国领土,部分原因在于他们享受看别人痛苦的快感。这方面确实存在。不过他们并非唯一这么做的民族。但更深层的原因在于欧亚平原的历史烙印——千百年来,这里始终是遭外族入侵的土地。因此俄罗斯人形成了根深蒂固的处世范式,这种思维模式已历经数千年沉淀。我无法给出绝对答案,因为俄罗斯和中国都存在众多决策者,他们的集体判断才最终决定了国家行为。

德瓦尔凯什·帕特尔01:07:53

我特别想理解斯大林在国共内战期间的决策——他禁止共产党人越过长江,意图分裂中国共产主义与国民党势力,使中国持续处于弱势。斯大林毕生行动证明他是虔诚的共产主义者:他推行集体化运动,几乎摧毁了自己的政权,只因这份信仰。

但共产主义理论宣称终将爆发世界性革命。若真有世界革命,必然催生其他强盛的共产主义国家——这正是全球共产主义革命的本质所蕴含的逻辑。然而斯大林似乎不够“共产主义”到渴望中国彻底共产主义化,他更关注现实地缘政治。请解释这种矛盾如何运作。

莎拉·佩恩01:08:45

他所信奉的共产主义版本,是俄罗斯人发明的。实际上并非如此,马克思才是其创始人。但俄罗斯人认为:“既然我们实现了共产主义的运作,就该永远掌权。”因此俄罗斯理所当然要成为共产主义大国。而从他们的角度看,一群中国新贵却声称:“不不不,该由我们来主导。”

德瓦克什·帕特尔01:09:06

但斯大林作为共产主义者是否认为“终有一天全世界都会成为共产主义国家”?他是否幻想自己能亲手管理整个世界?

莎拉·佩恩01:09:18

尚不明确。这需要漫长的时间跨度。在其有生之年,他最初主张一国共产主义,随后致力于边境地区的共产主义建设。至于世界其他地区,直到勃列日涅夫时期才开始深入非洲。斯大林对印度之类地区毫无兴趣,因他认为这些地方尽是英国的走狗。他们怎能任由英国殖民?这些人肯定有问题。

还需考量特定历史时期的背景。他1953年去世,距二战结束不过数年。局势将如何演变?在他执政期间,中苏关系看似风平浪静——毛泽东赴莫斯科叩首称臣,唯斯大林所命。这便是斯大林的处境——直到某天早晨,不知是噎着麦片还是遭遇了什么意外。

德瓦尔凯什·帕特尔 01:10:19

若斯大林未逝,你认为中苏分裂仍不可避免吗?是的,那样就不会有赫鲁晓夫的《秘密报告》了。显然斯大林不会谴责个人崇拜。但你提到的矛盾依然存在。

莎拉·佩恩 01:10:35

我认为矛盾依然存在。独裁者的死亡会严重削弱其体制,因为他们缺乏合格的接班人。这意味着必然爆发一场权力争夺战。普京的局面正是如此。终有一日此人会以某种方式死去,随后必将爆发争夺其后继权力的权力斗争。

斯大林去世时年事已高,当时俄罗斯人的饮食状况极差。我不记得他是否吸烟,但那个年代的人大多如此。因此难以预料若这位老乔叔在位更久,未来会如何发展。朝鲜战争本会持续更久。朝鲜战争之所以在那时结束,实则因斯大林之死。若战争持续下去,其对我们或毛泽东的影响将难以估量。

德瓦克什·帕特尔 01:11:32

这确实是讲座中值得深思的观点。回望历史,20世纪最重要的事件——若非头等大事,便是中国内战。当时人们未必视其为重大事件,尤其二战刚结束。若你生活在1948或1949年,绝不会认为这是世界主旋律。

但以我们后见之明来看,这个拥有庞大人口的国家,其内部政治发展理应受到高度关注。我不禁思考:当今世界其他人口大国——比如印度或尼日利亚——是否也应获得同等关注?尽管我清楚尼日利亚是人口巨无霸,却对其一无所知。

莎拉·佩恩 01:12:16

别勉强了,我对此同样一无所知。

关于中国和中国内战,当时普遍认为这是件大事。正因如此,罗斯福——尽管英国人觉得他可笑——仍坚持将中国视为大国对待。英国人说:“富兰克林,中国根本算不上大国,差得远呢。” 但他执意要让中国参加开罗会议,更希望中国成为联合国拥有否决权的成员国——以当时中国的军事实力,这根本不可能。

但罗斯福的考量是:亚洲没有日本这样的对手,我们需要一个制衡力量。然而当内战爆发时,那些经历过重大战争的美国人审视局势后表示:“我们无法改变这场内战的结果。”据艾森豪威尔档案记载,当时的共识是——只要双方共处足够长的时间,终将相互厮杀。

德瓦凯什·帕特尔 01:13:31

我想聚焦这段时期一个特别引人入胜的事件。1936年,中国共产党绑架了国民党领袖蒋介石,正准备处决他。斯大林通过共产国际电台下令:”不,你们不能杀蒋介石——尽管他是敌人,尽管他屠杀过你们。必须释放他。”作为交换条件,蒋介石必须承诺建立抗日统一战线

当时抗击日军的共产党游击队仅有3万人,而国民军则拥有150-200万兵力。共产党仅以极小代价就赢得了抗日的声望。事后看来,斯大林此举堪称神来之笔——若当时除掉蒋介石,国民军恐将瓦解,日本必将扶植傀儡政权。这对斯大林而言将是灾难性后果。

斯大林在亚洲战场的决策似乎屡屡精准。究竟是怎样的战略视野支撑着他?

莎拉·佩恩 01:14:31

世界各地都有独裁者长期掌权。切勿低估他们的统治能力。无论身处何地,他们都乘着民众相互残杀的浪潮稳坐江山。我怀疑——仅是怀疑,毕竟缺乏证据——许多长期独裁者的情商都高得惊人。当你踏入房间时,他们凭直觉就能判断是否该除掉你。多处理几个人又如何?只要能清除所有潜在威胁就行。

这种能力令人惊叹。斯大林的做法——我认为萨达姆·侯赛因曾效仿他,但这点可能有误——是建立多个管辖权重叠的安全机构。无人知晓谁真正掌权,但所有情报都汇向斯大林。因此他掌握的信息远超他人。今日用这个机构,明日换那个机构,这解释了为何克格勃等机构的首脑频繁更迭。早期首脑大多被继任者枪决。按理说他们该看出规律才对。

他们深谙权力维系之道,极擅长处理此类问题。但这无法带来繁荣——真正的繁荣源于遵循国际法开展海运贸易,而非封锁贸易伙伴。采取后者只会断绝二次合作机会。这个平行宇宙的财富创造力远超现实,可惜大陆主义者们对此视而不见。

德瓦克什·帕特尔 01:16:20

关于……有些地方仍解释得不够透彻。

莎拉·佩恩 01:16:23

可能很多事情都解释得不够充分。

德瓦克什·帕特尔 01:16:26

希特勒是另一位独裁者。他根本不会考虑“长期来看杀害人质是错误决策”这类问题。相反,他甚至在非必要时向美国宣战,尽是些疯狂举动。斯大林的情况则更特殊。这不仅关乎共产主义,另有某种因素使他成为精明的地缘政治操盘手。

莎拉·佩恩 01:16:51

事后诸葛亮当然能断言“这是疯狂之举”,因为当时无人预见美国生产体系能实现如此壮举——连美国人自己都未曾料到。试问你此刻能否预知未来走向?关键在于反向思考…

回顾历史时,你会认为事情必然如此发展——因为你可以通过逆向推演,至少构建出一个看似合理的解释。这个解释或许并不准确,却能得出正确结论。于是你以为自己看透了。但展望未来,习近平与普京的这场博弈将如何收场?我们无从知晓。事后你或许会感叹:“基于后续发展,某些决策简直愚不可及。”但当下我们无从知晓。

俄罗斯有句谚语:Чужа́я душа́ – потёмки(chuzhaya uma potyomki)。意为“他人之心,potyomki,即黑暗”。你永远无法真正洞悉他人所思。你只能猜测,但他们总会采取行动。

德瓦克什·帕特尔 01:17:54

当你展示1850年的中国地图和俄罗斯地图时,尤其是1900年的地图——如今中俄仍是大国。但若仅看清朝时期的中国,其疆域之辽阔令人震撼。沙皇俄国在布列斯特-立陶夫斯克条约签署前也是如此。

这让人意识到:纵观历史长河,除18至19世纪工业革命如火如荼的那个关键时期外,中国在多数历史阶段都保持着对西方的技术优势。

莎拉·佩恩 01:18:28

这彻底改变了世界格局。

德瓦克什·帕特尔 01:18:30

没错。这印证了站在技术前沿的重要性,尤其在历史关键节点。我们身处旧金山,许多人都认为当前正是技术发展的关键转折点。

莎拉·佩恩 01:18:45

或许我们该持续投入科技研发,而非取消所有科研项目。此举将带来怎样的长期影响?你想到的是美国的强大优势——其联盟体系。我们昔日的核心竞争力还在于引领创新浪潮。若放弃这些优势,还能指望未来顺利吗?

德瓦克什·帕特尔 01:19:09

我想问问你的——不知该称之为预测还是假设——关于中俄终将互相消灭或爆发双输冲突的观点。

莎拉·佩恩 01:19:22

他们不会互相消灭。两国体量太大,根本无法彻底摧毁对方。除非爆发核战争,否则我们可能自取灭亡。

德瓦尔凯什·帕特尔 01:19:28

但关于两国将爆发某种冲突的观点…我认同中国拥有庞大人口和丰厚财富,俄罗斯则坐拥水资源与自然资源。这些资源具有互补性,双方都拥有对方所缺的要素。

关键在于,他们将通过战争还是贸易获取这些资源?在我看来……中国财力雄厚,完全可以直接购买俄罗斯石油和水资源。何必去侵略一个拥有核武器的国家?

莎拉·佩恩 01:20:00

我从未断言会发生这种事。关键在于普京是否感到背水一战。代价几何?我们并不真正了解双方的贸易条款。中国为这些能源支付的真实价格是多少?我不知道。或许有人知晓内情。我怀疑无论最终达成何种贸易条款,中国都将获得极大优势。

回顾冷战末期戈尔巴乔夫的处境:他虽未与任何国家开战,但国内局势因经济崩溃急剧恶化。当时油价已跌至谷底,加之中央计划经济体系严重失灵,财政收入全面崩溃,他濒临被赶下台的境地。他迫切需要贷款——特别是德国人愿意提供的贷款——不仅为了实现德国统一,更为了让西德留在北约。接下来东德也将加入北约,届时北约就能吸纳任何国家。这些交易他原本绝不会接受,但当时已走投无路。

在这种情况下,西方国家喜欢付钱解决问题,所以他们没有低价收购,而是高价让普京退让。而在中国,我猜情况会恰恰相反。如果普京继续在乌克兰问题上自掘坟墓,中国会越来越少地满足他的要求。这种交易条件将越来越有利于中国。

德瓦尔凯什·帕特尔 01:21:52

这难道是兄弟情谊的终结?朝鲜数十年来始终处于绝境。

莎拉·佩恩 01:22:00

这段兄弟情谊着实耐人寻味。

德瓦尔凯什·帕特尔 01:22:02

但中朝开战风险微乎其微。朝鲜高度依赖中国,丝毫不会拖累中国。

莎拉·佩恩 01:22:14

恰恰相反。这或许就是俄罗斯的未来。当普京大规模入侵乌克兰时,某些俄罗斯人惊呼:”天啊,这就是我们的未来。“那正是朝鲜的处境,也是我们即将面临的局面。”这很可能成为他们的未来。他们将持续倾注财富,而中国则会竭力争取资源贸易中的优越条款,同时吝啬地给予极少回报。

01:22:44 – 斯大林从二战汲取的教训

德瓦克什·帕特尔 01:22:44

1931年,日本进攻满洲时,其强行接管了中东铁路——而1905年《朴茨茅斯条约》规定该铁路应属俄国管辖。政治局成员向斯大林建言:“必须采取强硬手段。”斯大林却表示:”我不想与另一强国对抗, 我们姑且放任此事,保持低调。“

这与1939年瓜分波兰巴巴罗萨行动时的决策逻辑如出一辙——他在两大战场都做出同样判断:”我将放任某些事态发展,避免与边境强国正面交锋。我不想和他们开战。”对日本而言,这招奏效了——因为日本选择进攻中国而非俄罗斯。但对德国就行不通了。

莎拉·佩恩 01:23:32

没错,在德国问题上,他试图复制同样的剧本。他以为这招会管用。这就是《莫洛托夫-里宾特洛普条约》的本质。完全行不通。他本该读读《我的奋斗》才能明白:“不,你不过是希特勒菜单上的选项。他终将卷土重来。”

当今时代,我们总不愿直面坏消息。或许我判断有误,但我认为普京不仅觊觎整个乌克兰(他公开宣称的目标),更觊觎波罗的海国家,且意图持续扩张。这无疑是极其糟糕的预兆。若果真如此,至少对欧洲人而言,意味着他们将不得不调集各类资源应对这场危机——而这正是他们最不愿做的事。因为和我们一样,他们同样负债累累,更希望把钱花在其他地方。

我们不愿面对当前局势的严峻现实。必须做出艰难抉择。斯大林试图施展同样的魔法,以为能如愿以偿,却未能理解其中奥妙。他最终沦为希特勒的盘中餐,几乎被彻底摧毁。但对日作战时,这套策略却奏效得淋漓尽致。

德瓦克什·帕特尔 01:24:57

这现象颇耐人寻味。他之所以认为计划可行,逻辑其实很合理。当得知德国在漫长边境集结数百万军队时,他断言“这是英国散布的虚假情报”。日本入侵满洲时,他用同样逻辑认定必须对日作战的观点也是英方散布的虚假情报。尽管这种认知有误,却能帮助我们理解其思维逻辑。

莎拉·佩恩 01:25:25

还有个有用的概念:合作型对手。我之前提过这个概念。这并非指对手愿意与你合作,而是他们打牌的水平实在不怎么样。

我们讨论的中国,正如我所言,历经无数叛乱、内战和地区冲突,缺乏强大的政府机构。在这样的环境中编写剧本要容易得多——让他们做出违背自身利益的行为。这就是所谓的“合作型对手”。中国人并非主动合作,但从俄罗斯视角看,他们可能构成这种合作型对抗关系。反观希特勒统治下的德国,其完备的体制与高素质人才储备,使得欺骗希特勒的难度远高于同期中国政权。

德瓦克什·帕特尔 01:26:20

二战与当前俄中关系的有趣关联在于:当年我们利用俄罗斯——将其作为军事人才储备库,向其输送武器装备,让他们替我们赴死——这与俄中在抗战期间的模式如出一辙。虽然俄方在抗战期间实际向中国输送的物资有限,但至少在朝鲜战争期间确实如此。

莎拉·佩恩 01:26:51

朝鲜战争,没错。

德瓦尔凯什·帕特尔 01:26:54

耐人寻味的是,俄罗斯如今正以二战时期我们与俄结盟的方式对待中国。

莎拉·佩恩 01:26:59

想想当下。这简直是朝鲜战争的反向重演——中国正滴水不漏地援助俄罗斯。俄罗斯在乌克兰战场惨遭重创。尽管俄人口是乌克兰的三倍有余,但其承受的伤亡率却异常惊人。这些都是独生子女。早已不是当年俄国农民家庭养育十个、六个孩子的时代了。

从习近平的角度看,这场冲突拖得越久越好。任凭普京施展他的魔法,我就能持续向他兜售物资。趁他走投无路之际压低资源价格。普京终将发现自己身陷不情愿的中国枷锁。届时俄方必将重新评估局势——而我认为他们不会喜欢这个局面。俄罗斯人自诩为欧洲人,我认为他们还带着一套针对中国的种族主义包袱,因此根本不会接受这种局面。至于他们何时会采取行动,我无法预料。

外交政策中许多问题本就无解。这些国家幅员辽阔,根本不可能彻底解决。但你必须学会管理这些关系,建立防护屏障,让他们的毒害行为——无论他们做什么——对你的盟友和伙伴造成的冲击降到最低。这就是你应该专注于最大化盟友伙伴经济增长的原因,因为这是应对他们的唯一有效方式。

单打独斗?谁会孤身对抗恶霸?必须结成联盟。谁会孤身挑战恶霸?你需要众多盟友。二战一代正是如此。马歇尔计划——如今的国会绝不可能通过类似方案。但当时它以压倒性优势获得通过,因为人们明白必须投入真金白银才能重振欧洲经济。他们如何实现?购买我们的产品。这堪称双赢典范。战略决策应追求双赢而非零和博弈——那种“我请你赴宴,羞辱你后自我满足”的模式只会酿成永恒怨恨,毫无意义。

德瓦克什·帕特尔 01:29:32

精彩的总结。

莎拉·佩恩 01:29:34

切勿羞辱他人。彼此善待,正是如此。

德瓦克什·帕特尔 01:29:38

这真是绝妙的呼应——我刚才问了这么多幼稚问题,您始终宽容以待,未曾令我难堪。

非常感谢各位前来。能在现场观众面前做这些事真是太有趣了,而不是被困在黑暗的录音棚里。希望周五我们能再见,届时将讲解如何正确终止战争。下周二则探讨俄罗斯为何输掉冷战。周五见。谢谢你,莎拉。

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