Visiting Thomas Merton

The Abbey of Gethsemani, Trappist, Kentucky (Photo by Gregory Rodriguez)

Trappist, Kentucky

Someone had placed a chair next to Thomas Merton’s grave, but I would have felt way too presumptuous to sit on it. (No, no, I didn’t want to talk to him. I just wanted to quickly come by and say thanks.) Also, I felt guilty only acknowledging the celebrated writer in a graveyard full of Trappist monks.  Merton himself felt conflicted and embarrassed by his fame. He longed to transcend any craving for it.  

Not so long ago, when I had zero money to my name, I bought a used copy of A Year with Thomas Merton: Daily Meditations from his Journals.  The book became a talisman for me, a lifeline.  I have begun many days reading snippets of his words to help me focus on the things that matter.  

So, yes, I am grateful to Merton and to his spiritual genius, but for the reasons mentioned, I rushed through the cemetery as if through a duty free store at an airport.  I did, however, manage to snap the above photo. 

Evel Knievel’s America

Evel Knievel’s Snake River Jump Monument (Photo by Gregory Rodriguez)

Twin Falls, Idaho

I was looking forward to visiting daredevil Evel Knievel’s grave in Mountain View Cemetery in Butte, Montana. But about 155 miles south of our destination, and without any advance notice, orange traffic cones shepherded us off the interstate. State Troopers had shut down a one hundred mile stretch of the I-15 between DuBois, Idaho, and Dillon, Montana, due to some pretty nasty high winds. It’s probably just as well since it was minus 26 degrees in Butte last night. So we turned around and headed south to Twin Falls, Idaho, where, in 1974, Knievel made his ill-fated rocket jump over Snake River Canyon. Looking down into the gorge would persuade anyone that Knievel was nuts.  But I’m glad his daring is memorialized in this monument at the edge of the canyon. It’s a reminder that risk, courage, and not a little bit of craziness were once a more robust part of America’s national ethos.

Iron Butt Hits the Road

The George Rogers Clark Memorial Bridge, Louisville, Kentucky (Photo by Gregory Rodriguez)

Athens, Georgia

We just got back from another road trip in search of America, the country where I was born but which I still find surprisingly foreign in so many ways.  It’s the second such trip this year.  Last spring, we drove around East Tennessee whose top historic sites included Davy Crockett’s birthplace along the Nolichucky River, Dolly Parton’s hometown of Sevierville, and Andrew Johnson’s gravesite in Greeneville. 

This last trip was a six-day, five-state, 1,100-mile extravaganza that took us from Georgia, to western Tennessee, Kentucky, across the Ohio River into Indiana, then back south through North Carolina, and South Carolina.  Among the key points of interest in Kentucky were Daniel and Rebecca Boone’s grave in Frankfort; Cane Ridge, the site of what was perhaps the most culturally significant religious gathering in U.S. history; a 170-year-old Trappist monastery near Bardstown where Thomas Merton lived, and Muhammad Ali’s gravesite in Louisville.  Oh, and we saw Abraham Lincoln’s birthplace and ran a 5k along the way. 

What most of these sites have in common is that they evoke both national mythology and popular culture. The more I study U.S. history, the more I am struck by how much and how often Americans wrap themselves in virtue and heroism in order to justify far less lofty, material goals.  From the Revolutionary War to FTX cryptocurrency exchange, the nation and its citizens have had the unfortunate tendency to hide base desires and interests in high-minded idealism.  (The CEO of FTX charmed investors by touting his belief in effective altruism, a social movement that encourages followers to make as much money as possible so they can give it away. And America’s Founders would not have looked so heroic had they simply expressed how angry they were that the British prohibited them from crossing the Appalachians and seizing land.). But then there are the genuinely heroic outliers like Ali and Merton, who puncture American myths but are themselves products of the nation’s remarkable cultural alchemy.

This little trip got me excited to return to the University of Georgia library, where I have a few more precious weeks to study this year before heading back to Madrid. Each day as I read–trying to understand the roots of evangelical Christianity, its link to America’s cult of individualism, and how they both relate—or not–to the country’s founding ideologies of liberalism and republicanism–I am reminded of what my late father used to say about Richard Nixon.  In law school, poor Nixon spent so much time studying in the library that his classmates nicknamed him “Iron Butt.”  So, yes, it’s nice to get off my butt and hit the road from time to time. 

Americans are in Conflict because the Framers were Conflicted

(Photo by Rasande Tyskar)

The U.S. Supreme Court’s reversal of Roe v. Wade is a blow to the American body politic.  Worse yet, it is part of a larger war over the architecture of American governance. The decision exposes a dangerous tension between two competing theories of power that the Framers of the Constitution left unsettled.  Three years ago, I had the great pleasure of interviewing historian Gary Gerstle about some of the key ideas in his landmark 2015 book, Liberty and Coercion: The Paradox of American Government from the Founding to the Present. Clear, measured, and sweeping in his vision, Gerstle, who teaches American history at Cambridge, has the rare gift of being able to speak as intelligibly as he writes.  He explains the improvisational strategies with which the U.S. has developed an increasingly strong central government—something the Framers explicitly discouraged.  His analysis suggests that America’s contemporary system of governance is built on an insecure foundation, and that we may have to brace ourselves for more earthquakes ahead. This interview was edited for clarity.

Gregory:     So you’ve essentially explained the history of American governance. What are the two essential theories of power or theories of governance that the U.S. adheres to, is forced to balance?

Gary:          Well, one theory is very familiar to everyone who knows something about America. And that is the notion that the power of government needs to be limited. America was founded against George III and his overweening power. And as he exercised that power, personally and through parliament, it came to be seen in the colonies as the ultimate source of tyranny. So to fashion a meaningful liberty, the power of the government had to be curtailed, had to be limited, and had to be fragmented. This is written into the Constitution and, so far as students in America still take civics lessons, they learn about the separation of powers; they learn about the fragmentation of government into central government states, municipalities; they learn about the emphasis on curtailing the ability of any single government source to exercise influence over an individual. This is best encapsulated in the New Hampshire license plates that say “Live Free or Die”.

Gary:          I mean it’s a crazy thing to put on a license plate if you think about it for a moment– but what are they talking about? The only way to live free is to be free of government surveillance of your life. That is foundational to the story that Americans tell about themselves. That is also what later is going to be called, and we may get into this discussion later, negative liberty, which means liberty from something. You’re only free if you can get institutions that are governing your lives out of the way. So this is seen as being central to the American Revolution and hence the story of America being a free society, meaning a society not governed powerfully from a national capitol with a big bureaucracy and a large administration: Americans experience their freedom by having a distant government strictly limited in its power.

Gary:          Now we’re dealing with this at the level of blueprint and myth. We can talk about what that government actually does and doesn’t do at another time, but this is part of the myth of America and it lives on incredibly powerfully today in the Republican Party, it’s something that all kinds of Americans still do believe today.

Gregory:     And yet, there’s another theory of power ensconced in the U.S. system of government.

Gary:          Yes. There is a very different theory of power and this is a theory of power that is ensconced in the states and not in the central government. It’s got a very strange name. It’s called “The Police Power” and does not refer to the common modern sense of what police do, which is law and order, arrest criminals, stop crime, protect property. The police power in the 18th century sense says that the government has the responsibility to look after the good and welfare of the commonwealth, which means looking after the welfare of the people.

Gary:          It’s a very broad charter of powers. It says the government must step in to do all sorts of things: educate people, pick up rotting carcasses in the street, improve morals, enforce the Sabbath, enforce rules and morals, govern sexuality and private life. It’s an extraordinarily broad charter of powers. It’s unknown to most Americans, incredibly. And so if I were to mention to someone walking down the street, tell me about the police power, they’ll start talking about the local cops and rounding people up and putting them in jail. But the idea that this is a much larger charter of power, it’s invested in the state legislatures, not in the central government, is a carryover from 18th century Britain, where it was called the public police. And in this moment when Americans are creating this very limited central government wanting to protect individuals against the tyranny of the central government, they are investing their state governments with extraordinary, almost unchecked power.

Gary:          And here’s the way in which you can understand how broad this power is. Every American knows about the Bill of Rights. What is the Bill of Rights? The Bill of Rights says there is, at its core, I’m not going to list the different freedoms and liberties it enshrines, but at its core is the belief that surrounding every individual, there must be a sphere that is inviolable and no government can touch that person in his privacy or in his speech or hers or her religion—except under the most extraordinary circumstances. It’s very celebrated in terms of what Americans do. It turns out that the Bill of Rights does not apply to the states. It applies only to the federal government.

Gary:          So the First Amendment says, Congress shall make no law abridging freedom of speech or religion. Now, when I read that for most of my adult life, I just thought, well no one in America can make a law abridging freedom of speech and religion. While it turns out, the courts interpret that literally. Congress can make no law abridging freedom of speech and religion, but it does not apply to what the state governments can and cannot do.

Gregory:     Who decided–and why did they decide–to allow the states to maintain this kind of power that they didn’t want the central government to have?

Gary:          This remains something of a mystery to me.

Gregory:     What is your theory? 

Gary:          Well, I have several theories and I’ll share them with you. One is that, the most benign theory is this, that they, the Americans of the late 18th century, are engaged in a revolution. They’re getting rid of a king. They’re inventing a revolutionary kind of politics, which on the one hand is tremendously exciting. On the other hand, it’s tremendously scary. They are in their own minds establishing a republic, which is a polity in which the people are sovereign. But they were worried by the history of republics and that republics can degenerate into democracy. And democracy is a bad word in the 18th century among a lot of people because it meant the rule of the mob.

Gary:          So how do you protect liberty and how do you make the people sovereign and how do you ensure that this won’t descend into anarchy? And so in this moment of incredible creativity, there is nervousness that they won’t have enough order, that the people will literally run amok. So some institution of government has to be invested with the traditional sort of power. What institution should be invested with this power? Not the central government, which is identified as the locus of tyranny, but state governments. Because after all, they are the governments closest to the people. And plus, the state governments operate according to state constitutions, which unlike the federal constitution, are easy to change. So if you invest a lot of this power in state governments, you are in a sense giving it to the people. And the people most of the time are not going to do anything wrong. And if they, because they’re the people and there’s a tremendous belief in that, and if they do do something wrong, they will step in to change the constitution.

Gregory:     So, one; It may have been an insurance policy.

Gary:          Yes.

Gregory:     Two; It was justified because states were representative of people and people wouldn’t do that to themselves. But you also mentioned another possibility that the understanding of the late 18th century of classical liberalism was imperfect.

Gary:          Yes.

Gregory:     So in other words, the framers may not have fully understood…

Gary:          The consequences of their action. That is correct. So they developed a theory of government tyranny that pertained to a government that was distant, ruled by a king or a powerful executive. Many of the founders didn’t really think that governments that were close to the people would behave in nasty ways. They thought that if you really invested the people with the right power, they would do the right thing. And they hadn’t reached the point of saying, there will be a day when any government, no matter how far from the people are close to them, will do something wrong and will violate the right of an individual or a minority that should not be violated. That was not part of the democratic theory at the time. So you could say a lot of them just didn’t worry about it. It was not a problem. They had trouble imagining how the people would oppress themselves.

Gregory:     Those are two rather benign theories.

Gary:          Now there’s a more malignant explanation for this that I ought to raise. The Bill of Rights only refers to the rights of persons. It refers to the rights of persons much more rigorously than the Constitution, in the Constitution you have the concept of other persons, other persons refers to slaves. There was no conception of other persons in the Bill of Rights.

Gary:          There is the possibility lurking underneath this that when James Madison, who is someone who sees clearly the problems that are going to arise if the states are not made subservient to the Bill of Rights. He says, at the end of the day we’ve got to have an 11th amendment making the states subservient to the Bill of Rights. And even his fellow Virginians won’t give them any time of day for that. And you asked why did this critical crafter of the Constitution, why was he greeted with such silence about this? Well, I think it’s possible that some of his fellow Virginians and other Southerners thought that this Bill of Rights, if made incumbent upon the states, could be used to undermine slavery.

Gary:          Because at the end of the day, the states were responsible for whether there would be slavery or not with regard to peoples of African descent. And if you made the Bill of Rights, which talks about the rights of persons, incumbent upon the states, what would stop a slave, who was a person–and no one denied the personhood of slaves–what would deny that person the right to go to court and to demand liberties promised in the Bill of Rights?

Gregory:     This is a hunch of yours? This is a theory of yours?

Gary:          This is a hunch; this is a theory of mine. And various historians hint at it, but they don’t discuss it fully. The grand compromise of the Constitution had already been agreed to, that the issue of slavery would be left to the states. Slavery would be protected in those states that wish to protect it. And so lurking in my thinking is the possibility that, if the Bill of Rights was made incumbent upon the states, there was this understanding that this would upend the great compromise of the Constitution.

Gregory:     Could this also have derived from the fact that there was competition among the states and they wanted to preserve some power unto themselves?

Gary:          Yes. Yes. Yes. Several of the original 13 states had been colonies for more than a hundred years. In other words, they were long-standing entities. They had long-standing powers. They had long-standing systems of representation. They were connected to the metropole of London more closely than they were connected to each other. And so another explanation is simply they were loath to give up more power than they needed to because the representatives of the states in the Constitutional Convention were representing political entities that had existed in their own minds for a long period of time. And they were reluctant to give up too many of the privileges that they thought would transfer from the colonies to the states.

Gregory:     So you have a variety of theories, but is your hunch that this was a singular decision or was it a series of political compromises?

Gary:          I think we will never find the smoking gun as to why the states were left with this extraordinary and unexamined power. I think I’m floating various theories because I don’t think it was decided in a day. And I don’t think it was decided directly. If you searched the Constitutional Convention, you will not find lengthy debates about this. And so this was a way of, I think, of making a set of insurance policies for people who who were concerned with different risks all saw in this set of powers given to the states a kind of insurance. That made them more comfortable with the radical experiment and central government power that they were creating.

***

Gregory:     You have identified three strategies that have powered what you have called the “improvisational central state-building project” in the United States. What are those three strategies and could you give examples of how each was used?

Gary:          Yes. Let me give you a bit of background first. I think it has to be granted that the states have robust powers and they can do a lot of things and the central government is sharply limited in its powers. While there are certain things the states can’t do, like build a transcontinental railroad. One state can’t build a railroad across the country. The states can’t effectively fight a war. They can’t have their own currency systems. There are things that need central government power. And so the question becomes, by after the Civil War in the late 19th century, there’s increasing demand by the people of America on the central government to do things, to build railroads, to build infrastructure, to build roads, to create incentives for Industrialization to regulate industry.

Gary:          Because the central government did not have a clear charter of powers to regulate industry, to take care of the morals of the American people, which the states are perceived as failing to do. So there are increasing demands on a central government that is formally limited in its power. So the question becomes, how does a central government formerly limited in its powers get additional powers? In a situation where the Constitution for all intents and purposes can’t be changed unless you fight a civil war. And the US is not ready in the late 19th century to fight a second civil war. The Civil War amendments were relatively easy because if you kick a third of the states out of the Union, it becomes much easier to get a constitutional amendment through Congress and through all the state legislatures. But with all the states present with all their varying interests, amending the Constitution is in normal times a near impossibility.

Gregory:     What were the forces in the late 19th century that led to a growing demand for a stronger central government?

Gary:          One is the country is expanding and it sees its future in expansion. And first it’s contiguous expansion. And then after 1898 it’s international expansion. It is: How do you govern colonies? Where are the powers to govern colonies come from? What will Hawaii be? What will the Philippines be? What will Puerto Rico be? So part of it is expansion and how do you govern these different kinds of territories and different kinds of peoples, not anticipated by the original Constitution. Another is that the US is interested in economic expansion. It senses within itself the capacity to be the major industrial player in the world and that can’t be done without government incentives. And then when the inequities of capitalist development become manifest, who’s going to have the power to step in to regulate industry capitalism and its own interests and who’s got to have the power to give workers and others who are suffering the costs of industrialization a better deal?        

Gary:          There is an intensification of the problems that we now associate with capitalist development, which is patterns of economic booms, which become speculatory booms followed by busts. And so once you have an economy that is growing by boom and bust, you have not simply economic expansion but severe contraction. You have the intensification of severe social conflict in America in the 19th century. So there are fears that the Republic can’t hold with the antagonisms between farmers and railroads, the antagonisms between Andrew Carnegie and his steel workers on the one hand and the steel workers who are working for him on the other who are working under very difficult circumstances, the number of people who can’t get decent jobs or who can’t support themselves.

Gary:          These problems are becoming so severe that there is a feeling that some force outside of industry or labor has to step in to regulate industrialization. And of course industry is also accompanied by, everywhere in the world, intensive urbanization. So the United States had been dispersed agricultural land, and suddenly it’s got these big cities and huge numbers of people living together often uneasily because the demands for labor are so high, a lot of people are being brought in from abroad. And so in these urban areas you have a clash of cultures, you have a clash of morals, you have clashes of religion and people are living in circumstances that are economically harsh.

Gary:          Not enough provision is made for housing and sanitation and all the things that go with big city life. And all these issues are percolating and overwhelming America in the late 19th and early 20th century. And the states are failing to do this work. And in part they can’t because the corporations are bigger than any single state. And what you might regulate in one state doesn’t work in another. Or if you regulate a corporation too much in New York, it’ll pull up its stakes and go to Alabama or Texas where the laws are less severe. And so a demand arises for some kind of a national regulation to get a tremendously chaotically expanding economy under control.

Gregory:     And so the demand for national regulation puts pressure on the central government, which does not have the authority. Which leads to the development of these three improvisational state-building strategies.

Gary:          Exemption, surrogacy, and privatization. Exemption and privatization are the two easiest to understand. Exemption simply says the government is going to exempt itself from Constitutional constraints in these areas. And they tend to be issues that the government is involved in beyond the formal borders of the country. Immigration is defined as exempted. So immigration is not covered by the Bill of Rights or Constitutional guarantees. So if you want to exclude Chinese from coming to the country as the United States government decided to do in 1882, you can do it. If you want to throw Mexicans out and  deport them from the country, these Mexicans are going to have very few rights. This gets defined as an activity that is exempt from Constitutional scrutiny.

Gary:          Also, the possession of colonies: up until 1898 any territory taken by the United States is considered to be an incorporated territory. It’s a legal term, which means if it’s incorporated it will be put on the road to statehood. Well, the US government is not sure it wants to put Puerto Rico, Hawaii, and the Philippines on the road to statehood. Hawaii is put on the road to statehood, Puerto Rico and the Philippines are not, so a new term is invented for those lands which is called the unincorporated territory, which exempts the US government from having to put these territories on the path to statehood. Which means they have no right to be self-governed.

Gregory:     So, exemption applies to gray areas in which there is no Constitutional authority. Did no legislators at any point say we must create laws that would put this gray area under Constitutional authority?

Gary:          Yes. Yes.

Gregory:     What were those discussions and debates like?

Gary:          These debates were furious. Some Americans said what distinguishes America is that when America expands, it doesn’t treat the newly acquired lands as colonies of the original metropole. Right? We can imagine a different form of political development in America where the 13 colonies remained supreme forever and Texas and Kansas and California, the state in which this interview is occurring, will be something else. They will be subservient to the others. So the US has a mechanism for spreading the fruits of self-government everywhere. So some people are saying we can’t invent a new mechanism. Other people are saying, well, we can invent a new mechanism, which means we should not be taking the Philippines and Puerto Rico as colonies. We don’t want them. We just refuse, and make them self-governing, independent immediately. That’s something else. So there are furious debates about this and then there are furious debates about what the rights of immigrants are.

Gregory:     But were there also broader debates about the existence of these gray areas and whether they should be put under Constitutional authority?

Gary:          Yes.  But all liberal democracies have gray areas. And I have a new essay coming out, which I call spaces of exception, which are spaces where the flag flies, but where the Constitution does not follow, and I argue in this that this is not a particularly American problem, that every liberal democracy is going to confront certain issues for which they’re not prepared. And they’re going to acquire certain lands and peoples that can’t be incorporated fully and instantaneously. We might wish for a different situation. But all liberal democracies have spaces of exception and they come to depend on spaces of exception as a way of solving nettlesome problems in uncomfortable ways. And it’s critical. And if the liberal democracy is to survive, it’s critical that these spaces be seen as limited in time, limited in space.

Gary:          And if they are not and limited in time and limited in space, if they are not seen as exceptional, they will become the norm. And liberal democracy will vanish. And part of the story of Trump is that he’s taking mechanisms that were invented, these spaces of exception, and turning them into something much more dire: mainstream, normative. And if this goes on for too long, if the camps housing immigrants in the Southwest remain in place for too much time, housing too many people, then America will lose its normative reputation as being a democracy. In other words, the exception will become the norm. So, Trump is taking certain devices that were invented in the late 19th and early 20th century, meant to be exceptional spaces, and turning them into something mainstream and normative. And if that happens, then liberal democracy will, in America, will cease.

Gregory:     Now, can you please explain the second strategy, surrogacy?

Gary:          The central government has certain powers that it can act upon at any time. It can make war. It has the exclusive right to emit currency and to regulate the currency. It has other laws it can use to its advantage but it remains limited in terms of what it can do. Let’s say, for example, Americans are concerned about immorality in American society. The federal government actually has no statutory power to render Americans more moral. What do we mean by more moral? That they have the right sexual practices, that they abstain from sex before marriage, that they remain monogamous, that they don’t shop on the Sabbath or engage in commerce on the Sabbath, these sorts of things. The federal government does not have, by what the Constitution says, the right to act in these areas. The states have these rights.

Gary:          In the late 19th century, there was a man by the name of Anthony Comstock saying women have much too much access to birth control information. They’re having abortions, which he considers immoral, which leads to promiscuity and all kinds of immoral practices in American society. He wants to act. He wants some kind of federal law that’s going to prevent that kind of immorality from happening, but Congress can’t pass a law that says abortions are immoral. It just doesn’t have the authority to do that. What he says is that the government has the right to regulate the mails. In the late 19th century, most information about birth control, also pornography, is traveling through the mails, and so he wants to use the post office to regulate morality in American life.

Gary:          This is what I’m calling surrogacy. You take a power given for an explicit purpose, and, from 1792, the federal government has the unambiguous right to regulate the mails, and you use it for something else. You hang on the peg of the post office a campaign to eliminate obscenity and knowledge about birth control from American life. This becomes one of the activities that the post office is engaged in. The post office becomes one of the biggest centers of bureaucracy and administration in American life. Are they doing this just to deliver the mails? Well, the US does have a remarkable postal system, that is true, but they also begin to take on all these other tasks which Congress is asking them to do because Congress can’t address these other problems directly. Another example, there’s pressure in the early 20th century to regulate prostitution. The Congress can’t pass a law saying, “We outlaw prostitution.” States can do that but not the central government, but the central government has the unambiguous right to regulate interstate commerce. This is a power given to it by the Constitution. Congress passes a law saying that any prostitute carried across state lines enters the stream of interstate commerce, and thus anyone purveying these women across state lines can be prosecuted in federal court.

Gregory:     What year was it?

Gary:          1911. It’s called the Mann Act.

Gregory:     And now to the third strategy, privatization.

Gary:          Privatization is something Americans will be familiar with. If the government can’t do it, find a private organization that can. If the central government is going to be formally limited in its powers to enact change, it needs help and assistance, and, in the 19th century, it turns increasingly to the private sector for help in building railroads. It turns to religious groups for help in enforcing morality. If the federal government can’t legislate about birth control or prostitution, well, it can give money and support to private church groups to become very active as advocates for a purer moral order. In all kinds of areas of life, the federal government looks for allies and adjuncts to carry out its power, to carry out its wishes.  There’s nothing to stop it from asking someone of influence and power in private life, to use their soapbox, and, let’s say you were a minister, to use your church to try and persuade people of the virtue of certain courses of action. In all kinds of areas of American life, the US government looks for allies in the private sector to carry out its wishes. If it asks them to volunteer to do this—or maintains the myth of volunteerism—then it sidesteps the thorny Constitutional issue about whether the federal government is actually allowed to participate in these activities.

Gary:          The US develops a model, especially at the federal level, of private public interpenetration, of finding corporations, church groups, labor groups, all kinds of voluntary associations to carry out the wishes of the central state without the central state coercing them to do that, and that has seemed to be permitted. It’s almost as if the central government becomes a national bully pulpit of asking private actors to do its work. Sometimes it has the authority to do something. It has the authority to build roads. It has the authority to build a national railroad across the entire country but its administrative capacity is limited. It’s the number of bureaucrats it has. The expertise it has is limited, and so it goes to the private sector. It goes to private industry and says, “Do this work for us and we will pay you for it.”

Gary:          Of course, the danger there is if, once you’re enlisting and conscripting private actors in public projects, sometimes the public value of this gets lost, or it gets swamped by the private interests of the people getting the money and the charters.

***

Gregory:     So those who wanted a stronger central government have repeatedly used these three improvisational strategies.

Gary:          Yes.

Gregory:     At no point did these people say, “This is not good enough. We need to change the structure of American government.” Were there no efforts to make these strategies more than improvisational?

Gary:          Oh, there was enormous pressure to do more.

Gregory:     When was that?

Gary:          Well, it begins in the late 19th and early 20th century. The protesters in America and also the state-builders, they looked to Europe. They looked to the large centralized states of Great Britain, France, and Germany principally, and they see the state having powers and administrative machinery to provide welfare, regulate industry. They perceive Europe as being far ahead of America in these respects, and many of them go to study in Europe and they come back with the European ideas and they try to implement them.

Gregory:     But did anyone seek to build a stronger central government through strategies that were more than improvisational?  Was there ever an attempt to say this Constitution has a fundamental weakness to it, that the balance between state police powers and central government liberalism is not working?

Gary:          Yes, in the Progressive Era in the early 1900s these issues are being fought out intensely, this is the moment where there is a serious Constitutional politics in which many, many Americans–ordinary farmers and workers plus leading politicians like Theodore Roosevelt–are saying the Constitution is crap. It’s not working. We either need the Supreme Court to deal with these problems of industrialization that they refuse to deal with or say the central government doesn’t have the power or we have to change the Constitution. The Progressive Era is the only period in which they are successful in pushing through a set of Constitutional amendments. It’s the only period in American history where Constitutional amendments pass in a moment that is not extraordinary. What’s extraordinary? The founding of the country is extraordinary. You get 10 amendments there. The Civil War is extraordinary. You get three amendments there. You get four amendments in the Progressive Era. You get the power to tax, you get the direct election of senators, you get the right of women to vote, and you get Prohibition. You get four Constitutional amendments. Now, there is a war in there but it’s not principally because of war. You get four Constitutional amendments within a space of 10 years.

Gregory:     That, you’re saying, is the largest surge for support for reorganizing the government constitutionally.

Gary:          Constitutionally, yes.  But the kind of change that you’re asking about does not become an amendment, which would have said the US government has the right to regulate manufacturing. That’s something they could have done, right? However, giving the US government the power to tax has enormous consequences because its power to assess taxation is distinctly limited before then, and this gives the government another very, very large power, which it did not have, which is going to promote, over the long term, a politics of redistribution, of being able to tax the very wealthy at very high rates and use the money that’s coming into the federal government to benefit the lower orders of society.

Gary:          At some point, I’m going to write an essay on what made this progressive moment so unusual because I think, if this Constitution is to survive another century, we’re going to need another Progressive Era where we amend the Constitution in a meaningful way.

***

Gregory:     On that note, let’s please take a step backwards and talk about the military career of Andrew Jackson and what it tells us about the strengths and weaknesses of a weak federal government.

Gary:          Andrew Jackson was many things but, among the things he was, he was a very successful general and military leader. If you’re a betting person in America in 1805, you’re betting that what is the United States will not survive in its current form, its current geographical form, because the central government was too small and already the land mass that the US had acquired through the Louisiana Purchase is so vast. It does not have a central government machinery, it does not have a standing army that can police and patrol this whole area. If you’re a betting person, you’re betting that North America is going to look like what South America is becoming, which is this: multiple republics descended from one imperial ancestor. The South American model and also the southern part of North America, Mexico, Argentina, Peru, Bolivia, these are all republics, or countries wanting to be republics, descended from one imperial ancestor.

Gary:          This helps me make sense of another puzzle, which I didn’t understand for the longest time. What is Aaron Burr, a very distinguished figure in the early American public, almost president of the United States, why is he going off on a filibuster to take part of Mexico to set up his own republic? It’s a good bet to be making in the early years of the 19th century because you’re betting that the central government can’t hold this place together. In place of one United States, you have an eastern United States, you have a southern United States, you have Texas, you have California, and maybe Mexico itself becomes part of an assembly of republics. In other words, a very different shape to North America. This is what you’re betting on.

Gary:          The question becomes, how does the center hold? How does this sprawling territory that wants to be a country, how does it enforce its will? Some of that answer has to do with Andrew Jackson, both his skills as a general and we might say his ruthlessness. Him developing a model of military force, and also a deep commitment to having this larger continent-wide republic survive, this is his vision of America and he is going to stop at nothing to do it. He developed some model of military action that requires a small standing military and instead depends on the martial valor and ruthlessness of citizen soldiers, those people living in Tennessee and other places on the frontier, living in very insecure circumstances. He finds a way to mobilize them in a project to maintain this great dream of the United States on the one hand and, on the other hand, he conscripts them in his plans by promising them land and freedom and territory, land that first and foremost has to be cleared of Indians, and then has to be cleared of rival European powers.

Gary:          He has a remarkable string of successes. I never, in my earlier career, paid much attention to the War of 1812. It’s kind of the untaught war, but this is the war that demonstrates that America can hang together. Andrew Jackson, in the course of that war, which begins before 1812 and really goes until the 1820s, he defeats the British, he defeats the Spanish, he defeats multiple Indian tribes in different locations, he defeats a military federation. If you want to look for the place where America ensured its survival in its continental form, perhaps forever, or at least for a few hundred years, it’s the War of 1812 that does it, and General Andrew Jackson is the key pivotal figure in that drama.

Gary:          There were groups in the American government who did not want to unleash the ferociousness and ruthlessness and savagery of Andrew Jackson. They believed that there was a different future available to America. Not really peaceful coexistence with other European empires. I think there’s a consensus that Spain and Britain had to be excluded as much as possible from North America, or at least south of Canada, but there is a faction in the government that says, “We have treaties with these Indian nations. We have to respect their land claims. We have to respect these treaties. We have to live peacefully alongside them and we can do that.”

Gary:          But for that scenario to unfold, the United States would have had to have a much larger standing army responsible only to Washington, not to the states, not citizen militias, farmers fighting for their land. These would have had to have been professional soldiers, not attached to a particular plot of land in Tennessee or Alabama or Mississippi, clearly fighting for Washington and its intentions. It would have required a string of forts, manned by these professional soldiers, but America has said, “No, there will be no standing army of this sort because that is going to corrupt the central government.”

Gregory:     Just to make sure I’m understanding this right, Jackson’s military genius allowed for the small army to expand when needed, use force, and then to condense itself?

Gary:          Right.

Gregory:     That was also the genius of the federal government, of a weak federal government, on some level. The ability to expand when needed, then to contract.  Right?

Gary:          Right.

Gregory:     The weakness was its inability to impose its will on a growing country. What were the consequences of not having a central government that could extend its power to a growing country?

Gary:          The amount of land that the US had acquired, especially through the Louisiana Purchase, was simply extraordinary. If it was to reap the benefits of that land, that land had to be settled. It wanted that land settled with its own people, which it defined as Americans, which it defined as people of European descent. That meant westward expansion, not just of land but of people. This land was full of other people not of European descent and it was full also of people who were either part of the Spanish empire and in the process of Mexico becoming independent, of becoming an independent republic. The government was faced with the challenge of populating land with its people at a time when that land was populated by other people who had other ideas about what that land was to be used for.

Gary:          The US either could have built a much stronger central state to impose its will, both militarily and administratively. It could have ruled from the center, as London ruled much of the British Empire, or it could have relied on settlers who doubled as soldiers to take the job of expansion into their own hands. The US, almost in every case, opts for the latter strategy, not the former. They would have had to erect a different kind of central government from the one it had.

Gregory:     You’re implying that, had there been a stronger central government during westward expansion, that it could have been less chaotic, less anarchic, less violent.

Gary:          And less barbaric toward the Indians. Absolutely.  You have been asking me on several occasions, were there not Americans who had a different view of this? There are Americans who have a different view of westward expansion, who want to see it much more controlled, but they also tend to be more conservative. They want to see it more controlled by elites. They want elites of different nations to coordinate, diplomatically, their relations with each other. They understand the savagery that can be unleashed if the white settlers are allowed too much autonomy. They can’t do it.

Gary:          There are these moments where the settlers just won’t be restrained under any circumstances. Here also is where the state governments come into play because the western land is being turned into territories with the promise of statehood and the federal government wants to deliver statehood pretty quickly because states become a mechanism for ensuring order on the frontier that the central government can’t itself deliver, but what guarantee does it have that these states will enforce Washington’s wishes?

Gary:          This happens in Georgia, where Washington wants to honor the treaties it has with the Indians living in land that now belongs to the state of Georgia and the Supreme Court sides with the federal government against the state of Georgia, and the state of Georgia says, “To hell with Washington, to hell with the Supreme Court. This is state government here. We’re going to do what we want to do.”

Gary:          Then, there are countless examples of white settlers initiating conflicts with Indian tribes that the central government doesn’t want because either it’s not prepared to send a lot of troops there or it genuinely wants to honor certain treaties that it has with these Indians. It can’t stop these settlers from going into these territories and so the central government gets involved in military conflicts with Indians that it doesn’t want. At a certain point, so much chaos is being generated on the frontier that it can’t just say, “We’ll have nothing to do with this.” It has to send in its troops to clean up the mess.

***

Gregory:     There’s one line that perhaps best connects your books American Crucible and Liberty and Coercion. It reads: “The political failure to build a more capacious state, one might argue, heightened the importance of race as a sinew of sovereignty in this new nation.” Can you please explain this line?

Gary:          If you’re not going to have a powerful central government to enforce order on the frontier, where’s that order going to come from? The central government in Washington understands that the settlers, in many circumstances, can’t be trusted, that there’s a savagery and a determination in them to get land and to act on their own, so what will order look like on the frontier?  If the central government is abdicating its responsibility, it is reliant on settlers, citizen soldiers, to provide that order in circumstances of chaos. Where is that sense of order going to come from? It’s going to come from a strong sense of community. What are the bonds of community? Increasingly, the bonds of community are racial. We settlers are on a mission. We are the carriers of certain ideals. Those ideals are deeply embedded in our history and our national origins. They come from Britain, they come from Germany. We have a special destiny to establish a republic of liberty unlike any in the world. Many peoples of the world can’t understand what we’re doing. If we’re to be successful, we have to clear them out of the way.

Gary:          It becomes a process of settlement that finds its ultimate justification and bonding in blood and ethnoracial purity and in whiteness and in European-ness or whatever you want to call it, a sense of “we”, and here I’m ventriloquizing, the settlers, we are the carriers of a special heritage. We have a particular origin. We have a particular heritage, which is not something you just learn in school. It’s who we are. It’s the blood running in our veins. This will bond us with each other in ways that will make us strong enough to carry this experiment into the wilderness and defeat the savages that we find there.

Gregory:     Isn’t whiteness then created at this point? Doesn’t this heterogeneous group of settlers from different ethnic origins become white as they meet and fight Native Americans and Mexicans?

Gary:          Yes, absolutely. Theodore Roosevelt articulated this most forcefully in his historical writing, The Winning of the West. He was never a man for the narrow conception of racial purity. He was something of a mutt himself, part Dutch, part English, part German, and he believed that the fighting against the savage Indians was the crucible that made America, and the crucible was a melting pot.

Gary:          It fused out of the myriad strains of Europeans who were coming to America. It fused them into a single American race, so they come to inhabit their whiteness fully, and you’re right. It’s precisely in these encounters with racial others that, what comes to be understood as a commonality of Americanness gets forged.

Gary:          It is a commonality that comes to be understood as white, and that stands against those who are not white, and it generates ideas and then myths about America as a crucible, America as a melting pot but, from the start it’s conceived as a racialized melting pot. In other words, only certain kinds of peoples are let in and, if you have too many non-whites let in, the compound will be contaminated.

Gregory:     In short, you’re saying that white supremacy kept this community of white Americans together as the country moved westward.

Gary:          Yes. I don’t want to suggest that white supremacy is the only thing that matters on the frontier, but it was a critical element in community building and bonding on the frontier. It also created the resolve that was thought to be necessary for what comes to be regarded as savage war against the Indians.


***

Gregory:     This is all extraordinarily fascinating.  But given all the terrain I still want to cover, let’s now move forward in time and focus again on the power and weakness of the federal government. Can you explain why the central government expanded in capacity and authority in the 1930s and ‘40s?

Gary:          Depression and war. The Great Depression that begins in 1929 and doesn’t end until 1941 is the most serious economic downturn in American history, 25% unemployment, despair, widespread recognition among almost everyone that capitalism is a system that’s not working. It discredits laissez-faire economics, market-based economics. It discredits it for 50 years, so that the people who are so prominent in American life today with their laissez-faire economics don’t get any kind of hearing from 1933 until Reagan is elected in 1980, almost a 50-year period.

Gary:          The belief takes root that only when you have a strong central state that can regulate the economy, this is its only chance for success, so what you get in the 1930s is what America’s never had until that point, which is a strong regulatory state with the ability and the will to regulate the economy, not just for the people on the bottom, but for capitalists themselves who are desperate for some kind of regulation from without so they can assure themselves of a regular stream of profits and not the collapse that they were subjected to in the 1930s. This is when laissez-faire jurisprudence gets overthrown by surrogacy, not by constitutional amendment.

Gary:          There’s a figure I love, farmer Roscoe Filburn of Ohio, who’s growing wheat on his own property and insists it can’t be regulated by the government because it doesn’t enter interstate commerce. And the Supreme Court, this is Roosevelt’s Supreme Court, says nine to nothing it is interstate commerce—so that’s the Constitutional revolution that, without an amendment, legitimates what the New Deal is doing and angers conservatives from now until the third millennium.

Gary:          The other great factor is World War II, which the emergency is so great, the attack by the Japanese, the threat of Nazism, the World War, that, for a period of war, all restraints on government basically are suspended. What’s even more important than World War II is the following of World War II with the Cold War, which is a state of near permanent war.

Gregory:     Let me get one more question before we get to ’40s, ’50s.

Gary:          Okay.

Gregory:     What did positive liberty mean in the context of the New Deal?

Gary:          So, there’s negative liberty and positive liberty, according to some political theorists. Negative liberty is associated with classical liberalism of the 18th century.  Classical liberalism believes in getting governmental structures out of the economy and letting people be free to do what they want to do. This is why the central government is made weak, so it can’t prevent the market from developing and allowing people as individuals to do what they want to do.

Gary:          This is understood as negative liberty. You simply remove the negative forces that are hampering liberty, and then you and I get to enjoy the full liberty that will now be within our reach, so it imagines that people live in a natural state of liberty, and what’s holding us back is monarchy, aristocracy, large, centralized tyrannical governments. You remove all that. You let us be our natural selves. Adam Smith, we truck, barter, and trade. That is you remove the negative influences that hold down our individual liberty. For a long time, those people who called themselves liberals said this is all that’s necessary for a liberal polity to develop.

Gary:          Those who began to talk about positive liberty and, here, Franklin Roosevelt is crucial. He doesn’t use the phrase himself. But if we want to understand what he’s doing, it’s positive liberty, because he’s the person who changes the meaning of liberalism in America. He says, ” Gregory, Gary, it’s not enough for government just to remove centers of government power, monarchy regulation because you guys don’t have enough education, you don’t have enough opportunity, you don’t have enough security, you live in an unequal society, and if we just let market forces run wild, you’re not going to be able to enjoy your liberty because you’re going to be poor, and you’re not going to get enough education.”

Gary:          So, in order for you and me to enjoy our liberty, we need assistance. We need education. We need college. Maybe we need graduate school. We need some unemployment insurance when we lose our jobs. We need help in getting a mortgage. We need education. We need public support for the arts because us having a full measure of individuality means we need to be cultured in some way.

Gary:          So, he says we are going to take positive steps so that you are in a position to enjoy your liberty. Think here of individuality fully, that we are going to educate you to the best of your potential. We are going to surround you with opportunity that is going to allow you to realize your liberty fully. So, in order for us to do this, we need a strong central government to make certain provisions.

Gregory:     So, he redefined liberty from just being the absence of someone controlling you arbitrarily.

Gary:          Yes, to the promise of assistance in allowing you to enjoy and achieve your full potential and that is, if you think about it, that’s what modern liberalism is, right? It’s a series of supports, a series of remedies to help against the casual brutality of economic life, misfortune, poverty, various inequalities in the larger society, things that hold us back.

Gregory:     So, modern liberalism isn’t liberal at all.

Gary:          Not by 18th century standards, no. 

Gregory:     Did FDR use the term liberal?  And were conservatives upset that the term had been redefined?

Gary:          Yes, he did, and Theodore Roosevelt did not, so what’s relevant about that is that everything Franklin Roosevelt does, he models on older cousin Teddy, who was his hero, but Teddy is a progressive. He’s not a liberal.  Franklin Roosevelt is the first liberal.

Gary:          One of the things that bothers Herbert Hoover most is that Roosevelt not only stole the presidency from him, but he stole the term liberalism. Liberalism was no longer negative liberty, you know, freeing the individual from constraints. Liberalism was now positive liberty, and his point was exactly your point. Liberalism had become something else entirely, so it was a betrayal of the term and the philosophy, and he will ultimately call himself a conservative, but conservative’s not really the right word for what he was.

Gregory:     So, the expansion of federal government in the ’30s and ’40s arose from the challenge of the depression and the expansion of government and governmental powers, as well from the increased taxation needed to run a world war.

Gary:          Right.

Gregory:     Now, please take us into the Cold War in the late 1940s and ‘50s. What happened in the Cold War era that led to the expansion of central government power?

Gary:          Well, the critical question in 1945 and 1946 is, would the powers that the central government had taken in depression and war survive? The model in America is that, like Andrew Jackson’s army, the government expands and collapses as needed. This is the model. The war’s over. The army shrinks. The Union Army has, in the Civil War, three million men under arms at its maximum power. By 1890, it has 25,000 soldiers.  In World War I, it has four to five million men under arms. By the 1920s, it’s down to 120,000, and the kind of the social and governmental infrastructure also gets dismantled after those previous wars.

Gary:          But now this new threat arises and the Cold War is a different kind of war. It’s a war that happens without an official declaration of war and it’s also the first war in human history where the principal antagonists can’t really fight each other because if they do, the world is destroyed. Well, then how do you fight? You fight through proxies, you fight through various kinds of competitions. You gear for the long term, but there can be no quick decisive victory. So this is not only a war without an officially declared beginning, it also is a war without end. It becomes the longest war in which America was involved, from 1946 to 1989, so almost a half century.

Gary:          America decides, because the threat from the Soviet Union is regarded as being so severe and so existential, both because literally they have the ability to blow us up and because Communism represents the negation of everything that America stands for, that America has to maintain the kind of large military establishment that it had never wanted to have before. So what Andrew Jackson didn’t want and what other Americans didn’t want, a large standing army, comes to America for the first time through the Cold War era.

Gary:          Republicans acquiesced to this, and it also meant acquiescing to a large government, which otherwise I think they would’ve taken down because they believe that the greatest menace to America is not the New Deal or a welfare state, which they sort of believe, but they believe that the Communist threat was so great that America had to stay on a war footing, which meant a large standing army for the first time in its history. Then you get a military industrial complex. Also, there was the understanding that the Soviets had to be fought in every realm, not just militarily, but you were competing against them economically, you were competing against them  to demonstrate who was taking better care of their people. So Republicans acquiesced to what the New Deal had set up. They acquiesced to a state of positive liberty.

Gary:          What would we expect a Republican president to do today? Imagine this kind of transformation in every sector of the economy, which is what Roosevelt had accomplished. Well, the Republicans today would want to get in there and take the whole thing down, everything down. But Eisenhower gets into office and says, ‘”We can’t do that. We are competing against the Soviets in every sphere of life. We have to demonstrate that our people, every one of our people has a better set of life chances than any communist regime has. That requires us to have a state of positive liberty that establishes certain levels of decency and opportunity. We can’t go back to the pre-New Deal environment because that is going to put us at too great a vulnerability in terms of waging the “Cold War.”

Gary:          So Eisenhower even acquiesces. Imagine this, think about this for a minute. What do you think the taxation rate on private incomes was, the highest marginal rate coming out of World War II?  It was 91% at the highest marginal rate.

Gary:          This was put up there and it went up to 75% in the New Deal and then it went up to 91% in World War II. So what’s the first thing we would expect a Republican president to do when he finally gets into office? Tear that down. Eisenhower does not do that. He says, “You have an obligation as citizens to pay taxes so we can take care of everybody and so we can wage this global fight against Communism.’” The global nature and the open-ended nature of this contest is critical because you’re fighting it everywhere, and because it’s open-ended. You just have to do certain things for the long term. So the Republicans end up being crucial to preserving the state of positive liberty that Roosevelt and the Democrats had erected under the New Deal and which Republicans today regard as the most devastating development in American life.

Gregory:     So the GOP adopts positive liberty because of the Soviet threat. And the central state is also fiscally flush. Now take us from here into the Civil Rights Movement.

Gary:          Well, it turns out the U.S. has to compete with the Soviets on the race question because this is a global war and there’s a feeling that the winner gets to be decided not just by one’s own strength but how many allies one has among the countries in the world. This is the great moment of decolonization. In fact, we should see the Civil Rights moment as an event in a longer history of decolonization, of freeing the subjugated peoples of color.

Gary:          So the Soviet Union and the United States are competing for the allegiance of what was then called the Third World. Whose side are they going to be on? Anytime there’s a serious racial disturbance or mistreatment of blacks in the United States, propaganda agencies of the Soviet Union broadcast it to the entire world. So suddenly the internal race problem of the U.S. is global issue number one in the Cold War. So the elites in the U.S. on the one hand and popular protest on the other are mobilizing to face the issue that can no longer be avoided.

Gary:          If you want to solve the problem of race in America, you have to strip the states of their police power because the states under traditional jurisprudence Constitutionalism were free to do in their states what they wanted to do. If they wanted to have a Jim Crow regime, they would have a Jim Crow regime. So in the 1960s, the Supreme Court under Earl Warren resolves finally to strip the states of their police power, or at least to make that police power subject to the Bill of Rights, the federal Bill of Rights. So what was not done in 1790 is done in the 1960s and it’s close to a revolution from above because these states have been operating with their traditional police powers for 150 years.

Gregory:     Wow.  At this point, I think it’s important to understand the two strategies used by the Supreme Court: incorporation and substantive due process.

Gary:          Yes. Incorporation is the simpler one. This is a judicial term which asks, ‘”Are the states incorporated under the Bill of Rights?’” Which simply means, are they bound by the Bill of Rights? The 14th Amendment has a clause in it that states cannot discriminate on the basis of race and other ascriptive characteristics. It was thought at the time by many of the framers of the 14th Amendment that this actually gave the federal government the power to incorporate the states on the Bill of Rights. But because of a series of judicial decisions taken in the 1870s and 1880s, the Supreme Court decides that the 14th Amendment in fact is not doing this. So it takes a different Court… and it really is the Warren Court, although it begins somewhat earlier, it takes a different Court to say the 14th Amendment actually does bind the states to the Bill of Rights.

Gary:          Now, what’s complicated about this is that there can be no general edict by the Court because that’s not how the Court works. Every right that an American has, has to be adjudicated on its own terms through a series of cases that gradually make their way up to the Supreme Court. So it’s a very time consuming and laborious process. It actually begins in the late 1920s and then goes through the 1960s with the Warren Court being the climax of it. On every right that a citizen is thought to have or not have and whether the states have to respect that right, every one of these has to be litigated individually. So it’s an extraordinarily time consuming process that takes 40 years. But at the end when Earl Warren retires in the late 60s and people are asking him why he’s retired, he says, “Well, I’m old and I’m tired. But I can also say now that the states have been substantially incorporated under the Bill of Rights. So my life’s work is accomplished.”

Gary:          This is an extraordinary moment and development in American life. Substantive due process is much more complicated. Let me first explain it in terms of liberty of contract because it’s easier to understand. The substantive due process, it took me a year just to hold that phrase in my mind. The 14th Amendment says, “No person shall be deprived of life, liberty, whatever, without due process of law.” That seems to suggest that if you got to deprive anyone of liberty, you must do it through due process. You must give them their rights, you must give them a trial, they have an opportunity to litigate it. It must be done with what the Constitution regards as due process. But another question arises. What is liberty? So the 14th Amendment says, ‘”You will not deprive people of liberty.’” Well, the framers of the 14th Amendment had the liberty of slaves in mind. You will not deprive a person of their liberty and enslave them without due process of law.

Gary:          But of course, liberty has many meanings as we’ve been discussing. So the question comes up in the 1870s, and in the 1980s, do corporations have liberty under the 14th Amendment? Of course, in that circumstance, do they have the freedom to buy and sell as they wish without government interference? The Supreme Court first defines them as persons, which they have to do in order to protect them for the 14th Amendment. But then it says, “Yes, liberty in the 14th Amendment means freedom of contract.” This is nowhere stated in the 14th Amendment. There’s nothing about liberty of contract in the 14th Amendment. This is imparting substance to due process. So we have to not only make sure that people, if a contract is violated, they can take it to court and have due process, we also have to decide as a court what is liberty, and liberty changes.

Gary:          So we are going to impart liberty of contract even though it’s not mentioned. In the 1960s, substantive due process comes up like this, do women have reproductive rights? Do they have a right to an abortion? It’s nowhere stated in the Constitution. Justice William Douglas invents a doctrine of privacy, but he says is inherent in the shadows of the constitution. By this doctrine of privacy… which is loosely connected to liberty, right? Because what is liberty? Liberty is the freedom to do things on your own if they’re not harming other people and especially the freedom to do things in your own home, which is your castle and no government can invade there except under the most extreme circumstances. So he says that women have the right to use birth control by this doctrine of privacy which is in the shadows of the Constitution and is embedded in this concept of liberty which is in the Constitution.

Gary:          It’s another example of imparting new substance to the meaning of liberty. What is substantive due process? It’s a way of finding new rights in the Constitution that are not mentioned in the Constitution and are not enumerated. It’s a way of what Louis Brandeis said was making an ancient Constitution that can’t be changed a living document. Given that you can’t amend the Constitution by including a right to privacy within it, we are going to reinterpret liberty as though it encompasses privacy and privacy entails the ability to control your own body as you see fit. So it becomes a mechanism for changing the Constitution, updating it to address problems that the founders had not anticipated and you need to do this because the Constitution itself can’t be changed.

Gary:          I mean, the straightforward way of doing this would be in the 19th century to pass a constitutional amendment that says, “The Constitution guarantees freedom of contract, laissez-faire.” In the 1960s, the way to do this would be to say the Constitution guarantees the right to privacy. But people don’t think that can be done so they find a way of changing the Constitution without changing it. That’s what’s so important about substantive due process. Here the anti-miscegenation laws which still prevailed in I think more than 20 states are declared unconstitutional in 1967 in Loving v. Virginia on these grounds, “That this is a matter of private liberty that no government has the right to interfere with.” Once Loving v. Virginia is decided by the Supreme Court all the state laws preventing marriage across the color lines suddenly and immediately become unconstitutional.

Gregory:     So how do all these shifts in understanding of government power manifest themselves today and hasn’t there been a profound conservative backlash?

Gary:          The root of what the Warren Court and liberals are doing in the 60s is the root of the utter divide on the proper scope of government that divides Democrats and Republicans today. It really originates from the 1960s and you can see both sides of the argument. I try and convey a respect for both sides of the argument. Conservatives say, “You can’t have unelected judges making all these decisions about what rights Americans have and don’t have. This should be done legislatively by the people. If legislatures want to pass laws, giving women birth control and so on and so forth, let them do it.” This is a slippery slope that’s going to make judges the governors of America and in that situation that people will no longer rule.

Gary:          The liberals say, “We’ve been struggling with this race issue for 150 years. We have no hope of giving African-Americans a full complement of rights unless we override the police powers of the individual states and enforce the Bill of Rights on everybody. This has to be done for elemental reason of social justice. If that requires us to take some more liberties with the Constitution through this doctrine called substantive due process, we will do it.” 

Gregory:     Was this done for reasons of social justice or for fear that country would soon become no longer viable?

Gary:          Well, both, but I think the America in the 60s is a hundred years beyond the Civil War and the problem of racial equality isn’t: It is as intense a hundred years later. So they have to keep the country together but they also feel that this is something that simply has to be done. So the liberals take their stand with the liberal Constitution and the conservatives are going to take their stand with originalism, right?

Gregory:     But didn’t the Warren Court’s achievements rest on an insecure foundation?

Gary:          This gets us back to the question of how do you dismantle police powers? How do you grant women fundamental rights when you have a Constitution that for all intents and purposes can’t be changed? If we imagine a different precedent, a different history, we could imagine a group of jurors sitting around and saying, “Police power belongs with the central government not with the states. If we’re going to have a general power to look after the good and welfare of the Commonwealth, let’s give that to Washington since they spend a lot of their time doing that anyway. Then if we transfer this to the central government, that police power will be bound by the Bill of Rights. So it will be less unfettered than it was with the state. So it will be better because it’ll give the central government a kind of broad power that many Americans have long wanted it to have. But we’ll also at the same time make sure that that strong centralized power is not used inappropriately.” That can’t be done. That would require a constitutional amendment. So what the liberal jurisprudence school, and the Warren Court is the highest expression of that, what they undertake to do, their fundamental point, is, we can’t really change the Constitution. We have to interpret it liberally. We have to update it. We have to make it relevant. We have to find in this document rights that are not enumerated, but that we’re going to insist that Americans have. That requires them to take certain liberties with Constitutional interpretation. That raises the question of whether this is something a Court should be doing or whether these are matters to be decided democratically by the people. So I find myself in the position of having some sympathy for the conservative critique of the Warren court because the Warren Court arguably did go beyond its remit constitutionally.

Gary:          But I also think if I was on the Warren court in the 1960s, I would have taken the steps that the liberal jurists on the court took to make the Bill of Rights the law of the land. Because I would have felt with them that the cause of racial justice and the difficulty of achieving it is such a gargantuan problem in American life that the kind of settlement the Warren Court reached in the ’60s was essential to securing it. If they had not done that, I’m not sure they would have been able to dismantle the regimes of Jim Crow in the southern states.

Gary:          The ’60s were a very scary time and there was a sense that America could not hold. I mean, the scale and the seriousness of protests over civil rights, Vietnam—these were incredibly intense. You throw into that the assassinations of two Kennedys and Martin Luther King and you have some sense of a country coming apart. But I also think it wasn’t just concern over viability, it was a deep conviction on the part of liberal jurists that the meaning of the 14th Amendment had been perverted after the Civil War. Now it’s hard for jurists to overturn a precedent that has stood for by that time almost a hundred years and they have not completely restored the 14th Amendment to what they think its original meaning was. But they’ve restored more of its original meaning. So in a sense, the Warren Court jurists were acting as originalists as it pertains to the 14th Amendment. That is not a matter of viability, that’s a matter of right and wrong.

Gregory:     I hope you enjoyed this. I did.

Gary:          I have, tremendously. 

On the Road Again

I recently returned from an extraordinary 2,200-mile research trip that took me through 9 states and at least four centuries.  For the past 11 months, I’ve been reading books, journal articles, maps, and memoirs in preparation for my next essay, which centers on conflict, competition, and racial identity formation in mid-18th century Pennsylvania.  I had an opportunity to see the landscapes I had been reading about for nearly a year: Easton, Bethlehem, Lancaster, Carlisle, and Burnt Cabins. I got to grapple with the strange topography of the Allegheny Mountains and imagine the paths along which Lenape warriors traveled from Kitanning to what is now Selinsgrove, Pennsylvania.  The trip helped me make sense of the contours of the Upper Ohio River Valley.  And Pittsburgh, that critical site in the French and Indian  War, was much more than I’d ever imagined it to be.

The trip’s detours were just as enriching as its primary destinations. Washington, Pennsylvania, spurred my imagination, as did towns like Sugar Creek, Ohio, or Horse Heads, New York.  All were related to either the current essay or others I’m planning. But one stop was completely unexpected, and it has already launched me on another intellectual journey through the American past.  By happenstance, I ended up in Portsmouth, Rhode Island, a town founded in the 1630s by Anne Hutchinson and her followers after she was banished from Massachusetts. As soon as I arrived in Rhode Island, I borrowed a digital copy of Eve LaPLante’s astonishingly clear and fluid biography of Hutchinson entitled “American Jezebel” from the library.  The same library just alerted me that they’ve put the latest biography of Roger Williams on hold.  

I don’t plan on sitting down to write the Pennsylvania essay until at least October.  All the reading is done. And the notes I took on the trip put me over the research finish line.  But I have other obligations and some more travel in the next two months.  Meanwhile, Rhode Island has already set me on a new—not entirely unrelated—course.  Since I  returned from the trip, I’ve started reading historian Brad S. Gregory and the late Polish sociologist Zygmunt Bauman.  I’ve also had the pleasure of discovering the work of military historian John Shy and the late Southern literary scholar Lewis P. Simpson. The reading list is growing. I wish I had three or four clear, consecutive months in which to write now. But first things first. 

Whiteness: An American Tragedy

August 2020

Part I The Glue and the Fuel

Almost every country in the developed world put its economy on ice for a few months this year. But none has seen its unemployment rate rise as high as America’s.

Almost every country saw some form of protests against shelter-in-place orders, but no nation saw anything quite like the perverse pageantry of heavily armed men demanding their freedom like we did in America. Likewise, while plenty of people across the globe resisted and resented having to wear masks to ward off the coronavirus, nowhere was the resistance to them as virulent as it has been in the United States.

It’s been hard to watch the combination of hyper-individualism and intergovernmental infighting during this pandemic without thinking of the structural weaknesses in America’s culture and design.

With the overweening power of King George III in mind, the Framers of the Constitution wanted to make sure that no single person or governmental body could amass too much power. To preserve people’s freedom, they thought, government had to be limited, curtailed, and fragmented. They designed the separation of powers coupled with federalism to make it difficult for any single branch at any level of government to presume to speak on behalf of the people.

As the pandemic’s death count rose, the nation’s elected officials seemed so thoroughly at odds over who was responsible—and for what—that Americans could clearly see that the solid wooden floor they thought was beneath them is actually more like latticework with plenty of open space within its grid.

Then the nationwide antiracism protests and riots brought attention to America’s history of white supremacy. Suddenly, the mechanics of white privilege became apparent to even the most resistant observers.

But what has still not been widely understood is how much whiteness has always been used to cover the gaps in America’s latticework, to hold together a nation built on the fundamentally chaotic idea that citizens should be free to pursue their happiness.

Of course, America’s woeful response to the coronavirus has been an object lesson in the importance of presidential leadership. But more significant, it has also revealed the extent to which whiteness has devolved into a force that threatens the common good. Despite the fact that masks have been shown to slow the pandemic, several national surveys have shown that whites are significantly less likely to wear them in public than are nonwhites. Does partisanship play a part in this behavior? Absolutely. But there’s a deeper and longer story about the meaning of America that explains this and other antisocial behaviors a whole lot better.

***

In 1994, theologian William Dean called on public intellectuals to engage in questions of the meaning of America. Like so many others, Dean was worried about the growing nihilism in the country. He believed that the absence of any transcendent myth or ritual in U.S. life made it “difficult for Americans to understand their identity and their task.” Not only does our system of government “institutionalize a kind of vacancy,” he wrote, but a slew of social forces conspired to “ward off the establishment of a strong tradition” that could fill that void. “At the base of the American experience,” he concluded, “is an emptiness, a primordial absence of structures, leaving only contingencies.”1

Dean’s observation wasn’t a criticism. He understood that a people adept at navigating contingencies forged a remarkable culture of improvisation. But he feared that over time so much vacancy had become untenable, even hurtful to growing numbers of Americans. Americans, he insisted, had “to recognize and respond to the openness of their situation” and construct a viable national myth that could give us a new sense of purpose.2 I wholeheartedly agree. But first we have to understand the nature of the emptiness.

***

“To be an American,” political theorist Carl Friedrich once said, “is an ideal; while to be a Frenchman is a fact.”3 The gap between ideal and reality is a central theme in American life. Political scientist Samuel Huntington thought that this tension was particularly salient in our political culture. He argued that major social movements in America are generally born of efforts to close the gap between reality and ideal. The system’s failure to live up to its promise, he wrote, does not make it a lie, but merely a disappointment. “But it can be a disappointment only because it is also a hope.”4

That aspirational formulation—the idea that we are defined more by who we hope to be than by who we actually are, that our task is to strive to match our ideals—is a legacy of a remarkably educated sect of radical Calvinists who landed in Massachusetts in the early seventeenth century. The Puritans were, in a phrase, the Protestants’ Protestants, who had sought to rid the Church of England of what they considered to be its remnants of Catholicism. Having failed to purify the Church, they abandoned England and set sail for America, where they intended to establish their version of what they thought was a genuinely reformed Christian community, one they hoped would serve as a model to the world.

We’ve all heard of Puritan leader John Winthrop’s singular phrase “a city upon a hill.” It’s generally trotted out to promote American exceptionalism for one purpose or another. But we rarely hear it within the context of the sermon “A Model of Christian Charity,” which Winthrop gave to the group of settlers either just before or on the ship Arbella in the spring of 1630. Winthrop believed thatin creating their settlements, the Puritans were entering into a covenant with God. While they believed they were ordained to establish God’s kingdom in uncharted territory, success was in no way assured. “The eyes of all people are upon us;” he told them. “So that if we shall deal falsely with our God in this work we have undertaken, and so cause Him to withdraw His present help from us, we shall be made a story and a by-word through the world.” In other words, if they pleased the Lord, the Almighty would bless them. If they did not, Winthrop further warned, “We shall shame the faces of many of God’s worthy servants, and cause their prayers to be turned into Curses upon us till we be consumed out of the good land where we are going.”5

This covenant with God was a community contract, and the community was obliged to uphold it or else suffer the kind of punishment the Israelites of old had suffered when they broke their covenant. Central to the Puritan notion of covenants was the principle of free choice. Even being born into a Puritan family didn’t automatically secure anyone full membership in a village church. In the colony’s early decades, churches required that prospective members have a conversion experience before they could join a congregation. As historians Timothy H. Breen and Stephen Foster wrote, “The individual voluntarily promised to obey civil and scriptural law, for the seventeenth-century Puritans believed that meaningful obedience could only grow out of voluntary consent, never out of coercion.”6

The Puritans saw themselves as spiritual migrants. In 1670, Boston minister Samuel Danforth delivered a jeremiad—a sermon lamenting the declining morals of Puritan society—reminding the Massachusetts colony’s leaders that they had all “solemnly professed before God, angels, and men” that they had chosen to leave their country to embark on “an errand into the wilderness.”7 By “errand,” he meant migration, not simply from England to America, but also from a corrupted old world to a new promised land. But whether or not they ultimately arrived in the New Canaan depended on their ability to live righteously.

This sense of errand or pilgrimage, literary and cultural critic Sacvan Bercovitch argued, was one of the chief ways the Puritans instilled order in a colony of militant dissidents. Not only were individual identities linked to a forward-looking social enterprise, but New England itself was considered less a destination than a potential pathway to the future. Perfectionist striving was inherently incompatible with a sense of rootedness. As such, New England’s institutions, wrote Bercovitch, “were geared not so much to maintain stability as to sustain process and growth. Problems of order were characteristically framed in such questions as ‘How far have we come?’ and ‘Where are we headed?”8 Instead of urging colonists to conform to a past or to a beloved tradition, New England Puritanism asked them to dedicate themselves to constant improvement. This explains the shrill jeremiads warning colonists of the consequences of backpedaling. “The Puritans’ vision,” wrote Bercovitch, “fed on the distance between fact and promise. Anxiety became their chief means of establishing control. The errand, after all, was a state of unfulfillment, and only a sense of crisis, properly directed and controlled, could guarantee the outcome.”9

***

By the early 1700s, Puritanism had lost its control over New England, but its ideological thrust, its notions of covenanted community and sacred mission, lived on, not only through the elite colleges the Puritans had established, but also through their Yankee descendants who over the next two centuries would spread out over the northern half of the country. In the eighteenth century, the heirs of the Puritans played an essential role in the American Revolution and instilled their brand of moralistic republicanism into the emerging national narrative. When times get tough or inspiration is called for, American political leaders still borrow the language of the Puritans to scold, to uplift, or both. They call upon a prophetic language that is not found anywhere in the Constitution or the Declaration of Independence.

Abraham Lincoln called Americans an “almost chosen people.”10 Franklin Roosevelt spoke of the nation’s “rendezvous with destiny.”11 Martin Luther King Jr. proclaimed that African Americans would win their freedom “because both the sacred heritage of our nation and the eternal will of the almighty God are embodied in our echoing demands.”12 The Puritans bequeathed us an unimaginably large national vision with sacred and moralistic overtones. Over the centuries, the errand into the wilderness would morph into other grand, open-ended national narratives like Manifest Destiny and even the American Dream.

***

The creation of the United States gave citizens of the new country an ideology, a liberation story, historic battles, heroes to worship, founding documents, and a flag to salute, but, lacking a single ethnic tradition within which to root itself, the contours of an emerging American culture were still difficult to identify. From the start, the belief in life, liberty, and the pursuit of happiness was a peculiarly ephemeral patrimony. The young nation’s motto, E Pluribus Unum, codified its fundamental tension between unity and multiplicity. Add growing ethnic (European) and racial (African) diversity, relent- less geographic mobility, and an obsession with novelty, and Americans did not have a recipe for creating a cozy sense of national belonging. And then there was the inherent tension between the liberal ideal of the rights of individuals and the realities of white supremacy.

From the beginning, foreign-born observers struggled to define what Americans were, and what kept them together. In 1782, J. Hector St. John de Crèvecoeur wrote that the American was an entirely new type of man, a product of the mixture of a variety of European ethnicities whose emerging culture would act on new principles, self-interest chief among them. (Needless to say, African and Native Americans were not considered part of the American polity, but subject to the mastery of whites.) A half-century later, Alexis de Tocqueville noted that in a democracy like America’s where men are all “very small and very much alike.”13 As elements of past cultures mixed together, traditions were lost, and caste distinctions buried, citizens of the new country clung to a combination of restless activity, materialism, and grand idealism.

Two years after Tocqueville published Democracy in America, Bohemia-born Francis J. Grund came out with his own book on the American character. In it he argued that America was merely a vessel through which its citizens expressed themselves. “An American,” wrote Grund, “does not love his country as a Frenchman loves France, or an Englishman England: America is to him but a physical means of establishing a moral power—the medium through which his mind operates—‘the local habitation’ of his political doctrines.”14 He went on to add that, to the extent that Americans did love their country, they loved it not as it was, but as they hoped it would one day be.

And it wasn’t only Europeans who had a hard time grasping what America was in the here and now. Steeped as they were in ideas of freedom and promise and success, Americans themselves sometimes expressed a desire to make whatever it is that America meant more tangible, something they could literally grasp on to. Abraham Lincoln’s secretary of state, William H. Seward, liked to tell a story about a man who insisted on planting a liberty pole—a makeshift flagstaff symbolizing resistance to British rule—just after the American Revolution had been won. When the man’s neighbors asked whether he wasn’t already free enough, he’d respond, “What is liberty without a pole?”15 Similarly, in 1845, when the North and South were becoming further estranged, a three-member commission set up by the New-York Historical Society recommended that the nation’s name— the United States of America—be changed to make it less abstract. They recommended the Republic of Allegania, after the rugged cord that connected north and south, grounding the name in a recognizable yet symbolic stretch of earth.

As it was, however, abstractions held “remarkable power” in the American mind. That’s what Congregationalist theologian Horace Bushnell concluded in 1864. By applying their “practical energy” to their “great principles,” Americans, he thought, lived on a “much higher plane of history.” But like anything else, there was a downside. “In one view, there is something ungracious in our American spirit. We are nearly as ignorant of the loyal feeling as a tribe of wild animals—unrespectful often to worth and true precedence.”16 A decade earlier, Nathaniel Hawthorne was grappling with similar ideas about the American character. Having served four years in Liverpool as the U.S. consul, his observations were informed by contrasting America with England. American patriotism, according to Hawthorne, seemed “as cold and hard . . . as the steel spring that puts in motion a powerful machinery.” The English, however, had managed to bring a beating human heart to their national sentiment by clothing “bare abstraction in flesh and blood.”17

***

It’s hard to overstate the dynamism of nineteenth-century America. In 1800, the population was a little over 5 million people. A century later, it was more than 67 million. Nineteen million immigrants arrived on these shores in that period. And not only was the population expanding, it was on the move. The U.S. tripled in size in the 1800s, from less than one million square miles to more than three million. The geographic distribution of the population also shifted, from about 7 percent living in the West to “roughly 60 percent.”18

In many ways, the abstract nature of American identity served an expanding heterogeneous society well. While the national ideology was supposed to forge common cause, it was, in the words of historian John Higham, “beset with contradiction because its basic task of building solidarity was not compatible with the competitive, acquisitive values the ideology also legitimized.”19 That means the mass of isolated individuals were more focused on asserting their personal independence and equality than on building a healthy, cohesive national community.

America during the nineteenth century increasingly became a society of what one scholar called “island communities.”20 As the country moved west, poor communication limited cooperation between islands. The federal government was weak—by design—and had too few employees to effectively enact uniform public policy, let alone impose its will on a rapidly growing nation. The essence of American life and democracy was local.

Abundant land made it possible for individuals who didn’t feel they fit into one community to pack up and move to another. As immigration began to diversify in the mid-nineteenth century, ethnic groups could cluster at a good distance from one another. If any group predominated in any particular place, the decentralized nature of American government allowed them to take the reins locally. The ability to control the fate of their local communities encouraged loyalty to the nation at large, even as cultural and linguistic assimilation moved slowly. One study of the 1910 census, for instance, found that more than fifty years after large-scale German immigration to the United States had ceased, a sizable minority of German Americans in Wisconsin—many U.S.-born— still spoke only German.21 Parallel local institutions and widespread ethnic diversity were still understood to be typically American, because it was understood that they all existed under one canopy of the abstract political ideals that defined the nation.

***

If the Puritans bequeathed America their anxiety, then successive waves of immigrants have imbued in us another condition: alienation. Over the past two centuries, the U.S. has received more immigrants—and more continuously—than any other nation on earth. In a fundamental sense, our country is built on so many broken families, homesick relatives, disrupted lives, and the all-encompassing feeling of not belonging. This disruption and its emotional and psychological consequences generally lasted for many years, and its effects have reached down to generations beyond it.

Beginning with Jamestown, the immigrant experience of coming to America, whether by force or by choice, meant enduring the painful process of leaving behind the systems of meaning and connection that defined and gave purpose to peoples’ lives. The act of departure is most certainly the central experience of many lives. It also serves as a genesis story for millions of American families. But, as the great historian Oscar Handlin once wrote, the history of immigration is also “a history of alienation and its consequences.”22

In his 1957 book, Race and Nationality in American Life, Handlin expanded on the idea of immigrant alienation to include the experience of nineteenth-century domestic mobility. One did not have to uproot oneself from a foreign land to feel estranged in America’s vast and expanding landscape. Melancholy was the pioneers’ constant companion. Handlin writes:

The ties, once severed, could never be replaced. The lonely man gazing out into the darkness of the forest or upon the empty prairies or down the endless corridors of the city streets saw never a monument of his belonging. Detached from his past, he could hardly be sure of his own identity. And as he regarded that posterity for which he was ever making some sacrifice, he knew in his heart that his children would desert him, as he had deserted his parents. That was the horror. All the emotions once safely embedded by tradition and communal custom in the family had now no stable foundation in reality.23

***

When Alexis de Tocqueville worried about the corrosive influence of individualism on America, he wasn’t worried about Americans. His concern was for the nation’s young democracy. As he argued, democracy creates equality, which in turn creates individualism, which can lead to a kind of social vacuum in which despotism can take hold. Fortunately, the young French aristocrat put his finger on the solution to the problem he identified. Individualism was reined in by the Americans’ habit of solving many of their problems through voluntary associations—groups of individuals who come together on the basis of mutual interest or shared objective. “When citizens are forced to be occupied with public affairs,” he wrote, “they are necessarily drawn from the midst of their individual interests, and from time to time, torn away from the sight of themselves.”24 The need to tackle community problems made men realize that they were not as independent from others as they might have thought and that, on occasion, it was in their best interest to cooperate with others.

Voluntary associations, particularly churches, also offered people a means with which to negotiate the alienation of American life. The nineteenth century saw millions of Americans joining social clubs, lecture societies, fraternities, ethnic clubs, and Protestant congregations, the quintessential voluntary associations. While in 1800, the vast majority of Americans did not belong to any type of church, by 1900 most did. Churches provided opportunities for social connections and to anchor families in a new or rapidly changing community. Particularly in rural America, many people joined churches to meet friends and prospective spouses, as well as to discuss problems in the community and to hear the latest news. This was also true—and perhaps even more so—for immigrants who arrived in both urban and rural areas.

American religious historian Timothy L. Smith once described migration as a “theologizing experience,” meaning that the process of uprooting and transplan- ting one’s self often led newcomers to turn to faith when reorienting themselves in a new environment. “Once in America,” he wrote, “immigrants uniformly felt that learning new patterns of correct behavior was crucial to their sense of well-being. Everything was new: the shape and detail of houses, stairways, windows, and stoves; the whir of engines, trolleys, furnaces, and machines; the language, facial expressions, dress, table manners, and forms of both public and private courtesy.” Freed from the constraints of tradition, newcomers had to figure out how to behave in their new surroundings. What complicated matters was that in a diversifying nation, the foreign born weren’t merely obliged to adapt to one “dominant ‘host’ culture but to a dozen completing subcultures, all of which were in the process of adjustment to the mate- rialism and the pragmatism that stemmed from the rush of both newcomers and oldtimers to get ahead.”25

Americans generally assume that immigrants arrived in the U.S. and merely re-created the identities and institutions they left behind in their home countries. But most nineteenth-century newcomers had very little sense of national identity. Instead, they tended to think of themselves as residents of a village or maybe a province. Rather than Italians, they were Calabrians or Neapolitans or Sicilians. Instead of Germans, they were Westphalians or Württembergers or Saxons. More often than not, these subgroups were divided by distinct dialects, traditions, and, in the case of Germans, religion. Only as members of these groups faced adversity in America and—at times—the inability of outsiders to even comprehend the nature of their narrow Old World loyalties did they begin to submerge their hometown identities into broader ethnic groupings. This process of ethnicization was part of adapting to life in America and improving one’s chances of survival. Creating ethnicity—with all its associational ties and benefits—was also a way both to negotiate the abstract nature of American identity and to keep at bay the alienation so prevalent in their new land.

***

In a country that would derive much of its energy from immigration, determining who could and who could not become American served a critical role in nation-building. The Naturalization Act of 1790 not only determined who could settle in the new country, but it also set the conditions for membership in the national polity. The law, which was passed with little debate, stipulated that only “free white person(s)” could become U.S. citizens. Africans were not part of the national community. Native Americans had no rights with which to resist being expelled from the rapidly expanding boundaries of a burgeoning nation. Only Europeans were considered suitable for citizenship. From the beginning, the ideas of white- ness and American citizenship were intertwined.

While ethnic groups were taking shape in the nineteenth century, they also lost their more highly mobile members to ambition or to the frontier or both. These folks would gradually shed some or all of their older customs and identities as they mixed with other native-born whites from different backgrounds. Diversity among European Americans had long been a fact of life. As such, there was no real certainty about what constituted an American culturally. While Americans of English ancestry thought they had every right to define national culture, the absence of a strong central government left them without the means of persuading anyone that they were anything but one of many groups in the United States. By the mid-nineteenth century, white Americans who had detached themselves from both geographic and ethnic communities increasingly found themselves dependent on the nation’s abstract political ideology for their sense of identity. According to John Higham, “Travelers noticed that truculent, gasconading patriotism was especially characteristic of newly settled parts of the country, but everywhere ideological commitment compensated to some extent for the weakness of local ties.”26

***

While America’s political system served as a point of pride, it didn’t build a strong sense of community. For that, European Americans could turn to race, which conferred upon them more than just the rights of citizenship. White- ness was initially defined in contradistinction to the individuals of many African ethnicities who were thrown together in servitude and by necessity forged an amalgamated people who became referred to as black. And as European Americans fanned out westward, whiteness was reinforced by confrontations with Native Americans.

To put it bluntly, European Americans could always choose to rally around whiteness whenever they wanted to come together and advance their economic interests. If slavery was legalized for its economic benefits in all the American colonies by the mid-seventeenth century, the ongoing removal of Indians was accomplished for similar reasons, liberty and the rights of individuals be damned. In 1832, two years after the Indian Removal Act was approved by Congress, Chickasaw leader Levi Colbert wrote a letter to Andrew Jackson in which he asked the president whether the “spirit of liberality and equality which distinguishes the United States from all the Empires” was merely a “jealousy and defence of their own particular rights, an unwillingness to be oppressed themselves?”27

As the country moved westward and more traditional ties faded away, all the emotions and sense of belonging that European Americans may have once experienced through ethnicity were now funneled into race, which, again, was inseparable from their notions of citizenship. Since whiteness existed only in contradistinction to those considered nonwhite, the bonds of whiteness were felt most intensely during conflict. It was particularly in times of strife that European Americans came to feel part of a community, and when the many distinctions among them further melted. As Oscar Handlin wrote: “It was as if only by creating an antagonist upon whom all the hatred and fear within them, could be expended could they find a communion of the unexcluded that would summon up their capacities and longings for love.”28

By the middle of the nineteenth century, white Americans rallied less around their belief in their superior form of government than they did around their growing sense of racial superiority. In dealing with Native Americans, they began to solidify their rationale for expansion. Race not only provided whites a social ballast in a time of constant dislocation, it also helped them justify their depredations against blacks, Native Americans, and, by the 1840s, Mexicans. If white Americans were to continue to believe they were citizens of a chosen nation, they had to place fault for the suffering they inflicted on nonwhites on the victims’ racial inferiority. The assumption of white supremacy that had existed since the country’s founding had now become an aggressive ideology that was used both to bring new immigrants into the fold and to justify expansion. While Americans still believed their nation had a special destiny to fulfill, whiteness had become both the social glue and the fuel to push it forward.

Part II
The Unmaking of America

In the last two decades of the nineteenth century, the United States experienced rapid industrialization and urbanization, and a sharp increase in the number of new immigrants. The transcontinental railroad had been built, distances were shrinking, communication was improving, and Manifest Destiny was, well, becoming manifest. North and South were forging their post–Civil War detente first while collectively fighting Native Americans on the western frontier and then in the Spanish-American War. What had been a loose-knit sense of national community and a willingness to live among multiple identities was now giving way to a growing awareness of interdependence and demands for a consistent, all-encompassing definition of what it meant to be American. The contraction of the nation’s identity would involve a new evaluation of which groups were in and which were out.

In the post-Reconstruction South, a resurgent white supremacy was instituting Jim Crow laws. In the North, the new immigrants who were not from the older sending countries in Northern or Western Europe were facing greater obstacles on arrival. Nationally, the disdain whites felt for blacks was now being projected onto non–Northern European immigrants. The Chinese Exclusion Act was passed in 1882. The anti-Catholic nativism that had emerged in mid-century against the Irish now took on a more clearly racial bent against immigrants from Eastern and Southern Europe. With the upsurge in nativism came cries for greater restrictions on immigration.

The Progressive movement emerged in the 1890s as a response to these and other massive changes in American society. The belief that the U.S. needed to forge a more cohesive form of nationalism was a core element of the movement’s reform efforts. Its de facto spokesperson, two-time president Theodore Roosevelt (1901–1909), did more to shape how Americans came to understand the role of ethnicity in American life than perhaps anyone in the twentieth century.

Roosevelt was a racist who lauded the “domineering masterful spirit” of nineteenth-century white pioneers and considered blacks, Mexicans, and Chinese incapable of living in a democratic society.29 At the same time, however, he rejected the rising nativism of his day against Catholics and Jews arriving from Eastern and Southern Europe. While whiteness had always been a flexible concept, Roosevelt used his bully pulpit to prop the door open a bit farther. Like Crèvecoeur before him, Roosevelt believed American whites were made stronger through the process of mixing. His understanding of the melting pot, however, was that it purified newcomers of their foreignness, i.e., ethnicity, rather than blending them together. Not content with seeing America merely as a set of ideals, he insisted that it also needed to become a shared culture to which all citizens should unfailingly adhere. In his mind, any hint of ethnicity was a threat to national cohesion. In a 1915 address to the Knights of Columbus, Roosevelt argued, “There is no such thing as a hyphenated American who is a good American. The only man who is a good American is the man who is an American and nothing else.”30

Roosevelt had been shaping these ideas for a while. In 1894, he published an essay titled “What ‘Americanism’ Means,” in which he articulated the idea that Americanization was as much a process of subtraction as addition, a rejection of the past as much as an embrace of the future. He called on newcomers to shed their native customs, ways of life, and languages. In a particularly extreme passage, he even insisted that the Irish immigrant must learn to celebrate “the Fourth of July instead of St. Patrick’s Day.” Above all, he concluded, “the immigrant must learn to talk and think and be United States.”31

Roosevelt believed that the federal government should assume greater authority to take on the problems the nation faced. That new authority, he figured, would require an equal amount of unified national identity to undergird it. As he saw it, ethnicities didn’t enrich the nation, they threatened it. America would never achieve “true great- ness” unless all its citizens were “Americans in heart and soul.”32 In Roosevelt’s mind, the citizen existed to uphold the government, rather than the other way around. He saw any hint of loyalty or nostalgia or affection that wasn’t focused on America as a threat. “We do not wish, in politics, in literature, or in art,” he wrote, “to develop that unwholesome parochial spirit, that over-exaltation of the little community at the expense of the great nation, which produces what has been described as the patriotism of the village, the patriotism of the belfry.”33

***

Roosevelt’s understanding of ethnicity as an enemy of nationalism was not, of course, the only interpretation that the U.S. embraced in the twentieth century. But given the laissez-faire attitudes of the nineteenth century, it was pivotal and became a widely held belief in some segments of society for the next century. In other words, whether or not Roosevelt’s version of nationalism was dominant or not in the decades to come, it was still a bias with which ethnic Americans had to contend. This ver- sion of nationalism had the most impact on the lives of the millions of immigrants and their families who arrived in the U.S. at the turn of the twentieth century.

Roosevelt’s contemporary and fellow Progressive, the intellectual Randolph S. Bourne, had a more nuanced approach to forging a unified culture in the face of mass immigration. In 1916 he wrote perhaps the greatest critique of Rooseveltian nation-building. “Let us face realistically the America we have around us,” he wrote. “Let us work with the forces that are at work. Let us make something of this trans-national spirit instead of outlawing it.”34 What America needed, he thought, was a more cosmopolitan view of itself. Bourne worried about the effects such an extreme notion of assimilation had on immigrants and their families. If newcomers were obliged to shed the customs and beliefs that had given their families meaning for generations—and perhaps centuries—what did that leave them? If ethnicities were to disintegrate, he feared, it would leave “hordes of men and women” without a spiritual home, “cultural outlaws, without taste, without standards but those of the mob.” The nation would be sentencing them “to live on the most rudimentary planes of American life.”35 While ethnicity, he argued, was a centripetal influence on people, the forces that lay beyond ethnic life were centrifugal, even anarchical. They made for “detached fragments of peoples,” who would become “the flotsam and jetsam of American life” and the “cultural wreckage of our time.”36 It turns out Bourne accurately predicted the future.

***

The hypernationalism brought on by America’s entrance into World War I only intensified the attack on pluralism in U.S. life. In his 1919 postwar speech in Pueblo, Colorado, promoting the League of Nations, President Woodrow Wilson leveraged the distrust of ethnicity to silence German American critics. “Any man who carries a hyphen about with him,” he warned, “carries a dagger that he is ready to plunge into the vitals of this Republic whenever he gets ready.”37 By the early 1920s, the toxic combination of nativism, the faux science of eugenics, and racial segregation led Congress and the courts to harden the definition of whiteness and narrow the parameters of U.S. citizenship. Nativists and eugenicists were concerned that whiteness had become overly inclusive, that the arrival of so many Eastern and Southern Europeans would degrade America’s white racial stock. In 1924, Congress passed the National Origins Quota Act, which severely restricted immigration overall, specifically limiting entries from countries in Southern and Eastern Europe, and completely prohibited immigration from Asia. The law also contained a provision that barred entry to all migrants who were ineligible for U.S. citizenship. By 1924, only whites and blacks were eligible for citizenship. (In 1870, Congress ceremonially extended the right to naturalize to persons of African nativity and descent.)

Not surprisingly, given the nation’s racial hierarchy, new immigrants had no incentive to claim blackness when applying for citizenship. Instead, their eligibility revolved around their ability to prove that they were white. While whiteness had always been a vague category, everyone understood its internal hierarchy, that some people were considered more white than others. But how was whiteness determined?

Between the 1870s and the 1920s, the country’s courts had to decide on a case-by-case basis who could be considered white. In some cases, a person’s whiteness was determined by skin color, in others by ancestry, or culture, or national origin, or just plain popular opinion. By the 1920s, the judges weren’t just choosing who could join the ongoing mixture of peoples that made up American culture. Now they were determining who could participate in the forging of a pseudoscientific race called “Caucasians.” Over the next several decades, there was a marked decline in the cultural differences among the various groups who were allowed entry into this emerging race.

In 1927, white supremacist political scientist, historian, and journalist Lothrop Stoddard published a book titled Re-forging America, in which he hailed the passing of the 1924 National Origins Act as a moment to rebuild a nation that he felt had been roiled both by Reconstruction and by the mass arrival of what he considered to be less-than-desirable immigrants from Europe. In essence, Stoddard proposed that the South’s “separate but equal” Jim Crow laws be extended to the nation at large. A system of biracialism, as he called it, would allow new immigrants to be absorbed into the white part of America without encouraging mixing and thereby endangering the country’s social order. Because most European immi- grants “belong to some branch of the white racial group,” they could be successfully assimilated into white America over time. That “most emphatically does not apply to non-white immigrants, like the Chinese, Japanese, or Mexicans; neither does it apply to the large resident negro element which has been a tragic anomaly from our earliest times. Here, ethnic differences are so great that ‘assimilation’ in the racial sense is impossible.”38 As Stoddard saw it, America’s greatest problems were “mass-alienage and color.”39 Solving these would make for an “essentially homogeneous, like-minded people,”40 the very conditions he thought necessary to bring about an American cultural renaissance. Stoddard perfectly captured the cultural and racial zeitgeist of the times.

In the 1920s, white racial fears, Progressive reforms, and growing demands for national loyalty encouraged the emergence of a culture that promoted social con- formity over pluralism. While earlier nativist episodes had marginal effects on U.S. culture, this moment would fundamentally change how the country saw itself and its constituent parts. While immigration continued—particularly as demographic expansion of the West called for more Mexican labor—the understanding that newcomers could enrich their adopted home with traditional folkways would hibernate for forty years. The country that had once defined itself by abstract political ideals had now begun to see itself more in terms of a tangible culture and a unified people. No, Stoddard’s wishes did not come to fruition literally or legally—Jim Crow was not extended to the nation at large—but his vision of a binary America stuck, and to the immigrants of the early twentieth century, becoming American and becoming white were all but one and the same. Whiteness had the power to include and exclude.

***

The desire to be accepted as full citizens wasn’t the only reason immigrants and their children tolerated varying forms of coercive assimilation over the coming decades. Whether they knew it or not, immigrants were tapping into the Puritan narrative of becoming. They knew that what was most important was not what you are now, but what you—or your children and grandchildren—would become. The payoff for shedding one’s ethnicity wasn’t just status through whiteness, it was also a chance to see oneself as part of the nation’s arc of progress. Generally speaking, American culture always seemed to exist somewhere between origin and destination. Coercive assimilation may have been about preserving the racial and ethnic hierarchy, but it was also about nation-building. It was an immigrant family’s ticket to middle-class acceptability and success, and perhaps even beyond.

Southerners had never fully bought into the narrative of becoming. Nor had they ever fully adhered to the idea of America as abstraction. But most immigrants at the turn of the twentieth century arrived in the North, and they absorbed Yankee notions of progress, self-improvement, and constant change. Southerners, on the other hand, tended to see their Americanness differently. Poet and literary critic Robert Penn Warren once commented that Southerners exhibited a “fear of abstraction.”41 Novelist Eudora Welty put the same idea in more affirmative terms. As a writer, she said, a sense of rootedness opened up the doors of her imagination. She spoke of “the blessing of being located—contained.”42 This idea of America wasn’t an ideal that lay in the future, it was a very present reality rooted in past and place. Of course, the South was never immune to the Northern rhetoric of progress, just as the North sometimes envied the South’s culture of hearth and home.

***

The assimilation of early-twentieth-century immigrants further ingrained the belief that separation and estrangement were the price of progress in America. Despite the drastic reduction in the number of new immigrants, mobility and its consequences continued to be a constant in U.S. life—it’s just that most of it was now domestic migration. In 1962, historian George W. Pierson pronounced that geographic mobility was the key to the American character. More important, he thought it was the reason that old ethnic hierarchies tended to weaken over time. If opportunities were limited for one’s group in one city, moving to another provided an opportunity to “get out from under” whoever or whatever was keeping them down. “Inside, the freedom to move remained,” he wrote, “and a man could get out of his cellar in town by building a one-story cabin upcountry, or he could come off his eroded acres into Chicago, where the rising buildings and professions had elevators in them.”43 Domestic migration also led to more ethnic mixing and intermarriage. It also made it incumbent on each generation to reevaluate the role their ethnicity played in their American lives. The Greek immigrant in Astoria, Queens, would tend to see his identity very differently than did his U.S.-born children, who may have harbored ambitions of moving to a decidedly not-very-Greek Long Island suburb. The third generation—the grandchildren of immigrants—may have had little understanding of their pappous’s native tongue and didn’t quite know where to place themselves vis-à-vis their ancestry, particularly if both of their parents were not Greek American. If the grandchildren had a Greek last name, then perhaps it served as a point of distinctiveness to their non-Greek friends. They may or may not take some pride in it. They may or may not have made annual visits to a Greek Orthodox church or to an old haunt of their grandparents’ in the old neighborhood in Queens. No matter the metaphor we use to describe it, for most of the twentieth century the generational process of becoming American was a process of progressive loss and a dramatic unmooring from the past. Particularly after the 1920s, it was understood to be America’s price of entry. It’s true that the language of nation-building became kinder and gentler under Franklin D. Roosevelt, meaning that his administration actually acknowledged the nation’s ethnic pluralism. But the impact of the coercive assimilation campaign and immigration restrictions of the 1920s could not be reversed for the millions of Americans whose families arrived in the U.S. in the early twentieth century. For European-origin Americans, ethnicity was largely understood as being a transitional stage between the immigrant generation’s arrival and the multigenerational goal of whiteness.

In 1942, anthropologist Margaret Mead argued that whatever our individual origins, the predominant cultural characteristics in the U.S. were those of a third-generation American. While the second-generation American—the first born in the U.S.—struggles to differentiate himself from his parents, the third-generation American was expected to go further, but without the benefit of foreign-born parents from whom he was expected to individuate. The third-generation would refuse to model himself after his father, but not because he was foreign—simply because he was “out of date” and “drove an old model car.”44 The world had changed. It’s always changing. The third-generation American was expected to move forward, but it wasn’t clear in which direction. As Mead saw it, they had to press forward without any precedent or markers of either what to avoid or what to look for. “It’s a bleak and lonely business looking into the future,” she wrote, “modeling one’s life on an undrawn blueprint.”45 Americans had to spend so much of their lives “measuring up to an unknown standard—learning to live in a world that did not exist for us yet, finding no clues where all other peoples have found clues—in the behavior of our parents. You must be a success. What does that mean? Doing what your father did? Certainly not.”46

In his 1948 book on the American character, Mead’s student, British sociologist Geoffrey Gorer, went a step further—and a tad bit more Freudian. To Gorer, it was the “break of continuity”47 between the immigrant gene- ration and their children that was the central influence on the development of the modern American personality. The immigrant’s break with the past grafted onto the nation’s founding revolution and the colonists’ rejec- tion of Britain. Each wave of immigrant families thereby reinforced the country’s original disdain for authority. Whatever the interpretation, by the middle of the twentieth century, writers and scholars were once again as- king what it meant to be American, and more than a few answers revolved around the process of assimilation and the rejection of ancestry and ethnicity.

Assimilation, of course, often went hand in hand with social and geographic mobility. Suburbanization hastened the process of unmooring from inherited identities. Historian of American suburbia Kenneth T. Jackson spoke of the “privatization” of social life, how millions of Americans came to center their lives on the home and nuclear family rather than on the neighborhood or broader community. “There are few places as desolate and lonely as a suburban street on a hot afternoon,”48 he wrote. In 1954, in the midst of this mass migration out of the cities, historian Richard Hofstadter confessed that no one was yet quite sure what would remain of ethnic whites “when we have been melted down.”49

One thing the almost-melted did was turn to good old-fashioned American voluntarism, that habit of banding together in groups to socialize or solve problems that Tocqueville had so admired a century earlier. As the associational life so often tied to ethnicity faded away, newly minted white suburbanites sought new forms of connection and meaning. Over the centuries, growing egalitarianism in the U.S. only spread voluntarism more broadly, and it now included women and young people. Greater associational choice also required less commitment from the individual. More than one sociologist referred to associational ties of the mid-twentieth century as “communities of limited liability.”

While residential segregation locked large numbers of nonwhites within communities, whites, as sociologist Claude S. Fischer has written, “found it increasingly easy to both invest in and withdraw from their local communities as their needs dictated.”50 The emergence of antitraditional countercultural movements in the 1960s and early 1970s further loosened social connections. Whi- te Americans, in particular, had a growing sense of their need for individual fulfillment. This shift had an enormous impact on how they practiced religion. In the 1950s and before, an individual’s religious life was likely rooted in what sociologist Robert Wuthnow has called the spirituality of dwelling, meaning it was tied to a specific place of worship and community. Starting in the 1960s, more and more Americans—particularly whites—began to practice a spirituality of seeking, meaning their religious life was no longer rooted in a static community and was more an ongoing quest for meaning and sacred moments wherever they could be found. “At one time,” Wuthnow writes, “people identified their faith by membership; now they do so increasingly by the search for connections with various organizations, groups, and disciplines, all the while feeling marginal to any particular group or place.”51 The intimate neighborhood house of God gave way to the huge, impersonal megachurch miles away.

It wasn’t until the 1960s and ’70s that observers really started to evaluate the human costs of post-1920s assimilation. Until then, few had actually considered what full whiteness would look like. In 1971, in an introduction to a collection of essays on the anguish of becoming America, writer Thomas C. Wheeler lamented that the American immigrant experience had left in its wake “an American vacancy.”52 He theorized that the growing cross-ethnic ex- perimentation and faddishness of the era were attempts to fill the vacancy left by the death of ethnicity. His baroque description carries with it the flavor of the times:

Witness youth today, of varying ethnic backgrounds parading in the beards and paraphernalia of frontiersmen, of gold prospectors, electricity providing a geiger-counter music. While old cultures fade, a cross-pollination of cultures breaks through. The physical freedom and tempo of blacks is a romantic influence on the behavior of white youth. Yet without a sense of one’s own identity, America reels off endlessly on fads and is now in search of life-styles.53

This quest for meaning in alternative identities took on many forms, but it often revolved around a perceived need for authentic experience. Many newly post-ethnic whites of all classes tried to adopt aspects of nonwhite identities—namely, Native American, Latin American, African American—as a way to give their lives the kind of texture and specificity that their whiteness didn’t give them. Presumably, these identities were understood to be more authentic because racism didn’t allow the people born into them to shed them as whites could theirs. The civil rights movement and the landmark immigration law of 1965 sparked a new debate over the meaning of assimilation, whether earlier generations of European immigrants had really been fully melted, and whether a more pluralistic way of managing diversity would be healthier for both new immigrants and the country at large.

Inspired by the emergence of nonwhite ethnic pride movements, whites experienced their own type of ethnic revival in the 1970s. After decades of seeking to shed signs of their ethnicity, their immigrant origins all of a sudden became badges of pride rather than shame. The more cynical scholars dismissed this newfound embrace of immigrant origins as little more than the purchasing of “dime-store” ethnicities. “Many attributes of a multitu- de of ethnic cultures are offered for consumption,” wro- te authors Howard Stein and Robert Hill. “One selects, tries, likes or dislikes, and returns for the same ‘pur- chase’ or an alternate.”54 Particularly after the success of Alex Haley’s Roots—both the book and the television series—later-generation American whites were showing signs of buyer’s remorse.

On the one hand, there had been an irreversible decli- ne in objective ethnic differences among European-origin Americans as seen through their places of residence, levels of education, and professional achievements. On the other, there was an intensified subjective attachment to ethnic identities. But while one’s immigrant ancestors were born into and tied to an ethnic family and community that helped determine their life’s choices and chances, the grandchildren and great-grandchildren likely married outside of their ethnicity, were ethnically mixed themselves, and lived in a white ethnically mixed neighborhood. The new—or renewed—ethnicity didn’t translate into any real communal form of solidarity or membership in ethnically based churches or associations. It was largely an individual’s choice and therefore symbolic in nature. “The privatization of ethnic identity,” as socio- logist Richard D. Alba called it, was largely a personal or, at most, a family affair.55 In 1977, literary and social critic Irving Howe published an essay in The New Republic in which he wondered aloud whether “the famous melting pot” had grown “too hot” for those being melted. “We are all aware that our ties with the European past grow increasingly feeble,” he wrote. “Yet we feel uneasy be- fore the prospect of becoming ‘just Americans.’ We feel uneasy before the prospect of becoming as indistingui- shable from one another as our motel rooms are, or as fla- vorless and mass-produced as the bread many of us eat.”56

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Howe’s observation was plaintive and honest enough, but it was also incomplete. The melted people he was referring to weren’t simply “becoming just Americans,” they were becoming white Americans. But what was so scary about finally transcending ethnicity, identities that had brought discrimination and shame to so many in earlier years? Wasn’t becoming securely white the objective? Hadn’t their families complied with the requirements of early-twentieth-century American nationalism? In 1990, sociologist Mary Waters published the findings of an extraordinary ethnographic study of later-generation whites that answered those questions. What she found was that symbolic ethnicity gives whites “a feeling of community and special status as an interesting or unique individual,”57 and “not just ‘vanilla.’”58 The idea of being just white doesn’t give people a sense of membership in one large family, “the way that being French does for people in France.”59 Many of her respondents implicitly understood that American was a political or national identity and not a cultural or ethnic one. They tend to see ethnicity as family writ large, and when they want to feel part of an intimate community they conjure up their symbolic ethnicity. Because these identities don’t involve an actual living community, they don’t come with any costs, inhibitions on behavior, or lack of access to opportunities. In fact, they don’t interfere at all with an individual’s movements or choices, no traditional grandmothers wagging their fingers or nosy uncles asking when they’re getting married. Symbolic ethnicity, then, is the perfect compromise for white Americans, the feelings of warmth and specialness without any constraints on their sense of individual freedom.

***

In her study, Waters also found that symbolically ethnic whites routinely ascribe the social behaviors they’re proud of to their chosen ethnicity. If they were hard workers, they’d say it was because they were Italian. If they were family-oriented, they’d say it was because they were German. The most treasured values were pretty much the same across ethnicities, and there’s no reason to believe that they derived from those particular groups. What’s important is that she concludes that Americans “have very little conceptual terminology that allows them to link their nuclear families to institutions beyond them.”60 Their whiteness doesn’t serve that function, given that it says little to nothing about a family’s history or values. If anything, it’s more of an anti-heritage.

***

In 1985, a team of scholars led by sociologist of religion Robert Bellah concluded that Americans have more than one language with which to speak of their moral lives. The first is the national language of individualism that derives from the country’s political origins. Given its primary emphasis on the rights of the individual, this language isn’t always equipped to discuss either the trials and tribulations of human relations or the quest for the common good. For such discussions, Americans will often resort to “second languages” that derive from “communities of memory,” ethnic or religious groups with traditions and histories that inform the present.61 “The stories that make up a tradition,” Bellah and his colleagues wrote in their book Habits of the Heart: Individualism and Commitment in American Life, “contain conceptions of character, of what a good person is like, and of the virtues that define such character.” Communal notions of moral values and good character can help individuals healthily engage with the diverse society around them. “They carry a context of meaning that can allow us to connect our aspirations for ourselves and those closest to us with the aspirations of a larger whole.”62 Conversely, they can protect them against the imper- sonal forces of the political and economic worlds. They can help cushion the individual from the alienation and anxiety of American life.

While the shedding of ethnicity can be a liberating and successful transition for many, it can leave others with less social support and moral guidance in their lives. They’re more likely to fall prey to the temptations of the marketplace or to mistake electoral politics or the legal system for genuine sources of morality. Wor- se yet, once separated from communities of memory, it isn’t clear whose ethical or moral standards one should adopt. Once they are free of any moral restraints in their pursuits of happiness, it also isn’t clear what happiness means or how to assess it. To some it seems to simply mean freedom to reject whatever is asked of them. Still, as the Waters study suggests, people will continue to seek connection, but inevitably with shallower, less diverse communities built around transient shared identities, tastes, and lifestyles. In short, each individual is then obliged to choose his or her own value systems—or even facts—based on his or her chosen identities and preferences, which makes it extremely hard for society to reconcile conflicting notions of what constitutes the greater good. Likewise, it gets harder to instill a sense of national mission, let alone forge a Puritan-style covenant. There is also the danger to the individual. As Bellah and his colleagues warned, a life built entirely on the notion of individual fulfillment (as opposed to commu- nal commitment) often ends up lonely and empty. Think of the horrible death toll the opioid epidemic has taken over the past two decades. Ponder the number of men and women living on the streets. Consider this country’s obsession with individual rights and how it eclipses any concern for the common good. It starts to explain the disappearance of compromise in American politics as well as the glaring absence of grace, tenderness, or compassion in U.S. public life.

***

Once the glue to an imperfect type of social cohesion, whiteness now threatens to undermine the social contract altogether. The reluctance that we have witnessed over the past months both of millions of individuals to wear masks and for state and local governments to mandate it were just the most glaring examples of a trend that’s been building for decades. The massive loss of human life will do nothing to change this. The meaning of America, the role of race in it, and a peculiar brand of nation-building have allowed the emptiness of whiteness to even pass as nationalism. And once again, as whites continue to shed any semblance of communal tradition, they grab onto patriotic symbols and ideology in an attempt to anchor themselves. But neither symbolism nor the constant attempt to reignite white cohesion by demonizing nonwhites both at home and abroad will make unhyphenated whites feel more secure in the world. The usual talismans will do nothing to keep them from falling through the latticework that is America. Meanwhile, they’re pushing the entire nation ever closer to the void.

*****

1. William Dean, The Religious Critic in American Culture (Albany: State University of New York Press, 1994), 178.

2. Ibid.

3. Carl Joachim Friedrich, “Responsible Government Service Under the American Constitution,” in Problems of the American Public Service (New York: McGraw-Hill Book Company, 1935), 12.

4. Samuel P. Huntington, American Politics: The Promise of Disharmony (Cambridge, MA: Belknap Press of Harvard University Press, 1981), 262.

5. John Winthrop, The Journal of John Winthrop, 1630–1649, ed. Richard S. Dunn and Laetitia Yeandle (Cambridge, MA: Belknap Press of Harvard University Press, 1996), 10.

6. Timothy H. Breen and Stephen Foster, “The Puritans’ Greatest Achievement: A Study of Social Cohesion in Seventeen- th-Century Massachusetts,” Journal of American History 60, no. 1 (1973): 12.

7. David D. Hall, Puritans in the New World: A Critical Anthology (Princeton, NJ: Princeton University Press, 2004), 337–38.

8. Sacvan Bercovitch, The Rites of Assent: Transformations in the Symbolic Construction of America (New York: Routledge, 1993), 34.

9. Sacvan Bercovitch, “The Ideological Context of the American Renaissance,” in Forms and Functions of History in American Literature: Essays in Honor of Ursula Brumm (Berlin: Erich Schmidt Verlag, 1981), 4.

10. Abraham Lincoln, “Address to the New Jersey State Senate, Trenton, New Jersey, February 21, 1861,” in Lincoln Speeches (New York: Penguin Books, 2012), 110.

11. Franklin D. Roosevelt, “Speech to the Democratic National Convention, Philadelphia, June 27, 1936,” in American Speeches: Political Oratory from Abraham Lincoln to Bill Clinton, ed. Ted Widmer (New York: Literary Classics of the United States, 2006), 420.

12. Martin Luther King Jr., “Sermon at National Cathedral Washington, D.C., March 31, 1968,” in ibid., 680.

13. Alexis de Tocqueville, Democracy in America (Chicago: University of Chicago Press, 2002), 387.

14. Francis J. Grund, The Americans in Their Moral, Social, and Political Relations (Boston: Marsh, Capen & Lyon, 1837), 149.

15. Dixon Wecter, The Hero in America (New York: Scribner, 1972), 3.

16. Horace Bushnell, “The Founders Great in Their Unconsciousness,” in Work and Play; or, Literary Varieties (New York: Scribner, 1864), 158.

17. Nathaniel Hawthorne, “Civic Banquets,” in Works of Nathaniel Hawthorne (Boston: Houghton, Mifflin and Company, 1876), 375.

18. Guillaume Vandenbroucke, “The U.S. Westward Expansion,” International Economic Review 49, no. 1 (2008): 81.

19. John Higham, “Hanging Together: Divergent Unities in American History,” Journal of American History 61, no. 1 (1974): 17.

20. Robert H. Wiebe, The Search for Order: 1877–1920 (New York: Hill & Wang, 1967), xiii.

21. Miranda E. Wilkerson and Joseph Salmons, “‘Good Old Immigrants of Yesteryear,’ Who Didn’t Learn English: Germans in Wisconsin,” American Speech 83, no. 3 (2008): 268.

22. Oscar Handlin, The Uprooted: The Epic Story of the Great Migration That Made the American People, 2nd ed., (Boston: Little, Brown, 1979), 4.

23. Oscar Handlin, Race and Nationality in American Life (Boston: Little, Brown, 1957), 164.

24. Tocqueville, Democracy in America, 486.

25. Timothy L. Smith, “Religion and Ethnicity in America,” American Historical Review 83, no. 5 (December 1978): 1175.

26. Higham, “Hanging Together,” 17.

27. Claudio Saunt, Unworthy Republic: The Dispossession of Native Americans and the Road to Indian Territory (New York: W. W. Norton, 2020), 109.

28. Handlin, Race and Nationality, 164.

29. Theodore Roosevelt, “Thomas Hart Benton,” in The Works of Theodore Roosevelt Memorial Edition, vol. 8 (New York: Charles Scribner’s Sons, 1924), 131.

30. Theodore Roosevelt, “Americanism,” The Works of Theo- dore Roosevelt Memorial Edition, vol. 20 (New York: Charles Scribner’s Sons, 1925), 457.

31. Theodore Roosevelt, “What ‘Americanism’ Means,” The Forum Magazine 17 (1894): 204–5.

32. Ibid., 198.
33. Ibid.
34. Randolph S. Bourne, “Trans-National America,” Atlantic Monthly 118 (July 1916): 96.
35. Ibid., 90.
36. Ibid., 91.
37. Woodrow Wilson, “Address at Pueblo, Colorado, September 25, 1919,” in Addresses of President Woodrow Wilson, Addresses Delivered by President Wilson on His Western Tour, September 4 to September 25, 1919 (Washington, DC: Government Printing Office, 1919), 359.

38. Lothrop Stoddard, Re-Forging America: The Story of Our Nationhood (London: Scribner, 1927), 257.

39. Ibid., 326.
40. Ibid., 365.
41. Robert Penn Warren, Segregation, the Inner Conflict in the South (New York: Random House, 1956), 15.
42. Eudora Welty, “How I Write,” The Virginia Quarterly Review 31, no. 2 (1955): 243.
43. George W. Pierson, “The M-Factor in American History,” American Quarterly 14, no. 2 (Summer 1962): 280.

44. Margaret Mead, And Keep Your Powder Dry: An Anthro- pologist Looks at America (New York: William Morrow and Company, 1942), 53.

45. Ibid., 74.
46. Ibid., 73.
47. Geoffrey Gorer, The Americans: A Study in National Character (London: Cresset Press, 1948), 15.
48. Kenneth T. Jackson, Crabgrass Frontier: The Suburbanization of the United States (New York: Oxford University Press, 1985), 280.

49. Richard Hofstadter, “The Pseudo-Conservative Revolt,” The American Scholar 24, no. 1 (1945): 17.

50. Claude S. Fischer, Made in America: A Social History of American Culture and Character (Chicago: University of Chicago Press, 2011), 149.

51. Robert Wuthnow, After Heaven: Spirituality in America Sin- ce the 1950s (Berkeley: University of California Press, 1998), 7.

52. Thomas C. Wheeler, Introduction to The Immigrant Experience: The Anguish of Becoming American, ed. Thomas C. Wheeler (New York: The Dial Press, 1971), 14.

53. Ibid., 14.

54. Howard F. Stein and Robert F. Hill, The Ethnic Imperative: Examining the New White Ethnic Movement (University Park: Pennsylvania State University Press, 1977), 22.

55. Richard D. Alba, Ethnic Identity: The Transformation of Whi- te America (New Haven, CT: Yale University Press, 1990), 300.

56. Irving Howe, “The Limits of Ethnicity,” New Republic 176 (June 25, 1977): 18.

57. Mary C. Waters, Ethnic Options: Choosing Identities in America (Berkeley: University of California Press, 1990), 92.

58. Ibid., 151.
59. Ibid., 153.
60. Ibid., 134–35.
61. Robert N. Bellah et al., Habits of the Heart: Individualism and Commitment in American Life (Berkeley: University of Cali- fornia Press, 1985), 154.

62. Ibid., 153.

America’s First Karen: The White Heroine Who Legitimized Racial Aggression

February 2020

White racial violence in America has never been a random collection of individual or unrelated crimes of passion against minorities. It has generally been driven and justified through insidious ideologies that paint whites as innocent victims and nonwhites as threatening and aggressive.

In her posthumously published autobiography, journalist and anti-lynching activist Ida B. Wells put it plainly: to justify the extralegal torture and murder of black men in the late nineteenth and early twentieth centuries, apologists for the violence had to brand all black men as “moral monsters and despoilers of white womanhood.”1

Mind you, slandering an entire racial group isn’t just a matter of casual racism. The ideology was articulated and refined by high priests from the finest universities. Brown University sociologist Lester F. Ward, for example, concluded that blacks were driven by the “imperious voice of nature” to rape white women and thus “raise his race to a little higher level.”2 In the meantime, the University of Pennsylvania’s Daniel G. Brinton, considered one of the founders of American anthropology, argued that white women had no “holier duty” than to guard the purity of their race, while white men had no higher duty than to protect white women.3

Through her investigations, Wells discovered that the rise in lynching in the South wasn’t about rape at all. The supposed mass phenomenon of black men violating white women was, she famously wrote, a “threadbare lie.”4 Lynching was just a new means of controlling blacks at a time when they were becoming more economically competitive with whites. The fragility of white women, it turns out, was the weapons of mass destruction of its day.

But that isn’t the only time in American history that whites have wielded female virtue and victimhood to justify aggression against nonwhites. The practice is exclusive neither to the history of lynching of black Americans nor to the American South. Indeed, it is integral to the way white supremacy has always been enforced in America.

***

The first woman in American history to have a statue erected in her honor was a symbol of virtuous violence against nonwhites.

In March of 1697, a Massachusetts-born Puritan named Hannah Duston was taken captive by Native Americans a week after giving birth to her twelfth child. Marched north for two weeks, during which time her newborn was killed by her captors, Duston and two other captives were left with an Indian family on an island located in what is now New Hampshire. With help from her fellow captives, Duston then killed and scalped ten Indians—six of whom were children—while they slept, then escaped, scalps in hand, in a canoe down the Merrimack River.

Back home, the Massachusetts General Assembly gave the escaped woman fifty pounds as a reward for the scalps. Cotton Mather, the most celebrated of Puritan ministers, wrote about Duston’s harrowing story no fewer than three times, making her the most famous woman of her day. Mather’s stories made clear that Duston’s murder of Indian children was justified by virtue of her having lost her own child as well as by the fact that she was beyond the boundaries—and laws—of her community. He compared Duston to Jael, an Old Testament heroine who saved the Israelites by driving a spike through the head of a sleeping enemy commander. The comparison further demonstrated that Duston’s violent acts were committed not just in her own defense, but on behalf of her people. The story, now a legend, thus allowed seventeenth-century Puritans to see their own violence against Native Americans as not only legitimate but virtuous.

***

I first learned of Hannah Duston two years ago at a restaurant in downtown Los Angeles. The hostess at an old-fashioned steak joint swore to me that one of her ancestors was famous for killing Indians.

No more than a month later, I was in a rental car heading up I-93 in Massachusetts on my way to see the surviving monuments erected in honor of a Puritan woman who died almost three hundred years ago. As a voluble, six-foot-three-inch-tall Mexican American man, I’m no stranger to the ways in which the fears of white women are wielded against nonwhite men and wanted to the see the archetypal symbol for myself. It was a little like ma- king a trip to the Rosetta Stone thinking that it would re- veal some truths about being big and brown in America.

The legend of Hannah Duston quieted down sometime in the eighteenth century, but it came roaring back in the 1820s. For the next six decades or so, the story of Duston’s bravery appeared in everything from children’s books to encyclopedias, U.S. histories to women’s magazines. By 1874, The Ladies Repository, a national publication of the Methodist Episcopal Church, declared that the story of Hannah Duston was “familiar to every school-boy.”5 The likes of Henry David Thoreau, Nathaniel Hawthorne, and John Greenleaf Whittier all published versions and interpretations of her story.

Between 1861 and 1879, three statues of Duston were unveiled. Her legend reached full swing at a time when the United States was expanding westward and its pioneers were increasingly grappling with what was so inelegantly called “the Indian Problem.” When Duston killed Native American men, women, and children, University of Northern Iowa historian Barbara Cutter writes, “she represented an innocent nation defending itself against an evil threat. Her story could be used to morally justify American expansionism—both onto Indian lands and into the nation of Mexico.”6

Two of three Duston monuments still exist, one in Haverhill, Massachusetts, the town where Duston lived, and the other on the island north of Concord, New Hampshire, where she had been held captive. I circled around downtown Haverhill a few times before spying a nursing home with the unfortunate name of the Hannah Duston Healthcare Center. It was a cold Sunday in early March, and I felt like I had the city center to myself. I found the nearby statue decidedly imposing and to the point. Dressed in a long formal gown, her hair flowing over her shoulders, the figure of Duston stands righteously and threateningly. Her right hand holds a tomahawk at the ready, while her left points her index finger outward accusingly. It’s clear that whomever she’s about to whack deserves it.

The man who donated the statue in Haverhill in 1879 explained that the monument was not only meant to remind Americans of Duston’s “courage,” it was also intended to “animate our hearts with noble ideas and patriotic feelings.”7

After grabbing a quick lunch in Haverhill, I drove another hour into New Hampshire, about fifteen minutes north of Concord. I got out at a Park and Ride lot along the highway, next to a historical marker that lauded Duston as both a “victim” and a “famous symbol of frontier heroism.” The statue was not far off, on an island on the other side of a railroad bridge. Made of granite, with her nose apparently having been shot off, this 1874 monument to Duston is starker and more terrifying than the one in Haverhill. Her hair is flowing in the same way, but her neckline is much lower, as if she’s wearing an under- garment, thus accentuating her femininity. In her right hand, she holds a tomahawk by her side. In her left, she’s grasping a fistful of scalps at her waist that at first glance I thought was an upside-down bouquet of flowers.

In her insightful 2008 journal article “The Female Indian Killer Memorialized,” Cutter argued that the legend of Hannah Duston helped Americans to envision their national identity as female and to understand that the violence committed in her name was “feminine, and therefore justified, innocent, defensive violence.”8

But what Cutter failed to add was that this symbol of virtuous violence was as much a white racial ideology as it was a national one. It was wielded to control nonwhites not just beyond America’s expanding borders, but also within them.

***

As the U.S. fought its last Indian wars and the frontier closed, Hannah Duston faded away. But the belief that white female virtue could be wielded against nonwhites would live on, as America now needed to teach the peoples its growing empire was absorbing to behave by the rules of their new superiors.

For the most part, the work of “civilizing” Native Americans, Mexicans in the borderlands, newly arrived immigrant groups, and colonial peoples in Asia and the Caribbean fell to white women. It was a position that many relished, not least because it was a source of rare political power and freedom.

So successful did women become as urban reformers, special government agents, settlement house leaders, and missionaries both in the U.S. and abroad that “woman as a civilizing force” became a popular “rallying cry” for early feminists.9 Suffragists often pointed to white women’s new roles as ambassadors—and enforcers—of white Protestant American culture as proof that white women deserved equal political rights to those of white men. This newfound social status, however, required white women to uphold America’s racial hierarchy and treat both nonwhite men and nonwhite women as inferiors. Taking on roles as civilization workers, writes University of Florida historian Louise Michele New- man, therefore “limited the critiques white women could offer of the racism and sexism within their own culture because in the end they had to acknowledge that patriarchy had been key to their own racial advancement.”10

This dynamic allowed white women to comfortably advocate for equality of the sexes for themselves while still upholding white supremacy. For feminists, it also led them to deflect their criticism of the patriarchal aspects of their own culture and place the responsibility for the oppression of women on the nonwhite men they were trying to civilize. As Newman writes in her rigorously argued book White Women’s Rights: The Racial Origins of Feminism in the United States, “white women often scapegoated the purportedly less enlightened men of ‘primitive’ cultures as the worse perpetrators of abuse.”11

Their growing professional clout among white men notwithstanding, white women sometimes expressed fear of being victimized by the nonwhite men they sought to elevate culturally. That’s hardly surprising, given that Anglo elites routinely characterized nonwhite males as preternaturally aggressive, hypersexual, or both. And, particularly during the height of lynching in the South, white female civilization workers also projected their fear of black men onto other nonwhite men they encountered. Even as white women were lauded for portraying the gentler side of American imperialism, their fear of nonwhite men helped maintain the racial order.

The politics of virtue and victimhood are alive and well at the start of the twenty-first century. Indeed, for some feminist—and other minority—activists the two are one and the same. But not everyone enjoys equal access to the status of victim.

Given their place in America’s racial hierarchy—below white men but above both nonwhite men and nonwhite women—white women are, to say the least, first among equals when it comes to minorities. Whether real or imagined, their fears are not only much more likely to be heard than those of other women, they’re also more likely to be weaponized.

That’s what Donald Trump is doing when he raises the specter of Mexican rapists to rally support for his anti-immigrant measures. It’s why so-called BBQ Becky and so many like her have become viral internet memes over the past few years. She’s the woman who called 911 to report a black family having a barbecue at a park in downtown Oakland, California. Righteous and confident while confronting the family, the complainant broke into tears when she talked to the police on the phone, then accused those she was harassing of threatening her. At the very least, what this spate of videos shows us is that plenty of white women feel disturbingly comfortable calling the authorities to resolve their grievances, however small, with nonwhite men. What are the chances that a black or brown man would call the cops on a white woman and assume they’d get a fair hearing, or a hearing at all?

In her 2019 book, White Tears/Brown Scars, Australian journalist Ruby Hamad advances the minority feminist argument that white entitlement is often masked by female victimhood and that nonwhites generally pay the price. American history certainly bears her out. There’s no greater symbol of that uncomfortable truth than Hannah Duston.

***

1. Ida B. Wells, Crusade for Justice: The Autobiography of Ida B. Wells, ed. Alfreda M. Duster (Chicago: University of Chicago Press, 1972), 71.

2. Lester F. Ward, Pure Sociology: A Treatise on the Origin and Spontaneous Development of Society (London: The Macmillan Company, 1903), 53.

3. Daniel G. Brinton, Races and Peoples: Lectures on the Science of Ethnography (New York: NDC Hodges, 1890), 287.

4. Ida B. Wells, “A Red Record,” in Southern Horrors and Other Writings: The Anti-Lynching Campaign of Ida B. Wells, 1892–1900, ed. Jacqueline Jones Royster (Boston: Bedford Books, 1997), 79.

5. Barbara Cutter, “The Female Indian Killer Memorialized: Hannah Duston and the Nineteenth-Century Feminization of Ame- rican Violence,” Journal of Women’s History 20, no. 2 (2008): 14.

6. Ibid., 26.
7. Ibid., 23.
8. Ibid., 26.
9. Louise Michele Newman, White Women’s Rights: The Racial Origins of Feminism in the United States (New York: Oxford University Press, 1999), 53.

10. Ibid., 8

11. Ibid.

(Hannah Duston grasping a fistful of scalps. Boscawen, New Hampshire. Photo by Gregory Rodriguez.)

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