Essays in Self-Criticism Página 1 de 131 Louis Althusser Essays in Self-Criticism Translated by Grahame Lock Réponse à John Lewis was published by François Maspero, 1973 © Louis Althusser, 1973 Eléments d'Autocritique was published by Librairie Hachette, 1974 © Louis Althusser, 1974 Est-Il Simple d'Etre Marxiste en Philosophie? was published in La Pensée, October 1975 © Louis Althusser, 1975 This edition, Essays in Self-Criticism, first published 1976 © NLB, 1976 Prepared © for the Internet by David J. Romagnolo, [email protected] (July 2003) Contents Preface vii Introduction 1 mhtml:file://F:\livros\althusserianos\Essays in Self-Criticism.mht 13/02/2010 Essays in Self-Criticism Página 2 de 131 1. Reply to John Lewis 33 [Forward] [34] Reply to John Lewis 35 Note on "The Critique of the Personality Cult" 78 Remark on the Category: "Process without a Subject or Goal(s) 94 2. Elements of Self-Criticism 101 [Forward] [102] Elements of Self-Criticism 105 On the Evolution of the Young Marx 151 3. Is it Simple to be a Marxist in Philosophy? 163 "Something New" 208 Bibliography 217 Index 222 vii Preface In 1970 I was invited to lecture at Marx House in London on the work of Althusser. John Lewis was sitting in the front row of the audience. In the discussion he expressed his disagreement with what he had heard, and, later, his intention to combat it. Early in 1972 he published his article on "The Althusser Case" in Marxism Today. James Klugmann, the editor of the journal, asked Althusser to reply, and this reply appeared in October and November of the same year. This latter text was then rewritten and expanded, and appeared in a French edition in 1973, together with two other pieces. The French edition is translated in its entirety in the present mhtml:file://F:\livros\althusserianos\Essays in Self-Criticism.mht 13/02/2010 Essays in Self-Criticism Página 3 de 131 volume, which also includes a translation of Eléments d'autocritique, published in France in 1974, and of the text "Est-Il Simple d'Etre Marxiste en Philosophie?", published in La Pensée, October 1975. In total, then, this volume contains some five times the volume of material contained in the original Marxism Today article. It is preceded by an Introduction in which I attempt to show something about the political inspiration behind Althusser's writings by applying certain of his concepts to a specific and controversial political question. The bibliography of works by and on Althusser to be found at the end of the book builds on that provided by Saül Karsz in his Théorie et Politique (Paris, 1974), but adds more than twenty new titles. For helpful discussions in the preparation of this Introduc- tion I must thank Althusser himself, together with Etienne Balibar. For help with the translation I am grateful to Ann, viii Jean-Jacques and François Lecercle, and for the typing, to Maria Peine. Grahame Lock, Leyden, Holland, 1975. page 1 Introduction mhtml:file://F:\livros\althusserianos\Essays in Self-Criticism.mht 13/02/2010 Essays in Self-Criticism Página 4 de 131 Louis Althusser became a controversial figure in France with the publication of his essay "Contradiction and Overdetermination" in 1962. He became a politically controversial figure when the essay "Marxism and Humanism" appeared in 1964. The reason was his attack on the [1] notion of humanism. "Ten years ago", he wrote at the time, "socialist humanism only existed in one form: that of class humanism. Today it exists in two forms: class humanism, where the dictatorship of the proletariat is still in force (China, etc.), and (socialist) personal humanism where it has been superseded (the USSR)". But while "the concept 'socialism' is indeed a scientific concept . . . the concept 'humanism' is no more than an ideological one". His purpose at this time was thus, first, to distinguish between the sciences and the ideologies; and second to show that while Marxism is a science, all forms of humanism must be classed among the ideologies. This was the basis of what he called "theoretical anti-humanism". (Althusser's use of the term "humanism" is specific, and it has of course nothing to do with "humanitarianism".) The reaction to his arguments, however, went far beyond the realms of theory, and into the political world itself. I will try to outline this political reaction and Althusser's response to it, because this is one of the best ways of approaching his philosophical work, and also of learning something about a man whom the French weekly Le +ouvel Observateur thought it useful 1. Both articles are reprinted in For Marx (Allen Lane, 1969). page 2 to describe as "one of the most mysterious and least 'public' figures in the world"! It was clearly impossible for the French Communist Party, of which Althusser has been a member since 1948 to endorse all of his writings as they appeared, since on certain points they put its own positions in question. Nevertheless, these writings were intended as an intervention in the debate within the party, and the enormous interest which they raised did not remain without an echo there. Articles, some of them hesitantly favourable, began to appear in Party journals. Lucien Sève, in some ways the Party's senior philosopher, devoted a long note to [2] Althusser in his work La Théorie marxiste de la personnalité, outlining certain points of disagreement. But Althusser stuck to his position. Waldeck Rochet, Party General Secretary [3] at the time, gave encouragement to his research work, while distancing the Central Committee from its conclusions. Meanwhile the row between the philosopher Roger Garaudy and the Party of which he had so long been a member was blowing up. The situation was already changing. An article by Jacques Milhau for example, published in the Party journal La +ouvelle Critique in 1969, made it clear, referring to Garaudy and Althusser, that "there can be no suggestion of putting on the same level [Garaudy's] out-and-out revisionism, whose theoretical premises go back ten years, and what can be considered as temporary mistakes [gauchissements] made in the course of research work which always involves risks". The lecture-article "Lenin and Philosophy" (1968) seems to have been quite well received in the Party, but the article "Ideology and Ideological State Apparatuses" (1970) caused anxiety in some circles, which misinterpreted it as implying a simplistic condemnation of the ideological role of the education system in the service of the ruling class. When the Reply to John Lewis appeared in a French edition in 1973, it provoked some excitement. One news journal ran a story (though without any foundation) to 2. See for example Christine Glucksmann, "La Pratique léniniste de la philosophie", in La +ouvelle Critique, April 1969. 3. Sève has replied to Althusser in the third edition of the same work. mhtml:file://F:\livros\althusserianos\Essays in Self-Criticism.mht 13/02/2010 Essays in Self-Criticism Página 5 de 131 page 3 the effect that a copy of the book was being sent to every Party Central Committee member and official so that they could prepare their answers. A review by Joe Metzger in the Party weekly France +ouvelle (October 9, 1973) praised Althusser for having "raised the essential questions", but argued that he had supported the "dangerous" thesis of the sharpening of the class struggle under socialism, a thesis which "justifies priority being given to administrative and repressive measures over ideological confrontation". This remark, however, seems to be in contradiction with the sense of the text. The reaction to Althusser's writings in the International Communist Movement was also mixed. A critical (but not over-critical) article by T. A. Sakharova appeared in the Soviet magazine Voprosy Filosofii, following the debate carried by La +ouvelle Critique in 1965-66. But the Bulgarian S. Angelov took a much harsher line in an article in World Marxist Review in 1972, characterizing Althusser's anti-humanism as an "extreme" view, and implying (though indirectly) its connexion with "barracks communism", a term used to describe the line of the Chinese Communist Party. The Yugoslav Veljko Korac, writing in the journal Praxis in 1969 on "The Phenomenon of 'Theoretical Anti-humanism'", went even further: Althusser's book For Marx, he said, was written "in the name of inherited Stalinist schemes"; it was "Stalinist dogmatism" to reject as "abstract" humanism everything that could not be used as an ideological tool. On a more serious level, André Glucksmann attempted in 1967 to "demonstrate the weakness" of Althusser's work from a rather traditional philosophical standpoint (see +ew Left Review no. 72), while in Britain Norman Geras offered a serious if limited critique of For Marx and Reading Capital (+ew Left Review no. 71; see also John Mepham's reply in Radical Philosophy no. 6). But these articles contained little politics. It seems that the reaction to Althusser was, in general, either a real but rather narrow theoretical interest, or political hysteria. The article by Leszek [4] 4. See for example the article by Althusser's ex-collaborator Jacques [cont. onto p. 4. -- DJR] Rancière, "Sur la théorie politique d'Althusser", in L'Homme et la Société, no. 27, January-March 1973. His critique was expanded to book length as La Leçon d'Althusser (Gallimard, 1974). According to Rancière, Althusser's philosophy performs a "police" function. Rancière prefers the standpoint of "anti-authoritarianism", "anti-State subversion", etc. page 4 Kolakowski in Socialist Register 1971 ("Althusser's Marx") might seem to be an exception; its length at least would suit it for a serious treatment. But his misunderstanding of the subject is so severe that Kolakowski never comes near to constructive criticism. He accuses Althusser of "religious thinking", and attacks him for "failing to remember" how long ago it was discovered that knowledge "has nothing to do with pure, immediate, singular objects, but always with abstractions", so long ago that it had become "a commonplace in contemporary philosophy of science" (Kolakowski, p. 125). But Althusser had pointed out, in black and white (Reading Capital, p. 184) that the theses according to which "an object cannot be defined by its immediately visible or sensuous appearance", so that a detour must be made via its concept in order to grasp it, "have a familiar ring to them -- at least they are the lesson of the whole history of modern science, more or less reflected in classical philosophy, even if this reflection took place in the element of an empiricism, whether transcendent (as in Descartes), transcendental (Kant and Husserl) or 'objective'-idealist (Hegel)". This is just one example of the kind of criticism levelled at Althusser. The unfortunate failure of Althusser's critics to produce reasoned arguments must have its political causes, whether or not these are explicit. Sometimes the motives are rather clear, as in I. Mészàros' comment that the category of symptomatic reading is a veil for "the sterile dogmatism of bureaucratic-conservative wishful thinking" (Marx's Theory of Alienation, p. 96). At other times the lack of a serious approach seems to be based on a simple lack of ability to mhtml:file://F:\livros\althusserianos\Essays in Self-Criticism.mht 13/02/2010 Essays in Self-Criticism Página 6 de 131 understand his work, as in the case of David McLellan, who comments that For Marx "may well be profound, but is certainly obscure" (Encounter, November 1970, "Marx and the Missing Link"). On occasion even the background facts are wrongly reported, as in the case of Maurice page 5 Cranston's article in the United States Information Service journal Problems of Communism (March-April 1973), which mistakenly promotes Althusser to the Central Committee of the French Communist Party! Cranston also attributes some strange philosophical positions to him: "For Althusser", he says, "membership of the proletariat is determined by the existence of certain attitudes in the minds of individuals. . . . The external economic situation (whether a person is in the lower-, middle-, or upper-class income group) hardly matters." But whether or not Cranston's study can be counted a useful contribution to the debate, it must have flattered Althusser to find himself the subject of a full-length article in a US Government journal. From the other side of the political spectrum, the "ultra-left", come the attacks of the novelist Philippe Sollers and the Tel Quel group, inspired by their own interpretation of "Mao Tse-Tung thought". An article in the journal's Spring 1972 issue ("Le Dogmatisme á la rescousse du révisionnisme ") accuses Althusser of evading and suppressing the notion of struggle, and in an interview with the journal Peinture Sollers describes his thesis that philosophy has no object as "ultra-revisionist" and "hyper-revisionist" ("Tac au tac", Peinture nos. 2/3). In the middle of this ferment the Reply to John Lewis appeared. In a review in the daily paper Combat (June 19, 1973), Bernard-Henri Lévy summed up the situation: "There has been a lot of speculation in the salons about Althusser's 'commitments'. Is he a Maoist or an orthodox Communist? Is he a product of Stalinism or a consistent anti-Stalinist?" At last Althusser intervenes on these questions -- "he puts his cards on the table, in order to clarify the political meaning of his philosophical interventions". First: For Marx and Reading Capital are placed in their historical context -- the Twentieth Congress of the Soviet Communist Party and "de- Stalinization"; in a sense, Khrushchev's de-Stalinization came from the right. And it led, as might have been expected, to a shift to the right in the theoretical work of Communist intellectuals. It also left the Communist Parties open to attack from those, either to the right or left, who wanted to claim that page 6 their Marxism was more consistently humanist. This would presumably be true of figures otherwise as different as Garaudy, Marcuse, Kolakowski, and even Mandel with his "Marxist theory of alienation". [5] But Althusser's critique goes back further than 1956, back to Stalin himself. The Stalin period does indeed haunt the Communist movement, and not only because anti-communism will always evoke the spectre of "Stalinism". It will continue to haunt the movement, says Althusser, until a left critique of the period replaces the "rightist" analysis dominant in certain circles. And he suggests that such a critique must treat it as an example of a deviation characterized by the terms economism and humanism. He suggests as much, but could not in the space available go on to spell the mutter out. II. How then are we to understand the enigmatic references to Stalin which occur in Althusser's Reply to John Lewis ? It is true that he says little enough on the subject, and this has led certain commentators to claim that the function of his remarks is purely political. Rancière, for example, thinks that their role is to allow him to adapt to his own use -- or rather, to the profit of "orthodox Communism" -- some "currently fashionable ideas about Stalinism" (above all, [6] mhtml:file://F:\livros\althusserianos\Essays in Self-Criticism.mht 13/02/2010 Essays in Self-Criticism Página 7 de 131 presumably, those of certain "pro-Chinese" writers, including Charles Bettelheim ). But [7] Rancière's arguments are themselves all too obviously motivated by directly political considerations. In my opinion, what Althusser says in this text, together with what he has said elsewhere, allows us to constitute a genuinely new theory of the Stalin period. 5. It may even explain the fact that a recent collection of Trotskyist essays against Althusser resurrects Karl Korsch and Georg Lukàcs as sources for its theoretical critique (Contre Althusser, J.-M. Vincent and others; 10/18, 1974). 6. Rancière, La Leçon d'Althusser, p. 11. 7. Cf. especially Bettelheim's Luttes de classes in the URSS (Seuil/Maspero, 1974). [Transcriber's +ote: See Class Struggles in the USSR, First Period: 1917-1923. -- DJR] page 7 It therefore seemed useful to devote this Introduction to just this question, so that the reader can at least get an idea of what kind of politics lies behind Althusser's "philosophy". Simple as the following scenario may be, and incomplete as it is (it only attempts to provide some elements of an explanation), it contradicts alternative accounts. That is enough to be going on with. According to the Reply to John Lewis, "the Stalinian deviation can be considered as a form . . . of the posthumous revenge of the Second International : as a revival of its main tendency"; it is based on "an economistic conception and line . . . hidden by declarations which were in their own way cruelly 'humanist'". To talk about Stalin's humanism is not to talk about a simple [8] philosophical or theoretical mistake. It is to talk about something with political causes and political effects. These can be more easily understood if we glance at certain aspects of Soviet history. When the working class and peasantry took power in Russia in 1917, great hopes were raised among exploited peoples throughout the world. Perhaps they expected too much, too soon. At any rate, when the euphoria had given way to practical tasks, and especially to the Civil War and to the New Economic Policy, it became clear that there could be no straight, unsullied path to Communism. There would have to be detours, sometimes steps back; there would be mistakes and even disasters. The Soviet Union faced two major problems on the economic front: industrialization and the resolution of the agrarian question. These were not simply economic, but also ideological and political problems. The peasant question, for example, following the relatively short NEP period, was handled by the introduction of collectivization, but at an enormous cost. This cost was of course not the result of purely "technical" economic mistakes. The rich peasants, for example, resisted collectivization. No amount of agitation or of socialist propaganda could convince them that they 8. In the "Note on 'The Critique of the Personality Cult'". page 8 should voluntarily hand over their lands and property. Industrialization was vital. The machinery had to be provided to accompany the development of agriculture, and weapons had to be made available to enable the army to resist any further attempt at capitalist intervention. It was in general a question of generating the surplus necessary for investment in a country where the most basic services were still lacking in many areas, where a large part of the population was illiterate, and where the towns and industrial mhtml:file://F:\livros\althusserianos\Essays in Self-Criticism.mht 13/02/2010 Essays in Self-Criticism Página 8 de 131 regions contained only a very small proportion of that population. During the NEP Period the resolution of certain political and ideological problems was postponed in the interest of survival. The new economic system represented a retreat. The economy was decentralized; enterprises were given financial and commercial independence; certain small enterprises were denationalized; foreign companies were granted concessions; private shops appeared, together with private merchants; the links between agriculture and industry became market-oriented once again. Lenin called this a "transitional mixed system" -- that is, not something stable in itself, but a state of affairs to be superseded either (it was hoped) by a development towards communism, or -- and this was a real possibility -- by a reversion to capitalism, if the kulaks and +epmen grew too powerful. The possibility of counter-revolution was thus recognized. The danger was seen as two-fold: on the one hand, the capitalist states might attempt an intervention; on the other hand, the old and new capitalist and kulak classes might attempt to overthrow the régime from within. These were indeed the immediate dangers. But another, deeper threat was not clearly recognized. To understand why we can usefully begin by looking at one particular problem faced by the Soviet state, which then throws light on a more general contradiction. It was very quickly realized, following the October Revolution, that industry and agriculture urgently required the services of workers of all levels of knowledge and skill, and also of managers, technical experts, etc. These latter groups -- which on the one hand obviously did not constitute page 9 a capitalist class, but on the other hand could not be said to form part of the working class -- presented special problems. Even in the mid-twenties, before the first Five-Year Plan was put into effect, these specialist groups numbered some tens of thousands of persons, totalling perhaps 100,000. One problem about the specialists (I use the term in a general sense, to include managers) was that many of them were opponents of the régime. In 1925, Kalinin, President of the Central Executive Committee of the Soviet Union, explained that "Communism is being created in the provinces by the man who says: 'I am against Communism'". Moreover, these groups were not particularly popular among the working class. E. H. Carr reports for example in his Foundations of a Planned Economy that a number of "excesses" were said to have taken place in this period against engineers and technicians, for which ordinary workers were responsible. [9] Several attempts were actually made against the lives of specialists in the Ukrainian mines during the summer of 1927. What kind of contradictions were at work here? The government's policy towards the specialists, at least up to 1928 or so, was not based on the use of repressive measures. Even after the Shakhty trial of 1928, when numbers of technical personnel were executed and imprisoned for alleged "sabotage" in the mines of the Donbass region, official pronouncements continued to be made against "baiting the specialists". At this time it seems that monetary incentives were the main instrument used in keeping them in line. There was a serious shortage of specialists, of course, and many had to be imported from America, Germany and Britain. Of the existing native specialists, moreover, less than one per cent were Party members. The first and second Five-Year Plans did require and provide an enormously increased pool of experts and skilled workers of all kinds. Those in the population equipped with at least secondary technical school education were estimated to have increased by two and a half times during the life of the first Plan, and specific figures for teaching, medicine, etc. show similar advances. From 1928-29 on, we can in 9. Foundations of a Planned Economy, Part I, C, ch. 21: "The Specialists". mhtml:file://F:\livros\althusserianos\Essays in Self-Criticism.mht 13/02/2010 Essays in Self-Criticism Página 9 de 131 page 10 fact talk of an enormous effort to train a new generation of "red experts". The problem was, however, not only that this could not be done all at once, but also that the new generation had to be educated by the old, with all the ideological consequences that this implied. In fact there was, during the plans, a tendency for wage differentials in general to rise, and in particular for the salaries of the experts to rise disproportionately when compared with those of manual workers. This phenomenon seems to reflect the fact that the new generation of specialists was not prepared to work for primarily ideological rewards. The new Soviet man was not to be born in a single generation. Let me halt there for a moment. I have raised certain problems posed by the role of the specialists in the early years of the Soviet state. I wanted to make it clear that these problems were not simply "technical", but also political and ideological -- that is, in fact, problems of class struggle. But, secondly, these particular problems make up only one aspect of a more general question : that of the continued operation under socialism of the wage system. We must therefore go back for a moment and look at the wage system in capitalism. We know that the very existence of this system is linked to distinctions in the degrees of skill or qualification of labour power. We also know that the difference between the price of skilled and unskilled labour power rests on the fact that the former "has cost more time and labour, and . . . therefore has a higher value" (Marx in Capital, vol. I). But it also rests on something else, because this value must be realized. The difference in price (that is, the existence of wage differentials) also rests on the ideological and political conditions which enable and cause the skilled worker to demand -- normally with success -- that he be paid more than the unskilled worker. The same holds for the differentials which separate the expert on the one hand and the worker (including the skilled worker) on the other. These ideological and political conditions are actually among the conditions for the reproduction of capitalist relations of production, therefore of (capitalist) exploitation -- that is, of the extraction of surplus-value. They are page 11 fulfilled by the operation of the Ideological State Apparatuses. These apparatuses help to [10] guarantee the continuing domination of one class, the capitalist class, over another class, the working class. But, as we shall see, this they do -- and can only do -- in a contradictory manner, by also reproducing class struggle. Thus, finally, we can say that the existence of the wage- system in capitalism is linked to the existence both of exploitation and of class struggle. We can go further, however. The process of the creation of value in general (what Marx calls Wertbildung) is itself bound up with the process of the realization of surplus-value (Verwertung); indeed, the latter is nothing but the former, says Marx, continued "beyond a certain point" (Capital, vol. I, Part III, ch. VII). It is therefore not only the wage system (the production and exchange of labour power as a commodity) but commodity production in general (i.e., the value creating process) which is bound up with the process of the realization of surplus-value, that is, with exploitation. The creation of value takes place within the labour process, which is both "technical" (a process of the production of use-values) and "social" (a process of the production of commodities). Thus the socio-technical division of labour is at the heart of the process of exploitation. This process in fact depends on the fact that labour power itself functions as a commodity, with of course the special characteristic that its use-value is a source of more (exchange) value than it has itself. Thus the socio-technical division of labour is linked to the system of differentiation between the prices of more or less complex forms of labour power. We can in this way establish a number of general connexions: between commodity production, the wage system, the socio-economic division of labour, and the extraction of surplus-value. mhtml:file://F:\livros\althusserianos\Essays in Self-Criticism.mht 13/02/2010 Essays in Self-Criticism Página 10 de 131 We ought finally to glance at the special situation in capitalism of what are often referred to as the "middle 10. See Althusser's "Ideology and Ideological State Apparatuses", in Lenin and Philosophy and Other Essays (NLB, 1971). page 12 strata". The various groups which are aggregated under this heading are in fact of very different character. It is true that, in general, they are distinguished from the working class by the fact [11] that the reproduction of their labour power takes place separately from that of the working class (its members compete on a different labour market). In the course of the development of capitalism, certain of these groups -- especially the so-called "employees" -- tend to become "proletarianized", that is, thrown onto the same labour market as the workers. But not all are in this position: far from it. Some remain quite outside of the process of proletarianization. Moreover, while the "employees", though not productive workers, tend to become subject to exploitation, other groups not only are not so exploited, but actually combine their productive function with the task of managing the process of production and circulation -- i.e., of exploitation. [12] The above detour through capitalism was necessary to our understanding of socialism. We shall see later more exactly why. Meanwhile, however, we are at least in a position to pose a few questions. For example: why does the wage-system continue to operate after the proletarian revolution? Why does commodity production continue -- in a different form -- to take place? Does the persistence of commodity production imply the continued operation, in socialism, 11. The "middle strata" do not constitute a social class. The development of capitalism tends to reduce the existing social classes to two only, the bourgeoisie and the proletariat (Cf. E. Balibar, Cinq Etudes du matérialisme historique, p. 134.) The antagonism between them is an element of the definition of the capitalist mode of production; whereas the character of the relations between the "middle strata" on the one hand, and the bourgeoisie and proletariat respectively on the other, are not so given. In particular, the question of whether an alliance between the proletariat and middle strata is possible in an given situation can only be answered in concrete political practice, and not by a formal definition of a new "middle class" or "petty-bourgeoisie. See also Lenin's comments on the Draft Programme of the RSDLP, 1902: "In the first place it is essential to draw a line of demarcation between ourselves and all others, to single out the proletariat alone and exclusively, and only then declare that the proletariat will emancipate all, that is call on all, invite all" (Collected Works, vol. 6, p. 73) [Transcriber's +ote: See Lenin's Material for the Preparation of the Programme, p. 75. -- DJR]. 12. Cf. E. Balibar, Cinq Etudes du matérialisme historique, pp. 144. 150. page 13 of a value-creating process, and therefore, indeed, also of a process of production of surplus- value? Finally: we know that, after the proletarian revolution, the working class must take over from the bourgeoisie the function of organizing production. But, on the one hand, must it not also, at the same time, struggle continuously against the forms in which it is forced to organize production, since its goal is the complete elimination of the conditions of exploitation (therefore the elimination of the wage-system, commodity production, etc.)? And, on the other hand, must it not at one and the same time make use of the old bourgeois specialists, and yet struggle against them? These were some of the questions facing the young Soviet state. But, of course, they did not present themselves spontaneously in this form. Stalin, for example, formulated the questions rather differently. And, curiously enough, he often changed his mind about the answers. For example, he was apparently unable to make up his mind about the internal class struggle in the USSR. In 1925 he was talking about the need to struggle against a "new bourgeoisie". In 1936, mhtml:file://F:\livros\althusserianos\Essays in Self-Criticism.mht 13/02/2010