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Armed Iranian rebels during the revolution, 1979
Defining the term revolution can be difficult, as it has been appropriated for many purposes, even commercial advertising that promises a “revolution” in one’s life if one adopts a certain product. Here, I propose to go back to the more common usage of the word, meaning “an instance of great change in affairs,” or, more narrowly, the “overthrow of an established political or social system,” meanings that gained particular currency in the English-speaking world from the Glorious Revolution of 1688–89 that overthrew King James II.1 But while the term is early modern (ca. 1500–1800), the concept of revolution is much, much older, dating back to ancient history, and was already notably described and developed by the Greek historian Thucydides in his descriptions of the revolutions in Greek cities as a result of the Peloponnesian War, from the revolt at Corcyra in 427 BCE on. Thucydides paints a very bleak picture of such events,2 but much else can be said about them.
Going back to prehistory, it is presumed that nonliterate tribal communities existed without much specialization, and also that, because they consisted of such a small number of individuals (maybe a few hundred), everyone knew everyone else personally, conditions that led to less hierarchy and classism, and therefore probably less organized internal conflict, than exist in later societies—although even in those conditions there must have been some.3 But as soon as civilization appeared with the invention of writing and other developments, societies became organized in hierarchical systems, complete with complex political arrangements, including kings, such as those that emerged in ancient Iraq and Egypt more than five thousand years ago. These systems already raised the question of governance and authority at the dawn of human history. Who was to govern and why? And what did the rulers owe to the ruled, and vice versa? These are already important themes in ancient texts.
The usual understanding of such ruling systems is that the rulers, their associates, and their helpers were always first of all interested in staying in power. But how were they to do that? Could they claim that they should just rule because they were the rulers, always divinely approved and appointed, or did they need to do more? However much rulers might have wished that simply claiming divine authority, which they normally invoked, would be enough to legitimate their rule, it was not sufficient, so they also had to submit to working for the welfare of the people, because public opinion always mattered. In particular, the opinion of other elites who worked with the rulers mattered because these elites could see that their rulers were mere humans and could potentially rival or overthrow them. So from the very beginning, the public interest had to be a concern of the rulers, a concern that emerges even in some of the earliest texts from Iraq and Egypt.4 The public interest was also a concern of the ancient Hebrew prophets in their denunciations of their kings, and it was obviously a theme noted by Greek and Roman historians when their writings begin from the fifth century BCE onward.5 It is furthermore of great interest that the scholar Michael Hudson has emphasized how ancient kings saw it as one of their major duties to protect their subjects from the rapacity of the rich by regularly canceling outstanding debts.6 And there is no doubt that lawgiving to order and organize society was seen as a major royal duty too, as shown by the famous law codes of Hammurabi of Babylon (r. ca. 1792–1750 BCE) and others.7 The duty of the ruler to establish justice in his realm has also been the standard of conduct for rulers in the Muslim world,8 and one can accept that this has been a general rule for monarchs throughout the world.
Rulers, then, legitimized themselves both by claiming divine authorization and by upholding the public interest. But what happened when the rulers failed adequately to uphold the public interest, such that the confidence of the public in them and often in the whole existing system was lost, revolts broke out, others tried to take over, and the system crumbled, as has also happened repeatedly? In these cases, the ensuing disintegration of the previous legitimate authority would lead more or less swiftly to a cycle of factionalism and violence, which would end eventually, often after prolonged strife and bloodshed, in the emergence of a new elite and new autocracy. Mostly, this has been the story of human politics since the beginning of history. To understand this series of events or developments, it is necessary first to consider the conditions that precede such an upheaval, then the course of the upheaval itself, which normally includes multiple rapidly shifting stages, and finally the consequences of the upheaval. Overall, this process is the main description of what is termed revolution.
While revolutionary upheavals have been common throughout history, they are not the norm in societies most of the time. Whatever kinds of political arrangements may have been experienced by nonliterate peoples,9 it is quite clear that people in most places and times have lived under monarchies, usually but not always hereditary, and that these monarchical regimes have often persisted under the same families for centuries. Disorder under these regimes, for the most part, has been confined to crime and banditry, which might occasionally shade off into actual rebellion.10 So the default condition of civilized life has been, on the whole, peaceful organization under regimes that, through technology, education, and other developments, have gradually become more controlling of and intrusive into the affairs of their individual human subjects, especially over the last two hundred years or so.
However, life also involves constant change, which regimes are sometimes ill prepared to handle, and various threats exist, some from nature, some directly from other humans, and some from the invisible structures organizing the society. Also, sometimes a regime becomes increasingly exploitative, autocratic, or despotic, often in response to the insecurity it feels because of these threats. This autocratic tendency is usually exacerbated by the fact that a regime is never a single, unified actor but rather consists of large numbers of people with various interests, many of whom want to push for their own advancement or enrichment, even if to the detriment of the regime. Given these challenges, the rulers may feel the need to tighten their grip, which can lead to a spiraling conflict that results in a revolution.
A standard explanation of revolutions is that worsening economic conditions make it almost impossible for the people to make ends meet, so, fearing for their survival, they are forced to overthrow the existing system.11 While it cannot be denied that privation motivates some revolutionaries, a countervailing view says that rather, when the people have reached a stage where they have a better understanding of what is being done and find it unjust, they revolt. In either case, pressures build up, leading to a revolutionary explosion.
If we consider four great revolutions of modern times—the French (1789–99), Mexican (1910–20), Russian (1917–21), and Iranian (1978–81)—we will see that they all cast light on this pattern. In each case, the revolution was preceded by the rule of a long-term autocrat: Louis XVI (r. 1774–92) in France, Porfirio Díaz (r. 1876–1911) in Mexico, Nicholas II (r. 1894–1917) in Russia, and Mohammad Reza Pahlavi (r. 1953–79) in Iran.12 The old regimes in France and Russia each had a history going back centuries, which was not true of the parvenu regimes of Díaz and Pahlavi, neither of which had much historical depth. While economic hardship and suffering were motives in France because of the cold winter of 1788–89 and a bad harvest, the leadership of the revolution consisted of more prosperous bourgeois people who were more motivated by the liberalism of the eighteenth-century Enlightenment and the seemingly more liberal British system, not to mention the new American republic.13 Likewise, in Mexico, the revolution was set off when the aging Díaz opened up the system slightly by allowing opposition in a presidential election, which brought out liberal hopes in the elite, while the common people had more immediate material concerns. In Russia, a slowing down of the distribution system owing to the First World War contributed to the initial disorder in the capital, Saint Petersburg (then Petrograd), but there were numerous other popular grievances, especially against the war, which had by then caused almost ten million casualties, not to mention long-standing grievances against the tsarist autocracy. Finally, in Iran, maldistribution of the state income from oil production and dislike of the perceived submissiveness of the shah to the United States were major motivations. Given the great variety of alleged causes, a simple explanation of the reasons underlying these initial revolutionary outbreaks and the details of their later courses is not possible.
Nonetheless, despite the variety of motivations, these revolutions all reflect widespread dissatisfaction with and loss of legitimacy for the old regimes that they overthrew. Another common factor is the tendency of these regimes to rely on repression to prevent revolution. In general, however, repression is merely an admission of defeat, because it implies that all of the usual devices to gain legitimacy have failed. This means that forms of claiming some external or divine authority have grown weak in the face of changing conditions, as exemplified by the rise of republicanism, which undermined the monarchies in France, Russia, and Iran. However, the Díaz regime’s claims to act in the interests of the republic in Mexico similarly failed, so revolutionary opposition cannot be claimed as simply antimonarchical. In all of these revolutions, the biggest loss of legitimacy seems rather to have been connected with the perception that the regime was no longer acting in the public interest or for the public good. While the specific grievances against the regimes were various, they all resulted in the regimes’ loss of credible commitment to benefiting the people.