The Cradle of Capitalism: the Case of
England
Alan Macfarlane
[From Jean Baechler, John A. Hall & Michael
Mann, Europe and the Rise of Capitalism (Blackwell, 1988)]
p.185
For Marx, Weber and many others it has been
evident that capitalism is a
peculiar social formation. Its birthplace was in
western Europe. Within
this region there was a particular area which was
precocious in its
development, where the new social formation
emerged in its purest and
earliest form. Marx noted that in the early
dissolution of the preceding
medieval' property system 'England [was] in this
respect the model
country for the other continental countries'
(Marx, 1973: 277). It was, as
Brenner puts it 'classically in England' that we
have 'the rise of the three-
tiered relation of land lord/ capitalist tenant/
free wage labour, around
which Marx developed much of his theory of
capitalist development in
Capital' (1977: 75). For Max Weber also, England
was 'the home of
capitalism' (1961: 251); it was in England above
all that the Puritan
outlook 'stood at the cradle of the modem
economic man' (1970: 174).
Since England was the cradle and nursery of
capitalism, it is not
surprising that later writers have concentrated
on that country. For
instance, Polanyi takes England's history as the
central example of the
'Great Transformation' (1944). It is not
unreasonable to suppose that if
we could explain why capitalism emerged and
developed in England, and
specifically what differentiated it from other
parts of Europe and allowed
this growth, we would have moved some way towards
understanding the
'European miracle'.
We may
look at some of the more outstanding attempts to solve this
problem. Marx's treatment of the causes for the
emergence of capitalism
is intriguing but ultimately unsatisfying. He
skilfully shows how the
transition may have occurred, and a few of the
preconditions. But he
totally avoids giving any solution to the
questions of why then and why
there. He analyses the central features of the
supposed transition; the
186
creation of a 'free' labour force through the
destruction of a dependent
peasantry is the central one. This was linked to
the expansion of market
forces, money, production for exchange rather
than for immediate
consumption. Thus growing trade and commerce is
seen as one of the
major propelling forces: 'the circulation of
commodities is the starting-
point of capital.... The modem history of capital
dates from the creation
in the sixteenth century of a world-embracing
commerce and a world-
embracing market' (1954: vol. 1, 145). But
long-distance trade had been
present for centuries and had centred on the
Mediterranean. Why
should trade suddenly have had this shattering
effect, and why should its
prime target be north-western Europe? Unsatisfied
with the analyses in
Capital with its mystic theories of internal
contradictions which were
bound to lead to inevitable dissolution of the
previous social formation,
we may look to his other writings.
In Grundrisse
Marx outlines various combustible elements that would
explode into capitalism. There is money and more
specifically 'mercantile
and usurious wealth'. But money, urban craft
activity and towns had been
present in many civilizations. Why in western
Europe did they alone lead
to the growth of capitalism? Marx does provide
some further hints. One
central foundation for capitalism was the
pre-existence of a rural social
structure which allowed the peasantry to be 'set
free'. In other words
there was something particularly fragile in the
pre-existing relations of
production. The substratum of feudalism, arising
from its origins in the
'Germanic system' was particularly vulnerable to
the new urban craft
development and accumulation of wealth. The
crucial feature of the
Germanic system was its form of property. In the
Ancient and Asiatic
civilizations, there was no individual, private,
property. But in Germanic
society something new and odd emerged. In this
period no land
remained in the possession of the community or
group. People had
moved half-way, according to Marx, from communal
property, to half-
individualized property based on the household.
It would take another
thousand years for the second half of the
movement to be made. In other
words, there is something within feudalism, some
hidden spirit, which is
special. This is implied in other remarks, for
example that 'the economic
structure of capitalist society has grown out of
the economic structure of
feudal society. The dissolution of the latter set
free the elements of the
former' (1954: vol. 1, 668). The metaphor of
'setting free' suggests that
Marx believed that the spirit of capitalism was
already present before the
emergence of capitalism.
Weber
considered a number of possible explanations for the
emergence of capitalism. He rejected the crudely
technological and
materialistic ones: colonial trade, population
growth, the inflow of
precious metals. He then isolated some of the
necessary but not
187
sufficient 'external conditions', the particular
geography of Europe with
its cheap transportation by water, the favourable
military requirements of
the small states, the large luxury demand from an
unusually prosperous
population. Ultimately it was not these external
factors, but something
more mysterious that was important. It was the
ethic, the justification of
the pursuit of profit. He found the roots of this
in a paradox. The new
attitudes were waiting to escape. The paradox is
summarized by Weber
himself. 'The final result is the peculiar fact
that the germs of modem
capitalism must be sought in a region where
officially a theory was
dominant which was distinct from that of the east
and of classical
antiquity and in principle strongly hostile to
capitalism' (1970: 162). This
region was medieval Christendom.
We may
note the use of 'officially' here with its implication of the
submerged, unofficial, practice. Judaism was an
important background
feature in giving to Christianity 'the character
of a religion essentially
free from magic' (Weber, 1961: 265). But what was
most important was
the presence of Protestantism. Protestantism A-as
not the cause of
capitalism, but it gave older and deeper
tendencies a necessary
protection. It was the enabling force. This view
of Protestantism as a kind
of wind-break which allowed the young plant to
grow is well shown in
numerous places by Weber. For instance , when
writing that the Puritan
outlook 'stood at the cradle of the modem
economic man' (1970: 174),
the image is not of a mother giving birth, but of
a friend, perhaps a
godparent, who gives support and blessing to the
new infant. More
specifically, Weber wrote that 'We have no
intentions whatever of
maintaining such a foolish and doctrinaire thesis
as that the spirit of
capitalism ... could only have arisen as the
result of certain effects of the
Reformation, or even that capitalism as an economic
system is the
creation of the Reformation' (1970: 9 1). Many
aspects of capitalism were
much older. As Bendix summarizes Weber's
position, 'this world
historical transformation, then, was not the
product of Puritanism;
rather, Puritanism was a late development that
reinforced tendencies that
had distinguished European society for a long
time past' (1961: 71-2).
Weber provides some suggestive clues as to why
England should be
the cradle of capitalism. There was the peculiar
position of the peasantry.
In England the peasants were particularly weak
and vulnerable because,
being an island, they were not needed by the king
and nobility as a
necessary fighting force; 'hence the policy of
peasant protection was
unknown in England and it became the classical land
of peasant eviction'
(1961: 129). In England, Weber noted, no legal
emancipation of the
peasants ever took place.
The medieval system is still
formally in force, except that under Charles II
188
serfdom was abolished.... In
England, the mere fact of the development
of a market, as such and
alone, destroyed the manorial system from within.
In accordance with the
principle fitting the situation, the peasants were
expropriated in favour of the
proprietors. The peasants became free but
without land.
In France, however, 'the course of events is
exactly the opposite. . . .
France, in contrast with England, became a land
of small and medium
sized farms' (1961: 85-6). Not only was this a
reflection of the different
power of the peasants, the pressures of wealth in
England were greater.
Because of the rapid development of a particular
means of production,
the English woollen industry with its division of
labour and commerce,
the large-scale stock raising, Weber argued, made
the tenant weak and
redundant. The massive growth of the English
cloth industry from the
fourteenth century onwards meant that a new
capitalist class emerged.
This was combined with the growth of the
'bourgeoisie', the free
dwellers in the peculiar towns and cities of
northern Europe.
Having subtly interwoven some of the religious,
economic and social
factors, Weber does not omit the political and
legal dimension. He
argues that 'the State, in the sense of the
rational state has existed only in
the western world' (1961: 250). He contrasts this
western state with the
charismatic, patrimonial and other traditional
systems of government in
China, India and Islam. The state is essential to
capitalism; 'very
different is the rational state in which alone
modern capitalism can
flourish'. The basis of the rational state is
rational law. Here Weber
recognizes another paradox. The most 'rational',
that is the most
carefully worked out and logically coherent of
legal systems, was that of
Roman Law. Yet, ironically, capitalism flourished
most in the one area of
Europe without Roman Law, namely England. Weber
resolves the
contradiction subtly. He distinguishes between
the formal side, in
modem terms 'procedural' or 'adjectival' law, and
its content or
'substantive law'. Thus the 'rational law of the
modern occidental state
... arose on its formal side, though not as to
its content, out of Roman
law'. Yet, since 'England, the home of
capitalism, never accepted the
Roman law' (1961: 251), it is clear that 'in fact
all the characteristic
institutions of modem capitalism have other
origins than Roman law'.
Weber gives a list of these devices.
The annuity bond ... came
from medieval law, in which Germanic legal
ideas played their part.
Similarly the stock certificate arose out of medieval
and modem law ... likewise
the bill of exchange ... the commercial
company is also a medieval
product, so also the mortgage, with the security
of registration, and the deed
of trust. (1961: 252)
189
1 have dwelt on Marx and Weber at some length
because they
anticipate almost all the theories that have come
later. Though they
failed to solve the problem, it is doubtful
whether any subsequent writer
has reached as close to a solution. A few recent
attempts, concentrating
specifically on the question of why the miracle
occurred in north-western
Europe can be considered. Braudel in his majestic
surveys of capitalism
and material life has in general accepted the
inevitability of the transition,
falling back on those material and technological
factors which Weber
dismissed (1973). The seeds were assumed to be
present and we just
watch them growing. The sense of marvel and
uniqueness which Marx
and Weber possessed has gone. A recent voluminous
attempt by
Anderson to solve these problems does not reach
further than the great
theorists. The treatment of the central case of
England, for instance, is
not satisfactory. Anderson admits that the
'feudal monarchy of England
was generally far more powerful than that of France',
and yet 'the
strongest medieval monarchy in the IN-est
eventually produced the
weakest and shortest Absolutism' (1974: 113).
That England should go
through an 'Absolutist' phase, seems to be
essential for Anderson; it is a
precondition of capitalism. I-et he signally
fails to show that such a phase
occurs. As he admits, most of the more extreme
measures of the Tudors
were not put into practice and they lacked a
standing army. Despite what
he believes was an 'Inherent tendency of the
Tudor monarchy towards
'absolutism' on the continental model, the Crown
was surrounded by a
peculiar landowning class which was 'unusually
civilian in background,
commercial in occupation and commoner in rank'.
The result was that
this was a state which 'had a small bureaucracy,
a limited fiscality, and no
permanent army' (1974: 127). Yet a large
bureaucracy, heavy taxation
and a standing army are the three central
criteria of absolutism as defined
by Anderson. An England where 'the coercive and
bureaucratic
machinery of the monarchy remained very slim'
(1974: 129) hardly
seems suited to the Absolutist mantle. (These
criticisms, I recently
discovered, have also been made by Runciman,
1980.)
The
failure to show that England had either of the two essential
prerequisites of the capitalist revolution
according to his general model,
namely Absolutism and Roman Law, forces Anderson
to fall back on a
rehashed version of Marx's theory about the
expropriation of the
peasants, combined with a certain amount of
'natural tendency' thrown
in. Trade and manufactures grew, the peasantry
were socially differen-
tiated and weak and were destroyed, both from
without and within. We
are no further forward.
One of
the most interesting developments in the discussion has been
in two articles by Brenner. In the first he
showed the inadequacy of
demographic explanations of the rise of
capitalism, particularly in the
190
work of Ladurie and Postan. By cross -comparative
analysis Brenner
showed that the same major demographic pressures
led to entirely
different results in western and eastern Europe.
Nor can the explanation
lie in trade and commercialization in themselves.
The solution lies, as
Marx thought, in the relations of production: 'it
is the structure of class
relations, of class power, which will determine
the manner and degree to
which particular demographic and commercial
changes will affect long-
run trends in the distribution of income and
economic growth - and not
vice versa' (1976: 3 1). What, then, is his
theory? It is that the different
trajectories of western and eastern Europe arose
out of the fact that in
western Europe the peasantry were already strong
and could not be re-
feudalized, as they were in the East. But this general
approach leads him
into problems with the test case of England.
It has
normally been held, as we saw with Weber, that it was the
weakness of the English peasantry which led to
its destruction. Brenner's
thesis leads him into a contradiction. In England
the peasantry were both
weak and strong. Their strength led them to
eliminate themselves. They
vanished and conquered at the same time. 'In
England, as throughout
most of Western Europe, the peasantry was able by
the mid-fifteenth
century, through flight and resistance, to break
definitively feudal
controls over its mobility and to win full
freedom' (1976: 61). Yet,
strangely, in England, they did not win economic
security, as they were to
do in France. They did not manage to attach
themselves to the land and
become a strong landholding peasantry: 'it was
the emergence of the
classical landlord -capitalist tenant-wage labour
structure which made
possible the transformation of agricultural
production in England, and
this, in turn, was the key to England's uniquely
successful overall
economic development' (1976: 63). Brenner is here
trying to get the best
of both arguments. The peasants were strong and
resisted the landlord
and did not become serfs again, on the other hand
they were weak and
were eliminated. 'The contrasting failure in
France of agrarian
transformations seems to have followed directly
from the continuing
strength of peasant landholding into the early
modern period while it was
disintegrating in England' (1976: 68). As well as
the inconsistency of this
explanation, it is unsatisfying because it does
not begin to tackle the
reasons for the peculiar nature of the English
relations of production.
How had this situation emerged and in what,
precisely, did the
peculiarities lie?
Reactions
to this first stimulating essay have pointed out the
weaknesses, but failed to go further. Thus in a
thoughtful response
Croot and Parker agree that Brenner has
pinpointed the significant
variable, the differences in social structures,
but believe that 'the
explanation offered for the emergence or
non-emergence of such
191
relations is unconvincing' (1978: 45-6).
Unfortunately, these authors,
besides laying stress on one or two factors such
as the importance of the
small farmer (yeoman) in England, are unable to
offer a better solution.
Likewise Bois agrees that 'the decisive part in
the transition from
feudalism to capitalism is played out in the
countryside' (1978: 62n.), but
provides no more plausible explanation than
Brenner. He points to the
divergences between English and French
'feudalism', which differed
from at least the thirteenth century according to
Bois (1978: 65), but this
important insight is not followed up.
In a
second important article Brenner then demolished another group
of theorists, namely the 'Neo-Smithian Marxists':
Frank, Sweezy and
Wallerstein. He shows that the basic premise of
all these accounts is the
view that capitalism was already there before it
emerged. The profit
motive was already present. For instance, we are
told that 'Sweezy's
mistake was obviously to assume the operation of
norms of capitalist
rationality, in a situation where capitalist
social relations of production
did not exist, simply because market exchange was
widespread'
(Brenner, 1977: 45). Likewise 'the Smithian
theory embedded in
Sweezy's analysis ... is made entirely
explicitly, and carried to its logical
conclusion in Wallerstein's Modern World System
(1977: 53). Brenner
has much innocent fun showing that these Marxists
are at heart followers
of Adam Smith. What he fails to point out is that
they are also Marxists.
As we saw earlier, Marx himself needed to believe
that the capitalist
profit motive existed, that the germ was present,
before the existence of
capitalism. Brenner has again cleared the decks,
but provided no
alternative. His later reply to his critics
elaborates the earlier position but
takes us no further towards a solution (1982).
Two
further more recent theories are worth noting. The first is that
the development of the West was made possible by
the political
fragmentation of Europe. Whereas the unified
empires of India and
China crushed all economic progress, 'the
constant expansion of the
market ... was the result of an absence of
political order extending over
the whole of western Europe' (Baechler, 1975:
73). Thus Baechler's
main conclusions are that the 'first condition
for the maximization of
economic efficiency is the liberation of civil
society with respect to the
State. This condition is fulfilled when a single
cultural area is divided
into several sovereign political units', as in
Europe (1975: 113). This
thesis has been forcefully restated by Hall. He
adds to it the important
role played by Christianity which 'kept Europe
together . . . the
market was possible because people felt
themselves part of a single
community' (1985: 115, 123). Again these are
necessary, if not sufficient,
explanations.
We are
thus in a position where we have a clearer idea of the problems.
192
These are: why did capitalism emerge and triumph
in a part of western
Europe in the early modern period? Why this area,
and particularly why
in England? We also know what not to pursue:
towns, population growth,
overseas trade, colonialism, the growth of trade
and the market,
technology were necessary but not sufficient
causes. We know that a
particular strand of religion, an integrated and
rational state and new
kind of law, were all important. The common
culture of Christianity
holding together several small sovereign
political units was also
important. Above all, we know that it was not in
a single one of these
features, but in the way in which economy,
politics, law and religion were
linked together that the solutions are likely to
lie. Furthermore we have
hints that there were some crucial differences
here within Europe, and
especially as between England and other
continental countries. We may
now turn to a possible solution to some of these
problems.
There
is a another widely held belief that the emergence of capitalism was
linked to a pre-existing social formation known
as 'feudalism'. Two of
the most influential proponents of this view were
Maine and Marx. For
Maine, feudal ties formed the basis for the most
momentous of all
changes, from relations based on status (kinship)
to those based on
contract. In feudalism, he wrote, 'the notion of
common kinship has been
entirely lost. The link between Lord and Vassal
produced by Commen-
dation is of quite a different kind from that
produced by Consanguinity'
(1875: 86). He traced the origins of private
property of a modern kind to
the new feudal ties (1875: 115). Feudalism was
connected to what Maine
considered to be the central feature of modem
society, the idea of
indivisible, inheritable, individual property
symbolized and enshrined in
primogeniture: 'in the ancient world, and in the
societies which have not
passed through the crucible of feudalism, the
Primogeniture which
seems to have prevailed never transformed itself
into the Primogeniture
of the later feudal Europe' (1890: 237). Maitland
picked up the
implications of Maine's fundamental insight. 'The
master who taught us
that "the movement of the progressive
societies has hitherto been a
movement from Status to Contract" was quick
to add that feudal society
was governed by the law of contract. There is no
paradox here' (Pollock
and Maitland, 1968: vol. 2: 232-3).
Marx,
we have seen, also saw that only out of a dissolved feudalism
could capitalism emerge. In the feudal system (as
opposed to the Asiatic
and primitive), the essential divorce which is a
precondition of private
property of the few had taken place. 'Feudal
landed property is already
essentially land which has been disposed of,
alienated from men' (1963:
133). While Maine and Marx stressed the changes
in property
concepts, Weber noted other ideological changes.
No longer was the kinship
sentiment dominant; loyalty to the family based
on status was
changed to
193
a bond based, ultimately, on contract, the
political decision to serve a
lord. According to Bendix, Weber argued that 'in
western Europe and
Japan the specifically feudal combination of
loyalty and status honour was
made the basic outlook on life that affected all
social relationships' (1966:
364). It is on the basis of these views that most
of the major
theorists of the rise of capitalism - Anderson,
Brenner, Barrington-Moore -
see feudalism as a vital transitory state. Yet if
this is true, some
puzzles remain. Two of these are particularly
relevant to this essay.
Firstly, why did feudalism have such different
consequences in different parts
of Europe, and particularly as between England
and much of the
continent? Secondly, how was it that feudalism
dissolved?
In
order to proceed further we need to set up an ideal typical model of
what feudalism is, or was. For Maine, the central
feature was the nature
of proprietorship. Put very crudely, the economic
and the political were
not split apart, unlike capitalism which keeps
them in separate spheres.
Feudalism 'mixed up or confounded property and
sovereignty' (1883:
148), for in a certain sense, every lord of a
manor was a king as
well as a landholder. Political power and
economic power were both
delegated down the same chain. A second feature,
more narrowly economic
and legal, was the ability to conceive of
different layers of
ownership or possession within feudal tenures:
'the leading characteristic of
the feudal conception is its recognition of a
double proprietorship, the
superior ownership of the lord of the fief
coexisting with the inferior
property or estate of the tenant' (1875: 295).
Marx's
characterization of feudalism in his various writings is a fairly
conventional and largely economic picture of an
immobile, mainly self-
subsistent, 'peasant' society, with a hierarchy
of owners. There was little
division of labour, production was mainly for
use, and the serfs were
chained to their lords (1963: 128; 1954, vol. 1:
316; 1964: 46). Perhaps
Weber's most important insight was his
recognition that feudalism
constituted a different political system. His
views have been summarized
by Gerth and Mills thus:
feudalism is characterized by
Weber in terms of private property of the
means of military violence
(self-equipped armies) and in the corporate
appropriation of the means of
administration. The 'ruler' could not
monopolize administration and
warfare because he had to delegate the
implements required for such
a monopoly to the several privileged
groupings. (1948: 47)
In other words, there is political and legal
decentralization; the centre
cannot hold and mere anarchy is loosed upon the
world. There is again
reference to the fusion of military, political,
legal and economic power
194
down a chain of delegation. A feudal society in
this sense is a
pre-state society; people are not citizens, but
vassals of particular lords.
The
most influential model of feudalism is that presented by
Bloch. Again his stress is mainly on the
military, political and legal
features of feudalism, rather than on the
economic and property aspects. He
summarizes the central features of the model
thus:
a subject peasantry;
widespread use of the service tenement (that
is the fief) instead of a
salary; the supremacy of a class of specialized
warriors; ties of obedience
and protection which bind man to man and,
within the warrior class,
assume the distinctive form called vassalage;
fragmentation of authority
leading inevitably to disorder; and, in the midst of
all this, the precarious
survival of other forms of association, the family and
State. (1965: vol. 2, 446)
The fragmentation is well illustrated in his
description of the
judicial system in Europe in about AD 1000
.'First, we may note the
tremendous fragmentation of judicial powers;
next, their tangled
interconnections; and lastly, their
ineffectiveness (p. 359). In some ways
feudalism is best defined negatively. It was not
based on kinship: 'feudal ties
proper were developed when those of kinship
proved inadequate' (p. 443).
Although modelled on family ties, this was a
relation of contract, not
status. Nor was feudalism a state system. 'Again,
despite the persistence of
the idea of a public authority superimposed on
the multitude of petty
powers, feudalism coincided with a profound
weakening of the State,
particularly in its protective capacity' (p.
443). In Bloch's view this strange
and unique system was a transition phase, the
turbulence of the
Germanic invasions led to a fusion of Roman and
Germanic that broke the
old mould. Ganshof, likewise, stressed political
fragmentation. One
of his four defining features of feudalism was 'a
dispersal of political
authority amongst a hierarchy of persons who
exercise in their own
interest powers normally attributed to the State
and which are often, in fact,
derived from its break-up (1964: xv).
We may
provide one final description of feudalism. Maitland
lamented the difficulty of defining feudalism: 'the
impossible task that
has been set before the very word feudalism is
that of making a single idea
represent a very large piece of the world's
history, represent the France,
Italy, Germany, England, of every century from
the eighth or ninth to
the fourteenth or fifteenth' (Pollock and
Maitland, 1968: vol. 1, 67).
The result is confusion. Maitland attempted to
clarify the situation.
The central feature of feudalism, as Maine had
stressed, was the
strange
195
mixture of ownership, the blending of economic
and political. The feud,
fief or fee was
a gift of land made by the
king out of his own estate, the grantee coming
under a special obligation to
be faithful (Maitland, 1919: 152)
To express the rights thus
created, a set of technical terms was developed:
the beneficiary or feudatory
holds the land of his lord, the grantor -A tenet
terram de B. The full
ownership (dominium) of the land is as it were broken
up between A and B; or again,
for the feudatory may grant out part of the
land to be held of him, it
may be broken up between A, B, and C, C
holding of B and B of A, and
so on, ad infinitum. (p. 153)
Maitland believed that 'the most remarkable
characteristic of feudalism'
was the fact that 'several persons in somewhat
different senses, may be
said to have and to hold the same piece of land'
(Pollock and Maitland,
1968: vol. 1, 237). But there are equally
characteristic and essential
features. In some mysterious way power and property
have been merged.
Feudalism is not just a landholding system, but
also a system of
government. While man-,- have seen 'the
introduction of military tenures'
as the 'establishment of the feudal system, in
fact, when 'compared with
seignorial justice, military tenure is a
superficial matter, one out of many
effects rather than a deep seated cause' (1921:
258). He describes as
'that most essential feature of feudalism,
jurisdiction in private hands,
the lord's court' (Pollock and Maitland, 1968:
vol. 1, 68). The merging of
power and property, of public and private, is
well shown elsewhere in
Maitland's work. The English lawyer Bracton knew
of the distinction of
'private' and 'public', yet 'he makes little use
of it'. This was because
feudalism ... is a denial of
this distinction. Just in so far as the ideal of
feudalism is perfectly
realized, all that we call public law is merged in
private law: jurisdiction is
property, office is property, the kingship itself is
property; the same word
dominium has to stand now for ownership and now
for lordship. (p. 68)
Although we have already quoted extensively from
Maitland, it is
helpful to summarize his views of the ideal
typical model of feudalism in
one further description. This is an elegant
synthesis of the essence of
feudalism against which particular systems can be
measured. It shows the
196
two strands of the economic and political held
together. Feudalism is
a state of society in which
the main bond is the relation between lord and
man, a relation implying on
the lord's part protection and defence; on the
man's part protection,
service and reverence, the service including service
in arms. This personal
relation is inseparably involved in a proprietary
relation, the tenure of land
- the man holds lands of the lord, the man's
service is a burden on the
land, the lord has important rights in the land,
and (we may say) the full
ownership of the land is split up between man
and lord. The lord has
jurisdiction over his men, holds courts for them, to
which they owe suit.
jurisdiction is regarded as property, as a private right
which the lord has over his
land. The national organization is a system of
these relationships: at the
head there stands the king as lord of all, below
him are his immediate
vassals, or tenants in chief, who again are lords of
tenants, who again may be
lords of tenants, and so on, down to the lowest
possessor of land. Lastly, as
every other court consists of the lord's
tenants, so the king's court
consists of his tenants in chief, and so far as
there is any constitutional
control over the king it is exercised by the body
of these tenants. (1919:
143-4)
This completes our attempt to sort out in ideal
typical terms the social
formation out of which capitalism was born.
Various
things are now clear. The emergence of capitalism required
not only a particular geographical, religious and
technological complex,
but, above all, a particular politico- economic
system. This was provided
by feudalism. Yet there remain many puzzles. One
lies in a general
paradox. In many ways feudalism as described in
the Bloch/Maitland
model seems a very unpropitious ground for
capitalism. Firstly, it rests
on that very fusion of economic and political
which has to be broken if
capitalism is to triumph. Of course, the modern
market has to rest on a
particular political framework; but for
capitalism to flourish the economy
must be granted a great deal of autonomy. It must
be set free. If
economic relations are merely a sub-aspect of
devolved power, capitalism
cannot emerge. Secondly, the political system
must be integrated and
centralized. The modern 'state' is a necessary
concomitant to capitalism;
to this extent Anderson's stress on the necessity
of absolutism is correct.
Yet the overriding and defining feature of
feudalism is the dissolution of
the state, the loss of power at the centre. These
puzzles are linked to a
more specific one. Feudalism is widely held to be
a phenomenon which
covered most of western Europe. Why was it then
that in England it first
dissolved into capitalism? Fortunately, the
answers to all these puzzles
seem to lie in the same direction.
Many
observers past and present have assumed that all of Europe, and
197
particularly most of north-western Europe, went
through a similar
'feudal' phase. David Hume, after giving a sketch
of feudal anarchy
consistent with the 'dissolved state'
description, pointed to 'the great
similarity among the feudal governments of
Europe' (1975: 20). De
Tocqueville described how 'I have had occasion to
stud-,- the political
institutions of the Middle Ages in France, in
England, and in Germany,
and the greater progress I made in this work, the
more was I filled with
astonishment at the prodigious similarity that I
found between all these
systems of law'. Having elaborated the
similarities he concluded that 'I
think it may be maintained that in the fourteenth
century the social,
political, administrative, judicial, economic,
and literary institutions of
Europe had more resemblance to each other than
they have perhaps even
in our own days' (1955: 15). Marx broadly
accepted this view, arguing
that England was a truly feudal society, indeed
it was the most feudal:
'the feudalism introduced into England was
formally more complete than
the feudalism which had naturally grown up in
France' (1964: 88). If this
view is correct, then the puzzles remain. But
there are reasons for
doubting it.
Weber
seems to have realized that the English feudal system was in
some way different. Having distinguished between
two major forms of
government in traditional societies -
patrimonialism and feudalism -
Weber recognized that England did not fall
exactly into either. We are
told that 'he took England as a borderline case
in which patrimonial and
feudal elements were inextricably mixed' (Bendix,
1966: 358). England
had a powerful, decentralizing force in the old
baronial families, through
whom the Crown governed, but the Normans had also
imposed a
powerful central force and the king's ministers
and judges were also
powerful.
The
suspicion that England had a peculiar form of feudalism is
made stronger by Bloch's work. Read
superficially, Bloch could be taken
to argue that England was an ordinary 'feudal'
state in the early
Middle Ages. Writing of vassalage, Bloch noted
that England was
'already feudalized on the continental model'
(1965: vol. 1, 232). He
states that it was one of the countries with 'an
exceptionally close feudal
structure' (vol. 2, 383), 'in certain respects .
. . no state was more
completely feudal' (p. 430). Yet if we look more
closely at the context of
these remarks, we can see that Bloch was aware of
the peculiar nature of
English feudalism.
Bloch
noticed the centralization and uniformity of the English political
and social system. This was totally opposed to
his major feature of
feudalism, devolution, disintegration and the
dissolution of the state.
The contrasts come out when he compared England
and France.
198
In England there was the
Great Charter; in France, in 1314-15, the
Charters granted to the
Normans, to the people of the Languedoc, to the
Bretons, to the Burgundians,
to the Picards, to the people of Champagne,
to Auvergne, of the Basses
Marches of the West, of Berry, and of Nevers. In
England there was Parliament;
in France, the provincial Estates, always
much more frequently convoked
and on the whole more active than the
States-General. In England
there was the common law, almost untouched
by regional exceptions; in
France the vast medley of regional 'customs'.
(pp. 425-6)
Thus England was uniform and centralized, France
varied and
regionalized. Because 'the public office was not
completely identified
with the fief', Bloch argued, 'England was a
truly unified state much
earlier than any continental kingdom' (p. 430).
Furthermore, the English
parliamentary system had a 'peculiar quality
which distinguished it so
sharply from the continental system of
"Estates"'. This was linked to that
'collaboration of the well-to-do classes in
power, so characteristic of the
English political structure' (p. 371).
Bloch
noted central differences. The 'distinction between high and
low justice always remained foreign to the
English system' (p. 370). The
allodial estates common on the continent which
prevented the final
penetration of feudal tenures to the bottom of
society were totally
extinguished in England where all land was
ultimately held of the king
and not held in full ownership by any subject.
England was exceptional in
not having private feuding sanctioned after the
Norman Conquest; it
therefore avoided that disintegrated anarchy
which was characteristic of
France (vol. 1, 128). Indeed, English feudalism,
we are told 'has
something of the value of an object-lesson in
social organization', not
because it was typical of feudal society but
because it shows 'how in the
midst of what was in many respects a homogeneous
civilization certain
creative ideas, taking shape under the influence
of a given environment,
could result in the creation of a completely
original legal system'.' It is
this 'completely original legal system' which
provides the key to the
emergence of capitalism. But what is the secret
of this system? For the
solution to this puzzle it is necessary both to
understand perfectly the
nature of feudalism and to have a deep knowledge
of how the English
system worked. It needed Maitland to state the
essential paradox of
English feudalism and to resolve it.
Maitland
commented that 'we have learnt to see vast differences as
well as striking resemblances, to distinguish
countries and to distinguish
times' when we discuss feudalism. Thus 'if we now
speak of the feudal
I For a subsequent recognition of some of the
peculiarities of English feudalism, see
Ganshof (1964: 67, 164-6).
199
system, it should be with a full understanding
that the feudalism of
France differs radically from the feudalism of
England, that the
feudalism of the thirteenth is very different
from that of the eleventh
century' (1919: 143). For England 'it is quite
possible to maintain that of
all countries England was the most, or for the
matter of that the least,
feudalized' (p. 143). The paradox is resolved
when we remember that
there are two central criteria whereby we measure
feudalism. In terms of
land law, England was the most perfectly
feudalized of societies, as Bloch
also noted. All tenures were feudal. Maitland
wrote, 'in so far as
feudalism is mere property law, England is of all
countries the most
perfectly feudalized' (Pollock and Maitland,
1968: vol. 1, 235).
Thus
owing to the Norman Conquest
one part of the theory was carried out in
this country with consistent
and unexampled rigour; every square inch of
land was brought within the
theory of tenure: English real property law
becomes a law of feudal
tenures. In France, in Germany, allodial owners
might be found: not one in
England. (Maitland, 1919: 163-4)
For instance the 'absolute and uncompromising
form of primogeniture
which prevails in England belongs not to
feudalism in general, but to a
highly centralized feudalism in which the King
has not much to fear from
the power of his mightiest vassals' (Pollock and
Maitland, 1968: vol. 2,
265). Thus, in terms of tenure, England was the
most feudal of societies
and Marx was right.
On the
other hand, in the even more important sphere of public and
private law and political power, that is in terms
of government, England
went in a peculiar direction, towards
centralization of power, rather than
the dissolution of the state. Maitland points out
that
our public law does not
become feudal; in every direction the force of
feudalism is limited and
checked by other ideas; the public rights, the
public duties of the
Englishman are not conceived and cannot be
conceived as the mere outcome
of feudal compacts between man and lord.
(1919: 164)
Maitland outlines the major features of this
limitation of public
feudalism.
First and foremost, it never
becomes law that there is no political bond
between men save the bond of
tenure . . whenever homage or fealty was
done to any mesne lord, the
tenant expressly saved the faith that he owed
to his lord the king. (p.
161)
200
Thus a man who fights for his lord against the
king is not doing his
feudal duty; he is committing treason.
Over-mighty subjects could not
draw on justification from this system. This
point is so important that
Maitland elaborates it in various ways.
'English
law never recognizes that any man is bound to fight for his
lord.... Private war never becomes legal - it is
a crime and a breach of
the peace' (p. 161). A man can hardly 'go
against' anyone at his lord's
command without being guilty of 'felony'. As
Maitland wrote, 'Common
law, royal and national law, has, as it were
occupied the very citadel of
feudalism' (Pollock and Maitland, 1968: vol. 1,
303). To bring out the
full peculiarity of this, Maitland tells us, 'you
should look at the history of
France; there it was definitely. regarded as law
that in a just quarrel the
vassal must follow his immediate lord, even
against the king' (1919: 162).
In England, 'military ser-,ice is due to none but
the king; this it is which
makes English feudalism a very different thing
from French feudalism'
(p. 32).
There
are a number of other differences which make this central
feature possible and flow from it. There is an
alternative army for the
king, which helps to protect him against an
over-dependence on his
feudal tenants.
Though the military tenures
supply the king with an army, it never
becomes law that those who
are not bound by tenure need not fight. The
old national force, officered
by the sheriffs, does not cease to exist.... In
this organization of the
common folk under royal officers, there is all along
a counterpoise to the military
system of feudalism, and it serves the king
well. (p. 162)
Another source of strength for the centre is the
fact that 'taxation is not
feudalized'. Maitland tells us that 'the king for
a while is strong enough
to tax the nation, to tax the sub-tenants, to get
straight at the mass of the
people their lands and their goods, without the
intervention of their
lords' (p. 162). Thus he is not entirely
dependent on powerful lords for
soldiers or money.
Nor is
he entirely dependent on them for advice. We are told that 'the
Curia Regis, which is to become the commune
concilium regni, never takes
very definitely a feudal shape. . . . It is much
in the king's power to
summon whom he will. The tradition of a council
of witan is not lost'
(p. 163). Finally, the king is not forced to
delegate judicial power to the
barons. 'The administration of justice is never
completely feudalized.
The old local courts are kept alive, and are not
feudal assemblies.' As a
result of this:
201
the jurisdiction of the
feudal courts is strictly limited; criminal jurisdiction
they have none save by
express royal g-rant, and the kings are on the whole
chary of making such grants.
Seldom, indeed, can any lord exercise more
than what on the continent would
have been considered justice of a very
low degree.
Starting with considerable power, the king
'rapidly extends the sphere of
his own justice: before the middle of the
thirteenth century his courts
have practically become courts of first instance
for the whole realm'
(pp. 162-3).
The
contradiction is thus resolved. By taking one aspect of the feudal
tie, the idea that each person is linked to the
person above him both in
terms of tenure and power, to its logical limits,
the English system
developed into something peculiar. By the
standards of Bloch's French
model of feudalism, England was both the most and
the least feudal of
countries. Looked at another way, England was the
ideal typical feudal
society, with an apex of both landholding and
justice and power in the
chief lord, and it was other feudal systems
which, through the devolution
of too much power, were defective. Both are
tenable views. Despite some
minor modifications, Maitland's vision is still
acceptable, certainly there
'can be no doubt that by the end of the period
covered by his books', in
other words the end of the thirteenth century,
'the world was as Maitland
saw it' (Milsom, in Pollock and Maitland, 1968:
vol. 1, xlvii).
The
argument very briefly stated and summarized is as follows. No
single factor explains why capitalism emerged. We
do know some of the
necessary causes, as outlined by Maine, Marx and
Weber. All of them
are important. But to proceed further we need to
concentrate on hints
from all these writers, as well as Brenner and
others, that as well as
geography, technology and Christianity, there was
needed a particular
form of political and economic system. This was
broadly provided by
'feudalism'. But the variant of feudalism which
finally allowed the
'miracle' to occur was a rather unusual one. It
already contained an
implicit separation between economic and
political power, between the
market and government. While it was not
absolutism in Anderson's
sense, it was a firm and centrally focused system
which provided the
security and uniformity upon which trade and
industry could be based. If
we accept the view attributed to Adam Smith by
Dugald Stewart that
'Little else is required to carry a state to the
highest degree of opulence
from the lowest barbarism, but peace, easy taxes,
and a tolerable
administration of justice; all the rest being
brought about by the natural
order of things' (1980: 322), then the English
political system provided
such a basis. It guaranteed peace through the
control of feuding, taxes
were light and justice was uniform and firmly
administered from the
202
thirteenth to eighteenth centuries. This offered
the framework within
which there developed that competitive
individualism whose later history
I have tried to analyse elsewhere (Macfarlane,
1978).
Yet it
would clearly be foolish to overstress any evolutionary necessity
in this process. It could at any time have been
reversed; the victory of the
Spanish Armada, for instance, might well have
changed the direction.
Nor is it sensible to overstress the uniqueness
of England. There was
clearly much that overlapped with northern
France, the Netherlands and
Scandinavia. Yet Marx, Weber and others were not
wrong to see
England as the cradle of capitalism. If
Protestantism was one of those
who stood at the cradle, an unusual politico
-economic system which
Bloch and Maitland have so clearly described for
us, is another guest at
the baptism. Indeed it may even be that it was
this guest who lay in the
cradle. Who brought it there, and when, is, of
course, another story.
References
Anderson, P. 1974: Lineages of the Absolutist
State, London.
Baechler, J. 1975: The Origins of Capitalism,
Oxford.
Bendix, R. 1966: Max Weber.- An Intellectual
Portrait, London.
Bloch, M. 1965: Feudal Society, 2nd edn, 2 vols
(trans. L. Manyon), London.
Bois, G. 1978: Against the neo -Malthusian
orthodoxy. Past and Present, no - 79.
Braudel, F. 1973: Capitalism and Material Life,
London.
Brenner, R. 1976: Agrarian class structure and
economic development in pre-
industrial Europe. Past and Present, no. 70.
1977: The origins of capitalist development: a
critique of neo-Smithian
development. New Left Review, no. 104.
1982: The agrarian roots of European capitalism.
Past and Present, no. 97.
Croot, P. and Parker, D. 1978: Agrarian class
structure and economic
development. Past and Present, no. 78.
Ganshof, F. L. 1964: Feudalism, 3rd English edn,
London.
Hall, J. A. 1985: Powers and liberties: The
Causes and Consequences of the Rise of the
West, Oxford.
Hume, D. 1975: The History of England, abridged
by R. Kilcup, Chicago.
Macfarlane, A. 1978: The Origins of English
Individualism, Oxford.
Maine, H. 1875: Lecture on the Early History of
Institutions London.
1883: Dissertations on Early Law and Custom,
London.
1890: Ancient Law, I 10th edn, London.
Maitland, F. W. 1919: The Constitutional History
of England, Cambridge.
192 1: The Domesday Book and Beyond, Cambridge.
Marx, K. 1954: Capital, 3 vols, London.
1963: Selected Writings, eds T. B. Bottomore and
M. Rubel, London.
1964: Pre-Capitalist Economic Formations, trans.
J. Cohen, London.
1973: Grundrisse, trans. M. Nicolaus, London.
203
Polanyi, M. 1944: The Great Transformation,
London.
Pollock, F. and Maitland, F. W 1968: The History
of English Law: Before the Time
of Edward I, 2nd edn, 2 vols, Cambridge.
Runciman, W. G. 1980: Comparative sociology or
narrative history?
European Journal of Sociology, 2 1.
Stewart, D. 1980: Account of the life and
writings of Adam Smith LL.D. In The
Glasgow Edition of the Works and Correspondence
of Adam Smith. Volume Three:
Essays on Philosophical Subjects, Oxford.
Tocqueville, A. de 195 5: The Old Regime and the
French Revolution, Garden City,
New York.
Weber, M. 1948: From Max Weber. Selected
Writings, eds H. H. Gerth and C. W.
Mills, Oxford.
1961:
General Economic History, trans. F. H. Knight, New York.
1970:
The Protestant Ethic and the Spirit of modern Capitalism, London.