Illegal Mining Organized Crime Corruption and Ecocide in A Resource Scarce World 1St Edition Yuliya Zabyelina Full Chapter
Illegal Mining Organized Crime Corruption and Ecocide in A Resource Scarce World 1St Edition Yuliya Zabyelina Full Chapter
Illegal Mining Organized Crime Corruption and Ecocide in A Resource Scarce World 1St Edition Yuliya Zabyelina Full Chapter
Illegal Mining
Organized Crime, Corruption, and
Ecocide in a Resource-Scarce World
Editors
Yuliya Zabyelina Daan van Uhm
Department of Political Science Willem Pompe Institute for Criminal Law
John Jay College of Criminal Justice and Criminology
City University of New York (CUNY) Utrecht University
New York, NY, USA Utrecht, The Netherlands
© The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature
Switzerland AG 2020
This work is subject to copyright. All rights are solely and exclusively licensed by the Publisher,
whether the whole or part of the material is concerned, specifically the rights of translation, reprinting,
reuse of illustrations, recitation, broadcasting, reproduction on microfilms or in any other physical
way, and transmission or information storage and retrieval, electronic adaptation, computer software,
or by similar or dissimilar methodology now known or hereafter developed.
The use of general descriptive names, registered names, trademarks, service marks, etc. in this
publication does not imply, even in the absence of a specific statement, that such names are exempt
from the relevant protective laws and regulations and therefore free for general use.
The publisher, the authors and the editors are safe to assume that the advice and information in
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Foreword1
1The views expressed herein are those of the author and do not necessarily reflect the views of
the United Nations or the United Nations Office on Drugs and Crime.
v
vi Foreword
legal persons (such as corporations), dealt with the imports and proceeds
derived from the sale. What looked like a regular supply chain was in fact
a sophisticated criminal network dealing in precious metals (SHERLOC,
UNODC No.: ZAFx003 “Project Yield”).
The United Nations Convention against Transnational Organized
Crime has a unique value in addressing emerging crimes like illegal
mining and trafficking in precious metals and minerals. The negotiators
agreed that as an international, legally binding instrument the Conven-
tion had to provide a long-term response to organized crime and be appli-
cable to present as well as future criminal justice needs. Therefore, it was
decided that the Convention could not be limited in its scope and appli-
cation to a list of criminal activities that could age quickly. In addition,
the Convention does not provide a definition of organized crime per se.
This is in recognition of the fact that organized crime remains oppor-
tunistic and changes forms or activities on the basis of a cost-benefit
analysis of available illicit opportunities as well as global demand, much
like companies and businesses do in licit markets. Instead of providing
a list of criminal activities or crimes that constitute “organized crime,”
negotiators decided to define the actors involved in the commission of
crime.
Under article 2(a) of the Convention, an “organized criminal group”
is defined using four criteria: (1) a structured group of three or more
persons; (2) the group exists for a period of time; (3) it acts in concert
with the aim of committing at least one serious crime; (4) to obtain,
directly or indirectly, a financial or other material benefit. Structured
group is defined in the negative—as one that does not need a formal
hierarchy or continuity of its membership. This approach makes the defi-
nition broad and applicable to loosely affiliated groups that do not have
any formally defined roles for its members. Importantly, the seriousness
of the crimes committed by these groups is one of the defining elements
of the definition. For the purposes of the Convention, “serious crime”
is defined in article 2(b) as any offense carrying a penalty of four years
deprivation of liberty or a more serious penalty.
Foreword vii
their linkages with other serious crime, as well as equipping future gener-
ations with the knowledge and tools to face the challenges that our ever-
changing world presents. It is no easy task, but it is a task that is funda-
mental to empower future decision-makers to do a better job than we
and those before us were able to do.
I am grateful to the editors, Dr. Yuliya Zabyelina and Dr. Daan van
Uhm, and the authors of the chapters of this volume for putting together
a collection of scholarly research that sheds light on these important
new criminal markets, the dynamics of trafficking in precious metals
and stones, violence and extortion as well as corruption in extractive
industries. The book will appeal to researchers in organized and envi-
ronmental crimes, including criminologists, sociologists, anthropologists,
and economists. Beyond this readership, I am sure that the collection will
contribute to the work of policymakers and other relevant stakeholders,
who benefit from such scholarly insight to help solve these extremely
important issues.
ix
x Acknowledgments
in some subtle ways, help to reduce the terrible and often irreversible
environmental harms in a resource-scarce world.
We dedicate this book to the difficult professions of mining, the
Indigenous people, and local communities impacted by mining, partic-
ularly those who have been victimized by organized crime or unethical
corporate practices.
Part I. Introduction
xiii
xiv Contents
Index 559
Notes on Contributors
xvii
xviii Notes on Contributors
to Fight Human Trafficking (UN.GIFT). She has also worked for the
Austrian Foreign Ministry and for the Non-Governmental Organiza-
tion ECPAT in the field of combating commercial sexual exploitation
of children and child trafficking. Livia holds an M.Sc. in Sociology and
International Relations from the University of Linz, Austria.
Rob White is Distinguished Professor of Criminology in the School of
Social Sciences at the University of Tasmania, Australia. He has published
extensively in the areas of Criminology, Youth Studies and innovative
Criminal Justice, and has a long-standing interest in green criminology,
environmental law enforcement and eco-justice. Among his recent books
are Climate Change Criminology (Bristol University Press, 2018) and a
two-volume edited work on Environmental Crime (Edward Elgar, 2020).
Yuliya Zabyelina is Associate Professor in the Political Science Depart-
ment at John Jay College of Criminal Justice, City University of New
York (CUNY), USA. Her research covers various forms of transnational
organized crime and corruption and the existing domestic, regional, and
global mechanisms for their prevention and control. She has been recog-
nized with several professional awards, including the Newton Interna-
tional Fellowship (2013), SAGE Junior Faculty Teaching Award (2015),
and Aleksanteri Institute Visiting Scholar Fellowship (2015). She is the
recipient of the 2018 Faculty Scholarly Excellence Award granted to
faculty who have demonstrated exceptional scholarship and the 2016
John Jay College Donald MacNamara Award for junior faculty. She has
also worked as a consultant for the United Nations Office on Drugs
and Crime (UNODC) and taught at the George C. Marshall European
Center for Security Studies (Germany).
Abbreviations and Acronyms
xxvii
xxviii Abbreviations and Acronyms
xxxv
xxxvi List of Figures
xxxvii
Part I
Introduction
1
The New Eldorado: Organized Crime,
Informal Mining, and the Global Scarcity
of Metals and Minerals
Yuliya Zabyelina and Daan van Uhm
Introduction
Precious metals and minerals have fascinated humankind since the begin-
ning of time. The Romans used to believe that diamonds were splinters
of gods and thus wore them as a charm (Diamond Rocks, 2016). The
Roman poet Ovid described amber as the crystallized tears of Clymene
and her daughters, who had become poplar trees after the catastrophic
fall of Phaethon, the son of Helios who begged his father to let him
drive the chariot of the sun (Cartwright, 2017). Gold has always been
Y. Zabyelina (B)
Department of Political Science, John Jay College of Criminal Justice,
City University of New York (CUNY), New York, NY, USA
e-mail: [email protected]
D. van Uhm
Willem Pompe Institute for Criminal Law and Criminology,
Utrecht University, Utrecht, The Netherlands
e-mail: [email protected]
1 It
is estimated that illegal gold mining is responsible for a significant percentage of the total
amounts of gold produced in the following countries: 28% in Peru, 30% in Bolivia, 77% in
Ecuador, 80% in Colombia, and 80–90% in Venezuela (Nellemann et al., 2016, p. 69).
6 Y. Zabyelina and D. van Uhm
damage done to a nation when their natural resources pillaged. But the
crimes associated with illegal mining are numerous. They include orga-
nized crime, money laundering, government corruption, trafficking in
persons (TIP), and environmental crime.
In its Resolution 2013/38, the United Nations Economic and Social
Council (ECOSOC) addressed its concern over “the substantial increase
in the volume, rate of transnational occurrence and range of criminal
offenses related to illicit trafficking in precious metals.” It asserted that
illicit trafficking in precious metals has the potential to “expand criminal
enterprises, facilitate corruption and undermine the rule of law through
the corruption of law enforcement and judicial officials” (ECOSOC
Resolution 2013/38).
In 2019, six years after this resolution, ECOSOC reiterated its uneasi-
ness about illegal mining and trafficking in natural resources, including
precious metals and colored gemstones, reiterating the importance of
the development of comprehensive, multifaceted, and coherent strategies
and measures to counter these crimes. ECOSOC Resolution 2019/23
reaffirmed that “illegal mining and illicit trafficking in precious metals
by organized criminal groups may constitute serious crimes”—the conse-
quences of which include not only contamination and degradation of the
environment but also serious risks to vulnerable groups. As a “serious
crime,” illegal mining and illicit trafficking in precious metals and
minerals could fall under the scope of the United Nations Convention
against Transnational Organized Crime (UNTOC) and the Protocols
thereto, among other relevant international instruments. Resolution
2019/23 also emphasized the vulnerability of artisanal miners to OCGs
involved in the mining sector.
Due to the extensive social and environmental consequences, illegal
mining along with trafficking in metals and minerals has been increas-
ingly recognized as a threat to sustainable development and peaceful
societies as reflected in the Sustainable Development Goals (SDGs)
which were recognized by all United Nations (UN) member states in
2015. These high-level discussions serve as a testament to the global
call for appropriate and effective measures to prevent and combat illegal
mining and trafficking in precious metals and minerals by OCGs, and
that these crimes have made their way onto the international agenda.
1 The New Eldorado: Organized Crime … 7
3The Fowler Report presented the findings relating to the significance of the illicit diamonds
trade as a source of funding for the National Union for the Total Independence of Angola
(UNITA).
1 The New Eldorado: Organized Crime … 11
insurgency has taken control of mining sites and extorted money from
ongoing legal and illegal mining activities. Within its organizational
structure, there is even a fully functioning mining department known
as the Dabaro Comisyoon (Stones Commission), which manages the taxa-
tion of extracted mined commodities and issues “official” mining licenses
(DuPée, 2017). Reportedly, it was founded in the late 2000s when the
Taliban leadership began to diversify their sources of revenue. According
to some sources, the Taliban has been a central player in the illegal
mining of semi-precious lapis lazuli (Global Witness, 2016; Thachuk,
this collection) and less glamorous but equally profitable talc (Global
Witness, 2018).
4 For instance, Papua New Guinea (PNG) recognizes ASM as a legal contributor to the national
economy. It is administered by the Mineral Resources Authority (MRA), and governed by the
Mining Act of 1992 and the Mining (Safety) Act and Regulations of 2007, which apply to
alluvial and hard-rock mining (Lynas, 2018).
Another random document with
no related content on Scribd:
which they granted us leave to send from it, proved them more
ignorant than kittens of America’s liveliest idiosyncrasies.
In the United States an impression prevails that the annals of Asia
and of Europe are too long and too complicated for our
consideration. Every now and then some educator, or some politician
who controls educators, makes the “practical” suggestion that no
history prior to the American Revolution shall be taught in the public
schools. Every now and then some able financier affirms that he
would not give a fig for any history, and marshals the figures of his
income to prove its uselessness.
Yet our vast heterogeneous population is forever providing
problems which call for an historical solution; and our foreign
relations would be clarified by a greater accuracy of knowledge. To
the ignorance of the average Congressman and of the average
Senator must be traced their most conspicuous blunders. Back of
every man lies the story of his race. The Negro is more than a voter.
He has a history which may be ascertained without undue effort.
Haiti, San Domingo, Liberia, all have their tales to tell. The Irishman
is more than a voter. He has a long, interesting and instructive
history. It pays us to be well informed about these things. “The
passionate cry of ignorance for power” rises in our ears like the
death-knell of civilization. Down through the ages it has sounded,
now covetous and threatening, now irrepressible and triumphant. We
know what every one of its conquests has cost the human race; yet
we are content to rest our security upon oratorical platitudes and
generalities, upon the dim chance of a man being reborn in the
sacrament of citizenship.
In addition to the things that it is useful to know, there are things
that it is pleasant to know, and pleasure is a very important by-
product of education. It has been too long the fashion to deny, or at
least to decry, this species of enjoyment. “He that increaseth
knowledge increaseth sorrow,” says Ecclesiastes; and Sir Thomas
Browne musically bewails the dark realities with which “the
unhappiness of our knowledge too nearly acquainteth us.” But it was
probably the things he did, rather than the things he knew, which
soured the taste of life in the Hebrew’s mouth; and as for Sir Thomas
Browne, no man ever derived a more lasting satisfaction from
scholarship. His erudition, like his religion, was pure profit. His
temperament saved him from the loudness of controversy. His life
was rich within.
This mental ease is not so much an essential of education as the
reward of education. It makes smooth the reader’s path; it involves
the capacity to think, and to take delight in thinking; it is the keynote
of subtle and animated talk. It presupposes a somewhat varied list of
acquirements; but it has no official catalogue, and no market value. It
emphatically does not consist in knowing inventories of things, useful
or otherwise; still less in imparting this knowledge to the world.
Macaulay, Croker, and Lord Brougham were men who knew things
on a somewhat grand scale, and imparted them with impressive
accuracy; yet they were the blight rather than the spur of
conversation. Even the “more cultivated portion of the ignorant,” to
borrow a phrase of Stevenson’s, is hostile to lectures, unless the
lecturer has the guarantee of a platform, and his audience sits before
him in serried and somnolent rows.
The decline and fall of the classics has not been unattended by
controversy. No other educational system was ever so valiantly and
nobly defended. For no other have so many masterly arguments
been marshalled in vain. There was a pride and a splendour in the
long years’ study of Greek. It indicated in England that the nation
had reached a height which permitted her this costly inutility, this
supreme intellectual indulgence. Greek was an adornment to the
minds of her men, as jewels were an adornment to the bodies of her
women. No practical purpose was involved. Sir Walter Scott put the
case with his usual simplicity and directness in a letter to his second
son, Charles, who had little aptitude for study: “A knowledge of the
classical languages has been fixed upon, not without good reason,
as the mark of a well-educated young man; and though people may
scramble into distinction without it, it is always with difficulty, just like
climbing over a wall instead of giving your ticket at the door.”
In the United States we have never been kindly disposed towards
extravagance of this order. During the years of our comparative
poverty, when few citizens aspired to more than a competence, there
was still money enough for Latin, and now and then for Greek. There
was still a race of men with slender incomes and wide acquirements,
to whom scholarship was a dearly bought but indestructible delight.
Now that we have all the money there is, it is universally understood
that Americans cannot afford to spend any of it on the study of “the
best that has been known and thought in the world.”
Against this practical decision no argument avails. Burke’s plea for
the severity of the foundation upon which rest the principles of taste
carries little weight, because our standard of taste is genial rather
than severe. The influence of Latinity upon English literature
concerns us even less, because prose and verse are emancipated
from the splendid shackles they wore with such composure. But the
mere reader, who is not an educational economist, asks himself now
and then in what fashion Milton and Dryden would have written, if
vocational training had supplanted the classics in their day. And to
come nearer to our time, and closer to our modern and moderate
appreciations, how would the “Elegy Written in a Country
Churchyard,” and the lines “On the Death of a Favourite Cat” have
been composed, had Gray not spent all his life in the serene
company of the Latins?
It was easy to define the requirements of an educated man in the
year 1738, when Gray, a bad mathematician and an admirable
classicist, left Cambridge. It is uncommonly difficult to define them
to-day. Dr. Goodnow, speaking a few years ago to the graduating
class of Johns Hopkins University, summed up collegiate as well as
professional education as the acquisition of the capacity to do work
of a specific character. “Knowledge can come only as the result of
experience. What is learned in any other way seldom has such
reality as to make it an actual part of our lives.”
A doctor cannot afford to depend too freely on experience,
valuable though it may be, because the high prices it asks are paid
by his patients. But so far as professional training goes, Dr.
Goodnow stood on firm ground. All it undertakes to do is to enable
students to work along chosen lines—to turn them into doctors,
lawyers, priests, mining engineers, analytical chemists, expert
accountants. They may or may not be educated men in the liberal
sense of the word. They may or may not understand allusions which
are current in the conversation of educated people. Such
conversation is far from encyclopædic; but it is interwoven with
knowledge, and rich in agreeable disclosures. An adroit participant
can avoid obvious pitfalls; but it is not in dodging issues and
concealing deficits that the pleasures of companionship lie. I once
heard a sparkling and animated lady ask Mr. Henry James (who
abhorred being questioned) if he did not think American women
talked better than English women. “Yes,” said the great novelist
gently, “they are more ready and much more brilliant. They rise to
every suggestion. But”—as if moved by some strain of recollection
—“English women so often know what they are talking about.”
Vocational training and vocational guidance are a little like
intensive farming. They are obvious measures for obvious results;
they economize effort; they keep their goal in view. If they “pander to
cabbages,” they produce as many and as fine cabbages as the soil
they till can yield. Their exponents are most convincing when they
are least imaginative. The Dean of Harvard’s Graduate School of
Business Administration says bluntly that it is hard for a young man
to see any good in a college education, when he finds he has
nothing to offer which business men want.
This is an intelligible point of view. It shows, as I have said, that
the country does not feel itself rich enough for intellectual luxuries.
But when I see it asserted that vocational training is necessary for
the safety of Democracy (the lusty nursling which we persist in
feeding from the bottle), I feel that I am asked to credit an absurdity.
When the reason given for this dependence is the altruism of labour,
—“In a democracy the activity of the people is directed towards the
good of the whole number,”—I know that common sense has been
violated by an assertion which no one is expected to take seriously.
A life-career course may be established in every college in the land,
and students carefully guarded from the inroads of distracting and
unremunerative knowledge; but this praiseworthy thrift will not be
practised in the interests of the public. The mechanical education,
against which Mr. Lowell has protested sharply, is preëminently
selfish. Its impelling motive is not “going over,” but getting on.
“It takes a much better quality of mind for self-education than for
education in the ordinary sense,” says Mrs. Gerould; and no one will
dispute this truth. Franklin had two years of schooling, and they were
over and done with before he was twelve. His “cultural opportunities”
were richer than those enjoyed by Mr. Gompers, and he had a
consuming passion for knowledge. Vocational training was a simple
thing in his day; but he glimpsed its possibilities, and fitted it into
place. He would have made an admirable “vocational counsellor” in
the college he founded, had his counsels not been needed on
weightier matters, and in wider spheres. As for industrial education,
those vast efficiency courses given by leading manufacturers to their
employees, which embrace an astonishing variety of marketable
attainments, they would have seemed to him like the realization of a
dream—a dream of diffused light and general intelligence.
We stand to-day on an educational no man’s land, exposed to
double fires, and uncertain which way to turn for safety. The
elimination of Greek from the college curriculum blurred the high
light, the supreme distinction, of scholarship. The elimination of Latin
as an essential study leaves us without any educational standard
save a correct knowledge of English, a partial knowledge of modern
languages, and some acquaintance, never clearly defined, with
precise academic studies. The scientist discards many of these
studies as not being germane to his subject. The professional
student deals with them as charily as possible. The future financier
fears to embarrass his mind with things he does not need to know.
Yet back of every field of labour lies the story of the labourer, and
back of every chapter in the history of civilization lie the chapters that
elucidate it. “Wisdom,” says Santayana, “is the funded experience
which mankind has gathered by living.” Education gives to a student
that fraction of knowledge which sometimes leads to understanding
and a clean-cut basis of opinions. The process is engrossing, and, to
certain minds, agreeable and consolatory. Man contemplates his
fellow man with varied emotions, but never with unconcern. “The
world,” observed Bagehot tersely, “has a vested interest in itself.”
The American Laughs
It was the opinion of Thomas Love Peacock—who knew whereof
he spoke—that “no man should ask another why he laughs, or at
what, seeing that he does not always know, and that, if he does, he
is not a responsible agent.... Reason is in no way essential to mirth.”
This being so, why should human beings, individually and
collectively, be so contemptuous of one another’s humour? To be
puzzled by it is natural enough. There is nothing in the world so
incomprehensible as the joke we do not see. But to be scornful or
angry, to say with Steele that we can judge a man’s temper by the
things he laughs at, is, in a measure, unreasonable. A man laughs
as he loves, moved by secret springs that do not affect his
neighbour. Yet no sooner did America begin to breed humorists of
her own than the first thing these gentlemen did was to cast doubts
upon British humour. Even a cultivated laugher like Mr. Charles
Dudley Warner suffered himself to become acrimonious on this
subject; whereupon an English critic retaliated by saying that if Mr.
Warner considered Knickerbocker’s “New York” to be the equal of
“Gulliver’s Travels,” and that if Mr. Lowell really thought Mr. N. P.
Willis “witty,” then there was no international standard of satire or of
wit. The chances are that Mr. Lowell did not think Mr. Willis witty at
all. He used the word in a friendly and unreflecting moment, not
expecting a derisive echo from the other side of the sea.
And now Mr. Chesterton has protested in the “Illustrated London
News” against the vogue of the American joke in England. He says it
does not convey its point because the conditions which give it birth
are not understood, and the side-light it throws fails to illuminate a
continent. One must be familiar with the intimacies of American life
to enjoy their humorous aspect.
Precisely the same criticism was offered when Artemus Ward
lectured in London more than a half-century ago. The humour of this
once famous joker has become a disputable point. It is safe to say
that anything less amusing than the passage read by Lincoln to his
Cabinet in Mr. Drinkwater’s play could not be found in the literature
of any land. It cast a needless gloom over the scene, and aroused
our sympathy for the officials who had to listen to it. But the
American jest, like the Greek epic, should be spoken, not read; and it
is claimed that when Artemus Ward drawled out his absurdities,
which, like the Greek epic, were always subject to change, these
absurdities were funny. Mr. Leacock has politely assured us that
London was “puzzled and enraptured with the very mystery of the
humour”; but Mr. Leacock, being at that time three years old, was not
there to discern this for himself. Dr. S. Weir Mitchell was there on the
opening night, November 13, 1866, and found the puzzle and the
mystery to be far in advance of the rapture. The description he was
wont to give of this unique entertainment (a “Panorama,” and a
lecture on the Mormons), of the depressing, unventilated Egyptian
Hall in which it was given, of the wild extravagances of the speaker,
which grew wilder and wilder as the audience grew more and more
bewildered, was funny enough, Heaven knows, but the essence of
the fun lay in failure.
Americans, sixty years ago, were brought up on polygamous jests.
The Mormons were our neighbours, and could be always relied upon
to furnish a scandal, a thrill, or a joke. When they mended their
ways, and ceased to be reprehensible or amusing, the comic papers
were compelled to fall back on Solomon, with whose marital
experiences they have regaled us ever since. But to British eyes,
Brigham Young was an unfamiliar figure; and to British minds,
Solomon has always been distinguished for other things than wives.
Therefore Artemus Ward’s casual drolleries presupposed a
humorous background which did not exist. A chance allusion to a
young friend in Salt Lake City who had run away with a boarding
school was received in stupefied silence. Then suddenly a woman’s
smothered giggle showed that light had dawned on one receptive
brain. Then a few belated laughs broke out in various parts of the
hall, as the idea travelled slowly along the thought currents of the
audience, and the speaker went languidly on to the next
unrecognizable pleasantry.
The criticism passed upon Americans to-day is that they laugh
often and without discrimination. This is what the English say of us,
and this is what some Americans have said of the English. Henry
James complained bitterly that London play-goers laughed
unseasonably at serious plays. I wonder if they received Ervine’s
“John Ferguson” in this fashion, as did American play-goers. That a
tragedy harsh and unrelenting, that human pain, unbearable
because unmerited, should furnish food for mirth may be
comprehensible to the psychologist who claims to have a clue to
every emotion; but to the ordinary mortal it is simply dumbfounding.
People laughed at Molnar’s “Liliom” out of sheer nervousness,
because they could not understand it. And “Liliom” had its comedy
side. But nobody could have helped understanding “John Ferguson,”
and there was no relief from its horror, its pitifulness, its sombre
surrender to the irony of fate. Yet ripples of laughter ran through the
house; and the actress who played Hannah Ferguson confessed that
this laughter had in the beginning completely unnerved her, but that
she had steeled herself to meet and to ignore it.
It was said that British audiences were guilty of laughing at “Hedda
Gabler,” perhaps in sheer desperate impatience at the
unreasonableness of human nature as unfolded in that despairing
drama. They should have been forgiven and congratulated, and so
should the American audiences who were reproached for laughing at
“Mary Rose.” The charm, the delicacy, the tragic sense of an
unknown and arbitrary power with which Barrie invested his play
were lost in the hands of incapable players, while its native dullness
gained force and substance from their presentation. A lengthy
dialogue on a pitch-black stage between an invisible soldier and an
inarticulate ghost was neither enlivening nor terrifying. It would have
been as hard to laugh as to shudder in the face of such tedious
loquacity.
We see it often asserted that Continental play-goers are incapable
of the gross stupidities ascribed to English and Americans, that they
dilate with correct emotions at correct moments, that they laugh,
weep, tremble, and even faint in perfect accord with the situations of
the drama they are witnessing. When Maeterlinck’s “Intruder” was
played in Paris, women fainted; when it was played in Philadelphia,
they tittered. Perhaps the quality of the acting may account for these
varying receptions. A tense situation, imperfectly presented,
degenerates swiftly into farce—into very bad farce, too, as Swift said
of the vulgar malignities of fate.
The Dublin players brought to this country a brand of humour and
pathos with which we were unfamiliar. Irish comedy, as we knew it,
was of the Dion Boucicault type, a pure product of stageland, and
unrelated to any practical experiences of life. Here, on the contrary,
was something indigenous to Ireland, and therefore strange to us.
My first experience was at the opening night of Ervine’s “Mixed
Marriage,” in New York. An audience, exclusively Semitic (so far as I
could judge by looking at it), listened in patient bewilderment to the
theological bickerings of Catholics and Protestants in Belfast. I sat in
a box with Lady Gregory who was visibly disturbed by the slowness
of the house at the uptake, and unaware that what was so familiar
and vital to her was a matter of the purest unconcern to that
particular group of Americans. The only thing that roused them from
their apathy was the sudden rage with which, in the third act, Tom
Rainey shouted at his father: “Ye’re an ould fool, that’s what ye are; a
damned ould fool!” At these reprehensible words a gust of laughter
swept the theatre, destroying the situation on the stage, but shaking
the audience back to life and animation. It was seemingly—though I
should be sorry to think it—the touch of nature which makes the
whole world kin.
When that mad medley of fun and fancy, of grossness and
delicacy, “The Playboy of the Western World,” was put on the
American stage, men laughed—generally at the wrong time—out of
the hopeless confusion of their minds. The “Playboy” was admittedly
an enigma. The night I saw it, the audience, under the impression
that it was anti-Irish, or anti-Catholic, or anti-moral, or anti-
something, they were not sure what, hurled denunciations and one
missile—which looked strangely like a piece of pie—at the actors. It
was a disgraceful scene, but not without its humorous side; for when
the riotous interruptions had subsided, an elderly man arose, and,
with the manner of an invited speaker at a public dinner, began,
“From time immemorial”—But the house had grown tired of
disturbances, and howled him down. He waited for silence, and then
in the same composed and leisurely manner began again, “From
time immemorial”—At this point one of the policemen who had been
restoring order led him gently but forcibly out of the theatre; the play
was resumed; and what it was that had happened from time
immemorial we were destined never to know.
A source of superlative merriment in the United States is the two-
reel comic of our motion-picture halls. Countless thousands of
Americans look at it, and presumably laugh at it, every twenty-four
hours. It is not unlike an amplified and diversified Punch and Judy
show, depending on incessant action and plenty of hard knocks.
Hazlitt says that bangs and blows which we know do not hurt
provoke legitimate laughter; and, until we see a funny film, we have
no conception of the amount of business which can be constructed
out of anything so simple as men hitting one another. Producers of
these comics have taken the public into their confidence, and have
assured us that their work is the hardest in the motion-picture
industry; that the slugging policeman is trained for weary weeks to
slug divertingly, and that every tumble has to be practised with
sickening monotony before it acquires its purely accidental character.
As for accessories—well, it takes more time and trouble to make a
mouse run up a woman’s skirt at the right moment, or a greyhound
carry off a dozen crullers on its tail, than it does to turn out a whole
sentimental scenario, grey-haired mother, high-minded, pure-hearted
convict son, lumber-camp virtue, town vice, and innocent childhood
complete. Whether or not the time and trouble are well spent
depends on the amount of money which that mouse and those
crullers eventually wring from an appreciative and laughter-loving
public.
The dearth of humorous situations—at no time inexhaustible—has
compelled the two-reel comic to depend on such substitutes as
speed, violence, and a succession of well-nigh inconceivable
mishaps. A man acting in one cannot open a door, cross a street, or
sit down to dinner without coming to grief. Even the animals—dogs,
donkeys and pigs—are subject to catastrophes that must wreck their
confidence in life. Fatness, besides being funny, is, under these
circumstances, a great protection. The human body, swathed in rolls
of cotton-wadding, is safe from contusions and broken bones. When
an immensely stout lady sinks into an armchair, only to be
precipitated through a trap-door, and shot down a slide into a pond,
we feel she has earned her pay. But after she has been dropped
from a speeding motor, caught and lifted high in air by a balloon
anchor, let down to earth with a parachute, picked up by an elephant,
and carried through the streets at the head of a circus parade, we
begin to understand the arduousness of art. Only the producers of
comic “movies” know what “One crowded hour of glorious life” can
be made to hold.
Laughter has been over-praised and over-analyzed, as well as
unreasonably denounced. We do not think much about its
determining causes—why should we?—until the contradictory
definitions of philosophers, psychologists and men of letters compel
us to recognize its inscrutable quality. Plato laid down the principle
that our pleasure in the ludicrous originates in the sight of another’s
misfortune. Its motive power is malice. Hobbes stoutly affirmed that
laughter is not primarily malicious, but vainglorious. It is the rough,
spontaneous assertion of our own eminence. “We laugh from
strength, and we laugh at weakness.” Hazlitt saw a lurking cruelty in
the amusement of civilized men who have gaged the folly and
frivolity of their kind. Bergson, who evidently does not frequent
motion-picture halls, says that the comic makes its appeal to “the
intelligence pure and simple.” He raises laughter to the dignity of a
“social gesture” and a corrective. We put our affections out of court,
and impose silence upon our pity before we laugh; but this is only
because the corrective would fail to correct if it bore the stamp of
sympathy and kindness. Leacock, who deals in comics, is sure of but
one thing, that all humour is anti-social; and Stevenson ascribes our
indestructible spirit of mirth to “the unplumbed childishness of man’s
imagination.”
The illustrations given us by these eminent specialists are as
unconvincing as the definitions they vouchsafe, and the rules they
lay down for our guidance. Whenever we are told that a situation or a
jest offers legitimate food for laughter, we cease to have any
disposition to laugh. Just as we are often moved to merriment for no
other reason than that the occasion calls for seriousness, so we are
correspondingly serious when invited too freely to be amused. An
entertainment which promises to be funny is handicapped from the
start. It has to plough deep into men’s risibilities before it can raise its
crop of laughter. I have been told that when Forepaugh first fired a
man out of a cannon, the audience laughed convulsively; not
because it found anything ludicrous in the performance, but because
it had been startled out of its composure, and relieved from a
gasping sense of fear.
Sidney Smith insisted that the overturning of a dinner-table which
had been set for dinner was a laughable incident. Yet he was a
married man, and must have known that such a catastrophe (which
seems to us to belong strictly to the motion-picture field) could not
have been regarded by Mrs. Smith, or by any other hostess, as
amusing. Boswell tells us that Dr. Johnson was so infinitely diverted
by hearing that an English gentleman had left his estate to his three
sisters that he laughed until he was exhausted, and had to hold on to
a post (he was walking home through the London streets) to keep
himself from falling to the ground. Yet no reader of Boswell ever saw
anything ludicrous in such a last will and testament. Sophocles
makes Electra describe Clytemnestra as “laughing triumphantly”
over the murder of Agamemnon; but Electra was a prejudiced
witness. Killing an undesired husband is no laughing matter, though
triumph over its accomplishment—when failure means death—is a
legitimate emotion. Clytemnestra was a singularly august and
composed sinner. Not from her did Orestes and Electra inherit their
nervous systems; and not on their testimony should we credit her
with an excess of humour alike ill-timed and unbecoming.
In our efforts to discover what can never be discovered—the
secret sources of laughter—we have experimented with American
children; testing their appreciation of the ludicrous by giving them
blocks which, when fitted into place, display absurd and incongruous
pictures. Their reactions to this artificial stimulus are of value, only
when they are old enough for perception, and young enough for
candour. The merriment of children, of little girls especially, is often
unreal and affected. They will toss their heads and stimulate one
another to peals of laughter which are a pure make-believe. When
they are really absorbed in their play, and astir with delicious
excitation, they do not laugh; they give vent to piercing shrieks which
sound as if they were being cut into little pieces. These shrieks are
the spontaneous expression of delight; but their sense of absurdity,
which implies a sense of humour, is hard to capture before it has
become tainted with pretence.
There are American newspapers which print every day a sheet or
a half-sheet of comic pictures, and there are American newspapers
which print every Sunday a coloured comic supplement. These
sincere attempts to divert the public are well received. Their vulgarity
does not offend. “What,” asks the wise Santayana, “can we relish if
we recoil at vulgarity?” Their dullness is condoned. Life, for all its
antics, is confessedly dull. Our absurdities may amuse the angels
(Walpole had a cheerful vision of their laughter); but they cannot be
relied on to amuse our fellow men. Nevertheless the coloured
supplement passes from hand to hand—from parents to children,
from children to servants. Even the smudgy black and whites of the
daily press are soberly and conscientiously scrutinized. A man,
reading his paper in the train, seldom skips that page. He examines
every little smudge with attention, not seemingly entertained, or
seeking entertainment, but without visible depression at its
incompetence.
I once had the pleasure of hearing a distinguished etcher lecture
on the art of illustrating. He said some harsh words about these
American comics, and threw on the screen a reproduction of one of
their most familiar series. The audience looked at it sadly. “I am
glad,” commented the lecturer, “that you did not laugh. Those
pictures are, as you perceive, as stupid as they are vulgar. Now I will
show you some clever English work”: and there appeared before us
the once famous Ally Sloper recreating himself and his family at the
seashore. The audience looked at him sadly. A solemn stillness held
the hall. “Why don’t you laugh?” asked the lecturer irritably. “I assure
you that picture is funny.” Whereupon everybody laughed; not
because we saw the fun—which was not there to see—but because
we were jolted into risibility by the unwarranted despotism of the
demand.
The prohibition jest which stands preeminent in the United States,
and has afforded French and English humorists a field which they
have promptly and ably filled, draws its vitality from the inexhaustible
springs of human nature. Readers and play-goers profess
themselves tired of it; moralists deprecate its undermining qualities;
but the conflict between a normal desire and an interdict is too
unadjustable, too rich in circumstance, and too far-reaching in
results, to be accepted in sober silence. The complications incidental
to prohibition, the battle of wits, the turns of the game, the
adventures—often sorry enough—of the players, all present the
essential elements of comedy. Mrs. Gerould has likened the situation
to an obstacle race. It is that, and it is something more. In earlier,
easier days, robbery was made justifiably droll. The master thief was
equally at home in northern Europe and in the far East. England
smiled at Robin Hood. France evolved that amazing epithet,
“chevalier d’industrie.” But arrayed against robbery were a moral law
and a commandment. Arrayed against wine are a legal ordinance
and the modern cult of efficiency. It will be long before these become
so sacrosanct as to disallow a laugh.
The worst that has been said of legitimate American humour is
that it responds to every beck and call. Even Mr. Ewan S. Agnew,
whose business it is to divert the British public, considers that the
American public is too easily diverted. We laugh, either from light-
hearted insensitiveness, or from the superabundant vitality, the half-
conscious sense of power, which bubbles up forever in the callous
gaiety of the world. Certainly Emerson is the only known American
who despised jocularity, and who said early and often that he did not
wish to be amused. The most striking passage in the letters of Mr.
Walter Page is the one which describes his distaste for the “jocular”
Washington luncheons at which he was a guest in the summer of
1916. He had come fresh from the rending anxiety, the heroic stress
and strain of London; and the cloudless atmosphere of our capital
wounded his spirit. England jested too. “Punch” had never been so
brilliant as in the torturing years of war. But England had earned the
right to jest. There was a tonic quality in her laughter. Page feared
from the bottom of his soul lest the great peaceful nation, safe, rich
and debonair, had suffered her “mental neutrality” to blot out from
her vision the agony of Europe, and the outstanding facts which
were responsible for the disaster.
This unconcern, which is the balance wheel of comedy, has
tempered the American mind to an easy acceptance of chance. Its
enthusiasms are modified, its censures are softened by a restraining
humour which is rooted deeply in indifference. We recognize the
sanity of our mental attitude, but not its incompleteness.
Understanding and sympathy are products of civilized life, as
clarifying in their way as tolerance and a quick perception of the
ludicrous. An American newspaper printed recently a photograph
entitled “Smilin’ Through,” which showed two American girls peering
through two holes in a shell-torn wall of Verdun, and laughing
broadly at their sport. The names and addresses of these frolicsome
young women were given, and their enjoyment of their own drollery
was emphasized for the diversion of other young women at home.
Now granted that every nation, like every man, bears the burden
of its own grief. Granted also that every woman, like every man, has
her own conception of the humorous, and that we cannot reasonably
take umbrage because we fail to see the fun. Nevertheless the
memories of Verdun do not make for laughter. There is that in its
story which sobers the world it has ennobled. Four hundred
thousand French soldiers gave their lives for that battered fortress
which saved Paris and France. Mr. Brownell reminds us that there is
such a thing as rectitude outside the sphere of morals, and that it is
precisely this austere element in taste which assures our self-
respect. We cannot analyze, and therefore cannot criticize, that
frothy fun which Bergson has likened to the foam which the receding
waves leave on the ocean sands; but we know, as he knows, that
the substance is scanty, and the after-taste is bitter in our mouths.
We are tethered to our kind, and it is the sureness of our reaction to
the great and appealing facts of history which makes us inheritors of
a hard-won civilization, and qualified citizens of the world.
The Idolatrous Dog
We shall never know why a feeling of shame attends certain
harmless sensations, certain profoundly innocent tastes and
distastes. Why, for example, are we abashed when we are cold, and
boastful when we are not? There is no merit or distinction in being
insensitive to cold, or in wearing thinner clothing than one’s
neighbour. And what strange impulse is it which induces otherwise
truthful people to say they like music when they do not, and thus
expose themselves to hours of boredom? We are not necessarily
morons or moral lepers because we have no ear for harmony. It is a
significant circumstance that Shakespeare puts his intolerant lines,
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