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Modeling and Analysis of Stochastic Systems, Third Edition Vidyadhar G. Kulkarni

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Modeling and
Analysis of
Stochastic Systems
Third Edition
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Texts in Statistical Science

Modeling and
Analysis of
Stochastic Systems
Third Edition

Vidyadhar G. Kulkarni
Department of Statistics and Operations Research
University of North Carolina at Chapel Hill, USA
MATLAB® is a trademark of The MathWorks, Inc. and is used with permission. The MathWorks does not warrant the
accuracy of the text or exercises in this book. This book’s use or discussion of MATLAB® software or related products
does not constitute endorsement or sponsorship by The MathWorks of a particular pedagogical approach or particular
use of the MATLAB® software.

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Library of Congress Cataloging‑in‑Publication Data

Names: Kulkarni, Vidyadhar G.


Title: Modeling and analysis of stochastic systems / Vidyadhar G. Kulkarni.
Description: Third edition. | Boca Raton : CRC Press, 2017. | Series: Chapman
& hall/CRC texts in statistical science series | Includes bibliographical
references and index.
Identifiers: LCCN 2016021331 | ISBN 9781498756617 (alk. paper)
Subjects: LCSH: Stochastic processes. | Stochastic systems.
Classification: LCC QA274 .K844 2017 | DDC 519.2/3--dc23
LC record available at https://lccn.loc.gov/2016021331

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To

my sons

Milind, Ashwin, and Arvind


Jack and Harry were lost over a vast farmland while on their balloon ride.
When they spotted a bicyclist on a trail going through the farmland below, they
lowered their balloon and yelled, “Good day, sir! Could you tell us where we
are?”
The bicyclist looked up and said, “Sure! You are in a balloon!”
Jack turned to Harry and said, “This guy must be a mathematician!”
“What makes you think so?” asked Harry.
“Well, his answer is correct, but totally useless!”
The author sincerely hopes that a student mastering this book will be able to
use stochastic models to obtain correct as well as useful answers.
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Contents

Preface xix

1 Introduction 1
1.1 What in the World Is a Stochastic Process? 1
1.2 How to Characterize a Stochastic Process 5
1.3 What Do We Do with a Stochastic Process? 6
1.3.1 Characterization 7
1.3.2 Transient Behavior 7
1.3.3 First Passage Times 7
1.3.4 Limiting Distribution 8
1.3.5 Costs and Rewards 8

2 Discrete-Time Markov Chains: Transient Behavior 9


2.1 Definition and Characterization 9
2.2 Examples 13
2.3 DTMCs in Other Fields 22
2.3.1 Genomics 22
2.3.2 Genetics 24
2.3.3 Genealogy 25
2.3.4 Finance 27
2.3.5 Manpower Planning 29
2.3.6 Telecommunications 30
2.3.7 Google Search 31
2.4 Marginal Distributions 32
2.5 Occupancy Times 38
2.6 Computation of Matrix Powers 39
2.6.1 Method of Diagonalization 39

xi
xii CONTENTS

2.6.2 Method of Generating Functions 42


2.7 Modeling Exercises 44
2.8 Computational Exercises 51
2.9 Conceptual Exercises 55

3 Discrete-Time Markov Chains: First Passage Times 57


3.1 Definitions 57
3.2 Cumulative Distribution Function of T 58
3.3 Absorption Probabilities 62
3.4 Expectation of T 71
3.5 Generating Function and Higher Moments of T 76
3.6 Computational Exercises 78
3.7 Conceptual Exercises 84

4 Discrete-Time Markov Chains: Limiting Behavior 87


4.1 Exploring the Limiting Behavior by Examples 87
4.2 Classification of States 91
4.2.1 Irreducibility 91
4.2.2 Recurrence and Transience 94
4.2.3 Periodicity 99
4.3 Determining Recurrence and Transience: Finite DTMCs 101
4.4 Determining Recurrence and Transience: Infinite DTMCs 103
4.4.1 Foster’s Criterion 106
4.5 Limiting Behavior of Irreducible DTMCs 109
4.5.1 The Transient Case 109
4.5.2 The Discrete Renewal Theorem 110
4.5.3 The Recurrent Case 112
4.5.4 The Null Recurrent Case 114
4.5.5 The Positive Recurrent Aperiodic Case 115
4.5.6 The Positive Recurrent Periodic Case 117
4.5.7 Necessary and Sufficient Condition for Positive Recurrence 119
4.5.8 Examples 120
4.6 Examples: Limiting Behavior of Infinite State-Space Irreducible
DTMCs 122
CONTENTS xiii

4.7 Limiting Behavior of Reducible DTMCs 128


4.8 DTMCs with Costs and Rewards 131
4.8.1 Discounted Costs 132
4.8.2 Average Costs 133
4.9 Reversibility 135
4.10 Computational Exercises 137
4.11 Conceptual Exercises 149

5 Poisson Processes 155


5.1 Exponential Distributions 155
5.1.1 Memoryless Property 156
5.1.2 Hazard Rate 158
5.1.3 Probability of First Failure 158
5.1.4 Minimum of Exponentials 159
5.1.5 Strong Memoryless Property 160
5.1.6 Sum of iid Exponentials 162
5.1.7 Sum of Distinct Exponentials 163
5.1.8 Random Sums of iid Exponentials 164
5.2 Poisson Process: Definitions 165
5.3 Event Times in a Poisson Process 173
5.4 Superposition and Splitting of Poisson Processes 176
5.4.1 Superposition 176
5.4.2 Splitting 179
5.5 Non-Homogeneous Poisson Process 184
5.5.1 Event Times in an NPP 187
5.6 Compound Poisson Process 187
5.7 Computational Exercises 190
5.8 Conceptual Exercises 196

6 Continuous-Time Markov Chains 201


6.1 Definitions and Sample Path Properties 201
6.2 Examples 206
6.3 CTMCs in Other Fields 214
xiv CONTENTS

6.3.1 Organ Transplants 214


6.3.2 Disease Progression 215
6.3.3 Epidemics 216
6.3.4 Order Books 217
6.3.5 Dealership Markets 219
6.3.6 Service and Production Systems 220
6.4 Transient Behavior: Marginal Distribution 220
6.5 Transient Behavior: Occupancy Times 224
6.6 Computation of P (t): Finite State-Space 226
6.6.1 Exponential of a Matrix 226
6.6.2 Laplace Transforms 229
6.6.3 Uniformization 231
6.7 Computation of P (t): Infinite State-Space 234
6.8 First-Passage Times 239
6.8.1 Cumulative Distribution of T 239
6.8.2 Absorption Probabilities 240
6.8.3 Moments and LST of T 241
6.9 Exploring the Limiting Behavior by Examples 244
6.10 Classification of States 246
6.10.1 Irreducibility 246
6.10.2 Transience and Recurrence 246
6.11 Limiting Behavior of Irreducible CTMCs 250
6.11.1 The Transient Case 250
6.11.2 The Continuous Renewal Theorem 251
6.11.3 The Null Recurrent Case 253
6.11.4 The Positive Recurrent Case 254
6.12 Limiting Behavior of Reducible CTMCs 263
6.13 CTMCs with Costs and Rewards 265
6.13.1 Discounted Costs 266
6.13.2 Average Costs 267
6.14 Phase Type Distributions 269
6.15 Reversibility 271
6.16 Modeling Exercises 275
CONTENTS xv

6.17 Computational Exercises 283


6.18 Conceptual Exercises 294

7 Queueing Models 297


7.1 Introduction 297
7.2 Properties of General Queueing Systems 301
7.2.1 Relationship between πj∗ and π̂j 301
7.2.2 Relationship between πj∗ and πj 303
7.2.3 Relationship between π̂j and pj 305
7.2.4 Little’s Law 312
7.3 Birth and Death Queues 315
7.3.1 M/M/1 Queue 315
7.3.2 M/M/1/K Queue 316
7.3.3 M/M/s Queue 317
7.3.4 M/M/∞ Queue 321
7.3.5 Queues with Finite Populations 322
7.3.6 M/M/1 Queue with Balking and Reneging 322
7.4 Open Queueing Networks 323
7.4.1 State-Dependent Service 330
7.4.2 State-Dependent Arrivals and Service 331
7.5 Closed Queueing Networks 332
7.6 Single Server Queues 336
7.6.1 M/G/1 Queue 336
7.6.2 G/M/1 Queue 341
7.7 Retrial Queue 345
7.8 Infinite Server Queue 349
7.9 Modeling Exercises 350
7.10 Computational Exercises 353

8 Renewal Processes 369


8.1 Introduction 369
8.2 Properties of N (t) 373
xvi CONTENTS

8.3 The Renewal Function 379


8.4 Renewal-Type Equation 385
8.5 Key Renewal Theorem 389
8.6 Recurrence Times 393
8.7 Delayed Renewal Processes 397
8.8 Alternating Renewal Processes 403
8.9 Semi-Markov Processes 408
8.10 Renewal Processes with Costs/Rewards 414
8.11 Regenerative Processes 419
8.11.1 RGPs with Costs/Rewards 423
8.11.2 Little’s Law 425
8.12 Computational Exercises 427
8.13 Conceptual Exercises 439

9 Markov Regenerative Processes 443


9.1 Definitions and Examples 443
9.2 Markov Renewal Process and Markov Renewal Function 448
9.3 Key Renewal Theorem for MRPs 451
9.4 Semi-Markov Processes: Further Results 454
9.5 Markov Regenerative Processes 458
9.6 Applications to Queues 463
9.6.1 The Birth and Death Queues 463
9.6.2 The M/G/1 Queue 465
9.6.3 The G/M/1 Queue 467
9.6.4 The M/G/1/1 Retrial Queue 468
9.7 Modeling Exercises 470
9.8 Computational Exercises 472
9.9 Conceptual Exercises 475

10 Diffusion Processes 477


10.1 Brownian Motion 477
10.2 Sample Path Properties of BM 480
10.3 Kolmogorov Equations for Standard Brownian Motion 482
10.4 First Passage Times 484
CONTENTS xvii

10.5 Reflected SBM 490


10.6 Reflected BM and Limiting Distributions 492
10.7 BM and Martingales 495
10.8 Cost/Reward Models 499
10.9 Stochastic Integration 503
10.10 Stochastic Differential Equations and Ito’s Formula 510
10.11 Applications to Finance 517
10.12 Computational Exercises 520
10.13 Conceptual Exercises 523

Epilogue 525

Appendix A Probability of Events 527

Appendix B Univariate Random Variables 529

Appendix C Multivariate Random Variables 533

Appendix D Generating Functions 539

Appendix E Laplace–Stieltjes Transforms 541

Appendix F Laplace Transforms 543

Appendix G Modes of Convergence 545

Appendix H Results from Analysis 547

Appendix I Difference and Differential Equations 549

Answers to Selected Problems 551

References 573

INDEX 579
Preface

Preface to the second edition.


Probabilistic methodology has now become a routine part of graduate education in
operations research, statistics, computer science, economics, business, public policy,
bioinformatics, engineering, etc. The following three aspects of the methodology are
most vital for the students in these disciplines:

1. Modeling a “real-life” situation with stochastic or random elements


2. Analysis of the resulting stochastic model
3. Implementation of the results of the analysis

Of course, if the results of Step 2 show that the model does not “fit” the real-life situa-
tion, then one needs to modify the model and repeat Steps 1 and 2 until a satisfactory
solution emerges. Then one proceeds to Step 3. As the title of the book suggests, we
emphasize the first two steps. The selection, the organization, and the treatment of
topics in this book are dictated by the emphasis on modeling and analysis.
Based on my teaching experience of over 25 years, I have come to the conclusion
that it is better (from the students’ points of view) to introduce Markov chains be-
fore renewal theory. This enables the students to start building interesting stochastic
models right away in diverse areas such as manufacturing, supply chains, genet-
ics, communications, biology, queueing, and inventory systems, etc. This gives them
a feel for the modeling aspect of the subject early in the course. Furthermore, the
analysis of Markov chain models uses tools from matrix algebra. The students feel
comfortable with these tools since they can use the matrix-oriented packages, such
as MATLAB R
, to do numerical experimentation. Nothing gives them better confi-
dence in the subject than seeing the analysis produce actual numbers that quantify
their intuition. We have also developed a collection of MATLAB R
-based programs
that can be downloaded from:

1. www.unc.edu/∼vkulkarn/Maxim/maxim.zip
2. www.unc.edu/∼vkulkarn/Maxim/maximgui.zip

The instructions for using them are included in the readme files in these two zip files.
After students have developed familiarity with Markov chains, they are ready for
renewal theory. They can now appreciate it because they now have a lot of renewal,

xix
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xx PREFACE
renewal-reward, or regenerative processes models. Also, they are more ready to use
the tools of Laplace transforms.
I am aware that this sequence is contrary to the more prevalent approach that starts
with renewal theory. Although it is intellectually appealing to start with renewal the-
ory, I found that it confuses and frustrates students, and it does not give them a feel for
the modeling aspect of the subject early on. In this new edition, I have also changed
the sequence of topics within Markov chains; I now cover the first passage times be-
fore the limiting behavior. This seems more natural since the concepts of transience
and recurrence depend upon the first passage times.
The emphasis on the analysis of the stochastic models requires careful develop-
ment of the major useful classes of stochastic processes: discrete and continuous time
Markov chains, renewal processes, regenerative processes, and Markov regenerative
processes. In the new edition, I have included a chapter on diffusion processes. In or-
der to keep the length of the book under control, some topics from the earlier edition
have been deleted: discussion of numerical methods, stochastic ordering, and some
details from the Markov renewal theory. We follow a common plan of study for each
class: characterization, transient analysis, first passage times, limiting behavior, and
cost/reward models. The main aim of the theory is to enable the students to “solve”
or “analyze” the stochastic models, to give them general tools to do this, rather than
show special tricks that work in specific problems.
The third aspect, the implementation, involves actually using the results of Steps
1 and 2 to manage the “real-life” situation that we are interested in managing. This
requires knowledge of statistics (for estimating the parameters of the model) and
organizational science (how to persuade the members of an organization to follow
the new solution, and how to set up an organizational structure to facilitate it), and
hence is beyond the scope of this book, although, admittedly, it is a very important
part of the process.
The book is designed for a two-course sequence in stochastic models. The first
six chapters can form the first course, and the last four chapters, the second course.
The book assumes that the students have had a course in probability theory (measure
theoretic probability is not needed), advanced calculus (familiarity with differential
and difference equations, transforms, etc.), and matrix algebra, and a general level
of mathematical maturity. The appendix contains a brief review of relevant topics. In
the second edition, I have removed the appendix devoted to stochastic ordering, since
the corresponding material is deleted from the chapters on discrete and continuous
time Markov chains. I have added two appendices: one collects relevant results from
analysis, and the other from differential and difference equations. I find that these
results are used often in the text, and hence it is useful to have them readily accessible.
The book uses a large number of examples to illustrate the concepts as well as
computational tools and typical applications. Each chapter also has a large number
of exercises collected at the end. The best way to learn the material of this course
is by doing the exercises. Where applicable, the exercises have been separated into
three classes: modeling, computational, and conceptual. Modeling exercises do not
PREFACE xxi
involve analysis, but may involve computations to derive the parameters of the prob-
lem. A computational exercise may ask for a numerical or algebraic answer. Some
computational exercises may involve model building as well as analysis. A concep-
tual exercise generally involves proving some theorem, or fine tuning the understand-
ing of some concepts introduced in the chapter, or it may introduce new concepts.
Computational exercises are not necessarily easy, and conceptual exercises are not
necessarily hard. I have deleted many exercises from the earlier edition, especially
those that I found I never assigned in my classes. Many new exercises have been
added. I found it useful to assign a model building exercise and then the correspond-
ing analysis exercise. The students should be encouraged to use computers to obtain
the solutions numerically.
It is my belief that a student, after mastering the material in this book, will be well
equipped to build and analyze useful stochastic models of situations that he or she
will face in his or her area of interest. It is my fond hope that the students will see
a stochastic model lurking in every corner of their world as a result of studying this
book.
What’s new in the third edition?
I have added several new applications in the third edition, for example, Google
search Algorithm in discrete time Markov chains, several health care and finance
related applications in the continuous time Markov chains, etc. I have also added
over fifty new exercises throughout the book. These new exercises were developed
over the last ten years for my own exams in the course and the qualifying exams for
our PhD candidates. I have heeded the request from the instructors using this as a
textbook not to change the exercise numbers, so the new exercises are added at the
end in appropriate sections. However this means that the exercise sequence no longer
follows the sequence in which topics are developed in the chapter. To make space for
these additions, I have deleted some material from the second edition: most notably
the section on extended key Markov renewal theorem and the related conceptual
exercises have been deleted. The material in Chapter 10 on diffusion processes has
been rewritten in several places so as to make it more precise and clearer. Many
graduate students have helped me find and correct the embarrassingly many typos
that were present in the second edition. In particular, Jie Huang has helped proofread
the third edition especially carefully, and I thank her for her help. However, there are
bound to be a few new typos in the third edition. I will appreciate it if the readers are
kind enough to send me an email when they find any.
Vidyadhar Kulkarni
vkulkarn@email.unc.edu
Department of Statistics and Operations Research
University of North Carolina
Chapel Hill, NC
MATLAB R
is a registered trademark of The MathWorks, Inc. For product informa-
tion please contact

The MathWorks, Inc


3 Apple Hill Drive
Natic, MA, 01760-2098, USA
Tel: 508-647-7000
Fax: 508-647-7001
E-mail: info@mathworks.com
Web:www.mathworks.com
CHAPTER 1

Introduction

The discipline of operations research was born out of the need to solve military
problems during World War II. In one story, the air force was using the bullet holes
on the airplanes used in combat duty to decide where to put extra armor plating. They
thought they were approaching the problem in a scientific way until someone pointed
out that they were collecting the bullet hole data from the planes that returned safely
from their sorties.

1.1 What in the World Is a Stochastic Process?

Consider a system that evolves randomly in time, for example, the stock market
index, the inventory in a warehouse, the queue of customers at a service station,
water level in a reservoir, the state of a machines in a factory, etc.
Suppose we observe this system at discrete time points n = 0, 1, 2, · · ·, say, every
hour, every day, every week, etc. Let Xn be the state of the system at time n. For
example, Xn can be the Dow-Jones index at the end of the n-th working day; the
number of unsold cars on a dealer’s lot at the beginning of day n; the intensity of the
n-th earthquake (measured on the Richter scale) to hit the continental United States
in this century; or the number of robberies in a city on day n, to name a few. We say
that {Xn , n ≥ 0} is a discrete-time stochastic process describing the system.
If the system is observed continuously in time, with X(t) being its state at time
t, then it is described by a continuous time stochastic process {X(t), t ≥ 0}. For
example, X(t) may represent the number of failed machines in a machine shop at
time t, the position of a hurricane at time t, or the amount of money in a bank account
at time t, etc.
More formally, a stochastic process is a collection of random variables
{X(τ ), τ ∈ T }, indexed by the parameter τ taking values in the parameter set T .
The random variables take values in the set S, called the state-space of the stochastic
process. In many applications the parameter τ represents time, but it can represent
any index. Throughout this book we shall encounter two cases:

1
2 INTRODUCTION
1. T = {0, 1, 2, · · ·}. In this case we write {Xn , n ≥ 0} instead of {X(τ ), τ ∈ T }.
2. T = [0, ∞). In this case we write {X(t), t ≥ 0} instead of {X(τ ), τ ∈ T }.

Also, we shall almost always encounter S ⊆ {0, 1, 2, · · ·} or S ⊆ (−∞, ∞). We


shall refer to the former case as the discrete state-space case, and the latter case as
the continuous state-space case.
Let {X(τ ), τ ∈ T } be a stochastic process with state-space S, and let x : T → S
be a function. One can think of {x(τ ), τ ∈ T } as a possible evolution (trajectory) of
{X(τ ), τ ∈ T }. The functions x are called the sample paths of the stochastic process.
Figure 1.1 shows typical sample paths of stochastic processes. Since the stochastic
process follows one of the sample paths in a random fashion, it is sometimes called
a random function. In general, the set of all possible sample paths, called the sample
space of the stochastic process, is uncountable. This can be true even in the case of a
discrete time stochastic process with finite state-space. One of the aims of the study
of the stochastic processes is to understand the behavior of the random sample paths
that the system follows, with the ultimate aim of prediction and control of the future
of the system.
X(t)

t
(a) Continuous-time, discrete state-space

X(t)

t
(b) Continuous-time, continuous state-space

Xn

× × × ×

× × ×

× × ×

× × ×

n
(c) Discrete-time, discrete state-space

Figure 1.1 Typical sample paths of stochastic processes.

Stochastic processes are used in epidemiology, biology, demography, health care


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the labor colleges. They are the kind of books I believe in, for they
cost only fifty cents a volume. In the “Labor Age,” New York, you will
find much news about these movements. Also you should know
something about the work in England, where it is twenty years old,
and has grown to be the brains and fighting spirit of the British labor
movement. The story is told in “An Adventure in Working Class
Education,” by Albert Mansbridge, founder and general secretary of
the Workers’ Educational Association of Great Britain. The radicals
who are making over the mind of British labor have a magazine, the
“Plebs,” which American students ought to see.
Teaching at these workers’ colleges is a very different matter from
being an old-line college professor. Here you have students who
really want to study. You are back in the twelfth century when five
thousand men thronged to Paris and sat on the hillside to listen to
Abelard and dispute with him. You are back in the old days in
America, when a college was “a student sitting one end of a log and
Mark Hopkins on the other end.” You are dealing with students who,
while they may be painfully deficient in book learning, have acquired
much knowledge of life, and are accustomed to assert their point of
view. It does not occur to them to defer to authority; they only defer
to facts, and you have to produce the facts and convince them.
Many times the teacher will find that he himself has become a
student, and all college professors who have tried the adventure
agreed in testifying how exhilarating they find this.
Labor education offers to the college professor a semi-respectable
way to get into contact with the real world. So I plead with
professors who read this book to avail themselves of the
opportunities existing—or if there are none in their neighborhood, to
get busy and make some. I am told of one professor in Pennsylvania
who used to travel about from town to town teaching labor groups,
a class each night in a different town. That is real adventure, and it
lies right at the gates of all our institutions of higher learning. Try it
for a year or two, and you may find that you have built up a
clientele, and no longer have to shiver in your boots when you hear
a rumor that one of your trustees has asked whether it is true that
you are a Bolshevik!
CHAPTER LXXXIX
THE PROFESSORS’ UNION

The labor movement at its present stage can, of course, not


support all the college professors who would like to be free, so it
becomes necessary to seek another remedy. This remedy is obvious;
the college professor must do what the labor men are doing—
agitate, educate, organize. The formula, “In union there is strength,”
applies to brain workers precisely as to hand workers. You would
think the brain workers ought to have the brains to realize this, but
they do not, for the reason that their class prejudices stand in the
way, the anarchist attitude which goes with the intellectual life. So it
comes about that college professors are only two or three percent
organized, while coal miners are sixty or seventy percent organized,
and garment workers and railway men from ninety to a hundred
percent organized.
The union of our higher educators is known as the American
Association of University Professors, and we have seen it at work in
a number of institutions. It has a total membership of five thousand,
among a possible membership of some two hundred thousand. Thus
two or three percent of higher educators pay the cost and bear the
burden of representing the whole group. They publish a quarterly
bulletin from their headquarters at 222 Charles River Road,
Cambridge, Massachusetts, and investigate cases of infringement of
academic freedom, and work out constructive programs of faculty
control. I have quoted extracts from their reports, the accuracy and
honesty of which have never been successfully challenged. So far as
this work goes it is excellent, but it represents only a feeble start
upon the way.
What spoils the usefulness of the professors’ association is
precisely that feeling of class superiority, which makes them as fat
rabbits to the plutocracy. The first aim of the association has
apparently been to distinguish itself from labor unions, whereas the
fact is that it is a labor union, an organization of intellectual
proletarians, who have nothing but their brain-power to sell.
Instructors at the University of California begin on a salary of a
hundred and fifty dollars a month, at the University of Chicago on a
hundred and thirty-three dollars a month, at the University of Illinois
the same, at Yale and Michigan on a hundred and twenty-five, and
at Harvard for salaries as low as fifty and one hundred a month—this
for the glory of a Harvard record! Men who have to keep their
families, and dress as gentlemen, and purchase the tools of a highly
specialized trade upon such pay are proletarians, and the bulk of
them will remain proletarians all their lives, and the quicker they
realize it the better for them. Even though their salaries be raised,
and they be put in position to acquire a home and a few
investments, they remain dependent for the things they value most
upon an exploiting class, which dominates the industry of the
country, and therefore inevitably dominates its thought.
This being the case, the college professor’s freedom is bound up
with the freedom of the working class. He may protest to the end of
time, but his status will remain the same, until the plutocratic empire
is overthrown and industrial democracy takes its place. After that,
the status of the professor, as of all intellectual workers, will rest in
the hands of labor—and this is something which is coming,
regardless of anything the professor can do. Such being the case, it
would seem sensible for him to study the labor movement and take
his place in it—not merely in his own interest, but in the interest of
the intellectual life. I have shown you in the labor colleges working-
class leaders co-operating with college professors; and the
significance of this is not merely that educational men are helping
the industrial revolution; it is that the new forces which are
preparing to take control of society are coming to understand what
the intellectual life means, and learning to trust those who live that
life. This is something the importance of which no one can
exaggerate; and so I point out to those college professors who shut
themselves up in their shell of academic snobbery, that the time is
coming, and coming soon, when they will have cause to wish that
they had not been quite so haughtily indifferent to the heartbreak of
the poor.
I have on my desk an interesting letter from a Stanford professor,
discussing a problem in etiquette which I submitted to him: the story
of a young Columbia instructor who refused to obey the casual
command of Nicholas Miraculous and escort old Pierpont Morgan to
his car. Says the Stanford professor:

As I view it, the essence of wage-slavery lies in the acceptance


(on both sides) of the assumption that the man who happens to
“pay” the wages for work done thereby attains a right to dictate in
the fields of all other thoughts and acts of the employe. This is
passively so generally accepted that I have always refused to
consider myself in the light of an employe of the president and
board, but rather as a co-worker in a mutual administration of a
trust in which they have their part and I have mine—and this despite
the fact that they have the undoubted legal power to “dismiss” me
and I have not that to dismiss them, this being merely one of the
differentiations of function in the administration of the trust.
Authority is an insidious thing. Few can possess it without being
ruined, and I never heard that Butler was among the exceptions.

This, you will admit, is the dignified attitude of a scholar; and I


have no doubt that many college professors seek to maintain that
attitude. All I can do is to tell them how they seem to me—as men
swimming against a powerful current, and it is only a question of
time before their energy gives out and they move the way
everything else is moving. An individual may hold out, his prestige
enabling him to be regarded as a harmless eccentric; but the young
man who tries to take such an attitude will go out and write life
insurance or make wash-boards.
The effect of economic inferiority is inescapable and automatic; it
produces a psychology of submission, it produces a set of customs
and manners based upon that, and Mrs. Partington, who tried to
sweep back the sea with her broom, was no more foolish than the
college professor who imagines that he can have an institution with
wealthy trustees dominating its financial existence, and preserve in
that institution a real respect for the intellectual life, or a real
democratic relationship between the trustees and their hired
servants.
If this be true, then the dignity of the intellectual worker depends
upon the establishment of industrial democracy; freedom for the
college professor awaits the overthrow of the plutocratic empire. And
since the only force in our society which can achieve that overthrow
is labor, it follows that the college professor’s hopes are bound up
with the movement of the workers for freedom. A college professor
who imagines that he can work for faculty control and academic
independence, while at the same time remaining a conservative in
his political and economic ideas, is simply a man with water-tight
compartments in his brain.
The forces of industrialism compel the worker to organize in larger
and larger units, and to take into solidarity a wider and wider
proportion of the population. Exactly the same forces are compelling
the college professor, first to realize himself as a class, and second,
to study the movements of other workers for freedom, to become
more sympathetic toward them, and more identified with them in
interest and action. College professors must join their own union;
they must set before themselves the same goal as miners and
railwaymen—to organize one hundred per cent of their trade, and
develop a spirit of class loyalty and class discipline. I have shown
you the indignities endured by college professors, and how pitifully
they submit and hold on to their jobs; I have shown you individuals
and groups unceremoniously kicked out, and obediently going out
and seeking for new jobs. Perhaps it never occurred to you to notice
what was lacking—I have not been able to tell about a single strike
of college professors in America! There have been several cases of
student strikes—the young are impulsive, so that it has been
possible for them to act like human beings; but if there has ever
been a group of college professors in the United States who have
banded themselves together and said: “If one of us goes, all of us
go,” I have not been able to learn of that instance.
No, college professors are like actors; they have their individual
idiosyncrasies, their jealousies and personal superiorities. They do
not think of themselves as a class; each one thinks of himself as
something impossible to duplicate. An official of a school-teacher’s
union remarked to me that the price of a teacher is fifty dollars—
meaning thereby that an increase of that amount in salaries would
cause a group of teachers to foreswear their union and place
themselves at the mercy of a school-board. Just what is the price of
a college professor I do not know, but I could cite thousands of
cases of men who should have stood by a colleague in some flagrant
case of oppression, but who stayed on and got rewarded for loyalty
to their masters.
The all-important fact in the situation is this; any time the college
professors of America get ready to take control of their own
destinies, and of the intellectual life of their institutions, they can do
it. There is not a college or university in the United States today
which could resists the demands of its faculty a hundred percent
organized and meaning business. Even Nicholas Murray Butler would
bow his haughty head if the faculty of Columbia should rise up and
demand for that plutocratic empire a system of constitutional
government. Chancellor Day may pound on the table and tell his
faculty that he could replace them in an hour and a half, but he
would find that he could not replace them in a century and a half—
especially if they took another leaf out of the notebook of labor, and
set pickets at the gates of Heaven! When the college professors of
America get ready to go on strike, they will have their reasons and
their program; they will put these before the student-body and
before their colleagues in other institutions; nor will they be so easy
to intimidate with policemen’s clubs and court injunctions as are the
wage-slaves of factories and mines!
A humble beginning has been made. The American Federation of
Teachers, which is a labor union, affiliated with the American
Federation of Labor, has a local, No. 120, at the University of
Montana. This union was a result of the Levine case, and it
comprises practically the entire faculty. There is a similar local at the
University of North Dakota, a consequence of the class struggle
there. And in New York City is the Teachers’ Union of New York No.
5, which includes a number of social minded college men, including
Dewey of Columbia, Ward of the Union Theological Seminary, and
Overstreet and Stairs of the College of the City of New York. The
president of the American Federation of Teachers writes me:

We have had a few other collegiate and university locals but they
did not prove very long-lived, and it was very difficult for us to get
detailed reasons for their decline. I presume fear would account for
most of them.
CHAPTER XC
THE PROFESSORS’ STRIKE

The final purpose of this book, you will now realize, is to bring
about a strike of college professors. The next question to be
considered is, what are the principles upon which this strike shall be
based?
First and foremost, the question of tenure; which is exactly the
same thing as the claim of the worker to security in his job. The
college professor must not forfeit his standing except for cause, and
upon due and reasonable notice. He must have the right which every
criminal possesses, of knowing what are the charges against him,
and of having a hearing in which he is confronted by his accusers,
and given the right to cross-question them, and to answer their
charges and prove them false if he can. The decision in his case
must rest, not with his masters and exploiters, but with his fellow-
workers; in other words, the ancient right embodied in Magna Carta,
to be tried by a jury of his peers. These rights are elemental; there
can be no freedom, no dignity or self-respect for any man who does
not possess them. They are possessed by scholars in all other
civilized countries; it is only in our sweet land of liberty that scholars
are slaves. Says James McKeen Cattell:

That a professor’s salary should depend on the favor of a


president, or that he should be dismissed without a hearing by a
president with the consent of an absentee board of trustees, is a
state of affairs not conceivable in an English or a German university.
The reason for this anomaly is that the American college has not
been organized on the principles of American government, but on
those of American business; the college is not a state, but a factory.
I have compared Columbia and Minnesota to department-stores and
Clark and Johns Hopkins to Ford factories; and in so doing I was not
merely calling names, but making a diagnosis. They are organized
upon that basis, and run upon that basis, and the problem of
changing them is simply one of the problems of Americanization.
The college must become a democratic republic, run by its citizens
and workers.
That brings us to the second demand of the college professor; not
merely must he have security in his job, he must have collective
control of that job, he must say how the college shall be conducted,
and what higher education shall be. That means that he must take
from the trustees, and from their hired man, the president, the
greater part of their present functions.
I say democracy in education, and you have a vision of a great
university turned into a debating society, all the time which should
be spent in “getting things done” being devoted to squabbling and
bickering among various factions and cliques of the faculty. That will
happen sometimes, inevitably; it is one of the incidentals of all
beginnings of democracy to function. But we have been trying out
democracy in this country for three centuries, and we do not have to
begin all over again with the blunders of our childhood. We know
today what a constitution is; we understand the differences among
the three functions of government, the legislative, the executive, and
the judicial; we understand how an executive can be democratically
chosen, and given authority for a reasonable period of time, and
loyally obeyed for that time. We understand how it is possible to
have a thorough and free democratic discussion of policy, and to
decide by majority vote, and then to carry out the will of the
majority. If we do not know how to do these things, the students will
teach us, for they are accustomed every year to organize a football
team, and to thresh out its policies, and elect a captain, and then do
what he says. On the football field they do not stop to argue about
signals; they play the game.
The question of a constitution for universities is one of detail; you
will find a very thorough exposition of it in Professor Cattell’s book,
“University Control.” Professor J. E. Kirkpatrick of the University of
Michigan has worked out practical suggestions. Also the matter is
being frequently discussed in “School and Society,” and in the
bulletins of the professors’ association. We have not the space in this
book for anything but a brief statement. It is a problem of
reconciling the rights of many different groups, which perform many
different functions. The largest single group upon the board of a
college should obviously be the faculty, who know most about the
institution, and have its interests most at heart. The alumni should
be represented, for their interest is real, and their services will
became more valuable as colleges become democratic, and as the
spirit of class is broken in our society. Likewise the students are
entitled to representation, especially the upper classes, which have
come to know the institution. If the purpose of the college is to train
men to live and serve in a democracy, then manifestly there should
be democracy in their training; they should be given encouragement
to discuss their own needs and purposes, to arrive at collective
agreements, and to make their will effective.
So long as we have a system of private ownership of natural
resources, we shall of course have to have trustees who represent
money interests. But we should endeavor to pare down the powers
of this special privilege group as much as possible; and especially all
faculty members should set their face against the idea of any
interference with teaching, or with the opinions or outside activities
of the faculty, by monied men who represent ownership and not
service in the institution.
You have followed me from college to college, listing the grand
dukes and the interlocking directors, and you have thought perhaps
that I condemn these men because they are rich, and consider that
people who have money are ipso facto unfit to have anything to do
with education. All I can answer is that I number among my friends
some rich people, who are ardently striving to abolish special
privilege from the world; and if any rich man wants to come into a
college and work for faculty control and academic freedom, for the
right of service and true scholarship to guide our education, I will bid
that man welcome, and will promise to make no complaint because
he happens to be president of six national banks, director of eight
railroads, ten steel companies and a dozen pickle factories and
sausage mills. The world for which I am working is a world of
freedom and fair play; my kingdom of heaven is open to all, and any
man may do his part to make it real on earth. All that I insist is that
the rich man shall renounce his class and his class interests; he shall
turn traitor to that predatory group which now controls our country
and its thinking.
I do not expect many of the interlocking trustees to accept this
invitation. I do expect, however, that developments in our public
affairs will force a constantly increasing number of college professors
to realize the intolerable nature of their present position, and to take
up the work of educating their colleagues and the general public.
These men will come to realize the broad nature of their task; how
the roots of our academic problem go down into the very deeps of
our political and economic life. The need of the college professor is
one with the need of the citizen and the worker; and so, when you
agitate for academic democracy and freedom of teaching, you are
educating the community and taking your part in that class struggle
which is the dominant fact of our time.
You will find that the struggle calls for its heroes and its martyrs,
in universities as in factories and mines. To college professors who
read this book—and especially the young ones—I say: what is life
without a little adventure? You will not starve; no educated man
need starve in America, if he keeps command of his inner forces,
and uses but a small quantity of that shrewdness with which his
enemies are so well provided. And surely it is not too much to ask
that among the two hundred thousand instructors in American
colleges there should arise just a few who are capable of combining
intelligence and self-sacrifice!
What are you? You teach history, perhaps; you handle the bones
of dead heroes, the ashes of martyrs are the stuff with which you
work. Or you teach literature; the spirits of thousands of idealists
come to your study, and cry out to you in your dreams. Or perhaps
you are a scientist; if so, remind yourself how Socrates drank the
hemlock cup with dignity, in order that men might be free to use
their reason; how Galileo was tortured in a dungeon, in order that
modern science might be born. Is it then too much to ask that you
should risk your monthly pay check, to save the minds of the young
men and women of our time? Think of these things, the next time
you are summoned by your dean for a scolding, and tell him that a
college professor remains an American citizen, and that he does not
sell all his brains for two or three hundred dollars a month!
I ask for a little personal boldness, also a little for your institution.
What if the new endowment does not come, and you cannot get the
new buildings you had hoped for? The best work of men’s brains has
been done in garrets, and not in marble halls. Remember the
glorious example of Johns Hopkins and Clark in the old days! It is
really possible for a university to remain small, and for everybody in
it to starve along and serve the unfolding spirit of man. You do not
know the possibilities of sacrifice that lie in a group of scholars and
thinkers until you try; even your students would be willing to work
and earn money for their institution, if it were put up to them as a
new crusade. Yes, and you would find here and there an alumnus
who would understand and help. I do not urge that you should
refuse money when it is offered on honest terms; all I mean is that
you should make plain your policy, that money has no voice in the
control of the institution, which knows but one loyalty—to the truth
—and but one instrument—the open mind—and but one method—
investigation and free discussion. Say to your would-be benefactors:
we are educators; we know what the pursuit of knowledge is, and
we teach it; if you wish to help in that, well and good; otherwise we
go our way alone. I conclude this chapter with three stanzas written
by Ralph Chaplin, one of America’s greatest poets, whom the United
States government has held in prison for the last five years, and
plans to hold for fifteen years longer, on account of his political
opinions.
Mourn not the dead that in the cool earth lie—
Dust unto dust—
The calm, sweet earth that mothers all who die
As all men must.
Mourn not your captive comrades who must dwell—
Too strong to strive—
Within each steel-bound coffin of a cell,
Buried alive.
But rather mourn the apathetic throng—
The cowed and meek—
Who see the world’s great anguish and its wrong
And dare not speak!
CHAPTER XCI
EDUCATING THE EDUCATORS

There is another group in the colleges which must help to reform


them, and that is the students. I have already shown that the
student-body alone cannot dominate a college for any length of
time; but in the student body is always a little group of thinking
men, and these constitute a leaven which can work mighty changes
in a great mass of solid dough.
The first organized effort of college students to educate
themselves, and incidentally to educate their educators, was the
Intercollegiate Socialist Society, which was founded by the writer
some eighteen years ago. That was after I had come out from nine
years of college and university life without knowing that the modern
Socialist movement existed; I resolved to do what I could to make it
less easy for the plutocracy to accomplish that feat in future. Some
twenty or thirty people got together in New York City, and elected
Jack London as president, and he delivered his famous address,
“Revolution,” within the shuddering walls of the Universities of
California, Chicago, Harvard and Yale. We were careful to specify our
purpose: “to promote an intelligent interest in the study of
Socialism”; but even with that moderate statement, only a few
institutions would let us in under our own evil name, and we had to
disguise ourselves as liberal societies, and open forums, and social
science clubs.
The name Socialism became so unpopular during the recent flood-
tide of patriotism, that the organization has now called itself the
League for Industrial Democracy. It has as its directors the Reverend
Norman Thomas, editor of “The World Tomorrow,” and Harry Laidler,
author of an excellent text-book, which ought to be used in every
college, “Socialism in Thought and Action.” The purpose of the
league is declared to be “education for a new social order, based on
production for use and not for profit.” It undertakes “research work,
the development of pamphlet literature, and the thinking through of
concrete problems of social ownership.” The president is Professor
Robert Morss Lovett of the University of Chicago, and the vice-
presidents are Charles P. Steinmetz, Evans Clark, Florence Kelley and
Arthur Gleason. The league holds a winter convention in New York
and a summer conference lasting a week, at Camp Tamiment,
belonging to the Rand School. The address of the league is 70 Fifth
Avenue, New York.
Recently another student organization has entered the field, the
National Student Forum, product of the labors of a group of young
Harvard liberals, with John Rothschild as secretary. They publish a
fortnightly paper, “The New Student,” at 2929 Broadway, New York;
they have drawn up a “preamble,” which is so much to the point that
I quote it in full:
“Realizing that these are times of rapid social change, the liberal
spirited students of America are building this organization as an
instrument of orderly progress.
“It is apparent to them that if the social changes now in process
are to proceed sanely, those whose education is fitting them for
positions of leadership must be better informed than hitherto
regarding the contemporary affairs of the world in which they live.
The students who founded The National Student Forum are aware
that already in almost every institution of learning there is a group of
students whose interest in social problems has brought them
together into some local organization. It is their belief that to be of
influence in the student life of America the scattered groups must
effect an association through which they may learn from one
another’s experience, and publicly share the search for new light.
“With this in mind they have founded and now maintain The
National Student Forum. They dedicate this organization to the
cultivation of the scientifically inquiring mind; they declare it
unbiased in any particular controversy, yet permitting within itself
the expression of every bias; they declare its one principle to be
freedom of expression, for they realize that without intellectual
liberty the students of America cannot attain the completeness of
vision and the social understanding which will enable them to be
effective in the progress of the community.”
As an illustration of the activities of this group I mention that the
Harvard Liberal Club, during the year 1922, had sixty luncheon
speakers in five months, including such radicals as Clark Getts,
Lincoln Steffens, Florence Kelley, Raymond Robins, Frank
Tannenbaum, Roger Baldwin, Percy Mackaye, Clare Sheridan,
Norman Angell, and W. E. B. Dubois; properly balanced by a group
of respectable people, including Admiral Sims, Hamilton Holt,
President Eliot, and a nephew of Lord Bryce. What it means to the
students of one of our universities to have such a corrective to the
provincialism of its curriculum is something which only the students
themselves can tell you, after they have had a chance to notice the
difference. They come with bright eyes and eager faces, they listen
and applaud, and they stay for hours to ask questions. They go
away, knowing at least this much: that there are ideas in the world
which are not tedious and dusty, and that the free use of the
intellectual faculties can be as interesting as fraternity gossip and
waving flags at gladiatorial combats.
So to the little group who come from free-thinking homes, or from
the working classes, and do not mean to sell out their own people, I
say: face the gales of ridicule and scolding, and see to it that while
you are in college the students become acquainted with modern
ideas. Get together a little group, and invite in speakers of all shades
of opinion, and if the radical ones are barred, make an issue of it,
and agitate for freedom of discussion. Join with those members of
the faculty who are sympathetic to your point of view, extend their
influence among the student-body, and back them up in
controversies with the administration. Constitute yourself a ferment
and leaven the dough-heads! I do not mean by this that you should
be “fresh,” or should go out of your way to seek trouble. Take the
time to study, and know what you are talking about, so that when
you take a position you will not be easily put down. When you have
really studied and thought, then do not be afraid of being laughed
at; for you will surely never do anything new or worthwhile in your
life without being laughed at by fools and idlers.
Choose the big issues, and choose men and women who really
have something to bring to the student-body. You will find them
nearly always willing to come—all except the conservatives; but
invite these also, and keep after them, and advertise the fact that
you have done it. You have nothing to fear from their arguments,
however masterful may be their air; we can handle them, I promise
you—I have been through the whole question from A to Z, I have
read the best that the opposition has to produce, and they cannot
refute the claims of the workers for freedom, for social justice, and
for light. If I had only one message to give to college students, it
would be this: there exists in the modern revolutionary movement a
vast treasure of idealism and inspiration, which your elders seek by
every means in their power to keep from you. This treasure is your
birthright, and to make it yours is your life’s great success.
That they cannot answer the arguments of the social rebels, is
something which the League of the Old Men knows perfectly well,
and that is why they are afraid of us. In the literature of the Better
America Federation of California it is again and again admitted that
the immature minds of the young cannot be trusted to resist the
temptations of idealism; if they meet these beautiful-sounding ideas
they adopt them—and so they must be kept from knowing that the
ideas exist! The soundness of this fear has been proven, wherever
free discussion has been tried out. For example, in the state of
Colorado, one of the great centers of metal mining and corruption in
our country, the various colleges organized a State League for
Debating, and they held a debate on the “open shop,” and one of
the teachers reported to me the results. There were eleven
members of the “team,” and they came from the homes of the
employing classes, and everyone of them believed in the “American
plan.” At the end of the debate two were in doubt and nine opposed
to the plan! Another team consisted of four women, and three of
these were converted.
There is another interesting college movement, which has taken
its rise in the West, under the leadership of B. M. Cherrington, a
young Y. M. C. A. worker of the new type, who has seen the light
and is preaching the social gospel. This organization is taking college
students out into industry in the summer-time, not merely to earn
money, but to learn the facts about labor conditions, and to
understand them. The students are required to read books on the
subject, and to prepare papers on what they have found. There was
a street railway strike, in which more than sixty persons were shot.
The students attended the conferences over this strike, and heard
both sides presented. At the end of the summer’s work they held a
convention and drew up a statement, as follows:
“Having been associated, under the leadership of men of high
ideals and Christian motives, for the purpose of intensive study of
the human factor in industry, and having, as a result, come to a
realization of the present seriousness and possible disastrous results
of the turmoil and unrest which is now gripping the industrial world;
and further realizing that those who are to become the business,
professional and political leaders of tomorrow, the present college
men, are, through lack of knowledge of and interest in these
conditions, not only neglecting a vital part of their education, but are
actually committing an injustice against humanity in failing to
prepare themselves to meet the inevitable crisis, we, the members
of the Denver Summer Study Group of 1920, undertake to expand
that organization under the name “The Collegiate Industrial
Research Movement.”
The same thing is being done by the Young Women’s Christian
Association. There was a movement of this kind under the direction
of Miss Caroline Goforth, and I heard an interesting story about one
of the girls, who was running an elevator, and had her foot caught
and injured. She was dressed like a “lady,” and looked like one, and
the surgeon took her for a passenger, and was courteous and helpful
—until he discovered that she was an employe, when he became
abrupt and negligent. Our interlocking newspapers profess to
wonder at the existence of “parlor Bolshevists” and “pink tea
Socialists,” and may be interested to know how such creatures are
made. Here was one made in a few minutes, by sharing the actual
bitter experience of the workers!
I have narrated how the working class students at Bryn Mawr
proceeded to unionize the “help” at that college. This is another
work which liberal students may undertake with profit at many
American colleges and universities. I have already referred to the
experience of a group of students who set out ten years ago to
reform conditions of labor at the University of Wisconsin. They
organized an industrial union of all working students; the university
authorities tried to break it up, and threatened to expel a group of
forty active students from their jobs—and therefore from the
university. They locked out a hundred and fifty from the University
Commons. But the students succeeded in getting publicity; they
brought in labor organizers, who surveyed the working conditions,
and showed up the graft in the running of the university dining-
rooms, the purchasing of milk and other supplies. They showed that
two carloads of potatoes had been allowed to rot, that a car of
apples had been allowed to freeze; also that the university was
working girls in violation of the state industrial law.
The interlocking regents were called in, and also the board of
visitors, and there was great excitement. One of the students
reminded President Van Hise that the Milwaukee Trades and Labor
Assembly controlled a hundred and fifty thousand votes; which
apparently produced the effect intended, for the business manager
of the university retired. The interlocking trustees showed their
appreciation of his fidelity to the principles of exploitation by
immediately calling him to become president of Tufts College! Tufts
gave him an honorary degree, and Brown and Clark followed suit,
and now he is chairman of the Massachusetts Security League!
CHAPTER XCII
THE LEAGUE OF YOUTH

I have ventured to suggest student representation on boards


controlling our colleges; and perhaps you thought I was showing too
much confidence in student wisdom. Fortunately I can show you a
few places where students are beginning to take up the problems of
their own educating, and to find fault with the courses served out to
them by the interlocking directorate. For example, Mt. Holyoke, a
woman’s college with a thousand students, located at South Hadley,
Massachusetts; they have organized the “Mt. Holyoke College
Community,” governed entirely by committees of students and
faculty. I note that they are fully aware of the various functions of
government, and how to make a democracy work. They have
arranged “an executive body consisting of the acting President of the
College Community (a student) and the presidents of various student
and faculty organizations; a legislative body consisting of one
member for every fifteen students and one for every five members
of the faculty; and a judicial body consisting of five students and two
members of the faculty.” Also these students have organized a
committee on the curriculum, and three hundred and forty of them
have reported “a strong demand for the elimination of required Latin
and mathematics, and for the requirement of physiology and
economics; also for modern government and hygiene.”
More significant yet, the students of Barnard have got busy, right
under the nose of Nicholas Miraculous! They organized a committee
on their own initiative, and have constructed an “ideal” curriculum.
Listen to what these progressive young ladies purpose requiring of
freshmen: a course on the history of mankind, counting ten points,
“a synthetic survey course designed to bring out the chief aspects of
man’s relation to his environment by tracing present conditions and
tendencies to historic processes; the physical nature of the universe
... man as a product of evolution ... the early history of man ... the
concept of culture ... the historical processes leading to present
cultural conditions ... modern problems, political, economic and
social.” Next they want a course, counting six points, in human
biology and psychology, “giving an outline of human development
and distribution on earth, man in relation to his nearest kin, a survey
of human powers and functions, an introduction to general biology,
the structure of the human body, outlines of embryology, functions
of the body and their inter-relationships”—and laboratory work on all
these problems. Also—imagine young ladies actually putting such
things on paper!—they ask for:
“Specific human development of the sex-reproductive-child bearing
function.
a. “The facts of structure, functions, development and hygiene of
the sex and reproductive apparatus of the male and female.
b. “The outstanding facts of maternity and paternity.
c. “Effects of sex on individual human development from
fertilization to maturity.
d. “The nature and power of the sex impulse.
e. “The gradually developed sex controls imposed on the
individual by society.
f. “The pathological effects of perverse and unsocial uses of sex
in society.
g. “The facts underlying a satisfactory adjustment in marriage
and homemaking.”
Also they want a course in “general mathematical analysis,”
counting six points; “the technique of expression,” counting two
points; and “Engliliterature,” counting six points, with the aim “to
present literature as an aspect of life; the emphasis throughout is
therefore on subject matter rather than on technical or historical
problems.”
Yes; and also these young ladies of Barnard have taken up the
problem of having Nicholas Miraculous tell them whom they may
listen to. It was declared to them that the good repute of the college
must be preserved, and after an argument they submitted to that
imposition; but one thing they laid down very emphatically—they
want the college authorities to give up the idea of protecting their
tender young minds! As they put it:
“Resolved, that it is the feeling of the Student Council:
“That there is nothing gained in shielding students during four
years from problems and ideas they must face during the rest of
their life, and
“That if they are considered incapable of rational judgment upon
theories presented to them, the solution lies in further training in
scientific method rather than in quarantine from ideas, and
“That a reputation for fearless open-mindedness is more to be
desired for an academic institution than material prosperity.”
Also the Harvard students are waking up, under the influence of
the Liberal Club. They have been discussing the subject of
education, calling in various professors and deans to address them,
and last spring the members of the corporation and the board of
overseers were the guests of the club, to consider inaugurating the
English tutorial system at Harvard. Also Harvard has a cooperative
society, with three students upon its board of directors, and the
Barnard students are planning a cooperative book-store, to be run
entirely by themselves.
Such things as this have a way of spreading; they are spreading
rapidly in Germany, where there is a movement of insurgent youth,
taking steps to form a “World League of Youth,” to make over the
thinking and the social life of mankind. You will no doubt admit that
the youth of Germany have justification for being discontented with
the management of their Fatherland. Let me quote from their
manifesto:
“Comrades! We are united in the hatred of the institutions of our
social life and of our time. We ask ourselves: Whose fault are these
institutions, this civilization? On whose conscience rest these political
systems, these schools, these churches, these politics, these
newspapers and so much else? The ‘adult’ people....”
Again, here is a statement from one of the leaders of this new and
vitally important movement:
“The unifying characteristic, indeed the only sense of the youth
movement is this: we no longer want to obey laws, coercions,
customs that come to us from the outside and that have aims
without a living, inner meaning to ourselves. We want to form our
lives in accordance with laws that are within us, laws toward which
alone we feel a responsibility.”
Our own country has been more fortunate than Germany; we
have still a great measure of prosperity, we are not yet in the pit of
hell with Central Europe. But we are sliding, and sliding fast, and
those who run our country do not know how to stop the process. I
have shown you the League of the Old Men, suppressing thought
and wrecking the world; and now here is the answer—the League of
Youth! The Old Men were raised in the old order, their thinking is
bound by its limitations. But we, the youth of the world, live in a
new age, and have new problems to deal with. We cannot well do
worse than our elders have done; we may very easily do better.
Since we have longer to live in this world than our elders, we have
surely the right to save it if we can!
CHAPTER XCIII
THE OPEN FORUM

I am writing in a time of reaction, but already the streaks of dawn


are beginning to show. We are soon to witness the social revolution
in Western Europe, and it will not be possible to keep these ideas
from stirring the minds of young America. Our politics will change,
and with that change will come freedom in our state universities,
and the privately endowed institutions will be forced to come along.
Just what will happen in the great centers of snobbery, such as
Columbia and Princeton and Pennsylvania, I do not attempt to
predict; perhaps their faculties will wake up and take control of their
own destinies, or perhaps we shall see in our political life some
violent revolutionary change, which will sweep the plutocratic
endowments out of existence all at once. I am not advocating such a
procedure, but I see our ruling classes doing everything in their
power to force it, and if their efforts should succeed, we may see
very quick reforms in American higher education.
What is it that I want? What should I do if I had my own
unhampered way? Should I kick out all the reactionary professors,
and turn Columbia and Princeton and Pennsylvania into Socialist
propaganda clubs? If I could have my way, I should not commit a
single violation of the principles of academic freedom for which I
have pleaded in this book. The trustees and the presidents should of
course be laid on the shelf, for these are administrative officials, and
properly removable when a change of policy is desired. This would
apply equally to the deans as administrators; but so far as the
teachers are concerned, I would do them the honor to set them
free, and plead with them to open their eyes to the new dawn of
social justice. Just as there are thousands of members of the clergy
who would jump up with a shout if they knew they could cease
preaching fairy tales without losing their jobs, so there are
thousands of college professors who would consider the truth if it
were presented to them, and would teach it if they were
encouraged.
As for the aged-minded ones—what I should do with them is to
compete them out of business. I really believe in truth, and in the
power of truth to confute error; I take my stand on the sentence of
Wendell Phillips: “If anything cannot stand the truth, let it crack.”
What I ask is free discussion; what I want in the colleges is that
both faculty and students should have opportunity to hear all sides
of all questions, and especially those questions which lie at the heart
of the great class struggle of our time. What I should do to the
college would be to introduce a few live young professors who know
modern ideas, and would lecture on modern books and modern
political movements, explaining the revolutionary spirit which is
vitalizing history, philosophy, religion and art. You would see in a
year or two how the students thronged to these live men, and how
the old men would have to wake up and fight for their prestige.
This is the plan of the open forum, and I urge groups of young
professors and students everywhere to take their stand on that. We
desperately need men to lift their voices in this cause just now, for in
the last eight bitter years the American people have shown that they
have no idea what free speech means—no trace of such an idea! We
sent one or two thousand men to jail for the crime of expressing
unpopular opinion; as I write, four years after the armistice, we are
still holding seventy-six such men in torment, and the great mass of
authority which controls our politics, our press and our pulpits shows
that it has no conception whatever of the right of a man to advocate
an unpopular belief, or of the danger to society involved in the
crushing of minority opinion.
It is not too much to say that in America today it is a general and
firmly held conviction that to believe and teach certain ideas is a
crime. And from where shall we expect opposition to this survival of
savagery among us, if not from our universities, which are supposed
to be dedicated to the search for truth? It is the shame of our time
that our colleges and universities have been silent while freedom of
opinion has been strangled in America. Right here is the crucial
issue, here is where the call for academic heroes and martyrs goes
out. The few of us who believe in the truth have an organization,
which will back you and furnish you with ammunition in this fight; if
you do not know its literature, write to the American Civil Liberties
Union, New York City.
I have heard the arguments of the reactionaries, their cries of
horror at the idea that the sensitive minds of the young should be
exposed to the corruption of vicious and incendiary ideas. To this the
answer is plain: if any parent wants to keep his child from thinking,
there is no law to deny him this power, but he should keep that child
at home, and not send it to an institution which exists for the
purpose of training young men and women to use the faculties of
the mind. Colleges and universities are places, or should be places,
for those who wish to think; and for any institution making such a
pretense there can be but one rule of procedure, which is that all
ideas are given a hearing and tried out in the furnace of controversy.
I am aware, of course, that there are lunatics in the world, and an
infinite variety of cranks and bores—my mail is burdened with their
writings, and they keep my door bell buzzing. I do not mean to say
that college platforms should be turned over to such people; what I
do say is, that whenever any considerable group of thinking people
claim to have important new ideas to teach the world, they should
be given a hearing in colleges, and if their ideas are unsound, let it
be the business of the college to produce some one on the same
platform to expose that unsoundness. The one thing that should
never be heard inside college walls, or in connection with college
policy, is that ideas should be suppressed because they are
“dangerous”—because, in other words, they might win converts if
they were given a hearing!
I met on my journey a horrified university trustee, who exclaimed:
“What! You would permit anarchists and I. W. W.’s to speak at our
institution?”
My answer was a counter-question: “Do you think that anarchism
is right, or that it is wrong?”
The answer was: “Wrong!”
“Then,” I said, “why are you afraid to hear it?”
“I am not afraid for myself, but when you are dealing with young
minds”—and there you are; we must protect the minds of the
young! It is hard for the old to realize that the young may have older
minds, having grown up in a world with better means of thinking
and of spreading ideas.
We deported Emma Goldman, and thought we had thereby
prevented the spread of anarchism; which shows that whatever else
our colleges and universities have done, they have not taught us the
psychology of martyrdom. I agree with the university trustee in
thinking that anarchism is wrong—at least for a hundred years or so;
but my way of handling Emma Goldman would have been to run her
on a lecture tour in every American college and university, in a
debate with some thoroughly trained expert in the history of social
evolution. I would have let all the students hear her, and keep her
until midnight answering questions; so, if there was truth in her
views it would have spread, and if there was error the students
would have been inoculated against it for life.
Some years ago I wrote that I should like to send every clergyman
in the United States to jail for a week; this not out of any ill will for
the church, but as a step toward prison reform. In the same way I
should like to see our college students go to jail; or barring that, I
should like to have the prisoners come to the colleges, to tell the
students how men become criminals, and what society could do
about it. Some of the most interesting men I ever met were
criminals, and others were tramps, and others were social
revolutionists. I should like to see all college students go to work in
factories, and I should like to see the leaders of labor, both
conservatives and radicals, brought to the colleges to tell the
students about industrial problems. Let the employers come also—
both sides would be more careful of their facts if they knew they had
to present them before a jury of wide-awake students and highly
trained faculty members. What a service the college might perform,
in toning down the bitterness of the class struggle, if the faculty
made it their business to invite both sides in every labor dispute to
come and justify themselves; if the faculty would keep at it, and
accept no refusal, but “smoke out” the arrogant ones, who take,
either publicly or privately, the old-style attitude of “the public be
damned!”
That is my program for colleges—to discuss the vital ideas, the
subjects that men are arguing and fighting over, the problems that
must be solved if our society is not to be rent by civil war. Everybody
is interested in these questions, old and young, rich and poor, high
and low, and if you deal with them you solve several vexing
problems at once. You solve the problem of getting students to
study, and also the problem of student morals; you turn your college
from a country club to which elegant young gentlemen come to
wear good clothes and play games, and more or less in secret to
drink and carouse—you turn it from that into a place where ideas are
taken seriously, and the young learn the use of the most wonderful
tool that the human race has so far developed, that of experimental
science.
When you understand this weapon and its powers, you are no
longer afraid of the specters and the goblins, the dragons and devils
and other monsters which haunted the imagination of our racial
childhood. You know; you know precisely, and you know certainly,
and so you are free from fear; you go out into life as a young
warrior with an enchanted sword, all powerful against all enemies.
To forge that sword and train you in the care of it and the use of it—
that is the true task of our institutions of higher education. To that
end the call goes out to all men and women, who have learned to
believe in reason, and wish to have it vindicated and used in the
world. Our educational system today is in the hands of its last
organized enemy, which is class greed and selfishness based upon
economic privilege. To slay that monster is to set free all the future.
If this book helps to make clear the issue, and to bring fresh recruits
to the army of emancipation, its purpose will be served and its
author will be content.

It was my original intention to write a book dealing with our whole


educational system; but as you have seen, the mass of material
dealing with colleges alone proved sufficient to make a full-sized
book. It is my purpose to follow this with a second volume, dealing
with the public schools, and entitled “The Goslings.”
INDEX

Roman numerals refer to chapters, Arabic numerals to pages.


Names of colleges and universities are in italics.

Abelard, 454
Abortions, 381
“Abrams case,” 75
“Acres of Diamonds,” 332
Advertising, 315
Allegheny, 347
Allen, F. J., 89
Alumni, LXXIII
Amal. Clothing Workers, 452
“A Man’s World,” 295
American, 349
Amer. Ass’n of University Profs., 181, 186, 192, 195, 346–7, 354,
375, 409, 455
Amer. Book Co., 289
Amer. Civil Lib. Union, 475
Amer. Fed. of Teachers, 459
Amherst, 432
Ammons, 193

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