Wednesday, October 28, 2020

Slipping towards authoritarianism

Many observers have raised concerns about the direction that American politics has taken in the past decade, and especially since the election of 2016. The concern is that conservatives in the United States, included elected officials and GOP leaders, have increasingly shown disregard for fundamental democratic values: the independence of the judiciary, the inviolable role in a democracy of a free press, the right of citizens to peacefully protest, and the right of all citizens to exercise their right to vote. 

A recent study by the V-Dem Institute at the University of Gothenberg in Sweden (link) has given these concerns new urgency. V-Dem is a collaborative academic project involving a multinational group of social scientists, that is devoted to arriving at evidence-based assessments of the state of democracy in the world. Here is the V-Dem mission statement:

Varieties of Democracy (V-Dem) is a new approach to conceptualizing and measuring democracy. We provide a multidimensional and disaggregated dataset that reflects the complexity of the concept of democracy as a system of rule that goes beyond the simple presence of elections. The V-Dem project distinguishes between five high-level principles of democracy: electoral, liberal, participatory, deliberative, and egalitarian, and collects data to measure these principles. 

The Institute has released an important and evidence-based briefing paper reporting "New Global Data on Political Parties" (link) along with an annual report on the global status of democracy (link). The briefing paper provides very striking data about the transformation of US politics over the past several decades, and the findings are highly disturbing. Here are the summary findings:
  • V-Party’s Illiberalism Index shows that the Republican party in the US has retreated from upholding democratic norms in recent years. Its rhetoric is closer to authoritarian parties, such as AKP in Turkey and Fidesz in Hungary. Conversely, the Democratic party has retained a commitment to longstanding democratic standards.
  • This is a global trend: The median governing party in democracies has become more illiberal in recent decades. This means that more parties show lower commitment to political pluralism, demonization of political opponents, disrespect for fundamental minority rights and encouragement of political violence. (1)
Here is how the report defines the "illiberalism index":

The Illiberalism Index gauges the extent of commitment to democratic norms that a party exhibits before an election. It is the first comparative measure of the “litmus test” for the loyalty to democracy, which the famous political scientist Juan Linz developed in 1978, and Steven Levitsky and Daniel Ziblatt have propagated in their 2018 book on “How Democracies Die”. Indicators comprising the Illiberalism Index are low commitment to political pluralism, demonization of political opponents, disrespect for fundamental minority rights and encouragement of political violence. (1)

Notice the features that are measured in this index: low commitment to political pluralism, demonization of political opponents, disrespect for fundamental minority rights, and encouragement of political violence. These are the factors that are given greatest attention by Levitsky and Ziblatt in their analysis of the decline of democracies. Each of these features has been prominent in the Trump presidential election campaign -- including rallies and campaign stops in the state of Michigan, where a right-wing extremist plot to kidnap and harm the governor of the state was recently uncovered.


The graph represents the positions of a dozen or so parties in Europe and North America, on a Left-Right scale on the X-axis and the Illiberalism measure on the Y-axis. There are many important things to notice on this graph, but the most important is the progression of the Republican Party up the scale of Illiberalism between 2004 and 2018. This is a steady march towards anti-democratic values on the part of one of the major parties in the US democracy. By contract, the Democratic Party has a substantially lower Illiberalism value, and a score that has not changed appreciably. The Democratic Party shows a continuing support for democratic institutions and values, and the Republican Party does not. As the report notes, "the Republican Party scores much higher than almost all parties in democracies on almost all of these indicators" (1).

The features of the Illiberalism index are broken out in Figure 2 of the report:


Here again the data are unsurprising for anyone who follows the discourse of the Democratic and Republican parties in the United States. These measures show a massive change in Republican Party language with regard to "disrespects opponents", "encourages violence", "anti-immigration", and "espouses cultural superiority", and a substantial difference between the two parties on all the other measures as well.

(The data underlying these calculations of Illiberalism are available from the V-Dem institute.)

This report -- and the many books that have been published in the past few years about the decline of democracy -- forces us to ask several pointed questions.

First, why are senior elected officials (senators, congressmen and women, and the president and the vice president of the United States) willing to sacrifice these irreplaceable values and institutions of our democracy for short-term political expediency? Do they in fact care nothing for the values and institutions of our constitutional democracy? Do they not understand the terrible harm they are producing? Has Trumpism so completely corrupted the culture of the Republican Party that its leaders no longer stand for anything but their own power?

Second, what can be done to reverse these trends within the political culture of the United States? The situation is not beyond repair, and a variety of smart defenders of democracy have sought to imagine effective ways for citizens and social movements to defend our democracy and our institutions. One such effort is The Democracy Playbook: Preventing and Reversing Democratic Backsliding (link), published in 2019 by the Brookings Institution. Here is a good description by the authors of the anti-democratic process of erosion of democratic institutions and values:

Once in power, illiberal governments capitalize on popular support to deploy a discernible toolkit and a loosely predictable sequence to chip away at democracy and build an illiberal state. As argued in a related Brookings report, The Anatomy of Illiberal States, “Liberal principles—political ideas that espouse the importance of individual liberties, minority rights, and the separation of power across levers of government—and democratic institutions—processes that translate popular will into public policy through legitimate elections—are being pulled apart.” At times, their efforts extend beyond attacks on liberal principles to include delegitimizing political opposition, diminishing fundamental political rights to free speech, assembly and media plural- ism, and clamping down on civil society—all of which are indispensable for a functioning democracy. (9)

To resist this process of right-wing populist authoritarianism, the authors suggest these ideas:
  • Be prepared for and invest in protecting against internal and external interference in elections. Elections are the foundation of a democracy yet advances in digital technology have rendered elections increasingly complex and vulnerable to interference. Governments should have a proactive and comprehensive deterrence strategy—with responsible actors in clearly defined roles—that will appropriately punish nations who interfere in democratic elections. Governments and political parties should invest in the people and systems necessary for the technological security of election counting, voter registration machines, and political campaign networks.
  • Enact policies that promote and protect broad access to the vote, such as automatic or same-day voting.
  • Regulate the role of money in politics to retain trust in the democratic system through the creation of such mechanisms as public financing of campaigns, disclosure requirements for donations, and limits on the amount of campaign donations.
  • Uphold institutional obligations and use their political power responsibly through “institutional forbearance” (i.e., politicians should refrain from using the full breadth and scope of their politically allocated power) and through “mutual toleration” (i.e., opposing sides regarding one another as legitimate rivals, but not enemies.) When these norms break down and authoritarian challenges emerge, further legal mechanisms should be considered to sanction extreme behavior.
  • Defend the independence of the judiciary by establishing public procedures for the selection, appointment, and promotion of judges, for the allocation of cases to judges, as well as codes of ethical behavior that protect the integrity of the judicial decision-making process from undue political pressure, intimidation, and attacks.
  • Implement judicial transparency mechanisms (e.g., opening up courtrooms, producing publicly available transcriptions of proceedings, and placing cameras in courtrooms).
What is alarming in reading these recommendations from 2018-2019 is that the Republican Party and the Trump presidential campaign seem already to have jumped over many of them. "Judicial independence" is now deeply compromised, given the highly partisan Federal judges who have been appointed in the past four years through an entirely partisan process; policies ensuring broad access to the vote are both crippled and discredited by Republican officials (including the president's all-out assault on mail-in ballots); and the idea that Republican senators would "uphold institutional obligations to use their political power responsibly" is now entirely laughable. Senate Majority Leader McConnell shows no such restraint. And the very believable threat made by the president that he would have to "wait and see" whether he would accept electoral defeat is the most anti-democratic declaration of all. If we can't count on candidates accepting the outcomes of elections, where is our democracy?

Thursday, October 22, 2020

An allegory for the philosophy of history


What is the role of history and narrative for human beings and peoples? What do we gain by learning of "our" past and the often horrendous crimes that we human beings have committed? Consider this parable.

*        *        *

Imagine that you are a different kind of human being. You are of a species that lives for a thousand years. You have a capacity for memory, moral reasoning, purposiveness, and reflection. But your capacities are bounded, and there are whole decades that you no longer recall. You have what we might describe as a persistent but intermittent personal identity; you know who you are, but not always who you have been. After passing the age of 800 you have reckoned that you are in the autumn of your years and you would like to collect the materials for an autobiography. You begin collecting documents and markers and newspapers and personal recollections from other people, and gradually you begin to form a more complete picture of yourself over time. It is not a happy picture.

It turns out that your younger years were turbulent. In your 100s you were impulsive and violent, sometimes attacking people for no reason, sometimes threatening and attacking them to take their property. Towards the end of this period you found tranquility, an excellent psychiatrist, and a yoga mat, and you were able to put your aggressiveness and percolating violence aside. Things went well for a century or so, you formed a family, you were a good father for at least a hundred years, and you practiced meditation in a disciplined way. Your life was orderly and kind. 

Your researches have informed you, however, that this tranquility and peace did not last forever. In your fourth century you took up politics, you developed strong opinions, and you became intolerant. You were a charismatic person, and others followed you, and in that century you had a lot of influence. One of your passions was patriarchy -- you became committed to the idea of the natural and moral superiority of men over women. By seizing the power of the state you sought to create a system of law in which women were permanently subordinated to men. With your followers at your side, you mostly succeeded. This period too didn't last for ever. Instead, the women of the empire you had created rebelled, and they were successful. You left the palace in your fully charged Tesla, and you never looked back. It took another century for the state you had left behind to recover its equanimity, but eventually a decent liberal democracy was restored. 

You felt you had learned a lesson, some kind of lesson, though you quickly forgot many of the details of this bad political episode. Anyway, your research tells you that things went better for you in your sixth century. You cultivated friends, had another family, and practiced the calming arts of meditation once again. 

But then, once again, bad times. Petty disagreements with your friends led to breaches, to distrust, and eventually to active enmity. You broke your friendships, you broke promises and allegiances that had seemed permanent, you betrayed the trust of the men and women who had been your community. In fact, your own resentments and anger led you to do things you shouldn't have done -- you let slip embarrassing information about one friend to the newspapers, you denounced another friend to the political authorities for her disloyalty to the state, and you actively connived in presenting evidence against a third former friend to support a spurious allegation of business fraud. Once again, despicable behavior for a moral human being -- "how could I have done those things?".

Tranquility and peace came once again, as it always has. And this brings you more or less up to date. You have now filled in the gaps. You "know" yourself over time. And because you have been exhaustive in your search for evidence about your past, and because you have been unflinching in confronting the truth about yourself over the centuries as exposed by these researches, you now know that you have been a very long-lived person who has embodied both good and evil, both benevolence and hatred, both temperance and unbounded aggression. You have, you are now ashamed to realize, harmed a great many people who deserved only kindness and respect from you. The story of your life is now collected in eight compact volumes in a small library in your current palace. And you ask yourself this question: in the remainder of my centuries of life, how shall I live, given what I now know about my past and my potential for doing evil?

You realize a number of things all at once. (You spent a fruitful century studying philosophy with one of the great sages only a century or so ago. On balance, you preferred the philosopher to the psychiatrist, but more than both of them you preferred Seinfeld.) First, you realize that you have not consistently been a good person, a virtuous person, a person of integrity and courage. Second, you realize that the people you harmed are now dead and gone. You cannot make up your debt to them, you cannot undo the evil you inflicted upon them. You cannot, at the moment, even fully understand why you did those things. And yet, you now believe that you are a more fully moral person, a person who wants to act justly and well in the remainder of your years. Your overriding wish is to act as a virtuous human being for the time left to you, and to make the world a better place. You return to the philosopher-sage for more advice.

What advice can the sage offer this long-lived, flawed, but aspiring human being? 

The sage, who seems to be a latter-day Stoic with a bit of Martin Buber included in the mix, has only five things to offer. To be humble. To seek to understand the deficiencies of character that led to the bad behavior over the centuries. To find ways to correct these flaws of character. To seek to rebalance the evils you have created. And most fundamentally, to dedicate your strength, talents, wisdom, and years, to the task of contributing to a better future for humanity. This will be enough, given that you cannot live your life over and undo the evil you have done.

*        *        *

Here is my question: Does this story about a limited, erratic, and forgetful human being provide an analogy for how we might think about long stretches of human history? Does the parable provide some means for understanding the history of humanity and the ways that we understand ourselves as human beings over time? Does it shed light on how we human beings, a historical species, must feel our way into an understanding of our past, our present, and our future? Is knowing history a form of self-discovery of often-forgotten truths about ourselves, and developing the strength to honestly acknowledge those truths, learn from them, and move beyond them? Can humanity deal with its blemished history in the same ways that the nameless ancient one in the parable is advised to deal with his own personal history and actions?


Tuesday, October 20, 2020

Orwell on Revolutionary Spain


Barcelona barricade, 1937

Spanish Civil War poster (UC San Diego Library)

It is very interesting to reread George Orwell's Homage to Catalonia (1938) after a gap of about forty years or more. I remember reading the book in the 1970s with a sense of great admiration for Orwell's moral and personal commitment to the Republican and anti-fascist cause. I read it primarily as an anti-fascist book, by a writer who eventually gained fame for novels about totalitarianism. Like several thousands of American leftists who volunteered to fight against fascism in Spain in the Abraham Lincoln brigades, Orwell made the choice to travel to Spain and to join a POUM militia unit near Barcelona. I did not pay a lot of attention to Orwell's detailed descriptions of the "political lines" taken by the various factions of anarchists, socialists, Trotskyists, Stalinists, and syndicalists whose militias constituted the primary opposition to Franco's forces -- POUM, CNT, ... But now those passages seem perhaps more interesting than the description of day-to-day life on the line in Catalonia and street fighting in Barcelona. And they are interesting in part because they demonstrate a more "revolutionary" Orwell than we have generally come to expect.

The issue dividing the factions was what to do about social revolution in Spain. The anarchists, syndicalists, and Trotskyists believed that the struggle must involve war against the fascist opposition and consolidation of revolution in Spain. The Communists (Stalinists) held for a common front with many groups in Spain -- including the bourgeoisie and liberal landed classes. They advocated for a united front, and attempted to restrain or roll back revolutionary actions like land seizures and collectivized factories, and flew the flag of "War against Fascism first, revolution later".

What comes across from Orwell's comments about the Communists, the anarchists, and the POUM activists is that Orwell is more radical than expected. He appears to believe -- along with the Spanish anarchists -- that fundamental social revolution is necessary in Spain, and that any other outcome will be one form or another of class dictatorship. He faults the Soviet-backed Spanish Communists for many things, but most fundamentally for their willingness to compromise with landlords and the bourgeoisie against dispossessed peasants and workers.

Orwell had joined a militia group affiliated with POUM; but he had no special allegiance to POUM. "I had only joined the P.O.U.M. militia rather than any other because I happened to arrive in Barcelona with I.L.P. papers, but I did not realize that there were serious differences between the political parties" (kl 698). The Spanish civil war might have been perceived abroad as an anti-fascist struggle between defenders of the republic and a rogue fascist general; but Orwell perceived it as a revolutionary struggle between peasants and workers, on the one hand, and the landlords and owners of wealth who dominated them, on the other. The Church, as defender of the system of property that constituted this system of domination, was the natural antagonist of the peasants and workers.

The Spanish working class did not, as we might conceivably do in England, resist Franco in the name of ‘democracy’ and the status quo’, their resistance was accompanied by — one might almost say it consisted of — a definite revolutionary outbreak. (kl 719)

The men and women who rose up in anarchist militias to fight Franco's troops did not do so on behalf of "liberal capitalist democracy," but on behalf of revolution. The Spanish Communist Party's "United Front" strategy (foisted upon them by the Soviet Communist Party and the military assistance offered by the USSR) was antithetical to the project of consolidating and furthering the gains that peasants and workers had already achieved through land seizures, workers' control of factories, and parallel military and police systems. "Outside Spain few people grasped that there was a revolution; inside Spain nobody doubted it. Even the P.S.U.C. newspapers, Communist-controlled and more or less committed to an anti-revolutionary policy, talked about ‘our glorious revolution’." (kl 762)

The Spanish Communists and their Soviet masters strove to eliminate their rivals, including the major anarchist parties (and their arms) and the POUM. POUM was denounced as a Trotskyist organization and a pro-fascist "fifth-column" seeking to undermine the defense of the Spanish state against Franco's uprising. Orwell goes into great and convincing detail about the mendacity of the Communist press during those struggles, including especially the lies told during the May 1937 street fighting in Barcelona. Meanwhile, the revolutionary goals of the anarchists' struggles were extinguished:

A general ‘bourgeoisification’, a deliberate destruction of the equalitarian spirit of the first few months of the revolution, was taking place. All happened so swiftly that people making successive visits to Spain at intervals of a few months have declared that they seemed scarcely to be visiting the same country; what had seemed on the surface and for a brief instant to be a workers’ State was changing before one’s eyes into an ordinary bourgeois republic with the normal division into rich and poor. (kl 821)

Here is how Orwell encapsulated the POUM "line" on revolution, for which he plainly had deep sympathy:

‘It is nonsense to talk of opposing Fascism by bourgeois “democracy”. Bourgeois “democracy” is only another name for capitalism, and so is Fascism; to fight against Fascism on behalf of “democracy” is to fight against one form of capitalism on behalf of a second which is liable to turn into the first at any moment. The only real alternative to Fascism is workers’ control. If you set up any less goal than this, you will either hand the victory to Franco, or, at best, let in Fascism by the back door. Meanwhile the workers must cling to every scrap of what they have won; if they yield anything to the semi — bourgeois Government they can depend upon being cheated. The workers’ militias and police-forces must be preserved in their present form and every effort to “bourgeoisify” them must be resisted. If the workers do not control the armed forces, the armed forces will control the workers. The war and the revolution are inseparable.’ (kl 895)

This is what I mean above that Orwell is more of a revolutionary at this period in his life than he is normally thought to be: he appears to believe that this assessment of the social situation in Spain is largely correct, and that retreating on these convictions means subordinating Spain's peasants and workers once again to the chains of property, poverty, and repression that they have suffered for centuries. True, he also concedes the point that the Communist United Front line was a more practical way of pursuing the war against Franco; but he seems to believe that the result  will be some form of class-based dictatorship. Orwell's disgust with Communism seems to derive most deeply from its profound dishonesty and willingness to lie and murder in pursuit of Stalin's wishes rather than its revolutionary or anti-democratic "line". In this respect it is difficult to classify Orwell as a kind of democratic socialist.

It is also apparent from the book that Orwell was deeply affected by the ordinary men and women (as well as children) whom he met in Catalonia who were throwing everything in their lives into the flames of civil war in order to better their lives and support their revolutionary gains. His sympathies throughout his life were in favor of equality and for the ordinary men and women who must make do in a class-ordered society, and he had great contempt for the "bosses" and elites who profited from the exploitation of these ordinary people and exercised unconstrained power over them.

The dramatic end of Orwell's time in Spain and the Civil War comes quickly. Within days of his return to the front lines with his militia unit after leave in Barcelona during the street-fighting in May 1937, he was shot through the throat by a sniper's bullet, a wound that was thought to be inevitably fatal. He survived and spent weeks recuperating in hospitals, eventually making his way back to Barcelona in June 1937. During June the government, under the direction of the Soviet Communists, undertook a major repression of the POUM and its militia and supporters, with arrests throughout the city and the arrest and execution of its leader, Andreu Nin Pérez. Orwell himself was under danger of arrest and returned to England only hours ahead of Spanish secret police intent upon arresting him as a POUM spy. Orwell regarded the repression of POUM leaders and ordinary followers that subsequently occurred in Catalonia as a continuation of the purge trials that were underway in the Soviet Union itself. Here are an evocative few sentences by Orwell about the atmosphere in Barcelona in June 1937:

It is not easy to convey the nightmare atmosphere of that time — the peculiar uneasiness produced by rumours that were always changing, by censored newspapers, and the constant presence of armed men. It is not easy to convey it because, at the moment, the thing essential to such an atmosphere does not exist in England. In England political intolerance is not yet taken for granted. There is political persecution in a petty way; if I were a coal-miner I would not care to be known to the boss as a Communist; but the ‘good party man’, the gangster-gramophone of continental politics, is still a rarity, and the notion of ‘liquidating’ or ‘eliminating’ everyone who happens to disagree with you does not yet seem natural. It seemed only too natural in Barcelona. The ‘Stalinists’ were in the saddle, and therefore it was a matter of course that every ‘Trotskyist’ was in danger. The thing everyone feared was a thing which, after all, did not happen — a fresh outbreak of street-fighting, which, as before, would be blamed on the P.O.U.M. and the Anarchists. There were times when I caught my ears listening for the first shots. It was as though some huge evil intelligence were brooding over the town. Everyone noticed it and remarked upon it. And it was queer how everyone expressed it in almost the same words: ‘The atmosphere of this place — it’s horrible. Like being in a lunatic asylum.’ But perhaps I ought not to say everyone. Some of the English visitors who flitted briefly through Spain, from hotel to hotel, seem not to have noticed that there was anything wrong with the general atmosphere. The Duchess of Atholl writes, I notice (Sunday Express, 17 October 1937): "I was in Valencia, Madrid, and Barcelona . . . perfect order prevailed in all three towns without any display of force. All the hotels in which I stayed were not only ‘normal’ and ‘decent’, but extremely comfortable, in spite of the shortage of butter and coffee." It is a peculiarity of English travellers that they do not really believe in the existence of anything outside the smart hotels. I hope they found some butter for the Duchess of Atholl. (kl 2800)

The worst of being wanted by the police in a town like Barcelona is that everything opens so late. When you sleep out of doors you always wake about dawn, and none of the Barcelona cafes opens much before nine. It was hours before I could get a cup of coffee or a shave. It seemed queer, in the barber’s shop, to see the Anarchist notice still on the wall, explaining that tips were prohibited. ‘The Revolution has struck off our chains,’ the notice said. I felt like telling the barbers that their chains would soon be back again if they didn’t look out. I wandered back to the centre of the town. Over the P.O.U.M. buildings the red flags had been torn down, Republican flags were floating in their place, and knots of armed Civil Guards were lounging in the doorways. At the Red Aid centre on the corner of the Plaza de Gataluna the police had amused themselves by smashing most of the windows. The P.O.U.M. book-stalls had been emptied of books and the notice-board farther down the Ramblas had been plastered with an anti-P.O.U.M. cartoon — the one representing the mask and the Fascist face beneath. Down at the bottom of the Ramblas, near the quay, I came upon a queer sight; a row of militiamen, still ragged and muddy from the front, sprawling exhaustedly on the chairs placed there for the bootblacks. I knew who they were — indeed, I recognized one of them. They were P.O.U.M. militiamen who had come down the line on the previous day to find that the P.O.U.M. had been suppressed, and had had to spend the night in the streets because their homes had been raided. Any P.O.U.M. militiaman who returned to Barcelona at this time had the choice of going straight into hiding or into jail — not a pleasant reception after three or four months in the line. It was a queer situation that we were in. At night one was a hunted fugitive, but in the daytime one could live an almost normal life. (kl 3019)

It seems evident that much of Orwell's understanding of -- and loathing of -- the methods of totalitarianism, with its lies, violence, and betrayal, was much deepened by his experiences in Spain and especially in Barcelona in May and June 1937. Orwell died in 1950 at the age of 46.

Also interesting in this context is Franz Borkenau's The Spanish Cockpit (1937), which was published a year earlier than Homage to Catalonia. Orwell had read The Spanish Cockpit before completing Homage to Catalonia and describes it as "the ablest book that has yet appeared on the Spanish war”. Borkenau himself is an interesting leftist intellectual of the 1930s and 1940s. Born in Austria and educated in Leipzig, Borkenau became a member of the German Communist Party in 1921 and worked as a Comintern agent through 1929. He left the party in 1929 out of disgust for the activities of Soviet secret police. He was a tireless anti-Nazi and also anti-Stalinist, and he was a vigorous critic of various intellectuals of the left whom he regarded as apologists for the Soviet regime, including Isaac Deutscher. In many respects his evolution and political position resembled that of Arthur Koestler, though Koestler's disillusionment with Soviet Communism came a decade later. Borkenau visited Spain for several months, beginning in September 1936 and again in 1937, and wrote a penetrating analysis of the politics and revolutionary struggles that were underway in Spain at that time. One of the more interesting aspects of The Spanish Cockpit is Borkenau's effort to explain the social and ideational basis of the power of anarchist ideas in Spain rather than Britain, France, or Germany. He attributes this willingness of Spanish peasants and workers to accept the political theories of anarchism to their clear and unmistakeable recognition of the need for a revolution in the relations of power and property that governed their lives. "Bakunin, for his part, regarded social revolution and socialism as the result of the revolutionary action of people prompted by the moral conviction of the immorality, the hideousness, the human inacceptability of the capitalist world." Marxist socialism, by arguing for the slow historical inevitability of capitalist development, counseled patience in waiting for the crises that would allow the radical working class to seize power. Borkenau argues that the appeal of anarchism is its voluntarism: "The [anarchists] saw socialism as possible at any moment, provided there was revolutionary conviction and decision. But this conviction and decision, according to Bakunin’s idea, could not be put at the disposal of the masses simply by a small group of professional revolutionaries; they must emerge from a revolutionary spirit in the people itself."

Revolutionaries by heart and instinct, according to Bakunin, were first and foremost those nations who did not admire the blessings of civilization; who were not in love with material progress; where the masses were not yet imbued with religious respect for the property of the individual bourgeois; revolutionary were the countries where the people held freedom higher than wealth, where they were not yet imbued with the capitalist spirit; and particularly his own people, the Russians, and, to a still higher degree, the Spaniards.
Here is how Borkenau describes the political power of the Communists with Republican Spain in 1936 and 1937:

Communist influence [in Spain], after all, works neither through a dominating organization nor through dominating personalities, but through a policy which is welcome to the republicans and the Right-wing socialists and which has the backing of such supremely important factors as the international brigades, the command of General Kleber in Madrid, and Russian help in general. Neither the republicans nor the Right-wing socialists are strong political forces in themselves. In fine, increasing communist influence today is a symptom of the shifting of the movement from the political to the military and from the social to the organizational factor. It is military and organizing, not political, influence which gives the communists their strength, and indirectly makes them the politically dominant factor. (kl 3718)

Borkenau himself was arrested and jailed by Communist-backed secret police in Valencia for the thought-crime of being critical of communist policies and of suspected Trotskyist sympathies. 

The inferences from which they drew this conclusion were twofold: first, I had been highly critical of the type of bureaucratic tyranny towards which the communists are driving in Spain, and have achieved in Russia, as others have achieved it in Germany and Italy. Second, among many friends and acquaintances, I had some who were Trotskyist. What else but a Trotskyist could a man be, if he is opposed to the totalitarian state and talks to Trotskyists? (kl 4469)

Once again -- Borkenau's account provides a clear portrayal of a Stalinist police state as it was manifest in Spain in 1937. 

The parties and militias

FAI         Federación Anarquista Ibérica (anarchist party)
CNT       Confederación Nacional del Trabajo (anarcho-syndicalist trade union)
POUM   Partido Obrero de Unificación Marxista (Workers' Party of Marxist Unification)
UGT      Unión General de Trabajadores (General Union of Workers) i
JCI         Juventud Comunista Ibérica (Iberian Communist Youth) (youth wing of POUM
JSU        Juventudes Socialistas Unificadas (Unified Socialist Youth)
AIT        Asociación Internacional de Trabajadores (International Laborers' Association)
PSUC     Partit Socialista Unificat de Catalunya Unified Socialist Party of Catalonia
PCE        Partido Comunista de España (Communist Party of Spain)
PSOE     Partido Socialista Obrero Español (Spanish Socialist Workers' Party)

(Philip Bounds has written a very interesting book, Orwell and Marxism: The Political and Cultural Thinking of George Orwell, on Orwell's relationship to English Marxism. Bounds is primarily interested in the question of cultural studies, but he offers a great deal of information about the English Communist intellectuals whom Orwell studied and with whom he sometimes interacted in print.)

Wednesday, October 14, 2020

Theories of authoritarian personality

A key problem faced today by liberal democracies throughout the world is the fact that millions of citizens in those democracies seem to support parties and candidates who are fundamentally anti-democratic. The authoritarian tendencies of Prime Minister Modi of India, President Erdoğan of Turkey, and President Trump of the United States are evident in their speeches and their actions, in varying ways and degrees. And each of these national leaders is supported by millions of citizens in their countries, who apparently endorse and support their inclination towards authoritarian rule and the suppression of the rights of minorities and critics. What explains the willingness of ordinary citizens to support these populist strongmen in their open contempt for the norms, values, and institutions of constitutional democracy?

John Dean and Bob Altemeyer have offered a summary of a theory of authoritarian psychology that has long roots in the discipline of personality psychology, extending back to efforts by psychologists to understand popular support for fascism and Nazi dictatorship in the 1930s and 1940s. Their book Authoritarian Nightmare: Trump and His Followers summarizes these theories and offers a warning: Trumpism will survive the presidency of Donald Trump. They argue that a very large number of supporters of Trump's variety of populist authoritarianism score high on psychological measures for intolerance (racism, xenophobia) and support for authoritarian leaders, and that these psychological characteristics account for the fervent and unwavering support that the President gains from his base. In a word, many men and women in Trump's base continue to support him because they appreciate his impulses towards authoritarian language and action, and they approve of his apparent comfort with white supremacy and racism. Dean and Altemeyer propose a psychological theory of Trump's base and the base that supports other right-wing xenophobic populists in other countries as well: a certain percentage of citizens have been subject to social, cultural, and familial circumstances that enhanced features of intolerance, hierarchy, and authoritarianism in their personality structure, and these individuals constitute ready ground for supporters of xenophobic authoritarian populism. And, very importantly, Dean and Altemeyer were able to make use of a highly reputable survey research organization (the Monmouth University Polling Institute Survey, Autumn 2019) to measure personality characteristics of a sample of voters (link). The surveys found that Trump supporters do indeed show high levels of intolerance and prejudice, and high levels of authoritarian attitudes.

There is an extensive field of research on the topic of personality characteristics of "liberals" and "conservatives". Carney, Jost, Gosling, and Potter (2008) review this literature and current developments in the field (link). They affirm that there are persistent differences in the personality characteristics of conservatives and liberals, writing that:

We obtained consistent and converging evidence that personality differences between liberals and conservatives are robust, replicable, and behaviorally significant, especially with respect to social (vs. economic) dimensions of ideology. In general, liberals are more open-minded, creative, curious, and novelty seeking, whereas conservatives are more orderly, conventional, and better organized. (808)

And they quote an important conclusion by Jost et al. (2003) (link):

We regard political conservatism as an ideological belief system that is significantly (but not completely) related to motivational concerns having to do with the psychological management of uncertainty and fear.... Although resistance to change and support for inequality are conceptually distinguishable, we have argued that they are psychologically interrelated, in part because motives pertaining to uncertainty and threat are interrelated.... (814)

The analysis offered in Authoritarian Nightmare is based on two distinct psychometric measures developed by different traditions of social psychologists that have been used and refined over several decades. The first is a scale measuring "social dominance orientation" (SDO) and the second is a scale measuring "right-wing authoritarianism" (RWA). Social dominance orientation is the psychological characteristic of expecting and valuing inequalities of worth and status in society, manifest for example in racism, xenophobia, anti-Semitism, anti-homosexual attitudes, and anti-Muslim bigotry. The psychological characteristic identified in the measure of RWA is a willingness to accept a political system based on domination and one-person or one-party rule, without institutional protections of the rights of minorities.

Bob Altemeyer is a respected and accomplished academic psychologist who is one of the founders of RWA theory. He spent his career (in Canada) studying the emotional and motivational characteristics of authoritarian citizens, and was the author of Right-Wing Authoritarianism in 1986. Through his research Altemeyer developed an instrument for measuring an individual's propensity for authoritarian thoughts and actions. This is the RWA scale, and the method has received widespread adoption and use. Saunders and Ngo provide a brief explanation of Altemeyer's construction of the scale in "The Right-Wing Authoritarianism Scale" in Encyclopedia of Personality and Individual Differences (link).

The right-wing authoritarianism scale measures the degree to which people defer to established authorities, show aggression toward out-groups when authorities sanction that aggression, and support traditional values endorsed by authorities. (1)

Saunders and Ngo note that this line of research derived from studies of "the authoritarian personality" initiated by Adorno et al, The Authoritarian Personality (1950). Here is their summary of the RWA scale:

Right-wing authoritarianism, as currently measured by the RWA scale (Altemeyer 1981, 1988, 2006), is an individual difference variable that assesses attitudes concerning three covarying facets derived from Adorno et al.’s (1950) nine original dimensions: Authoritarian submission, authoritarian aggression, and conventionalism. In other words, RWA measures the degree to which people defer to established authorities (i.e., authoritarian submission), show aggression toward out-groups when authorities sanction that aggression (i.e., authoritarian aggression), and support traditional values, particularly those endorsed by authorities (i.e., conventionalism). (2)

The "social dominance orientation" (SDO) scale was introduced by James Sidanius and colleagues in the 1990s, and is presented in a research article entitled "Social dominance orientation: A personality variable predicting social and political attitudes" (Pratto, Sidanius, Stallworth, Malle, 1994; link). Here is the abstract to the article:

Social dominance orientation (SDO), one's degree of preference for inequality among social groups, is introduced. On the basis of social dominance theory, it is shown that (a) men are more social dominance-oriented than women, (b) high-SDO people seek hierarchy-enhancing professional roles and low-SDO people seek hierarchy-attenuating roles, (c) SDO was related to beliefs in a large number of social and political ideologies that support group-based hierarchy (e.g., meritocracy and racism) and to support for policies that have implications for intergroup relations (e.g., war, civil rights, and social programs), including new policies. SDO was distinguished from interpersonal dominance, conservatism, and authoritarianism. SDO was negatively correlated with empathy, tolerance, communality, and altruism. The ramifications of SDO in social context are discussed.

They explain the central idea of social dominance ideology in these terms:

The theory postulates that societies minimize group conflict by creating consensus on ideologies that promote the superiority of one group over others (see also Sidanius, Pratto, Martin, & Stallworth, 1991). Ideologies that promote or maintain group inequality are the tools that legitimize discrimination. To work smoothly, these ideologies must be widely accepted within a society, appearing as self-apparent truths; hence we call them hierarchy-legitimizing myth.... For example, the ideology of anti-Black racism has been instantiated in personal acts of discrimination, but also in institutional discrimination against African-Americans by banks, public transit authorities, schools, churches, marriage laws, and the penal system . (741)

Saunders and Ngo observe that the RWA scale and the SDO scale are often used together to predict the political affinities and behavior of different groups, and that the two measures are correlated with each other.

What appears to be left unexplained in the psychometric literature on the SDO and RWA measures is the developmental question: why do different individuals develop in such a way as to manifest important differences on each of these scales? Why do some individuals become intolerant and authoritarian adults, whereas other adults are tolerant and democratic? Are these two aspects of personality linked, or are they independent from each other? What facts of social context, family relations, education, and other social and political factors are most important for giving rise to the social psychology of social dominance and right-wing authoritarianism? The most plausible theory mentioned by Saunders and Ngo is a social-cognitive theory (motivated social cognition) derived from Jost, Glaser, Kruglanski, and Sulloway (link): "people adopt RWA attitudes to meet psychological needs such as the reduction of fear (i.e., existential needs), uncertainty and loss (i.e., epistemic needs), as well as meeting related needs for structure and cognitive closure." Jost et al summarize their approach in these terms in the abstract to this article: "Analyzing political conservatism as motivated social cognition integrates theories of personality (authoritarianism, dogmatism-intolerance of ambiguity), epistemic and existential needs (for closure, regulatory focus, terror management), and ideological rationalization (social dominance, system justification)." On this approach, conditions of insecurity, fear, and threat are thought to encourage the personality psychology of intolerance and authoritarianism. 

The developmental question is important, but the empirical fact is alarming enough: tens of millions of American citizens rank highly on both scales, and these individuals tend to support right-wing populists with xenophobic and racist inclinations. And the two scales are correlated. "In large adult and student samples, for example, right-wing authoritarianism positively predicts anti-Black prejudice and did so more strongly than several other correlates of prejudice" (Saunders and Ngo 2017:4).

In Deeply Divided: Racial Politics and Social Movements in Postwar America Doug McAdam and Karina Kloos make use of this body of theory and research in their analysis of the influence of racism within grassroots conservative movements in the United States, including the Tea Party movement. In particular, they make use of survey research to assess the level of Social Dominance Orientation in different voting groups.

Abamowitz’s analyses of the 2010 ANES data yield results that are very consistent with the Parker/Barreto findings. In particular, Abamowitz finds three variables to be especially strong predictors of attitudinal support for the Tea Party. Two of the three—“dislike of Obama” and “racial resentment”—essentially mirror the first two variables in the Parker/Barreto study. Abramowitz’s conclusion echoes that of Parker and Barreto: “these results clearly show that the rise of the Tea Party movement was a direct result of the growing racial and ideological polarization of the American electorate. The Tea Party drew its support very disproportionately from Republican identifiers who were white, conservative, and very upset about the presence of a black man in the White House.” Support for the Tea Party is thus decidedly not the same thing as conventional conservatism or traditional partisan identification with the Republican Party. Above all else, it is race and racism that runs through and links all three variables discussed here. Whatever else is motivating supporters, racial resentment must be seen as central to the Tea Party and, by extension, to the GOP as well in view of the movement’s significant influence within the party. (p. 353)

It seems, then, that researchers in personality psychology have developed theories and measurement tools that contribute to answering part of the anti-democratic populism puzzle. The prevalence in a significant percentage of citizens of the personality attributes of social dominance orientation and right-wing authoritarianism may explain the dramatic and surprising upsurge of support that anti-democratic populist politicians are able to draw upon. The difficult questions of "why now?", "why in this generation?" are as yet unanswered, though the cognitive theory of personality formation above may give the clue. The precariousness of certain parts of the populations in Western Europe and North America -- terrorism, fear of shifting demographic balance, fear of the consequences of globalization -- may be all it takes to trigger this toxic and intolerant form of personality in an extensive proportion of the population of these countries. This suggests that the theories of authoritarian personality at the individual level and political entrepreneurship at the political level -- in an environment of rapid change and perceived threats to various groups -- may go a long way to explaining the scope and depth of right-wing populism in liberal democracies today.


Friday, October 2, 2020

The moral emotions of liberal democracy

 

Recent discussions in a class on democracy and the politics of hate (link) have been very stimulating and thought provoking. We have spent several weeks discussing Rawls's ideas in Justice as Fairness: A Restatement (JF) about the features of social life in a just society that might serve to make a just democracy stable over time. Rawls explicitly raises the question of the stability of a just society -- the question of whether citizens within such a society develop the social psychology necessary to support its institutions. Do just institutions work to create the moral emotions in its citizens that are necessary to sustain those institutions? This question seems to have two parts. Will citizens acquire the motivation to act in accordance with the requirements of justice and the constitution? And will citizens acquire the motivation to actively defend the institutions of democracy when they are threatened? The first might be thought of as a fairly routine duty of reciprocity, whereas the second is more demanding.

Here is how Rawls raises the question of the stability of a just society:
The second part of the argument concerns the question of the stability of justice as fairness. This is the question whether justice as fairness is able to generate sufficient support for itself. The parties are to ask whether people who grow up in a society well ordered by the two principles of justice … acquire a sufficiently strong and effective sense of justice so that they normally comply with just arrangements and are not moved to act otherwise, say, by social envy and spite, or by a will to dominate or a tendency to submit. (JF 54.2)
Rawls does not believe this is inevitable, because a liberal democracy is committed to pluralism and a diversity of "comprehensive conceptions of the good." And some of those conceptions are fundamentally anti-democratic.

Given the actual comprehensive views existing in society, no matter what their content, there is plainly no guarantee that justice as fairness, or any reasonable conception for a democratic regime, can gain the support of an overlapping consensus and in that way underwrite the stability of its political institutions. Many doctrines are plainly incompatible with the values of democracy. (11.6)

But Rawls does believe that it is likely that a just society will create the basis for stability and continuing support by its citizens. Rawls's ideas of the citizen's sense of justice, the idea of an overlapping consensus, and the idea of a well-ordered society provide an embryonic theory of a political sociology for liberal democracy: citizens living in a society that they regard as just are likely (in Rawls's view) to gain a moral psychology of trust and loyalty that leads them to act in support of the institutions of liberal democracy. He appears to believe that the conditions of justice — equal liberties, fair system of economic cooperation, limited inequalities that work to everyone’s advantage — work to encourage a specific kind of “overlapping consensus”. And he believes that these social arrangements will be respected and adhered to because they are seen to be good for each individual and good for society. Finally, he believes that this will contribute to a social psychology of cohesion and political commitment that will make a just society with a secure liberal democracy a sociologically stable set of arrangements.

When they believe that institutions or social practices are just, or fair … citizens are ready and willing to do their part in those arrangements provided they have sufficient assurance that others will also do theirs. (59.1)

A well-ordered society is stable, then, because citizens are satisfied, all things considered, with the basic structure of their society. (60.4)

Thus Rawls seems to advance the idea that children who are raised within a well-ordered society in which the requirements of justice are largely satisfied will develop into adults who have a sense of justice and a motivated and reasoned willingness to support the institutions of this society. But this idea raises a number of difficult questions. Is this a plausible view? Is it partially true? Is it just wishful thinking? And is this "moral emotion" sufficient to create the level of active support that a liberal democracy needs in times of stress?

So far we have an argument for the emergence of a set of moral emotions that produce actions based on reciprocity -- compliance with institutions and laws that benefit us all. This is a limited view of what is needed to stabilize democracy in the face of anti-democratic attacks, however.

And what about the countervailing, anti-democratic emotions that are so evident today? Rawls refers to “special attitudes” like envy or spite that may interfere with the moral emotions supporting justice. But we must also consider special attitudes more specific to current concerns in a contested democracy: hatred, fear, mistrust, bigotry, and racism. These latter emotions are the building blocks of mobilization for social movements based on division and hate -- the politics of the extreme right, and current circumstances in the world make clear how much of a threat to liberal democracy these movements are. Do ordinary human beings have these motivations? And do they undermine the stability of justice? Is there an ongoing contest within a pluralistic society between the emotions of justice and the emotions of hate?

There is another question to pose as well: are the political motivations that Rawls postulates strong enough to ensure the stability of democracy in the presence of militant attack by the political organizations of the extreme right? Do the emotions of fair reciprocity suffice to defeat the aggressive and violent groups of white supremacists we now confront in our society? Stability of a constitutional democracy requires a willingness of citizens to extend themselves in its defense, to act altruistically in support of principle, and to make sacrifices for its preservation during times of crisis or stress. The journalist in Turkey who continues to publish her investigative reports even in the face of threats and coercion from the state or non-state actors is an example. It would seem, then, that the motivations needed in support of democratic citizenship go beyond a simple disposition to act according to the law and constitution, which might be described as "duties of reciprocity". There seems to be another aspect of the motivational relationship between an individual and the society in which he or she lives -- what we refer to as patriotism, love of country, or devotion to the constitution and political institutions of a just society. What are these motivations? How do they arise within citizens?

Abraham Lincoln's writings about democracy prior to the American Civil War evoke this question in particularly powerful ways. He captures effortlessly the idea of an individual's moral allegiance to country, to fellow citizens, and to the institutions that establish the environment of "equality and liberty for all". Especially memorable are the final lines of his first Inaugural Address in 1861:
I am loath to close. We are not enemies, but friends. We must not be enemies. Though passion may have strained, it must not break our bonds of affection. The mystic chords of memory, stretching from every battlefield, and patriot grave, to every living heart and hearthstone, all over this broad land, will yet swell the chorus of the Union, when again touched, as surely they will be, by the better angels of our nature.
These are powerful words, and what they evoke is important: the moral emotions of patriotism based on a reasoned recognition of the justice of the constitutional arrangements and values of one's country. This is not nationalism or an expression of ethnic loyalty; rather, it is an appeal to a powerful civil emotion -- the emotion of commitment to an existing constitutional order.

It is evident, then, that this topic requires significant empirical and theoretical research. What kinds of moral emotions are needed to sustain a liberal democracy? What is "democratic loyalty and patriotism", and how does it emerge as an active feature of the moral psychology of citizens within a democracy? What conditions are needed in society to lead to the cultivation and extension of these emotions? Will citizens nurtured within circumstances governed by the principles of justice acquire the motivations needed to sustain the institutions in which the principles of justice are embodied? When democracy is threatened, will its citizens come to its defense?