Tuesday, March 30, 2021

Compassion and the moral emotions (Nussbaum)

image: Philoctetes injured on Lemnos

How can the atrocities of the twentieth century lead to the creation of a better version of humanity? One theme to explore involves the moral emotion of compassion, and the idea that this is an emotion that human beings learn through experience and reflection. Crucially, we need to explore whether knowledge of history can help to inform the development of a culture of compassion. Both John Kekes and Susan Neiman provide some useful insights into the key question: how should a current generation engage with the history of the atrocities of the past century? Kekes contributes to this idea through his discussion of moral imagination, and Neiman contributes through her analysis of Rousseau's theory of the malleability of human nature.

The philosopher who has shed the most light on compassion is Martha Nussbaum. In "Compassion: The Basic Social Emotion" (link) she explores the importance that compassion and pity play in the moral ordering of human social life. (The subject is treated as well in Part II of Upheavals of Thought: The Intelligence of Emotions.) As the title suggests, Nussbaum regards compassion (or pity) as a prerequisite moral emotion for much of social life; and she believes that it must be learned. Moreover, literature, drama, and history can be crucial components of that learning.

Tragedy, as ancient Athenian culture saw it, is not for the very young; and it is not just for the young. Mature people always need to expand their experience and to reinforce their grasp on central ethical truths. To the young adolescent who is preparing to take a place in the city, however, tragedy has a special significance. Such a spectator is learning pity in the process. (39)

If we believe that the ability to imagine the ills of another with vivid sympathy is an important part of being a good person, then we will want to follow Rousseau in giving support to procedures by which this ability is taught. Much of this will and should be done privately, in families. But every society employs and teaches ideals of the citizen, and of good civic judgment, in many ways; and there are some concrete practical strategies that will in fact support an education in compassion. (50)

Nussbaum approaches the topic of pity or compassion through the story of Philoctetes, as related by Sophocles. She finds that Sophocles provides a nuanced and reflective demonstration of the emotion, within the context of a complicated social story. The value of literature in exploring moral concepts has been a strength of Nussbaum's approach to moral philosophy for a long time, and its use here is illuminating.

Nussbaum rejects the Humean view that emotions are the contrary of reason, knowledge, or deliberation; instead, she argues that at least some emotions, like pity and compassion, embrace both representation of the world and affective response to the world. Compassion is a crucial part of inter-personal knowledge: "compassion, in the philosophical tradition, is a central bridge between the individual and the community; it is conceived of as our species' way of hooking the interests of others to our own personal goods" (28). Further, "compassion is a certain sort of reasoning" (29). And "all compassion is "rational" in the descriptive sense in which that term is frequently used—that is, not merely impulsive, but involving thought or belief" (30-31).

Here is the analysis of pity or compassion that Nussbaum attributes to Aristotle:

Pity, Aristotle argues, is a painful emotion directed at another person's misfortune or suffering (Rhet. 1385bl3ff.). It requires and rests on three beliefs: (1) the belief that the suffering is serious rather than trivial; (2) the belief that the suffering was not caused primarily by the person's own culpable actions; and (3) the belief that the pitier's own possibilities are similar to those of the sufferer. Each of these seems to be necessary for the emotion, and they seem to be jointly sufficient. (31)

Nussbaum does not explicitly draw the connection between compassion and evil here that I believe is crucial -- in fact, she does not explicitly discuss "evil" in either of these works -- but the tie is straightforward. One fails utterly to understand the Holodomor or the killing pits of Poland or the Cathar Crusade if one fails to imagine the pain, suffering, and loss that each of these historical events involved, for millions of human beings. (Nussbaum refers to this particular form of moral blindness in her treatment of Emile in Upheavals; 322.) And, conversely, if one has a strongly developed capacity for the moral emotion of compassion, it is hard to see how he or she could consent to playing the role of an Eichmann or a Stangl. Here is a relevant comment by Nussbaum in the context of the dehumanization of the victims so often observed in the Holocaust and other instances of genocidal conduct:

This fact explains why so frequently those who wish to withhold pity and to teach others to do so portray the sufferers as altogether dissimilar in kind and in possibility. In The Destruction of the European Jews, Raul Hilberg shows how pervasively Nazi talk of Jews, in connection with their murder, portrayed them as nonhuman: either as beings of a remote animal kind, such as insects or vermin, or as inanimate objects, "cargo" to be transported. (35)

Nussbaum refers in Upheavals of Thought to other demeaning and dehumanizing mechanisms through which committers of atrocities reconcile their actions -- for example, by portraying the victims as unclean and disgusting. "Thus the Germans forged the will to carry out the atrocities"(Upheavals, 348).

To what extent are our moral sensibilities subject to growth, education, and development? Like Susan Neiman (link), Nussbaum draws a connection to Rousseau and his treatment of the emotion of pity in Emile. She finds that Rousseau's analysis of this moral emotion captures the fullness of reasoning and affect that she has described; and, crucially, she finds that Rousseau believes that compassion must be learned:

If Emile really does the cognitive work, if his imagination really contains the thoughts of pity, with all their evaluative material, in such a way that they become part of his cognitive makeup and his motivations for action, then he has pity whether he experiences this or that tug in his stomach or not. No such particular bodily feeling is necessary. To determine whether Emile has pity, we look for the evidence of a certain sort of thought and imagination, in what he says, and in what he does. (38)

And in Upheavals she returns to Rousseau:

I think that this, indeed, was Rousseau’s idea, when he said that Émile would learn compassion without hierarchy if his teacher taught him to focus on the common vulnerability of all human beings. “Thus from our weakness,” he concludes, “our fragile happiness is born.” Surrendering omnipotence is essential to compassion, and a broad compassion for one’s fellow citizens is essential to a decent society. (350)

Moreover, Nussbaum believes that the "teachability" of compassion is important: human beings and human cultures can improve their capacity for compassion through reflective experience.

If we believe that the ability to imagine the ills of another with vivid sympathy is an important part of being a good person, then we will want to follow Rousseau in giving support to procedures by which this ability is taught. Much of this will and should be done privately, in families. But every society employs and teaches ideals of the citizen, and of good civic judgment, in many ways; and there are some concrete practical strategies that will in fact support an education in compassion. (50)

Nussbaum believes that immersion in literature can assist with this learning. But I think she would agree with the idea that a close and honest reading of historians like Tim Snyder, Primo Levi, or Alexandr Solzhenitsyn can help with this form of moral development as well.

So several things seem clear. Compassion is crucial for recognizing the evil of the twentieth century; further, we can deepen our capacity for compassion by honestly confronting the atrocities of the period; and -- just possibly -- our future history will be better than our past because of this honesty. And Rousseau's comments about compassion in Emile suggest another possibility as well: that we become different people, and our culture becomes a different culture, through this kind of immersive experience.


Thursday, March 25, 2021

Organizational evil

image: IG Farben headquarters

A number of posts have confronted the historical realities of atrocities, genocide, and cruelty on a massive scale. The general question tying these discussions together has to do with individual human beings: "How could a normal human being with normal social emotions commit these atrocious acts?" And the individual question can be posed at a variety of levels of activity -- the "ordinary men" whom Christopher Browning considers in Ordinary Men: Reserve Police Battalion 101 and the Final Solution in Poland who directly killed thousands of men, women, and children; the mid-level commanders who did not themselves conduct the killings but ordered and organized them; the bureaucrats like Eichmann or Speer who oversaw the massive organizations needed to carry out mass genocide; and the dictators like Hitler and Stalin who deliberately ordered these actions. Concerning each of these men (and occasionally women) we can ask the question, "how could they have done this?". This is a good question, and one that needs serious and extended study.

But there is another dimension of the evil of genocide: the role that organizations play in carrying out mass acts of atrocity against the innocent. Armies, governments, corporations, religious orders -- organizations at many levels of scope were an essential part of the evils of the twentieth century. So it is important to ask the question of evil about organizations as well as about individuals; and the remedies we might consider are not likely to be the same. For example, it might have been effective in attempting to quell murderous ethnic cleansing in Bosnia to attempt to trigger the impulses of compassion, pity, and fellow feeling among the ordinary people whom Michael Mann describes in The Dark Side of Democracy: Explaining Ethnic Cleansing who were readily recruited into killing teams and paramilitary groups that carried out murderous ethnic cleansing of Muslim neighbors; but this strategy is patently impossible with regard to organizations. Organizations do not feel sympathy, pity, or fellow feeling; rather, they carry out the tasks that have been set for them without moral appraisal. Organizations aren't persons; there is no essential "humanity" in an organization. Organizations are more like machines than they are like individual human beings.

There is a field of research in organizational studies that is dedicated to the examination of "organizational evil," and much of the content of this field is represented in the very interesting and challenging book edited by Carole Jurkiewicz, The Foundations of Organizational Evil. Jurkiewicz describes the concept of organizational evil in these terms in chapter 1 of the volume:

“Organizational evil” is used here to signify the institutionalization of a set of principles whose purpose is knowingly to harm individuals, with disregard for consequences beyond those that would cause immediate repercussions to the evil-doer. Whereas unethical behavior is episodic and individualistic in nature, evil is systemic and embedded in the culture of the organization. Programs, policies, practices, reward systems, hiring and training, external and internal relations—all are designed with the intention to seek immediate advantage through the deliberate harm of others.

It is noteworthy that contributors to this field are somewhat beguiled by the analogy between individual human beings and "corporate individuals". This analogy shows up in several forms in the volume, including the application of Kohlberg's theory of stages of moral development and the application of individual-level theories of psychopathology and the Narcissistic Personality Inventory to organizations. Both analogies are put forward in Chapter 1. For example: 

While the original research was focused on the individual level, it can be extrapolated to the organizational level as well being that organizations are defined as legal persons, as addressed later in this chapter. (chapter 1)

This is a surprising lapse, given the reality that organizations are fundamentally different from individuals in their forms of intentionality, purposiveness, and normativity (link). In particular, the Kohlberg theory of stages of moral reasoning seems to have no real relevance to corporate "persons".

More convincing is the analysis that Jurkiewicz and Grossman give of the influence that organizations wield on the motivations, emotions, and behavior of the individuals who work within them. The "normalization" of killing documented by Christopher Browning is a relevant example: the validation by the organization and its leaders of the atrocious actions of killing the innocent offers participants part of the motivation needed to carry out their horrific tasks. Jurkiewicz and Grossman put the point in these terms:

As employees identify with the organization, a stable social system develops that perpetuates the culture while, at the same time, being defined by it. The stronger the culture, the more deeply employees share the value system, the greater the employee commitment, and the more willing employees are to submit to behavioral controls imposed by the organization. (chapter 1)

They also argue that, once established, a pattern of organizational imperatives to commit atrocities and compliance by subordinates creates a "leader-to-peer bonding" that makes further atrocity easier. They summarize this line of thought in these terms:


Organizational culture exerts powerful influence over individual behavior, because of both the reward structure and humans’ need to belong, but also significantly because the individual looks to those around him or her to determine what is right and what is wrong. (chapter 1)


Significantly, the authors emphasize that these dynamics can support "extreme evil" (killing squads) as well as more mundane forms of unethical organizational behavior (taking advantage of gullible elderly clients). 

In their contribution to the volume Guy Adams and Danny Balfour provide more detail about how organizations contribute to largescale evil-doing ("The Dynamics of Administrative Evil in Organizations"): 

What distinguishes administrative evil from other forms of evil is that its consequences are masked within the ethos of technical rationality. Ordinary people might simply be acting appropriately in their organizational role, just doing what is expected of them while participating in what a critical observer (usually well after the fact) would call evil. (chapter 2)
...

With diffuse and scattered information, literally no one in the organization might have a complete enough picture to adequately comprehend the destructive activity to try to reverse course. Those who have enough of a picture to perceive that something is wrong might well assume that higher management must be aware of the problem and has chosen to do nothing about it. (chapter 2)
...

While the psychological incentive to deny and cover up are clearly powerful, individuals in the organization have made a fundamental shift at the turning point from engaging in harmful or evil activities unknowingly to doing so knowingly. This has been termed the “evil turn” (Darley, 1996). It is evident that the incentives to cover up are socially powerful, if not indeed overwhelming, because it is widely known that a cover-up is highly unlikely to succeed and often results in the complete disclosure of the harmful or evil activities. (chapter 2)

These points all concern the social psychology, incentives, and motivation that exist for participants within an organization. 


As compliance accounts of human behavior suggest, social structures and organizational roles are far more powerful in shaping our behavior than we typically think. Within a culture of technical rationality, a model of professionalism that drives out ethics and moral reasoning offers all too fertile soil for administrative evil to emerge. (chapter 2)


But these authors do not appear to address the most fundamental question: are there features of organizations themselves that facilitate and encourage evil actions and policies in the world, quite apart from the intentions of the leaders of the organization? Are there organizational tendencies or dynamics that facilitate the capture of an organization by individuals or groups for evil purposes? Do evil-doers create organizations, or do organizations create evil-doers?

These points raise a number of important unanswered questions about organizations and the doing of evil. Do organizations sometimes create novel evils, or are they simply inexact tools for the goals of evil leaders and executives -- transmission belts rather than motors? Do organizations amplify the willingness of individuals to engage in atrocious actions, or are they merely one relatively small source of influence on individual behavior? Does "organizational behavior" amount to more than an application of the Milgram results or the Stanford Prison Experiment results about the ways in which individual behavior is influenced by peers and authority figures (link)? Can we be at all precise about the role that organizations played in the carrying out of the Holocaust or the Holodomor? What is the connection between ordinary organizational functioning and the "banality of evil"? Are all organizations vulnerable to evil-doing, on a small scale or a large scale?

(See earlier posts on organizational culture and corruption for relevant material from Edgar Schein, Robert Klitgaard, and David Hess.)

Saturday, March 20, 2021

The Antikythera mechanism


When we think about scientific and technological knowledge in the ancient world, one generally thinks of philosophy and a little bit of pre-scientific musing about the nature of reality. Water? Fire? Flux? The ancient Greeks had knowledge of mathematics and geometry, of course, and a certain level of descriptive astronomy. But nothing really surprising; their scientific and mathematical achievements were limited. Or so it seems. But take a look at this description of the Antikythera mechanism (link), the scientific paper by a research team at University College London (link), and the associated Vimeo video (link), and you'll feel a jolt of paradigm shift about your assumptions about science and technology in the ancient world. This machine, dating from the second century BCE and discovered by sponge divers in the Mediterranean in 1901, was a corroded and incomplete group of fragments (one-third of the complete mechanism), and astonishingly enough, its workings have been decyphered and reconstructed. It is a geared device permitting the modeling and prediction of the motions of the five known planets, the moon, and the sun. Given that it represented the planetary bodies from the perspective of earth (geocentric model), the motions of the planets were complex and seemingly a bit chaotic. And the device itself is amazingly complex, embodying a layered set of gears with tooth counts permitting representation of the movements of the celestial objects. It was a complex and accurate analog computing device -- from a civilization that flourished 2,200 years ago.

credit: Lin and Yan, Decoding the Mechanisms of Antikythera Astronomical Device (Springer 2016, p. 56)

The journey of research that has permitted decyphering the machine is remarkable enough. (The video tells much of that story.) But even more eye-opening is the completely novel insight the reconstruction offers into Greek astronomical mathematics, engineering sophistication, and (as-yet unknown) fabrication capabilities. Metallurgy, gearing, delicate assembly, remarkable design -- the device is an amazing achievement demonstrating a background of advanced mathematical and technical expertise, and yet one that does not seem to have clear antecedents in the history of Greek science and engineering. So the discovery and reconstruction of the Antikythera mechanism seems roughly as surprising as it would be to find evidence of a network of electrical communication devices in an excavation of a medieval Frankish village: entirely at odds with our current understanding of the levels of scientific, technical, and engineering knowledge available in the time period.


The device cannot have been the result of a single "genius" inventor (e.g. Archimedes); its design and fabrication plainly required an infrastructure. And yet there are no other known artifacts from the ancient Greek Hellenic world with this level of sophistication. Parmenides comes into the mathematics of the device, and the mathematics of prime factors is crucial for the movements of the gears. A related device, the astrolabe, was invented and fabricated in the ancient Greek world in the second century BCE, which embodied a similar and fairly precise knowledge of planetary movements, but is orders of magnitude less complex. 

There is a great deal of useful background information on the device in Lin and Yan, Decoding the Mechanisms of Antikythera Astronomical Device (Springer, 2016). They summarize the possible history of this device in these terms:

It is confident that the device was not made by Archimedes, but might come from Syracuse in Sicily, the Corinthian colony where Archimedes had devised a planetarium in the third-century BC. Furthermore, it is speculative that the craftsmanship for making Antikythera device might be a heritage of manufacturing technique that originated with Archimedes in Syracuse. However, this attractive idea is waiting for proving. (57)

Lin and Yan also quote two passages from Cicero (d. 43 BCE) which appear to describe a mechanical device with similar functionality. The device described by Cicero is not the same design, however, because the text appears to make clear that the device is spherical in shape. Cicero lived roughly a century after the presumed date of the Antikythera mechanism invention.

Philus: ... Listening one day to the recital of a similar prodigy, in the house of Marcellus, who had been his colleague in the consulship; he asked to see a celestial globe, which Marcellus’s grandfather had saved after the capture of Syracuse, from this magnificent and opulent city, without bringing home any other memorial of so great a victory. I had often heard this celestial globe or sphere mentioned on account of the great fame of Archimedes. Its appearance, however, did not seem to me particularly striking. There is another, more elegant in form, and more generally known, moulded by the same Archimedes, and deposited by the same Marcellus, in the Temple of Virtue at Rome. But as soon as Gallus had began to explain, by his sublime science, the composition of this machine, I felt that the Sicilian geometrician must have possessed a genius superior to any thing we usually conceive to belong to our nature. Gallus assured us, that the solid and compact globe, was a very ancient invention, and that the first model of it had been presented by Thales of Miletus. That afterwards Eudoxus of Cnidus, a disciple of Plato, had traced on its surface the stars that appear in the sky, and that many years subsequent, borrowing from Eudoxus this beautiful design and representation, Aratus had illustrated them in his verses, not by any science of astronomy, but the ornament of poetic description. He added, that the figure of the sphere, which displayed the motions of the Sun and Moon, and the five planets, or wandering stars, could not be represented by the primitive solid globe. And that in this, the invention of Archimedes was admirable, because he had calculated how a single revolution should maintain unequal and diversified progressions in dissimilar motions. In fact, when Gallus moved this sphere or planetarium, we observed the Moon distanced the Sun as many degrees by a turn of the wheel in the machine, as she does in so many days in the heavens. From whence it resulted, that the progress of the Sun was marked as in the heavens, and that the Moon touched the point where she is obscured by the earth’s shadow at the instant the Sun appears above the horizon. (Cicero, De republica)

It is not easy to find detailed histories of science and technology for the ancient world. (Where is Needham when we need him?) What appears to be the most important book available on the history of engineering in the ancient Greek world is J. G. Handels, Engineering in the Ancient World, Revised Edition. Here are the topics contained in the revised edition from 2002:

  • Power and energy sources
  • Water supplies and engineering
  • Water pumps
  • Cranes and hoists
  • Catapults
  • Ships and sea transport
  • Land transport
  • Progress of theoretical knowledge
There is no mention in this book of small gauge gearing, metallurgy, or clocks. The astrolab is not mentioned in the book either. Though gears and gear boxes appear in the index, these references appear to have to do with crude largescale applications in cranes or catapults rather than the fine small-gauge gearing required for clockwork or devices like the Antikythera mechanism.

The fascinating reconstruction of the Antikythera mechanism seems to have important implications for the telling of ancient history and philosophy: it would appear unavoidable that there were forms of knowledge and technique in the ancient Hellenic world that permitted the design and fabrication of remarkably complex and sophisticated mechanisms; and the mechanism itself reflected a sophisticated mathematical understanding of the movements of the planets. Science, astronomy, metallurgy, engineering, and techniques of metal working and fabrication appear to have been substantially more advanced than currently believed. And this in turn underlines a point that great historians have probably always understood: that the past is more complicated, more multi-faceted, and more surprising than we currently know.

(Here is a model of the mechanism created in 2005 by Michael Wright; link. And here is a very interesting lecture by Jo Marchant at Darwin College, Cambridge, on the same version of the mechanism (link). Note that the most recent model differs significantly from the 2005 model in its use of moving rings rather than pointers on the front face.)



Friday, March 12, 2021

Evil and the history of philosophy (Neiman)


As recent posts suggest, I am interested in finding appropriate ways of rethinking the philosophy of history so as to provide us with greater ability to confront the evils of the twentieth century. This involves some concrete questions about how we as human beings define ourselves in the world, in light of the histories our predecessors and contemporaries have created. How should human beings of the twenty-first century relate to the evil events of the twentieth century? And how can humanity grow from confronting this history honestly? I hope to address these questions through the idea that human beings can learn compassion and evil from history, and we human beings can change as a result. The idea is that reflecting upon the history of the Holocaust or the Holodomor seriously and honestly has the potential of changing our natures, making these crimes less likely in the future. 

Susan Neiman offers an abstract and philosophical treatment of evil in Evil in Modern Thought: An Alternative History of Philosophy (2002). (Fred Rush provides a highly thoughtful and detailed review of the book here.) Neiman describes her goals in the book in these terms:

This book traces changes that have occurred in our understanding of the self and its place in the world from the early Enlightenment to the late twentieth century. Taking intellectual reactions to Lisbon and Auschwitz as central poles of inquiry is a way of locating the beginning and end of the modern. (introduction)

The subtitle of her book is meaningful: "an alternative history of philosophy". She wants to understand how philosophy changed its content by progressing from making sense of the Lisbon earthquake to making sense of the Holocaust. Plainly, her book is more about how philosophers have reacted to "evil" events in general terms, and less about the nature of those events themselves, or their perpetrators. (Indeed, there was no human perpetrator in the Lisbon earthquake.) Like John Kekes (link), she rejects the idea that the problem of evil is largely an issue for theology. But her interest is in philosophy, and how philosophers have conceptualized evil. "My interest is, rather, to explore what changes in our understanding of the problem of evil reveal about changes in our understanding of ourselves, and of our place in the world" (kl 264). And she proposes a novel way of classifying philosophers in the history of philosophy -- not as rationalist vs. empiricist, and not primarily driven by epistemology and skepticism; but rather over their fundamental positions on the moral nature of the world: "is there another, better, truer order than the one we experience, or are the facts with which our senses confront us all that there is? Is reality exhausted by what is, or does it leave room for all that could be?" (kl 264). With this way of sorting philosophical approaches, Neiman finds justification in holding that the evolution of western philosophy is driven by the fact of indigestible evil in the world.

Here are the main premises of her argument:

1. Eighteenth- and nineteenth-century philosophy was guided by the problem of evil.
2. The problem of evil can be expressed in theological or secular terms, but it is fundamentally a problem about the intelligibility of the world as a whole.
3. The distinction between natural and moral evils is itself a historical one that developed in the course of the debate.
4. Two kinds of standpoint can be traced from the early Enlightenment to the present day, regardless of what sort of evil is in question, and each is guided more by ethical than by epistemological concerns. (introduction. kl 199)

Here is a fairly concise statement of her view of the relationship between the projects of European philosophy and evil:

Since I do not think an intrinsic property of evil can be defined, I am, rather, concerned with tracing what evil does to us. If designating something as evil is a way of marking the fact that it shatters our trust in the world, it’s that effect, more than the cause, which I want to examine. It should follow that I have even less intention of solving the problem of evil than I do of defining evil itself. My interest is, rather, to explore what changes in our understanding of the problem of evil reveal about changes in our understanding of ourselves, and of our place in the world. (kl 244)

I have called this an alternative history of philosophy because its aims are as different as its style and methods. One aim, in the felicitous expression of an anonymous reader, is to reorient the discipline to the real roots of philosophical questioning. I am grateful for the metaphor, which allows me to argue that, in some form or other, the problem of evil is the root from which modern philosophy springs. Once brought to life, philosophical discourse can grow on its own, and its branches may extend or tangle in all directions. Thus entire schools of thought could develop that have little to do with the questions raised here. (kl 290)

Though her primary interest is in developing the "alternative history of philosophy" that she presents, Neiman offers a view of the Holocaust and Auschwitz at a number of points in the book. She describes the atrocities of Auschwitz and Nazi extermination policies:

What occurred in Nazi death camps was so absolutely evil that, like no other event in human history, it defies human capacities for understanding. (kl 118)

Auschwitz, by contrast, stands for all that is meant when we use the word evil today: absolute wrongdoing that leaves no room for account or expiation. (kl 154)

And she provides an extended discussion of Arendt's treatment of Eichmann in the final portion of the book.

But even here, her interest is less about "what happened?" and "how should we make sense of this episode of human history?" than about how twentieth-century philosophers sought to incorporate this specific and complex evil into their moral reckonings of the world -- the "metaphysics" of evil rather than its practical importance in how we conceive of our lives. So it is fair to ask whether Neiman's approach has much to contribute to these more the more concrete and experiential questions outlined above. But interestingly enough, Neiman's book does have something to say about this idea. Specifically, Neiman's treatment of Rousseau emphasizes Rousseau's view of the malleability of human nature and emotions such as compassion. Neiman holds that this is a crucial part of Rousseau's approach to the situation of evil in the world as well; in fact, she maintains that it is the feature of Rousseau's philosophy that made him the "Newton" of the mind, according to Kant.

For Rousseau, both the problem of evil and its solution depend on the idea that evil developed over time. This assumes, in turn, that human beings develop over time, both as species and individual beings. Human nature has been altered.... For Rousseau, by contrast, human nature itself has a history. Our choices affect it.

History is the right kind of category to introduce because it enables us to understand the world and gives us hope for changing it. History leaves space between necessity and accident, making actions intelligible without being determined. If the introduction of evil was necessary, we can be saved only by a miracle. If it was an accident, then the world, where it matters, makes no sense. History, by contrast, is dynamic. If evil was introduced into the world, then it might also be eradicated—as long as its development is not fundamentally mysterious. After Rousseau, we need not deny the reality of evil. We can, rather, incorporate it into a world whose intelligibility is expanding. Exploring evil as historical phenomenon becomes part of our efforts to make the world more comprehensible in theory, and more acceptable in practice. (kl 862)

These are suggestive ideas for the experiential questions, because they point to the fundamental malleability of human culture and morality. Human nature and history are reciprocally intertwined. And this in turn suggests the possibility of the kind of "self-positing" and learning from history that seems most relevant to the approach to evil I want to take when it comes to bringing historical understanding into productive conversation with the extreme evils and atrocities of the twentieth-century.

It is clear that Evil in Modern Thought presents a radical thesis in intellectual history. Neiman argues that philosophers have quite fundamentally misunderstood the driving questions of their traditions: not epistemology, not metaphysics, but theodicy; not the question of how we know about our position in the natural world, or what is the nature of the world we inhabit; but rather, how can nature, humanity, and a benevolent god conspire to create such vast and incomprehensible suffering? Is this reorientation convincing? I find her arguments interesting and thought-provoking, but ultimately unconvincing. Her position is unconvincing, most fundamentally, because it is categorical. Neiman suggests an "either-or" interpretation of the driving questions of philosophy. This seems in the end to be too simple to accommodate the patchwork and plurality of questions, themes, and frameworks that have stimulated the development of various tributaries of European traditions in philosophy. 

More narrowly, Neiman's point of view is only glancingly relevant to the most pressing question: how should we as human beings respond and change as a result of honest encounter with the facts of the Holocaust, Holodomor, genocide, torture, and enslavement? Here is an allegorical effort to begin to answer this question through an act of imagination (link). And here is a discussion of literary efforts by veterans of the Great War to make sense of their experiences through poetry and narrative (link).

Monday, March 8, 2021

Wickham on "feudalism"


Chris Wickham is perhaps Britain’s leading historian of European history between the end of the Roman Empire and the Renaissance. His two books, The Inheritance of Rome: Illuminating the Dark Ages 400-1000 (2009) and Medieval Europe (2016), are rich and intriguing accounts of the heterogeneous and diverse histories that the period encompasses.

One topic in particular that is of interest to anyone with even a passing interest in medieval social history is the question of “feudalism”. Marx treated feudalism as the central social formation, the mode of production, of the Middle Ages. In the following century Marc Bloch’s historical writings were primarily focused on “feudalism”, including both the political arrangements of the system and the agrarian relations that the period embraced. Here is Bloch's 1940 characterization of feudalism:

A subject peasantry; widespread use of the service tenement (i.e. the fief) instead of a salary, which was out of the question; the supremacy of a class of specialized warriors; ties of obedience and protection which bind man to man and, within the warrior class, assume the distinctive form called vassalage; fragmentation of authority—leading inevitably to dis-order; and, in the midst of all this, the survival of other forms of association, family and State, of which the latter, during the second feudal age, was to acquire renewed strength—such then seem to be the fundamental features of European feudalism. (Bloch, Feudal Society v. II: Social Classes and Political Organisation, kl 4413)

And here is Perry Anderson's neo-Marxist summary description of the "feudal mode of production" in his 1974 Passages from Antiquity to Feudalism:

The feudal mode of production that emerged in Western Europe was characterized by a complex unity. Traditional definitions of it have often rendered this partially, with the result that it has become difficult to construct any account of the dynamic of feudal development. It was a mode of production dominated by the land and a natural economy, in which neither labour nor the products of labour were commodities. The immediate producer – the peasant – was united to the means of production – the soil – by a specific social relationship. The literal formula of this relationship was provided by the legal definition of serfdom glebae adscripti or bound to the earth: serfs had juridically restricted mobility. The peasants who occupied and tilled the land were not its owners. Agrarian property was privately controlled by a class of feudal lords, who extracted a surplus from the peasants by politico-legal relations of compulsion. This extra-economic coercion, taking the form of labour services, rents in kind or customary dues owed to the individual lord by the peasant, was exercised both on the manorial demesne attached directly to the person of the lord, and on the strip tenancies or virgates cultivated by the peasant. Its necessary result was a juridical amalgamation of economic exploitation with political authority. The peasant was subject to the jurisdiction of his lord. At the same time, the property rights of the lord over his land were typically of degree only: he was invested in them by a superior or noble (or nobles), to whom he would owe knight-service – provision of a military effective in time of war. His estates were, in other words, held as a fief. The liege lord in his turn would often be the vassal of a feudal superior, and the chain of such dependent tenures linked to military service would extend upwards to the highest peak of the system – in most cases, a monarch – of whom all land could in the ultimate instance be in principle the eminent domain. Typical intermediary links of such a feudal hierarchy in the early mediaeval epoch, between simple lordship and suzerain monarchy, were the castellany, barony, county or principality. The consequence of such a system was that political sovereignty was never focused in a single centre. The functions of the State were disintegrated in a vertical allocation downwards, at each level of which political and economic relations were, on the other hand, integrated. This parcellization of sovereignty was constitutive of the whole feudal mode of production. (147-148)

This tradition, from Marx through Bloch and Anderson, describes feudalism as a system that pervaded western Europe and depended upon bonded labor and a system of disaggregated political and military power. It is very interesting, therefore, that Wickham is reluctant about the concept of “feudalism” altogether. In The Inheritance of Rome he refers to the “feudal revolution”, but always in quotation marks and usually in reference to the academic debate with that label. (Bisson's "Feudal Revolution" is a landmark for this debate; link.) Markham is somewhat more willing to use the term “feudal” in Medieval Europe without quote marks, but retains his skepticism about the concept. He distinctly does not regard the “European socio-economic-political world” as a unified system at all; rather, he sees a great deal of variation, local varieties, and different dynamics. Here is the idea that provides the key foundation of his skepticism: he insists on the heterogeneity of historical experience, social arrangements, and political regimes that existed across the expanse of territory encompassed by the map of western Eurasia.


Rather than looking for a single all-embracing concept of the "social and political system of the medieval period", Markham insists on recognizing the diversity of arrangements found throughout the period, and the parallel importance of detailed historical investigation of various sub-regions. Franks, Magyars, Bulgars, Visigoths, Vandals, Lombards, Danes, Khazars, Anglo-Saxons, and Andalusian Muslims -- the populations of various regions of Europe possessed their own histories and social arrangements, with influences flowing in all directions over time. Attempting to capture the social system of much of this map in terms of an abstract concept of "feudalism" is an error of historiography. There are commonalities across the regions and populations of the face of Europe, created by the fundamental existential circumstances of life in an environment with limited technology, communication, and travel. But the problems of material life, and the political and coercive arrangements through which groups of people were coordinated and controlled, varied across time and space. This critique can be put in terms of Weber's idea of ideal types as well (link): the concept of feudalism is an ideal type, that accentuates some features of the social order and minimizes others, in order to capture a broad social reality in a compact description. But for Wickham the historian, this attempt is wrong-headed. We do not gain anything of intellectual value by asserting that rural England, Saxony, and the territory of the Khazars were all "feudal" in their fundamental social relations. 

Let's look a little more closely at Markham's account in the two books. A key idea in traditional conceptions of feudalism is the idea of “infeudation”, or the dispersal of authority, power, landed property, and military authority. Wickham introduces a number of novel ideas for describing the structure of medieval society, including especially cellularization, capillarization, and networks. In The Inheritance of Rome he introduced the idea of “cellularization” as a way of describing the social, economic, and political structure of medieval Europe. He attributes the concept to historian Robert Fossier (Enfance de l'Europe. Aspects économiques et sociaux. Tome 1: L'homme et son espace). The vocabulary of cellurization is used only twice in Inheritance, but it is used frequently in Medieval Europe. Here are a few examples from the latter book:

It [decentralized social life] marks a fundamental difference between the political systems of the early middle ages and those of later centuries, in which the public sphere had to be recreated, and always coexisted with a cellular structure of locally based powers, as we shall see in later chapters. (pp. 145-146). 

The French peasantry were increasingly caged inside the cellular structure of local power, and subjected, on top of rents, to lordly exactions which were often heavy, sometimes arbitrary, and always designed to underpin direct domination. (p. 180). 

Conversely, the weakening of the public framing for politics forced local powers to become better defined, creating the cellular structure of the future. And both of these developments fit what Marc Bloch meant by the ‘fragmentation of powers’: they were an always-possible consequence of the politics of land, in a world where the state was not separately supported by taxation. (pp. 180-181)

State-building was by now based on different, cellular, units: the newly legal, although of course highly exploitative, local lordships, large or small, of the eleventh century – to which we can now add the urban and rural communities of the twelfth, which gained their own autonomy, where they could, inside and against these lordships; and also dioceses, the cells of the international papal network. (p. 248)

The key implication of the language of "cellularization" in application to medieval society is the idea of extreme localization of most social, political, and economic activities. A cellular organism (in biology) is one that accomplishes its key metabolic activities based on processes under its immediate control -- bacteria, fungi, and molds, for example. A complex multicellular organism is one that embodies a functional system of interdependence between different parts of the organism; a division of labor between different organs; and a complex system through which the metabolic needs of each cell in the organism are satisfied as a result of the activities and products of distant parts of the organism. Analogously for the social case: a large-scale non-cellular distributed social system depends upon a regional division of labor, a more or less well developed system of trade, communication, and transport, and a degree of central coordination of activities. By describing large swaths of medieval society as "cellular", Markham is asserting autarky, self-sufficiency, and extremely limited trade for large parts of the territory of the region. Subsistence farming and handicraft production define the fundamental material terms of existence in such a world. The "cells" in this construction are not households or hamlets, but may be as large as minor lordships controlling a radius of a few dozen kilometers. But the structure is cellular nonetheless, because there is little connection among these units within the broader region.

Another term that Markham uses frequently is the idea of “capillarization” of revenues and power. For example —

The Lombard kings did not tax, after the first couple of generations of their rule at least. They operated entirely in the framework of a political practice based on land. But inside that framework, their hegemony was very great, and unusually detailed: their capillary power arguably extended to much more modest levels of society than the Frankish or Visigothic kings achieved. (146)

The state was much weaker in the post-Roman world, and one would not expect much of a tax-based movement of goods; an equivalent might be the movement of rents from one estate-centre to another, to feed landowners and kings who were located elsewhere, but the evidence we have for exchange, even in the relatively localized early Middle Ages, seems more capillary than that for the most part. (222)

That local lords in some cases were rising, militarized, families from the same community, former village-level medium owners or even former rich peasants (above, Chapter 21), did not make things any better; such families had a local knowledge that made domination easier, and also often had capillary hierarchical links with their neighbours or former neighbours, in the form of patron and client as well as landlord and tenant. (540)

This is a suggestive metaphor that evokes the minute subdivision of relationships through the social landscape. Capillarization in biology refers to the circulatory system of mammals and other orders; the capillaries are the very small blood vessels that proliferate through tissue and lungs to deliver nutrients and oxygen and remove waste products. So the key idea is "proliferation of a broadening network of channels". In the circulatory context, the fluid moves in a complete circuit -- traveling from the heart to tissue and returning. Here is a diagram:



In applying the idea of capillarization to the medieval social world, it is not entirely clear that the processes in question are circulatory (out-bound and in-bound). Rather, it seems that Wickham has in mind an extractive capillary system, in which a central fiscal power has established channels through which taxes or labor services flow from periphery to center. (This description does not imply that the power in question is "king"; it may be a regional lord controlling an extended territory.) On this view, the system will look more like the branching network of the roots of a tree:


On either scenario, the meaning of capillarization is reasonably clear: it involves the proliferation of channels of influence permitting the flow of taxes and products from local to regional places (the tree-root system) or possibly a roundtrip flow of services from the center to periphery and a return trip conveying taxes and labor services from periphery to center. We might say, then, that a "capillarized" rural society is no longer cellular; rather, it is interpenetrated by a system of circulation or extraction that succeeds in delivering products, ideas, or commands from a "center" to "periphery" and return.

Finally, Wickham often analyzes rural society — and occasionally town and city society — in terms of the networks of activity that can be discerned at the distance of a thousand years. Sometimes he applies this idea in terms of “social networks” — groups of individuals connected by family, loyalty, friendship, etc. — who are then able to call upon each other in times of need for collaboration or completion. Sometimes the networks that he describes are defined in terms of information flows — the flow of ideas through the Christian church establishment across a territory. A third application has to do with trade and market relationships, both nearby and distant.

The motor of exchange before 800 was, broadly, aristocratic wealth and buying-power; the richer élites were, the more they were able to sustain large-scale networks of production and distribution. (550)

These ideas are suggestive. But do they enable a significantly different view of the economic and political structure of feudal society — or do these terms simply provide a different vocabulary for describing the system that is familiar from Bloch? We might say that these concepts differ from traditional concepts of feudalism -- even as they aim to capture similar social characteristics -- in virtue of their abstraction. The concept of "infeudation" used by Marx and Bloch is inseparable from other specific assumptions about military subordination among lords, the lack of power of rural producers, and the nature of central political or monarchical power. The concepts of cellularization, capillarization, and a networked regional society are neutral about the nature of the power relations that sustain these social relations among individuals and communities. They serve to describe the "topology" of economics and power in the circumstances of the natural and technological environment of the period in Eurasia between 500 CE and 1500 CE without making specific assumptions about the legal instantiations of these relationships. 

In an unexpected way, Wickham's use of these concepts might be seen as a more abstract theoretical application of the most fundamental ideas of historical materialism articulated by Marx. The argument goes something like this: Human beings in X region in the eighth century find themselves in small nucleated settlements with very little ability to communicate or transport goods or people to places more than 25 kilometers distant. They satisfy their needs by farming and handicraft, and they cultivate for the purpose of consumption. (They are thus "cellularized".) More distant powerful figures ("lords in waiting") have an interest in gaining access to some of their crops. These figures gain coercive ability (armed groups) capable of extracting tribute (rent, taxes, tribute, gifts) from peasant communities. The hamlets become "cellularized": multiple hamlets are drawn into extractive relationships with more distant bosses who dominate them. Land and peasant labor are the primary sources of wealth; so the lords compete over territory and the right to extract from their "dominions". Cellularization and the growth of capillaries and networks are then comprehensible results rather than simply being the embodiments of "infeudation". 

(It would be very interesting to consider the passage from Perry Anderson quoted above and construct a sentence-by-sentence analysis and critique based on Wickham's historical accounts of Eurasian developments during the centuries considered. This would establish fairly precisely the ways in which Wickham's account differs from traditional accounts of "feudalism".)

Monday, March 1, 2021

Thinking about evil in history (Kekes)


I am currently grappling with how to bring the horrendous events of the twentieth century into the philosophy of history. After doing a lot of reading about recent thinking about the Holocaust (link), it seems clear that we still have failed to fully comprehend the atrocities of the Nazi period, Stalinist rule before and after World War II, and many other episodes of genocide, mass murder, and enslavement in the past century. Only the idea of radical evil seems to remotely capture these historical atrocities. I've added two sections to my article on the philosophy of history in the Stanford Encyclopedia of Philosophy to address this set of problems; link. But these lines only serve to introduce the subject; much more remains to be done.

The "problem of evil" has a long history of discussion and debate in theology and in philosophy. However, the perspective I take on atrocities is entirely secular and non-religious, so theological debates are not relevant to my analysis. And much philosophical discussion of the topic of evil occurs at a highly abstract and conceptual level, which is likewise not very helpful to my topic. However, a recent book in philosophy that I have found useful is John Kekes' The Roots of Evil (2007).

Kekes' book is interesting for three primary reasons. First, he provides six case studies of evil events in history, for which he provides fairly extensive historical detail. Second, he focuses the problem on the question of "why" the perpetrators did what they did. And third, he attempts to present and refute a handful of existing theories of evil actions, all of which he finds wanting.

Kekes offers a precise working definition of what he means by "evil", a definition that separates it from a religious or theological context. He argues that the idea comes down to three necessary and jointly sufficient conditions:

The evil of an action, therefore, consists in the combination of three components: the malevolent motivation of evildoers; the serious, excessive harm caused by their actions; and the lack of morally acceptable excuse for the actions. (2)

(Parenthetically -- I'm generally unpersuaded by overly precise definitions offered by philosophers. Most interesting concepts don't have "necessary and sufficient conditions" that define and exhaust their meaning. And that seems true in the case of the concept of evil as well. The working definition that I prefer is less precise: “cruelty on a massive scale, including systematic torture, murder, starvation, and enslavement of ordinary, innocent human beings”.)

The cases of atrocity that Kekes presents make for hard reading, because they involve horrific cruelty and human suffering. But, of course, this is why they represent evil. Here are the cases that he presents:
  • The Cathar Crusade (1200)
  • The Terror conducted by Robespierre during the French Revolution (1792)
  • The actions of Franz Stangl, Kommandant of Treblinka
  • The Manson family murders of Sharon Tate and others
  • The "dirty war" conducted by the Argentinean army, navy, and air force
  • The psychopathic violence of convicted murderer John Allen
These cases give Kekes' discussion a specificity and detail that is often lacking in philosophical discussions of evil.

Kekes focuses on the psychological causes of evil-doing -- psychological propensities and motivations:

My aim is to provide a causal explanation of why evildoers do evil. There are excellent recent works giving historical accounts of past explanations, but they are relevant to my aim only insofar as they contribute to the right explanation or illustrate mistakes. The facts I appeal to are psychological propensities familiar to normally intelligent people, not the fruits of research or deep reflection. Common knowledge of them makes it possible for novelists, playwrights, biographers, and historians to write about the character, motivation, and actions of people at places and times other than their own and feel confident about being understood. I have in mind such propensities as desiring a meaningful life, needing to be loved, having conflicting motives, deceiving oneself, wanting to appear other than one is, being ignorant of some of one’s motives, resenting injustice, embellishing the past, fearing the unknown, minding defeat, caring about the opinion of others, and so forth. These propensities are commonplaces of human psychology, but they also have moral significance. (7-8)

He considers a handful of theories of the psychological basis of evil actions, which he finds inadequate. And he considers the theological and quasi-theological theories that have been offered in the past -- e.g. "the world is an inherently good place" -- which he rejects. In place of these traditional theories he offers his own "mixed and multicausal" theory of evil actions:

The explanation of evil has the following general characteristics: it is
  • mixed because it involves the combination of internal-active, internal-passive, external-active, and external-passive conditions;
  • multicausal because the conditions that jointly cause it vary with individuals, societies, times, and places;
  • particular because it involves the detailed consideration of conditions that differ from case to case. (243)
There are two specific points that I find most useful in The Roots of Evil. First, Kekes rejects the relevance of moral relativism in the discussion of evil (as I do):

Slavery, clitoridectomy, blood feuds, assassination, terrorism, mutilating criminals, persecuting religious dissenters, torturing captives, holding innocent people hostage, dooming children to life as prostitutes or castrati are also culturally conditioned practices, but they are evil. The toleration of such evils, the implausible attempts to excuse them, and the reluctance to condemn them endanger civilized life by countenancing the violation of the physical security of their victims. Morally committed people ought to be intolerant of such evils. Those who mouth the catch-phrases of toleration avert their gaze from evil. (214)

The way I would put the point about relativism goes along these lines: In considering terrible events in the past, it is necessary to acknowledge the two perspectives (participant and observer). As became evident in an earlier discussion of the Athenian massacre of the Melians (link), the authors and perpetrators of horrific acts in the past sometimes choose to perform these acts within a moral worldview that they believe justifies their actions. However, we can dispense altogether with the question of moral relativism. It is perfectly reasonable for us in the present to judge that these practices and actions in the past were wrong and unjust (slavery, genocide, deliberate starvation, mutilation, ...), whether or not participants at the time found these practices morally acceptable. Their moral frameworks were defective and corrigible.

And second, Kekes places "decency" and "moral imagination" at the center of what is needed if we are to learn from the historical experience of evil.

It is reasonable to conclude, then, that if moral imagination had enabled evildoers to understand better their victims and their own motives and to realize that they had attractive alternatives to evildoing, then they would have been less likely to become or to continue as evildoers.... Moderately intelligent people have the capacity of moral imagination, but like other modes of imagination, it has to be cultivated. (237)

We can cultivate moral imagination by paying attention to the realities of the experience of other human beings -- through our personal experience, through literature, and through the horrors of the histories of the Cathar Crusade or the Argentinian "dirty war". Human beings are not fixed in their moral capabilities; rather, we can gain compassion and resist the impulses towards participating in evil actions.

The cultivation of moral imagination in this way provides not only personal enrichment but also a moral force that can help make lives better and cope with evil. By increasing self-knowledge, presenting attractive alternatives to evildoing, and providing a basis for the comparison, contrast, and criticism of one’s own way of being and acting, moral imagination helps to avoid the falsifications involved in unintentional evildoing. (238)

This observation about the cultivation of moral imagination points in the direction of a view of how it is possible to learn from history. Learning and confronting the horrific circumstances of the massacres of the Cathars, the torture of Argentine leftists, or the deliberate starvation of Ukrainian peasants, unavoidably brings us to a more vivid understanding of the moral evil of those events: the pain, suffering, and loss that these actions created for human beings much like ourselves. The strongest impression I took away from Hannah Arendt's account of the trial of Eichmann is the utter lack of sympathy, pity, or compassion he showed for the victims of his activities. Atrocities often depend on the total dehumanization of the victims, and compassion makes it more difficult to accomplish that trick.