Documente Academic
Documente Profesional
Documente Cultură
THE POLITICS OF TAX REFORM TAMMY M. FRISBY NO EXIT STRATEGY FEN OSLER HAMPSON & TOD LINDBERG LAW AND ETHICS FOR ROBOT SOLDIERS KENNETH ANDERSON & MATTHEW WAXMAN THE LIBERALISM OF EDMUND BURKE PETER BERKOWITZ ALSO: ESSAYS AND REVIEWS BY RONALD W. DWORKIN, ROBERT HOWSE, JACOB MCHANGAMA, DAVID SHORR, HENRIK BERING, DAVID R. HENDERSON, MARSHALL POE
A P u b l i c at i o n o f t h e H o ov e r I n s t i t u t i o n
s ta n f o r d u n i v e rs i t y
POLICY Review
D ECEMBER 2012 & JANUARY 2013, No. 176
Features
3 THE POLITICS OF TAX REFORM Getting the simpler, flatter, pro-growth code we need Tammy M. Frisby 15 NO EXIT STRATEGY Recalibrating missions, scaling back ambitions, sticking around Fen Osler Hampson & Tod Lindberg 35 LAW AND ETHICS FOR ROBOT SOLDIERS Autonomous systems and the laws of war Kenneth Anderson & Matthew Waxman 51 THE LIBERALISM OF EDMUND BURKE Navigating the waters between liberty and tradition Peter Berkowitz 69 THE CONTRADICTIONS OF PAIN THERAPY Patients, doctors, and the government at odds Ronald W. Dworkin 83 MISREADING LEO STRAUSS A misbegotten charge of Nazi sympathies Robert Howse
Books
95 THE HARM IN HATE SPEECH LAWS Jacob Mchangama on The Harm in Hate Speech by Jeremy Waldron 102 OBAMAS FOREIGN POLICY David Shorr on The Obamians: The Struggle Inside the White House to Redefine American Power by James Mann and Confront and Conceal: Obamas Secret Wars and Surprising Use of American Power by David E. Sanger 108 ZHUKOV: THE SOVIET GENERAL Henrik Bering on Stalins General: The Life of Georgy Zhukov by Geoffrey Roberts 116 DEREGULATION, ITALIAN STYLE David R. Henderson on A Capitalism for the People: Recapturing the Lost Genius of American Prosperity by Luigi Zingales 121 A SWERVE TOO FAR Marshall Poe on The Swerve: How the World Became Modern by Stephen Greenblatt
A P u b l i c at i o n o f t h e H o ov e r I n s t i t u t i o n
s ta n f o r d u n i v e rs i t y
POLI CY Review
D e c e m b e r 2 0 1 2 & J a n ua ry 2 0 1 3 , N o . 1 7 6
Subscription information: For new orders, call or write the subscriptions department at Policy Review, Subscription Fulfillment, P.O. Box 37005, Chicago, il 60637. Order by phone Monday through Friday, 8 a.m. to 5 p.m. Central Time, by calling (773) 7533347, or toll-free in the U.S. and Canada by calling (877) 705-1878. For questions about existing orders please call 1-800-935-2882. Single back issues may be purchased at the cover price of $6 by calling 1-800-935-2882. Subscription rates: $36 per year. Add $10 per year for foreign delivery. Copyright 2012 by the Board of Trustees of the Leland Stanford Junior University.
E d i t o r i a l a n d b u s i n e s s o f f i c e s : Policy Review, 21 Dupont Circle nw, Suite 310, Washington, dc 20036. Telephone: 202-466-3121. Email: polrev@hoover.stanford.edu. Website: www.policyreview.org.
he u.s. federal tax code is in desperate need of reform. In this years presidential election, both Republican nominee Mitt Romney and President Obama made corporate tax reform an issue in the campaigns, and it was one issue on which the candidates found more common ground than difference, with proposals for lower rates and a shift to or, in the presidents case, at least openness to a territorial corporate tax system. There is also broad agreement that the individual side of the U.S. tax code is in disarray. Setting aside the political arguments about who is or is not paying their fair share of income taxes, over the past decade, the U.S. has imposed on itself a regime of temporary tax policymaking. While a favorite statistic of would-be tax reformers is that there have been more than 15,000 changes to the tax code since the last overhaul of the
Tammy M. Frisby is a research fellow at the Hoover Institution. She studies American national politics and public policymaking and is currently working on a book about the politics of tax reform.
December 2012 & January 2013 3 Policy Review
Tammy M. Frisby
federal income tax system in 1986,1 the defining characteristic of income tax policy in this country is captured by a 2011 publication from the Joint Committee on Taxation (jct). The jct document listed expiring federal tax provisions by year over the decade from 201020. Not including temporary disaster relief tax breaks, the three years beginning with 2010 saw the expiration of 31, 56, and 37 provisions of the federal tax code, respectively.2 Among the most perishable federal tax laws are the set of tax provisions, primarily affecting businesses, which have earned the moniker tax extenders because Congress habitually extends them year-byyear. The tax extenders sit alongside the centerpiece of temporary tax policy in the U.S.: our current marginal rates on earned income. Enacted as a 10-year policy in 2001 during the George W. Bush administration, modified in Among the 2003, and extended for two additional years in most perishable 2010 by President Obama and the Democratic federal tax laws 111th Congress, this tax policy has become a partisan flashpoint and a source of significant are the set of uncertainty for U.S. taxpayers. If the Bush (or Bush-Obama) tax rates are allowed to expire tax provisions under current law at the end of the 2012 calenextended by dar year, the marginal rates on earned income Congress yearwill increase from 25, 28, 33, 35 percent to 28, 31, 36, and 39.6 percent, and the 10 percent tax by-year. bracket will be reinstated. All this temporary tax policy making has culminated in more than three-dozen expiring tax provisions that form strata in what has come to be known as the fiscal cliff. The fiscal cliff is a set of federal fiscal policies, including tax increases, new taxes, and Medicare provider payment cuts enacted with the Affordable Care Act, along with impending cuts to national defense and discretionary spending enacted as part of the sequestration provisions of the Budget Control Act of 2012, that are scheduled to go into effect on January 1, 2013, or sometime during that year. In addition to the marquee increases in marginal income tax rates, the fiscal cliff is comprised of a spate of other expiring tax provisions, including: the American Opportunity Tax Credit, the doubled Child Tax Credit (now $1000, up from $500 per child), enhanced refundability of the Child Tax Credit, expansion of the Earned Income Tax Credit (eitc), elimination of phase-outs for itemized deductions and personal exemptions, reduction in the marriage penalty, lower capital gains rates (15 percent instead of 20 percent), 15 percent dividend tax rate rather than taxation as ordinary income,
1. The Presidents Economic Recovery Advisory Board, The Report on Tax Reform Options: Simplification, Compliance, and Corporate Taxation (August 2010).
2. Staff of the Joint Committee on Taxation, List of Expiring Federal Tax Provisions, 2010 2020, jcx2-11 (January 21, 2011).
Policy Review
4. Economic Effects of Reducing the Fiscal Restraint That Is Scheduled to Occur in 2013, Congressional Budget Office (May 2012), and Economic Effects of Policies Contributing to Fiscal Tightening in 2013, Congressional Budget Office (November 2012).
Tammy M. Frisby
113th Congress, todays economic conditions and politics mean that another round of tax reform will not just be different; it will probably be more difficult to achieve.
Revenue neutrality?
he highest hurdle to building a lawmaking coalition for comprehensive tax reform is that todays reformers do not begin their negotiations with a preexisting consensus on whether tax reform should raise additional revenue or be revenue neutral. To hew to the principle of revenue neutrality requires that the revised tax code bring in the same amount of revenue no more, no less as flowed to the U.S. Treasury under the earlier law. At the outset of the tax reform debate in 1985, the major players all signed on to the ultimate objective of revenue neutrality. Negotiations then proceeded within that set framework. The task ahead was how to redistribute the total tax burden.5 Today, the lines of argument are clear and largely, although not perfectly, partisan. Democrats on Capitol Hill have called for increased revenues to fund current spending levels, which drastically outstrip current revenues. Republicans, led by Senate Minority Leader Mitch McConnell and vocal members of the House Republican Conference, have assumed a public position that takes a hard line against additional revenue. The Republicans negotiating position became more complicated in the days following the reelection of President Obama when House Speaker John Boehner signaled willingness to raise some revenue by closing loopholes in the tax code. But the gops ability to move from its stated opposition to revenue increases is hampered by a political force that was not at play in the 1980s: the Americans for Tax Reform (atr) Taxpayer Protection Pledge, also referred to as the Grover Norquist (the head of atr) pledge. With the pledge, candidates and officeholders commit to oppose any and all tax increases. In the words of the pledge, members of the U.S. House and Senate will: One, oppose any and all efforts to increase the marginal income tax rates for individuals and/or businesses; and two, oppose any net reduction or elimination of deductions and credits, unless matched dollar for dollar by further reducing tax rates. According to atr, 258 members of the 113th Congress, including all Republicans save for Rep. Robert Andrews of New Jersey, have signed the pledge. Only sixteen House and six Senate Republicans have declined to sign the pledge to date. Norquist reinforces the pledge with repeated public assurances that members of Congress who cast votes that atr (read: Norquist) deems a tax increase will find themselves subject to election year campaign ads and
5. Jeffrey H. Birnbaum and Alan S. Murray, Showdown at Gucci Gulch: Lawmakers, Lobbyists, and the Unlikely Triumph of Tax Reform (Vintage Books, 1988).
Policy Review
Tammy M. Frisby
system was changed to bring more revenue into the Treasury by increasing compliance (e.g., tefra imposed withholding on interest and dividends, expanded information reporting, and increased penalties on non-compliance). Second, tax preferences were eliminated or their use was restricted (e.g., repeal of safe-harbor leasing, repeal of future acceleration of depreciation allowances, strengthening of individual minimum tax, and tightening of the completed contract accounting method of accounting rules). Third, some taxes were increased, including airport and airway trust fund taxes, cigarette and telephone excise taxes.8 None of this is to suggest, contrary to obvious fact, that the Reagan years were a model of fiscal restraint by the federal government. Instead, the unsettling conclusion is how far we have traveled even from the imperfection of 1980s fiscal policyOver the past making. several decades, There is certainly a story to be told about the disappearance of the deficit hawks among the it is hard to find Democrats and the dwindling of the Blue Dog memevidence of the bership in the Democratic Caucus. But the domieffective efforts nance of the supply-side way of thinking in the Republican Party has, by itself, fueled the process of of deficit hawks party polarization on taxation issues and created a in the gop . wide gulf between Republicans and Democrats. Another demonstration of supply-side influence is the growing adherence, on the Right, to dynamic scoring analysis of fiscal policy changes. As a consequence, it is arguable that the political Rights general approach to tax policy is further to the right than it was in the 1980s. Dynamic scoring refers to an approach to forecasting the fiscal impacts of legislation that takes into account a broader range of changes in individuals and firms incentives and behavior, with a view to longer-term response to changes to the status quo by the overall economy. Advocates of dynamic scoring argue that the method, when done correctly, produces more accurate predictions of systemic response to change than a more simplified static analysis. Under dynamic scoring, with its incorporation of broader economic effects, reductions in tax rates and the overall tax burden are usually forecast to produce higher rates of economic growth and, therefore, larger tax receipts than are estimated under more static methods of scoring. Because dynamic scoring shows lower tax rates can produce tax revenue equal to or exceeding at status quo levels, the practical effect on tax politics of choosing dynamic over static scoring is to move preferred tax rates lower. The effect of this, then, is to move the preferred tax rates of the political Right further away from the preferred tax rates of the Left, even if the two groups could manage to agree on a revenue target.
8. C. Eugene Steuerle, Contemporary U.S. Tax Policy (Urban Institute Press, 2004). .
Policy Review
Tammy M. Frisby
both the corporate and individual side of the tax code under dynamic scoring. In at least the first few years of any cbo scoring estimates, however, it is most likely that corporate tax reform would generate less tax revenue than the existing corporate tax code. The question then confronting lawmakers is whether they will set out to achieve revenue neutrality or increase revenue across the entire tax code by offsetting the lost revenue on the corporate side with revenue increases on the individual side. The latter approach means that reforms to the individual side of the code would not be revenue neutral overall. If lawmakers have embraced the goal of increased revenues across the entire tax code, this would require an especially heavy burden on individuals and businesses that pay taxes through the individual side of the code. The dual treatment of the corporate and individThe question ual tax codes is a daunting challenge when assessed for lawmakers is as a snapshot in political history. But is even more whether theyll intimidating when one understands the approach taken in 1986. During the 1986 reforms, revenue set out to neutrality was sought across both halves of the tax achieve revenue code taken together. The result was that corporations were projected to take a $120 billion tax hit neutrality or over 5 years to help offset rate reductions on the increase revenue individual side.9 Given the political rhetoric surrounding international competitiveness and the need across the to reduce the corporate tax burden, it seems unlikely tax code. that we will see the same balance across the tax code today as 1986. The individual side of the tax code has its own political land mines, ones different from those of 1986. Four of the most difficult to legislate through or around are the capital gains rate, the home mortgage interest deduction (mid), the Alternative Minimum Tax (amt), and the Earned Income Tax Credit (eitc). First, one lucrative (in terms of tax revenue) and politically appealing option to Democrats for raising revenue is an increase in the capital gains tax rates. In 1986, Reagan, along with House and Senate Republicans, went along with a sizeable increase in the long-term capital gains top rate (jumping from 20 percent to 33 percent) in exchange for lower marginal rates on earned income. The blocking factor today comes from Republicans, who, by all accounts, consider an increase in capital gains rates anathema. Second, the prolonged downturn in the U.S. housing market has increased the financial stakes for the housing lobby, led by realtors and home construction and related industries, and current American homeowners. In the near-term, a significant reduction of the mortgage interest deduction would
9. James M. Poterba, Why Didnt the Tax Reform Act of 1986 Raise Corporate Taxes? nber Working Paper 3940 (December 1991).
10
Policy Review
Tammy M. Frisby
12
Policy Review
Tammy M. Frisby
that, overall, left each side to walk away from the negotiating table with more than they arrived. Democrats, led in the negotiations by House Ways and Means Chairman Dan Rostenkowski, a Democrat from Illinois, won the expansion of the eitc and a tax code that made it more difficult for the highest earners to pay very low tax rates or no taxes at all. Republicans achieved the goal of lower rates and a broader tax base, even though some taxes, such as the capital gains rate, were increased. In these new negotiations, a Democratic White House could be crucial to bringing congressional Democrats, especially those in the Senate, on board for entitlement reforms. If the message out of the White House focuses on the preservation of these programs and the end to the intergenerational inequality perpetuated by their current design, then that side of the fiscal deal can be a victory for Democratic constituencies. President Obamas support for entitlement program restructuring that raises payroll taxes and reduces benefits for some recipients by raising the eligibility age and changing the formula for calculating benefits would, at a minimum, give congressional Democrats political cover for voting for changes to these programs cover that, it should be noted, would have been sorely absent from a Romney White House. Had Romney won the presidency, Democrats would have had strong incentive to play the role of obstructionist, teeing up a campaign issue for the midterm elections of 2014 and the 2016 White House run. The challenge for House and Senate Republicans is to refocus on the big win of a simpler, flatter, pro-growth tax code, instead of remaining stuck on retaining the current marginal tax rates on the highest earners. In the lame duck session of the 112th Congress, the negotiations over the tax burden for high earners offer Republicans an opportunity to voluntarily move away from the hard line defense of the top marginal tax rate. That said, if President Obama, Speaker John Boehner, and Senate Minority Leader McConnell can agree to keep the current highest marginal rate while reducing specific tax preferences or enacting a cap on total tax deductions at a level designed to affect the highest earners, that would signal that both sides are ready to enter the long process of major tax code reform with a central focus on interests rather than positions.
14
Policy Review
No Exit Strategy
By Fen Osler Hampson & Tod Lindberg
xit strategies are back in vogue. The Afghanistan campaign has not gone terribly well in the past several years and a deadline of sorts for withdrawal has been set for the mission in 2014. In the case of Iraq, the Obama administration declared that the combat mission was over following the successful surge strategy and removed U.S. troops by the end of 2011. These exit strategy deadlines were set against a background of continuing political instability and violence in both countries. Exit strategy is a term that originally comes from business.1 It is the method by which venture capitalists or the owners of a business shed an investment that they own. The concept gained currency in relation to military interventions in the 1980s and 1990s in what became known as the Weinberger-Powell Doctrine. In the aftermath of the disastrous bombing of the U.S. Marine barracks in Lebanon in October 1983, Secretary of Defense Caspar Weinberger outlined six conditions for the proper application of U.S. force: (1) U.S. vital interests at stake; (2) a clear commitment to achieving
Fen Osler Hampson is chancellors professor and director of the Norman Paterson School of International Affairs at Carleton University. Tod Lindberg is a research fellow at the Hoover Institution and editor of Policy Review.
December 2012 & January 2013 15 Policy Review
2. Kenneth J. Campbell, Once Burned, Twice Cautious: Explaining the Weinberger-Powell Doctrine, Armed Forces and Society 24:2 (1998). 3. Jeffrey Record, Exit Strategy Delusions, Parameters 31:4 (200102). 4. Gideon Rose, The Exit Strategy Delusion, Foreign Affairs 77:1 (1998).
16
Policy Review
No Exit Strategy
Instead, we argue that decisions about whether to keep a mission alive should be based on what some refer to as a real options perspective, which takes into account the uncertainties of the mission and the costs of both entry and exit. When there are major political uncertainties associated with the payoffs of an exit strategy, we argue that the wisest and most prudent course of action is to wait until there is more information available about the costs and benefits of departure. Persistence in the face of adversity even as one continues to incur losses may well be the rational (and right) course of action, especially if one isnt sure whether the situation is going to improve anytime soon if one hangs around or get a lot worse if one leaves. At the same time, staying put is not an argument for sticking with a military or political strategy that is failing to achieve its goals. An effective strategy should be flexible and A no exit resilient, and based on the achievement of specific, strategy doesnt clearly defined milestones rather than the clock. In military terms, the challenge, especially in a country automatically like Afghanistan, is not to look at the problem in look for the terms of winning the war or getting rid of the insurgents. Rather, the objective should be to battle insuremergency exit gents to a strategic stalemate where they can be held when smoke in check (while retaining a firm upper hand) and to fills the room. increase the incentives for insurgents to come to the negotiating table. That is, there is a clear bargaining element to such a strategy. At the same time, greater responsibility for containing the insurgency should be handed over to local authorities who have developed the requisite capabilities. Politically, such a strategy should also be directed at promoting a nationalist-based leadership that has the support of the people not just in the cities but also the countryside. A no exit strategy is a strategy that does not automatically look for the emergency exit when smoke fills the room and the house under construction seems to be on fire. It is a fire-fighting strategy that first seeks to gather information about the source of the fire, then to control it until the local fire brigade arrives and is ready to take over. A no exit strategy also recognizes that there may be times when intervention is necessary before it is possible to have a well-founded sense of what a successful outcome will look like. In the case of an intervention that topples a states political leadership, as in Iraq or Afghanistan, it may not be possible to gauge in advance what kind of successor regime can be stood up or how long it will take before the successor can take over security responsibilities. Likewise, it may not be possible to know in advance what the successor regimes view of the ongoing presence of U.S. forces is. In some instances, a complete U.S. departure might be desired. In others, an ongoing U.S. military presence may be a source of reassurance to the successor regime. That presence, in turn, may take any number of forms, from a military base relatively disengaged from the local population and local politics, to an ongoing trainDecember 2012 & January 2013 17
6. Jonathan OBrien and Timothy Folta, Sunk Costs, Uncertainty and Market Exit: A Real Options Perspective, Industrial and Corporate Change 18:5 (2009). Available at http://homepages.rpi.edu/ ~obriej8/Res/icc09.pdf (this and subsequent links accessed Nov. 5, 2012).
18
Policy Review
No Exit Strategy
This so-called real options perspective on exit choices also dictates that we should not ignore the value of sunk costs like so much spilled milk, as many economists would argue, because they allegedly have no bearing on net present value (npv). Rather, we should take into account in our decisions the value of persistence and the fact that exit is rational not when the net present value of remaining [with a given course of action] falls below zero, but when expected losses exceed the value of this option.7 In the real world of human events, sunk costs are not independent of the future. This is because the activities associated with those costs can change the trajectory of events moving forward. So it is with a military intervention directed at promoting stability and security. What you do now will have an impact on developments later. The relationship between the previous sunk costs of intervening in a conflict and the future costs of re-establishing yourself should you be forced to intervene again are therefore correlated. Consequently, as these costs rise for any future intervention in the same conflict, the probability (and desirability) of exiting now should fall if one is looking at these costs rationally. A number of corollaries flow from this argument. The first is that it is not just the expected value of future returns (or profitability) that matters, but the general distribution of any future costs and benefits. When there is greater uncertainty about the shape of that distribution, there is, by definition, a greater probability that things might turn around in the future (and if things do in fact get worse or a lot worse exit is always an option later on). The presence of high levels of uncertainty therefore should deter a decision to exit, especially when sunk costs are high. When sunk costs are appreciably lower or decline substantially with the passage of time exit may become a more attractive option. A second corollary is that exit becomes a more attractive option if one is able to transfer critical competencies to other military partners without incurring further major losses, especially if the sunk costs one has accumulated in the interim are relatively small. Although such transfers may take time, the inertia of sticking with a particular course of action is not crippling in the sense that the delay in getting ready to exit is a function of the need to prepare ones partners properly to assume core competencies.
unk costs and political uncertainty should be at the forefront of any strategic analysis of post-intervention extrication in Afghanistan (and by extension also Pakistan) and elsewhere. As one of the costliest withdrawals in the first half of the 20th century underscores the end of the British reign in Mesopotamia in 1932 a premature pullout can
7. OBrien and Folta, Sunk Costs. .
19
Rayburn concludes that had the United Kingdom stayed longer the first time around, much of this mayhem could have been avoided. Hindsight is 20-20, but the bigger lesson is clear. Had the British been less focused on what occupation was costing and more attentive to the future and what their departure might mean, they might have avoided tragedy and
8. Joel Rayburn, The Last Exit from Iraq, Foreign Affairs 85:2 (2006). 9. Quoted in Rayburn, Last Exit.
20
Policy Review
No Exit Strategy
the substantial costs that came with having to intervene in Iraq a second time around. A succession of U.S.-led and un-supported interventions in Haiti to restore peace and democracy points to some of the same lessons of the British exit from Iraq. In 1990, four years after the fall of the corrupt, despotic, and long-lived Duvalier regime, Haiti staged democratic elections. However, the newly elected populist but erratic president, Jean-Bertrand Aristide, was soon ousted by a military coup. After a number of abortive efforts to evict the military from power by negotiation and persuasion, the un Security Council passed a resolution authorizing the use of all necessary means to facilitate the departure from Haiti of the military leadership. The United States recruited nineteen countries to participate in a multinational force. Just prior to the U.S.-led and planned invasion, President Clinton dispatched forU.S.-supported mer President Jimmy Carter, Colin Powell, and Sam interventions in Nunn to negotiate a peaceful landing of the multinational troops and the departure of the military Haiti point to regime. Agreement was subsequently reached for a major un peacekeeping operation to stabilize the some of the same country and restore democracy in the period from lessons of the 1994 to 1996. British exit Both the U.S. operation and the un deployment were based on an approved exit strategy tied to from Iraq. restoration of democratic government, the establishment of a stable environment, and the conduct of free and fair elections in February 1996, which would mark the end of the mandate. Following the elections, the un presence was reduced to a small international peace force whose main role was to train the Haitian police and build up domestic capacity.10 In January 2000 all remaining U.S. soldiers were pulled out of the country against the background of a deteriorating security situation and mounting domestic violence. Follow-on un missions in the country were not supported by reliable funding arrangements and were saddled with impractically short mandates. Foreign assistance to Haiti was also shortlived and increasingly volatile. As Sebastian von Einsiedel and David Malone further observe, In the absence of any serious engagement between 2000 and 2004, the political stalemate [in the country] hardened, the economic situation remained dire, and the security and human rights situation continued to deteriorate.11 In 2004, much of the country was in open revolt against President Aristide, who was ruling by decree and using his henchmen to brutalize the
10. Kevin M. Benson and Christopher B. Thrash, Declaring Victory: Planning Exit Strategies for Peace Operations, Parameters 26:3 (1996).
11. Sebastian von Einsiedel and David M. Malone, Peace and Democracy for Haiti: A un Mission Impossible? International Relations 20:2 (2006).
21
22
Policy Review
No Exit Strategy
and the situation deteriorates (35 percent probability); and (4) the Afghanistan-muddles-through scenario under which regional power brokers wrest power and control from the Taliban, the Taliban are weakened but not defeated, and the central government maintains just enough authority and political legitimacy as a result of political reforms to keep on functioning (35 percent). In the fourth scenario, the U.S./Afghan government and Taliban are locked in a lengthy war of attrition. Cordesmans analysis underscored the enormous variability in potential outcomes and the challenge of making predictions in a highly volatile political and security environment. Especially interesting is that he did not rule out the probability that things might turn around if the mission continued. (There is an 80 percent combined probability of success with options 1, 3, and 4.) But he also foreExit strategies saw that sustaining the present U.S. strategy and are often driven military effort . . . over a period long enough to proby unrealistic duce meaningful results could easily raise the cost of the war effort . . . from a c rs [Congressional deadlines for the Research Service] estimate of $308.3 billion from completion of fy2002-fy2010 by another $632 billion between fy2011 and fy2020. Cordesman believed that these complex tasks costs may be worth paying if the new strategy proin the societies duces definitive indications of success during the coming year.13 in transition. When he revisited the subject in a report issued in February 2012, he again noted the uncertainty of progress based on available metrics and called for improved metrics to guide decision-making about Afghanistan in transition, force cuts, transition plans, and continuing the war. He warned that U.S. troop cuts are no longer condition-based. He noted serious difficulties in standing up the Afghan National Army, but observed that the problems could all be corrected with time, the needed number of foreign trainers and partners, and adequate funds but none may be available at the levels and duration required.14 As the above discussion indicates, exit strategies are often driven by unrealistic deadlines for the completion of complex tasks in the war-torn or violence-ridden environment of societies in transition. They are also driven by worries about the continuing costs of seemingly open-ended commitments. Before throwing in the towel, however, policymakers must also ask themselves what the likelihood of a bad outcome is. Although there are no crystal balls, if the answer is an outcome that is worse than staying, then the prudent course is not to stand down until the fog clears. To paraphrase Rabbi
13. Cordesman, Grand Strategy, 14. See also Anthony H. Cordesman, Two Winnable Wars, Washington Post (February 24, 2008).
14. Anthony H. Cordesman, Afghanistan: The Failed Metrics of Ten Years of War (Center for Strategic and International Studies, 2012).
23
17. Warren E. Walker, Uncertainty: The Challenge for Policy Analysis in the 21st Century, rand Paper p-8051 (rand Corporation, 2000).
16. Gary Hamel, Leading the Revolution (Penguin Books, 2002); Gary Hamel and Lissa Vlikangas, The Quest for Resilience, Harvard Business Review (2003). Available at http://hbr.org/2003/09/thequest-for-resilience/ar/1.
24
Policy Review
No Exit Strategy
There is value to having clear signposts or markers of progress in the complex range of tasks associated with military interventions. At the same time, however, the achievement of specific tasks must be located within a broader strategic framework that highlights not only all the things that need to be done and the anticipated time to complete them, but also the key interdependencies and vulnerabilities in those activities as noted above. As we have seen repeatedly in successive interventions, if efforts to secure a stable security environment fail or are delayed by a growing insurgency, other functions such as the holding of parliamentary or presidential elections or the pursuit of specific development activities can be derailed. As projects take longer and longer to complete, the cumulative delay threatens to undermine the entire enterprise. There is no great mystery here. Much ink (not to If efforts to mention time in endless interagency meetings) has secure a stable been devoted to analyzing and discussing the myriad security problems of coordination and the failure to achieve coherence when the international community inter- environment fail venes.18 or are delayed The strategic challenge in these kinds of situations, however, is not simply to reach a consensus on by insurgency, key objectives and try to marshal resources and other functions bureaucratic and political will. Its much bigger. It entails, first, figuring out what the logical interdecan be derailed. pendencies of the overall enterprise actually are (among security stabilization, humanitarian assistance, economic reconstruction, administrative capacity building, promotion of good governance, etc.); second, identifying the resources required to complete each set of activities; third ascertaining where the potential bottlenecks to completion lie; and finally, assessing how disruption of one or more tasks will affect the entire chain. A critical path method explores these interdependencies with the aim of discovering the weakest link(s) and the kinds of bottlenecks and delays that will thwart or delay the completion of a mission.19 Realistic expectations are crucial to the analysis, as is accurate measurement of the impact of delays. Once these effects are better understood, it may be possible to address their root causes, revise schedules and the sequence of nation-building tasks, and develop new strategies. But if the overall sequence of tasks is too complicated and too vulnerable to disruptions, this may argue for scaling back the project, reducing ambitions, and concentrating on a few simple tasks
18. Robert B. Oakley, Developing a Strategy for Troubled States, Joint Force Quarterly 96:12 (1996); Roland Paris and Timothy D. Sisk, The Dilemmas of Statebuilding: Confronting the Contradictions of Postwar Peace Operations (Routledge, 2009).
19. See, for example, Ted Klastorin, Project Management: Tools and Tradeoffs (Wiley, 2003); and Dragan Z. Milosevic, Project Management Toolbox: Tools and Techniques for the Practicing Project Manager (Wiley, 2003).
25
22. Barbara F. Walter, The Critical Barrier to Civil War Settlement, International Organization 51:3 ( 1 9 9 7 ); see also Barbara F. Walter, Designing Transitions from Civil War: Demobilization, Democratization, and Commitments to Peace, International Security 24:1 (1999), and Barbara F. Walter, Committing to Peace: The Successful Settlement of Civil Wars (Princeton University Press, 2002).
21. Philip G. Roeder and Donald Rothchild, eds., Sustainable Peace: Powers and Democracy after Civil Wars (Cornell University Press, 2005).
26
Policy Review
No Exit Strategy
invest in the future that brings real ownership to peace process, not political change that is forced from the outside.23 Taking the argument one step further, Stephen Stedman argues that the security situation in conflict and post-conflict situations in failed states requires first and foremost effective strategies of spoiler management that is to say, strategies that deal with those extremist elements or groups in a conflict who have been radicalized, use violence to pursue their aims, are not interested in political compromise, and will, in fact, do anything to subvert the political process. Stedman argues that coercive strategies are required to deal with the total spoiler who sees the world in all-or-nothing terms. This involves measures that root out and destroy the spoiler and his bases of political support; such measures include the direct application of force, targeted sanctions, and other When resources kinds of penalties that raise the costs of noncooperaare scarce and tion and noncompliance.24 one confronts a In the case of Afghanistan, insurgents can cross borders freely. Both Afghanistan and Pakistan have whack-a-moleallowed each others opponents to use border areas style problem, as a sanctuary. The result is that counterinsurgency operations resemble the arcade game of whack-adecisive victory mole: Insurgents pop up, are suppressed, then pop is not a realistic up elsewhere. It is also unclear whether the Taliban, which has distinct factions and leaders, is a total option. or partial spoiler. Whereas partial spoilers can usually be bought off or coerced to the bargaining tables, total spoilers have to be suppressed and wiped out. When resources are scarce and one confronts a whack-a-mole-style problem, decisive victory is not a realistic option. Expectations about what is strategically and militarily feasible have to be lowered. But this does not mean that the only option is exit, retreat to avoid defeat. Rather, the goal should be to fight the other side to a draw or stalemate while retaining a firm upper hand. There is strong evidence that if a conflict reaches a plateau of hurting stalemate, warring parties will eventually come to the realization that they cannot use force to gain an advantage and will entertain other options. At this point, a conflict, to use William Zartmans phrase, is ripe for resolution, insofar as the parties perceive the costs and prospects for continued confrontation to be more burdensome than the costs and prospects of some sort of political settlement.25
23. Kimberly Zisk Marten, Enforcing the Peace: Learning From the Imperial Past (Columbia University Press, 2004).
25. William I. Zartman, Ripe for Resolution: Conflict and Intervention in Africa (Oxford University Press, 1985); William I. Zartman, Analyzing Intractability, in Chester A. Crocker, Fen Osler Hampson, and Pamela Aall, eds., Grasping the Nettle (United States Institute of Peace Press, 2004).
24. Stephen John Stedman, Spoiler Problems in Peace Processes, International Security 22:2 (1997).
27
28
Policy Review
No Exit Strategy
Karzais government. Indias interest is the reverse, to eliminate Pakistans influence, principally by cooperating with the Northern Alliance. Irans interest lies less in Afghanistans form of government than in the elimination of the U.S.-nato presence there. Although Iran has never had a close relationship with the Sunni al-Qaeda, it has developed a strong link within Karzais government. Chinas interest lies in preventing a militant religious movement from controlling Afghanistan because of the danger it sees in increased influence of religious movements in its western provinces, and also in avoiding Indian dominance in the area. Tajikistans and Uzbekistans interests favor the Tajik and Uzbek elements in the Northern Alliance. The U.S. has an interest above all in destroying al-Qaeda and the Taliban, but also in securing the withdrawal of its troops (possibly mutually exclusive goals); democracy lies somewhere in its In Afghanistan, ideological vision but stability is more important, if much of the undefined. evidence points Forging a pact among these clear strategic rivals in the region seems an insuperable challenge. But to a troubling, such pacts have been forged before in other hot conescalatory flict zones. In the early 1990s, the five permanent members of the un Security Council plus the neighdynamic. The bouring countries of the Association of South East Taliban seemed Asian Nations (asean) had rather divergent and even contradictory interests over the future of emboldened. Cambodia.27 The U.S. skillfully brought these many countries together into an agreed solution. In much of the first decade of the 2000s, North Korea singlehandedly held off a group of world leaders as it pursued its nuclear security objectives. But the five most concerned nations, with often diametrically opposed interests, came together in the six-party talks organized by China and the United States. Though the North Korean nuclear problem persists, the six-party talks did produce some basic documents necessary for any further progress.28 In the 1960s, the leading countries of the old (colonial) and new (Cold War) world order managed to overcome their differences to negotiate a solution to the beleaguered position of Laos, albeit one that failed to last. Whatever happens inside Afghanistan, it will not be stable without a Great Jirga, a meeting of the surrounding and distant powers to consecrate an internal settlement and establish relations with it. However, given that the divergence of regional interests surpasses even those implicated in the cases of Cambodia, North Korea, or Laos, extraordinary diplomatic skill and leadership will be necessary.
27. Richard H. Solomon, Exiting Indochina: U.S. Leadership of the Cambodian Settlement and Normalization with Vietnam (United States Institute of Peace Press, 2000).
28. Charles L. Pritchard, Failed Diplomacy: The Tragic Story of How North Korea Got the Bomb (Brookings Institution Press, 2007).
29
Cultivating leadership
uch attention has been devoted in recent years to promoting democracy, accountable political institutions, and economic development in war-torn societies. Under the Bush administration, the mission of U.S. military forces enlarged from war-fighting to postcombat stabilization and reconstruction. The apparent model of nationbuilding efforts in countries like Iraq was the successful rehabilitation of Japan and Germany following the Second World War. Under President Obama, however, much of this earlier ambition was scaled back, reflecting the reality that democratization is a process of slow cultural, social, and political development and does not simply revolve around the exercise of the franchise and the holding of free elections. It also involves the creation of a supportive civic culture, where citizens learn to become active and intelligent participants in society and the political life of their country, and a middle class. Further, democracy can only develop in a society with a strong and well-functioning administrative, police, and judicial apparatus that is responsive to the needs and welfare of the public and generally free of corruption and cronyism. It also requires leaders who can rise to the challenge of building new institutions while rallying the people around key nation-building tasks. The challenge of promoting and cultivating strong local leadership has figured less centrally in the attention of the international community and those doing the intervening than perhaps it should. To the extent that it does, it is a hidden preoccupation, the subject of hushed conversations and diplomatic murmurings behind closed doors (as the Wikileak revelations attest). No matter how flawed an electoral process is or how weak and incompetent those catapulted into high office are, publicly expression of the desire to change horses in the middle of a race going badly is generally considered bad form. Instigating leadership changes is even worse, widely seen as a relic of Cold War rivalry and a discredited era of U.S. foreign policy when the not-so-hidden hand of the cia was behind coups in the Middle East, Latin America, and Southeast Asia. However, there are other ways to promote local leadership short of doing away with those who are feckless, incompetent, uncooperative, or hostile. There are some important lessons from the era of decolonization where some successful handovers did occur. These handovers were accompanied by the emergence of strong, charismatic leaders who were able to unify the local populace, weather ensuing political storms, and build strong states. As Tony Smith, a careful observer of French and British decolonization processes, observes: For whatever their values, what Bourguiba, Ataturk, Sukarno, Nkrumah, Nyerere, Ho Chi Minh, Gandhi, and HouphouetBoigny all shared was their leadership at the moment of national indepen30 Policy Review
No Exit Strategy
dence over groupings both traditional and modern in values and structure with a scope so broad that the split between the countryside and the city was overcome.29 Such leadership proved crucial to securing political stability following the departure of colonial masters. When such leadership was absent, institutions were less resilient and less able to withstand the assault of minority and factional politics that tore many new nations apart.30 As the American experience with Ngo Dinh Diem and the series of military strongmen who ruled South Vietnam after his assassination illustrates, the U.S. was never able to find a reliable, credible, and legitimate partner in South Vietnam, which circumscribed options for the war effort. It also made Vietnamization an untenable strategy. The colonial powers were able to influence the process of strengthening local elites by their attention to grooming their successors. As Smith notes, For virtually every nationalist movement harbored a civil war whose divisions allowed the colonial authority a strong voice in local affairs. By deciding with whom they would negotiate, by what procedure they would institutionalize the transfer of power, and over what territory the new regime would rule, Paris and London decisively influenced the course of decolonization. More attention today needs to be paid to leadership development in countries where the international community has intervened. It will require negotiating with and cultivating those who show real political talent. This requires diplomatic flexibility and a willingness not to overcommit to one particular leader. Countries like Afghanistan need leaders who can bridge social and ethnic divisions and the urban-rural divide. Leadership grooming and succession are thus the necessary accompaniments to a strategy of institution-building, as the British and French clearly understood in some of their own earlier nation-building efforts.
30. Joseph C. Miller, The Politics of Decolonization in Portuguese Africa, African Affairs 74:295 (1975); Gilbert M. Khadiagala, Negotiating Angolas Independence Transition: The Alvor Accords, International Negotiation 10 (2005).
31
No Exit Strategy
Many lives have been lost and much treasure spent on what increasingly looks like mission impossible in countries like Afghanistan. After eleven years, it is still too early to say what the future holds. Nonetheless, as we have argued here, any decision to exit and finally disengage must be attentive to both the upside and the downside of withdrawal. At the same, we argue that the mission has to be recalibrated and ambitions scaled back. The formation of a stable democratic government is too stringent a requirement for a country like Afghanistan. So too is the notion that the Taliban can be decisively defeated. But there is a higher degree of probability that the Taliban can be fought to a draw given time, staying power, persistence, and patience. This in turn will help create the right conditions for negotiation and a political settlement. Such is the ultimate goal of a no exit strategy.
33
lethal sentry robot designed for perimeter protection, able to detect shapes and motions, and combined with computational technologies to analyze and differentiate enemy threats from friendly or innocuous objects and shoot at the hostiles. A drone aircraft, not only unmanned but programmed to independently rove and hunt prey, perhaps even tracking enemy fighters who have been previously painted and marked by military forces on the ground. Robots individually too small and mobile to be easily stopped, but capable of swarming and assembling themselves at the final moment of attack into a much larger weapon. These (and many more) are among the ripening fruits of automation in weapons design. Some are here or close at hand, such as the lethal sentry robot designed in South Korea. Others lie ahead in a future less and less distant. Lethal autonomous machines will inevitably enter the future battlefield but they will do so incrementally, one small step at a time. The combination
Kenneth Anderson is a law professor at American University. Matthew Waxman is a professor at Columbia Law School and adjunct senior fellow at the Council on Foreign Relations. Both are members of the Hoover Institution Task Force on National Security and Law.
December 2012 & January 2013 35 Policy Review
Automated-arms racing?
hese issues are easiest to imagine in the airpower context. But in other battlefield contexts, too, the United States and other sophisticated military powers (and eventually unsophisticated powers and nonstate actors, as such technologies become commodified and offered for licit or illicit sale) will find increasingly automated lethal systems more and more attractive. Moreover, as artificial intelligence improves, weapons systems will evolve from robotic automation the execution of precisely pre-programmed actions or sequences in a well-defined and controlled environment toward genuine autonomy, meaning the robot is capable of generating actions to adapt to changing and unpredictable environments. Take efforts to protect peacekeepers facing the threat of snipers or ambush in an urban environment: Small mobile robots with weapons could act as roving scouts for the human soldiers, with intermediate automation the robot might be pre-programmed to look for certain enemy weapon signatures and to alert a human operator, who then decides whether or not to pull the trigger. In the next iteration, the system might be set with the human being not required to give an affirmative command, but instead merely deciding whether to override and veto a machine-initiated attack. That human decision-maker also might not be a soldier on site, but an offbattlefield, remote robot-controller. It will soon become clear that the communications link between human and weapon system could be jammed or hacked (and in addition, speed and the complications of the pursuit algorithms may seem better left to the machine itself, especially once the technology moves to many small, swarming, lightly armed robots). One technological response will be to reduce the vulnerability of the communications link by severing it, thus making the robot dependent upon executing its own programming, or even genuinely autonomous. Aside from conventional war on conventional battlefields, covert or special operations will involve their own evolution toward incrementally autonomous systems. Consider intelligence gathering in the months preceding the raid on Osama bin Ladens compound. Tiny surveillance robots equipped with facial recognition technology might have helped affirmatively identify bin Laden much earlier. It is not a large step to weaponize such systems and then perhaps go the next step to allow them to act autonomously, perhaps initially with a human remote-observer as a fail-safe, but with very little time to override programmed commands.
38 Policy Review
Four objections
f this is the optimistic vision of the robot soldier of, say, decades from now, it is subject already to four main grounds of objection. The first is a general empirical skepticism that machine programming could ever reach the point of satisfying the fundamental ethical and legal principles of distinction and proportionality. Artificial intelligence has overpromised before. Once into the weeds of the judgments that these broad principles imply, the requisite intuition, cognition, and judgment look ever more marvelous if not downright chimerical when attributed to a future machine. This skepticism is essentially factual, a question of how technology evolves over decades. Noted, it is quite possible that fully autonomous weapons will never achieve the ability to meet these standards, even far into the future. Yet we do not want to rule out such possibilities including the development of technologies of war that, by turning decision chains over to machines, might indeed reduce risks to civilians by making targeting more precise and firing decisions more controlled, especially compared to human soldiers whose failings might be exacerbated by fear, vengeance, or other emotions. It is true that relying on the promise of computer analytics and artificial intelligence risks pushing us down a slippery slope, propelled by the promise of future technology to overcome human failings rather than addressing them directly. If forever unmet, it becomes magical thinking, not technological promise. Even so, articulation of the tests of lawfulness that autonomous systems must ultimately meet helps channel technological development toward the law of wars protective ends. A second objection is a categorical moral one which says that it is simply wrong per se to take the human moral agent entirely out of the firing loop. A machine, no matter how good, cannot completely replace the presence of a true moral agent in the form of a human being possessed of a conscience and the faculty of moral judgment (even if flawed in human ways). In that regard, the title of this essay is deliberately provocative in pairing robot and soldier, because, on this objection, such a pairing is precisely what should never be attempted. This is a difficult argument to engage, since it stops with a moral principle that one either accepts or not. Moreover, it raises a further question as to what constitutes the tipping point into impermissible autonomy, given that the automation of weapons functions is likely to occur in incremental steps.
42 Policy Review
e v e rt h e l e s s , t h e da n g e rs associated with evolving autonomous robotic weapons are very real, and the United States has a serious interest in guiding development in this context of
45
49
euding among american conservatives for the title True Conservative is nothing new. Ever since conservatism in America crystallized as a recognizable school in the 1950s, more than a few limited- government conservatives, or libertarians as they have come to be called, and more than a few social conservatives and their forebears, traditionalist conservatives have wanted to flee from or banish the other. To be sure, the passion for purity in politics is perennial. But the tension between liberty and tradition inscribed in modern conservatism has exacerbated the stress and strain in the contending conservative camps. Fortunately, a lesson of political moderation is also inscribed in the modern conservative tradition, and nowhere more durably or compellingly than at its beginning.
Peter Berkowitz is the Tad and Dianne Taube senior fellow at the Hoover Institution, Stanford University. His writings are posted at www.PeterBerkowitz.com. This essay is drawn from his book, Constitutional Conservatism, forthcoming this winter from Hoover Institution Press. The essay has its origins in Constitutional Conservatism, Policy Review 153 (Feb. & March 2009 ), available at http://www.hoover.org/publications/policy-review/article/ 5580 . Its themes were developed in Burkes Words Should Hearten Dismayed Conservatives, Real Clear Politics, Feb. 25, 2012 , available at http://www.realclearpolitics.com/articles/2012/02/25 /burkes_words_should_hear ten_dismayed_conservatives_113248 .html.
December 2012 & January 2013 51 Policy Review
Peter Berkowitz
Moderating the tension between liberty, or doing as you please, and tradition, or doing as has been done in the past, is a hallmark of the speeches and writings of 18th-century British statesman Edmund Burke. While the conservative spirit is enduring and while some have always been more amply endowed with the inclination to preserve inherited ways and others more moved by the impulse to improve or supersede them, the distinctively modern form of conservatism emerged with Burkes 1790 polemic, Reflections on the Revolution in France. Writing as a friend of liberty and enlightenment, Burke eloquently exposed the brutality of the revolutionaries determination, inspired by a perverse understanding of liberty and enlightenment, to transform political life by upending and sweeping away tradition, custom, and the inherited moral order. Burkes conservatism operates within the broad contours of the larger liberal tradition and embraces much of the spirit of the 18th-century Enlightenment. It is distinguished by its determination to moderate the tendencies toward excess that mark both liberty and reason. Burkes devotion to a spirit of rational liberty1 drives the great reform efforts of his political career: conciliation with America, toleration for Irelands Catholics, and protection of the interests and rights of the people of India. But even if we had only the Reflections, he would still deserve to be counted among our preeminent teachers concerning the balance of principles that favors liberty. The causes to which Burke dedicated himself, and the well-wrought arguments he summoned in their behalf, teach that the paramount political task is to defend liberty. They also illustrate that while the purpose of politics is not to perfect man, securing the rights shared equally by all depends on tradition, religion, and community cultivating the virtues that fit citizens for freedom. And they clarify how the rival interests, multiplicity of groups and associations, and competing conceptions of happiness that characterize free societies make accommodation, balance, and calibration indispensable to the conservative mission. Burkes storied career demonstrates that political moderation is not only consistent with but essential to vindicating the principles of liberty.
52
Policy Review
Peter Berkowitz
Prudence, Burke famously observed, is the god of this lower world.2 It carefully considers circumstances, which give in reality to every political principle its distinguishing color and discriminating effect, and which render every civil and political scheme beneficial or noxious to mankind.3 Prudence serves political moderation by mediating between principle and practice. It guides the reconciliation of liberty with the requirements of tradition, order, and virtue by taking the measure of all and, to the extent possible in the fluid and murky world of politics, issuing in judgments and actions that give each its due. According to Burke, the French revolutionaries were immoderate in the extreme. By overthrowing monarchy and religion, they aimed to achieve emancipation from not merely a specific tradition or custom but the very authority of tradition and custom. Their goal, unreasonable in the extreme, was to establish an empire built on abstract reason alone. Prudent application of principle to circumstance would be unnecessary. Instead, they would mold circumstances to comply with pure reasons demands. Marching under the banner of the rights of man, they set out to deduce the structure of a society of free and equal citizens without regard to the beliefs and practices, the passions and interests, the attachments and associations that fashion character and form conduct. Rather than counting on education grounded in history, literature, and the sciences to discipline and elevate a recalcitrant human nature, the revolutionaries sought to remake human nature and society to fit reasons supposed revelations about citizens true wants and needs, rights, and obligations. The realization of the revolutionaries ambitions, Burke immediately discerned, would depend on the ruthless resort to violence. Anticipating not only Robespierre and the Reign of Terror but 20thcentury totalitarianism, Burke presciently argued that the determination to use the power of the state to create a new humanity would bring about the dehumanization of man. The quarrel between Burke and the French revolutionaries comes down not to whether liberty is good or is even the leading purpose of politics Burke thought it was both but to the material and moral conditions and the political institutions most conducive to securing, preserving, and extending it. The French revolutionaries put their faith in governments ability to set the people free by developing institutions that satisfy citizens sensibilities by aggressively transforming them. In contrast, Burke emphasized the moral and political benefits that flow to liberty from the time-tested beliefs, practices, and institutions beyond governments immediate purview that structure social life and cultivate manners and morals. The progressive side of the liberal tradition, the roots of which extend back to the French Revolution,
2. Edmund Burke, Letter to the Sheriffs of the City of Bristol, on the Affairs of America, in The Works of the Right Honourable Edmund Burke II (John C. Nimmo, 1887), 226, available at http://www.gutenberg.org/files/15198/15198-h/15198-h.htm#SHERIFFS_OF_THE_CITY_OF_BRISTOL.
54
Policy Review
he need for prudent reform to meet the changing requirements of liberty was the dominant theme of Burkes nearly 30-year political career in Great Britains Parliament in the late 1700s. Britain then
55
Peter Berkowitz
governed the largest empire the world had ever seen. The empire was distinguished not only by its reach but by the principle of liberty in which it was rooted. Burke believed that to conserve the empire, Britain had to recognize the convergence between its obligation to respect liberty and its interest in doing so a convergence that held not only at home but in all its far-flung possessions and undertakings. Even when it meant differing from his constituents and in his greatest moments Burke championed causes that many of his constituents strongly opposed he ardently defended libertys imperatives. In The Great Melody, a magisterial study of Burkes life and ideas, Conor Cruise OBrien adopted as his epigraph lines from Yeatss The Seven Sages:
American Colonies, Ireland, France, and India Harried, and Burkes great melody against it.4
Yeatss lines, OBrien showed, capture the unifying spirit of Burkes political labors, which involved steady opposition to that abuse of power that consisted in the disregard by government of the fundamental requirements of liberty. As a member of Parliament, Burke supported American self-government, toleration for Irelands Catholics, and ending Warren Hastingss corrupt and cruel administration of India. These reforms may seem at odds with Burkes ferocious criticism of the French revolutionaries. But both reflect the balance of principles, interests, and goods that underwrite libertys conservation and direct its correction. Burkes reform efforts rested on the conviction that what a legislator particularly owed his constituents was sound judgment. In November 1774, in a speech to his supporters upon his election to Parliament from Bristol, then Englands second largest city, Burke sought to dispel the popular misconception that representatives must obey their constituents explicit instructions and mandates.5 Representatives are obliged to vigorously advance their constituents interests, he readily acknowledged, but they are not obliged to accept their constituents understanding of those interests or their constituents opinions about the policies that would best advance them. Speaking with a high sense of purpose and uncommon frankness to those returning him to London, Burke explained that
4. Conor Cruise OBrien, The Great Melody: A Thematic Biography of Edmund Burke (University of Chicago Press, 1992).
5. Edmund Burke, Speech to the Electors of Bristol, on his being declared by the Sheriffs duly elected one of the Representatives in Parliament for that City, The Works of the Right Honourable Edmund Burke II (John C. Nimmo, 1887), 89, available at http://www.gutenberg.org/files/15198/15198-h/15198h.htm#ELECTORS_OF_BRISTOL. See also Burke, Speech at the Guildhall in Bristol, Previous to the Late Election in that City (1780), ibid., 382, available at http://www.gutenberg.org/files/15198/15198h/15198-h.htm#GUILDHALL_IN_BRISTOL. Fourteen years later, James Madison similarly argued that the institution of representation, while rooted in the peoples will, works to refine that will and bring it in line with the peoples reason. See James Madison, Federalist Nos. 10, 49, 51, in Alexander Hamilton, James Madison, and John Jay, The Federalist Papers, ed. Clinton Rossiter, Introduction and Notes by Charles R. Kesler (Signet Classic, 2003).
56
Policy Review
The representatives responsibility to provide sound judgment stems not only from moral and religious duty but also from the division of labor in which modern representative self-government is grounded. It is the representative who is immersed in the issues of the day. It is the representative who has the opportunity to debate the fine points of legislation and to deliberate. And it is the representative who, from the perspective of the capital city, can look out beyond local purposes and prejudices to consider the long-term consequences of policy and the general good of the whole nation. The sound judgment that Burke champions differs greatly from the public reason from which todays professors of political theory and law purport to derive law and public policy. Public reason and its operation in deliberative democracy describe not the reason that citizens and public officials actually exercise, but rather a system of assumptions about human beings and a hierarchy of moral values that they ideally should accept. When applied to the issues of the day, the professors theories invariably yield results that correspond to progressive policy preferences.6 In contrast, Burke argued that sound judgment grows out of practice, is rooted in the rich soil of moral and political life, and balances conservation and correction. Keenly appreciative of the interests, institutions, and powers that representatives must reconcile, Burke urged his Bristol constituents to keep in mind that their bustling port city
is but a part of a rich commercialnation,the interests of which are various, multiform, and intricate. We are members for that greatnation,which, however, is itself but part of a greatempire,extend6. For an elaboration of these criticisms, see Peter Berkowitz, The Ambiguities of Rawlss Influence, Perspectives on Politics 4:1 (March 2006), available at http://www.peterberkowitz.com/theambiguitiesofrawlsinfluence.pdf; and Berkowitz, The Debating Society, The New Republic (Nov. 26, 1996), available at http://www.peterberkowitz.com/debatingsociety.htm.
57
Peter Berkowitz
ed by our virtue and our fortune to the farthest limits of the East and of the West. All these wide-spread interests must be considered must be compared must be reconciled, if possible. We are members for afree country; and surely we all know that the machine of a free constitution is no simple thing, but as intricate and as delicate as it is valuable. We are members in a great and ancientmonarchy; and we must preserve religiously the true legal rights of the sovereign, which form the keystone that binds together the noble and well-constructed arch of our empire and our Constitution. A constitution made up of balanced powers must ever be a critical thing.
With the controversial positions he advocated for America, Ireland, and India, Burke sought to honor the representatives duty to preserve the balance under Britains constitutional government crucial to liberty. Burke delivered his Speech on Conciliation with the Colonies in the House of Commons on March 22, 1775.7 This was ten years to the day after Parliament passed the Stamp Act, which increased taxes on the American colonists while rejecting their demands for representation. And it was less than a month before the battles of Lexington and Concord would ignite the Revolutionary War, a dire outcome against which Burke had warned of for many years. With tensions mounting, Burke insisted on the need to formulate policy with a view to actual circumstances at home and in the colonies. He urged that deliberations should proceed on the basis of an appreciation of common interests and not according to our own imaginations, not according to abstract ideas of right, by no means according to mere general theories of government, the resort to which appears to me, in our present situation, no better than arrant trifling. The most important circumstance was the deeply rooted devotion to freedom Britain shared with America. This shared interest in freedom was crucially connected to their shared interest in prosperity. Over the previous 70 years, Englands trade with the colonies had increased no less than twelve-fold, and commerce with America had come to constitute more than one-third of Englands total worldwide trade. Americas rise and the resulting benefits to Britain were due in considerable part to Londons hands-off policy: through a wise and salutary neglect, a generous nature has been suffered to take her own way to perfection. Burke argued for maintaining this hands-off policy. He viewed American exuberance, even American obstreperousness, with generosity: I pardon something to the spirit of liberty. To preserve the colonies vital place in the empire given the violence breaking out across the Atlantic would require prudent management.
7. Edmund Burke, Speech on Conciliation with the Colonies, The Works of the Right Honourable Edmund Burke, II (John C. Nimmo, 1887), available at http://www.gutenberg.org/files/15198/15198h/15198-h.htm#conciliation_with_the_colonies.
58
Policy Review
Peter Berkowitz
The prudent option was for Britain to accommodate American demands for greater self-government. Thus Burke favored granting the colonists limited representation in Parliament on questions of taxation, though not as a matter of right. With the question of right, he wished to have nothing at all to do. The legal question, for Burke, counted as less than nothing. Rather, the question with me is, not whether you have a right to render your people miserable; but whether it is not your interest to make them happy. Statesmanship went well beyond questions of strict legality, and it took into account much more than crude calculations of utility. I am not determining a point of law, Burke declared. I am restoring tranquility: and the general character and situation of a people must determine what sort of government is fitted for them. Appreciation of the spirit of liberty common to America and Britain prescribed granting the colonists a measure of representation. And a measure of representation advanced a surpassing British interest, which was to admit the people of our colonies into an interest in the Constitution. Such a policy involved a substantial concession. But it was a concession rooted, Burke asserted, in principles favoring the fortification of liberty and representative government that had consistently informed British government policy. Conciliation itself was the ancient constitutional policy of this kingdom. It reflected the very nature of politics:
All government, indeed every human benefit and enjoyment, every virtue and every prudent act, is founded on compromise and barter. We balance inconveniences; we give and take; we remit some rights, that we may enjoy others; and we choose rather to be happy citizens than subtle disputants.
In Burkes estimation, the balance of inconveniences involved in conciliation with America amounted to a particularly good deal for Britain. By allowing English liberties to flourish in the colonies, Britain would encourage the spirit of liberty that made both Britain and America prosperous, reinforce the spirit of liberty at home, and conserve English dominion on a long-term basis since liberty was also a dictate of justice. Five years later, in his 1780 speech at the Bristol Guildhall which marked the close of his career representing Bristol, Burke offered a trenchant defense of a bill intended to ease the significant disabilities Englands Penal Laws had imposed on Irish Catholics.8 This was a delicate matter for Burke. His father, Richard Burke, was a Protestant who, a few years before Edmund was born in 1729, almost certainly had converted from Catholicism so he could practice law. Burkes mother Mary Nagle was a Catholic, as was Burkes wife of 40 years, Jane. Throughout his career, Burke was highly cir8. Edmund Burke, Speech at the Guildhall in Bristol, Previous to the Late Election in that City, The Works of the Right Honourable Edmund Burke II (John C. Nimmo, 1887), p. 366, available at http://www.gutenberg.org/files/15198/15198-h/15198-h.htm#guildhall_in_bristol.
60
Policy Review
The repeal of the Penal Laws was necessitated both by the religious principles held by the vast majority of Britons and by the common humanity all men shared. Other considerations, grounded in the events of the day, also counseled reform. With toleration gaining ground throughout Europe in Holland, Germany, Sweden, and France British toleration of Catholics would lend
December 2012 & January 2013 61
Peter Berkowitz
support abroad to Protestant claims to toleration in Catholic countries. And as Catholics were Britains best manufacturers, toleration advanced British commercial interests. But if toleration was so important, other critics asked, why did Burke support a bill that provided only partial relief from the Penal Laws rather than their outright repeal? Because, answered Burke, prudence so counseled. While outright repeal was not politically attainable, partial relief would provide a progressive experience. By means of incremental steps, the people would grow reconciled to toleration, when they should find, by the effects, that justice was not so irreconcilable an enemy to convenience as they had imagined. Still others objected that Parliament was acting with undue haste. Burke retorted that Parliament was proceeding too slowly, taking 80 years to undertake the repair of laws that never should have been implemented. And to those who insisted monarchs posed the true threat to freedom, Burke responded that freedom was threatened from many quarters. It could be imperiled just as much by the strongest faction, the tyranny of the majority, and indeed by the rage to rule over others that sometimes wears the mask of freedom:
It is but too true, that the love, and even the very idea, of genuine liberty is extremely rare. It is but too true that there are many whose whole scheme of freedom is made up of pride, perverseness, and insolence. They feel themselves in a state of thraldom, they imagine that their souls are cooped and cabined in, unless they have some man or some body of men dependent on their mercy.
Because liberty is subject to abuse in many ways and the true love of liberty is rare, the peoples will must be confined within the limits of justice, which impose toleration as a defining feature of a free society. In his 1783 speech on Foxs East India Bill, Burke once again pressed for reforms based on the conviction that honoring the claims of liberty abroad made liberty at home more secure.9 Attacking what he believed to be Britains gross malfeasance in India, the speech was a high point of the cause to which he devoted the greater part of the final decade of his parliamentary career. To his many critics, it seemed that he was consumed with the issue. In fact, Burke went to great lengths to bring to justice Warren Hastings, the first governor-general of Bengal, who effectively ruled India from 1773 until 1775. Burke led the 1787 impeachment of Hastings in the House of Commons and the eight-year prosecution of Hastings at the Bar of the House of Lords, which ended in acquittal in 1795. Even still, Burkes early entry into the controversy in his speech in support of Charles James Foxs
9. Edmund Burke, Speech on Mr. Foxs East India Bill, The Works of the Right Honourable Edmund Burke II (John C. Nimmo, 1887), available at http://www.gutenberg.org/files/15198/15198-h/15198h.htm#east_india_bill.
62
Policy Review
Very much in keeping with the larger liberal tradition, Burke held that to be most politically effective, natural rights, which preexist and set standards for political life, require translation through legal codes into concrete guarantees.
December 2012 & January 2013 63
Peter Berkowitz
What are properly called the chartered rights of men are those natural rights that are explicitly affirmed in fundamental legal documents. The Magna Carta, a charter to restrain power, and to destroy monopoly, was for Burke an outstanding example. In contrast, The East India charter is a charter to establish monopoly and to create power. It worked to suspend the natural rights of mankind at large, allowing the company to administer, as if it were a state power, an enormous territory vital to the commercial interests of Britain as well as to manage the lives and fortunes of thirty millions of their fellow-creatures. However, the political power to rule over another is not a natural right. To the contrary, it is wholly artificial, and for so much a derogation from the natural equality of mankind at large, ought to be some way or other exercised ultimately for their benefit. The East India Company had enjoyed a trust. By betraying the lawful purposes that brought it into being, the company had nullified the trust. In view of the companys plenitude of despotism, tyranny, and corruption, Burke argued that Parliament was obliged to reassert its responsibility for the equitable and efficient administration of India, to provide a real chartered security for the rights of men that the company had cruelly violated. Burke recognized that the revision of the East India Companys charter he sought was drastic. He justified the drastic reform on the grounds that the East India Company had long persisted in drastic abuses. But the reform, he emphasized, was in no way based on an a priori argument against endowing a private company with the political power to administer a vast nation:
With my particular ideas and sentiments, I cannot go that way to work. I feel an insuperable reluctance in giving my hand to destroy any established institution of government, upon a theory, however plausible it may be.
Furthermore, no established institution of government should be repudiated for the mere existence of abuses in the exercise of its powers, because there are, and must be, abuses in all governments. Because of the wisdom embodied in established institutions, Burke held that sweeping change should be contemplated only as a last resort to protect the most basic individual rights and vital national interests.10 Accordingly, fundamental alteration of any established institution of government would have to meet exacting criteria:
1st, The object affected by the abuse should be great and important. 2nd, The abuse affecting this great object ought to be a great abuse. 3d, It ought to be habitual, and not accidental. 4th, It ought to be utterly incurable in the body as it now stands constituted.
10. Or, as he argues in distinguishing the English Revolution of 1688 from the French Revolution, sweeping change should be in response to a grave and overruling necessity and should be undertaken with infinite reluctance, as under that most rigorous of all laws. See Reflections on the Revolution in France, 267; see also 311312.
64
Policy Review
And by this exacting standard, Burkes arguments in the name of liberty in favor of reform are of a piece with his arguments in the name of liberty against the revolution in France.
Peter Berkowitz
but on the rest of society. Liberty unrestrained and undisciplined fosters immoderation. Consequently, a government devoted to conserving and correcting freedom will require particular prudence in the art of balancing, or political moderation.11 The virtue of political moderation is often mistaken for a compromise with virtue, a softening of belief, a diluting of passion, a weakening of will, even an outright vice. But those are examples not of political moderation but of the failure to achieve it. Moderation in politics is not a retreat from the fullness of life but an embrace of it. Political moderation is called into action by the awareness of the variety of enduring moral and political principles; the substantial limits on what we can know and how effectively and justly we can act; the range of legitimate individual interests; the multiplicity of valuable human undertakings and ends; and the quest to discern a common good in light of which we can make moral distinctions and establish political priorities.12 Political moderation underlies self-government understood as the individuals mastery of his own conduct and understood as a free peoples rule over itself. Nevertheless, the virtue of political moderation will always serve as an inviting target for demagogues who seek to exploit the passion for purity in politics. In the Reflections, Burke warned that one who supports a scheme of liberty soberly limited is likely to be accused of lacking fidelity to his cause. The purists attack on the appeal to reason and the exercise of restraint in behalf of freedom will not end there:
Moderation will be stigmatized as the virtue of cowards, and compromise as the prudence of traitors, until, in hopes of preserving the credit which may enable him to temper and moderate on some occasions, the popular leader is obliged to become active in propagating doctrines and establishing powers that will afterwards defeat any sober purpose at which he ultimately might have aimed.
Because of the perennial need to stand firmly against the common slander that political moderation is a feeble disguise for weak-kneed betrayal of principle, political moderation is inseparable from political courage. Since Burkes devotion to political moderation was hardly evident to all observers in his time and would have been disputed by many, he was compelled to clarify his beliefs about it. In the final paragraph of the Reflections, written 25 years after he was first elected to Parliament and four years before his retirement, Burke declared that he had been one almost the whole of whose public exertion has been a struggle for the liberty of others.
11. For further reflections on the paradox of freedom see Peter Berkowitz, The Liberal Spirit in America, Policy Review 120 (Aug. & Sept. 2003), available at http://www.hoover.org/publications/policy-review/article/7229.
12. See Harvey Clor, On Moderation: Defending an Ancient Virtue in a Modern World (Baylor University Press, 2008).
66
Policy Review
To conserve liberty at a time when the French revolutionaries made extravagant claims on its behalf, Burke fervently championed the claims of tradition, order, and virtue. And when his countrymen failed to grasp its imperatives in their affairs abroad in America, Ireland, and India, he passionately urged reforms that enlarged libertys sphere. The conservative sideof the larger liberal tradition displays variations on the political moderation contained in Burkes insistence on the importance of combining and reconciling the principles of conservation and correction. In 1776 in The Wealth of Nations, Burkes contemporary Adam Smith examined the mutual dependence of economic life and virtue. Smith saw that the market economy, which brought prosperity and nourished political liberty, both rewarded moral virtues rationality, industry, ingenuity, and self-discipline and corrupted workers character by condemning them to monotonous labor. He therefore insisted on the need for government to take action by, for example, providing education for workers and limiting the workplace demands imposed on them by manufacturers. In Democracy in America, the first volume of which appeared in 1835 and the second in 1840, Alexis de Tocqueville argued that in the modern era democracy had become necessary and just and that while it fostered a certain simplicity and straightforwardness in manners it also encouraged selfishness, envy, immediate gratification, and lazy acceptance of state authority. To secure liberty, which he believed essential for a well-lived life, it would be necessary to preserve within democracy those nongovernmental institutions family, religious faith, and civic associations of many sorts that counteracted democracys deleterious tendencies. Family, faith, and civic associations taught moral virtue, connected individuals to higher purposes, and broadened their appreciation of their self-interest to include their debts to forebears, bonds to fellow citizens, and obligations to future generations. John Stuart Mill, an admirer of Tocqueville whose voluminous writings feature conspicuously conservative and progressive dimensions, made the case in 1859 in On Liberty that liberty served the permanent interests of man as a progressive being. At the same time, he distinguished between the use and abuse of freedom; defended a rigorous education continuing through university and combining science and humanities to equip individuals for freedoms opportunities and demands; and favored political institutions that, while grounded in the consent of the governed, were designed to improve the likelihood that elections
December 2012 & January 2013 67
Peter Berkowitz
would bring individuals of outstanding moral and intellectual virtue to public office. If a liberal in the large sense is one who believes that the aim of politics is to secure liberty, then Smith, Tocqueville, and Mill are, like Burke, exemplary members of the liberal tradition. Because of their common appreciation that free societies expose individuals to influences that corrode moral and political order and enervate the virtues on which liberty depends, they belong on the conservative side of the liberal tradition. Because of their shared understanding that limits must be imposed on government to protect individual liberty, but that those limits must not sap the energy or impair the authority government needs to secure liberty, their account of self-government emphasizes striking a balance between competing and essential principles. Their political moderation is a reflection of their passion for freedom and their reasoned understanding of the complex conditions that sustain it. The Federalist, the masterpiece of American political thought, embraces the conservative brand of liberal self-government they epitomize and constitutionalizes it.
68
Policy Review
everal years ago I asked a leader in the Maryland pain community what percentage of Marylanders had enough chronic pain to deserve medical therapy. He replied matter-offactly, One hundred percent. I thought he was joking, but he quickly explained to me that everyone has chronic pain at some point, meaning pain lasting for more than three months. Because medical therapy is available, such pain is needless, he argued; therefore all Marylanders were candidates for chronic pain therapy. Although extreme, his position exemplifies the new and aggressive stance toward chronic pain in the country at large. The medical profession now estimates that 116 million Americans suffer from chronic pain and merit some kind of treatment more than a third of the entire population. This number doesnt even include sufferers of acute pain, or children. Already eight million Americans use drugs to manage this pain, representing a tenfold increase in the last fifteen years. Pain that a generation ago would have been overlooked as a natural part of everyday life now has the attention of
Ronald W. Dworkin, M.D., Ph.D., is a senior fellow at the Hudson Institute and teaches in the George Washington University Honors Program.
December 2012 & January 2013 69 Policy Review
Ronald W. Dworkin
physicians, leading to an enormous increase in both narcotic and nonnarcotic prescriptions, with narcotics now representing the most widely prescribed class of medications in the U.S. Indeed, $600 billion is spent annually on the chronic pain problem. As an anesthesiologist, I have observed a corresponding change in popular attitudes toward acute pain. All surgical patients hate pain, yet even as late as the 1970s, anesthesiologists typically ignored mild to moderate postoperative pain, not out of cruelty but because they were unconscious of the complaint. Had the public pressured anesthesiologists to change their ways, they might have done so. But the public did not. Some anesthesiologists saw postoperative pain as a useful respiratory stimulant to counteract the depressant effects of their anesthetic. Others worried (wrongly) that aggressively treating pain in the recovery room All surgical might lead to drug addiction. But most of the indifpatients hate ference toward pain was convention, among both doctors and patients, and the weight of a reigning pain, but even as convention is like the weight of the atmosphere it late as the 1970 s, is so universal that no one feels it. Today, such indifanesthesiologists ference would be considered poor practice if not typically ignored malpractice. Pediatric anesthesia exhibits the clearest trend. As mild to moderate late as the mid-1980s, anesthesiologists rarely anesthetized infants for surgery, in part because they postoperative worried about the effect of potent anesthetics on pain. sick babies, but mostly because they assumed infants didnt feel pain, a concept that grew out of 1940s research that showed newborns failed to pull their limbs away when pricked with a pin. Anesthesiologists simply paralyzed infants with muscle relaxants to keep them from moving while the surgeon cut. During my training in the mid-1980s, some of my professors would jam breathing tubes into awake and struggling infants, then, during surgery, administer a little nitrous oxide, a weak anesthetic. They were almost humane for their times. Today, this practice seems barbaric. Although the infants pain experience remains a mystery, since infants cant talk, the empathic sensibilities of both anesthesiologists and laypeople have been so aroused that letting a surgeon operate on an awake infant today would be inconceivable. Obstetrical anesthesia reveals the same trend. As late as the 1970s, many anesthesiologists and patients saw epidurals for pain relief during labor as a luxury. Although the labor epidural technique was established in 1942, and the equipment for continuous labor epidurals came into being in 1949, even as late as 1961 prominent anesthesiologists assumed the old, substandard method of pain relief during labor, including narcotics and nitrous oxide, would suffice for most women, and that only ten to twenty percent of laboring women would need epidurals. Today, American women expect epidurals. Sixty to 70 percent of American women get them; the rate approaches 90
70 Policy Review
Ronald W. Dworkin
Third, many chronic pain patients feel a stigma attached to their therapy. They fear some quarters of society view them as a bunch of drug fiends. They particularly resent being grouped with patients who take psychoactive drugs for everyday unhappiness. Masking unhappiness with psychoactive drugs risks leaving a person mired in bad life circumstances that need to be changed; in such cases, unhappiness needs to be felt. But what possible value can there be in pain? Why should pain be felt, ask chronic pain sufferers? The ensuing wall of silence infuriates these patients, and not only against their public critics, but also against doctors and government bureaucrats who seem resistant to doling out medical therapy. At the same time, government authorities do have a legitimate interest in how chronic pain is being treated. Drug diversion, in which opiates prescribed for a chronic pain patient end up in the hands of someone else, often for nonmedical use, has steadily increased over the past twenty years. In addition, deaths resulting from accidental overdose of opiates have tripled among chronic pain patients since 1999. The mass treatment of chronic pain is beset by doubts, recriminations, and resentment, but the word that best captures the treatment climate is confusion. Neither doctors nor patients nor government officials know where they stand. On the pain issue, each distrusts the other; indeed, each almost dislikes the other. To resolve this confusion, the first order of business must be to explain its origins, beginning with a recognition that trends in acute and chronic pain are of a piece. Indeed, although not a public policy concern in its own right, the acute pain experience sheds considerable light on the chronic pain problem.
Measuring pain
henever i roll a patient into the recovery room after surgery, the receiving nurse asks the patient, Do you have any pain? If the patient answers in the affirmative, the nurse follows up by asking the patient to estimate his or her pain, on a scale of one to ten, with ten being the worst pain of your life. The nurse does this to establish the patients pain score. If the number is high, I will invariably prescribe a pain medication, typically a narcotic. The pain score has become an essential feature of pain management, both in acute and chronic pain, so much so that it has been called the Fifth Vital Sign (after blood pressure, pulse, respirations, and temperature). The Joint Commission on Accreditation of Healthcare Organizations (jcaho) now requires doctors and nurses to ask patients to estimate their pain, whether in the form of a number, a verbal description, or a visual diagram (for example, on a scale ranging from a happy face, meaning no pain, to a frowning face, meaning a lot of pain). The estimate serves as a measure of patient discomfort to help guide therapy.
72 Policy Review
Ronald W. Dworkin
other physical injury, as a legitimate basis for a lawsuit. State medical boards increasingly reprimand doctors who neglect peoples pain. More than once Ive cut my fingers rushing to crack open a glass ampule of morphine in the effort to spare a patient an extra 30 seconds of pain. Pain has attained ideological status in American culture, making it similar to breast cancer and hiv other medical problems with political overtones. Activists speak of a right to pain relief. Doctors who hesitate to treat pain sit next to bankers and oil company executives in the cultures pantheon of evildoers. Doctors have the same responsibility to treat pain as they do breast cancer or aids, but unlike the latter two, they have no authority to diagnose the problem, or to say whether or not the problem even exists in a particular patient. Its an untenable position. To bridge the gap between themselves and their patients, doctors have spent more than two decades in search of a measure that will let them objectively measure a patients subjective experience of pain, thereby returning authority to them to sit alongside their responsibility. In the chronic pain field this dream measure is commonly referred to as the Holy Grail. It has never been found. That doctors dream of finding it is telling. Until then, and so long as pain remains a subjective experience, doctors will continue to view some chronic pain complaints with a tincture of distrust.
Ronald W. Dworkin
the white, the less white, and the gray that is, the more or less pure teaching and having stamped it with a seal of infallibility, it deprived itself of the right to explore, innovate, and elucidate on true pain, hobbling medical research for many decades. Second, as a growing body of evidence showed that true pain could exist without a visible lesion, and that psychology affected pain, the line that doctors drew fell under siege. Having acknowledged the necessity of a visible lesion in pain, doctors had to justify everything, shut their eyes, hide, fall into contradictions, and, alas, often say what was not true when confronted with countervailing evidence. By the 1920s, the division between organic pain (pain associated with a tissue lesion) and functional pain (pain that is all in the head, and taken less seriously) had become canonical. Chronic pain sufferers without obvious lesions were considered deluded, or, worse, malingerers and potential drug abusers. The medical profession ignored them to preserve the integrity of their line. When that line collapsed in the 1960s, the previous attitude, in retrospect, seemed scandalous. The situation was not unlike what arose after the civil rights movement, when all that had been taken for granted for over a century was seen with new eyes. Doctors felt guilty. Chronic pain patients were angry, and henceforth sensitive to any whiff of doctors dismissing their troubles. The distrust that chronic pain patients feel towards the medical profession continues to this day.
everal years ago, I happened to be in the same room as an anesthesiologist was speaking on the phone with a dea official. The anesthesiologist had called the agency to ask an innocent question about his license renewal. All of a sudden, the anesthesiologist froze and even seemed to cower, then stood up with a jerk and darted off. He had entered a trap: The official on the other end of the line had demanded that he read some numbers off his license, even though he (the anesthesiologist) had been the one to initiate contact. If he couldnt produce his license, which, according to the official, should always be on his person or within view at work, there would be trouble, the official warned; they might even come for him. The anesthesiologist ran to his office and retrieved the necessary document (it was in his briefcase), then returned and spoke the numbers with a quiver, thereby saving himself. In the chronic pain world doctors and patients sometimes suspect each other, but so also do doctors and government officials, as the two groups have different goals and often work at cross purposes. Doctors want to treat pain (although, as noted above, what pain is can be hard to say), while some government officials want to clamp down on the illicit use of pain drugs (although other government officials work to implement the activist agenda
76 Policy Review
Ronald W. Dworkin
hand, they had to aggressively treat pain (which the patient, and not the doctor, now defined), or risk their licenses; on the other hand, they had to be careful about dispensing opiates to treat that pain, or risk their licenses. Indeed, the line that doctors treating chronic pain must walk is a truly narrow one, since addictive behavior (which is not the same as addiction) can be an unavoidable trade-off when treating chronic pain. In some cases the treating physician must ask himself or herself, What is a reasonable degree of addictive behavior in this patient, allowing the patient enough pain relief to function, but not so much that the addiction itself leads to problems? A narrow gulf can exist between adequate pain relief and addictive behavior. These nuances are often lost at the level of government, creating tension between doctors and officials. An example of this tension surfaced in 2011, when the fda wrote preliminary guidelines for doctors prescribing opiates for chronic pain that focused mostly on the risks of abuse and illegal drug trafficking. The American Pain Society complained, noting that the agency had ignored the salutary benefits of opiate use in chronic pain, as if chronic pain medicine had few redeeming qualities and barely sat on the right side of the law. The average chronic pain doctor can pretend to be in sync with government officials all he wants, he can make it appear that he shares their ideas fully, but even if he learns to speak to their language, he knows they will never trust him completely. If his patients sell their pain drugs illegally, he risks guilt by association. If rumors reach government officials that he is outside the norm in his opiate prescription patterns, even for legitimate reasons, federal agents can (and likely will) crash his office and scrutinize his files. Some government regulations command him to treat pain, while other regulations tell him to watch out. The doctor feels cribbed, cabined, and confined; he feels as if he were in a vicious circle where the quest for a plain and simple answer about how to practice is hopeless. The regulations reproach him, they put awkward questions to him, they try to hurt him, they ask him riddles and leave him without an answer. The typical pain doctor today treats his patients with the police sitting in the back of his mind. At the same time, he also observes that nothing bad has happened to him yet, in which case perhaps the regulations dont matter a straw, and he should just take care of his patients as he thinks appropriate. The doctor concludes he is safe for the time being and up to a point until the moment hes no longer safe, and his time has come.
s an anesthesiologist, I can separate a patients rational consciousness from his individuality through intravenous drugs or regional blocks. During a regional block, for example, the patient
78 Policy Review
Ronald W. Dworkin
(which is not the same thing as clouding reality or a persons identity). Religions goal is not to deny the existence of the individual, but to stop a person from recognizing the existence of his individuality as life and happiness. The emphasis on individuality and personal happiness fuels the fundamental contradiction of life, says religion; therefore, put less emphasis on individuality and personal happiness. Occasionally, instead of stifling individuality, religion actually redefines individuality, such that a person finds happiness and self-expression in pain (for example, the Christian Flagellants or the Hindu Fakirs). Again, the purpose is to distract a person from his quest for conventional personal happiness. This is a secular age, an age that emphasizes individuality, self-expression, and personal happiness. After centuries of writers preaching the greatest happiness for the greatest An emphasis number, the importance of desire, and the uniqueon individuality ness of the inner voice, most Westerners today believe in personal happiness and individual fulfilltends to find ment as lifes purpose. They have for some time its way into and there is no turning back. Some ideas go in and all areas of life, out of fashion, but other ideas take the form of irreversible trends and signify a permanent departure including the from the past. Over the last three centuries the West has trended towards more equality. During this area of pain same period the West has also trended towards management. more individuality. An emphasis on individuality finds its way into all areas of life, including the area of pain management. It intensifies the fundamental contradiction of life, ever so slightly, but enough to produce a sea change in peoples attitudes and expectations regarding pain. People no longer accept chronic pain as their lot in life. Constantly reminded that personal happiness is not only desirable but also essential, they resent their pain and the fundamental contradiction of life that exacerbates it. They demand relief. A parallel change has occurred in peoples attitudes toward death. True, the fear of death is timeless and universal, yet it comes with subtle gradations that are amenable to change. There is the average human view of death, which varies little, as everyone fears death to one degree or another. There is the personal element that infuses individuals differently, giving them a more poignant interest, and bringing them closer to ourselves, while also making broad generalizations more difficult. Then there is the cultural attitude toward death, which is subject to the rumors of periods. Like the cultural attitude toward pain, the cultural attitude toward death has also changed. Historian Philippe Aris, in The Hour of Death, calls the new unease toward death manifested in Western culture Death Denied. According to Aris, contemporary Western culture tries to banish death from awareness.
80 Policy Review
Ronald W. Dworkin
and heart disease, but in many cases results in less pain control and worse function. In 2011, these findings inspired Washington State to implement more restrictive regulations regarding opiate prescription. Yet almost immediately, and not without some justification, critics of the new policy feared that it would give government authorities a chance to crack down harder on drug use, as part of the drug war, thereby risking return to the days when chronic pain was grudgingly treated. Such fears need to be factored out of the equation when setting chronic pain policy, starting with an institutional separation between chronic pain (and even drug diversion within chronic pain) and the drug war. It is possible that the pendulum swing toward greater use of narcotics in chronic pain will move back toward neutral. Pain doctors increasingly recognize the importance of cognitive/behavioral therapy in managing pain. Pain patients often have better outcomes when learning coping behaviors and changing maladaptive ones. Indeed, many pain drug studies show that opiates can be effective, but that a placebo is usually almost as effective. Yet in order for this pendulum swing to occur, policy decisions surrounding chronic pain must be separated from those involving the war on drugs. Without separation, even some doctors will resist the swing toward neutral. The outpouring of legitimate demand for pain medications over the past two decades is an outpouring of discontent, one that expresses a deep change within Western culture. Confusion overlies that discontent, and exacerbates it, rooted in rival understandings of what pain is and how it should be treated. Each group of actors in the chronic pain field patients, doctors, and government officials simultaneously paralyzes the other two with its power. To the degree that policymakers can take command of this issue, their goal should be to sort out the confusion, especially the distrust between doctors and government. But the underlying contradiction fueling the growth of the pain industry will remain in force.
82
Policy Review
ccording to william altmans The German Stranger, Leo Strauss concocted a radical critique of liberal democracy that is a synthesis of the thought of Carl Schmitt and Martin Heidegger, two cowardly, utterly repulsive, and lapel pin-wearing Nazi philosophers. Strauss could not join the party due to his Jewish blood, but he did what no mere Nazi could have done or dreamed of doing: he boldly brought his anti-liberal project to the United States, the most fearsome of his homelands Western enemies and the greatest and most powerful liberal democracy that has ever been. Strausss project is primarily destructive: it was the theoretical foundation of liberal democracy in general that he sought to annihilate, not some new form of totalitarianism he aimed to erect. Leo Strauss was born into an observant Jewish home in Germany at the end of the 19th century. As a young man he participated in the Zionist movement; he studied philosophy in several German universities, encountered Husserl and Heidegger as well as the academic philosophy of the neoKantian school, and began his scholarly career as a researcher in Jewish Studies in Berlin in the 1920s. Strauss left Germany on a fellowship to
Robert Howse teaches international law and legal and political philosophy at nyu Law School. He is the author of articles on Leo Strauss, Carl Schmitt, and Alexandre Kojve, and is writing a book on Strausss views on war and peace.
December 2012 & January 2013 83 Policy Review
Robert Howse
Cambridge in 1932 and did not return after Hitler came to power. He lived in England and France for a number of years before moving to the New School in New York, where he obtained a regular faculty position in 1941. Later, Strauss accepted a professorship at the University of Chicago, where he wrote the works that have made him famous, such as Natural Right and History, the City and Man, and Thoughts on Machiavelli. He is best known in America, at least by those who have taken the trouble to study carefully his writings, for his critique of the roots of modernity based on a perspective that is largely drawn from pre-modern philosophy Greek, Jewish, and Islamic. Altman is aware of the many statements of Strauss against Nazism, often worded in strong, passionate terms. He knows that Strauss said many things that could be taken to support liberal democracy, including that liberal democracy was the best possible political alternative in his own time. According to Altman, these explicit statements are lies, designed to conceal the true nature of Strausss project from unsuspecting, innocent Americans. Strauss had claimed that the great philosophers of the past wrote exoterically in such a manner as to conceal their true teaching from all but a few understanding readers. According to Strauss these thinkers did so to avoid persecution, and also the harm to themselves and society that could come from the innocent and not-so-innocent misappropriation of their ideas. Writing in this way between the lines entails burying in a work with an innocuous external teaching various statements that guide the reader toward the authors true intent. Altman believes that Strauss himself practiced exotericism. According to Altman, once we assume this we will find many statements in Strausss writing that modify those which attack Nazism and support liberal democracy. While often ambiguous, these statements, Altman maintains, are decisive hints of Strausss hidden Nazi-inspired attack on liberalism.
Robert Howse
Nazism in the first place: national pride and the solidarity of all Germans, regardless of class. A German is defined here by Altman as anyone born as a citizen of the Second Reich. Thus, incredibly, according to Altman, antiSemitism and even Aryanism are not connected to the core of Nazism but mere accidental features of it. Be that as it may, this definition has the crucial benefit to Altman that it allows him to set the bar of proof for his thesis very low indeed. For any statement that does not unambiguously repudiate nationalism or patriotism, however liberal (i.e., including a citizen-based concept of the nation) then becomes an affirmation of the core of Nazism. Bizarrely, Altman presents his own project as essentially motivated by American patriotism for the sake of my native land, which demands something better than our best from those who love her. It appears that only in America, or perhaps The intellectual only in the soul of Altman, is love of country not tainted by Nazism. witch hunt Although Altman claims he is following Strausss entailed in own principles for reading between the lines, the Altmans reading intellectual witch hunt entailed in Altmans reading with suspicion with suspicion is antithetical to Strausss method. Strauss writes in Persecution and the Art of is antithetical to Writing that reading between the lines is strictly Strausss method. prohibited in all cases where it would be less exact than not doing so. Only such reading between the lines as starts from an exact consideration of the explicit statements of the author is legitimate. Thus, one must not start from suspicion that the explicit statements of the author are untrue, but rather the reverse. Only where these explicit statements contradict one another, or contain errors of fact or blunders of logic, can one have recourse to reading between the lines. And reading between the lines entails discerning the plan or design of the work by a careful consideration of the work as a whole all of its disparate elements. While all of Strausss reading between the lines of older thinkers entails an intricate examination of individual works as wholes and a concern with reconciling the details with the plan or the design of the work, Altman moves free form between many different writings of Strauss entire books, posthumously published lectures and drafts, private correspondence. He strings together snippets from all this material, each quotation taken out of context to display Strausss hatred of liberalism. I imagine that if one were clever enough with this technique one could make any major thinker out to be fascist, probably even Kant. After telling us he will provide an exposition of Persecution and the Art of Writing, Altman makes a move that will be repeated every other time in The German Stranger when he promises to provide a careful reading of a work of Strauss that will uncover Strausss hidden teaching. Instead of a systematic interpretation, Altman cites a few isolated sentences or phrases from
86 Policy Review
Note Altmans strategy. He first of all tells the reader that there is a link that is important for catching Strauss. But then he confesses that, in his 600-page book, he has no space to prove it. He can only sketch it. Sketch means that Altman insinuates the link while indicating to the reader that he would need to do forbidding scholarly footwork either to prove or refute it. In effect, the reader is invited to defer to Altmans mere assertion of the existence of the link, fortified by a mass of pedantic footnotes. After all, if he were to challenge Altmans sketch he would need to read a book review by Hegel that Altman makes very clear has not been translated into English, and as well as to have a competent grasp of the work of Hamann, Jacobi, Spinoza, Hegel, Nietzsche, and Heidegger. Better to trust secret agent Altman with his linguistic skills and his arcane researches behind enemy lines. This is the sleight of hand by which, again and again, Altman seeks to induce the assent of the reader in the absence of proof. Another example that illustrates this strategy is Altmans claim that Strauss had discovered esotericism well before he began to study with care the medieval Jewish and Islamic philosophers. Here Altman directs the reader to Strausss doctoral dissertation, written in his early twenties, where Strauss discusses the final footnote in an obscure work of the antiEnlightenment thinker Jacobi. Altman tells us the footnote is too lengthy for him to translate. He never does walk the reader through Strausss actual analysis of the footnote, or explain why it shows awareness of esotericism. After torturing and teasing us for pages about the footnote, he finally admits that obscure footnotes cant tell us that much about whether Strauss recognized Jacobis esotericism. Instead we have to rely on Altmans own judgment that Strauss, whose ability to spot such things cannot be doubted, was too smart not to realize it. But why should we believe Altmans hunch that Strauss had some uncanny gift or knack for uncovering hidden truths, rather than Strausss own claim that his rediscovery of esotericism was due to the painstaking study of earlier thinkers like Maimonides and Farabi?
December 2012 & January 2013 87
Robert Howse
Robert Howse
itself is worth fighting for. It is not enough to remain at the level of polemics and say that one is fighting against liberalism. Where Altman most differs from the other misreadings is by proposing a psychological basis for Strausss purported endorsement of warrior morality; according to Altman, like Schmitt and Heidegger Strauss had to expurgate his guilt or shame for having not fought in World War I by adopting a particularly virulent form of militarism. Typical for Altman, this theory it is presented as something very clever and original has a dubious basis. Strauss was younger than Heidegger and Schmitt and only fifteen at the outbreak of the First World War, yet Strauss did indeed serve in the German army from July 1917 until the end of the war.
ltman, like most of the recent critics, views a letter that Strauss wrote to his friend the philosopher Karl Lwith in 1933 as convincing and damning evidence of Strausss sympathy with Nazism. The overall context of the letter is Strausss explanation to Lwith why he cannot imagine returning to Germany now that Hitler is in power. Strauss writes:
I will never be able to write other than in German, even if I must write in another language. On the other hand, I see no acceptable possibility of living under the swastika, i.e., under a symbol that says nothing more to me than: you and your ilk, you are physei [by nature] subhumans and therefore justly pariahs.
It would be very hard to take this explanation of why Strauss cannot return to German as an indication of sympathy with Nazism. But then Strauss goes on to write:
To the contrary: only from the principles of the right, that is from fascist, authoritarian, and imperial principles, is it possible with seemliness, that is, without resort to the ludicrous and despicable appeal to the droits imprescriptibles de lhomme [inalienable rights of man] to protest against the shabby abomination . . . There is no reason to crawl to the cross, neither to the cross of liberalism, as long as somewhere in the world there is a glimmer of the spark of the Roman thought. And even then: rather than any cross, Ill take the ghetto.1
1. Here I have relied on the translation by Scott Horton. It must be admitted that the original German is quite difficult and legitimate different renderings of some of the expressions are certainly possible. This makes it both easy and also problematic to treat the letter as a smoking gun. It is likely that postal censorship was already being practiced by the Nazi regime (Lwith was apparently still in Germany at the time Strauss sent the letter) and this may account for some of Strausss rather odd turns of phrase and reversions to non-German words.
90
Policy Review
Robert Howse
The deepest source of Strausss critique is a questioning of the moral orientation at the root of liberalism, and indeed of modernity which, as Strauss puts it in Thoughts on Machiavelli, he regards as a great impoverishment or narrowing of perspective. That moral orientation is one that gives primacy if not exclusivity to secure and comfortable self-preservation as the goal of political life; man is not oriented toward anything higher. Man does not have any justified aspirations that transcend the realm of ordinary human concern. The tendency is to regarding a concern in politics for human excellence or perfection as inherently incompatible with the secure protection of each individuals self-preservation under law. Strauss does not deny that the concern with stable social peace is a legitimate and indispensable goal of political life. Using classical Strauss writes political philosophy as a model, he asks why the best political order could not balance or combine that there are the concern for order and the concern for perfecelements of the tion or excellence, which in its highest forms liberal ideal that requires an openness to a whole that is greater than man, and accessible to him as an individual in ways are compatible not possible through collective, including political, with the concern existence. Strauss accepts that the founders of liberalism had some good reasons for narrowing the for human goals of politics for liberalism emerged in the perfection or context of religious wars, where competing concepts of human salvation divided communities in excellence. ways that were often fatal to stable social peace. But why could we not today, under different conditions, reconsider this basic normative choice of liberalism? In Liberalism Ancient and Modern, Strauss makes the case that, whatever good reasons might have existed for the original moral orientation of liberalism, there are elements of the liberal ideal that are compatible with the concern for human perfection or excellence. Many liberals value freedom not only for the sake of security of the person and of property, but also as essential to the individuals quest for self-knowledge and self-development. In addition, as noted, for Strauss the highest human experiences (above all, philosophy) that connect man to the whole are achieved by individuals, not collectivities, and through thought and dialogue rather than will and decision. This kind of rationalist individualism has a closer affinity with liberalism than any ideology of the political right. Another plane of Strausss critique of liberal democracy is that of Jewish philosophy. Strauss insists that liberal democracy is not a fully adequate solution to the destiny of Jews as a people who are charged with maintaining a collective existence in a largely non-Jewish world. Liberal democracy provides for the tolerance of traditional Judaism but it also awards large social, cultural, and economic prizes for assimilation. In the ghetto, as Strauss observes, Jews were only a stones throw away from brutal persecu92 Policy Review
Robert Howse
A further aspect of Strausss critique of liberal democracy is pessimism about mass democracy, and concern that liberal democracy can exhibit the worst features of mass politics in some settings. In Why We Remain Jews, Strauss recounts a childhood premonition of the possibility of mass violence against Jews in Germany, after encountering refugees from Russian pogroms in his fathers house. Prior to that intuition, Strauss recounts, he had not imagined that it could happen in Germany: We Jews there lived in profound peace with our non-Jewish neighbors. There was a government, perhaps not in every respect admirable, but keeping an admirable order everywhere; and such things as pogroms would have been absolutely impossible. Strauss openly admired the traditional, authoritarian regime of old Germany, which he perceived to be run by basically honorable and realistic aristocrats, advised by educated and enlightened civil servants. He had no illusion that such a polity approximated liberalism. And yet we have to face the fact that, for some considerable period of time, that regime kept under control the violent hatred that Weimar liberal democracy would prove unable to control. Of course Strauss was aware of the many economic and political forces that would lead to the old regime becoming impracticable, and recognized the abuses and injustices that went along with its better qualities. In that sense, he was not a nostalgic. Contrary to Altman, he did not set out to destroy liberal modernity; instead he sought to articulate what would be the most reasonable political options given the character of the times as well as the abiding nature of the theological-political problem. The profundity of Strausss understanding of the sources and limits of liberalism, combined with his insight into the permanent problems of politics, led him to support moderation in political life, and therefore ultimately brought him back to a more positive assessment of liberal democracys worth than he had as a young man.
94
Policy Review
By Jacob Mchangama
Jeremy Waldron. The Harm in Hate Speech. Harvard University Press. 304 Pages. $26.95. n the harm in Hate Speech, New York University Professor Jeremy Waldron sets out to defend hate speech laws (or group defamation laws, as he prefers to label them) against critiques based on kneejerk American First Amendment exceptionalism. Yet Waldrons defense of hate speech laws is based on a purely abstract and ultimately flawed harm principle that is at odds with modern realities. The harm principle proposed by Waldron thus leads to a utilitarian calculus which reduces the freedoms of conscience and expression to dubious
Jacob Mchangama is director of legal affairs at Danish think tank cepos , managing director of the Freedom Rights Project, and external lecturer of international human rights law at the University of Copenhagen.
December 2012 & January 2013 95
empirical disputations based on evidence that is vast and contradictory. Waldrons abstract thesis leads him to dismiss some very weighty arguments against hate speech laws without investigating real examples of how they impact individuals and political debates and lead to arbitrary outcomes difficult to reconcile with the rule of law. The books central premise is that hate speech undermines the equal dignity of individual members of vulnerable minorities. For Waldron, The ultimate concern is what happens to individuals when defamatory imputations are associated with shared characteristics such as race, ethnicity, religion, gender, sexuality and national origin. As examples, Waldron invokes the history of systematic racism and segregation in the U.S. and the lethal legacy of Nazism in Europe. Manifestations of hate speech intimate a return to the all-toofamiliar circumstances of murderous injustice that people or their parents or grandparents experienced, which a well ordered society should not tolerate. Accordingly, hate speech can be restricted as a means of assurance to the targeted groups. Waldron explicitly rejects the idea that hate speech should constitute a clear and present danger before being prohibited by comparing hate speech with environmental harms such as automobile exhaust. Since we know that exhaust can result in lead poisoning, it is justified to require each automobile owner to fit an emission control on the exhaust pipe, even if we cannot show a direct link between the individual car owner and those afflicted by pollution. To Waldron the harm in hate speech outweighs the many objections to hate speech laws, such as the
Policy Review
Books
restrictions on autonomy and freedom of conscience, the interference with the political decision-making process, the often vague and imprecise language of hate speech codes, and the risk of political abuse. The objective of seeking to reassure all members of society that they will not suffer persecution based on their dangers of tolerating extreme speech have little factual basis. There is arguably no better way to gauge an ethnically diverse societys level of tolerance and commitment to equality than to look at interracial marriages prohibited in sixteen states until the Supreme Court struck down Virginias miscegenation law in 1967. The statistics on American attitudes toward interracial marriages reveal a startling development. According to a 2011 Gallup survey, only four percent of Americans approved of interracial marriages in 1958. But in 2011 86 percent of Americans had no problem with such marriages. Among Americans aged 18 to 29, a full 97 percent approve of interracial marriages, suggesting that race relations will only continue to improve. Not only are Americans more approving of interracial marriages, they also tie the knot across racial lines. According to a 2012 Pew survey, about fifteen percent of all new marriages in the United States in 2010 were between persons of different races, more than double the share in 1980 of 6.7 percent. A couple of examples vividly demonstrate the development in race relations. When I visited Little Rock Central High in 2010 I was met by black and white teenagers mingling in the hallways and classrooms. A far cry from 1 9 5 7 when The Little Rock Nine were met by hateful white protestors and had to be escorted to school by armed troops. In 1967, Virginias miscegenation law was declared unconstitutional. In 2 0 0 8 a majority of Virginians voted for a mixed-race presidential candidate. What about actual hate crimes where the offender is motivated by the
96 Policy Review
There is arguably no better way to gauge an ethnically diverse societys level of tolerance and commitment to equality than to look at interracial marriages illegal in 16 states until the Supreme Court struck down Virginias law on miscegenation in 1967 .
race, religion, ethnicity, etc. is one on which virtually all can agree. No one can deny the very real and horrific consequences of Jim Crow and lynchings in America, or of Kristallnacht and the Holocaust in Europe. Even the most principled defender of the First Amendment would surely allow for further restrictions on free speech if indeed it could be shown that hate speech creates a significant risk of a return to violent racial persecution. But nothing suggests that Americas increasingly isolated position on the protection of free speech has led to increasing racial tensions. While there is likely no scientific method of accurately gauging the relationship between free speech and extremism, numerous surveys on race relations suggest that the putative
Books
victims race, religion, sexual orientation, ethnicity/national origin, or disability? According to fbi statistics, The total number of U.S. hate crime incidents decreased from 8,759 in 1996 to 6,628 in 2010. In per capita terms hate crime incidents declined from 3.25 incidents per 100,000 people in 1996 to 2.15 in 2010. Supporters of hate speech laws may argue that these developments have occurred despite the First Amendments protection of hate speech. But there is little evidence that Europe, with its hate speech laws, is doing better. For instance, the AntiDefamation Leagues surveys of antiSemitism suggest significantly higher levels of anti-Semitism in all surveyed European countries than in the United States. Whereas hate crimes in the U.S. have decreased, a report from the eu Fundamental Rights Agency shows that hate crimes have increased between 2000 and 2009 in eleven out of fourteen surveyed eu countries. While differences in methodology preclude direct comparisons between each of the relevant eu countries as well as between these and the U.S., this trend does not suggest that hate speech laws are an effective tool against racism and intolerance in Europe. It is also in Europe, not the U.S., where extremist parties with openly racist or bigoted views are resurgent and have gained seats in parliaments and local councils. Whereas racial and religious minorities in the U.S. have held positions including president, secretary of state, and national security advisor, minorities in the highest level of offices are rare in most European countries. Waldron demands that defenders of current First Amendment protections answer the question of
December 2012 & January 2013 97
whether the targets of abuse can [lead their lives], can their children be brought up, can their hopes be maintained and their worst fears dispelled, in a social environment polluted by [hate speech]? The answer seems to be an emphatic yes. These facts demonstrate the fundamental flaw in Waldrons analogy with environmental harm. While we know for certain that the cumulative effect of automobile exhaust causes harmful pollution that can be averted with emission controls, we cannot with any degree of certainty know that the cumulative effect of hate speech results in environmental harm avoidable by restricting free speech. And whereas emission control devices do not impact the ability to drive, hate speech laws by definition limit the individual autonomy of those convicted as well as the public debate. The fact that Waldron includes a brief discussion of First Amendment history should have made him more suspicious of relying on such an abstract harm principle for restricting free speech. Waldron himself mentions that in the 19th and 20th centuries several highly questionable state and federal laws were enacted targeting sedition, abolitionists, civil rights advocates, atheists, communists and war opponents, several of which were upheld by state and federal courts. It was only in 1969 that the Supreme Court decided in Brandenburg v. Ohio that what we call hate speech may generally only be prohibited when it is directed at inciting or producing imminent lawless action and it is likely to incite or produce such action. If one delves further into the history of free speech, the dangers of accepting
Books
abstract and theoretical harm principles as justifications for suppressing this right becomes vividly clear. In 1676, blasphemy became an essentially secular crime thought to undermine the social cohesion of English society. This happened when Lord Chief Justice Hale declared blasphemy part of the English Common Law in his condemnation of the notorious blasphemer Richard Taylor:
such kind of wicked blasphemous words were not only an offence to God and religion, but a crime against the laws, State and Government, and therefore punishable in this court. For, to say religion is a cheat, is to dissolve all those obligations whereby the civil societies are preserved, and that Christianity is parcel of the laws of England; and therefore to reproach the Christian religion is to speak in subversion of the law. by the Christian religion . . . When such terrible productions are put into the hands of those who unlike the rich, the informed, and the powerful, are unable to draw distinctions between ingenious though mischievous arguments, and divine truth the consequences are too frightful to be contemplated.
This line of reasoning would survive into the 20th century albeit with important liberal modifications. Thus early19th-century England saw a number of trials against deists, atheists, and freethinkers, the most prominent of whom was Richard Carlile, who sold copies of Tom Paines Age of Reason and Rights of Man. The prosecutions argument against Carlile was astonishing: Prosecutions for blasphemy were necessary for the public good, not for the sake of religion. The purpose was
protecting the lower and illiterate classes from having their faith sapped and their minds divested from those principles of morality, which are so powerfully inculcated
98
In other words, prosecuting blasphemy was a way to maintain the social equilibrium in a hierarchical English society. In hindsight it seems clear that however important the role of faith, allowing satire and rejection or criticism of Christianity did not in fact corrode the fabric of English society. Nor did the activities of civil rights advocates or the propaganda of seditionists, atheists, Marxists, and anti-draft advocates entail any real or immediate danger for 19th- or 20th-century America. No advocate of hate speech laws would defend the rationale for restricting free speech in these cases. hese historical examples of restrictions of free speech differ from contemporary hate speech laws in important ways. But they also share a key trait, namely that they were adopted based on a highly abstract and theoretical harm principle, which a political majority thought sufficient to justify restrictions on an unpopular minoritys free speech, without demonstrating the reality of the supposed danger. One may counter that contrary to the provisions mentioned above, hate speech laws aim to protect minorities against majorities. But even assuming that hate speech laws pursue legitimate aims, flaws in
Policy Review
Books
their application may well outweigh such legitimate aims, particularity when seen in the light of unproven harm caused by hate speech. Since we cannot know for sure which forms of speech are beneficial for humankind and which are not, it is suspect to restrict speech on the basis of such purely speculative assessments. The shortcomings of Waldrons theoretical harm principle are compounded by his superficial treatment of how hate speech laws have originated and operate in practice. Waldron finds it significant that hate speech laws have a basis in international human rights conventions such as the International Covenant on Civil and Political Rights (iccpr). However, Waldron does not mention that most Western states, led by such champions of international human rights as Eleanor Roosevelt, were opposed to the inclusion of a prohibition against hate speech in the iccpr. Nor does he mention that these provisions were advocated by the Soviet Union and its allies during the Cold War. We can safely assume that the Soviet bloc did not champion hate speech provisions out of regard for the deeper values of dignity, respect, equality, democracy and social peace Waldron emphasizes. Waldron insists that all advanced democracies have adopted hate speech laws and by and large this legislation is administered responsibly, and he specifically rejects the charge that these laws exclude people from the political process. That is an especially bold conclusion given that Waldron, with the superficial exception of Canada, neglects to expend any ink on discussing case law from the very countries whose hate speech laws he praises.
December 2012 & January 2013 99
Numerous cases from European democracies show that the concerns about the arbitrariness of hate speech laws and their impact on political debate cannot simply be dismissed as hysteria. Take the United Kingdom with its 1986 Public Order Act, which in practice has come to function as a hate speech law. It has been used to convict both a religious campaigner holding up a sign condemning homosexuality as a sin and an atheist campaigner who left offensive caricatures in an airport prayer room. Earlier this year a university student was sentenced to 56 days imprisonment for drunken racist Tweets. In Germany the prohibition against Holocaust denial has led to three months imprisonment of a person who in a private letter denied Hitlers involvement in the Holocaust (but not the Holocaust itself). In France a journalist was fined for stating that the majority of criminals are blacks and Arabs. A French cartoonist was also fined for publishing a cartoon praising the attack on 9/11 and a mayor fined for advocating a boycott of Israel. In the Netherlands a politician was convicted for stating that we will abolish the multicultural society. In neighboring Belgium a politician was convicted for hate speech against immigrants and banned from political office for a period of ten years. However loathsome or controversial the views of these persons may be, their convictions surely make highly questionable Waldrons insistence that hate speech laws are administered responsibly and do not exclude people from the political process. Thus, while Waldrons own harm principle rests on flimsy grounds, the harm involved in restricting free speech is
Books
very real, while the putative benefits are very uncertain. Several of these European cases have been tried by the European Court of Human Rights (echr), which not only has accepted hate speech laws as a permissible restriction on freedom of expression, but has exempted hate speech from the protection of freedom of expression altogether as an abuse of rights. In 2012, the echr went so far as to identify a wholly new human right not to be subjected to negative stereotypes under the right to privacy. Not only do hate speech laws have serious consequences for public debate on important issues, the inherent vagueness of these laws frequently leads to seemingly arbitrary results that turn on legal niceties, which might not be appreciated by those minorities whom Waldron wants to protect. For instance, Dutch politician Geert Wilders was acquitted on hate speech charges after comparing Islam with terrorism and railing against Muslim immigration. Yet a Dutch Muslim association was convicted for publishing a cartoon questioning the Holocaust. In Denmark members of a political youth party were convicted for publishing a poster with a picture of blonde Danish girls and three foreigners holding a blood soaked Koran claiming that mass rape, violence, insecurity, forced marriages, oppression of women and gang crime would be the result of a multiethnic society. However, members of another political party were acquitted for pamphlets asking Danes whether they too were afraid of the future with all the crime and rapes, which foreigners, not least Muslims have caused. If we accept Waldrons premise that hate speech is harmful,
100
then these examples suggest that an efficient response to hate speech would require even more draconian laws and enforcement thereof. As for Denmark, this would be in line with recommendations by human rights bodies at both the Council of Europe and the un, which have criticized Denmark for its supposedly lax enforcement of its hate speech provision. To be fair, Waldron distinguishes between dignity (a group members standing in society) and offense (subjective feelings, including shock, hurt, and anger). Only the former is to be protected since it is not the function of hate speech laws to protect against hurt feelings. Waldron grudgingly concedes that the Danish director of prosecution was probably right for deciding not to charge the editors of Danish newspaper Jyllands-Posten for having published cartoons of the Prophet Muhammad. But it is often very difficult to distinguish between offense and hate speech in the form of group defamation. And Waldron himself blurs the lines by repeatedly referring to the nebulous concept of Islamophobia, which is frequently used to describe those who are very critical of Islam but not (necessarily) bigoted against Muslims. A good example of how one mans offense is anothers hate speech is an initial statement issued by the U.S. State Department on the Mohammed Cartoons: We all fully recognize and respect freedom of the press and expression, but it must be coupled with press responsibility. Inciting religious or ethnic hatreds in this manner is not acceptable. Courts also have problems distinguishing. In Denmark a person was convicted for stating that Islam is
Policy Review
Books
not a religion but a terrorist organization intent on world domination. That is certainly a harsh critique of Islam, but it is not clear that it is targeting all Muslims. If so then presumably someone quoting Nietzsches The Antichrist would also be engaging in hate speech since it includes the following attack on Christianity: I call Christianity the one great curse, the one great innermost corruption, the one great instinct of revenge, for which no means is poisonous, stealthy, subterranean, small enough I call it the one immortal blemish of mankind. Martin Luthers vicious diatribe against Jews and Judaism in The Jews and Their Lies could also be labeled as hate speech, and one could mention several Koranic verses that seemingly incite hatred against non-Muslims. As we have seen, during the days of slavery and later segregation, laws suppressing free speech were often aimed at abolitionists and civil rights advocates, not at slave owners or Jim Crow advocates. This reflected social and political power in local states and communities where attitudes towards race were very different than today. Accordingly, when minority groups are weak, despised, or feared by the majority, they are unlikely to obtain protection through hate speech laws. Such protection will only become a realistic prospect when the relevant minority group is sufficiently accepted by mainstream society. Protected status therefore will often depend on prior social change in attitudes, and at the point in time when a particular group is sufficiently uncontroversial or accepted, it arguably no longer needs such protection. One of the latest groups afforded protection in a number of European
December 2012 & January 2013 101
countries is homosexuals. Well into the 20th century homosexual practices were criminalized in numerous Western countries and homosexuals were stigmatized. However, much of the stigma attached to homosexuality, both legal and social, has disappeared and, particularly in Europe, openly gay politicians can serve in government with no con-
It is often very difficult to distinguish between offense and hate speech in the form of group defamation. Waldron himself blurs the lines by repeatedly referring to the nebulous concept of Islamophobia.
troversy. Homosexuals can live in the open and in some places even marry. Yet even as society became much more tolerant of homosexuality, countries like Denmark, Sweden, and the Netherlands added sexual orientation to their hate speech laws. Whereas in 1979 a Christian woman in Britain succeeded in having a homosexual magazine fined for blasphemy, today British homosexuals have successfully brought complaints against Christians and Muslims for offensive anti-homosexual expressions. It is precisely because homosexuality has become accepted and homophobia a social faux pas in many places in the West that homosexuals have been able to persuade political elites that they deserve specific legal protection. On the other hand, numerous Eastern European states including
Books
Russia and Lithuania have yet to undergo the same changes in attitudes towards homosexuality. Rather than adopt laws protecting homosexuals from hate speech they have enacted laws prohibiting, for instance, the promotion of homosexuality or gay parades. If Danish and Dutch homosexuals were still a vulnerable and marginalized minority persecuted by the state and other citizens, they would be very unlikely to obtain special recognition. Without a principled defense of freedom of expression no group is more than a political majority away from being the target rather than the beneficiary of hate speech laws. h e r e i s a l s o something deeply disturbing about a society where the ultimate recognition for previously persecuted groups is the ability to silence those opponents whose views have already become marginalized through social change. No minority group whose members know the pain and humiliation of intolerance should wish to be afforded respect and recognition through limiting the freedom of expression of others. Surely it would have tainted the accomplishment of the U.S. Civil Rights movement if in its hour of triumph it had convinced Congress and the Supreme Court that the bigots defeated through the appeal to freedom and equality should also be sanctioned through legal means. The Harm in Hate Speech has been hailed by both proponents and opponents of hate speech laws as offering a deeply challenging argument and as certain to give even free speech absolutists pause. In his book Waldron insists that where there are fine lines
102
to be drawn the law should generally stay on the liberal side of them. If Waldron was serious about erring on the side of liberty, he would have written a very different book.
By David Shorr
Books
global power, has developed for its dealings with the rest of the world. The standard jaded view of the effect of politics on foreign policy bemoans its distorting influence, which can be counterproductive indeed. Yet politics, properly understood, is integral to the process. Foreign-policy-making is political to the extent that the issues are controversial either in domestic politics or the specialist debates that parallel governmental decisions. The large number of politically appointed officials in the American system, compared with other governments, is a nod to this reality. At the same time, the appointees who serve at the pleasure of the president work alongside career officers responsible for every aspect of diplomacy, development, warfare, and intelligence and the bureaucracys levers for decision-making and implementation. This foreign policy civics lesson is offered as background for a pair of election-year books about President Obamas national security record thus far. James Mann and David Sanger are among the most sure-handed journalists on that particular beat. In their accounts of Obama foreign policy, they approach the subject from opposite sides of the political-technocratic divide. The books subtitles hint at the authors shared questions of interest but also their divergent styles and methods. Sangers book is about Obamas surprising use of American power, whereas Mann focuses on a struggle to redefine American power. Sanger, who is the New York Times chief Washington correspondent, takes readers more deeply into the workings of national security policy execution; he watches President Obama and his advisers preside over the machinery of
December 2012 & January 2013 103
statecraft. The revelations that have earned the book buzz as well as controversy the cyberwarfare used to sabotage Irans uranium enrichment centrifuges are the fruits of this method. While Sanger delves into the Obama teams exertion of American power to discern a policy style, James Mann is interested in their deliberate efforts to
In his administrations first months, Obama doubled the U.S. military presence from 34,000 to 68,000 troops. Even after these increases, though, he saw the need later that year for a three-month-long intensive policy review.
devise a foreign policy framework matching their view of 21st-century realities. He wants to know whether they could bring about a new American relationship with the world, one that was less unilateral in approach and less reliant on American military power. Applying the same approach as his earlier book about President George W. Bushs foreign policy team (The Vulcans), Mann focuses on the perspectives and ideas that policymakers bring with them into government. Mann sees Barack Obama as a president confronted with the legacies of the two Georges. He would inherit not only the problems left by his predecessor (Iraq, Afghanistan, Iran, North Korea), but also the lingering association of the Democratic Partys brand with the antiwar constituency that gave George McGovern the nomination 35
Books
years earlier. Rather than overcompensating for this stereotype with a me-too hawkish stance, Obama and the rising generation of Democratic foreign policy hands try to approach questions of military force with calm prudence believing force should be used because of compelling circumstances, not strained arguments or figments. President Obamas prescient 2002 opposition to the Iraq War was an early instance of this instinct. While the eventual political payoff for this stance is well known, the speech Obama gave as an Illinois state senator is also interesting as a preview of his administrations policy. The speech not only warns against invading Iraq as dumb and rash, but draws a contrast with Afghanistan and the need to keep pursuing Osama Bin Laden and al-Qaeda. Later during the presidential primaries, Obama used a policy address at the Wilson Center to pledge a shift of forces and focus away from Iraq, and instead taking the fight to the terrorists in Afghanistan and Pakistan. But the candidate followed his own counterterror logic even farther than the conventional wisdom would go unilaterally into Pakistani territory, without the consent or cooperation of its government. Four years before ordering the Navy seal mission to take out bin Laden, President Obama basically said how he would respond to such a situation. Where Mann situates the Obamians within contemporary domestic politics, Sanger distills the presidents use of military into one pillar of an Obama doctrine:
When confronted with a direct threat to American security, Obama
104
has shown he is willing to act unilaterally in a targeted, get-inand-get-out fashion, that avoids, at all costs, the kind of messy ground wars and lengthy occupations that have drained Americas treasury and spirit for the past decades.
By the time Obama took office, U.S. and other nato troops had been in Afghanistan for more than seven years well past the point of surgically getting in and getting out. He was eager to give the Afghanistan effort the commitment and resources that for years had been shunted to Iraq, yet this raised the question of what could be achieved with those resources, and on what timeline? In his administrations first months, President Obama doubled the U.S. military presence from 34,000 to 68,000 troops. Even after these increases, though, he saw the need later that year for a three-month-long intensive policy review. The review was spurred by the debacle of Afghani President Hamid Karzais stolen election and a simmering internal debate over the administrations strategy with some favoring a counterinsurgency campaign to stabilize the country, others a more modest operation targeted against terrorist forces. The military doctrine of counterinsurgency aims to gain enough of local citizens trust that they will help find rebel fighters and build governance structures, especially security services, loyal to the central government. As it happened, two of the doctrines leading exponents, General David Petraeus and General Stanley McChrystal, were Obamas senior commanders at the time. Sanger describes the policy review as
Policy Review
Books
focusing on the question of what it would take to reverse the momentum [of Taliban gains] in Afghanistan and then get out a strategy called escalate and exit inside the White House. While the president was keenly interested in whatever progress an enhanced nato operation could attain, he was also leery of letting it drag out for years on end. (Both Sanger and Mann note that in the summer of 2009 Obama and many of his aides had been reading Gordon Goldsteins Lessons in Disaster: McGeorge Bundy and the Path to War in Vietnam about the difficulty of trying to finely tailor wartime decisions.) Meanwhile, McChrystal amplified his views through press leaks and public remarks, basically angling for the largest and longest operation he could get. At the conclusion of the review in late-2009, President Obama decided to send 3 0 , 0 0 0 more troops to Afghanistan, thereby tripling the troop level he inherited. With an augmented force, military commanders said they could sweep Taliban insurgents from significant swaths of the country. To keep the operation from bogging down, nato would hand off responsibility for the areas they had taken to Afghan forces. And while the added troops would be put on the ground as quickly as possible, following the template of President Bushs Iraq War surge, forces would be cut to pre-surge levels within two years. From the Afghan side, President Karzai announced that by 2014 his government would no longer need nato. When the time came to start preparing the drawdown in detail, however, US military leaders clearly assumed they would work with the White
December 2012 & January 2013 105
House on revising the timeline rather than sticking to the agreed plan. This despite the clear commitment to the timetable the generals gave President Obama during the policy review. One administration official shared with Sanger the assessment hed given the president: The Pentagon went along with the deadline believing they could ultimately get it extended. The official recalled the president responding, Well, Im not going to give them more time. Nor did it help matters when a Rolling Stone profile on McChrystal reported an unconcealed disdain in his camp for its political masters; the disregard for the principle of civilian control of the military compelled Obama to remove McChrystal from his command. (Rolling Stone reporter Michael Hastingss book on the war in Afghanistan, The Operators, is an important and troubling document of the sense of untouchability felt by some officers and the often Sisyphean nature of the mission.) Rather than let the issue be reopened, Obama relied on a tight circle of close advisers to help orchestrate the drawdown of troops and prioritize achievable objectives sharing the plan with the entire national security team once it was ready. Last May the administration concluded a partnership agreement as a roadmap for U.S.Afghan cooperation extending at least ten years beyond the 2014 departure of the last American forces.
or some issues, the Sanger and Mann books complement one another by offering different pieces of the puzzle. Their accounts of the Iranian nuclear controversy mesh especially well. For the Obamians
Books
themselves, Iran was a challenge they anticipated during the 2008 campaign and recognized as a test of their approach. And since judgments of the administrations national security record often hinge on its handling of Iran, the policy warrants a closer examination than the partisan debates give it. One passage from Sangers book, quoting Secretary of State Hillary Clinton, gets to the heart of the Obama strategy of engaging Iran or any government with which the United States has serious problems:
Washington would no longer regard sitting down to talk with an adversary as a sign of national weakness. Not because we thought it would necessarily work, as Clinton later said, but because we knew that without trying wed never get the allies to sign on to a much, much tougher approach.
Going the extra mile to seek an agreeable solution actually helps gain the upper hand. In terms of the substance of guaranteeing Iran does not conduct a military nuclear program, it tests the other sides sincerity to see if there is a solid basis for negotiations. Yet there is value in probing for compromise even if nothing materializes because it shapes perceptions in the rest of the onlooking world. Other nations are just as much the diplomatic targets as Iran itself. Their support is vital to keep pressure on Iran in between attempts at negotiation, and the key to winning that support is to show clearly which party is reasonable and which is uncooperative. Therein lie some answers to Manns question about a new Obamian relationship
106
with the rest of the world. The strategy says that trying engagement first can ultimately yield more pressure. It emphasizes the importance of other players the swing voters of international politics in exerting that pressure, whether the target is Iran or China. Think of it as diplomatic jiujitsu or the moral authority of the other guy looking like a jerk. And the policy toward Iran has played out just as Clinton indicated. One pivotal moment came in October 2009 when Iranian and international negotiators sketched an agreement to remove the majority of Irans enriched uranium from the country in exchange for civilian nuclear fuel. Tehrans abandonment of the deal coming just weeks after President Obamas news conference at a g - 2 0 summit to uncloak a secret nuclear facility in Iran made many key governments much less patient with Iranian leaders. Which is how the Obama administration built support, including from China and Russia, for a new un sanctions resolution several months later. Indeed, the inconvenient fact for critics of Obamas Iran policy is that he has imposed much tougher sanctions on Iran than his predecessor. But while the diplomatic success traces to the Obamian style of U.S. international leadership, the working level implementation of the sanctions has roots (and authorship) in the Bush administration. For the tactics of pressuring Iran, Mann explains, Obama owed thanks to a Republican lawyer who in 2000 worked on the Bush v. Gore case and the Florida recount. Stuart Levey is also a bureaucratic innovator who used the Treasury Departments Office of Terrorism and
Policy Review
Books
Financial Intelligence, which he headed since its creation in 2004, to devise a new method of turning the financial screws on other countries. The key was the offices access to information the intelligence community collected about financial transactions and flows. Armed with this information, Levey
would approach a particular bank and explain how the money that flowed through it was being used for illicit or improper activities North Korean counterfeiting, for example, or Irans nuclear and missile programs. When bankers claimed, as they often did, that they had no knowledge of these activities, Levey would show them the detailed evidence. . . . The implicit threat was that if a bank continued to do business in the same way, its reputation was at risk. It might be publicly exposed. In the worst case, the bank might be subjected to further sanctions and lose its ability to operate in the United States or elsewhere around the world.
Since all routes of the international financial system run through the U.S., for a bank to be prohibited from doing business in America is a severe constraint. Last summers ratcheting up of sanctions on oil and gas imports from Iran works similarly, by clamping down on institutions conducting such transactions through the Central Bank of Iran. Other nations dependence on such imports not only energy-hungry China but close America allies such as Japan and Korea make a total cutoff impractical, but their reduced purchases have shown their good faith and pushed down the price of Iranian energy as well as the associated revDecember 2012 & January 2013 107
enue. The other recent dynamic has been the threat of an Israeli military strike against Irans nuclear facilities, and the Sanger book details President Obamas effort to avert a rush to war. As Mann and Sanger try pick out the distinguishing features of Obama foreign policy, both portray the administration as recalculating American leverage and factoring constraints into the equation. This raises the issues of economic realities and the charge popular among the presidents political opponents that he views America as a declining power. Mann recounted interviews in which administration officials spoke in identical terms about the investment and aid resources Saudi Arabia and China were both spreading around their regions: they sure do have a lot of money to throw around. Mann noted that it was an observation others used to make about the United States in decades past. In the same vein, the limits Obama put on the American role in n at o s Operation Unified Protector in Libya substantially reduced the cost to the U.S. On the issue of American decline, Mann makes the essential point about how Bush foreign policy diminished U.S. influence:
The impact of the Iraq War had been such that foreign leaders in countries like France and Germany were unwilling to collaborate with the United States overseas and found that even when they wanted to do so, they faced determined and vociferous opposition at home. That was the situation Obamas less arrogant approach was designed to change as a way of
Books
increasing Americas power, not reducing it.
Many parts of Manns books draw on his close and perceptive reading of President Obamas key policy speeches (an interesting contrast with Sangers critique that Obama has lacked a consistent message). One theme he discerns is an appeal for other nations to shoulder greater international responsibilities, because the United States cannot keep doing it all. But there is another rationale core to the Obamian outlook and under-noticed in analyses of Obama foreign policy for wanting others to step up: The point is not merely to spread the burden but also the ownership. One dimension of American exceptionalism is the claim that its foreign policy is less self-serving than the role traditional great powers have played. U.S. power has served as a foundation for a stable and relatively peaceful and prosperous international order. As President Obama put it in his Nobel Peace Prize lecture, The United States of America has helped underwrite global security for more than six decades with the blood of our citizens and the strength of our arms. In essence, the fundamental aims of American foreign policy are universal rather than particular to our own country. Returning to the Iranian example, other nations should help bring pressure not because America asked them to or they could be cut off from the U.S. banking system, but because Tehran is flouting an essential international norm. The same goes for other global challenges like economic growth or climate change: They should share similar concerns because all of us will live with the consequences.
108
Now that President Obama has won re-election, these two excellent books will be especially useful for those seeking a deeper understanding of his approach to foreign policy in his second term.
By Henrik Bering
Books
that a special brass plate had to be worn to house this immense collection, giving the impression of being riveted to the Russians chest. The decorations included the highest order of the Soviet Union, as well as many from the Allies. Zhukov was a big man, with a big, broad chest, but there was no room left. In an emergency, he had hung one decoration, a gold saucer affair, on his right hip.
By contrast, George Patton, standing in for Eisenhower and normally not known for his modesty, on this occasion clearly operated on the principle that less is more: Patton was dressed in a simple battle jacket, with a few ribbons, but his gleaming boots and polished helmet outshone all of Zhukovs medals. As far as I can remember, nobody else attracted the slightest attention, wrote Howley. Zhukovs attendance in the Berlin parade had followed the immense victory parade in Moscow on June 24, 1945, where Zhukov took the salute riding on a white Arab charger, and where Soviet soldiers flung Nazi banners and regimental standards before the Kremlin Wall, just as Marshal Kutuzovsforces had done in 1812 with Napoleons beaten standards. But favor was fleeting in Stalins Russia: Shortly after having been appointed commander in chief of the Soviet ground forces, Zhukov found himself relegated to the sticks, posted to the Odessa military district in the Crimea, and accused of a host of evils: of unworthy and harmful conduct, of corruption, and of disrespect towards Stalin by passing himself off as the chief architect of the Soviet victory.
December 2012 & January 2013 109
After which followed a reputational rollercoaster for Zhukov: After Stalins death, he was back in favor under Khrushchev, only to be discarded again, until finally being resurrected under Brezhnev. Today, in nationalist Russia, he is a cult figure, and hailed as the greatest military figure in the nations history. As Geoffrey Roberts makes clear in his biography Stalins General, a variety of views exist on Zhukov. One end of the scale is represented by the late John Erickson of the University of Edinburgh, who rated Zhukov The greatest soldier so far produced by the 20th century. On the simplest reckoning, he is the general who never lost a battle. The counterview sees him as a primitive brute who commanded by fear andthreats and to whom the lives of his troops were as expendable as metal washers. He certainly stunned Eisenhower by revealing that his way of clearing minefields was to let infantry run through them. As Roberts explains in his introduction, when setting out, it had been his intention to write a critical biography, exploding the myths that had grown up around Zhukov and to serve as a corrective to earlier assessments of Zhukov in English. Like Ericksons, they have tended towards the panegyric by leaning too heavily on Zhukov memoirs, which, through invaluable due to their access to the war archives, are heavily biased. As Roberts got deeper into the material, this approach was scrapped in favor of a more balanced one of weighing the marshals strengths and his weaknesses.Zhukov was neither the unblemished hero of legend nor the unmitigated villain depicted by his detractors, he writes.
Books
Which is fine, as it is the purpose of military biography to deliver a coolly analytical appraisal of its subjects military abilities, be he German, Soviet, or Japanese, while never forgetting what kind of regime he represented. Roberts doesnt: While his victories over the Nazis served humanity well, they also helped to buttress a system that was itself highly authoritarian and harshly repressive. was recalled from the east to command the Kiev district, the largest in the Soviet Union, and charged with coordinating the regions role in the revision of nations war plan, in which Germany figured as the main enemy. And because of Zhukovs success in war games, Stalin made him chief of the general staff in January 1 9 4 0 , though Zhukov himself had pointed out his lack of experience for this job. Operation Barbarossa, Hitlers invasion of the Soviet Union, caught Stalin off guard, as he had long hypnotized himself into believing that he could remain on the sidelines and build up his army while the capitalist nations exhausted themselves against each other. To avoid furnishing Hitler with the slightest pretext for invasion, he refused to put the border forces on alert, let alone order a full mobilization, stubbornly ignoring the reports of the German troop movements. Mobilization means war, was Stalins message to Zhukov. The result of Stalins miscalculation was devastating: Because of the Soviet failure to disperse their aircraft, almost 4,000 were destroyed in the first three days, and whole armies were cut off and swallowed up in what the Germans call Kesselschlacht, cauldron battles. The question here is how much of the blame for this catastrophe attaches to Zhukov: Stalins 1937 purge of the military had decapitated the Red Army, not a brilliant move given that Hitler in Mein Kampf had made plain his intention of enslaving the Slavs. The prime target of the purge was Marshal Tukhachevsky, the Red Armys commander in chief. According to Robertss figures, altogether 34,000 officers were purged, many of whom were shot or
110 Policy Review
y scattering old power structures, revolutions open possibilities for ambitious men. As had been the case with the French Revolution, which paved the way for Napoleon and his marshals, so it was with the Russian Revolution and a generation of Soviet commanders. Of modest peasant stock, Zhukov had been conscripted into the Tsarist army and promoted to nco. In 1918, he had joined the newly formed Red Army; he was decorated for bravery in the war against the Whites, and had risen steadily in the ranks. His reputation was made in defending Mongolia against the Japanese northward expansion. In the battle of Khalkhin Gol in August 1939, through canny use of misinformation,he pulled off a double envelopment of the Japanese forces like the one achieved by Hannibal against the Romans at Cannae,every commanders dream. As Roberts notes, his victory had consequences for the U.S.: together with Molotov-Ribbentrop Pact, it contributed to the Japanese shift to a southern strategy, ending in the attack on Pearl Harbor. In a reshuffle following the Red Armys less than impressive win over the Finns in the 193940 war, Zhukov
Books
died in prison; 11,500 were later reinstated. There is no evidence that Tukhachevsky was plotting against Stalin.But as Tukhachevskys biographer Thomas G. Butson aptly noted in the Tsars Lieutenant, in Stalins mind, real threats and imagined ones tended to coalesce. To him, opportunity equaled intent. The effects on Soviet planning were disastrous. Tukhachevsky had been the proponent of an offensive doctrine of combined arms operations in depth, along similar lines as those considered by German Panzer generals. As Condoleezza Rice points out in her essay Soviet Strategy, after Tukhachevskys removal, further development of his ideas stopped, but attack remained the order of the day, despite the fact that in their first offensive against the Finns in the 193940 war, Soviet troops demonstrated their lack of mastery of the cooperation of arms. Predictably, in the opening phase of World War II, Red Army attacks were ineffective, and they proved equally inept at defensive maneuvering, many remaining in place when about to be overrun. Those that did retreat did so head over heels and with staggering losses. While he did not believe that Soviet forces could have stopped the Germans in the initial stage of the war, and though the published version of Zhukovs memoirs remains guarded on the subject, Zhukov was more honest than most in accepting a share of responsibility, writes Roberts. He was also perceptive enough to see that the origins of the error lay deep in the Red Armys history and culture. In an unexpurgated passage from the memoirs quoted here, Zhukov notes that at that time, our military theoretical
December 2012 & January 2013 111
science generally did not consider the profound problems of strategic defense, mistakenly considering it not so important. As a result, says Rice, the Red Army field regulations of 1942, though still emphasizing offensive action as the war winner, now proclaimed defense a normal form of combat, but it had to be a flexible and mobile defense, not what Stalin correctly characterized as stupid and pernicious linear tactics. Among further consequences of the catastrophe Roberts cites the return of political commissars with veto powers over military decisions and the use of so-called blocking detachments, whose task it was to shoot on the spot anyone turning tail. As Stalin later told Admiral King at Yalta, It takes a very brave man not to be a hero in the Soviet army. number of Soviet generals paid for the disaster with their lives, but Stalin chose not to hold it against Zhukov, particularly since he proved his aggressiveness at Yelnya in the Smolensk area by furiously counterattacking the German invaders. Hitlers initial intent had been to capture Leningrad and then on to Moscow. Holding the nations second city, with its symbolic significance as the cradle of the Revolution was vital, says Roberts, as its capture would allow the Germans to mount a flanking attack on Moscow from the north, and Stalin dispatched Zhukov to do the job. The Russian and German forces in the area were roughly equal, just under half a million men each, but the Germans had two tank divisions and they owned the air.
Books
Zhukovs message to his troops, if not exactly inspirational, had the virtue of clarity: All commanders, political workers, and soldiers who abandon the indicated line without written order from the front or military council will be shot immediately. By organizing a deep, echeloned defense of the city with dense minefields, he managed to stabilize the front. In less than a month, Zhukov had mastered the gravest crisis, organized an effective defense, and repaired morale, as well as restoring discipline which had crumpled disastrously before his arrival, Roberts quotes Erickson as saying. The American military historian David Glantz spoke of the miracle on the Neva. Among the less euphoric voices heard in the book is Russian historian Vladimir Beshanov, who recalls that Zhukovs mission had been to lift the blockade but that that took another three years, by which time over a million soldiers were dead, and a million civilians had died of starvation and forced evacuations. Though Zhukovs feat at Leningrad wasnt quite what it was cracked up to be by the Zhukov myth, Roberts deems it relatively successful nevertheless: Zhukovs achievements compared well with the disasters suffered elsewhere by the Red Army. What Leningrad also did, he reminds us, was to tie down about a third of the German forces in 1941. s t h e g o i n g got tough around Leningrad, Hitler switched targets, opting for Moscow while leaving Leningrad besieged. For Zhukov, who had been named commander of the western
112
front, the challenge was now to mount the defense of Moscow, where panic was imminent. To calm the fears, it was announced that Stalin remained in the city, and that Zhukov was in charge of the capitals defense. Both The Red Star, the armys newspaper, and Pravda, carried his photo, the first time that had occurred for a front commander. Having only some 90,000 soldiers at his disposal, his recipe for the defense of Moscow was similar to that of Leningrad, Roberts writes: Draconian disciple; no surrender and no retreat; counterattack wherever and whenever possible. Pour encourager les autres a couple of commanders were executed, punishment for having ordered an unauthorized retreat. Zhukov was himself forced to pull back to new defensive positions, says Roberts, but through constant counterpunches and last minute withdrawals he sapped the strength of the German troops. A German decision to regroup allowed Zhukov to bring in an extra 100,000 troops, 300 tanks, and 2,000 pieces of artillery, and the Russians felt confident enough to celebrate the anniversary of the Bolshevik revolution with a parade in Red Square, where Stalin reeled off the names of the great Russian military heroes who in the past had saved the motherland from foreign invaders. At the end of November, after Zhukov had received additional reserves, the German advance finally ground to a halt just outside Moscows suburbs. In his memoirs, Zhukov praises Stalin for having saved Moscow: By his strict exactingness Stalin achieved, one can say, the near impossible. But he also strives to portray himself as his
Policy Review
Books
own man, distancing himself from some of Stalins blunders. However, reading Zhukovs orders, edicts, and records of conversation during the battle of Moscow, he comes across mainly as a general willing to execute the orders of his superiors without demur and who expected the same of those serving under him, writes Roberts. It was, above all, Zhukovs disciplined attitude that endeared him to Stalin, not his supposed forthrightness or insubordination. is advance on Moscow having run out of steam, Hitler once again changed direction, this time heading for the southern oilfields of Baku to cut off the Stalins energy supply. However, instead of a single thrust towards Baku, Hitler, in order to protect his flank, chose to divide his offensive to capture Stalingrad, and the task of defending the city bearing Stalins name again fell on Zhukov. In the three-month battle, the city saw some of the most desperate fighting of the war, sucking in men and materiel. At one point the German Sixth Army held 90 percent of the city, but in Zhukovs counteroffensive, 300,000 German and Axis troops were encircled. The Luftwaffes attempts to keep them supplied from the air proved unsuccessful, and the 90,000 German survivors surrendered, including Paulus, their commander, making this the key turning point of the war. Total Axis casualties at Stalingrad amounted to 1.5 million, and 2.5 million for the Russians. As a reward, Zhukov became Stalins deputy. As Erickson notes At a stroke Zhukov was transformed from
December 2012 & January 2013 113
visiting fireman to threatened fronts into the chief engineer of the Soviet military machine. Significantly, the political commissars were abolished during the battle of Stalingrad, to convey the message that Stalin now had confidence in his military. After the Wehrmachts Erich von Manstein, with his famous backhand blow, had recaptured Kharkov, Ukraines second city, Zhukovs intuition told him that the next German move would be to strike in the direction of Kursk, salient to shorten their defense line. Roberts details his preparations, an in-depth defense of some 200 to 250 miles riddled with antitank strong points, and mustering 3,489 tanks, 1 9 , 7 9 4 artillery pieces, and 2,650 aircraft, and with another 1,500 tanks kept in strategic reserve. In Zhukovs words, the goal was to wear the enemy out in defensive action, destroy his tanks, and then . . . by going over to an all-out offensive we will finish off the enemys main grouping. In this, the greatest tank battle the world had ever seen, quantity trumped quality: One on one, the German Panther and Tiger tanks were superior to the Russian t-34s, but there werent enough of them: The Russians lost more tanks, writes Roberts, but they could afford it, and Hitler was forced to call off the attack. Following Kursk, it was now the time for the great Russian offensives, and Roberts lays out the battles for Ukraine, followed by the offensive in Belorussia, codenamed Bagration, then Warsaw, and then on to Berlin via Poznan. Enjoying a 5.5-to-1 advantage in manpower, 7 . 8 in tanks, 5 . 7 in armor, and 1 7 . 6 in aircraft, Soviet forces covered the distance from
Books
Warsaw to Poszan, 120 miles further west, in just one week. Among Zhukovs tactical preferences Roberts mentions his inclination to hold back his armor until day two or three of an offensive, letting his artillery and air force soften up the German defenders, and then unleash his tanks en masse to wreak havoc. A bit more on Zhukovs tactics here would have been welcome. Acutely aware of its political significance, Stalin was determined to capture Berlin, irrespective of costs, and encouraged a race to Berlin between marshals Zhukov and Konev, with Marshal Rokossovsky protecting their flank. The Germans, fearing payback for their savagery in Russia, were stubbornly defending their homeland and were by now experts at fighting retreats. Accordingly, says Roberts, the casualties suffered by the Red Army were proportionally greater than at any other time since the catastrophic opening phase of the war. As had been the case with Stalingrad, Berlin had been turned into a fortress, with three defensive zones, 30 miles deep. In a favorite method, says Roberts, the Russians would fire the artillery shells straight into buildings, collapsing them with the defenders inside. The butchers bill for the drive to Berlin came to over 350,000 Russian casualties, with some 80,000 dead, which Roberts compares to the 25,000 casualties suffered by the U.S. at Iwo Jima. Though Zhukov had to share in the taking of Berlin with Konev, it was his troops who hoisted the Soviet flag over the Reichstag on April 30, 1945, and it was he who accepted the German surrender on his masters behalf on May 9.
114
erving under the Stalin, the man of steel, had certainly required nerves of steel titanium, rather but while delivering victories to Stalin, Zhukov had been reasonably safe; with the war over, Stalin now perceived him as a threat. As had been the case with Tukhachevsky, Roberts notes, there is no sign of disloyalty on Zhukovs part, but again, that is beside the point, and packed off to Odessa he was. To cope, he tried to carry on as if nothing was amiss, but In 1947, I feared arrest every day, and I had a bag ready with my underwear in it, Zhukov wrote. After Stalins death in 1953, the task of arresting Lavrentiy Beria, Stalins kgb chief, fell on Zhukov, and must have been particularly gratifying. A collective leadership followed, consisting of Khrushchev, Molotov, and Bulganin, but triumvirates have a way of not lasting; in the internal power struggle, Zhukov backed Khrushchev. Only you could do it. I will never forget that, Khrushchev gushed. In recognition, Zhukov was appointed Minster of Defense in February 1955, and planned the suppression of the Hungarian Revolution the following year. But Khrushchevs gratitude proved short-lived. Having themselves gained power by force, Soviet leaders were always wary of Bonapartism, the prospect that a popular general would take over, and like Stalin, Khrushchev feared Zhukovs popularity. The sneak attack came on a Central Committee meeting in October of 1 9 5 7 , with Mikhail Suslov, the partys ideologue in chief, acting as the lead attack dog. The charges were the by now familiar ones: that Zhukov was seeking to weaken
Policy Review
Books
the partys control of the army and that he was hogging the limelight for the World War II victory, to which were added new accusations that he was hoarding power and that he had failed to prepare for the German attack. As Roberts notes, fellow officers were lining up to denounce him: He quotes Marshal Rokossovsky: His way of commanding was literally obscene; we heard nothing but continuous cursing and swearing mixed with threat to shoot people. His close friend Ivan Bagramyan dismissed him as simply a sick man. Self aggrandizement is in his blood,while Konev, the man whom he raced to Berlin, was busy taking shots at his war record in Pravda. For me personally, the word of the party was always law, Zhukov later responded. He was not disputing the partys leading role but, according to Roberts, what he did believe was that political officers should restrict themselves to a propaganda mission, and butt out of the military decisions. In Zhukovs view, the guarantee of party control was that the commanders would or should be dedicated communists themselves, writes Roberts. But, while no Bonapartist, Roberts certainly sees him as guilty of political navet and personal hubris. As was the Soviet way, having been put through the wringer, he was written out of World War II, while Khrushchevs role in the defense of Stalingrad was magnified to an absurd degree. He came to consider Khrushchevs betrayal of him in 1957 as greater than Stalins in 1946, writes Roberts. Thus when he started writing his memoirs during this period, he was writing for the table and for history.
December 2012 & January 2013 115
A gradual rehabilitation occurred under Brezhnev, and after a battle with the censors, his memoirs were published. Prodded by his wife, Zhukov had performed the requisite groveling for Brezhnev, in one place stating that he wished he had consulted with then Colonel Brezhnev on some issue. As Roberts notes, the idea that a field marshal should consult a lowly political commissar is absurd, but as Zhukov noted, the wise will understand. His funeral in 1974 was the biggest show in town since Stalins, and, says Roberts, marked the beginning of the Zhukov cult. He now has his equestrian statue at the entrance to Red Square, two military decorations bear his name, and a host of biographies have been written. c c o r d i n g t o Roberts, though a well-read man, Zhukov was no intellectual or great conceptual thinker. He did have operations that failed. His military moves may have lacked the finesse, say, of those of von Manstein, but he knew how to handle huge masses of men and materiel. His talent was for deployment, not for creative innovation or imaginative flair in battle, writes Roberts. Thus, while Zhukov did not excel as the best ever in any one field of military endeavor, he was the best all-round general of the Second World War. Regarding his command style, the way a commander commands is in many ways dependent on the kind of army he heads, which is why military experience does not always translate from one army to another. As Roberts notes, the great part of the Soviet Army
Books
was made up of poorly educated peasant conscripts, many of whom were not particularly warmly disposed towards a regime that was responsible for the forced collectivization in the countryside in the 1930s. And they were up against the best trained and most brutally efficient army Europe had ever seen. It is difficult to envisage how such an army could have been held together in the terrifying conditions of the ferocious fighting that obtained during the Soviet German war except by a regime of harsh discipline and exemplary punishment, Roberts writes. According to Robertss figures, some 158,000 Soviet soldiers were executed during the war, while others were packed off to penal battalions which only offered a man an even chance of survival. There is no hint that Zhukov ever regretted or even had second thoughts about any of the harsh measures he authorized. But as for his willingness to sacrifice his troops, says Roberts, though by temperament offensively minded, experience taught him how to withdraw when necessary and also how to conserve his troops. And though his losses were high, they do not seem to exceed those of his colleagues. Certainly the troops under Zhukov suffered no greater casualty rates than those of other generals, including those such as Rokossovsky, who had the reputation of being a more benign commander. What distinguished Zhukov was his exceptional will to win, concludes Roberts. Zhukovs reliance more on energy and vigor than on imagination to achieve his goals was consonant with the prevailing ethos of the Soviet system. So a particular component of
116
Zhukovs great success was that he was a Soviet general, and it is unlikely that he would have been effective in any other army.
David R. Henderson is a Hoover Institution research fellow and an associate professor of economics at the Graduate School of Business and Public Policy at the Naval Postgraduate School. He blogs at www.econlog.econlib.org.
Policy Review
Books
Friedman), and warm openness in debate. Still, as we economists like to say, there are substitutes for everything and everybody. In some important respects, one substitute for the late Milton Friedman is Luigi Zingales. Zingales, an immigrant from Italy, is an economics professor in the University of Chicagos Graduate School of Business, a strong technical economist and a passionate defender of free markets. Hes also an excellent writer. In his latest book, A Capitalism for the People, he makes a case for freer markets and warns people in his adopted nation not to go the way of the country he left. He sees disturbing signs that the United States is heading in that direction. Thus the books subtitle: Recapturing the Lost Genius of American Prosperity. Zingales brings a refreshing touch to many of the issues he discusses, especially the ethics of the market and the dangers of cronyism. He draws on his own and others scholarly research, plus his detailed knowledge of financial markets, to make his case for freer markets more than just a theoretical one. Unfortunately, he gets some important parts of U.S. economic history wrong. Also, although he lays out many ways in which financial regulation has gone wrong, his own proposals are either for only modest deregulation or for new regulation. And despite brilliantly analyzing the incentives of financial regulators that cause them to harm the economy, he advocates his own set of regulations that would still require regulators we can trust. No man is a prophet in his own land goes the saying, and one reason why Zingaless message is fresh is that, coming from a country with a great
December 2012 & January 2013 117
deal of cronyism, he sees just how stultifying cronyism can be. Zingales contrasts Italian cronyism with U.S. meritocracy. He points out that the way to get ahead in Italy is to carry the bag of an established person. Even emergency room doctors are chosen, he writes, based mainly on political affiliation rather than on skill. By contrast, in the United States, many more people get ahead based on their merit. Zingales tells the story of a young colleague walking in the rain with a senior professor. The senior professor told the junior one, In Europe, the young assistant professors carry the umbrella for the senior ones. The young professor shot back, Why dont you go to Europe? But Zingales sees all of America going in Europes direction. He gives many examples of U.S. influence peddling. One of the most striking examples, because of the prominence of the person involved, is that of Robert Rubin. When Rubin was Treasury secretary under President Bill Clinton, Citigroup acquired the Travelers insurance company. That move was illegal, but Travelers c e o Sandy Weil explained that he had had enough discussions with the Treasury and the Federal Reserve Board to believe this will not be a problem. Rubin lobbied for a change in the law to make Citigroups action legal after the fact, and in July 1 9 9 9 , the House of Representatives passed the law. The next day Rubin quit as Treasury secretary. Just three months later, Citigroup hired Rubin at a salary of $15 million, without, writes Zingales, any operating responsibility. It soon became clear, though, what was part of Rubins responsibility: to
Books
play an inside game with the Treasury bureaucracy to benefit his new employer. In 2001, following revelations of accounting irregularities at Enron, Citigroup, a major holder of Enrons bonds, would have lost a lot of money had Enrons bonds been downgraded. So Rubin lobbied Peter Fisher, undersecretary of the Bush Treasury, to advise the bond-rating agencies not to immediately downgrade Enrons debt. And in 2 0 0 8 , the Wall Street Journal reported that Rubin had been critical to securing the latest federal bailout of Citi. The bailout included two equity infusions totaling $45 billion and a government guarantee on most of the risk in a $306 billion asset portfolio. This is cronyism writ large. Zingaless expertise is in finance, and that fact is apparent throughout the book. He tells, for example, of a tiny section of the 2005 Bankruptcy Abuse Prevention and Consumer Protection Act that destroyed Lehman Brothers. Under the law, when Lehman went bankrupt, it couldnt simply, as it could have before the 2005 law, pay holders of derivatives as much as possible with its assets. Instead, it had to give a derivative holder a contract identical to the one it had signed with Lehman, but with a different counterparty. Lehman would have to pay the transaction cost of the new contract. A typical such cost is about 0.15 percent of the contracts total value. That doesnt sound like much until you realize that when it went bankrupt, the face value of Lehmans derivative contracts was $35 trillion! So the transactions costs alone were $ 5 2 . 5 billion. Thats why Lehmans bonds paid only 8.625 cents on the dollar.
118
o r t h o s e w h o still think that corporate boards of directors, outside auditors, or financial regulators do a good job of detecting corporate fraud, Zingales has news: Its nobodys job to detect fraud (his italics). He tells of a friend, a board member of a large company, who once asked the head of purchasing what prevented him from overpaying for an item and having part of the difference rebated to a secret Swiss bank account. A lawyer on the board responded that board members were responsible for making sure that procedures existed, not that they were effective! Boards of directors, notes Zingales, rely on external auditors to detect fraud. It turns out, though, that external auditors do not view fraud detection as their responsibility. He notes that accountants have deemphasized fraud detection and instead focus on adherence to formal rules. Zingales tells of a study he co-authored in which he found that external auditors were responsible for only ten percent of fraud detection. Well, then, surely financial regulators are set up to detect fraud, arent they? Not quite. When Zingales presented his findings on fraud detection at the Securities and Exchange Commission, he was told that it is not the secs job to detect fraud. True to its word, the sec accounts for only seven percent of total fraud detected. In seventeen percent of the cases that Zingales and his coauthors studied, single employees at firms had blown the whistle, often at high personal cost. So, what should be done about fraud? Zingales advocates appointing
Policy Review
Books
board members who are accountable to the shareholders. He argues that this is not possible today because of regulation introduced by the sec during the Vietnam War era, but does not specify what that regulation was. I was disappointed that Zingales didnt address other regulations that promote fraud in companies two in particular. Section 13(d) of the Williams Act of 1968, for example, requires that investors who garner five percent or more of the shares of a company must announce that fact within ten days. That one law makes it virtually impossible for an entity that wants to take over another company to do so cheaply. Once it is known that an investor has over five percent, the price of the companys shares rises because there is now a higher probability of a takeover attempt. The increase in share prices of the target company discourages people from attempting takeovers in the first place. Also, a slew of state antitakeover laws passed in the 1980s also make takeovers harder. Why does this matter? Because takeovers and threatened takeovers are a way of disciplining firms that are destroying shareholder value, fraudulently or otherwise. Surprisingly, Zingales also advocates increased regulation. Although he only hints at it in the book, he has, more recently, explicitly advocated the forced separation between investment banking and commercial banking along the lines of Glass-Steagall. Zingales realizes that the 1999 Gramm-LeachBliley Acts repeal of that forced separation was not a cause of the 2008 financial crisis. He points out that the major financial institutions that failed during the crisis were either pure investment banks such as Lehman Brothers, Bear
December 2012 & January 2013 119
Stearns, and Merrill Lynch, or purely commercial banks such as Wachovia and Washington Mutual. So, what is Zingaless case for reintroducing Glass-Steagall? He hints at a reason: A mandatory separation would undercut the financial industrys lobbying clout a clout that I agree has been, on net, bad. In a recent op-ed, Zingales gave another reason. He admitted that a better way to deal with excessive risk-taking by banks is to remove deposit insurance. His only argument against doing so is that he doubts that commercial banks are ready for that. But so what? Does Zingales, who is an outspoken enemy of cronyism, advocate that we cave to the banking lobby? Moreover, even if we worry, as he does, about political feasibility, theres another way to make banks and depositors bear more risk from banks bad lending decisions: Leave the depositor with some of the risk. Marc Joffe and Anthony Randazzo of the Reason Foundation, for example, advocate adding a 10 percent co-insurance feature to fdic insurance for deposits above $10,000. Under their proposal, depositors with $11,000 in a failed bank would receive $10,900, and those with a $250,000 balance would get $ 2 2 6 , 0 0 0 . That would give depositors an incentive they have virtually none now to monitor the banks that hold their deposits. h e n i t c o m e s to what business schools should teach about ethics, Zingaless book is a breath of fresh air. Business schools should be the churches of the meritocratic creed. They should lead the way, he argues, in
Books
promoting norms that discourage behavior that is purely opportunistic even if highly profitable. A way to do so is to award prizes to outstanding alumni who adhere to economically useful norms. Zingales has a beef with the two main ways that ethics classes are currently taught at most business schools. One is to raise ethical dilemmas without taking a position on what people should do. That, he says, is like presenting the pros and cons of racial segregation, leaving [people] to decide the answers for themselves. The other way is to hide behind corporate social responsibility, which, he points out, ignores individual responsibility. To those who wonder why a business school should teach ethics, Zingales asks a beautiful rhetorical question: Why are economists happy to say what the optimal laws are from an economic standpoint but afraid to say what the optimal social norms are for a successful economy? In a chapter entitled Responsibilities of the Intellectuals, Zingales gives an excellent explanation and some striking examples of how biases can creep in and distort the perceptions of even very smart people. One reason for the biases, he writes, is the pressure that academics feel from people or companies with large stakes in the outcomes of their research. His best example is of a young finance professor who found that people who traded stocks on regional exchanges got a worse deal than those who traded on the New York Stock Exchange. It turns out that some market makers were paying brokers a penny a share to route orders to them. But then a senior colleague called the young researcher into his office, where he was confronted by a large
120
market maker who berated him. The young assistant professor was intimidated into dropping that research. The identity of the market maker who intimidated the researcher? Bernard Madoff. Ironically, one interesting piece of evidence for Zingaless idea that even a smart ethical person can let biases creep in is a section of this very chapter in which Zingales himself pulls his punches. He quotes a Federal Reserve governor who, in December 2006, poohpoohed housing-price data on the grounds that such data, because theyre imperfect, are not very useful. Zingales does not name the Fed governor, but does footnote the web site where one can find out. It was Randall Kroszner. Why is that demurral significant? Because Kroszner is one of Zingaless colleagues. Zingales is a master of the metaphor. In discussing Bushs Troubled Asset Relief Program, for example, he points out that he doesnt necessarily reject government action but objects to the way it is done. When a drug addict is undergoing withdrawal, he notes, one shouldnt do nothing, but one also should not give the addict a full years supply of drugs, which is roughly equivalent to what the U.S. government opted for with the bailout. He also compares subsidizing businesses to feeding wild animals. When he ventures outside his expertise, though, Zingales sometimes makes important mistakes. For example, he states that the antitrust law was passed in the late 19th century to increase competition. But Loyola University economics professor Thomas DiLorenzo, in some pathbreaking research in the 1980s, showed the opposite. Between
Policy Review
Books
1880 and 1890, he found, while real gross domestic product rose 24 percent, real output in the allegedly monopolized industries for which data were available rose 175 percent, seven times the economys growth rate. In six of those seven industries, inflation-adjusted prices fell, which is strong evidence against the view that the large firms were monopolizing. DiLorenzo shows that a key faction lobbying for antitrust laws were small firms that had trouble competing with big firms with large economies of scale, and these small firms wanted less competition, not more. Its still true today that some of the main bringers of antitrust suits are companies suing their competitors. They dont want their competitors to charge even lower prices. In discussing government policy, Zingales reminds us of what ucla and former University of Chicago economist Harold Demsetz calls the Nirvana Fallacy, although he mistakenly attributes it to Ronald Coase. The Nirvana Fallacy is to see a problem with the free market and then to assume that the government can solve it. Demsetz advocated comparing actual markets and actual governments. Zingales does a good job of applying the Demsetzian thinking to other peoples proposals for government policy, but not as good a job at applying it to his own. For example, he advocates timely intervention of the regulator when regulators observe a sizeable drop in the price of a traded security. But he doesnt tell us why regulators will be motivated to act. The vast majority of readers will learn a lot from A Capitalism for the People. Im glad that Luigi Zingales wrote it. I only wish that he had more
December 2012 & January 2013 121
seriously considered a wider range of deregulatory moves that would help steer the United States away from the dangerous path down which he and I agree its moving.
Stephen Greenblatt. The Swerve: How the World Became Modern. W.W. Norton and Company. 356 Pages. $26.95. tephen greenblatts The Swerve: How the World Became Modern attracted me for a number of reasons. First, I live in the modern world. Most people dont. Theyre dead and so live somewhere else, at least according to some. But I live in the here-and-now, so I want to know what the here-and-now is, existentially speaking. Second, Ive spent much of my career trying to figure out how the world became modern. For good or ill, most historians dont worry too much about this question. Its too big, and it certainly wont win you a job in a well-balkanized history department. But I read Marx with too much enthusiasm in my youth and thereby acquired a professionally unhealthy desire to know how most of us got Marshall Poe teaches history at the University of Iowa. He is also the editor of the New Books Network (http://newbooksnetwork.com).
By Marshall Poe
Books
from nasty, brutish, and short to pleasant, cultivated, and long. Finally, I really want to win a prestigious award for my book-writing efforts. Most humble authors dont, or at least say they dont. But I do, probably because my mother didnt love enough or some such. I thought that by reading The Swerve, which won the National Book Award, I might learn how to write a book that would make my mother love me. Now that Ive read The Swerve, I can say this. I did not learn what the modern world is, nor did I learn how it became modern. I did, however, gain some insight into how to win the National Book Award. Allow me to explain. The Swerve tells the story of how an Italian manuscript-hunter found an ancient Latin text Lucretiuss On the Nature of Things (De rerum natura) in 1 4 1 7 , how that text was passed around over the next several hundred years, and how it helped the world become what Greenblatt thinks it is today. In short, its a story about the origins of something. The something in question is the modern or modernity. If you havent spent a lot of time in humanities seminars at prestigious universities, you probably have no idea what these words mean in the sense intended by Greenblatt and all the other seminarists. Websters Dictionary tells us that the primary meaning of modern is of, relating to, or characteristic of the present or the immediate past. But that strictly temporal sense of modern is not at all what Greenblatt and his colleagues mean by modern. Id like to tell you exactly what they do mean, but I cant. Thats because they themselves dont know what they mean. The term is, as they
122
say in the land of LitCrit, a site of anxiety, which is to say people who do what Greenblatt does fight a lot about what it means. Greenblatt never tells us what his understanding of modernity is. He does, however, say that key elements of it are found in the Lucretiuss 2,000year-old poem. What are those key elements, you ask? Well, its a long poem, and its full of all kinds of strange things that no modern person in his or her right mind would believe. But the part that stands out for Greenblatt is Lucretiuss materialism, in the philosophical sense. According to this theory, you, me, and everything else is made of the same, lifeless stuff. Over time, that stuff randomly combines in various ways and new things appear, only to disappear over more time. There is no beginning or end, no plan or planner, no blueprint and no builder. Lucretiuss universe, therefore, has no meaning, at least in the religious sense. But Greenblatt tells us that he personally found great meaning in the poem when he discovered it as a young man. He writes, breathlessly:
In a universe so constituted, Lucretius argued, there is no reason to think that the earth or its inhabitants occupy a central place, no reason to set humans apart from all other animals, no hope of bribing or appeasing the gods, no place for religious fanaticism, no call for ascetic self-denial, no justification for dreams of limitless power or perfect security, no rationale for wars of conquest or self-aggrandizement, no possibility of triumphing over nature, no escape from the constant making and unmaking
Policy Review
Books
and remaking of forms. On the other side of anger at those who either peddled false versions of security or incite irrational fears of death, Lucretius offered a feeling of liberation and the power to stare down what had once seemed so menacing. What human beings can and should do, he wrote, is to conquer their fears, accept the fact that they themselves and all things they encounter are transitory, and embrace the beauty and pleasure of the world. I marveled I continue to marvel that these perceptions were fully articulated in a work written more than two thousand years ago.
abandoned self-righteous atheism for a kind of whatever agnosticism. But not Greenblatt. He came to believe that Lucretius did have all the answers to lifes big questions or, as he puts it, offered an astonishingly convincing account of the way things actually are. Thats right, the way things actually are. One of those ways is that there is no God, just stuff. Having received the Truth on the matter, Greenblatt never looked back. t is not at all uncommon for humans, egoists that we are, to think that my experience is everyones experience. And so it is with Greenblatt. As a tormented underclassman, he found the Truth in Lucretius and it freed him from the bonds of superstition and the fear it engendered. Just so our world, according to Greenblatt, for it too found the Truth in Lucretius and was thereby freed from the bonds of superstition and the fear it engendered. Lucretius made Greenblatt modern and Lucretius made the world modern. I have no reason to doubt that Lucretius helped make Greenblatt modern in the sense of believing that there is no God, only stuff. But I do wonder how he can believe that Lucretius did the same for the entire world when the vast majority of it believes God made all the stuff. The numbers are striking. Lets take the United States, admittedly a more religious nation than most of its peers. Over 90 percent of Americans believe in God. Over 80 percent identify with a major religious denomination. Almost 60 percent pray weekly. Around 40 percent attend church at least once a week.1 Now, if you accept Greenblatts
123
This burning-bush encounter with Lucretius, Greenblatt reports, enabled him to overcome his fear of his mothers death and to accept that her passing is natural part of life. Greenblatt is hardly alone having converted, if I may, to atheism as an undergraduate. I did the same, though my godlessness came from Lennon rather than Lucretius.
Imagine theres no heaven Its easy if you try No hell below us Above us only sky Imagine all the people Living for today
Greenblatt is, however, somewhat unusual in persisting in his empty-sky faith. For my part, I figured out pretty quickly that Lennon and those like him did too many drugs to have all the answers to lifes big questions. So I
December 2012 & January 2013
Books
premise that religion and modernity are antithetical, then you must conclude that most modern Americans are not modern. That, of course, is nonsense on two counts. First, even the students in Greenblatts seminar would probably admit that the United States is a modern country in the nontemporal sense. Americans invented, or at least perfected, popcorn, pop tarts, and pop rocks those are all very modern things. Second, unless one is clumsily equivocating, something cant be modern and not-modern at the same time. Thats the Law of the Excluded Middle, and as far as I know it holds. Perhaps Greenblatt doesnt believe that the United States, with its masses of superstitious believers, is modern. And perhaps he doesnt believe the laws of logic hold in the postmodern age. I dont know. But I do know his definition of modernity is not terribly sound. The empirical fact of the matter is that most modern people in the temporal sense are religious. This being so, its hardly logical to exclude them from the definition of modernity in the nontemporal sense. Admitting that modern religious people are modern would not only have allowed Greenblatt to avoid the above-mentioned nonsenses, but it also would have permitted him to ask a really important question: How has religion helped make the world modern? But Greenblatt has no interest in this question because he thinks religious people are essentially ignorant throwbacks to the bad old days when superstitious bumpkins were easily conned by corrupt priests who peddled false versions of security or incite irrational fears of death.
124
In fact, Greenblatt is not really concerned with how the world became modern at all. Rather, hes interested in how the Truth was revealed to his modern people, which is to say people just like him. Who are they? Well, they tend to live and work in wellknown zip codes in the American Academic Archipelago, for example, 02138 (Cambridge, Massachusetts), 06520 (New Haven, Connecticut), and 94720 (Berkeley, California). Greenblatt has spent a lot of time in each of these places. As it happens, so have I. And I can tell you that many and perhaps most of their residents are very modern in Greenblatts sense. They do in fact have Lucretius, Lennon, and even Lenin rattling around in their heads. They are not religious in any traditional sense. And they cannot understand how any really reasonable person can be religious in any traditional sense. For them, the antithesis of religion and modernity is an article of faith, part of their very sense of self. They cannot admit the way things actually are namely, that religion is part of modernity for to do so would be to admit that their Truth might not be the truth. Happily, they dont have to consider this scary possibility because they live among modern people who all believe in the Truth, that is, in 02138, 06520, and 94720. So how does Greenblatt do explaining How People Just Like Me Became Modern in My Peculiar Narrow Sense? Not very well. The story Greenblatt tells about the origins of modernity is not very original. In fact, it looks a lot like the one the Renaissance humanists told about themselves so many centuries ago. It
Policy Review
Books
goes like this. There were the Greeks and Romans. They were pagans, but they were also really smart and wrote all kinds of good things. Then there were the fanatical Christians. They received the Gospel, but they were really mean and suppressed most of the good things the Greeks and Romans had written. Then there were the daring humanists. They fought the evil clerics and recovered all the good stuff. Thus was Western Civilization re-born and the march to modernity begun. Now this is a fine tale, and part of it is even true. But its pathetically stilted. The Renaissance humanists and their followers had, well, an agenda. They wanted to investigate things Roman manuscripts, the orbits of the planets, the foundations of law that the many ecclesiastical authorities wanted left alone. First they argued that the Churchs rules on speculative endeavors might not apply to them because they were just good Christians in search of Gods truth. Think about Galileo. That tactic worked up to a point. But eventually they proposed that the Churchs rules on speculative endeavors should be changed so most of them wouldnt apply to anyone. Think about Locke. That, too, worked up to a point. And finally they said the Church did nothing but oppress ignorant people. Think about Marx and Greenblatt. What does this story of light triumphing over darkness miss? Primarily the role of the Church itself. According to Greenblatts tale, church hierarchs are almost always the bad guys. They destroy ancient texts, excommunicate wandering minds, and burn a lot of people at the stake. Indeed, they did all these things, as Greenblatts intellectual forebears the humanists,
December 2012 & January 2013 125
philosophes, free thinkers, radical socialists, and university professors groped toward the Truth found in Lucretius. But Christian leaders did a lot more, much of which contributed to the eventual formation of the mindset of the American Academic Archipelago. Most significantly, they actively adapted to changing intellectual circumstances and thereby helped create Greenblatts modern mindset. There can be no better example than Martin Luther. Luther was a very devout, totally God-fearing Augustinian monk. He was also a deadly serious thinker armed with a quiver full of humanist arrows. He knew as much as anyone about ancient, medieval scholastic, and modern philosophy. It was by reading this material that he arrived at a theological doctrine that would essentially open the door for modern science to flourish in much of Europe. Luther said that all knowledge is revealed by the senses and that the only knowledge of God that had been so revealed was the Scripture. The only way to know God, he proposed, is to know the actual words of God, that is the Holy Writ; empirical investigation of anything else was for the most part irrelevant from a religious point of view. This doctrine (sola scriptura) created a reasonably clear and very important distinction between theology and all the other disciplines: The former focuses on Scripture, while the latter focuses on man, the natural world, and the universe itself. Luthers doctrine spread until it was accepted in one form or another, implicitly or explicitly, by nearly every Christian faith, even the Catholic Church. Every scholar in 02138, 06520, and 94720 owes the Augustinian monk a debt of gratitude.
Books
You wont read about any of this in The Swerve. Greenblatt mentions Luther in passing three times in over 300 pages. No, his attention is fixed on how Lucretiuss worldview was transmitted by the plucky humanists to later generations of modern thinkers. But even here he falls down. Greenblatt tells us that more than fifty 15th-century copies of On the Nature of Things exist. This, he says, is a startlingly large number. Maybe it is, maybe its not. How can we know when he gives us no point of comparison? He tells us that Once Gutenbergs clever technology was commercially established, printed editions [of Lucretius] quickly followed. He fails, however, to reveal exactly when On the Nature of Things was first printed or how many editions were produced over the next several hundred years. He tells us the book was translated, but he doesnt relate how often or into what languages. He mentions 30 people (I counted) in the 15th through 18th centuries who were purportedly touched by the book. Some owned it, some wrote about it, some seem to have knowledge of what was in it. Some are famous (Montaigne), some are not (Thomas Creech). If, after careful investigation, this is the only evidence Greenblatt could find of Lucretiuss influence, one has to wonder how he reached the conclusion that On the Nature of Things was crucial for the birth of modernity as he understands it. And lets be clear, thats what he says: A random fire, an act of vandalism, a decision to snuff out the last trace of views judged to by heretical, and the course of modernity would have been different. Had Greenblatt said this about the writings of Plato or Aristotle, he would have an arguable
126
point. But Lucretius? Poor, forgotten, neglected, and almost entirely unread Lucretius? I dont buy it. he folks at the prestigious National Book Awards, however, did buy it. They gave The Swerve the prize for the best nonfiction book of 2011. Bear in mind that thousands of serious nonfiction books are published each year. Many represent years of work by excellent writers, researchers, and scholars. Many are published by top-notch presses and win acclaim in peer-reviewed publications. I read a lot of them. And so I can tell you in all sincerity that many, many of them are better than The Swerve on almost any measure of quality you like. How, then, did The Swerve end up taking home the big prize? The answer has several parts. First, Greenblatts book was published by a big New York trade press. In each year from 2001 to 2011, the big New York houses managed to publish the best nonfiction book in the nation. Perhaps this remarkable run was just luck. Or perhaps the New York presses just publish the best books. Or perhaps the fact that the heads of big New York houses run the foundation that sponsors the National Book Awards has something to do with it. Im not at all sure. But one has to wonder why nobody else ever wins. Some university press in the hinterlands has to occasionally print a nonfiction book worthy of consideration, right? Or is it the case that any press can publish a book that wins a National Book Award as long as its a New York trade press? Second, Greenblatt is famous within the New York smart set. Most Americans, of course, have never heard
Policy Review
Books
of Greenblatt and never will. But if you are a member of the nation that reveres the New York Times, worships the New Yorker, and either lives or hopes to live in Manhattan (below 110th Street, of course), then you may just know who Greenblatt is and think hes a genius. In each year from 2001 to 2011, darlings of the New York intelligentsia like Greenblatt have managed to write the best nonfiction book in the nation. Again, this astounding winning streak could just be good fortune, an odd concentration of talent, or the fact that people in the New York smart set run the National Book Awards. I dont know. But why is it that authors from the provinces almost never win? Someone in flyover country has to be writing excellent nonfiction, right? Or is it the case that any author, anywhere, can win a National Book Award for nonfiction so long as they are in, around, or of New York? Finally, Greenblatt wrote a book that appealed to the judges. Who are they? Well, theyre the kind of people who win the National Book Award: people who were educated in the upper reaches of the Academic Archipelago (Harvard, Yale, etc.); who live in New York or someplace like 02138, 06520, and 94720; and who have received a certain notoriety by writing books that appeal to the New York smart set. The year The Swerve was covered in glory the judges were Alice Kaplan, Yunte Huang, Jill Lepore, and Barbara Savage. Kaplan teaches at Yale; Huang taught at Harvard before moving to Santa Barbara; Lepore heads the same Harvard program that Greenblatt used to run and she also writes for the New Yorker; Savage got her Ph.D. at Yale and now teaches at Penn. These are
December 2012 & January 2013 127
Greenblatts people. Theres a fair chance that he knew all of them before they crowned him with laurels. Whether he knew them or not, we can be sure that they are very modern in Greenblatts sense and therefore loved the underlying message of The Swerve: We the rational, left-leaning, traditional-religion-loathing humanists of the Academic Archipelago know the Truth about the universe, while they the superstitious, right-leaning, traditionally faithful do not. Apparently in order to win a National Book Award for nonfiction Im going to have to have to make a lot of changes. Ill need to move to New York, become a darling of the New York smart set, get a contract with a big New York publishing house, and write a book that says something the New York intelligentsia wants to hear, like there is no God, only stuff. I wouldnt mind doing the first three of these things: New York is nice, Id love the attention, and I need the money. Im not, however, going to do the fourth because I have given up on patronizing, knee-jerk, academic anticlericalism. I confess that kicking the habit was hard; I want to think Im smarter than the next guy as much as the next guy. But as concerns the most fundamental questions of human existence, Im not and neither is Stephen Greenblatt. I dont know whether there is a God or not. I do know, however, what stridently claiming there is no God has done over the past century or so. It has offended, alienated, and confused countless believers. It has created a huge gulf between intellectuals and the people they claim to serve. And, most significantly, it has fueled at least one fanatical political movement that
Books
resulted in the oppression and murder of millions of completely innocent religious people. Thats a bad record. And what has been won in the hundred-year academic attack on religion? I imagine Greenblatt would say those who abandoned their faith gained liberation and the power to stare down what had once seemed so menacing. If thats what Greenblatt got, Im happy for him. But its very hard for me to understand how rejecting the idea of an all-loving God is going to bring freedom and comfort in the face of death to most folks. If atheism could work that magic, then people would be disavowing their religious traditions in droves. They arent, and the reason is clear: Even modern people need answers to lifes most basic questions and a community in which to consider them. If we werent questioning, social animals, perhaps we could get by in Lucretiuss meaningless, material universe. But we are questioning, social animals; our religious impulse is an evolved characteristic, like bipedalism or consciousness. And just as we can live without walking or even waking, we can live without spiritual beliefs. But, having lost these things, we generally dont do very well for very long. Eventually we want to walk and we want to wake, and eventually we want to understand why we are here and to believe that there is a special place for us in the universe. And once we do these things, we begin to do better. Religion is not, as Greenblatt and company claim, a passing phase out of which that humanity should and will grow. It is a part of human nature itself.
Statement of Ownership, Management, and Circulation: 1) Publication title: Policy Review; 2) Publication no.: 0146-5945; 3) Filing date: 11/19/2012; 4) Issue frequency: Bi-monthly; 5) No. of issues published annually: 6; 6) Annual subscription price: $36; 7) Address of office of publication: 21 Dupont Circle NW, Suite 310, Washington DC 20036; 8) Address of headquarters of publisher: The Hoover Institution, Stanford University, Stanford CA 94305; 9) Names and addresses of: Publisher: The Hoover Institution, Stanford University, Stanford CA 94305; Editor: Tod Lindberg, 21 Dupont Circle NW, Suite 310, Washington DC 20036; Managing Editor: Liam Julian; 10) Owner: The Hoover Institution, Stanford University, Stanford CA 94305; 11) Known bondholders, mortgagees, and other security holders: None; 12) Tax status: Has not changed during preceding 12 months; 13) Publication title: Policy Review; 14) Issue date for circulation data: Oct/Nov 2012; 15) Extent and nature of circulation: A. Total no. copies: ave. no. of copies each issue during preceding 12 mos: 6,310; (no. copies of single issue published nearest to filing date: 6,400); B. Paid and/or requested circulation: 1. paid/requested outside-county mail subscriptions: 3.287; (3,287); 2. paid in-county subscriptions: 0; (0); 3. sales through dealers: 1,642; (1,748); 4. other classes mailed: 415; (430); C. Total paid/requested: 5,370; (5,454); D. Free dist. by mail: 1. outside-county: 0; (0); 2. in-county: 0; (0); 3. other classes mailed: 0; (0); E. Free dist. outside mail: 0; (0); F. Total distribution.: 5,370; (5,454); G. Copies not distributed.: 940; (946); H. Total.: 6,262; (6,262); I. Percent paid and/or requested circulation: 100; (100); J. Percent paid/requested: 53%; (53%); 16) Publication of statement of ownership: required; 17) I certify that all information furnished on this form is true and complete (signed): Liam Julian, Managing editor, 11/19/12.
128
Policy Review