Bull Logic, Bear Result

I recently heard an interesting interview with author Paul Kingsnorth. Some years ago Kingsnorth was a prominent advocate for the environment.. He ceased his activism, though has kept most of his beliefs about the environmental and sociological issues western civilization faces. Kingsnorth also recently converted to Orthodox Christianity, which–while not the same as moving to Texas and becoming a Baptist–still puts him at odds with aspects of many environmental movements (for a few at least, Christianity is the cause of our environmental degradation with its teaching about man’s dominion over creation).

Again–Kingsnorth agrees that many problems exist. But he has come to believe that

  • Some of the solutions many advocate are in fact part of the problem. Technological advances will not save us–be those advances in carbon reduction, green energy, etc. To look to “Science” and “Progress” for help is to look to what got us in this mess in the first place. For example, electric cars are no doubt better for the environment than gasoline engines, but one still has to do a lot mining to get the materials for the batteries of those cars.
  • Activism spends too much time telling people what to do (which naturally provokes resistance) and not enough showing them how to do it.

More importantly, he added that

  • People may want to change, but our choices actually have very little “choice” in them. The whole concept of the “market” has helped create many of our environmental problems. But–all of our “stories” we tell ourselves involve the market. We market ourselves, and our causes, on social media and elsewhere. We seek to maximize ourselves just as we seek to get the best deal on a mattress.
  • So, in the end–change seems impossible within current framework.*

Kingsnorth has now dedicated himself to trying to create a different framework for himself and others through rediscovering old stories and crafting new ones, something he has done with his novels, The Wake, Beast, and Alexandria. Of course, I hope I have represented his views fairly–I encourage you to listen to him yourself.

Hearing Kingsnorth made me curious to try and explore the question of the market, and this led me to Harvey Cox’s The Market as God. I tend toward conservatism (whatever that means), so I thought it important to check out a more liberal voice on the question. A few aspects of Cox’s analysis raised my ire. He critiques aspects of the Christian tradition, which I’m fine with as far as it goes. Certain aspects of Christian tradition should come in for critique.** But heaven forbid that Cox put other religions under the same lens. For many on the left, what is “other” always stands superior to what is one’s own. But Cox showed nuance and thoughtfulness in other areas that helped me read on (such as his correct refusal to name Adam Smith as the patron of self-interest and unbridled capitalism). He picks some low-hanging fruit, but also explores deeper questions about where we find ourselves.

Most analyses of capitalism focus too much on surface questions, i.e., how much utility does the market have for society? Cox moves through this territory quickly. First, people will inevitably create markets. And, markets obviously accomplish many functions that benefit society. Cox acknowledges the persuasive power of arguments within the Christian tradition on behalf of the Market. Michael Novak, a conservative Catholic, argues that

  • God made man in His image, which gives mankind the capacity to create things of value
  • Societies should be constructed so that this God-given aspect of man can flourish
  • Thus, whatever impedes this creative faculty in man, be it burdensome regulation, crony capitalism, and so forth, should be removed.

Novak understands the problems of unbridled capitalism combined with a competitive spirit. He also traces the effects of markets on those in poverty. Increasing opportunities for all means increasing them for the poor. Novak need not say that capitalism works perfectly to rightly argue that, while it likely will increase economic inequality, it will also raise the standard of living for all. Capitalism will not raise everyone out of poverty, but it will raise some, which is always better than none. Critics of capitalism have to acknowledge the benefits it brings.

But what I like about Cox’s book is that he is not concerned to argue about the relative pro’s and con’s of capitalism. This debate has gone on ad nauseam in many other places. He wonders not what good the Market brings (it obviously brings many benefits) but what kind of a person a Market society creates.

To start, if the Market served as a deity it would need holy days, or “feasts.” And so we have Black Friday, Prime Day, the Christmas buying season, and so on. A religion needs precepts, articles of faith. Cox mentions the idea of “trickle-down” theories, and given his background, could have leaned on this hard. But I give him credit that he went deeper to foundational ideas, not just politically divisive ones on the surface. Cox sees that every religion needs a topography, a uniform landscape where people can enter at any place. A Baptist should be able to walk into more or less any Baptist church and feel comfortable to an extent at least. The Market seeks efficiency and maximizes opportunity. For Cox, Market “faith” means much more than trickle-down theories. The Market teaches us fundamentally that we must choose, but within a set of defined parameters. Cox writes,

The Market calls not just for a monochrome outer topography. It needs an internal predictability as well. It needs people open to conversion. The Market mentality within us must match the Market that surrounds us or else the vital connection will misfire. . . . because profit derives from the mass production of countless blouses, cars, and wristwatches, a certain uniformity of taste must be generated. The problem is that human beings are not the same . . . So the Market God needs to transform people what what they once were into people prepared to receive and act on its message. . . . They have to be reconfigured to want the same thing, with manageable variations in packaging, color, and flavor.

Perhaps this explains why the Market tends to take over territory that in its inception at least, had nothing to do with Market incentives. One immediately thinks of the Super Bowl, which many now watch for the commercials. The game itself is practically secondary for many viewers. Cox briefly traces the path of Mother’s Day, Valentine’s Day, and of course, even Christmas itself, and how the Market inexorably wormed its way into how we “observe” such days. President’s Day, Memorial Day, and so on, have at least been partially transformed simply into long weekends with inevitable sales and opportunities to buy. This presence of the Market, akin to “omnipresence,” shows the deep power of Market ideology.

In light of this, liberals and progressives might face temptation to chortle on the moral high ground. But hold the phone . . . progressives gladly support the idea of corporations and organizations supporting their causes. In fact, I would argue that liberals/progressives do a much better job branding and yes, “marketing” their ideas to the culture. How else did they win the culture wars? Those on the left believe firmly that their choices define them. Their bodies are buyers in the domain of sexuality much more than conservatives. They would cry “foul” just as much as a free-market capitalist if government or culture at large restricted their freedom of choice, their freedom to “create” themselves in the market of ideas, and causes.

This is Kingsnorth’s insight. Nearly all of our discourse on the right and the left takes place within the framework of choice, opportunity and allowing us to maximize our ability to choose.

Cox holds back from saying that the Market rules all, but admits it comes close. He floats the possibility that faith in the Market god may have peaked around 2015-16. He cites data showing that Black Friday shopping has declined in recent years. This he attributes not to people shopping less, but to stores following the lead of market rationale of providing more opportunities to shoppers, thus the new trend of stores opening on Thanksgiving evening. The logic here works, of course–the Market loves more opportunities and openings–but that same logic also works against itself. Cox cites interviews with Black Friday pre-dawn shoppers. Many told reporters that they were not there for the deals so much as the spectacle, or the ritual, of Black Friday. If they got a cheap tv, great, but they came for the Black Friday experience. Without that experience, why come?

Cox wrote his book before peak Amazon and advent of Prime Day, which, following the logic of the Market, has expanded into multiple days. Nothing testifies to the Market in all its glory like Amazon. One can buy almost anything from almost anywhere, all without “wasting time” driving too and from different stories (full disclosure–I bought The Market as God used on Amazon for the amazing low price of $3.49, I think). But the problem is the same as the ones retailers face with Black Friday. The Market seeks to expand choice and possibility. Amazon, the current apotheosis of Market ideology, has followed this creed better than anyone else. But spread the butter too thin and you won’t notice it at all. Amazon has no embodied communal rituals, and religions cannot survive without them.

In the medieval period most markets existed within the vicinity of the great cathedrals. Some see in this a co-opting of religion, or an unholy partnership between religion and the market. Some foolish folk even go so far as to see profit as the driving force behind the building of cathedrals themselves. Cox pleasantly surprised me by seeing it differently. The point of the medievals locating markets near churches only partially had anything to do with the fact that churches existed in the center of towns. Rather, markets only really work when they know their place in a proper hierarchy, which is under the shadow of the Cross.

DM

*Kingsnorth has no issue with markets per se, but their omnipotence. I would not say that Kingsnorth is a pessimist outright, yet it seems that the main thrust of his recent writing focuses on preparing us for death, and hopefully, new life afterwards. No civilization lasts forever, and most succumb to their own internal logic reaching the end of the line. For example . . . most emissions and environmental problems come from China, and perhaps India. How can we stop this? Europe, Russia, and the U.S. went through the same process of industrialization and urban centralization in the late 19th-early 20th century. Doesn’t “fairness” indicate that they should get their turn as well? If not–would we fight a war to stop them? Aside from the monumental human cost, war would involve much more destruction to the environment than the current situation. We are stuck. If we stop, we will lose to China and others, and if we continue, we will all lose together. At least, this is one possible outcome.

**Cox has read Max Weber much more closely than I, and, unwittingly or no, he indirectly confirms some of Weber’s key ideas. It is eerily remarkable how many ‘founding fathers’ of the Market came from some kind of Calvinistic background. A connection must exist that I have yet to fully grasp.

The Bottom of the Mountain

“Whatever we may think of Alexander–whether Great or only lucky, a civilizer or a sociopath–most people do not regard him as a religious leader. And yet religion permeated all aspects of his career.”

This opening line of the book blurb for F.S. Naiden’s Soldier, Priest, and God: A Life of Alexander the Great, sucked me right in. I too had viewed Alexander nearly solely through a narrow political and moral lens, and had never really considered his religious views and acts as central to his successes and failures. The book was too long for me. I would have preferred if he assumed reader knowledge of the standard elements of the Alexander narrative. But what Naiden draws out from his expertise in ancient religious rituals helps us see Alexander afresh in certain ways.

Historians tend to think about Alexander along three standard deviations:

  • Great visionary and magnificent strategist, one of the truly “Great Men” that, naturally, and tragically, few could truly follow
  • Fantastic military leader with flawed political skills. After Gaugemela in 331 B.C., his political skills become more necessary than his military skills, and so his fortune waned and his decisions got worse
  • A thug and barbarian who lived for the chase and the kill. He never really changed, or “declined,”–he always was a killer and remained so until his death.

Soldier, Priest, and God tries to bypass all of these paradigms, though touches on each in turn. Naiden’s Alexander is a man who mastered much of the trappings and theater of Greek religion, which included

  • The hunt
  • Prowess in battle
  • A religious bond with his “Companions,”–most of whom were in the elite cavalry units.
  • Responding properly to suppliants

As he entered into the western part of the Persian empire, i.e., Asia Minor, he encountered many similar kinds of religious rituals and expectations. The common bonds and expectations between he and his men could hold in Asia Minor. But the religious terrain changed as Alexander left Babylon (his experience in Egypt had already put some strain between he and his men, but it could be viewed as a “one-off” on the margins), and he had to adopt entirely new religious forms and rituals to extend his conquest.

Here, Naiden tacitly argues, we have the central reason for Alexander’s failures after the death of Darius. Some examples of Naiden’s new insights . . .

Alexander’s men did not want to follow him into India-they wanted to go home. Some view this in “great man” terms–his men could not share Alexander’s vision. Some view this in political/managerial terms–his army signed on to punish Persia for invading Greece. Having accomplished this, their desire to return was entirely natural and “contractual.” Naiden splits the horns of this dilemma, focusing on the religious aspects of their travels east.

Following Alexander into the Hindu Kush meant far fewer spoils for the men. Some see the army as purely selfish here–hadn’t Alexander already made them rich? But sharing in the spoils formed a crucial part of the bonds of the “Companions.” The Companions were not just friends, as Philip had created a religious cult of sorts of the companions. It wasn’t just that going further east would mean more glory for Alexander and no stuff for his men. It meant a breaking of fellowship and religious ritual. This, perhaps more so than the army being homesick, or tired, led to Alexander having to turn back to Babylon.

Alexander killed Philotas for allegedly taking part in a conspiracy against him. Others see this as either Alexander’s crass political calculus, or a sign of megalomania, or paranoia. Naiden sees this action in religious terms.

  • Philotas was a Companion. To execute him on the flimsy grounds Alexander possessed could amount to oath-breaking by Alexander, a dangerous religious precedent. “Companionship” bound the two together religiously, not just fraternally.
  • Philotas did not admit his guilt but presented himself as a suppliant to Alexander and asked for mercy. True–not every suppliant had their request granted, but Philotas fit the bill of one who should normally have his request met.

Killing Philotas, and subsequently Philotas’ father Parmenio (likely one of the original Companions under Philip), should be seen through a religious lens and not primarily psychologically (Alexander is going crazy) or politically (politics is a dirty business, no getting around it, etc.).

We also get additional perspective on the death of Cleitus the Black. We know that he was killed largely because of the heavy drinking engaged by all during a party. We know too that Cleitus had in some ways just received a promotion. Alexander wanted him to leave the army, stay behind and serve as a governor/satrap of some territory. Why then was Cleitus so upset? Naiden points out that Alexander had not so much promoted Cleitus, but made him a subject of himself, as well as exiling him from the other Companions. The Companions shared in the spoils equally, and addressed each other as equals. As satrap, Cleitus would have to address Alexander as king and treat him as other satraps treated the King of Persia. Hence, the taunt of Cleitus (who had saved Alexander’s life at the battle of Granicus), “this is the hand that saved you on that day!” came not just from wounded pride, but as an accusation against Alexander’s religious conversion of sorts. Alexander had abandoned the “Equality” tenet of faith central to the Companions.

We can imagine this tension if we put in modern religious terms (though the parallels do fall short):

  • Imagine Alexander and his men are Baptists of a particular stripe. They grew up in Sunday school, reciting the “Baptist Faith and Message.” They join Alexander to punish Moslems who had tried to hurt other Baptists.
  • As they conquer, they link up with other Baptists. There are Southern Baptists, Regular Baptists, Primitive Baptists, and so on. They go to worship with these people, and while it might be a bit different, it is still familiar. All is good.
  • Flush with success, the go further. Now they meet more varieties of Protestants–some non-denominational churches, some Assemblies of God, etc. Ok, it’s getting a little weird, but we are still more or less on familiar ground.
  • Now we go to Egypt and–what!–Alexander seems to be joining in on a Catholic service. Ok, this is bad, but at least very few in the army saw this, and we don’t have to spread the news.
  • Now as we get into Bactria and India Alexander seems to be converting to something unrecognizable. He seems to be breaking with the Baptist Faith and Message and repudiating his past. Or is he? He might be converting to Catholicism or Islam, or what else, I have no idea. We can no longer worship with him. In hindsight, his killing of Philotas was a decisive move in this “conversion.”

Naiden points out that Alexander never officially becomes king of Persia, and attributes this largely to the religious ideology behind the Persian monarchy that Alexander could not quite share or, perhaps understand. As he went into Bactria and beyond, not only had he grown religiously distant from his men, but he could no longer understand or adapt to the religions he encountered. He found himself constantly torn between acting as a king to those he conquered, and as a Companion to his army. In the end he could not reconcile the two competing claims, and perhaps no one could.

Alexander stands as perhaps the most universal figure from the ancient world. Obviously the Greeks wrote about him, as did the Romans, but stories cropped up about him in India, Egypt, Israel, Byzantium, and within Islam as well. Naiden mentions this but fails to explore its meaning. Naiden has a remarkable ability to find facts and present a different perspective. But he never explores how and why most every ancient and pre-modern culture found in Alexander something universal. Though it will strike many as strange he most common image of Alexander has him not riding into battle on his famous horse, but ascending into the heavens, holding out meat so that large birds will carry him up into the sky.

This image comes from a medieval Russian cathedral:

The story comes from the famous Alexander Romance, and runs like so:

Then I [Alexander] began to ask myself if this place was really the end of the world, where the sky touched the earth.   I wanted to discover the truth, and so I gave orders to capture the two birds that we saw nearby.  They were very large, white birds, very strong but tame.  They did not fly away when they saw us.  Some soldiers climbed on their backs, hung on, and flew off with them.  The birds fed on carrion, so that they were attracted to our camp by our many dead horses.  

 I ordered that the birds be captured, and given no food for three days.  I had for myself a yoke constructed from wood and tied this to their throats.  Then I had an ox-skin made into a large bag, fixed it to the yoke, and climbed in.  I held two spears, each about 10 feet long, with horse meat on their tips.  At once the birds soared up to seize the meat, and I rose up with them into the air, until I thought I must be close to the sky.  I shivered all over due to the extreme cold.  

Soon a creature in the form of a man approached me and said, “O Alexander, you have not yet secured the whole earth, and are you now exploring the heavens?  Return to earth quickly, or you will become food for these birds.   Look down on earth, Alexander!”  I looked down, somewhat afraid, and I saw a great snake, curled up, and in the middle of the snake a tiny circle like a threshing-floor.  

Then my companion said to me, “Point your spear at the threshing-floor, for that is the world.  The snake is the sea that surrounds the world.”

Admonished by Providence above, I returned to earth, landing about seven days journey from my army.  I was now frozen and half-dead.  Where I landed I found one of my satraps under my command; borrowing 300 horses, I returned to my camp.  Now I have decided to make no more attempts at the impossible.  Farewell.  

Here we have the key to understanding the meaning of Alexander, not merely information about why he did or why he did it.

The person of a king becomes the focal point of “bodies.” For example, a single, jobless, man living alone in his parent’s basement has only himself as a “body.” His identity includes only himself–his identity includes nothing outside of himself. Thus, he grows stale. This unnatural condition perhaps explains why such men are usually overweight–if they cannot add “body” to themselves naturally they do so unnaturally.* Now imagine said man gets a job. He adds the identity of others to his own. If he gets married, now he has bound his identity to another person. This is why marriage has always been viewed as a religious rite and act–only God/the gods can effect this change in a person. Then the couple has children, and the man has added more “body” to himself. Then one day he has grandchildren and ascends to the level of “paterfamilias.” His “body” includes multiple families.**

A king of Macedon has more “body” than the average Macedonian. As we have seen, Macedonian kingship didn’t function like kingship elsewhere, either politically or religiously. Still, kingship has roots in every culture. But everyone knew that this kind of adding of body involved something of a risky and religious transformation–something akin to marriage. If one goes too far you risk losing everything. We can think of Alexander as holding folded laundry in his hand. He bends down to pick up a book, and can do that, then a plate, and it works, then a cup, etc.–but eventually one reaches a limit as to what you can add to oneself, and everything falls to the floor.

I have written before about the biblical image of the mountain in Genesis. Adam and Eve seek to add something to themselves that they should not. As a result they must descend down the paradisal mountain, where more multiplicity exists, and less unity. This leads to a fracturing of their being, and ultimately violence. This is King Solomon’s story as well. He receives great wisdom–the ability to take in knowledge from multiple sources and achieve penetrating insights (many scholars have noted that the biblical books traditionally ascribed to him contain tropes and fragments from cultures outside of Israel). But he goes too far–he strives for too much multiplicity, too much “adding of body,” as is evidenced by his hundreds of marriages to “foreign women.” This brings about the dissolution of his kingdom, the same result Alexander experienced after his own death. But before Alexander lost his kingdom, many would say he lost himself, with executions, massacres, and other erratic behavior. Like Solomon, he lost his own personal center in his attempt to add body to himself ad infinitum.

The story of the Ascension of Alexander hits on these same themes. He tries to ascend to a unity of the multiplicity through the multiplicity itself (note the use of body in the form of the meat to accomplish this). But it can never work this way. When you attempt to ascend via a Tower of Babel, you get sent back down.

The universality of this problem manifests itself today in these two kinds of people:

  • Conservatives who say that “all is lost” because some form of legislation slightly deviates from the interpretation given to Article III.3 of Constitution by John Adams in 1790. Here we have an excess of purity–which inevitably grows sterile. After all, most of the time you can pick up that extra sock.
  • Liberals who want to stretch anything and everything to fit anything and everything. No exception ever endangers the rule–everything can always be included. Here you have the flood–undifferentiated chaos with nothing holding anything together. Eventually you reach points of absurd contradiction, and then, conflict.^

Alexander’s life fits this tension between purity/unity and multiplicity:

  • He could take in Greece
  • He could take in Asia Minor
  • Perhaps he could just barely take in Egypt
  • But beyond that–though he could “eat” other kingdoms further east, they certainly didn’t agree with him.

Indeed, why invoke a blessing from God on food before we eat? We ask, in fact, for a kind of miracle–that things dead might be made life-giving. We too ask for help on the potentially treacherous path of making that which is “not us” a beneficial part of our being. We cannot have real unity without multiplicity, and vice-versa. But no blessing will save us from every deliberate choice to drink from the firehose and ingest foreign gods.

Dave

*Ok–so lots of married/”successful in life” might be overweight. But if you think of the “type” of the guy living in his parents’ basement, his “Platonic form,” you likely envision someone overweight.

**There are obvious connections between food/eating, sexuality, and ultimately, the eucharistic feast, that I cannot explore here due to my own shortcomings. Fortunately, the topic has been wonderfully mined by others. These connections may also explain why so many ancient kings were polygamous with marriage, and had concubines. It is an illegitimate expression of their legitimate function of being the focal point of “body” in the kingdom.

^As many have pointed out, such conflict seems inevitable between those who advocate for trans athletes, and those who advocate for women athletes. Their claims eventually reach a point of mutual exclusivity.

Ascetic Harmony

I talked with a friend of mine recently who works in upper management of a major company. Officially, companies have a dedication to bottom line. But appearances can leave out part of the story. My friend talked of how different aspects of the company need to cooperate to achieve the goal of expanding customer base, increasing profit, and so on. It became obvious that certain programs advanced certain departments failed to work in achieving these goals. But in high-level meetings, this could never be said outright. He mentioned that he spent the better part of an hour on one slide for a presentation, and particularly one sentence on that slide where he had to say that ‘X’ hadn’t worked without actually saying it directly.

In the end he attempted a solution by bypassing direct criticism and instead left out mention of the program in what his team had accomplished. Not good enough–he had several rounds of post-meeting meetings to ‘clarify’ the situation.

We may think such behavior odd for a business in competition with others. Reading Philip Mansel’s new biography of Louis XIV, entitled King of the World, provided an interesting insight into this behavior. Essentially, the upper level of management at this particular company–and no doubt many others–functioned like a court, where etiquette and harmony trump the achievement of certain objectives. Or, rather, we might say that harmony, order, and gentility were the objective.

Though I have read some other things about Louis XIV before, Mansel provided an important insight I had not considered. For Mansel, Versailles existed primarily because Louis loved Versailles. It served as a grand passion for him. I and others often focus on the particular political ends Louis achieved partially as a result of Versailles, such as his centralization of government, control over the nobles, and so on. But I can’t stand medieval historians who say that the French built Chartes to increase trade in the area–an utterly absurd statement. But the same holds true for Louis. One might build a road to aid trade, but not a cathedral, which is essentially how Versailles functioned. Only acts of “love” can truly take root. Just as the Gothic cathedrals gave impetus to the shape of culture for 250 years, so too Versailles launched France into a place of prominence for perhaps 150 years, give or take.

The lens of “emotional attachment” through which Mansel viewed Louis makes a lot of sense. We see Louis elevating his illegitimate children in rank above certain other nobility, in defiance of custom. Was this a mere political ploy? One can also see him as acutely interested in the harmony of his family, though perhaps not necessarily as a devoted father. Louis also elevated the status of many women at court to never before seen heights. Again–a political, cultural move, or one rooted in his definite fondness for at least certain women? Mansel looks at the wars of Louis XIV, and again sees his actions rooted in a somewhat irrational longing, rather than clear-headed policy.

Though Louis had his significant failures we have to see him as overall a very successful monarch, at least in the sense of creating political stability and vaulting France into prominence in Europe.

But as we all know, coupled with the “romantic” side of Louis came strict and unusual etiquette. One could commit a grave offense for trivial matters such as knocking at the door in the wrong manner, or sitting in the wrong chair, or failing to open both doors for a Countess instead of just one, and so on. We see this passion for harmony and order throughout the grounds of Versailles, both inside

and out.

We should not see this as pure self-indulgence–the rigorous etiquette shows that. Many other anecdotes exist about the behavior of the nobles in Versailles, especially as it relates to money. One of the few activities at Versailles that all could engage in more or less equally was gambling. Before reading Mansel, I saw this primarily as a means of control, with the ebb and flow of fortunes exchanging hands serving to weaken the nobility. Now, I see it more so as a gift from Louis which allowed everyone present to engage in aristocratic disdain for money. The gambling tables created a sense of harmony in that winning or losing mattered little in comparison to display of aristocratic virtues and conviviality.

Indeed, perhaps we can see court behavior at Versailles as a kind of rigorous self-abandonment–one leaves their estates, some of their family, their customs, and their fortunes to join together as one happy family.

Not long after Louis’ death in 1715 a new kind of ethic arose, one ably elucidated by Max Weber in his classic The Protestant Ethic and the Spirit of Capitalism. Weber was certainly a genius, and a German one at that, which makes his prose quite dense. But, despite the significant criticisms leveled at this seminal work over the last century, I’m convinced his core points remain standing.

Early in the work, Weber cites a letter of Ben Franklin to his son to show the new Protestant ethic, at its face a radical departure from the nobles at Versailles just 30-40 years earlier. Franklin writes,

Remember that time is money. He that can earn 10 shillings a day by his labor, and goes abroad, or sits idle, though he spends only 6 pence on diversions, ought not to reckon that as his only expense.  He must think of what he could have made through labor, rather than what he lost through diversion.  

Remember that credit is money.  If a man lets his money in my hands after it is due, he gives me the interest, or so much as I can make of it during that time.  This amounts to a considerable sum, if a man can make use of it.  Remember that money can beget money, and its offspring can beget more.  The more there is, the more is produced.  He that kills a breeding sow destroys not just the cow but her offspring unto the generations.  

Remember this saying, “The good paymaster is lord of another man’s purse.”  He that is known to pay punctually and exactly to the time he promises, may at any time, raise all the money his friends can spare.  This is sometimes of great use.  After industry and frugality, nothing raises a man more in the world than punctuality in all of his dealings. 

The most trifling actions that can affect a man’s credit are to be regarded.  The sound of your hammer on the anvil at 5 in the morning and 8 at night, heard by a creditor, makes him easy 6 months longer; but if he hears your voice in a tavern when you should be at work, he will demand payment in full without fail and without delay.

Keep an exact account of all you owe and all payments coming to you.  You will then notice well how even trifling expenses add up against you, and you will discern what might have been.  You will grow wise with little effort.

One might see here a self-indulgent of luxury, of riches for the sake of riches. But we see here a similar sense of self-abandonment as at Versailles, with different tools directed at different ends. We must live frugally, arrive punctually, etc. so that . . . ? Weber sees the connections between Protestantism–especially the Calvinistic stripes–and Capitalism, in the following ways:

  • The grace of God, and hence, salvation, can never be earned. Forms, ceremonies, etc. are not aids but distractions to proper devotion. We should ascetically remove all such distractions, lest we indulge ourselves and think that any ceremony has any efficacious quality.
  • But how to know that we are truly elect? We can do the works God has commanded us to do. These works, of course, cannot save us but can witness to others of our convictions.
  • Since God orders all things providentially, and is no respecter of persons, all activities can serve as a means of displaying Christian virtues.
  • In the old Catholic world, different seasons of the year called for different levels of piety and devotion, and different practices. But–aside from unnecessary ceremony–this is a crutch, allowing one to “get off easy.” Just as God is no respecter of persons, He is no respecter of time or space. Everything at all time deserves our full attention and best effort.

This “worldly asceticism,” as Weber calls it, creates capitalist economies. Of course, “the love of money is the root of all evil,” but Franklin’s pursuits have money only as a byproduct. The real goal is virtue and “election.”* The aristocrat and the capitalist both disdain and embrace the world, but in different ways for different reasons.**

One can see how harmony might come about as a result of Louis XIV. Instead of having aristocrats fight each other and the king, he brought them together and unified them through their enchanted surroundings and ritualized behavior. We know this world could not withstand the mulititude of changes that arose almost right after Louis’ death, but it has an internal consistency. One problem–Louis’, while outwardly pious, made the highest end his own Disneyland.^ Unlike the medieval construction, Louis’ France could not “scale up” high enough to include enough particularity throughout his realm. We are now in the midst of wondering whether or not our world can create enough harmony to sustain our civilization. The capitalist ethic, like our political system in general, is built on the idea of mutual opposition and competition (between companies or branches of government) creating enough unity through this clash of mutual self-interest (i.e., Madison’s “Federalist #10). We shall see.

Many conservatives were surprised, even blindsided, by the fact that so many corporations adopted woke policies. Weber would see this as a natural byproduct of “worldly asceticism,” a form of self-denial to create harmony. Like Louis’ Versailles, even slight, trivial missteps assume grand proportions. But like Louis’ construct, it cannot scale to include enough particularity. Their god is too small.

Dave

*Some critics of Weber point out that capitalism existed long before Protestantism. True–in the sense that people have sought profit and traded with others since time immemorial. However, I think it no coincidence that modern Democratic capitalism was created by both Dutch Calvinists (New York, Amsterdam, the Vanderbilts) and Scotch/English Low Country Calvinists (Adam Smith, Andrew Carnegie, London, and Boston).

**Seen this way, it makes total sense to me why many Americans wanted to keep Catholics out of America up until the late 19th century. The issue goes beyond religious difference and into two very different ideas of cultural formation. As it turned out, they need not have worried, as the American system soon captured Catholics and most other immigrants.

^Versailles and Disneyland have much in common. They both have immaculate landscaping, and seek to create a kind of alternate universe. Some years ago I knew someone who had worked at Disneyland as a landscape supervisor. The pay was good, but he grew weary of the job due largely to the severe etiquette involved, such as

  • Tools always had to be lined up parallel to each other on the ground
  • Golf cart drivers always had to have two hands on the wheel
  • Regular band-aids could not worn for cuts. Disneyland supplied their own flesh-colored ‘invisible’ band-aids.
  • Workers could not really talk to each other while working in public view–they needed to be as invisible as possible (much like household servants in all of those British dramas).

Trade Off

One of the great strengths of one of my former bosses involved his ability to see that the pie never extended unto forever. Everything one did in the classroom came with costs and benefits. Whenever trying something new, consider what that meant one would conversely not do, and judge the consequences. We see little of this thinking on either side of the political aisle today. When looking at issues, one should consider not just the benefits it would bring, but also consider which costs and drawbacks one can live with most reasonably.

The words “free trade” are a major coup for laissez-faire capitalists. Even those against such practices have to stand against something “free.” One can understand what the term means in one sense–that no barriers should exist between those who want to exchange something. But, the term obscures the fact that no trade is “free.” In every trade, one gives up something, and the term “free-trade” might not clue us into this fact.

In his book, Global Squeeze author Richard Longworth argues that the global “free trading” market which opened up in the post-Cold War era hurt us much more than it helped. We have exchanged much more than we thought in the bargain. This in itself is nothing remarkable–many books have argued likewise. What drew me to the book initially was that

  • He predicted many of our economic and resulting political concerns today (such as the rise of ethno-nationalism, populism, etc.) way back in 1998, when virtually everyone else saw only one side of the new globalism. At the same time,
  • I felt that this was not just a lucky guess, because he clearly understood the nature of trade-off’s even in “free trade,” and most of all,
  • He asked questions that no other economics book I’ve read asked, such as, “What is an economy for?”

That question we rarely ask. We want a “good” economy, but we have no clear idea what a “good” economy means. While I have no impression that Longworth has a conscious understanding of the patterns and symbolic structure of reality, his book helped me see economics within this frame. So, with apologies to all who find where I begin a bit odd . . .

Theologian Dumitru Staniloae wrote concerning St. Maximos the Confessor

Some of the Fathers of the Church have said that man is a microcosm, a world which sums up in itself the larger world. Saint Maximus the Confessor remarked that the more correct way would be to consider man as a macrocosm because he is called to comprehend the whole world within himself, as one capable of comprehending it without losing himself, for he is distinct from the world. Therefore man effects a unity greater than the world exterior to himself whereas, on the contrary, the world as cosmos, as nature, cannot contain man fully within itself without losing him, that is, without losing in this way the most important reality, that part which more than all others gives reality its meaning. The idea that man is called to become ‘the world writ large’ has a more precise expression, however, in the term macroanthropos. 

The term conveys the fact that in the strict sense the world is called to be humanised entirely, that is, to bear the entire stamp of the human, to become panhuman, making real through that stamp a need that is implicit in the world’s own meaning, to become in its entirety a humanised cosmos in a way that the human being is not called to become nor can ever fully become, even at the farthest limit of his attachment to the world where he is completely identified with it, a cosmosised man. The destiny of the cosmos is found in man not man’s destiny in the cosmos. This is shown, not only by the fact that the cosmos is the object of human consciousness and knowledge and not the reverse, but also by the fact that the entire cosmos serves human existence in a practical way.

Taking this view of man and the cosmos as my premise, I argue that we should interpret our experience of the world and derive meaning through the lens of what it means to be human, a composite being of body, soul, and spirit. This does not mean that all truth is relative or subjective–far from it. Rather, it is a perspective that recognizes that, “The sabbath was made for man, and not man for the sabbath” (Mk. 2:27). God creates the world through the Logos, who is Christ (John 1). Ultimately then, Christ is not the image of Adam so much as Adam is the image of Christ, mysteriously “slain before the foundation of the world” (Rev. 13:8).

So for things to have intelligibility and proper functionality, they should scale to human experience (I realize that I am about to take a massive leap from this premise which I have not done a lot to prove, but . . . :)*

We have to trade things to live, in a sense, both in our bodies individually and in the body social. We have to take in food, water, and so on. We are not autonomous or self-sufficient. Longworth agrees, giving us examples of cultures that have no trade that end up drab, and lifeless. One might think of the ancient Spartans, and the more contemporary Soviet Union. But we can’t just take in anything from anywhere, for any reason–“trade” is not an inherent good, but a contingent one. If we trade too much, even of a good thing, it will be bad for us. One can drown even by drinking excessive amounts of water–too much water brings a flood. In addition, for reality to make sense to us, ideally at least, we should have some connection to those we trade with. Personal contact and personal relationships help let us know if we have a fair trade or not, one that pleases both sides.**

In sum, for an economy to work as it should, it should benefit all sides involved, and benefit them in a way that preserves meaning and coherence. Nations should trade, just as people should trade oxygen for carbon dioxide.

While Longworth does not engage in these kinds of symbolic connections, they do form the unspoken background to his foundational question of, “Whom is an economy meant to serve?”

We come into the world and into a family, if not sociologically, at least biologically. A family economy, then, primarily should serve the family. But it gets tricky, because no family should only concern itself with itself. When this happens, one gets The Godfather saga. Christian teaching pushes outwards towards those on the fringe socially and economically, but we need balance. A mom or dad who devoted too much of their energies to those outside the family would erode the very foundation of their well intentioned actions. Here, C.S. Lewis’ great principle of “First and Second Things” directly applies, which runs something like,

Put first things first and we get second things thrown in: put second things first & we lose both first and second things. We never get, say, even the sensual pleasure of food at its best when we are being greedy.^

Many have discussed the lack of connection we have to what we purchase. We have divorced the thing we buy from who made it, where it was made, and so on. Many have spoken of a “meaning crisis” in our culture and surely the fact that what we trade for and consume has no “context” for us contributes to this dislocation. However, Longworth doesn’t address this, and altering this societal condition remains impossible for almost everyone. We can focus then, on what we can fix, at least on a national level.

Longworth points out in multiple ways how our globalized economy violates the “First and Second Things,” principle. The “nature” of capital seeks out the most efficient way of doing business, so naturally labor would migrate out of the country. We anticipated this in part economically, but not at all sociologically. Longworth mentions that many African-American families (to take one example) rose to the middle class in part through blue-collar jobs in inner-cities. These jobs offered stability and helped build distinct local neighborhoods. As these jobs left, these communities eroded (something seen by Jane Jacobs way back in the 1960’s–this is not NAFTA’s fault alone). Just as we can see the distortions of Marxism as a reaction to the distortions of industrialism, so too we can see racial identity politics as the current distortion to try and correct for the distortions of the market. We can bring it back to the family concept. If your plumber brother really needed work, but you had a 20% discount coupon for some other guy you didn’t know, and hired him instead of your brother, you could expect family difficulties.

As Longworth points out, the medieval peasant always had work, but rarely had prospects for growth. Now, we have the opposite problem of the possibility of growth for all, but no promise of work.

Many today fear the presence of national populism, but here too Longworth had prescience. When we exhale deeply we will inhale in a like manner. One can look at the Hapsburg dominions of the mid 16th century . . .

and compare it with modern European global trading connections

The discontinuities lack coherence on both examples. The Hapsburg holdings don’t make sense, and most students recognize this immediately at some level. They then rarely root for them in any of their various wars. Starting around the mid 17th century, we saw the beginnings of concentration of identity into national states, partly as a reaction to the wars involving the Habsburg dominions. The trade map above concerns Europe primarily, but the principle applies to other regions. Start neglecting meaning and coherence in the family, and look for the kids to try and recover that meaning in ways the parents might not like–look no further than the relationship between the EU and Hungary.

Our modern free trade policies evolved for various reasons in the wake of W.W. II. Free-trade could legitimately serve (perhaps) as a means to combat communism in part because the vast majority of major players shared many in things in common:

  • Common cultures and religions
  • Similar pools of labor and technological access
  • A common political goal

Japan participated in this as well, which posed problems for the U.S. in particular. Japan had different cultural and political goals, which led to more protection of its labor force and different economic practices. However, Japan’s labor pool was small enough not to erode and distort the system. With the entrance of China and India, however, things changed dramatically. Economist Richard Koo commented in the early 1990’s

The free trade system has lasted this long only because China and India are not in it. The U.S started this system after the war and other countries joined in. Japan is not a full member even yet–Japan is certainly not a free-trader. But if the problem is just Japan, it’s tolerable. But if China plays the game as Japan has done, the system will not last without safeguards. With the 3rd world entering–there is no end to the potential problem.

Trade in finance may prove an even bigger problem than trade of goods, and again, Longworth showed remarkable foresight here. Bartering goods has a direct coherence to it. You give me your apples, I give you my wheat. But bartering is cumbersome, so we go to money. But in the early stages at least, one could exert a degree of control over money and give it a degree of coherence in a local context–i.e., the money that “works” in a given place is the money with the king’s head on it. That too, limits us, so we went to a more universal, though still concrete, “gold standard” to determine the value of money and limit its movement at least partially. Then Nixon abandoned the Bretton-Woods arrangement and broke from the gold standard, which pushed money into an even further abstraction. Non-national currencies in the cloud are the inevitable conclusion to this process, a process which–however many it benefits materially–pushes us further away from meaning and coherence in our exchanges with each other. I am not one to often quote Keynes approvingly, but he understood–perhaps subconsciously–the necessary symbolic balance of trade, stating,

I sympathize therefore, with those who would minimize, rather than maximize economic entanglement between nations. Ideas, knowledge, art, hospitality, travel–these are things which of their nature should be international. But let goods be homespun whenever reasonably possible. Above all, let finance be primarily national.

But nations cannot control the flow of money because they cannot control trade. Merely trying to control currency movement by the elite, therefore will not work and only hurt the “everybody else” in the economy.

The bigger question, however, of “Can we stop this?” relates strongly to the question, “Do we want to stop it?” Here it gets difficult for all of us. Longworth rightly says that technology is not the problem. The internet obviously has the ability to “actualize” many of the trends Longworth saw developing, but the shift had begun decades before the internet entered society. For Longworth, the root lies in trade, but I say, let’s go one deeper–what in our cultural leads us to practice trade as we do?

Democracies foster a sense of individualism, which maximizes opportunities for the self vis a vis the group. Democracies tend towards dynamism, which bodes ill for stability. For example, a recent study shows that

…democratic rule and high state capacity combined produce higher levels of income inequality over time. This relationship operates through the positive effect of high-capacity democratic context on foreign direct investment and financial development. By making use of a novel measure of state capacity based on cumulative census administration, we find empirical support for these claims using fixed-effects panel regressions with the data from 126 industrial and developing countries between 1970 and 2013.

Aye, there’s the rub. To change how trade works, we may have to change more than just trade.^^

Dave

*Suggesting any kind of absolute relativism is the last thing I mean to do, but unfortunately I fear I may not be explaining it well. By ‘human experience’ I don’t mean anything at all that humans might experience. We experience many things that are obviously wrong and bad for us. I mean then, something akin to a union of Heaven and Earth that is supremely Christ Himself, then the Virgin Mary, the saints, and so on down the line. Of course man himself was meant to function as a union of Heaven and Earth originally in creation. One can see this in the very structure of our bodies. Some animals soar above the earth, some slither under it (fish). Most every animal has all of its appendages on the ground, whereas we have two on the ground, with our intellect–our ‘heavenly’ aspect on the commanding heights above us. Our heart unites the two.

**For those that used to trade baseball cards, think of those times when you might see when you drove too hard a bargain for the “Mutton Chop Yaz” in the face of your friend. Unless you were Comic Book Guy, hopefully you adjusted the cost so that you prioritized your relationship and avoided taking advantage of him.

^In seminary many years ago I heard several cautionary tales along the lines of:

  • Young, energetic pastor and young family come to the church
  • Young pastor becomes popular and receives lots of affirmation from church. He throws himself into his work at church–glory and acclaim can be like a drug.
  • But because of this, he spends less time at home, where things are inevitably more mundane. His wife eventually grows resentful and distant.
  • Wife leaves husband, which makes it impossible for him to keep his job at church. Thus, he loses both the “first thing” (family, in this case), and the “second thing” (job) all at once.

^^Supposing the accuracy of the study, one can react in the following ways:

  • Inequalities in wealth are such a bad thing that if democracy contributes to it we should overthrow it.
  • Inequalities in wealth are not good, but perhaps it is one of the costs we must endure to have the greater good of democracy.
  • Inequalities in wealth are not always bad–and in fact can sometimes become a positive good. The wealthy (individuals or companies) can dramatically advance society in important ways, etc. We cannot avoid hierarchy.

As to #1–I would wonder what we would replace it with. Certainly most modern replacement ideas involve a revival of Marxism which we should reject out of hand. The other two make more sense to me, but I am still not satisfied. I feel that if a solution to the problem exists, it exists outside the system itself, and this would mean letting go of some aspects of our modern world as it relates to culture, politics, etc.

The Marriage of Handwriting and Architecture

It did not take me long to get miffed by Steven Greenblatt’s The Swerve.  Almost right away  he commits two cardinal sins in my book when discussing the Medieval period.
  • He brings up all the worst aspects of the Medieval period without any of its virtues, and
  • He asserts that the discovery of Lucretius’s On the Nature of Things is one of the main causes for the “swerve” from the Medieval to the Modern world.  He does not assert this absolutely, but hedging all on one manuscript still seemed too reductionistic to me.

But Greenblat’s charm and narrative style kept me going.  In the end, I didn’t read the whole thing and skimmed some sections, but one thing in particular struck me forcefully — how handwriting can be a reflection of the personality of a society.

‘Gothic’ script dominated the ‘Gothic’ era, and it can be contrasted with the Carolingian script revived by many Renaissance scribes:

Petrarch complained that Gothic script, “had been designed for something other than reading,” and he was not whining, but speaking the truth.

Gothic Script

The height and cramped fashion of letters makes it difficult to read, and may subconsciously have been designed to be “seen and not heard.”  When we remember that very few could read, and that books were meant to educate visually just as much as textually, the Gothic “font” makes more sense.

Gothic Manuscript

Here are examples of the Carolingian script fashionable during the Renaissance:

Perhaps pro-Renaissance scholars do not exaggerate the real shift that took place as far as education is concerned.  Perhaps this shift in handwriting style helped pave the way for the printing press itself.

If the “font’s” a society uses reflect something of its larger worldview, we would expect to see this expressed in other aspects of their culture.  Gothic architecture mirrors gothic script in uncanny script in uncanny ways, with the “bunched up” nature of its space.

Flying Buttresses

True, the high ceilings of these cathedrals did give a sense of space, but it was space that meant to overpower you, a weight and bulk of a different kind.  The stained glass windows again reveal the same thing as the buttresses — the “cramming” full of space with color.

In the Renaissance we see something else entirely, a more “human” scale in architecture, and a greater sense of space.

The Pazzi Chapel

Michelangelo, the Medici Chapel

So apparently, handwriting can be an expression of a culture’s personality just as architecture can, which should not have surprised me.

When I realized that the Renaissance basically just revived Carolingian script, this gave new significance to the Carolingian Renaissance itself under Charlemagne six centuries earlier.  Those that invented the style and not merely copied it should get greater credit.  Some scholars dismiss the “Carolingian Renaissance,” as small potatoes, but the script they used showed an interest in reading, which sheds new light on the work of Nottker and Einhard.  So, what about architecture under Charlemagne — will it show that same sense of space?  Naturally we must consider Aachen Cathedral, the central building of Charlemagne’s realm:

Aachen Cathedral, Exterior

Aachener_dom_oktagon

Well, it appears that we have a mixed verdict.  It is part Gothic, part Byzantine, and part something all its own.  Will I allow this to overthrow my theory of seeing links between handwriting and architecture? Perish the thought!  I can always say that Charlemagne’s time had so much going on that they had no time to be particularly self-aware of these choices, in contrast to both the Gothic and Renaissance periods.

Does America’s utter lack of defining architectural identity have anything to do with our confusion about teaching handwriting?

Blessings,

Dave

Inventing Vietnam

Like most Americans, I root against the New England Patriots.  It is nothing personal, but Americans root for the underdog, and the Patriots have been so successful they are never the underdog.  And yet, I can’t help but admire the brilliance of Bill Belichek.

He confirmed my admiration during a particular playoff game against the Steelers many years. ago.  The Patriots held a slim lead early in the game but the Steelers had a built a nice drive.  They resided just out of field goal range and faced a 4th and 1 somewhere around the Patriots 40 yard line.  The Steelers decided to go for it, and their home crowd cheered.

At this time the Steelers built their identity around a “smash-mouth” style of play and relied heavily on running back Jerome Bettis.  Everyone knew the Steelers would want to run the ball.  The Patriots of course also knew this.  They stacked the line of scrimmage and their defense sold out on the run.  I don’t recall if they had any safeties behind the line of scrimmage.  Their defensive formation triple-dog-dared Pittsburgh to pass.

I remember yelling at the TV for Pittsburgh to call a timeout.  They were obviously going to run, but if they had just flared out a tight-end it could have gone for a touchdown.  But Pittsburgh went ahead and ran the ball anyway.  And of course New England, having every single player right at the line of scrimmage, stopped it easily.  After taking over on downs Brady promptly completed a long pass for a touchdown and broke the will of the Steelers.

Game over.  In the first quarter.

I thought to myself, “How did Belichek know Pittsburgh would run?”  Of course he didn’t really know, but his defense said to me that he knew.  What Belichek, knew, I think, is that under stress, we revert to our comfort foods.  We can’t help it.  In a regular season game, with stress levels lower, maybe Pittsburgh calls a different play.  But in the playoffs?  He knew they would stress-eat the Ritz crackers and run Jerome Bettis over left-tackle even when a voice inside them probably told them to eat carrot sticks instead.  They couldn’t help it.

Civilizations contain a vast aggregate of personalities, but have a undeniable personality and predelictions all their own.  When we picture someone wearing a t-shirt and blue jeans, of course it fails to cover everything about America, but it covers enough.

Toynbee believed that western civilization reveals itself in its passion for mechanics.  He wrote,

The Hellenic civilization displays a manifest tendency towards a predominantly aesthetic rubric for orienting and defining itself.   The Hellenic tendency to view life as a whole distinctively in such terms that the ancient Greek adjective “kalos,” which denotes what is aesthetically beautiful, is used in addition to describe what is morally good.  In other words, Greek concepts of beauty and morality . . . were indistinguishable.

When we come to our own western civilization we find no difficulty discovering our own bent or bias.  It is, of course, a penchant towards machinery: a concentration of interest and effort upon applying discoveries of Natural Science to material purposes through the creation of social-clockwork devices, i.e. steam engines, motor cars, but also social engines like representative governments and military mobilizations.

We sometimes talk as if this appetite for mechanics was a quite recent occurrence in western civilization  . . . But this is precisely how westerners were viewed by the courts in Japan and China [in the early 1800’s, just prior to the Industrial Revolution]–as “barbarians” redeemed partially by our manifest and outsized technical ability.   The Byzantine princess Anna Comnena had the same impression of the first crusaders in 1099 A.D.  She called  their  crossbow a “devilish construction” that, while ingenious in its mechanics, fitted perfectly the barbarians who wielded it . . .

I thought of Toynbee’s analysis reading James Carter’s Inventing Vietnam.  A lot about this book revealed little about the Vietnam War that I had not read elsewhere.  I thought Carter missed some important opportunities to illumine the conflict.  But his basic thesis, that America essentially tried to invent, i.e. “call int0 existence” a country that did not really exist makes sense.  South Vietnam had no real governance, no real culture, no real identity at all, apart from some lines on paper at the U.N.

Carter demonstrates that we tried to create South Vietnam in the only way we knew how.  We went to our comfort food . . . lots and lots of mechanical stuff.

Everyone recognized fairly early on that South Vietnam occupied a precarious position in Southeast Asia.  President Diem failed to inspire confidence.  The North had nearly all the best political leadership.  The major battles of the war against France, and thus, the major political infrastructure to handle the war, happened in the North.  Even in the late 1950’s we realized the South Vietnam could collapse not so much because of the actions of North Vietnam but under its own weight.  Castles cannot built on air.*

But for many reasons, some well-intentioned and justifiable, and some not, we felt that we had to try.**  We sought to modernize their economy, and give thousands of South Vietnamese jobs through our massive construction projects.  We could maybe, just maybe “fast-track” their way towards gaining some kind of statehood.  If nothing else, in attempting this we stayed on familiar territory.  We knew how to provide material goods and benefits.

While Carter’s book disappointed me overall, he proves his main point.  Our efforts to “create” South Vietnam massively undermined our stated goals.

  • The massive surge in U.S. dollars in South Vietnam destabilized their economy
  • South Vietnam’s economy and infrastructure could not absorb the massive inflow of goods, which created a black-market economy almost immediately.  This “shadow economy” further eroded governmental authority.
  • Most significantly, construction projects facilitated the expansion of our war effort.  The expansion of the war effort led to more bombing in South Vietnam, and more troop activity.  The more war South Vietnam experienced, the more disruption they faced, the less chance the South Vietnamese government had of establishing themselves.

Each of these problems served to ensure that the South Vietnamese government had no control over its own destiny.  Many in the State Department and military realized this, but could do little else but press on.  We couldn’t help ourselves.  This is what we knew how to do.  We can reasonably assume that if we had defeated the North Vietnamese militarily, the overall strategic situation would have changed hardly at all since the 1954 Geneva Accords which divided Vietnam in the first place.  South Vietnam would not have been an independent country.

When our war in Afghanistan seemingly went well in late 2001, Secretary of Defense Donald Rumsfeld was a media darling.  His “transformation” doctrine of war, which emphasized smaller troop levels and increased use of technology, seemed to work.  But by 2006 Iraq was a mess, and by 2009 the situation in Afghanistan had significantly eroded.  In truth, much of the Rumsfeld doctrine hardly broke new ground.  It appealed directly to our comfort food of believing in, and relying upon, bigger and better stuff to solve our problems.  Hillary Clinton taps into this again with her pledge that new green technologies will solve economic problems.  If we looked closer we would see that our weaknesses, and of course also our strengths, have deeper roots than this.

Dave

*Marine General Victor Krulak commented in 1966 that, “Despite all our assertions to the contrary, the South Vietnamese are not–and have never been–a nation.

For a postscript below, Raymond Fitts’ article entitled, The Uses and Abuses of Technology in War

 

“The American effort in Vietnam was the best that modern military science could offer. The array of sophisticated weapons used against the enemy boggles the mind. Combat units applied massive firepower using the most advanced scientific methods. Military and civilian managers employed the most advanced techniques of management science to support combat units in the field. The result was an almost unbroken series of American victories that somehow became irrelevant to the war. In the end, the best that military science could offer was not good enough . . .”1

How is it that such a paradox developed? How could a world Super Power lose a war to a third or forth rate military power? The answer has many parts. One part of the answer must lie in the difference between military science and military art. The more technology a country has developed, the more it seems to depend on military science in stead of military art. Another part is in the make up of the combatants and their outlook toward warfare.

Despite the many analyses of the Vietnam war produced by the military, none has adequately considered the fundamental question of how the U.S. could so completely dominate the battlefield and yet lose the war. Senior military officers have published books and memoirs about Vietnam. They have all nearly ignored the insurgent portions of the war and devoted themselves to the conventional side of the conflict. The most celebrated analysis of the war made by a military officer was produced by Col. Harry G. Summers, Jr. His basic treatment of the entire war was as it ended, i.e., in a conventional invasion of South Vietnam by North Vietnam. He ignored the guerrilla tactics and insurgent strategies of the war. All these personal accounts of the war seem to be best summarized by the adage “If they has just turned us loose in 1965, the war would have been over quickly.”2 It is clear that had the war been nothing more than a conventional one, the US should have been more successful than it was.

A clue to understanding the Vietnam paradox lies in the term “military science.” No one can doubt the importance of military science to the success of military operations in today’s world. The firepower provided by today’s weapons dominates the modern battlefield. The procurement of those same systems is a complex science in itself. However, successful military operations are a combination of the application of military science and military art.3

As the term implies, military science is a systematic body of knowledge about the conduct of military affairs. It deals with issues that can be quantified with a considerable degree of precision. It generally deals with what one can or cannot do in military operations–the technical aspects of developing and employing military forces.

Military art is the systematic study and creative planing and conduct of military affairs.4 It involves strategy (including tactics), political-military affairs, leadership, and morale. In short, it deals with the inexact side of military operations. It is concerned with what military forces should or should not do and why. It is learned through a study of history.

Successful military campaigns are the result of some sort of balance between the two. The balance may, in fact, depend on the status of the opposing forces–their equality. Reasonable equality may not exist between opposing forces. The weaker side must then depend on superior military art to achieve victory.

The North Vietnamese and Viet Cong were forced to depend on the use of military art because of the overwhelming resources and superior technology of the U.S. The Communist confused the Americans with a package of political, psychological, economic and military warfare.

There is a considerable body of literature that suggests that the warfare of the future, especially with the end of the Cold War, will be on the low-intensity end of the conflict spectrum. If indeed such is the case, then the U.S. will need to rethink how it uses its technology to fight at this end of the spectrum. But to understand what constitutes the low-intensity conflict some definitions are necessary. Applications of technology in this environment will be explored to evaluate the effects of the use of technology.

Definitions

Low-Intensity Conflict

The American military establishment considers low-intensity conflict to be manifested in four different ways: (1) counterterrorism (assuming there is a terrorist to counter); (2) peace keeping: (3) peacetime contingencies (quick sharp, peacetime military actions like the air raid on Libya in 1986); and (4) insurgency/counterinsurgency. The inclusion of some of these terms in the definition of low-intensity conflict is debatable. Terrorism can be considered a tactic that can be used in any type of warfare. Peace keeping missions are meant to prevent the outbreak of a conflict. The essential difference between war-fighting and peace-keeping missions is that one makes the maximum use of force while the latter is committed to the minimum use of force. Direct action missions tend to be high in intensity but short in duration, a situation that is particularly unsuited for the term “low-intensity conflict.” We are thus left with insurgency and counterinsurgency claiming any legitimacy to the title “low-intensity” conflict.6 A low-intensity conflict includes not only the unconventional aspects of warfare but also economic, political and psychological warfare.

There is an important aspect about low-intensity conflict that needs emphasis. The level of intensity is a relative thing. For the soldier in the trenches, combat is always intense–he’s the one getting shot at. For the United States, Vietnam was not a highly intense conflict because it did not require the full resources of the country. For the North Vietnamese, the war was a high intensity conflict because it involved all the nation’s resources. The level of intensity is usually associated with the probability of occurrence of a certain level of conflict. Terrorism is at one end of the spectrum and is highly probable while all-out nuclear war is at the other end and is least likely.

Partisan vs. Insurgent Warfare

The difference between partisan warfare and an insurgency is what the guerrilla is trying to do to the government. The partisan is merely interested in throwing out a conquering power. The partisan may need help from an outside source. An example might the East Europeans trying to expel the Germans during World War II. An insurgent is trying to overthrow an existing government by any means. Insurgencies are the more insidious of the two in as much as it has no definite beginning; its origins are not military, they are political, economic, and psychological. The insurgency is self-sustaining; and does not need outside support. An insurgency sneaks up on the existing government slowly and quietly.

Successful insurgencies have a number of elements in common. Four characteristics are particularly important for the American military: the protracted nature of the war; the central role of the insurgent political infrastructure; the secondary role of the insurgent military; and the use of guerrilla tactics in military operations.7 An insurgency represents the total integration of political and military factors with the political factors always in complete domination.

Conditions are ripe for insurgencies in many parts of the Third World. They all have several things in common: the stark contrasts between incredible poverty for the vast majority of the population and the extreme wealth for the ruling elite; a small to non-existent middle class that can be a stabilizing influence and a conduit for the upwardly mobile; these same areas often times sit astride important trade routes or trade-route chokepoints; they might contain important deposits of raw material vital to the industrialized world.8 The insurgencies of the twentieth century have been scattered all over the world and have been the result, for the most part, of real or imagined inequities in political and economic power coupled with the perception of minimal opportunity for reform, either political or economic. When taken together, the unique aspects of insurgent warfare suggests that such struggles are different from conventional warfare.

The most important aspect of an insurgency is time. Both the French and the Americans found that their enemies used time as a weapon against them. The Vietminh and later the Vietcong purposely made the struggle longer waiting for the Americans and French to get tired of the endless blood letting and look for a way out of the conflict.

The rebels also need time to build up their political support and military strength relative to the government they are trying to overthrow. Time works for the insurgent in another way: every day the rebellion exists is another day that discredits the government and its ability to govern and control its own destiny. The defeat of the insurgent military threat is only an adjunct to buying time for the government to implement reforms and for those reforms to work..

Guerrilla Warfare

Guerrilla warfare is the classic ploy of the weaker against the stronger. The conventional European military operations are planned to obtain a quick victory while guerrilla warfare tactics are geared for the long haul. The guerrilla attempts to avoid a decisive defeat at the hands of the stronger enemy. They operate in small groups to avoid presenting tempting targets for government forces that usually have vastly superior firepower for its use.9

In fact, a guerrilla wins by not losing, while the government loses by not winning. In short, there is no room for the status quo. Each side must discredit the other by some means whether it be political, economic, psychological, or military. Generally, it is s combination of all these elements. The military aspects usually are fought to make space for the other aspects to work on the minds and pocket books of the population.

The American Way of War

There are several deep-seated reasons for the condition of the American armed forces: military men are still highly regarded in Europe but not much here; the European tradition of martial exploits is missing in America; a technological bias to create weapons that can kill from a distance; and a failure to create a well-motivated, well trained military force.10 Most Americans have not had to come to grips with the central role that military forces play in international settings Americans have not had to confront war as a political act.

Its long span of oceanic-based isolation has led the Americans to think of war as an aberration, a failure of political policy Americans see warfare as a great crusade to over-come a well defined enemy who was definitely evil. Simplistic approaches to political military problems are also indications that Americans have not been forced to deal with the role of force. Despite obstacles, Americans have expected to achieve their goals; the spirit of “can-do” has been a permanent part of their collective psyche.11

The Civil War was the first American conflict observed by professional European soldiers. The British, French and Greater Prussian General Staff sent representatives to observe both sides at war. The observers noted, with some distain, the American penchant for standing off at some distance from each other and throw enormous amounts of lead at each other, often times for hours on end. This method has become ineluctably part of the American way of war.

This proclivity to conserve lives has been all the more difficult because of a distinction in the military tradition: the population has always distrusted a large standing army, it has thus developed a strong militia to fight its wars. American armies have had to learn to fight by fighting. The U.S. has been willing to compensate for what it lacked in preparation by spending its national wealth. America’s war industry has overwhelmed its enemies with weaponry.12

The U.S. military has concentrated on the sciences of developing, deploying, and employing America’s overwhelming resources since the Civil War. The military has, as a result, not had to be very clever in the military arts because it could overwhelm its opponents in a sea of men, weapons, firepower, and logistics.13 This ability has lead to a 20th Century American trend in American thinking: modern American strategists and tacticians have sought to substitute fire and steel for American blood.14 General James Van Fleet, then commander of the Korean based 8th Army in 1952, is a good example of this mode of thinking. He was determined to use his artillery as a substitute for U.S. infantrymen.

The basic aim of the U.S. military, it seems, in peacetime is to buy hardware rather than use it. The main aim of each service is to get from Congress as much money as it wants. The peacetime emphasis has moved from fighting skills to procurement and the management of technology. The best way to a promotion is through running a successful procurement program in the Pentagon. Leadership in the field is a secondary consideration. What the American military has developed is a distorted sense of priorities and a general lack of seriousness about warfare. It has fallen into a push-button mentality that has a developed a passion for hardware to the neglect of strategy, tactics, and the intangibles of warfare.15 We have done a marvelous job of preparing for the next war only to find that we cannot afford to fight it.

In spite of all this high-technology, it has never been the decisive factor in any American war. The struggle to use technology and to deal with the enemies technology has been much more important.16 Using history as a guide, the American record with military aviation technology has been mixed at best. In World War I, the U.S. flew European designed and, for the most part, built aircraft. World War II showed the Japanese Zero was better than any U.S. front line aircraft at the beginning of the war and the MiG-15 was a superior surprise during the Korean conflict.17

The French Experience

France was the last of the European imperial powers to resist, by force, the loss of its colonies following World War II. The wave of independence following the war swept over all of the former European colonies. The wave gave the colonies a moral advantage that made the war in Indochina increasingly unpopular in France.

The French experience in Indo-china finally ended with the signing of a treaty between the Viet Minh and the French. The treaty divided the country into two halves: one half went to the Vietnamese communists, the other went to what became the Republic of Vietnam. The political turmoil over the next decade brought the U. S. into a war that the French could not win. The final disaster for the French was at a small town in northwestern Vietnam called Dien Bien Phu. Hot on the heels of Vietnam was another colony of France: Algeria. It seems that the French didn’t learn enough from Vietnam because they went through the same traumatic experiences in Northern Africa that they had in Asia. The two places were very different, but the guerrilla war fought by France in both countries contained the same French military responses to the insurgents.

Vietnam18

The French experience in Vietnam lasted eight long years. The Viet Minh experienced tactical defeats with huge losses when faced with the terrible destructive power of the French firepower. The Viet Minh accepted their losses and learned from their mistakes. Over time, they succeeded in dominating Indochina except for a few French “safe areas” around Hanoi and its immediate vicinity.

The only real advantage the French had was their mastery of and ability to conduct European-style machine warfare. They believed to the very end that the enemy could be crushed and Indochina subdued by concentrated firepower. Early on, they also learned that artillery and airpower had little effect on an elusive enemy that avoided a fight. What the French wanted was a large-scale battle of attrition that would grind the Viet Minh into the ground under a final massive avalanche of bombs and artillery fire. The strategy has two fatal flaws: (1) the French were frustrated by their inability to find and fix an enemy in an inhospitable environment; and (2) the French assumed that they alone possessed the ability to apply firepower in a battle of attrition.

Giap keep the pressure on the French by infiltrating soldiers into the Delta lowlands around Hanoi thus tying down French units. He initiated local attacks against the French units creating havoc in the colonial heartland. Giap also conceded to the French their superior firepower and willing spent lives to accomplish two things: first, to maintain his offensive and secondly to buy time to build a firepower base that could challenge the French in open warfare. To accomplish such things, surprise and secrecy were essential.

The Viet Minh learned from experience that under no circumstances should a column be caught in the open to be devastated by French firepower. They traveled by night in small groups to lessen the probability of being detected. They stayed in areas firmly under their control. Limited attacks outside of their protective base areas were planned carefully and by moving to and from the objective area without delay. If they were caught in the open, the men would scatter and hide before the French were able to adjust in and mass artillery fire on the position. The elusiveness of their tactics in combination with the difficult terrain greatly reduced the killing power of French firepower.

The Viet Minh also learned something about the application of airpower. Initially, it frightened the green, inexperienced insurgents and forced them to break off attacks. The French could rarely afford to send more than single aircraft to turn back attacks. The Viet Minh learned quickly that airpower employed in small doses possessed little destructive power. They also effectively dissipated French firepower by using a “hugging” tactic that began with a concentrated recoilless rifle, mortar, and machine gun attack on a fire base with the express intent of knocking out the defender’s radio–the sole means of calling for friendly fire. They then moved the entire force within the barbed wire outside the fort. Fortress and firepower proved to be no match for cunning, patience, courage and a willingness to sacrifice lives to achieve an objective.

Close air support became more effective as time went on. The pilots got to know their assigned areas of responsibility. They could bomb and strafe with particular destructiveness because they did not need to worry about the location of their own soldiers.

The French lost the first round of the war when they lost effective control over most of the territory and population in North Vietnam. The lesson to be learned here was that no amount of firepower or fortification can be effective against an insurgent without first obtaining the support of the people who inhabit the country.

The most effective innovation in firepower control was the use of light observation aircraft, specifically the Morane, to control supporting fires in support of an infantry unit in heavy contact. Such control often meant the difference between victory and defeat for the supported unit. The pilot had to be able to put the fire at very close ranges to the friendly forces.

The American observers present were not particularly impressed with the French airsupport system. It had airplanes dashing about from one fire fight to another in small groups (often only a few planes at a time). It was not their idea of a concentrated air campaign because it seemed so disorganized and without purpose. The close air support provided by the French air force, however, was sufficient as long as the enemy restricted himself to low-level hit-and-run tactics.

Both sides were learning from the battles. Giap learned that his forces were too lightly equipped to slug it out with the French and their overwhelming firepower. He therefore resorted to guerrilla warfare tactics using irregular forces against enemy strength and main forces against French weaknesses. He committed his forces only when there was a high probability of success.

On the positive side, Giap learned that the ability to stand up of French firepower increased with experience. A few well hidden machine guns made the effectiveness of French air attacks decrease appreciably. Giap did not have to match French firepower gun for gun to reduce its effect.

Giap also realized his own impatience with his early attempts at open warfare. He then decided that he would fight on his own terms. He sought to draw the French away from their bases thereby weakening the French ability to project and supply large fire-power intensive forces. He then attacked when the right combination of circumstances (weather, lines of communication, terrain) and available forces reduced or eliminated the French firepower advantage.

For the French, their victories convinced several commanders that the war could be won by fighting a decisive set-piece battle of attrition. They therefore sought to lure the Viet Minh into attacking well-prepared positions thus letting the enemy bleed to death in the face of French firepower. In doing so, however, the French made two critical mistakes. The first was to assume that their firepower was more effective than it really was. It was indeed effective early on, but as the enemy became better able to avoid it and developed their own firepower base more and more ordnance was needed to achieve significant results. Their second mistake was in not realizing that unless the attacker has an overwhelming advantage in firepower, causalities were likely to be about the same on both sides.

The French infantry effectiveness began to decline as a result of an accumulation of all of these factors. The French soldiers, because they were often green or shaken, needed more and more concentrations of firepower to keep them effective. The guerrilla retains the strategic initiative because he can determine the level of the conflict whenever the enemy’s firepower proves to be too destructive.

The French left and the Americans began to replace them only to have to learn the same lessons the French had, but without the benefit of consulting the French.

Algeria

The Indochina war was hardly over when fresh trouble broke out in Algeria, France’s colony in Northern Africa. Trouble had been brewing there for some time, just as it had in Tunisia and Morocco. France had settled both of the latter problems by granting them independence. But Algeria was part of metropolitan France and would always be French.

Extensive European land ownership and a local Moslem elite that controlled the economic and financial structure while the bulk of the population went hungry and landless made Algeria look a lot like Vietnam. The French never ruled comfortably and force lay just below the governmental facade.19 Algeria was not France: 90 percent of the wealth was in the hands of 10 percent of the population, nearly a million people were unemployed while nearly two million were underemployed.

Both sides in the rebellion understood much about the other. The French refused to realize the strength of nationalist feelings while the rebels did not recognize the obstinacy of the Europeans or the French military against them.20

French military forces numbered about 50,000 when the rebellion started on the 1st of November, 1954. By May of the following year there were 100,000 French soldiers in Algeria. The military commanders were not worried about “bandits” who would yield rather quickly to the superior power of the French army; they thought nothing of sending mechanized columns to subdue them. Apparently the lessons of Vietnam had not yet sunk in because any Vietnam veteran could have told them that mechanized columns sent anywhere did little more that provide convenient targets for guerrillas.

The French aggravated their situation with the measures taken by the police; numerous arrests for nearly arbitrary reasons and the brutal treatment of the detainees just fed the fire. Further French counter tactics remained the rebels best friend. The build up was still under way and the military commanders did not have the forces to carry out the traditional pacification tactics. The Army was in a particularly dangerous frame of mind after the losses in 1940 and Indochina left it with a monstrous inferiority complex.21 The French guerrilla warfare doctrine applied to Algeria was doomed from the start because the French had ignored the aspirations of the population –in Mao’s doctrine the very first lesson. In spite of their revolutionary doctrine, and the results in Vietnam, the French army continued to rely on the traditional techniques of fighting the Algerian war.

Despite their inept military activities, the French did have some advantages: approximately 400,000 soldiers in Algeria; the factious nature of the rebellion; and the lack of rebellion’s internal cohesion played a disruptive role amongst the rebels.22

The Battle of Algiers occurred after the 10th Parachute Division took over counterterrorism duties. The division was not kind in its tactics. The battle that followed was an outgrowth of their brutality that left many dead behind. Controlled genocide as policy seemed to work though. The rebel infrastructure in Algiers was destroyed and the French efforts in the countryside seemed to be working. The battle in Algiers sent more moslems into the arms of the rebels.

But the French off-set their gains with their garrison concept that took the bulk of their forces. The concept left the countryside to the guerrilla (a failing seen in Indochina). Several other factors degraded the effects of French tactics: the use of inexperienced conscript soldiers, an inadequate force for the mission (again a notion left over from Indochina), guerrilla reinforcements coming in from neighboring sanctuaries, rebel determination to throw them out, French barbarism, and finally the overall extent of the destruction of the country.23 The French barbarism even reached into neighboring Tunisia when an air force colonel ordered a Tunisian village bombed on the pretext that machine guns fired at French aircraft–some three miles away in Algerian skies.24

The French attempted to seal off the Tunisian border with a fortified barrier that was 40 meters wide and just over 250 kilometers long. The Morice Line used an electrified fence as its core. It was surveyed by radar and human patrols, covered by searchlights and artillery in places, and had its approaches mined. It still had its disadvantages: it was expensive to build, it required thousands of soldiers to patrol, it was a far as 50 miles from the border in some places and it could be outflanked.25

French tactics eventually became more effective and more mobile with the use of helicopters. But by this time President Charles de Gaulle realized that the French could fight in Algeria for a hundred years without resolving the issues that brought on the conflict in the first place. He finally put an end to the madness by granting Algeria its long awaited and much desired independence. Algeria wasn’t out of the woods yet, but at least it could set its own course.

The American Experience

Americans have had a love affair with technology since the inception of the country. It helped to develop a new continent from coast to coast through the train and the telegraph. Technology made up for the lack of people in developing a new country. That very love affair carried into the way Americans fought their wars. They took it with them to all of their wars since the Civil War. In a recent example it contributed mightly to their undoing.

Gadgets in Vietnam

The Vietnam experience was a bewildering disaster for the U.S. military. The battlefield effort gave the U.S. military an almost unbroken string of victories. On the one occasion, Tet Offensive of 1968, that the enemy stood and fought the American forces in a conventional style, the enemy was so badly beaten that it could not launch another major offensive for four years.26 The U.S. still did not win the war. Apparent military success could not be translated into political success in the larger war. The United States is so dominated by its technologies and its wealth that it has lost touch with people. The United States believes it can spread democracy and maneuver politics by technology and money only. This may well be a fatal error in the life of our nation.27 The loss of China to the communists and the French loss in Indochina made for rather unpleasant news in the U.S. about a new type of warfare coming onto the world scene. Insurgency was a type of warfare that was wholly unknown and unanticipated in America. This isn’t too surprising because the Americans lacked a number of overpowering attitudes that were, and are still common in the Third World: the depth of belief that comes from desperation, a tradition of humiliation that begets hatred; the immediacy of wide spread starvation in the face of corrupt plenty; the zeal of the patriot in the face of foreign invaders and finally a basic lack of interest in war.28

In tune with their propensity to use gadgets, the Americans invented “think tanks” to think up new devices and ways to use them; the think tank was supposed to devise new policies that would allow the U.S. military to fight an insurgency war. The think tank was a development that followed the end of World War II when the Department of Defense didn’t want of lose all of the scientific talent it had accumulated during the war. Insurgency provided the think tank’s biggest challenge after the Korean war.

So we sent our soldiers to Vietnam unprepared for what they were to face. They were so unprepared, that even the soldiers responsible for intelligence gathering could not speak Vietnamese. They had to hire Vietnamese to translate for them. The translators were as ill-prepared for their task as the American intelligence specialists were; some could only barely speak English at all let alone translate Vietnamese into intelligible English. Given such a starting point, it was hardly unlikely that the wrong story got told, especially with the Oriental propensity to tell a Westerner what he wants to hear.

The toughest technical problem was to just find and identify the enemy. The VC and the NVA did not, as a rule, fight in regiments and divisions. The lengths to which the U.S. gadgeteers went to solve this problem are truly awesome.

The U.S. tried bedbugs to sniff out people.29 The bed bug is supposed to be able to smell human food from a long distance. It then moves around making some small noises. The noises were what the gadgeteers tried to use to operate a meter showing the proximity to people. The think tanks devised a machine to be carried by one soldier and operated by four or five bed bugs. The sniffing tube was pointed at a suspected ambush site thus providing a sign to the soldier that somebody was hidden there. The machine failed combat test.

A “people sniffer”, using a chemical-physical apparatus, did have some successful field tests. The machine was supposed to be able to detect body odor of concealed guerrillas from 200 yards away.

Small infantry units had a small personnel radar that could detect moving human beings and alert defenders in the dark of impending attack. The attacks happened anyway.

The starlight scope turned out to be a useful gadget. It allowed a soldier to see in the dark by concentrating the light of the stars. Aircraft were even using them.

Sound was also used as an indicator in several gadgets: one gadget detected the sound of clothing rubbing against clothing; sensors were used on the Ho Chi Minh trail to detect the sound of trucks and other vehicles. Seismic detectors were used to detect the trembling of the ground as heavy trucks and tanks drove by. Infrared detectors were developed for use to find heat sources beneath the jungle canopy. Special photographic films were developed to detect the dead vegetation used as camouflage.

American gadgeteers seldom reckoned with the propaganda effects of the usage of their gadgets. The bed-bug episode drew a wave of negative editorial comments in the Vietnamese press.

Then their was Operation Ranch Hand. The operation was designed to defoliate the jungle hide-outs of the VC and NVA. It was eventually used to destroy the rice crop. The trick back-fired in a big way because of the special status of rice in the Oriental mind: to waste it is a cardinal sin. Westerners killing whole fields not only deprived the owner of the rice but handed the Viet Cong a propaganda coup of the first magnitude. The destruction of the rice fields drove more peasants into the hands of the waiting VC. The VC then used it as the basis of a charge of germ warfare to exterminate the Vietnamese people.30

The Americans tried tear gas to disable people. The U.S. news men got a hold of the idea about “non-lethal” gas warfare in South Vietnam. The story drew instant and hostile reactions. Napalm also drew adverse reactions from the American public. Despite its military value, it provided a propaganda coup for its detractors.

The M-16 rifle that the infantry used in Vietnam generated a lot of controversy. There was its propensity to jam blamed on the users not keeping it clean while Marines died because of the defects. There was a controversy over the ammunition used–the contracts for its manufacture were suspect. And again the user did the dying.

Other gadgets included such things as the M-26 and M-79 grenade launchers, Claymore mines, airborne miniguns and the AC-47 that used them, Aluminum dust that was sprayed on trails so that radar could follow them, navigation systems for aircraft, Snake-eye bombs, CBU [Cluster Bomb Unit] that generated propaganda for the enemy because unexploded bomblets killed and maimed civilians that stumbled upon them, the Bullpup missile, special jungle clothing, a computer (IBM 1430) to help the intelligence specialists gather and sort data, and finally, of all things, lie detectors.31

The Army tried to use its old technology to provide target information. It brought in the AN/PQ-4 counter-mortar radar. The radar tracked an incoming mortar shell and back plotted its trajectory. A skilled operator could plot the mortar position to about 50 meters. Unfortunately, it was too old and easy to fool. It had a very narrow sector scan and the operator eventually got tired of looking at the screen. The enemy put his mortars where the radar wasn’t looking and fired when the operators were least likely to be alert.

The AN/TPS-25 ground surveillance radar was more modern and could detect a moving vehicle up to six miles away. It was meant for use in a conventional European war and couldn’t pick up small groups of men at a walking pace.32

Ground sensors were used as an aid in the search for targets. But for them to be effective, they had to be precisely located. Most of the sensors were dropped from slow-flying airplanes thus making them hard to locate accurately.

The enemy learned, in time, to counter the sensors in some fashion when he could not avoid them altogether. The sensor system was only effective when used in conjunction with other methods such as patrols, radars, scout dogs, and aerial sightings. Yet the system was all that provided the precision target information with the consistency necessary for effective target engagement by indirect fire.

There were some technological success stories. The AC-47 with its mini-guns proved to be great operational success. A few dedicated individuals managed to develop a system appropriate to the war being fought in Vietnam despite the Air Force’s denigration of the ideal of using an obsolete aircraft for anything (it wasn’t fast enough or the latest in technological innovations). The gunship was used to provide a large volume of firepower in a very small area for infantry engaged in heavy combat, especially at night. Other aircraft used in the gunship role, the AC-130 and AC-119, also saw action. The AC-130 saw action along the Ho Chi Minh trail in Laos.33

Americans have had a plethora of mechanical devices or military hardware in Vietnam. Unfortunately, in this war the relations between human beings and abstract ideas were decisive. Our gadgets were superb but just not enough.

Gadget Driven Tactics

Not long after the siege of Plei Mei (early in the war), in the Central Highlands, General Kinnard commanded the 1st Cavalry Division. He was instructed, by General Westmoreland, to destroy the forces that had attacked Plei Mei. The situation was considered perfect for the Division’s style of air mobile warfare. Kinnard moved his artillery into the battle area by helicopter so that it could support his infantry as soon as they touched the ground. General Kinnard hoped that his scattered units would lead the enemy to believe the units could be defeated in detail. Kinnard planned to use the units not engaged as a reserve to be moved by helicopter to reinforce any units in contact with the enemy. Holding terrain meant little in his style of warfare. The heavy lift helicopter gave isolated units the reassurance that they would and could be supported with an inexhaustible supple of artillery guns and ammunition.34 A road bound relief force could itself become a victim of an well planned ambush. The enemy commander, Colonel Ha, had learned that all he had to do to even the match was to separate the Americans from their firepower.

Another battle that made news was the battle of the Ia Drang. The lesson learned there was that firepower would be the pivotal factor in the tactical battle. The Americans goal was to use his firepower quickly to gain the advantage. (Throughout the war experienced infantry commanders were the loudest proponents of fighting battles with firepower.) The enemy’s objective was to separate the Americans from their firepower or to strike quickly and get away before firepower could shift the odds against them. The Ia Drang battle also taught the Americans that the only way to bring a reluctant enemy to battle was by sending out platoon sized units to search him out. Then the enemy was attacked with standard tactics. Unfortunately additional maneuver forces in the enemy’s rear didn’t mean that the enemy was trapped. In the jungle it was easy for him to disappear thus braking contact at will.

When an enemy base camp was found deep in the jungles and marshes of Vietnam, the conventional wisdom for attacking it was to determine its dimensions, isolate it with a strong cordon and then pound it with firepower. Occasional forays were made into the area to check on the results of the attack by fire, then the fire was repeated. This cycle was repeated as often as desired or needed. The preservation of soldier’s lives was the overriding tactical imperative.

Artillery became the fire support system of choice in Vietnam. It was always available in any weather or at any time of day. The artillery was scattered all over the countryside and concentrated by firing more shells at the enemy. Reinforcements from the Air Force and Army aviation ensured that overwhelming firepower would eventually be achieved. And despite the observer’s opinions of the French methods, the Americans learned to use spotter aircraft just as the French had during their stay in Vietnam.

Close air support from fighter aircraft was, and still is, the best way to deliver overwhelming firepower quickly and precisely against tanks, fortifications, and bunker complexes. Such bunker complexes made up enemy base camps in the deepest parts of the southern swamps and under the jungles of the rest of the country. But the enemy did not always stay at home. Often times, when major offensives were run against such base camps, it was found to be lightly defended or empty altogether. When the enemy did stay at home, a major battle ensued and airpower served its purpose very well.

Airpower in Vietnam followed a phenomenon of recent origin; a trend among Western nations to expect too much from aerial firepower, an expectation that might well be the product of our search for a technical means to win wars without expending lives.35 It took one 105 mm light artillery battery to fire 2000 rounds over a two hour period to equal the effects of a single pass of a flight of F-4s against a target thus making it more desirable for the Infantry to want to see the fighters work for them.

A major problem for fire support efforts was the acquisition of useful intelligence. A guerrilla force had to be found, fixed, targeted, and engaged with a fury of concentrated firepower that was timed to overwhelm it before it could break and run. All major ground forces eventually employed small patrols to destroy the enemy guerrilla with long-range fire power.

North Vietnam’s Giap finally realized the American public did not differentiate between front-line casualties and support troops. He then went after the fire bases used by the artillery. This did two things for him. It reduced the firepower available to the Americans and it caused casualties. Reducing the artillery available was an advantage to him because the Americans rarely moved against the NVA when the engagement was beyond the range of artillery. The less there was of it, the smaller the advantage to the enemy and the smaller the territory he could control. The enemy attacked the fire bases using a “hugging attack” that was launched from within the perimeter wire or from within the garrison itself. These tactics lessened the effectiveness of artillery and air strikes. The growing causality lists sapped morale and national will at home.

Giap tried to use tactics against the Americans that had worked against the French. The Americans fortified their fire bases to withstand the heaviest assaults and succeeded where the French had failed because of their overwhelming firepower.36 But military forces that concentrate on protecting itself forfeits the tactical and strategic initiative to the enemy. As the U.S. forces dug in, they also undermined their own offensive spirit.37

It was common practice to fire artillery at points in the jungle that were supposed to be enemy points of interest: assembly points, way points to elsewhere, temporary base camps of various sized units, and communications nodes. The Army fired and fired and fired with results that are still unknown. This type of fire was known as Harassment and Interdiction fire. Artillery units made very little effort to assess their H & I programs by early morning surveillance or the dispatch of ground patrols to investigate an area recently engaged. Perhaps this failure serves as the greatest indicator of the confidence fire planners placed in the value of H & Is.38

The Russian Experience

The Russians have not been immune from involvement in insurgencies as the counterinsurgent. They spend many years supporting “wars of national liberation” with advisors, equipment, money and weapons to make life difficult for the Western world. They were successful at making life difficult alright, but the results of the insurgencies were mixed.

Afghanistan39

The Soviet love affair with the tank soured quickly with their involvement in Afghanistan. Soviet tactical doctrine directed that tank forces operate as part of a combined arms force with mechanized infantry, artillery, and engineers. Yet in Afghanistan tank units went into combat with out the benefit of mechanized infantry. The tank’s clumsiness in rough terrain makes it vulnerable to ambushes when they have lost the advantage of surprise.

The actual invasion was the easiest part for the Soviet Army. It was, however, an army geared for conventional offensive warfare. Once in Afghanistan, it proved to be a lumbering beast better suited to fighting in the European low lands rather than the rag-tag civilians in the mountains and deserts of Afghanistan. The Soviet 40th Army rolled across the border after an airborne brigade landed at airports to take such places for themselves and to deny them to any resistance. The invasion was swift and surprising. It was planned for winter time when Western countries were preparing for Christmas and New Year’s Day. The weather was bad making guerrilla activity difficult.

Riots broke out in Kandahar. The rioters attacked anything representing either the Soviets or the new government. Soldiers sent in to control the riots couldn’t do so. MiG-17s were sent to strafe buildings and open areas but the Afghan pilots couldn’t attack their own people. The Russians sent in the 66th Motorized Division into Kandahar after the riots. The Soviet air force followed with a fleet of helicopter gunships and attacked positions in the nearby mountains almost immediately.

The Russians had tried initially, to overawe the resistance by a massive display of armor: six divisions in 4500 tanks, T-54s and T-64s, heavy artillery and APCs rolled into Afghanistan after the Airborne takeover of key locations. Afghan units were expected to subdue the rural resistance and keep it to a minimum. Bad planning was obvious from the beginning. Casualties were very high from the start and the population was not overawed. In fact, the resistance became more effective as the winter snows melted.

The Russians discovered that their main battle tank could not fight guerrillas entrenched in high mountain passes because the guns could not be elevated high enough or traversed far enough to fire at the enemy positions. The uneven terrain made it difficult to fire accurately and their engines overheated in the hot, thin air. Inexperience drivers often times snapped the treads trying to negotiate the difficult trails of the country. Some of the early battles were disasters for the round bound Soviet forces.

The Soviets also found it difficult to support their maneuver forces with firepower. Their doctrine was too firmly rooted in meticulous planning and deliberate bombardment by artillery and airpower. Obsessive obedience to a central authority permeated the higher reaches of the command structure. Change in the Soviet army came from the top down as befits a structured, autocratic society. Lower level commanders were driven by strict regulations and tactical “norms” in extreme detail. The result is a rigid method of warfare that leaves little to chance. When things go wrong, commanders excuse failure by showing his fidelity to the planned concept of operations. It is the operational norms that are at fault, that is, the scientific calculations are wrong. The solution was to change the norms.

The rebel leaders learned that they could, very often, attack a Soviet formation and get away without taking any artillery fire at all. This may well have been due to the cumbersome fire support system that was too inflexible to respond. It might well have been due to the reluctance of the ground commander to ask for the support unless it had been planned ahead of time. Not only was the system too “preplanned” oriented, it was also meant to support the main effort and not to save lives.

As in the Indochina wars, firepower played a key role in the protection of Soviet facilities and lines of communication. Mine fields were laid around major installations to such an extent that the Mujahideen did not dare attack the installations. By the summer of 1980 the ubiquitous fire base appeared as the Soviets and reliable Afghan forces sought to extend their influence farther and farther into the countryside.

The Soviets failed to solve the problem of convoy protection. The distances involved were to great for an interlocking, mutually supporting network of position artillery to cover main supply routes. The supplies had to be flown to their destination or sent by heavily protected convoy. Convoys were extremely vulnerable to ambushes without aircraft overhead. The Soviets paid a high price in men and equipment to supply their outposts because the Mujahideen ambushed so many convoys. That left a limited number of fuel and ammunition for the outpost to spend on local combat operations. Too many soldiers were tied up in convoy protection.

The Soviets experimented with various means to add more flexible firepower to their convoys: they tried putting a 4-barreled 23 mm anti-aircraft gun in a truck. They mounted a 30 mm grenade launcher in BTR-60 and some BMP vehicles. They also sent self-propelled guns with their convoys.

Two things became apparent to the Soviet commander: a war that had started out as a war of intervention had become a war of attrition, and a major transformation of Soviet tactical doctrine was necessary if the Army was to prosecute the war with any degree of proficiency. One change was their version of the forward detachment with its own organic firepower. They also decentralized their control of the artillery by splitting it up into less than the usual battery of 18 guns. They also learned that the most important single weapon in a war against a guerrilla was the helicopter–something that could well have been apparent from the French and American experiences. They also learned that to conduct a counter guerrilla campaign they needed to rely on the initiative and self-reliance amongst the junior leaders–the very things a centrally controlled army cannot deal with.

In a war without fronts or a clearly defined enemy, an infantry commander rarely knows what fire support he will need ahead of time. He must find and fix the enemy before he can employ heavy firepower with effect. The Soviets attempts to achieve decisive effect using ground delivered firepower was hampered by an obsolete and inflexible fire support doctrine. They also relearned that soldiers who are dug-in and defending mountainous terrain are nearly impossible to dislodge with indirect firepower.

The Mi-24 Hind was the Soviet version of the attack helicopter. It could carry a wide range of weapons and the pilots could talk directly to the ground commander. It could even carry a squad of infantry into a battle area. The Mujahideen learned to fear the Hind. It was the only weapon in the Soviet repertoire that could thwart effectively a guerrilla operation in the field and cause substantial casualties amongst the rebels. The Hind was the centerpiece of the firepower system in Afghanistan.

Soviet interdiction campaigns do not seem to have been very successful in reducing the fighting strength of the Mujahideen. Such campaigns have little effect against a light, mobile and thinly scattered guerrilla force despite the effects such a campaign might have against a conventional force. The Soviets could not stop movement of supply caravans along the borders or inside the country for the first three years of the war.

Several other reasons might also explain the ineffectiveness of the interdiction campaigns. Soviet munitions proved to be unreliable in the mountains.. The pilots were unable to exercise any initiative at all. They attacked what they were told to attack even if a village, for instance, was uninhabited and the rebels were driving down the road just a few miles away. There were numerous reports of such events. The pilots even flew, nearly right over, past rebel bands in the open without firing a shot at them.

The Soviets employed two basic tactical methods when they ventured into rebel-held territory. The first was to cordon off an area and then search for rebels from the population. The second was to organize “kill zones” (sounds like the Russian counterpart to the American “free-fire zone” of Vietnam) and then attempt to push the rebels into it and overwhelm them with firepower. The Soviets still lacked preparation: they used reserve soldiers who lacked even enough training to take cover from sniper fire; their officers had no maps of their routes; the officers weren’t briefed on the kind of resistance they might encounter; and the units were better versed in the local languages than they were in military tactics.

Despite their overwhelming military strength, the Soviet forces could not conquer Afghanistan. The cities, main roads, and the airbases were taken in a matter of days. Their mechanized army of more than a 100,000 made little progress in reducing insurgent control over the countryside and its control over the cities and the roads was increasingly challenged. They found that shock tactics based on massive air and armored firepower can hurt and scatter the guerrilla groups but not destroy them. The difficult terrain and fighting qualities of the Mujahideen made it evident that pacification would take more forces that the Soviets had deployed.

Road blocks made travel difficult and hazardous. Convoys were necessary with no garantees of their arrival at their destination. The effectiveness of the so-called bandits emphasized the failure of the Soviets to impose control. The Soviets were forced to use terror and destruction in order to crush the opposition. They depended on massive amounts of firepower in conducting search-and-destroy missions and punitive bombing attacks. They used gas and napalm in reprisals against resisting villages. There were many cases of indiscriminate slaughter as a result of bombing, strafing, artillery fire and helicopter attack. Terror weapons brought no advantage because the Soviets had too few soldiers to secure areas decimated by gas or bombing attacks. The population learned to anticipate such attacks thus lessening the effects. But the costs guaranteed nothing but hostility for use of such weapons.

Afghan Mujahideen tactics conformed to the classic requirements of guerrilla warfare. There were small group actions at night in territory remote from centers of power and within a supporting population that inflicted damage on the entrenched authority with vastly greater military resources. The Mujahideen were felt everywhere but lacked the weapons and organization to seriously threaten the Soviet position.

The rebels had a several things going for them in their fight against the Russians. They had the difficult countryside and their expertise with light weapons; their attacks often times took place at night while they hid in the general population when they weren’t actually fighting. They had their own stamina and ability to improvise that worked with their growing ability to organize themselves. Their motivation for the fight was a mixture of fatalism and dedication unique to Islam. They accepted the hardships of defending their way of life and religion.

Such were the conditions upon which they accepted the mission of holy warrior defending what is virtuous and meaningful against the destructive infidel. To die for such a cause was a good thing. The entire population faced massacres, weapons that it could not cope with and the presence of a superpower with a seemingly endless supply of manpower and firepower without letting up its resistance.

When the following spring arrived, the population rallied to fight the Soviets along with refugees who slipped back into the country. They fought with a hodge-podge of weapons that ranged from left-over WWI British Lee Enfields to home made flintlocks. The Soviets brought in seven motorized rifle divisions and the 105th Airborne for a total of 85,000 men. They also introduced five Air Assault brigades. By the end of two years, the Soviet force was at 105,000-110,000 soldiers. By 1985 the total stood at around 115,000 soldiers.

Their failed assault on the Kunar Valley despite overwhelming military superiority (200 MiGs, Su-24s, and helicopter gunships) left serious questions about their ability to contain, let alone destroy, a tightly organized and reasonably equipped resistance front.

The Soviets realized that more soldiers were needed but the Kremlin was unwilling to send them. They needed newer tactics and did manage to develop some that worked. The Russian Special Forces were respected by the Mujahideen for their ability to fight.

In the end, the Russians too left their insurgent war with a bad taste in their military mouths. They had the enemy outmanned and outgunned several times over but could do no better than the French and Americans in Indochina.

Chechnya40

The Russian experience of insurgent warfare wasn’t over just yet. The people of Chechnya wanted and demanded their own independent state. Their demand was the result of the break up of the former communist ruled USSR. Once again the Russians sent in the high technology equipment.

The Chichnians used classic insurgent warfare tactics in their conflict with the Russians. Only this time the rebels had a much better complement of high-technology equipment than the Afghans had. The Chechens made wide use of ambushes and good use of communications and intelligence from covert agents.

When the Russians sent their air force into the fight, the pilots had only a poor understanding of Chechen tactics. Part of those tactics included controlling mobile air defense weapons with radios and celluar phones and constantly changing the weapons systems positions. Because they had no reliable data on the disposition of Chechen weapons, the pilots were forced to operate from maximum possible ranges when using their weapons.

The Russians had learned to use a system developed in Indochina by both the French and Americans. They had learned to use the Forward Air Controller (FAC) to direct the aircraft in their attacks on the rebels. One of the primary Chechen targets for intelligence was the FAC. This mitigated the already disappointing results of the Russian air force.

Against no credible threat, other than a few ZSU-23/4 air defense artillery pieces, the Russian air force was unable to make any major impact on the course of the fighting. The performance of the air force against a lightly armed guerrilla force was less than sterling for several reasons: the rough terrain in which the combat took place; the harsh weather conditions; a general lack of training time for the pilots; old equipment; and finally poor stocks of supplies. One helicopter in ten was lost while one in four was damaged. One Russian Colonel blamed pilot performance on the tactics of retaliatory strikes against an enemy who used hit-and-run tactics constantly. Such tactics took the initiative away from the pilots; such a loss led to belated responses to rebel attacks thus reducing combat capability.

Results and Some Lessons Learned

The results of the intervention of France, the U.S. and the Russians were decidedly one-sided. The super powers of the First World overwhelmed their opponents with technology, equipment, and manpower and still lost the war. In the war of ideas its really true that the pen is mightier than the sword and ideas are harder than bullets and bombs. The wars were settled politically with the major powers leaving the country over which they fought–with the single exception of Checnya. Chechnya was unique in that it was surrounded by Russian territory; the rebels had no where to hide and no one to help them. While they made life difficult for the Russian military they would have a very difficult time obtaining their goals.

A common error in the cases studied here is readily apparent: the intervening power did not consider what it was that the people living in the country wanted for themselves. The major powers seemed to think that they already know what was best for the common people of the country when in fact the politicians had no real idea what was wanted at the grass-roots level.

For the Americans, their political objectives were poorly understood. The military strategy and tactics were designed for a very different sort of war. Morale in the field declined and support for the war disappeared because of the growing casualty list with no end of the war in sight. The problem was that the American version of reality no longer fit the real world.

A nation should never consider intervention in a small war without first considering what firepower and technology can do and what its limitations are. Modern nations have consistently overestimated the worth of their technology and the destructiveness of their firepower. Their expectations were greater than the machines they used could deliver. No matter how good the technology of target selection is, it will never be able to locate an irregular force in dense enough numbers for firepower to have a decisive effect.41

It is also apparent that such a lesson has not been learned. There are senior officers that still think that small detachments will escape detection but that larger, battalion size and bigger, will be found and decimated because when insurgents launch conventional operations they become exposed to crushing defeat.42 Experience dictates otherwise: the Chinese smuggled a quarter of a million men into Korea without anyone being the wiser; in Vietnam, 90 percent of the Viet Cong attacks were made with less than battalion sized units. The NVA moved down the Ho Chi Ming Trail in an uninterrupted, and increasingly large, stream despite the American interdiction campaigns against such traffic. At Dien Bien Phu, the Viet Minh decimated the French while at Khe Sanh it was the NVA and VC that was crushed. A mixed bag of results does not make a golden rule.

The unsuccessful American effort in Vietnam illustrated two important topics: the overwhelming tradition and the U.S. fascination with technology, it was supposed to be more efficient but efficiency does not equal effectiveness; victory on the battlefield does not necessarily mean victory in war.43

At best, modern firepower is an indiscriminate thing especially when used in populated areas. A misplaced artillery round can do more harm than good. It takes a disciplined and limited use of firepower to be effective. The fire controller must know when enough is enough and turn off the rain of destruction when that point has been reached. Firepower must be apportioned to the intensity of the conflict. It cannot compensate for bad strategy.

The American, French and Russians all discovered that there seems to be a relationship between the quality of the maneuver forces and the quantity of firepower necessary to make them effective in combat. In counterinsurgent warfare, massive firepower and large unit operations can be counterproductive. The Americans and Russians should have learned this from their search-and-destroy missions. The lesson seems to be that small units are what are needed for an effective counterinsurgency.

Another lesson all three powers should have learned from their experiences was that there is a premium placed on simple and durable equipment that requires a minimum of maintenance. The equipment must be cheap enough to be affordable by Third World countries or to be given freely by the U.S. Perhaps this is the reason the gunship did so well in Vietnam.

All three countries should have noticed that the insurgent is not without several tactical advantages: knowledge of the terrain: a very short logistical tail; they know the people who provide unlimited intelligence data; to win, the insurgent needs only to survive; the insurgent discovers that napalm is not the atomic bomb; shells do no harm when they are dropped in the wrong place; and many now enjoy having first-rate weaponry.44

In short, there is much to be learned by studying the history of insurgent warfare. Chief among them is that technology is not the answer to everything a country tries to do. In the end it is the human element that will persevere; it is the human element that makes the difference in winning and losing an insurgency. Without recognizing this, technology will be to no avail.

A.J. Toynbee: “Hannibal’s Legacy” in 2 vols.

I have republished this because of the partial similarities in theme with Hillaire Belloc’s Waterloo, reviewed here.

And now, the original review. . .

This is a great work, probably a labor of love to write and certainly at times to read. It bogs down in parts, at times too technical and obscure. But if you let it wash over you and absorb the full effects, one sees the book’s great value. It’s theme of how war pressures a society, and how victory can be turned into a defeat of sorts, is entirely relevant for us today.

First, the weaknesses:

  • Toynbee’s subject fits an epic scope, but the book becomes very technical at times. He loads the writing with untranslated Latin phrases. I realize he may have had the specialist in mind with because he does not do this in his other writings. But it’s still aggravating and pointless.
  • The book is too long. I admire his desire to touch on everything related to the subject (such as animal husbandry habits), I often lost focus and momentum reading it.

But don’t let this stop you. Look at me for example. I skipped big chunks of it and here I am, confidently reviewing it!

Toynbee believed that studying the classical world had importance not so much because of its influence on western civilization, however true that may be, but because we have with the Hellenic world a complete story fairly well documented. Given the uniformity of human nature, their story can be instructive for all us.

His argument runs like this:

1. One key to understanding the Hellenic world is the city-state model. Time and again, this model proved its superiority over other political organizations in the Mediterranean and beyond. The Greeks beat Persia for example. Organized along these lines, the Romans were poised to better their less well organized neighbors.

2. Conflict is part of life, and Rome eventually and continually got into conflicts with provinces around them. Their inward structure and at least moderately progressive alliance structure gave them a final advantage in these various conflicts.

Toynbee does not exalt Rome as the paragons of ancient virtue. But neither does he dismiss the good parts of what made them great. It’s ok to discover good things about western civilization!

Their victories solved some problems but created others. By the mid 4th century B.C. Rome’s expansion had done two things

  • It brought them up to the Mediterranean which likely would have inevitably involved them in conflict with Mediterranean naval powers. Should this conflict come the impact on Rome would be far reaching, win or lose. But this particular law of unintended consequence is faced by every civilization.
  • More importantly, Rome’s territorial expansion put great stress on the concept of the city-state. City-state’s work well when their is enough familiarity with one another to share rights, privileges, and responsibilities equally. When done, the resulting social cohesion can be personally fulfilling and politically dynamic.

Now such cohesion would be impossible. They were too big. Rome had a choice to make. They could either a) Transition into a more bureaucratic state with more central authority, b) Expand the base of their rights and go to a broad-based representative democracy, or c) Forget social cohesion and extend the power of their ruling class to these other areas as well.

Given their aversion to monarchy, ‘a’ was not likely, but ‘b’ was possible. Alas, they chose ‘c.’

Toynbee elsewhere makes the somewhat dubious assertion that the Hellenic world (which included Rome in his view) began to collapse in 431 BC with the Peloponnesian War. As it applies to Greece, it works, but not Rome. His argument here though, that Rome began to lose itself somewhere around 350 BC makes more sense. This is when Rome makes the transition from some kind of admirable democracy to a less admirable oligarchy.

3. It is the nature of oligarchies (like most regimes) to maintain control. Rome was still progressive in some ways, but in moral/political matters going half-way is worse than nothing. For example, most would rather not be invited to a party at all, instead of being invited and then told, “You can’t eat that. These rooms are off limits, etc.” They could be benevolent at times, but insisted on control. This dynamic often led to a unity of prominent families over and against the masses. They condescended to give allies some rights, but never equality.  This made them vulnerable.  Pride often does.

4. This was the climate that Hannibal hoped to exploit when he invaded. The traditional narrative is that Rome, pressed to the brink by a military genius, rallied itself and  gained the victory. They add lots of territory in Africa and Spain. It’s a triumph for western civilization.  Rome’s victory over Hannibal saved them from coming under the thumb of an an elitist merchant class oligarchy that would never have let them exercise their political wings.  That was the best case scenario, with the worst case being utter destruction.  Hurray — western civilization is saved!

Not so fast, says Toynbee.  He dedicates the vast majority of vol. 2 to showing the unintended negative ripple effects of Rome’s victory. Some of them were inevitable, but most Rome had a direct or indirect hand in.  They could have avoided their fate.

The Effects:

  • Rome had treated allies generally well before the 2nd Punic War, and often imposed extra burdens on themselves, sparing allied troops certain duties. After the war (during which some key allied states left for Hannibal) this was no longer the case. Rome now often gave the extra/harder duties to their allies. This is just part of the psychological scars the war left on Rome.
  • Much of the SE Italian population and land had been devastated by the war. Many peasants fled to the cities, which caused a manpower shortage in terms of raising troops from the provincial areas. But Rome, being less trusting, would not let their allies short them in any way on troop requirements any longer. But the extra burden came at a time when they were much less able to meet it.

  • New territory had to be manned, but this meant that troops would be away from farms for long extended periods, making their farms unprofitable. The people who get stationed in Spain can’t come back to vote. If they can’t vote they have no power. Legions in Spain would end up serving for 5-10 years at a time. Out of sight out of mind — until you can’t possibly ignore it any longer.  They do not return as happy campers.
  • In general, the war destroyed the average independent peasant farmer. Wealthy oligarchs could easily buy up lots of cheap property and turn them into plantation farms. But who could work these farms? A free peasantry might get called off to war. Slaves made more sense, and of course, were readily available from the conquests. Thus, slavery expands in Rome during and after the 2nd Punic War, which would rot away the core of Rome’s traditional republican values.
  • As the army grew more disconnected from the social and political life of Rome, their habits became more self-serving. Hence, their abuse and looting of the provinces, of seeking conflict for the sake of loot, and of their increased loyalty to the commander instead of Rome itself.
  • Religion changed in Rome as they became exposed to the more emotive Mediterranean faiths. Traditional Roman religion could not provide for the new needs of the people to deal with the trauma of the war. Of course for the most part, the ruling oligarchy responded as they usually did, with force to suppress. But as you might imagine, this did not work very well.
  • The Romans lost perspective in many foreign crisis. ‘Hannibal’ was everywhere, and so what should have been perceived as a minor threat became a major one, which led to the more frequent drafting of larger armies. This put even more stress on an already stressed peasantry.

The main theme of the post-war years is the oligarchy attempting to maintain their hold on power, but shooting themselves in the foot with most every attempt. For example,

  • Vast new flocks and herds required shepherds to watch them. Shepherds need to be armed against theft and animal predators. But shepherds were often also slaves.  So. . . we see a sharp increase in slave rebellions against the oligarchy.  The Romans armed their potential destroyers.
  • The oligarchy maintained their power through accumulation of land, which led to wealth. Their wealth, along with Rome’s Mediterranean expansion, allowed them to acquire more exotic goods from all over. But this created a new class of wealthy merchants who inevitably challenged the oligarchy for control, and the resulting political tension spilled over into violence.

In the end Rome’s response to their victory led to the destruction of the oligarchy, first in their alienation of the peasantry, then in their fratricidal civil wars, and finally, in their death at the hands of the Principate with Augustus.

What lessons can be learned?

Rome made many mistakes, but many of these were not unusual mistakes. When people win the lottery they take the money and don’t consider the consequences. Most civilizations would take the territory gained in war in the same way.

The fact that Rome ‘lashed out’ and became more controlling and paranoid is also not unusual given the horrific shock and destruction Hannibal inflicted. In their minds it must have been ‘prudence.’ ‘Fool me once,’ and all that.

But Rome was not doomed to follow this path. Though Toynbee does not mention this specifically, I believe that his thesis fits with his overall belief that civilization routinely destroy themselves through acts of pride, fear, and envy. Only sacrificial love can allow a civilization to maintain itself long-term. This is not mere sentimentality. In fact, he takes 800 pages with gobs of footnotes from obscure German historians who wrote books with very long titles to prove his point. If we cast our bread upon the waters, we’ll get it back eventually.

For us today, in light of 9/11, the lessons are similar.

We cannot compare the shock of 9/11 to what Rome endured in the 2nd Punic War. The two events are not even close in magnitude, so the fact that our reaction has not been as extreme as Rome’s is nothing to write home about. We should be thankful.

However, in some areas, such as the extension of our military, the possible ‘tightening’ of our society, the easy way which our civilization can give way to fear, should be a warning to us. Through acts we could and perhaps could not help, we find ourselves stretched economically and more divided culturally than before. We would be silly to suppose that are automatically immune from Rome’s fate.

To close the review (too long!) in the true style of Toynbee’s book (also too long!), I need to include a large appendix. So, below is ‘Exhibit A’ for the change of Rome’s character: the expansion of slavery beginning with the first Punic War (264 B.C.) and ending with the destruction of Carthage in 146 B.C.

Expansion of Roman Slavery During Punic Wars (not a complete list): 264-146 B.C.

  • 262 B.C. 25,000 Agrigentines sold into slavery
  • 258 B.C. Myttisstraton massacred by Romans, survivors sold into slavery
  • 258 B.C. Camarinans population into slavery
  • 254 B.C. 13,000 Panormitans, into slavery
  • 241 B.C. 10,000 Carthaginian POW’s into slavery
  • 230 B.C. Romans buy large batch of slaves from Boii
  • 214 B.C. 25,000 killed or enslaved by Fabius Maximus
  • 210 B.C. 2,000 artisans from New Carthage enslaved
  • 210 B.C. Akragas population into slavery by Valerius, leaders executed
  • 210 B.C. Anticyrans sold into slavery, though they had previously made a good faith pledge with Rome
  • 209 B.C. African POW’s in Hasdrubal’s camp enslaved by Scipio
  • 207 B.C. Dymaeans enslaved by Galba
  • 204 B.C. 8,000 African civilians sold into slavery
  • 202 B.C. Wholesale African populations enslaved by Scipio
  • 189 B.C. Samean population enslaved by Fulvius
  • 177 B.C. 5700 from Istrian towns enslaved
  • 177 B.C. 80,000 killed or captured by Sempronius Graachus
  • 171 B.C. Haliatus population massacred, 2500 survivors enslaved
  • 171 B.C. Anti-Roman party at Thisbe enslaved with families
  • 167 B.C. 150,000 from 70 Molossian towns enslaved by direct Senatorial order
  • 155 B.C. Delminium population enslaved by Scipio Nascia
  • 146 B.C. Remaining women-children survivors from the seige of Carthage (perhaps 50,000?) enslaved.
  • 146 B.C. Captured Corinthians massacred, women and children enslaved, liberated Greek slaves re-enslaved by Romans
  • 133 B.C. Numantines enslaved by Scipio Aemilianus

The Garments of Court and Palace

Despite ourselves, Machiavelli fascinates us. He writes with an enviable brevity and clarity, and then supplies a pertinent historical example to back up his point. Had he been a worse writer, we would care much less about him. There exists as well an easy transference of his thought–he fires the imagination of the global strategist and everyone who has played Risk.

The Garments of Court and Palace has a grand air about it. The title comes from a phrase of Machiavelli, describing his perception of how one had to don a different persona, in a sense, to enter into the political realm. One can write rather easily how Machiavelli advocated for a dangerous amoralism in statecraft. One could also write about how a conflicted Machiavelli seemed a chameleon of sorts depending on time and place. Again–such books would be easy to write and have no reason to exist. But Philip Bobbitt has an entirely different approach, arguing that

  • Not only was Machiavelli not a amoral thinker, and
  • Not only was he not a chameleon, but
  • He was a consistent thinker with a distinct aim of promoting virtue, whose teachings fit easily within a Christian worldview

Now there’s an argument for you. This is a book worth writing.

I have great respect for Bobbitt. I found his Shield of Achilles revelatory and prophetic in certain ways. He takes big swings and at his best writes with the clarity of Machiavelli. I found Bobbitt’s argument ultimately a bridge too far. To go along with him fully, one would have to agree that essentially all of Machiavelli’s contemporaries, and nearly every political philosopher since then, had him wrong. For me, there exists too many areas of Machiavelli’s thought one can’t quite stuff into Bobbitt’s construction, leaving Bobbitt’s only option to impersonate Michael Palin’s befuddled George Bernard Shaw, i.e., “What Machiavelli merely meant . . . “

Still, Bobbitt succeeds in getting one to see Machiavelli more clearly within his time. And while I do not agree with the totality of Bobbitt’s argument, the book reveals the problems of the modern state in fresh ways. Bobbitt rightly argues that Machiavelli had prophetic insight far ahead of his time, and we must grapple honestly with him.

Machiavelli’s world faced great changes, changes that, as usual, were not immediately obvious to nearly everyone living through them. The Black Plague and the breakdown of the Church meant that the personal connections that guided law and culture in the feudal era no longer applied–however much some still wished to make it so. Bobbitt sees Machiavelli clearly perceiving this shift, and attempting to orient Italy and all of Europe towards a new constitutional order. But periods of transition bring great uncertainty, and the need for attendant flexibility. Bobbitt writes,

Imagine you wish to train yourself to be a professional poker player. Part of that training must involve learning all the tricks of the trade, marking cards, palming a card, dealing from the bottom, and so on. But must you practice these tricks yourself? I suppose it depends on how good your game is, and whether the persons with whom you are playing will enforce the rules once you have exposed the cheat. To the question, “Must it be this way? Can’t we do better?” the answers do not lie entirely within your power.

In sum, Bobbitt sees Machiavelli playing a slippery game of poker, both in his personal life and in his writings–yet, with an ultimately just and moral goal in mind. “Republics must be founded by one man,” as Machiavelli wrote in his Discourses. So,

  • First, the chaos must end, and existing structures cannot end it. It takes someone operating outside those structures to bring order, and then
  • A republic can emerge, one that governs communally and perhaps abstractly, rather than personally

Of Machiavelli’s two major works, one can very broadly say that The Prince attempted to accomplish the first goal, and The Discourses the latter. Machiavelli must sometimes, then, assume the appearance of Janus, the Roman god who faced in opposite directions.

We can consider the idea of deception. On the face of it, people should never lie or deceive. But few people would actually make this an absolute claim. You might not like your wife’s dress, but if she loves it, you’ll say you think it looks great. In the Bible, men of faith use deception. King David pretended insanity amongst the Philistines. Ehud manipulated King Eglon so that he might kill him. Rahab protects the spies by lying. We praise them for such actions. But we know the difference between “good” lies and true lies. While David rightly deceives the Philistines, he wrongly deceives Uriah, husband of Bathsheba, and suffers for it. Bobbitt places Machiavelli within a traditional moral structure because virtuous people know how and when to deceive for the common good. Machiavellian morality is “good” morality, because he flexibly orients it towards the formation of a virtuous state. Bobbitt makes other such arguments throughout with different aspects of Machiavelli’s thought, and it has merit up to a point.

At root, Bobbitt believes that states evolve and that wise and “good” rulers adapt to changing circumstances to maintain the supremacy of “good” states over bad ones. The state will be formed via “strategy, law, and history,” to use Bobbitt’s terms, and one must use Machiavellian wisdom to appropriately ride the crest of the wave. Republics have a much better chance of adaptation because of their composite nature. Machiavelli cites the Roman example of Fabius and Cicero. Fabius was right in 218 BC to adopt his cautious approach to Hannibal, but a few years later, the situation had changed. Yet–Fabius had not changed with the changing situation. Indeed, few can do so. But because Rome was a Republic, they had the more aggressive Scipio at their disposal. And, because of the Republic’s ability to pool wisdom from a large group, they chose correctly with Scipio. A monarchy or principality had more limitations, and indeed, Hannibal, for all his greatness, could not quite adopt changes in his own strategy when his fortunes started to ebb.

Again, so far so good. But we should go deeper into the nature of the new state Machiavelli heralded and why we should remain uncomfortable with a full embrace of his ideas. I think the final answer lies in the fact that the state Machiavelli saw coming and wanted to bring about would not allow one to safely and wisely live out his advice. So, in what follows below, I make my own grand, foolhardy attempt to solve the Machiavelli conundrum.

The feudal kingdoms that Machiavelli saw retreating from the scene had a few things in common:

  • Relationships, more so than laws, determined the way of life in a particular region
  • Particular land was not so much owned, but held in a trust, of sorts with the surrounding culture and people
  • While various leaders had certain boundaries of church, custom, etc., power resided in people, not principles, ideas, or even laws.

Machiavelli hoped for, and foresaw, a state that would

  • Be governed more by laws than specific people
  • Be governed more by procedures of representative bodies than by people directly
  • Have a more Roman/absolute/legal concept of ownership of land

The modern state, therefore, would be more fixed and abstract in nature.

Though in many ways a modern, Machiavelli still had some roots in the traditional pre-modern world. He understood that sometimes the hero has to go the margins of behavior–like King David. He understood that when facing the evil of disintegration one sometimes has to fight fire with fire. Sometimes society’s solid moral core cannot defeat the monster. You need Godzilla to battle Ghidorah. The law can do nothing to Terry Benedict, so we cheer when “Ocean’s Eleven” take him down. But we should still remember that the guys of “Ocean’s Eleven” are not really good guys. You cannot build a society on Danny, Rusty, and the Mormon twins.

If one sees Machiavelli’s advice within this traditional pattern of reality–a Core, Fringe, and the Chaos beyond, a lot of his advice in The Prince makes sense. People can make difficult moral judgments. People can experience different levels of reality and process them accordingly. Hence–for all of its “radical” nature, The Prince can actually make sense within a traditional society, where governing relationships remain distinctly personal and not abstract.

Machiavelli reacted strongly against the medieval approach, but the irony might be that The Prince is actually a treatise that might find a place in the pre-modern world under certain circumstances.

Machiavelli’s problem . . . modern states cannot experience life this way. We remain too distant from reality with the multitude of hedges of laws and institutions. People can make judgment calls–laws cannot. Bobbitt himself declares that states get their formation through the intersection of “strategy, law, and history.” But he leaves out, “personal relationships.” Modern states have very little to do with personal connections and much more to do with contract, procedure, and so on.*

What about Machiavelli’s Discourses, which many, Bobbitt included, see as a great treatise for modern democratic-republics? The Discourses has many insightful things to say, but we must remember that Rome is the subject. The “imminence” of pagan religion shines through in Livy’s work. The Roman self, Roman religion, and Roman politics all seem intertwined. One could say that Rome worshipped Rome (I include an excerpt from the Discouses below which I think illustrates this). Thus, when the Roman state “moved” the Romans “moved” with it. Of course, if the identity of the state lies in the King/Prince, then when he “moves” we can move with him, because we have a personal tie to him, and he physically embodies the principality/realm where we live.

Not so in the modern age, which still have some tension between the state and that which resides outside the state. It can take various forms across the spectrum, including:

  • A strong sense of the Kingdom of God residing within and without the state
  • A strong sense of the autonomous individual
  • No coherent cultural “north” on the compass
  • A sense of the “destiny” or purpose of the nation, which lies at least somewhat outside the actions of the nation–this has different manifestations on the right and the left.

I believe this explains our frustration and puzzlement with Machiavelli. We recognize his wisdom. We feel that we should apply at least some of it, but our detachment from our institutions won’t allow us to access it.

Dave

*Hence–suburbia and why we do not know our neighbors, disembodied forms of exchange, and so on.

Machiavelli on Roman Religion

Auguries were not only, as we have shown above, a main foundation of the old religion of the Gentiles, but were also the cause of the prosperity of the Roman commonwealth. Accordingly, the Romans gave more heed to these than to any other of their observances, in undertaking new enterprises; in calling out their armies; in going into battle; and, in short, in every business of importance, whether civil or military. Nor would they ever set forth on any warlike expedition, until they had satisfied their soldiers that the gods had promised them victory.

Among other means of declaring the auguries, they had in their armies a class of soothsayers, named by them pullarii, whom, when they desired to give battle, they would ask to take the auspices, which they did by observing the behaviour of fowls. If the fowls pecked, the engagement was begun with a favourable omen. If they refused, battle was declined. Nevertheless, when it was plain on the face of it that a certain course had to be taken, they take it at all hazards, even though the auspices were adverse; contriving, however, to manage matters so adroitly as not to appear to throw any slight on religion; as was done by the consul Papirius in the great battle he fought with the Samnites wherein that nation was finally broken and overthrown. For Papirius being encamped over against the Samnites, and perceiving that he fought, victory was certain, and consequently being eager to engage, desired the omens to be taken. The fowls refused to peck; but the chief soothsayer observing the eagerness of the soldiers to fight and the confidence felt both by them and by their captain, not to deprive the army of such an opportunity of glory, reported to the consul that the auspices were favourable. Whereupon Papirius began to array his army for battle. 

But some among the soothsayers having divulged to certain of the soldiers that the fowls had not pecked, this was told to Spurius Papirius, the nephew of the consul, who reporting it to his uncle, the latter straightway bade him mind his own business, for that so far as he himself and the army were concerned, the auspices were fair; and if the soothsayer had lied, the consequences were on his head. And that the event might accord with the prognostics, he commanded his officers to place the soothsayers in front of the battle. It so chanced that as they advanced against the enemy, the chief soothsayer was killed by a spear thrown by a Roman soldier; which, the consul hearing of, said, “All goes well, and as the Gods would have it, for by the death of this liar the army is purged of blame and absolved from whatever displeasure these may have conceived against it.” And contriving, in this way to make his designs tally with the auspices, he joined battle, without the army knowing that the ordinances of religion had in any degree been disregarded.

But an opposite course was taken by Appius Pulcher, in Sicily, in the first Carthaginian war. For desiring to join battle, he bade the soothsayers take the auspices, and on their announcing that the fowls refused to feed, he answered, “Let us see, then, whether they will drink,” and, so threw them into the sea. After which he fought and was defeated. For this he was condemned at Rome, while Papirius was honoured; not so much because the one had gained while the other had lost a battle, as because in their treatment of the auspices the one had behaved discreetly, the other with rashness . . . 

Standardization is Decline, Easy as ABC

A few years ago I wrote another post under this same theme about restaurant regulation in the EU, based off a particular quote from Arnold Toynbee, which reads,

In a previous part of this study we have seen that in the process of growth the several growing civilizations become differentiated from one another.  We shall now find that, conversely, the qualitative effect of the standardization process is decline.

This idea that “standardization is decline” is exactly the sort of pithy phrase that drew the ire of many of Toynbee’s critics.  In his work Toynbee attempted to create universal general laws of history based on his premise of the uniformity of human nature.  Toynbee’s writing could sometimes degenerate into ideas that seem so general as to be almost meaningless.*  On the subject of standardization, we easily see that surely not every instance of standardization brings decline and limits freedom.  Standard traffic laws, for example, make driving much easier and much safer.  Toynbee’s critics have a point.

But some of Toynbee’s critics seem afraid to say anything without caveating it a million different ways, and this too is another form of saying nothing at all.  Toynbee’s assertion about standardization is of course is not true in every respect, but is it generally true?

I like historians like Toynbee who try and say things, and no one I’ve come across tries to “say things” like Ivan Illich.  Toynbee threw down a magnificent challenge to the prevailing view of history (in his day) that more machines, more territory, more democracy, more everything meant progress for civilization.

But he did not know Ivan Illich, who allows almost no assumption of the modern world to go unexamined.  Toynbee poked at some of our pretty important cows.  Illich often aims for the most sacred.  In Medical Nemesis he challenges the assumption that people today are healthier than they were in the pre-industrial era.  In ABC, he (with co-author Barry Sanders) attacks the idea that universal literacy brings unquestioned benefits to civilization.  In fact, he argues the quest for rote literacy will end with meaninglessness and possibly, tyranny.

Illich begins the book by referencing a quote of the historian Herodotus, who wrote 1000 years after the death of Polycrates. He commented that the tyrant of Samos,

was the first to set out to control the sea, apart from Minos of Knossos and others who might have done so as well.  Certainly Polycrates was the first of those whom we call the human race.

Illich comments that,

Herodotus did not deny the existence of Minos, but for him Minos was not a human being in the literal sense.  . . . [Herodotus] believed in gods and myths, but excluded him from the domain of events that could be described historically.  He did not see it as his job to decipher a core of objective historical fact.  He cheerfully [placed] historical truth alongside different kinds of truth.

This may seem an odd place to begin a book about language.

Later Greek and Roman historians attempted to explain the minotaur and Minos not as myth but as exaggerated historical reality.  So, the sacrifice to the minotaur must really have been a sacrifice of perhaps money or troops to some cruel despot.  Herodotus will have none of this, and neither will Illich.  Those that seek to explain away myths attempt a kind of standardization of truth.  This standardization inevitably involves a reduction, a narrowing, of the meaning of truth, language, and human experience.  I think this explains why he begins with this quote from Herodotus.

Historians misread prehistory when they assume, Illich contends, that language is spoken in a wordless world.  Of course words can exist without exactly defined meanings that last beyond the context in which they were spoken.  But many often assume that this means we have barbarism because without an established language, we cannot have “education” in the sense that we mean it.  Speech remains different from language.  Lest we think that Illich is nuts, we should consider the impact of early forms of standardization:

  • In ancient Egypt, scribes with a unified written language could keep records, and could thus hold people accountable to pay taxes, work on the pyramids, etc.
  • In ancient China, too, the power of scribes over language gave them enormous power within the halls of power.
  • Illich argues that medieval oaths used to be distinctly personal.  Those that swore would clasp their shoulder, their hands, their thigh, and so on.  Towards the end of the Middle Ages, with the rise of Roman, classical concepts of law came the fact that one’s signature stood as the seal of an oath.  By “clear” we should think, opaque, or lacking substance because it lacks context.  This impersonality can give way to tyranny.
  • Henry II attempt at reforming English law (and thus, it would inevitably seem, unifying language as well) was done to increase his power by making it easier to govern and control the population.  Does not much of modern law do the same thing?
  • Isidore of Seville once wrote (ca. 1180) that letters “indicate figures speaking with sounds,” and admitted that until a herald spoke the words, they had no authority, because they had no meaning.  The modern age allows those in power to multiply their authority merely through the distribution of lifeless pieces of paper.
  • One of the first advocates for a universal language and literacy, Elio Nebrija, made his argument just after Columbus set sail.  He bases his argument on hopes of creating a “unified and sovereign body of such shape and inner cohesion that centuries would not serve to undo it.”  He frankly admits that the diversity of tongues presents a real problem for the crown.

Regarding Nebrija, Illich makes the thunderous point that he sought a universal language not to increase people’s reading but to limit it.  “They waste their time on fancy novels and stories full of lies,” he writes to the king.  A universal tongue promulgated from on high would put a stop to that.

We might be surprised to note that Queen Isabella (who does not always get good treatment in the history books) rejected Nebrija’s proposal, believing that, “every subject of her many kingdoms was so made by nature that he would reach dominion over his own tongue on his own.”  Royal power, by the design of the cosmos, should not reach into local speech.  Leave grammar to the scribes.

We live in a world of disembodied texts.  The text can be analyzed, pored over, dissected in such a way as to kill it.  As the texts lack a body, the text remains dead and inert.

But just as we assume that meaning comes when a text is analyzed rather than heard, so too we have created the idea of the self merely to analyze the self.  Ancient people, up through the medieval period, do not possess a “self” in the modern sense.  We see this in their literature.  No stratified layers exist in an Odysseus, Aeneas, or Roland.  No “self” exists apart from their actions.  So too in the modern era the self lacks meaning unless the self is examined.  So we turn ourselves inside out just as turn over the texts that transmit meaning.   But who is more alive, Roland, Aeneas, and Alexander Nevsky, or the man on the psychologists couch?

We might think, maybe the drive for universal literacy back then meant squelching freedom but now surely it is a path to freedom.  After all, we tout education as the pathway to independence, options in life, and so on.  Illich will not let us off the hook.  Education according to whom?  Universal literacy, again, can only be achieved through universal language.  And universal language implies a standardized education.  So to prove we are educated we need the right piece of paper, paper only the government can grant.**

Back to square one again.

So the passion for universal literacy ends in the death of meaning, and the death of the self.  In his final chapter Illich examines the newspeak of 1984 and sees it as the logical conclusion of universal literacy.  Words will mean what the standard-bearers of words say they mean, and this in turn will define the nature of truth and experience itself.

ABC is a short book and easy to read.  But in another way, reading Illich can be very demanding.  He asks you not just to rethink everything, but to actually give up most everything you thought you knew.  Agree or not, this makes him an important writer for our standardized and bureaucratic age.

 

Dave

*Obviously this post is not about Toynbee, but as much as I admire him and as much as I have learned from him, Toynbee’s latent and terribly damaging gnosticism (which comes from his failure to understand the Incarnation and the Resurrection) did at times lead him into a kind of a airy vagueness that greatly limits his persuasive power.

**I suppose to get Illich’s full argument on this score we would need to read his Deschooling Society.

Drinking Tea in Wartime

My grandfather fought in W.W. II for the 101st Airborne.  He took part in the invasion of Arnhem in September 1944, a campaign immortalized by the book/movie A Bridge too Far. One story he related dealt with the British love of tea.  If the British/American plan had a chance of success allied forces needed to move as fast as possible to seize several key bridgeheads across the Rhine River.  But at around 4:00, British units pulled over on the side of the road and had their tea for 15 minutes, driving their American counterparts nuts.  How anyone could justify teatime at such a time baffled them.

I suppose the British might have responded along the lines of, “If we don’t stop for tea at 4:00, then the Nazi’s have already won!”

Tensions between tradition and the exigencies of the moment have always been with us. In every instance where it arises good arguments exist on both sides that invariably go something like

  • We must change in order to survive, vs.
  • If we change the wrong things, or change too much, it won’t be “we” that survive but another sort of society entirely.

I very much enjoyed the many strengths of Basil Liddell Hart’s Scipio Africanus: Greater than Napoleon.  My one quibble with the book is his failure to tackle this dilemma as it relates to Rome in the 2nd Punic War.

But first, the book’s strengths . . .

The title indicates that Hart might indulge in a bit of hero-worship, but I have no problem with this in itself.  First of all, he lets the reader know from the outset where he stands. And, while her0-worship books have inevitable weaknesses, I very much prefer this approach to writing that equivocates to such a degree so that the author says nothing at all.

Hart’s book also reverses the common tendency to glorify the romantic loser.  We love Robert E. Lee, but Grant, well, he’s boring.  We love Napoleon and see Wellington as . . . boring.  Historians of the 2nd Punic War have devoted an overwhelming amount of attention to Hannibal.  His march through the Alps and his enormously impressive successes at Trebia, Trasimene, and Cannae have inspired military minds for centuries. Sure, Rome won in the end, but for “boring” reasons like better political structure and more human resources–just as many assume Grant won not because of what he did, but because of the North’s “boring” industrialization and economy.

But surely Hannibal’s defeat had something to do with Scipio himself, especially seeing as how a variety of other Roman commanders failed spectacularly at fighting the wily Carthaginian.  To add to this, if you knock out the champ, doesn’t that mean that we have a new champion?

Liddell Hart gives us some great insights in this book.

Those familiar with Hart’s philosophy know that he constantly praised the value of what he called the “indirect approach” to war, both tactically and strategically.  Rome at first tried the direct approach with Hannibal and lost badly.  Then with Fabius they practiced what some might call “no approach” with a debatable amount of success.  Scipio struck a balance.  After assuming command he fought the Carthaginians, but not in Italy.  He took the fight to Carthage’s important base in Spain.  He fought against Carthaginian troops with Carthaginian commanders, but avoided Hannibal.

I have no great military knowledge and no experience, but Hart’s concise explanation of Scipio’s maneuvering in Spain impressed me greatly.  His “double envelopment” move at the Battle of Ilipa against a numerically superior foe was an inspired stroke:

battle-of-ilipa

But I found Scipio’s diplomatic and grand-strategical vision more impressive.  Hart admits that Hannibal had the edge over Scipio in tactics, but I feel that most overlook or excuse Hannibal’s deficiencies at accomplishing his strategy of prying allies away from Rome.  In a very short time Scipio turned the tables completely in Spain, giving Rome a foundation on which to build a Mediterranean empire.  Unlike other great commanders such as Napoleon and Alexander, and even Hannibal, Scipio never had full control of his forces or his agenda.  He accomplished more than most any other commander while navigating more difficult political terrain.  He established the basis militarily and diplomatically for Rome’s preeminence in the Mediterranean.  He deserves the praise Hart heaps on him.

However, the ‘hero-worship’ part of the book needs addressing.  Hart writes with much more balance than Theodore Dodge, who wrote about Scipio’s counterpart Hannibal.  But he makes the same kind of mistakes as Dodge by dismissing some of the political realities Rome faced because of Scipio’s success.  In sum, Hart has no appreciation for the tension between Roman tradition and Roman military success at the heart of this conflict.

Rome’s Republic had no written constitution.  It ran according to tradition.  The bedrock principles were:

  • Sharing power amongst the aristocratic class
  • Yearly rotation of offices
  • Direct appeals to the people smelled of dictatorship
  • No one stands out too much more than anyone else.  They sought more or less to divvy up honor equally.
  • You wait your turn like everyone else.  No one jumps in line ahead of anyone.

From the start of his career Scipio challenged nearly all of these principles in a dramatic way.  Hart himself admits that:

  • He ‘level-jumped’ to high office far earlier than anyone else, breaking the unofficial rules that held things together.
  • He frequently received his support directly from the people against the wishes of the aristocracy
  • He at times used religious claims to boost his appeal for office, which the people responded to over and against the scowls of the aristocracy.
  • In defeating Hannibal he raised his status far higher than any other Roman of his day.  This can’t be held against him obviously, but everyone noticed.

Of course we naturally have a distaste for aristocracy and so does Hart, who loses no opportunities to cast aspersions on Cato, Fabius, and other grumpy, jealous old men.

But . . . by any measure the Roman Republic ranks as one of the more successful governments of all-time.  While they were not close to fully democratic, they had many democratic elements, and still managed annual, peaceful transitions of power across all levels of government for (at the time of the 2nd Punic War) for 300 years.  Judged by the standards of their day, some might even label them as “progressives.”  They had a great thing going and we should not rashly blame them for wanting to protect it.

During the war itself one can easily agree with Hart and his roasting of Fabius and especially Cato the Elder. But events in the generations after the 2nd Punic War show that Scipio’s enemies may have been at least partially on to something.  Within 30 years of their victory, the Republic had major cracks.  After 75 years, the Republic began its collapse.  In time the Republic could not even pretend to contain Marius, Sulla, Crassus, Pompey, and Caesar.  One could argue that Scipio in an indirect way set the stage for this.

Hart wrote a very good book, but not a great one.  I wonder what he would have thought of the British soldiers at Arnhem.  The disruption Rome suffered as a result of the 2nd Punic War had a lot more to do with Hannibal than Scipio.  And yet, Scipio played some part, albeit a small one. Was it worth it?   Could it have reasonably happened differently?  Hart doesn’t say, and leaves us to wonder.

 

 

 

 

 

Command and Control

In the Soviet edition of Marxism-Leninism on War and Army published in 1972, a section reads,

Soviet military doctrine proceeds from the assumption that the imperialists are preparing a surprise attack against the USSR and other socialist countries.  At the same time, they consider the possibility of waging military operations escalating into military actions involving the use of nuclear missile weapons.

What struck me about this passage are the assumptions it makes and the consequences of those assumptions.  The Soviets assume we are the imperialists and will strike first. Would we want to forestall such an occurrence and strike first ourselves?  Perhaps we should.  Naturally, we would object to being called the aggressors in the Cold War.  From our perspective the Soviets showed their true colors in the closing days of W.W. II when they kept for themselves territory they took from the Germans.

But, if the Soviets thought that we would strike first, they might consider striking us first to prevent it.  Should we then strike them pre-emptively to prevent the Soviet’s pre-emptive first strike to forestall our first strike?

It all seems like a bizarre vaudeville routine, or one of Shakespeare’s mistaken identity comedies.

Nuclear weapons are of course very real, with extremely real consequences for their use.

And yet, I have always thought that a certain kind of unreality has always existed around nuclear weapons.  Children were told to “duck and cover,” and wrap their necks with newspaper for protection against nuclear attack.  We developed evacuation plans for cities that would never be used, for no such plan could have worked with 15 minutes notice before the bombs hit.  We never wanted to use the weapons, but they only had value if the other side actually believed we would use them, hence Nixon’s “I’m a madman” gambit to try and end the Vietnam war.  Nixon said to H.R. Haldeman in 1969,

I call it the Madman Theory, Bob. I want the North Vietnamese to believe I’ve reached the point where I might do anything to stop the war. We’ll just slip the word to them that, “for God’s sake, you know Nixon is obsessed about communism. We can’t restrain him when he’s angry—and he has his hand on the nuclear button” and Ho Chi Minh himself will be in Paris in two days begging for peace.

Eric Schlosser’s excellent book Command and Control gets at the heart of both the reality and unreality of the existence of  nuclear weapons.

A brief example . . .

The Titan II missile carried a destructive power 3x greater than all the bombs dropped in W.W. II combined . . . including those dropped over Hiroshima and Nagasaki.   But the weapon wasn’t very accurate, and very difficult to keep properly maintained. Still, because these weapons were our most powerful they had potentially significant deterrent value in the Cold War.  So that meant that they needed to be ready to go on a moment’s notice, as their silos would likely be some of the first hit in any massive first strike by the Soviets.

That in turn meant that they needed to be fueled and ready to go at 15 minutes notice, which meant they needed a special kind of fuel, Aerozine -50 .  I can’t imagine a fuel more volatile, as contact with leather, wool, rust, or other average products could cause it to combust.  That made the missiles prone to accidents with potentially horrifying consequences, and one such accident forms the backdrop of the book.

By the 1970’s Henry Kissinger, among others, wanted to make a deal with the Soviets.  We’ll get rid of our Titan II’s, you get rid of your big missiles.  But our Titan II’s were not as good as the Soviet’s comparable missiles, and the Soviets knew this.  No deal.

Kissinger wanted the Titans gone, but no one wanted to decommission them outright.  To take the missiles offline for nothing would show weakness, and lessen the amount of bargaining chips we had the next time we negotiated.

So they stayed.

But if they stayed, they needed to stay operational or it would be the same as giving them away for nothing.  So . . . no one liked the inaccurate, accident-prone, massively powerful weapon, but in the logic of departmental budgets and global politics, their silos stuck around.

As a friend of mine put it, a conspiracy of circumstances made madness look sane.  In a world where the image/symbolic value of nuclear weapons may have meant more than their reality, Kissinger’s stance makes perfect sense.  Indeed, as much as we might like to blame someone for this state of affairs, who would it be?  Even if we step all the way back and blame those that invented the weapons, we must then confront the possibility ca. 1941 that the Nazi’s might be building them, and we might want to get there first.  We all stepped through the looking glass more or less together from the Manhattan Project onwards.

When I first started this book I looked online at “nuclear weapons accidents.” I was utterly dumbfounded.  How could there be so many?  And given these accidents, how did nukes play such a large role in our policy?  This forms the bulk of Schlosser’s work.  Command and Control could have been just a laundry list of one accident after another, and  readers would be mere gawkers on the roadside.  Schlosser makes the book valuable because he looks behind the curtain (with massive amounts of footnotes) to show how the logic of nuclear policy developed.

At the heart of our possession of nuclear weapons lay a dilemma.  On the one hand, the weapons posed great dangers not just to those on whom it might be used, but to those who kept them.  Accidents happen, so naturally we should take great precaution to make sure we don’t have a nuclear accident.  So far well and good.  But the more safety restrictions one put on the weapons, the harder they became to use.  If they became too hard to actually deploy, they had no deterrent value.  If the weapons existed accidents would happen.  But how much effort should we put into preventing accidents if each safety measure made them less valuable as an actual weapon?  And again, if they didn’t function as weapons, deterrence broke down and the world became less safe.

Or so it seemed.

Different aspects of society had different opinions on this.  Scientists stressed safety, the military stressed the efficacy and availability of the weapon.  For example, a congressional committee reviewed security at Minutemen missile sites and found it lacking.  They mandated that access to the missiles be granted only with proper code identification.  The Air Force didn’t like it.  In event of an attack they would need quick access to the missiles, and who could tell who might need access if the normal command structure at the base broke down?  But in the end they complied with the congressional order.

They made the codes for all Minuteman sites 000-000-000.

Having a ready made deterrent also meant that we needed a lot of nukes in the air on planes, especially in the first 20 years or so of the Cold War.   Before we developed rockets and guidance systems the only way to get deliver the weapons was through planes.  The planes had to have the range to stay in the air long enough to get deep inside Soviet airspace.  This meant extensive use of the B-29 bombers, planes with a wobbly safety record.  The record is actually not that wobbly on paper, but we must factor in that these planes had to stay in the air constantly in case of surprise attack by the Russians   So if you expect a mishap once every 10,000 mission hours, that small number adds up quickly.  Every time a plane crashed or caught on fire meant a potential nuclear disaster.  Sometimes bombs got lost, sometimes they exploded, scattering radioactive material.  Sometimes the fact that the nuclear material did not detonate itself may have been a matter of chance.

Can we blame someone for this?  In my opinion, not really.  Accidents happen as part of life, sometimes no matter the precautions, and this means that nuclear accidents may be inevitable.

But there can be no doubt that the logic of the Cold War itself, along with departmental budgets, made accidents more likely.  For example, when various people or agencies raised safety concerns often little got done.  Acquiring new weapons was always preferable to fixing old ones, and this makes sense.  But rarely did older weapons get discarded.  More often than not, Kissinger’s logic mentioned earlier kicked in (of course this went way beyond Kissinger himself).

Yes, the Cold War and Mutually Assured Destruction no longer form part of the strategic calculus.  But Schlosser points out that the weapons still exist, and we must still deal with them.  To do so we must bring them firmly into reality.

One can’t help but wonder that if things were this bad in the United States, what were they like in Soviet Russia?  What about places like Pakistan today?  Amidst the confusion of alternate reality created by nukes, one things seems clear to me:  the fact that we have yet to blow ourselves up must be evidence that God exists, and that His mercy endures forever.

The Invention of Strategy . . . Sort of

I have written at times about my dislike for the “great man” theory of historical interpretation (here extensively).  My objections to this theory, in brief, are that

  • The writer invariably sees events only through one lens, which limits their vision
  • The writer’s hero worship distorts their vision

I could not resist the Kindle deal of Theodore Dodge’s Hannibal: A History of the Art of War Among the Carthaginians and Romans Down to the Battle of Pydna, 168 B.C., with a Detailed Account of the Second Punic War.  I suspected from some reviews that Dodge would fall prey to the aforementioned hero-worship, the besetting sin of many a 19th century historian.  I happily discovered that while I took issue with some of Dodge’s emphasis and conclusions, he writes an informative and engaging account of the Punic War era.  His is a much better book than Druesel’s Bismarck biography linked above, for example.  Likely Dodge was simply a more sane and intellectually honest person than Druesel.  Or it may be that Dodge’s more practical American sensibility and his own experience in our Civil War gave him better perspective.  Whatever the reason, his book pleasantly surprised me.  He delves into some hero worship, but keeps it to acceptable levels.

Dodge first argues briefly that Hannibal, with some help from Alexander the Great, invented the art of military strategy.  This at first struck me as “hero worship” but upon reflection I mostly agree with him.  For the ancients, battle was battle in the way for us that a handshake is a handshake.  We don’t think of strategizing a handshake.  Handshakes represent our pledge, ourselves.  To strategize a handshake seems impersonal, disconnecting us from ourselves and putting up a false pretense.

For the ancients, in battle you lined up in a field and fought.  Battle tested not the intellect but the will, the discipline, and the courage of the armies.  To have it become something more than that struck many as absurd, or perhaps cheating.  Certainly some Romans viewed Hannibal this way.  Some of our generals in Vietnam felt similarly.  I recall one of them saying, “To *&^% with them!  They wouldn’t come out and fight!”  So the attitude may have a universality beyond the ancient world.

Hannibal often fought with deception, move, and counter-move.  At times he sacrificed a small portion of his men in hopes that Rome would bite on a bait-and-switch.  He always seemed to have several tools in his bag to try and get what he wanted.  I wondered with a colleague of mine how this came to be.  What context helped create Hannibal?  Major shifts like this do not happen in a vacuum.

Carthage had a great naval tradition, but little overt military tradition to speak of.  A society centered around merchants, they contracted out nearly the entirety of their infantry.  An army with dozens of different traditions is an army with no traditions.  Dodge does a solid job of explaining the jigsaw puzzle that was the Carthaginian army, which would need a charismatic and forceful leader to hold together, let alone use effectively.  Hannibal deserves much of the credit he receives.

Hannibal also spent the majority of his life away from Carthage in Spain with the army, including his formative years.  Thus, Hannibal had little connection to Carthaginian civilization (something that would hurt him later in his war with Rome).  He roamed as a “free agent” in many respects, and could be dedicated to victory while others dedicated themselves to honor or tradition.

Many of Hannibal’s admirers rightly point out that unlike Alexander, Caesar, or Napoleon Hannibal faced  rather than actually had the best army in the known world.  True, Rome’s infantry distinguished itself for an almost 200 year unbroken string of victories by the time Hannibal invaded.  But for someone like Hannibal Rome offered unique opportunities.  Unlike Carthage, their army was embedded directly within their civilization of farmers.  And, like farmers, Rome’s army stuck to routine.  They could be counted on to charge at any red flag in any environment, and a patient commander with excellent command over his men might find a way to exploit this.  Certainly Hannibal did, with Cannae as the exemplar par excellence of his theatrical genius.

In the end, however, Dodge reverts to the hero-worship mentality.  The “objective” view (ok — my view) of Hannibal makes him a bit too clever by half.  The 2nd Punic War ostensibly began as a dispute over territory in Spain.  Had Hannibal stayed in Spain and waited for Rome to come to him, he would have been well supplied and could pick his spots more or less at will.  One can easily foresee a significant victory for Carthage in that scenario.  But Hannibal chose to play for much bigger and riskier stakes by invading Italy itself.  Any full treatment of the 2nd Punic War then, must be largely a biography of Hannibal.  Understanding what made him tick would make a great template for a great writer, but Dodge is not it.  Granted, Dodge never claimed to write a Hannibal biography, but I don’t see how one can ignore this side of Hannibal in writing about the war.  For example, in faithful hero-worship fashion, Dodge brushes off the many cruel acts of Hannibal and never uses them to try and gain insight into the man.  When Hannibal makes two prisoners fight each other to the death for their freedom merely as an object lesson for his men, all Dodge can say is, “This had a remarkable effect on his army.”

Essentially, Hannibal’s strategy boiled down to:

  • Crossing the Alps to invade Italy — this would surprise Rome and put him in a position to quickly ally himself with the Gauls in the north of Italy, long time enemies of Rome, then
  • March south and hope to gather more allies as he went — to do this he would need a few big battles to impress/scare the locals
  • Eventually he would have enough troops to march on Rome itself

I think Hannibal a great military commander, but we have to remember that he lost.  It’s easy to love Lee, but Grant beat him.  Napoleon is more interesting than Wellington, but Wellington had the last laugh.  So if we avoid getting carried away with the brilliant nature of some of Hannibal’s victories, we may wonder how great a grand strategist Hannibal really was.  His plan had significant flaws.

Many point out that Hannibal got very little support from Carthage itself, and then argue that had he had this support, he would have been victorious.  Dodge writes,

That Hannibal eventually failed was not from lack of intelligent policy, but because he had no aid from home. . .

and again,

The opposition of Hanno [a Carthaginian politician] wrecked all of Hannibal’s wonderful work.

and later again,

When we look at the [internal condition of Carthaginian politics], it ceases to be a matter of curiosity why so little was done to aid Hannibal.

It is a mark of faith in the “great men” school of thought that nothing can ever be really the fault of the great man.

True, Hannibal received little support from Carthage, but Hannibal should have been quite familiar with the topsy-turvy nature of his home civilization’s politics.  Besides, in crossing the Alps Hannibal adopted a strategy that would isolate him from any kind of supply line.  Finally, and most tellingly for me, even Dodge admits that Carthaginian armies had a tradition of operating independently and self-sufficiently apart from Carthage’s government.  All this Hannibal should have taken into account, and it was a serious mistake for him not to connect his strategy to his political situation.  Again, even Dodge himself writes about the Carthaginian government,

. . . it was natural that [the Carthaginian government] should prefer to hold Spain to winning in Italy.  They believed they could do the first, they doubted the other.

So Hannibal adopted a strategy (rather than hold Spain, go for the jugular in Italy) that he either knew or should have known went in direct opposition to Carthage’s political leadership.  Carthage refused to take extra risks for a general that had defied them, and this should not surprise us, nor should it have surprised Hannibal.  It seems to have surprised Dodge.

For Hannibal’s strategy to work, he would need to pry allies away from Rome.  But in cutting his army off from a supply line, he forced them to rely on foraging the countryside, alienating the very people he tried to win over.  Oil and water just don’t mix.

Besides this, I think Hannibal also showed a basic ignorance of Rome’s alliance system.  Rome wasn’t perfect.  No one is.  But in general Rome offered a good deal to those they conquered and incorporated into their Republic.  They required taxes and military service, and little else.  How could Hannibal top this?  What better offer could he make?  He could, of course, exempt them from military service, but then their “help” would not be much help at all.

I think Hannibal failed to understand the political system his enemy really operated, and by my tally that means he failed to understand politics at all.  A general who operated on Hannibal’s scale needed to, and this failure cost him everything.  Dodge writes,

Like Napoleon, Hannibal saw that a peace, to be a peace, must be conquered at the doors of the enemy’s capital.  This was his policy.  It was the proper one; but it failed because he could not control the resources of Carthage.

That Dodge writes this without attaching any blame to Hannibal speaks volumes.  Why should we praise a man who undertook a strategy that required he control Carthage’s resources when Hannibal lacked the power to control them?  And why be so sure that Napoleon was correct when he too lost, and lost badly?

Those in the romantic “Great Men” school ultimately have to explain why their heroes lost (losers are always more romantic than winners).  For R.E. Lee, it was his generals.  “If only Jackson had lived, or Ewell had taken the hill, or if Stuart were there, etc. (Lee of course only blamed himself).  Napoleon, serving as his own “Great Men” autobiographer, and perhaps the founder of the “Great Men” school, blamed fate.  For him, I think, to blame others would have meant admitting that others had real power, which perhaps he hesitated to do.  Alas, Dodge (though thankfully not Hannibal) takes refuge behind Fate as well, writing,

Hannibal . . . was hoping against hope; he recognized that the stars in their courses were fighting against him.

and,

[Alexander the Great] was a prime favorite of Fortune.  She smiled on Hannibal until after Cannae.  Thereafter no man ever faced luck so contrary.

Fate is a refuge for those who refuse to face the message Reality wishes to convey.

In the end, the traditional story of the 2nd Punic War as a war of personal revenge of Hannibal on Rome may make the most sense.   The strategy employed, the blitzkrieg nature of his execution, and his “anger” flaming out after Cannae may speak to the truth of this version.

So, I disagree with Dodge, but I enjoyed his book, and others will too.  At least he had an opinion to go with his fine writing and interesting way of presenting Rome and Hannibal’s epic confrontation.  Though Rome had the last laugh, Hannibal remains a fascinating figure.

Though see here for the possibility that Hannibal had the last, last laugh after all.

 

 

 

 

“Our danger is that we win all the battles except the last one.”

Despite a mountain of documentary evidence that survived the war in Germany, the Nuremberg trial prosecutors had a difficult time establishing the guilt of some defendants.  Many of the top Nazi leaders had already died, and many of the accused found it quite convenient to blame things on those who could no longer answer.   What they knew and when they knew it, and where their responsibility lay was not always easy to ascertain.

Acclaimed military writer Basil Liddell Hart scored a great coup by getting several top German Unknowncommanders in W.W. II to talk to him about their war experience.  It proved all to easy for the generals to ascribe whatever success they had to themselves, and their failure to Hitler.  As Hart notes in his prologue, this means it’s hard to know how reliable Hart’s generals can be.

Still, Hart’s The German Generals Talk succeeds on many levels.  While exact particulars remain cloudy in some cases, a definite overall picture emerges. Among other things, the paradigm the generals created (and we also tend to create) in regard to Hitler and the military needs tweaking, at least in some instances.

For example, we think of Hitler as a megalomaniac bent on conquest at all costs.  But how to explain, then, Hitler’s attitude towards Britain?  Hart shows that at least in the minds of the generals, Hitler wanted to back off of Britain.  At Dunkirk the generals thought that Hitler wanted the British to get away.  With Operation Sea Lion, generals complained that Hitler barely involved himself in the planning and seemed to care little for the details. He seemed almost relieved to break it off in its infant stages.

In truth, Hitler had always admired the British.  He praised them in Mein Kampf, which fit his racial view of the world.  The British, after all, had largely German and Nordic stock and thus were not Germany’s “natural” enemies.  Apparently Hitler believed that in allowing the British to save their honor at Dunkirk, they would more prone to accept a peace settlement.  Like Kaiser Wilhelm II, he implicitly thought that Germany and England were friends deep down.  Hitler’s egocentrism led to him to believe that everyone thought as he did.  All of us share this characteristic to some extent, but in Hitler it grew far out of proportion.  In this rare instance, his race theories actually made him less aggressive, and in this case, this instinct proved disastrous for Germany, a double irony.

Hart shows how the army never really trusted or liked Hitler.  Every general interviewed sought to distance himself from Hitler in some way. But then this begs the question as to why very few military leaders stood up to Hitler, let alone actively tried to change the situation.  They explained their situation this way:

  • While many of the upper level officers might have gone against Hitler, their troops would not have.  Those from Major on down had been raised with the Nazi system and had much more loyalty to it.  Many officers doubted whether or not their troops would have followed them in rebellion.
  • The army had an ensconced officer corp with traditions that survived W.W. I.  But the Air Force and navies did not.  Many army officers believed these branches were comprised almost entirely of pro-Hitler sympathizers, as both owed their very existence to the Nazi regime.  Even if the army as a unit rebelled, the Air Force and Navy would not.

Hart offers little comment on this line of defense.  It has merit, and it touches on a larger question.  For democracy to thrive the army must be apolitical.  Is the Nazi army any different?  When do we want the army suddenly to get a conscience?  Commenting on on our military’s experience in Vietnam, one general stated that, “To argue that officers should be guided primarily by their conscience is to argue for military dictatorship.”  But of course we don’t want soldiers, or any human being, to reduce themselves to be a mere robotic arm of the state.

Interestingly the generals’ objections to Hitler had everything to do with Hitler’s military policies and nothing about the morality of the Nazi regime. Nowhere in this 300 page book is the Holocaust even mentioned, let alone the “killing groups” on the eastern front.  Maybe this has something to do with exactly who Hart interviewed, but I think it has more to do with the strict stratification of Nazi society, and the technocratic nature of their military education.  In the end, neither of these things can explain away their ultimate failure to act in any significant way.  None of them went nearly as far as Adolph Eichmann’s ridiculous assertion that, “I only transported people to the concentration camps.  I never actually killed anyone!” but they show the same tendency, albeit to a much lesser degree.

This point touches on how the generals conducted the war.  While Hart (a military man himself) often sympathizes with the military’s side of the story, he points out that the generals lacked strategic imagination.  At least at certain points and times, Hart shows how Hitler had greater grand strategic insight.  Hitler and his generals often clashed.  They had profound class differences.  The Prussian aristocracy surely resented the social mixing engendered by the Nazi regime.  But Hart shows that the differences between them also had roots in their personalities and training.  Hitler’s poetic mind gave him a potentially greater field of vision than his technocratic generals.

But this “greater field of vision” needs moral and “physical” roots.   Art has no merit for its own sake. Hitler often preferred the great, memorable, and perhaps imaginary deed to mundane reality.  If he were to win the war, it would have to be on his aesthetic terms.  So he ordered what in his mind were “gallant last stands” that really condemned his troops to slaughter.  The “Battle of the Bulge” had no real possibility of success due to lack of air support and supplies, but it would be so much more heroic than waiting behind fortified positions behind the Rhine.   Hitler seemed to live more fully in the world of Wagner’s operas than reality.

Hitler may have had at times greater strategic insight than his generals.  But this distance from reality made it so that he could never bother with mundane details.  As far as children are concerned, meat comes from the grocery store, and water comes from the faucet.  Hitler never either could or would take logistics like supplies into account.  That is why Germany could fall prey so quickly to “imperial overstretch.”  General Halder warned Hitler that, “Our danger is that we win all the battles except the last one,” and this proved prophetic in Africa, Russia, and even Europe.  Like Hannibal and Napoleon before him, Hitler forgot the need for political as well as military conquests.

It would be more satisfying for us if Hitler had a moment of self-revelation at his end.  But like many other Nazi leaders who took their own life, no such moment came.  Hitler never wavered from playing his part.  As various Nazi functionaries urged Hitler to flee Berlin, apparently it was Albert Speer who countered their advice by telling Hitler, “You must be on stage when the curtain falls.”  Speer knew that the best way to motivate Hitler was to play to his sense of theater.  Perhaps he wanted Hitler’s demise as much as some of the generals did.

Dave

Ordinary Men

If you have driven much at all in any urban or suburban area, I’m guessing that you have experienced something like the following:

You are at a stoplight in a busy intersection, waiting to turn left.  You are towards the back of the line but have a hope of making the light, which usually lets several cars through.  By the intersection a person in need stands with a sign asking for money.

You have a few dollars and would gladly give it, but you are towards the back of the line before the man in need reaches your car.  The cars start to inch forward, anxious to make the light.  You have two choices:

  • Stop your car and give the man some money.  This would reasonably take 10 seconds of time, especially if you wanted to look him in the eye and address him as a person.  But this means that you might not make the light.  For sure, it means that cars behind you would not make the light and the intersection would pile up, with a rubberneck ensuing that would take perhaps three light cycles to clear out.
  • Go through the light and not stop, keeping up with the flow of traffic.

If you are like me in the situation I described, you have taken option 2 more often than you might care to admit.

Why does this happen?  Why does this feel like a no-win situation?  Why do we feel such tremendous pressure to get through the intersection as quickly as possible?

Aside from general answers to the question involving the human condition, we need to consider the specific situation.  When driving you enter into an unspoken covenant with other drivers that share your immediate space. When on the road other drivers–and not the rest of mankind–become your primary obligation  One part of this covenant involves being alert at intersections.  We all want to get to our destination.  Don’t be on your phone and miss the light change.  Be ready to go.  This isn’t about selfishness but courtesy to others.  Your primary and immediate obligation to other drivers overrides secondary obligations, even those of greater moral weight.  When you are behind the wheel, your fellow drivers, for example, get preference over the poor of the third world.

Sure, we don’t want honked at.  But we also don’t want to break the covenant with our momentary “brothers” behind the wheel.

Reading Christopher Browning’s Ordinary Men brought this everyday situation into starker light.  Browning focuses not on Nazi ideology, nor the ideologically committed SS thugs.  Rather, he focuses on one particular reserve police battalion and the evolution of most of them into mass murderers.  We would like to believe that Nazi’s committed mass murder because they had a previous commitment to racial genocide.  The war simply gave them the opportunity to enact their beliefs.  This would be safer for us because we do not have a belief that we should mass murder in a racially motivated way.  Thus, we would not slaughter Jews. But Browning points out that, while beliefs played a role, what seemed more decisive was the particular situation the men faced.  Their actions transformed them over time into mass murderers, not their beliefs.  Indeed for many, their actions transformed their beliefs, and not vice-versa.

This means that no one is immune.  Our beliefs–what we hold true in our heads–won’t save us.

Those that comprised Reserve Police Battalions shared the following general characteristics:

  • They were middle-aged men with other careers apart from the war.  All of them came of age before the Nazi’s took power.
  • Most all of them had membership in the Nazi party, but most all of those had joined late, and one expects, rather as a matter of course.
  • Reserve police battalions were held in general contempt by the SS rank and file as lacking true commitment to the Nazi cause.
  • Perhaps most surprisingly, very few expressed overt agreement with Nazi beliefs about Jews.  Some of them even expressed specific disagreements with anti-semitic beliefs.
  • Nearly all of them had blood on their hands in one form or another.

As the Nazi’s occupied much of Eastern Europe by 1942 they sought to clear the area of Jews and other communist partisans–but most particularly Jews were the target.  Himmler and Heydrich would much rather have had the SS do the work of mass killing, but the army at that time fought desperately in Russia and could not spare the men.  Hence, the calling up of reserve police battalions for this job.

The Nazi’s were smart in how they managed these men.  The first job for the battalion involved murdering thousands of Jews point blank in a Polish town called Jozefow, but the officers kept this order secret right up until zero hour. They let bits of information trickle out slowly, none of it objectionable by itself, i.e., “report to place x,” “prepare to help keep order,” and so on.  In relaying the mass-murder order to his men, the major of Battalion 101 showed visible distress.  He broke down almost in tears, he expressed disagreement with the order, and even gave anyone the option of abstaining themselves from this action.

But he did give the order.

At this point what options do these men have?

  • If you have strong moral scruples, you have no time to organize any resistance.  But even if you wanted to resist, will you fire on your comrades, men with whom you have trained and share a bond, to prevent such a crime?
  • If the battalion refuses to carry out the order, what will the SS do to you?
  • You could take your commander’s offer and refuse to fire on the Jews and be given guard duty.  Does being on guard duty absolve you?
  • Perhaps most significantly, soldiering tells you that if you don’t do the job, someone else will have extra work.  The army runs on the principle of all for one, one for all.  Your “weakness” means that others have harder jobs and more work.  No one wants to put their fellows in such a position.  The institutional pressure not to shirk your duty and obey orders must have been enormous.

Browning wants us to face the truth that most of us would obey the order. Most of us would shoot Jews, and most of us would find the means to rationalize it.  Testimonies given years later reveal that nearly all of them found a way to make peace with this atrocity in different ways, such as:

  • War is terrible and cannot be redeemed. Besides the enemy bombs our own women and children.
  • Surely this is an isolated, one-time action.  It is horrible that we have this assignment.  But given the horrible nature of this job, these Jews must therefore be particularly dangerous.  Best to just “rip off the band-aid.”
  • Some stood in line and fired, but deliberately missed.  Perhaps they trusted that their fellow soldiers would not deliberately miss, and this will preserve them from the horror in some way.  Indeed, mop-up crews with sub-machine guns came through to finish the job.  So . . . some tried to technically not kill anyone.
  • One soldier even went so far as to say that (paraphrasing), “I paired up with someone who had no problem shooting the women, and then I would shoot the children.  I could not shoot mothers, but I figured, once their mother was dead, I could shoot the children as an act of mercy to them.  Their lives without their parents would be misery.  I could free them from suffering.”

Those that did not join in bore the stigma of cowards and shirkers.  Those that attempted to obey, but found that “their nerves” could not handle it, were viewed as those who “tried their best.”  Even Himmler himself said in 1943, that while firm obedience stood as the pinnacle of virtue, exceptions came to those whose “nerves are shot, to one who is finished, who has become weak.  Then one can say: Good, go take your pension.”  Even a small amount participation guaranteed your personal safety, no doubt a strong impetus to at least do something in a token way.

After Jozefow many men got violently ill and many showed acute emotional distress.  We might think that this rebellion of the body as a witness to moral truth would turn the tide and what happened would never happen again.  In fact, many men who openly wept and got terribly ill after the Josefow massacre later became hardened and even enthusiastic killers of more Jews.  Initially, the body rebelled against the mind, but eventually, with enough practice, the two worked in tandem.  Eventually, the SS could trust the battalion to commit larger and larger massacres:

The Numbers of Those Murdered by Battalion 101 in

1942: 7-8,000 (minimum)

1943: 30,000 (minimum)

In between their assignments to mass-murder, Battalion 101 received orders to clear the forests of Jews who had fled Nazi roundups.  These “Jew-hunts” (as they were known) could also be rationalized:

  • The main enemy of fascism is communism.  Many Jews are communists (so went the party line), thus, they are a threat.
  • Some of these Jews who fled now have arms.  They will likely engage in guerrilla operations against our forces.  Thus, they are not civilians but enemy soldiers, enemies too cowardly to come out and fight.  They deserve their fate.

Perhaps because one might possibly find even the thinnest “legitimate” military motive for such action explains why the battalion never had a shortage of volunteers for these missions.  It far more resembled “real soldiering” and may have helped them justify their actions in military terms.  Such missions made them soldiers in their minds, not murderers.

Ordinary Men demonstrates that one need not be an SS ideologue to commit such atrocities.  The commitment to your immediate circle of fellow men, your desire to “do something” for the war, your general patriotism, and perhaps even a lingering sense of guilt that in serving in the reserve police battalions made one a whole lot safer than a front-line solider–thus you might seek to make up for it with brutal deeds– all combine to wreak moral havoc on your soul.  Within a year normal middle-age men without overt Nazi sympathies, without being educated in Nazi ideology in their formative years, without defined anti-semitic beliefs, became butchers on an unreal scale.*

We can understand this if we remember the intersection with the man asking for money.

I think the main reason why we fail at the intersection is the competition between our two commitments, one to our fellow drivers, the other to the needy man.  Throw in the side-car of our selfishness and desire to get home and not be inconvenienced, etc., and game/set/match for our values.  The only way to really navigate this successfully is to park the car and approach him on foot.  In one sense this is harder, because it costs us more in time.  But in many ways this is the easier path, for now we need not worry about the drivers behind us at all.  We have removed ourselves from obligations to them and can act much more freely.

Of course the men in Battalion 101 faced a drastically more difficult situation.  You cannot escape blame by opting out of shooting and taking guard duty instead.  Reasonably, you would not (and perhaps even should not?) turn your gun against your comrades and go out in a hail of bullets.  The only thing you can do is remove your uniform, perhaps facing court martial and even death.  Perhaps you could do this if you were a bachelor, but if you have a wife and kids . . . ?  What happens to them?  Can you sacrifice them in addition to yourself? How many of us would shoot?  How many of us would take guard duty?

In the epilogue, Browning quotes from Primo Levi’s book, The Drowned and the Saved, and it seems a fitting way to close. In his book Levi argues passionately that,

It is naive, absurd, and historically false to believe that an infernal system such as National Socialism sanctifies its victims; on the contrary, it degrades them, it makes them resemble itself.

Such was the fate of Reserve Police Battalion 101.

Dave

*Browning also traces the evolution of their anti-semitism.  In time many came to hold the same kinds of beliefs about the Jews as Hitler and Himmler.  They didn’t start that way, but their actions formed their beliefs.

The Psychology of Encounters

As an author A.J. Toynbee could be controversial and intimidating.  His grand theories of the scope of history naturally had adherents and skeptics.  Toynbee repeated himself numerous times over the scope of his 12 volume magnum opus.  At times too, Toynbee’s “insights” seem like little more than average common sense, such as his observation that geography must present a challenge to encourage the development of a civilization.

But sometimes his insights, even if not earth-shattering, are nonetheless important to contemplate, and show their worth because of their applicability in different circumstances.  I have always thought that the book The World and the West a great entry point for those interested in Toynbee’s work.  My favorite chapter (the book is a collection of speeches given on a theme) is “The Psychology of Encounters” (available here for those interested).

His main point deals with how cultures interact with one another.  One of his arguments entails showing how when a culture gets transplanted into “non-native” soil, it may not “take” in the way it did so where originally planted.  He uses the rise of nationalism from the mid 19th-early 20th centuries.  The idea of nationalism grew up slowly and organically in England and France, and perhaps to a lesser extent in Russia.  But the exportation of this idea to other areas could have unintended and dangerous consequences.  I quote at length,

We can see why the same institution has had these strikingly different effects in these two different social environments. The institution of ‘national states’ has been comparatively harmless in western Europe for the same reason that accounts for its having originated there; and that is because, in western Europe, it corresponds to the local relation between the distribution of languages and the alignment of political frontiers. In western Europe, people speaking the same language happen, in most cases, to be huddled together in a single continuous and compact block of territory with a fairly well defined boundary separating it from the similarly compact domains of other languages; and, in a region where, as here, the languages are thus distributed in the pattern of a patchwork quilt, the language map provides a convenient basis for the political map, and ‘national states’ are therefore natural products of the social milieu. Most of the domains of the historic states of Western Europe do, in fact, coincide approximately with homogeneous patches of the language map; and this coincidence has come about, for the most part, undesignedly. The west European peoples have not been acutely conscious of the process by which their political containers have been moulded on linguistic lasts; and, accordingly, the spirit of nationalism has been, on the whole, easy-going in its west European homeland. In west European national states, linguistic minorities who have found themselves on the wrong side of a political frontier have in most cases shown loyalty, and been treated with consideration, because their coexistence with the majority speaking ‘the national language’ as fellow-citizens of the same commonwealth has been a historical fact which has therefore been taken for granted by everyone.

But now consider what has happened when this west European institution of ‘national states’, which in its birthplace has been a natural product of the local linguistic map, has been radiated abroad into regions in which the local language map is On a quite different pattern. When we look at a language map, not just of Western Europe, but of the world, we see that the local west European pattern, in which the languages are distributed in fairly clear-cut, compact, and homogeneous blocks, is something rather peculiar and exceptional. In the vastly larger area stretching south-eastward from Danzig and Trieste to Calcutta and Singapore, the pattern of the language map is not like a patchwork quilt; it is like a shot-silk robe. In eastern Europe, south-west Asia, India, and Malaya the speakers of different languages are not neatly sorted out from one another, as they are in western Europe; they are geographically intermingled in alternate houses on the same streets of the same towns and villages; and, in this different, and more normal, social setting, the language map—in which the threads of different colours are interwoven with each other—provides a convenient basis, not for the drawing of frontiers between states, but for the allocation of occupations and trades among individuals.

I thought of Toynbee’s insight when reading Ivan Morris’ excellent The Nobility of Failure.  In his book Morris examines the idea of the Japanese hero through mythology, folklore, and history.  By comparing various stories over two millennia a consistent picture emerges.

  • The hero must be sincerely dedicated and have a purity of devotion.
  • Japanese heroes often dedicate themselves to hopeless, or nearly hopeless causes.  The fact that the cause is relatively hopeless demonstrates his purity and sincerity.  That is, the cause itself is not particularly important — rather, the character of the hero takes center stage.
  • The Japanese hero invariably ends his life in a noble death, one that he himself controls and determines.  This death validates the purity of his cause.  We might assume that the method was always sepiku, the ritual disembowlment.  Not so, Morris explains.  Originally, ritual suicide was performed by slicing the carotid artery on the neck.  Sepiku probably became part of the samurai tradition because it is a much more painful form of death, one that allows for a greater demonstration of suffering and courage.

The last chapter naturally deals with the kamikaze attacks at the end of W.W. II.  Previous to W. W. II heroic status could only be attained by the aristocratic class & samurai class.  But Toynbee’s theory of the unpredictability of cultural transference applies in this case.  This transference on a cultural level can have the same kind of unpredictable detrimental effect as it can on the ecological level.  Think of the kudzu plant, which serves a good purpose in Japan’s unusual geography.  Transplant it to the southeastern U.S., however, and it will take over entire forests. Beginning in the mid-19th century Japan got exposed to western ideology, including obviously the idea of equality.  But what equality meant for Japan in this case became a horrifying kind of parody — now everyone can kill themselves and attain heroic status.

Hence the kamikaze pilots.  As Morris points out, the Japanese did not carry out these attacks primarily because they believed it would lead to victory.  No one really believed in victory by the end of 1944.  Such attacks, however, would certainly lead to the pilots achieving hero status in Japan.  They mimicked almost exactly the form and pattern laid down in Japan’s past.

Below I include various excerpts from Morris’ book.  Another quote from Toynbee illustrates the tragedy of Japan in W.W. II.

Since our discovery of the trick of splitting the atom, we have learned to our cost that the particles composing an atom of some inoffensive element cease to be innocuous and become dangerously corrosive so soon as they have been split off from the orderly society of particles of which an atom is constituted, and have been sent flying by themselves on independent careers of their own.

Excerpts from The Nobility of Failure

Testimonies of Kamikaze Pilots, 1944-45

If only we might fall

Like cherry blossoms in the Spring —

So pure and radiant!

  • Haiku by a kamikaze pilot in the ‘Seven Lives’ Unit, died Feb. 22, 1945, age 22. Kamikaze planes were called “Oka” bombs.  “Oka” is the Japanese word for “Cherry Blossom.”

“The purity of youth will issue in the divine wind.” [i.e., the “shimpu,” or “kamikaze.”]

  • Admiral Onishi, the probable originator of the “kamikaze” attacks.   He said to his officers, “Even if we are defeated, the noble spirit of the kamikaze attack corp will keep our homeland from ruin.  Without this spirit, ruin would surely follow defeat.  [The pilots] are already gods, without earthly desires.”

Beckoned to a chair, the young man [Lt. Seki] sat down facing us.  Commander Tamai patted him on the shoulder.  “Seki, Admiral Onishi himself has visited the 201st air group to present a plan of the greatest importance to Japan.  The plan is to crash-dive our Zero fighters, loaded with 250 kilogram bombs, into the ships of the enemy.  You are being considered to lead such an attack.  How do you feel about it?

There were tears in Tamai’s eyes as he spoke.

For a moment there was no answer.  Seki sat motionless, eyes closed, in deep thought.  Then calmly, raising his head, he said, “You absolutely must let me do it.”  There was not the slightest falter in his voice.

  • Lt. Seki was the first to lead a kamikaze squadron, and he successfully sank an escort carrier.

When it was clear that they understood my message [about forming a kamikaze squadron], I turned and said, “Anyone who wishes to volunteer for today’s sortie will raise his hand.”

The words were hardly spoken before every man raised his hand.  Several of them left their seats and pressed up against me, pleading, “Send me!  Please send me!”

I wheeled about and shouted, “Everyone wants to go.  Don’t be so selfish!”

[As the planes moved to the runway for takeoff] Lt. Nakano raised himself in the cockpit and shouted, “Commander Nakajima!”

Fearing that I had done something wrong I rushed over.  His face was wreathed in smiles as he called, “Thank you Commander!  Thank you very much for choosing me!”  I flagged him on with a vigorous wave of my arm, and other pilots shouted the same thing.  “Thank you!” they shouted.  I pretended not to hear these words, but they tore at my heart.

  • Official log of Capt. Nakajima

It is of no avail to express it now, but  in my 23 years of life I have worked out my own philosophy.  It leaves a bad taste in my mouth when I think of the deceits of the wily politicians upon the innocent population.  But I am willing to take orders from the high-command . . . because I believe in the beautiful polity of Japan.  

The Japanese way of life is indeed beautiful, and I am proud of it, as I am of Japanese history and mythology, which reflect the purity of our ancestors and our past.   And the living embodiment of all wonderful things in our past is the Imperial Family which, too, is the crystallization of the splendour and beauty of Japan and its people.  It is an honor to give my life for such beautiful and lofty things.

  • Last letter of Lt. Yamaguchi Teruo

Dear Parents:

Please congratulate me.  I have been given a splendid opportunity to die.  This destiny of our homeland hinges on the decisive battle in the seas to the south where I shall fall like a blossom from a radiant cherry tree.

How I appreciate this chance to die like a man!  . . . Thank you, my parents, for the years during which you have cared for me and inspired me.  I hope that in some small way this deed will repay you for what you have done.

  • From the last letter of Lt. Matsuo Isao

Never think of winning!

Thoughts of victory will only bring defeat.

When we lose, let us press forward, ever forward!

  • A popular kamikaze song

Cease your optimism,

Open your eyes,

People of Japan!

Japan is bound to be defeated.

It is then that we Japanese

Muse infuse into this land

A new life

A new road to restoration

Will be ours* to carve.

  • Last poem of a kamikaze pilot.  The “ours*” refers to the kamikaze pilots, whose death will plant the seeds of “new life.”

If by some strange chance, Japan should suddenly win this war, it would be a fatal misfortune for the future of the nation.  It will be better for our nation and people if they are tempered through real ordeals, which will serve to strengthen.

  • Sub. Lt. Okabe [?]

Listen carefully!  Imagine you have nothing in your hand but a pebble, and you need to take down a tree.  What is the best method?  To throw the pebble, or to take the pebble in your hand and strike it against the tree yourself?

  • Lt. Nagatsuka, last message to his parents.

Probably the most fearsome of all scenes took place on Saipan in 1944.  When organized military resistance became impossible soldiers  — some 3000 of them — armed with nothing but sticks came charging at the American concentrated machine-gun fire.   They were mowed down to the last man.   A particularly macabre note was provided by wounded Japanese soldiers who limped forward, bandages and all, to the slaughter.

Subsequently, entire units of Japanese soldiers knelt down in rows to be decapitated by their commanders, who then in turn committed ritual suicide.  Hundreds of others shot themselves in the head or, more commonly, exploded themselves with hand grenades.  As the marines advanced through the island they witnessed one mass suicide after another, culminating in the last terrible scene when Japanese civilians, including large numbers of women with children in their arms, hurled themselves off cliffs or rushed out into the sea to drown rather than risk capture.  

  • From Ivan Morris’ The Nobility of Failure