Evolution and Capitalism: As Tarzan Said to Jane “It’s a Jungle Out There”

skepticBy this point in the 2016 presidential campaign, it has become something of a cliché to compare the candidacies of both Donald Trump and Ted Cruz, and all the turmoil, often violent, surrounding the former’s campaign rallies, to the spawning of the monster in Mary Shelley’s 1818 novel Frankenstein, or the Modern Prometheus. Progressives and people to the left side of the political spectrum sometimes joke that such comparisons actually insult Frankenstein’s monster. But by concentrating exclusively on Trump and Cruz and the perennial freak show of the lunatic right, the comparison misses the larger point that the real Frankenstein monster – the monster that ultimately gestated Trump, Cruz, the Great Recession, and their attendant pathologies– is contemporary capitalism itself. I emphasize contemporary capitalism deliberately, because the adjective “contemporary” is absolutely critical: the capitalism to which we have all-too-rapidly become accustomed is not capitalism as it existed in the few Administrations immediately following the Second World War. That capitalism – roughly speaking, the capitalism of the Truman, Eisenhower, Kennedy, and Johnson years – was, comparatively speaking, a “kinder, gentler capitalism” than the system fortuitously denoted by the “c-word” today. To paraphrase an advertising slogan: This is not your parents’ capitalism.

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Now, before we go any farther and commit the criminal offense of misdemeanor sociology by over-idealizing what those years were like, I should back up a step or two and acknowledge that, no, the largesse of those supposed halcyon days by no means included everyone. Yes, the middle class was growing … but mostly the white, male, heterosexual middle class. Yes, home ownership was burgeoning … but mostly only for white, heterosexual families (and also in large measure because of the GI Bill to assist veterans, a measure a hard-right GOP Congress might well refuse to fund today, for fear of nurturing a “culture of dependency”). (The term “homosexual family” would have been considered as oxymoronic as “two-sided triangle”.) Yes, Dinah Shore sang her theme song – which I am old enough to remember – “See … the … U … SA in your Chev … ro-let … “ But you had to be able to afford a Chevy, which many people in that ostensible golden age of the American economy could not. This was also the time of the germinating civil rights movement; the schoolchild “duck-and-cover” time when we believed that the Nation could be annihilated in a half-hour – and when, during the Cuban Missile Crisis, it nearly was; when schools were segregated … as Gov. Orval Faubus vowed they always would be in Arkansas; when registering black people to vote could be, in some cases was, worth your life, etc., etc., etc. But, that said, the fact remains that for some Americans – by no means all, but for a number unprecedented in world history – the middle class was, not just growing, but thriving … so much so that, in our optimism, we even coined a phrase for the coming of Camelot and the Kennedy era: “the Soaring Sixties”. Remember that?

So what happened? I like to think of it in terms of an analogy with biological evolution. A Reader’s Digest-condensed version of biological evolution, basically the skeleton of Darwin’s original theory, the first edition of which was published in 1859, says that as changes occur in an organism’s phenotype via random mutations in its genotype, the environment acts on the resulting mutated organism to determine whether the organism lives or dies. (Darwin had only the crudest conception — something called “pangenesis,” long since discredited — of how mutations originate.) It’s like a vast, jaw-droppingly complex, planet-spanning figure-skating competition: organisms “skate” their “program”, mutations included, and the environment acts as the panel of judges, determining which organisms survive and which do not … survival being defined as the ability to survive long enough to reproduce and thus pass on the adaptation to their descendants. But as the environment changes over time, the “judging criteria” that determine the fate of each species likewise change: mutations that were once advantageous or neutral may become disadvantageous – the technical term is “maladaptive” – under the new environmental regime. Perhaps the classical example of this process is the meteor strike on the Yucatan Peninsula 65 million years ago, that resulted in basically a “nuclear winter” due to the debris thrown up by the impact reflecting sunlight back into space and thus cooling the planet. Dinosaurs, being huge lizards which had no ability to regulate their body temperature, and which had been around for over 150 million years, suddenly found themselves in the midst of a catastrophe. Because the earth became colder – and there were other changes because of the meteor – the evolutionary niche once occupied by cold-blooded dinosaurs came to be occupied by mammals, which do have the ability to regulate their body temperature independently of the environment. Result: the dinosaurs died off; mammals – including humans about 64 million-plus years later – survived.

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Charles Darwin

OK … now back to capitalism … Societies – in particular, societies’ economies and the underlying technological infrastructure – evolve, too. And the process is intriguingly similar to biological evolution in response to a changing environment. The “figure skating competition” here, however, is between forms of socio-economic organization – what Marx called “the mode of production” – and the overall technological environment in which production takes place – what Marx called “the means of production”, with the “mode” playing the part of the skater and the “means” playing the part of the judges. (Again, the same caution: this is a Reader’s Digest-condensed synopsis.) Conservatives spill ‘way, ‘way too much ink pooh-pooh-ing Marx’s theory of the materialist dialectic of history – by which, Marx says at one point, he “stood Hegel on his [Hegel’s] head” – and ‘way, ‘way too little ink acknowledging the keen insights that, despite the undisputed oversimplifications of Marxist theory, lie at the heart of Marx’s basic paradigm. An example might clarify matters. In the Middle Ages, the production of goods was carried on according to what we today would call a “cottage industry” paradigm. A wainwright – a carriage-maker – would typically start with raw materials, fabricate the various parts of the carriage, put those parts together into higher- and higher-level assemblies, and finally put those assemblies together into a finished carriage – and, in the process, maintain exclusive control over the entire manufacturing process from start to finish, “touching” the entire carriage at each stage as it was being built. Working with the wainwright would be some young men – always men – who would serve apprenticeships as “wainwrights-in-training”. Furthermore, a master craftsman usually developed a close personal relationship with his apprentices, journeymen, etc., and the group often even lived together. As the “junior wainwrights” were trained, the supervising craftsman and the local wainwright guild would observe their progress and together determine what stage each trainee / “intern” was at: apprentice, journeyman, etc., all the way up to master craftsman – at which point the once-apprentice could become an independent craftsman in his own right, authorized to hire his own apprentices and teach them, whereupon the cycle would repeat.

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Karl Marx

Then came the factory movement from the middle 1700s on, the reasons of which are too complex to even synopsize here. Suffice to say that the factory movement eventuated from advances in technology that enabled the manufacturing process to be broken down into rather naturally occurring, small, easily identifiable, discrete stages, each of which could be physically isolated from the other inside an immense building – called a “manufactory,” later abbreviated to just “factory” – where a given worker, or more likely a cadre of several dozen workers, performed the same discrete sub-task, and passed the results on to other cadres of workers who would perform subsequent sub-tasks. In Marxist language, the “means” of production underwent a tectonic change. Now, instead of working on an entire product, each worker in the factory dealt with only a small, discrete task, and often had no idea how that one discrete task fit into the manufacture of the end-product. Furthermore, the idea of craftsmanship became quaint … then ceased to have any meaning altogether: there is no sense of craftsmanship in the fabrication of a mere “sub-widget”. Over time, and a rather historically brief time, at that, workers became mere fungible ciphers: if worker A and worker B fabricate the same type of widget X, then they are interchangeable; and given the simplicity of the discrete tasks, either can be trained to fabricate widget Y. The workers became strangers to the end-product, and, unlike a century before, strangers to one another. In Marxist language, the “mode” of production underwent a tectonic change. Our hypothetical wainwright building a carriage from start to finish with the help of his apprentices and journeymen became as obsolete as the post-meteor dinosaurs – and for essentially the same reason: the craftsman, like the dinosaur, was adapted to an obsolete environment. In the brave new world of the factory environment, mere physical dexterity – the ability to rapidly build sub-widgets – will win out over craftsmanship every time.

But the crowning humiliation came when the factory movement, leveraging advancing technology, gradually substituted machines for human workers altogether. In some meaningful sense, human beings became quite literally worthless in many contexts. What supplanted the value of workers was the value of capital, i.e., the money necessary to buy land and equipment, build factories, buy raw materials, and in general “jump start” the entire manufacturing enterprise. The cost associated with the workers themselves was relatively minimal: defined as the minimum wage necessary to enable a worker to subsist and to reproduce, so as to engender other workers to feed into the system. (The factory movement routinely employed children whose age was expressed in single digits.) Because workers could not afford the costs of transportation to and from their jobs, this also meant that workers had to move from the countryside, where most of the “cottage industry” work had been done prior to the factory movement, into great cities where they could be close to their jobs, usually congregating into vast, vast slums whose appalling misery has been so well documented in the novels of Charles Dickens, giving rise to scenes of human degradation that bear comparison only to conurbations of nightmare like today’s Mogadishu. It is this “para-Hegelian” dialectic between “means” and “mode” that drove the evolution of history, argued Marx. No wonder Romantic poets of the late 1700s and early 1800s like William Blake wrote of “the dark, satanic mills of Wolverhampton” and of the hellish filth-scapes of Whitechapel and the East End. No wonder the Luddite sect, with its hostility to any and all forms of technology, became increasingly popular. No wonder French workers, for fear of being displaced by machines, threw their wooden shoes (sabot, in French) into the cogs and gears of the machines … thus coining the word “sabotage”. As it is in biology, so also it is in socio-economics: evolution does not forgive.

dark-satanic-mills

So in many ways, the London of Charles Dickens is the tangible embodiment and vindication of Karl Marx: the means of production – factories leveraging technology so as to use human workers, if at all, only as flesh-and-blood machines – and the mode of production – wage-slavery intensified to a lyrical pitch through the massive urbanization of labor. All in the service of Capital. Now multiply the single example of London by all the great cities of Europe – their name is “Legion,” for they are many – and the sense of moral crisis becomes almost tangible. Two questions end up being begged: (1) how the hell did matters come to such a pass back then? and (2) why is the present so much like the past to such an unsettling extent? I would suggest that at least the outlines of an answer begin to emerge if we consider two factors we usually do not associate with each other: biological evolution and the European Enlightenment.

It’s important to remember a critical fact about the evolution of our species:  it’s about survival. Or, to be strictly precise, evolution is about surviving long enough to reproduce. Furthermore, given the short life-spans (on geologically and cosmically significant time-scales) of our species, homo sapiens sapiens, the type of survival toward which evolution is biased is short-term survival. Evolution — evolution alone and unaided by human intentions — is “concerned” with the long-fanged beast hiding behind that rock over there, not the long-fanged beast hiding behind other rocks elsewhere farther away. Evolution certainly has long-term consequences, but these are worked out in billions upon billions of particular, discrete, short-term instances. In an odd kind of way, evolution is like that verse in II Corinthians 6:2:  “Now is the accepted time, now is the day of salvation”.  For evolution, now — or perhaps 5 minutes or perhaps an hour from now — is all that counts.  An organism that dies right now never reproduces, and thus falls out of the evolutionary stream.

human-evolution

As paradoxical as it may sound, given the time-scales involved, evolution is actually the ultimate in short-term thinking.  So we should not be surprised that humans are biased, down to the deepest sub-basement of our neuroanatomy, toward similar short-term thinking. We are evolutionarily predisposed to think in terms of the next 5 minutes or 5 hours. That is the consequence of the way the human brain evolved. Evolution tends to be very parsimonious:  it throws almost nothing away. (Most of the DNA in the human genome is so-called “junk” DNA:  perhaps functional, even vital, at one time, it has since been superseded and no longer “does anything” — but was never discarded.) So as the brain evolved from reptiles to mammals to primates, the earlier parts of the brain were, not discarded, but built upon, rather like a medieval castle or manor house. “Evolution” and “efficiency” both start with the letter “e”, but the similarity ends there. (The conservative parsimony of biological evolution, by the way, poses a sticky problem for advocates of intelligent design:  whatever Designer exists must have a severe hoarding fetish if S/He preserves so much “junk”.) Those archaic parts of the brain — less accurately but more descriptively called the “reptile brain” — are collectively called the “limbic system”, and include structures like the amygdala that do primitive, “fight or flight” processing of the emotions that demand instantaneous, reflexive, very-short-term responses, i.e. responses, like dropping a match when it burns your finger-tips, that do not require conscious thinking. Comparatively primitive structures like the amygdala reflect evolution’s “assessment” that stopping to think can sometimes be fatal — and therefore maladaptive

What does all this have to do with capitalism, both old and new? Well, if you stop to reflect on the fact that, at least in capitalist economies, the economic system is an arrestingly faithful analog of a biosphere, complete with “nature red in tooth and claw” survival for competition, the answer should be obvious. Because of the emphasis on competition and survival in the marketplace, the evolution that occurs in capitalist economies is no more predisposed to long-term thinking than the evolution that occurs in biospheres. The natural and “naive” tendency of all capitalist economies is to concentrate on today’s profit and tomorrow’s or next quarter’s bottom line, and if that means the growth of slums, the pollution of the natural environment, and social pathologies that can only be restrained and contained by the application of brute force, then … well …the Devil take the hindmost.

capitalism_by_graffitiwatcher

But the limbic system was not the only part of the brain to evolve.  Human beings also developed a cerebral cortex — the part of the brain that, loosely and qualitatively speaking, deals with abstract thought and therefore, most importantly, with long-term planning. With only an amygdala and its associated structures, human beings would still be capable of pursuing their self-interest. But only with a cerebral cortex are we capable of pursuing our enlightened self-interest. But like any powerful instrument — a car, a computer, a nuclear reactor, etc. — there is the issue of learning how to use it.  Much of human history could be written in terms of the two-steps-forward-one-step-back process of humans learning how to use the cerebral cortex. And we are still very much in the process of learning how to use it. One of the most critical, make-or-break steps in Westerners’ learning how to use this awesomely powerful instrument was the European Enlightenment that began in the middle 1600s and that continues today. Much of human history between the fall of Rome and the end of the 30 Years War in 1648 consisted of religious zealotry placed at the service of the amygdala and the limbic system.  But because of the rediscovery of the classical world, the efflorescence of science, and in consequence a renewed confidence in the powers of the autonomous human intellect and rationality, Europeans gradually — it was a very near thing — discovered how to agree to disagree and live with their differences instead of slaughtering one another over them.

It would be literally impossible to overestimate the importance of this discovery. The fact that Europe, with all its faults, is not a late-Bronze-Age wasteland today is because, over time, the principles of the Enlightenment — tolerance of differences, the concept of inalienable human rights, the unique value of human beings, the idea that governments and economies should work for human beings instead of the other way around, that it is legitimate to circumscribe the behavior of the few for the good of the many, etc., etc., etc. — came to dominate the culture in terms of its rhetoric … and gradually in terms of its behavior.  Anyone who watches the news or even reads a newsmagazine occasionally or peeks at internet blogs now and again will be convinced that there is still an enormous amount of work to do to put these principles into practice.  But even a casual acquaintance with history will reveal that we have come a long way. As Dr. King once said, quoting an old slave hymn, “We ain’t what we ought to be, and we ain’t what we gonna be, but thank God we ain’t what was”.

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So what conservatives miss in their critique of government “meddling” in the economy, e.g., their oft-avowed (though never fulfilled) pledge to abolish the EPA and like agencies, etc., is that the whole sweep of human civilization since humans descended from the trees and emigrated from east-central Africa has been to escape from, to transcend, Nature, and to temper and moderate Nature’s brutality, not to slavishly replicate it in our social and economic relations. “Nature red in tooth and claw” is fine if you are the “apex predator” who benefits from such an arrangement, so it is no accident that the farther up the affluence scale you go, the more intense becomes the hostility to government regulation:  if the game is already rigged in your favor, you will naturally be reluctant to change the rules of the game. But one of the benefits of the Enlightenment was a renewed confidence in humans’ ability to critique such arrangements and to perform tasks of autonomous moral reasoning, and thus establish a rational basis for altruism, for care for the weak, for the support of the disadvantaged — and thus to hedge about the otherwise-unrestrained cut-throat competition in the capitalist jungle with limits that ensure human life, human survival, and human dignity — values of which pure and unadulterated Nature is ignorant. Hence the abolitionist movement in 1850s England. Hence efforts to alleviate the suffering of the workers in the slums of London.  Hence the abolition of poor houses and debtors’ prisons. All were examples of “big government meddling,” and yet all were rooted in the Enlightenment-backed consensus that, while human beings emerged and originated from Nature, we are not bound to take up permanent residence there.

Capitalism can be and has been — and very often still is — a good and healthy and liberating thing. But capitalism is morally defensible only as long as, and to the extent that, human beings are in charge of capital for the good of the entire human community … never vice versa.

– James R. Cowles

© 2016, All rights reserved

Image credits:

“Rationality”:  public domain
“Capitalism is crisis” graffito: Creative Commons Attribution Noncommercial-Share Alike 3.0
“Frankenstein” head: Creative Commons Attribution-Share Alike 4.0 International
“Evolution” image: public domain
Karl Marx: public domain
Darwin photo: public domain
“Industrial mill”: COPYRIGHT © OLGA HARMSEN
“The School of Athens”: public domain

 

Subsidizing Original Sin

skeptic

Skepticism is the chastity of the intellect, and it is shameful to surrender it too soon or to the first comer: there is nobility in preserving it coolly and proudly through long youth, until at last, in the ripeness of instinct and discretion, it can be safely exchanged for fidelity and happiness. — George Santayana

There are not many tenets of orthodox Christianity in which I still believe.  But one of the few such – it may well be the only one – to which,at least  in some cognate form, I still subscribe is the doctrine of Original Sin.  Yea and verily!  I even believe that Original Sin is inherited in being passed down from parent to child, very much in the tradition of St. Augustine.  (I do demur from Augustine’s conclusion that the heritability of sin renders sexual intercourse intrinsically immoral.) In fact, so fervent is my agreement that I even meet and embrace Philip Larkin, who wrote, in a poem called “This Be the Verse”, “Man hands on misery to man; / It deepens like an ocean shelf”.  In fact, in some cases the second half of that stanza is also sound advice:  “Get out as early as you can, / And don’t have any kids yourself”.  I will leave to others of more orthodox beliefs the task of unpacking the moral, metaphysical, and theological consequences.  In the more pragmatic spirit of substituting the proverbial ounce of prevention for a pound of cure, I will only suggest some measures that I believe would preveniently mitigate the consequences of sin.  My suggestions are quite the reverse of radical.  In fact, I appeal to the stodgily traditional practice of using the US tax code to encourage and to incentivize certain forms of behavior.

Original Sin by Michel Coxcie
Original Sin by Michel Coxcie

Well … OK … probably not that easy – a corollary of Murphy’s Law says “Everything is harder than you think” — but comparable! Especially when you consider the alternative.

As matters stand right now, the US tax code supports Original Sin by subsidizing parenthood indiscriminately. In 2013, for example, you can claim a $3,900 exemption for each dependent child.  Period.  No qualifications.  End of discussion.  Elvis has left the building.  All the child has to do for you to qualify for the exemption is to meet the criteria in the tax code for being a “dependent”.  (What are those criteria?  Don’t ask me.  I’m not a tax specialist.  As a tax accountant, I’m a great short-order cook!)  But the point is that, as long as your child meets the dependency qualifications in the US tax code, then you may take the exemption, even if your skills as a parent make Gilles de Rais look like the Walton kids’ folks.  At least partially because of one’s incompetent parenting, one’s child can turn out to be as warped as Dracula’s assistant, Renfield, and, especially when grown, can wreak as much havoc on the community as Dracula himself.  No matter.  You still can take the $3,900 tax break, which in such a case will then amount to a subsidy for sociopathy:  “Hand[ing] on misery to man” with a vengeance. Or, as St. Augustine might say, subsidizing Original Sin. Then, if, as we fervently hope, one’s child is apprehended by the police instead of pursuing her / his career as a real-life character out of a Criminal Minds episode, society – meaning you, me, and everyone else – will pay the price, which we hope will only be monetary, for whatever contribution was made to the situation by virtue of incompetent parenting. In extreme cases, a court might even declare the parents to be unfit, and the child might then become a token in the pinball machine known as “Foster Homes”.

May I make a suggestion?  Let’s do things differently!

In the interest of fairness, let’s acknowledge up front that, yes, of course, quality of parenting, while important, is only one factor among many others in the kind of person a kid turns out to be.  Yes, of course:  children make their own choices, and even good parents can have children that go tragically wrong. Yes, of course:  children are human beings, not programmable automatons. Yes, of course:  if you want an iron-clad guarantee, go buy a lawn mower from Sears. That said, however, why not structure the tax code to encourage, not parenting as such, not parenting per se — but good parenting? How could we do this?  Well, we know many of the factors that make for competent parenting.  We don’t know literally everything, of course. We also don’t know literally everything that makes a good professional football player, either. But the NFL draft proceeds apace nonetheless.  Instead of encouraging parenthood promiscuously via the “shotgun” approach of giving $3,900 to everyone whose reproductive plumbing worked as advertised, as the current practice is, we should be as persnickety about encouraging parenting as NBA teams are in selecting athletic talent.  We should subsidize incompetence in neither one.

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IRS Form 1040

First of all, please be assured that I do not — I say again: I do not — propose to limit the number of kids as a matter of law.  So also be assured that you can have as many kids as you want.  However, there will be two salient changes to the tax laws pertaining thereto:

Step 1:  On as nuts-and-bolts-practical a level as possible, develop a curriculum on competent parenting in consultation with the best child psychologists, developmental psychologists, parents themselves, etc., etc. in the relevant fields.

Step 2:  Once this curriculum has been developed and appropriately vetted and implemented, change the tax code so that:

Step 2a:  You may only claim the dependent-child exemption if you can authenticate having successfully completed — just once, not once per child — the curriculum.

Step 2b:  If you do not complete the curriculum, not only may you not claim the dependent-child exemption, but your tax liability will be increased by, say, 1 percent for each dependent child, probably subject to some sliding-scale algorithm that takes into account adjusted gross income.

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Schoolgirls in Bamozai

Admittedly, this is only abstract training, and as Dostoyevsky’s “Underground Man” said, to know what is right is not to do what is right.  So it would probably be desirable to incorporate some type of parental counseling component into the curriculum. In any case, this scheme has two purposes:  (1) to shift more of the cost of inept parenting from society as a whole to the parents themselves, and (2) to do so preveniently, before the need arises.  Statistically and particular counter-examples notwithstanding, quality of parenting does make a significant difference.  The difference is that, at present, the social costs of incompetent parenting are incurred after the fact and by the community as a whole. I only propose to use the tax code in such a way as to (a) encourage people to be good or better parents by providing some type of training, and (b) to shift to the parents themselves the future costs of poor parenting by making the parents who do not elect such training pay in advance of need instead of the community as a whole after the damage has already been done.

Yes, of course, there are holes in the plan. Yes, of course, there are details to be worked out. This is a brief blog post, not a comprehensive policy white paper for the Brookings Institution or the Institute for Policy Studies or the Guttmacher Institute. I take it as axiomatic that, if parenting by the seat of one’s pants had immediate or short-term and significant pocketbook consequences to people who undertake the responsibility of raising kids, then greater care and thought would go into the decision of whether to have kids, and, if the decision was “Yes”, how to proceed.  To paraphrase Dr. Johnson, “The sight of a 1040 form focuses the mind wonderfully”. And to quote George F. Will verbatim, “You always get more of what you subsidize”. Simple justice — never mind theology — demands that we use the tax code, not to subsidize Original Sin and the dialectic described in the Larkin poem, but to mitigate it. Of course, we’ll never do it.  But we should.

James R. Cowles

1280px-Schoolgirls_in_Bamozai — Public domain (Capt. John Severns, U.S. Air Force – Own work)

435px-Form_1040,_2005 — Public domain (US government tax form)

Original_Sin_Michel_Coxcie — Public domain (artist:  Michiel Coxie [1499–1592], picture courtesy of: www.fineart-china.com, present location: Kunsthistorisches Museum, Vienna)

 

This Will Either Fascinate You or Drive You to Drink with Boredom

skepticLet’s find out which!

Once in a while, for better or for worse, the past comes back to haunt you. An instance of the “better” part of this assertion occurred with me recently when I saw a public TV documentary on mathematics. Much of the documentary revolved around what the physicist and mathematician Eugene Wigner described as the “unreasonable effectiveness” of mathematics in the natural sciences in an essay of that title. Wigner’s famous essay was written around 1960. I first encountered it as an undergraduate math and physics – and, significantly, philosophy – major at Wichita State University in Wichita, KS, during the late 1960s. It stuck around in the back of my mind to haunt me at graduate school in physics about ten years after it was written. But, finding little or no sympathy for my philosophical perplexity in the physics department – cite a philosophical issue and most physicists respond with a deer-in-the-headlights stare – I did not so much become indifferent as preoccupied with other pursuits. Until last week, when I encountered it again in that documentary. Remembering how impressed I was with Wigner’s text 40-plus years ago, I Bing’ed it up, printed it off, read it … and found that it had lost none of its power to perplex and to provoke. In particular, I found that it had lost none of its power – not so much to challenge – as to chasten what has by now become my habitual attitude of skepticism.

Eugene Wigner (1902-1995), Hungarian physicist. Eugene Paul Wigner was most famous for his deep exploration into quantum physics, especially in establishing a core algebraic theory on the symmetries in quantum mechanics, known as the Wigner D-matrix. He came up with several other theorems while researching into atomic nuclei and also co-wrote the classic book The Physical Theory of Neutron Chain Reactors with Alvin Weinburg in 1958, which he holds in this portrait. Five years later he was awarded half of the 1963 Nobel Prize in Physics for his symmetry principles, the other half being awarded to J. Hans D. Jensen and Maria Goeppert-Mayer for their discovery of nuclear shell structure.
Eugene Wigner

Wigner’s essay opens with a (possibly apocryphal, though that does not matter) story of a statistician explaining to a non-statistician friend the meaning of a bell-shaped-curve graph about population, and the graph’s associated terminology and symbology. The conversation proceeds: “And what is this symbol here?” “Oh,” said the statistician, “that is pi.” “What is that?” “The ratio of the circumference of a circle to its diameter.” “Well, now you’re pushing your joke too far,” said the classmate, “surely the population has nothing to do with the circumference of a circle”. Wigner’s point, which he illustrates with several other more abstruse and technical examples I will skip over, is that time and time and time again – in fact, with a frequency that by now verges on the customary and to-be-expected — mathematical entities like pi, long believed to be relevant only to abstractions confined within the skulls of mathematicians, turn out, it may be generations or even centuries later, to have critical, fundamental — even world-historical — relevance to understanding aspects of the Universe outside those skulls. Like population. In fact, such episodes of “unreasonable effectiveness” tantalizingly call into question that very dichotomy of “inside” vs. “outside”. Rather, it seems that, at least sometimes, “deep calls to deep” (Psalm 42:7), Decartes’ dualism is transcended, and res cogitans (“thinking substance”, the “inside-the-skull” world) and res extensa (“extended substance”, the “outside-the-skull” world) meet and embrace.

There are other examples that Wigner does not mention, that in some cases did not exist circa 1960, when Wigner wrote his essay. Wigner tends to concentrate on contemporary instances of “unreasonable effectiveness” in relativity and quantum theory. But there are many others.

o Non-Euclidean geometry

In the middle 1800s, mathematicians like Bolyai, Lobachevsky, and Riemann developed consistent systems of geometries that were founded on variations of Euclid’s famous Fifth (or Parallel) Postulate: given a line and a point not on the line, one and only one line can be drawn through the point parallel to the given line.

Bernhard Riemann
Bernhard Riemann

These systems of geometry were surprising to many because they turned out to be consistent, but remained playthings for mathematicians and geometers … until a century or so later, when Albert Einstein formulated his Theory of General Relativity, at which point it became necessary to conceive of space, not in Newtonian terms as a static, flat, unalterable Euclidean plane, but as a vast sheet of something like rubber – albeit a four-dimensional sheet – that gravity could warp and deform in ways that could not be understood apart from the application of non-Euclidean geometries. (This explains the ubiquity of “rubber-sheet geometry” in popular expositions of general relativity — though, technically, gravity is a tensor field, so the “rubber” is warped in ways not possible with a physical rubber sheet.) Non-Euclidean geometry makes General Relativity possible … and along with it, virtually all of 20th- / 21st-century cosmology and astronomy.

o “Chaos” theory

When I was taking graduate-level courses in applied math, it was admitted, in certain cases, that while the coefficients of the partial differential equations governing certain physical processes could be non-linear, that we would only concentrate on the cases where the coefficients were linear because (a) only linear coefficients were tractable by the methods we were using because the non-linear cases pertained to “chaotic” systems, and besides, (b) only those partial differential equations with linear coefficients had physical significance, anyway.

rf_detail_261_0Or so we believed at the time. (Like I said, these were courses in applied math: no point in trying to apply math to cases with no physical relevance.) To cut to the Reader’s-Digest-condensed version of the story, it later turned out that, contrary to being physically irrelevant, the non-linear cases previously believed to be only bloodless abstractions were the very cases most relevant to the physical Universe in terms of population growth, certain resonances in the physics of elementary particles – and even the behavior of markets and political systems. (Another crucial factor was the development of computers powerful enough to process numerical-analysis / finite-element models of non-linear processes.) Because of its “unreasonable effectiveness”, our math told us far more than we realized, e.g., the long-term behavior of global weather systems.

o Abstract algebra

 Until well into the 20th century, it was believed that the most hard-core “useless” mathematical discipline was the area of abstract algebra. Surely nothing as rarefied as non-commutative groups and Lie algebras could have any practical significance whatsoever, outside of providing job security to professors of mathematics. But it turned out that the relationships between and symmetries prevailing among elementary particles – and whole families of particles – were understandable only with reference to some cognate of something called “Lie algebras” and “non-Abelian gauge theories”. Don’t worry about the “tech talk”. The point is that even such abstract algebraic structures turned out to have deep physical relevance.

AlgebraStart

This just scratches the surface, and even then only barely so. I could also mention “useless” things like Hilbert spaces in quantum theory, Calabi-Yau manifolds and Klein bottles (and other differential-geometry entities) in superstrings, etc., etc., etc., etc. … the list is almost endless. (Brian Greene’s The Elegant Universe contains a challenging but relatively accessible discussion of such entities vis a vis string theory.) In all such cases, the exotic critter eventually escapes from the space inside mathematicians’ skulls and becomes “unreasonab[ly] effective[]” in enabling physicists – and sociologists and market analysts – to make sense of the world.

What’s going on?

It is near-miraculous enough that the world is understandable through mathematics.  That it may so often be understood through the mediation of mathematical structures never designed to enable us to understand it pushes the envelope from near-miraculous into the territory of the … well … the numinous … often downright “spooky”. (As Wigner notes in his by-now-classic essay, most pure mathematical abstractions, by definition of the word “pure”, were initially developed with the intent of proving even more ‘way-cool theorems and developing even more ‘way-cool abstractions and making math even more ‘way cool, not with the intent of explaining anything going on “‘way out there”.) That is what tantalizes me about Wigner’s essay to this day:  the hint that — whatever is going on — it involves a potential way of transcending the dualism of Mind (in the sense of Descartes’ res cogitans) and World (Decartes’ res extensa). There are other hints, some buttressed by the “hard” science of data and experiment (the “measurement problem” in quantum theory, Feynman’s classic “two-slit” experiment, Bell’s Theorem) and others much more problematical (Jungian synchronicity). (I say “much more problematical” because it is far from clear how or whether anything like synchronicity could ever be scientifically investigated, even in principle, because of its non-causal nature, inasmuch as science deals in terms of cause and effect.) Even such disparate fields as deconstructionist literary critical theory, with its subversion of the distinction between text and author and its emphasis on the self-referential nature of the former, falls into the same pattern of calling into question the distinction between subject and object, of inner world and outer reality, of the observer and the observed — of what we think in our heads and what happens in the world.

Maybe we are not, after all, strangers in a strange land.  Maybe we are not Sisyphus eternally rolling his rock uphill.  Maybe we are home.

– James R. Cowles

© 2015, James R. Cowles, All rights reserved

 

“Popular Sovereignty” and Marriage Equality

Editor’s Note:  Coming on the heals of the U.S. Supreme Court decision on Obergefell v. Hodges stating that the fundamental right to marry is guaranteed to same-sex couples by the Due Process and Equal Protection clauses of the Fourteenth Amendment to the U.S. Constitution, we present James Cowles’ “Popular Sovereignty” and Marriage Equality essay. It is reblogged here from Beguine Again.  James Cowles is a newer member of Core Team.  His poetry was shared in past issues of The BeZine. Welcome James! 

skepticOne of the more enlightened-sounding proposals aimed at resolving the question of marriage equality for sexual-orientation minorities is to allow each State in the Nation to decide the issue, either with a vote of the State legislature via initiative and referendum, where the State constitution permits such, or to allow each individual State’s legislature to decide the issue. This alternative appeals to the “democracy instinct” that is pretty much encoded into the Nation’s political DNA. But this perception is deceptive. We have seen this movie before, and its deeper implications are anything but friendly toward individual rights. The first time we saw the “let-the-States-decide” movie was in 1858 with the Lincoln-Douglas debates. All that is different, 1858 vs. now, is the specific matter at issue: slavery then vs. marriage equality now. But what was really at issue in both instances was much deeper, going to the “ontology” of human personhood.

Lincoln&Douglas

In 1858, the year after the infamous Dred Scott v. Sandford decision of the Roger Brook Taney Supreme Court, Stephen Douglas, senior Senator from Illinois, and Abraham Lincoln, former one-term representative from that State, as part of their respective Senate campaigns, undertook an epic series of debates up and down the length and breadth of Illinois, each challenging the other on his solution to the burning slavery question that would finally eventuate in the Civil War. (In those days before the 17th Amendment, Senators were appointed by the State legislatures.  Sen. Douglas won. Mr. Lincoln lost. But Mr. Lincoln would go on to be elected President in 1860. South Carolina would secede from the Union a month later.) Sen. Douglas repeated his often-advocated proposal of “popular sovereignty”: let each State decide for itself whether that State will be slave or free. As Mr. Lincoln was quick to point out, Sen. Douglas’s proposal had already been ruled unconstitutional the previous year by the Supreme Court in the Dred Scott opinion. Thus “popular sovereignty” died a-borning. To understand the reasons for this, I refer you to the Dred Scott decision itself. Looming at least equally large at the time was the fact that the Taney Court, on the way to its decision, also declared unconstitutional the Kansas-Nebraska Act and the Compromise of 1850, both of which had the effect of quarantining slavery within States where slavery was already legal. With Dred Scott, the Taney Court “breached containment” and set the slavery virus loose in the Union as a whole.

taney
Chief Justice Roger Brook Taney

Dred Scott has been vilified now for 158 years as the judicial equivalent of Pearl Harbor: “a date which will live in infamy”. Or maybe the 9/11 attacks. Justly so, in an obvious sense. Two years after Dred Scott, in 1859, John Brown would stage his abortive assault on the Federal arsenal at Harper’s Ferry; the Nation, both North and South, would quail before the prospect of a slave rebellion; Brown’s trial and execution would only succeed in making him a martyr and rendering the Civil War, already almost a certitude, literally inevitable. (“Things fall apart, the center cannot hold; / Mere anarchy is loosed upon the world” — William Butler Yeats, “The Second Coming”.) But if we take a step or two back and look at Dred Scott dispassionately, to the extent that is possible, what becomes clear is the question beneath the question.

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Dred Scott

In that sense and to that extent, the decision of the Taney Court did the Nation a service in clarifying, if only in retrospect, what was really at stake. If Douglas’s proposal of “popular sovereignty” had been adopted and implemented, and if each State had voted on whether to be slave or free, what would the State really have been voting on? The State would have been voting on, not only the legal status of slavery within its borders, in fact, least of all on that, but on whether or not the “ontological” character of human beings – some human beings, anyway – was such that human beings were the kind of thing that could be owned. The real question at issue is whether or not slaves are human beings with human rights. The Court said “No”, of course, asserting that “[African slaves are] beings [note: not “human beings” but just “beings” – JRC] of an inferior order, and altogether unfit to associate with the white race, either in social or political relations, and so far inferior that they had no rights which the white man was bound to respect”. Mr. Lincoln’s critique of “popular sovereignty,” which predates by several years his debates with Sen. Douglas, is predicated on his revulsion for placing slavery and freedom on an equal moral plane as Coke-or-Pepsi alternatives meriting equal consideration. In a speech in Peoria, IL, 1854, he asserted that “there can be [no] MORAL RIGHT in the enslaving of one man by another.” (all-caps in original) In the last analysis, Sen. Douglas’s proposal to settle the slavery issue by “popular sovereignty” is just as much a negation of the human-ness of the slave as the Dred Scott decision itself. To subject human-ness to majority vote is to deny the existence of the very thing you are voting on. If slaves are human beings, there is nothing to vote on. Conversely, to insist on voting on whether a certain group has human rights is to deny the human-ness of that group. (In Kitchen v. Herbert, the decision that struck down Utah’s gay-marriage ban, the US Court of Appeals for the 10th Circuit said “The protection and exercise of fundamental rights are not matters for opinion polls or the ballot box”.) Human beings have human rights. To affirm one is to affirm the other; to deny one is to deny the other. Period. End of discussion.

Well, as I said earlier, we have seen this movie before. Now we are seeing it again. Now the issue is not the “ontological” character of slaves, but the “ontological” character of sexual-orientation minorities. In particular, the question now is whether such minorities have a right to marry. At least, that is the “surface” question, corresponding to the choice Sen. Douglas proposed putting before the States. Now, before I go any farther, I want to reaffirm the all-important dual character of marriage: marriage as a civil contract, and marriage as a religious ordinance / sacrament. My remarks are confined entirely to the former aspect of marriage, i.e., marriage as a contract in civil law not essentially different from, say, a contract with Verizon for cell-phone service or with Bank of America for a mortgage loan. Within that context, we may ask “Is the right to enter into a (civil) contract a human right?” That question we can resoundingly answer “Not only ‘Yes’, but ‘Hell yes’”. In fact, during the opening years of the 20th century – the Lochner era – the Supreme Court’s “hell-yes” answer was so strong that very little progress could be made until the New Deal in terms of ameliorating employees’ working conditions: employees had entered into a contract with their employer that was so iron-clad that even Federal courts felt bound by constitutional prohibitions forbidding impairment of contracts. We are no longer in the “Lochner era”, of course, but the right to enter into contracts is still strong – be the contract a mortgage or a marriage …

… unless you are a sexual orientation minority …

equality

In that case, some argue that an act of the legislature or the electorate … anyway, some kind of vote … is necessary. And even then, only with regard to the specific type of civil contract known as “marriage”. No one argues that a vote is necessary to “give” sexual-orientation minorities the right to contract with Verizon for cell-phone service. No one argues that a vote is necessary to “give” sexual-orientation minorities the right to get a mortgage. No one argues that a vote is necessary to “give” sexual-orientation minorities the right to contract with a gardening service to mow, mulch, and fertilize their lawns. Those are all civil contracts. But when you mention the civil contract known as “marriage”, suddenly some people are not willing to grant that right without some kind of prior plebiscitary permission. Why? I can think of two possible reasons:

o Marriage is a religious ceremony / sacrament nor normally granted to gay / lesbian people

But in that case, the State is clearly overstepping its “establishment”-clause boundaries by presuming to grant gay / lesbian people permission to participate in a religious activity. One may as well envision the State having a voice in whether a Catholic priest can celebrate Mass or whether a Buddhist sensei can chant the Diamond Sutra.  But I think a more likely reason is …

o Gay / Lesbian / LGBTQIA people are not … well … not … well … not “like us” … any more than black slaves were “like us” in Sen. Douglas’s mind in 1858, and so require permission to exercise what the rest of us – those who are “like us” – consider a human birthright: the right to contract (civil) marriage

 In other words, to be brutally honest, gay / lesbian / LGBTQIA people are not … quite … human and so need their human-ness, and therefore their human rights, legislatively validated. At least, that seems to be the subtext of the 21st-century version of the “popular sovereignty” argument.  Which, as in the case of black slaves in the 1850s, means those rights do not exist because their presumptive possessors are not … quite … fully human. Indeed, that is the “question-behind-the-question” in both cases: are slaves and LGBTQIA people fully human? Furthermore, as it was with slaves and “popular sovereignty”, so it is with sexual-orientation minorities: the ostensible necessity of voting in order to validate rights annihilates those rights. The act of voting vitiates that which is voted on.

The Declaration of Independence asserts that human rights are “unalienable”: we cannot give our rights away. Nor can we “give” them to others. They are not ours to give. And if we try to give them to others, we only prove that we do not believe in them.

– James R. Cowles

© 2015, essay, James R. Cowles, All rights reserved; photographs are in the public domain.