The just war tradition and sovereignty (book review)

James Turner Johnson, Sovereignty: Moral and Historical Perspectives. Georgetown University Press, 2014. 181 pp. (including bibliography and index).

 
James Turner Johnson is an expert on 'the just war tradition,' and in Sovereignty he considers the co-evolution of ideas about sovereignty and just war.  Indeed the book probably should have been called something like The Just War Tradition and Sovereignty, since that would have more accurately indicated its contents than the title it actually carries.
 
Johnson's starting point is a conception of sovereignty that predates the modern state, one that defined sovereignty "in terms of the moral responsibility of the ruler for the common good of the people governed" (p.2).  Johnson is rather vague about what this meant in practice, but at a minimum a ruler's "moral responsibility" entailed meting out just punishments and protecting the political community from external (and internal) threats.  The 'sovereign', a ruler "without temporal superior," was sometimes required to wage war for these purposes.  This particular notion of sovereignty thus developed in tandem with what Part 1 of the book calls the 'classic just war tradition.'  One probably could also make a case, though Johnson does not do so, that this somewhat paternalistic view of authority traces back, at least in the West, to Plato's description of the guardians in the Republic. 

In any event, one of the book's main arguments is that this older view of sovereignty, in its concern with the quality of rule and the sovereign's responsibility for the common good, has a moral dimension that the modern view, with its emphasis on territorial integrity and non-intervention, lacks.  Yet some writers, such as Robert Jackson in The Global Covenant and Brad R. Roth in Sovereign Equality and Moral Disagreement, have argued that the principles of territorial inviolability and non-intervention have their own moral foundation, inasmuch as they allow, at least in theory, each 'political community' to shape its own destiny with a minimum of external meddling.  Roth's position is that "...international law's highest and best uses remain those given pride of place in the United Nations Charter: the establishment of a platform for peaceful accommodation among states representing a diversity of interests and values, and the protection of weak political communities from overbearing projections of power by strong foreign states" (Sovereign Equality and Moral Disagreement, p.5).  By contrast, Johnson is less concerned with "overbearing projections of power" from outside and more concerned that existing sovereignty norms often serve to shield bad behavior by oppressive or murderous rulers.  This in turn raises questions about, among other things, the moral status of state boundaries and state autonomy, questions that Johnson tends to answer only indirectly. 

***

Although there is a nod in the first chapter in the direction of Augustine and "the Augustinian heritage," the book's historical discussion really gets underway with Aquinas, who listed "three requirements for a war to be just: the authority of a prince [auctoritas principis], a just cause, and a right intention" (pp.16-17).  The prince's responsibility was to uphold "the moral order itself" and thereby "the divine will," by punishing injustices and those who had committed them (pp.19, 20).  Aquinas distinguished between rulers who acted in the interest of the political community and 'tyrants' who did not; however, he was not consistent on "how to respond to tyranny" (p.41).   

Aquinas's main concern was jus ad bellum, i.e. the grounds for starting a war, rather than what came to be called jus in bello, i.e. the conduct of a war once begun.  The latter considerations entered the tradition via the writing of Honoré Bonet and Christine de Pisan during the Hundred Years War (1337-1453) (p.43).  These writers "joined the chivalric 'law of arms'" to Aquinas's jus ad bellum requirements, and the "combined conception was then passed on into the debates over warfare in the early modern period" (p.43).  Thus by the fifteenth century, if not before, 'just war theory' already encompassed two basic questions: (1) Under what circumstances is it just to begin a war? and (2) What constitutes just conduct on the battlefield (and in the treatment of noncombatants, prisoners, etc.)?

After discussing Aquinas and several of Aquinas's Neo-Scholastic successors, Johnson moves on to Luther and some other Reformation thinkers, and then to Grotius.  Grotius (drawing on some previous writers such as Vitoria) shifted "the locus of authority to wage just war...from the prince to the commonwealth," with the prince now seen as the polity's agent or representative (p.82).  Grotius also put more emphasis on defense, especially defense of the polity's territory, as a justification for war (p.84).  The political community's right to defend itself is now seen as derivative of the individual right to self-defense, and the authority to act in the community's defense is delegated from its members to the ruler.  

Johnson sees the Grotian emphasis on self-defense as a narrowing of the earlier conception of just war and sovereignty.  Here Johnson takes the traditional view of the Peace of Westphalia, i.e., he regards it as having laid the ground for the close connection between sovereignty and territory that has characterized the modern state system.  However, this view of the Peace of Westphalia has been quite persuasively criticized in recent years.  Older, 'feudal' notions of territoriality and authority clearly persist in the Westphalian treaties; Johnson neither acknowledges this nor quotes any articles of the treaties.  He does say that the shift in focus from the ruler-as-independent-actor to the ruler-as-the-polity's-agent resulted from reading the Peace of Westphalia through a Grotian lens (p.93), but that's a different point.  There's nothing wrong with accepting the dominant linguistic conventions and retaining the adjective "Westphalian" to refer to the current sovereignty regime (or key aspects of it), provided one notes -- as Johnson fails to do -- that its link to the actual provisions of the Peace of Westphalia is rather tenuous, to say the least.       

In the book's second part Johnson discusses issues of contemporary resonance, namely Islamic views of just war (ch. 6) and 'the responsibility to protect' (ch. 7), taking a broad view of the latter.  He is, however, unduly critical of the UN (p.160).  I'm not going to summarize these chapters in any detail here (so readers who are interested in them will have to consult the book).

The brevity of this book is welcome but it comes at a cost: Johnson does not engage with most of the secondary literature on the writers he discusses.  A fairly standard work like Richard Tuck's The Rights of War and Peace is not in the bibliography; nor is Edward Keene's Beyond the Anarchical Society, which connects Grotius to colonialism.  (Nor, with a couple of exceptions, does Johnson reference recent work on sovereignty and territoriality, though it's admittedly somewhat more removed from his main concerns.)  Still, Johnson's core chapters do provide an overview of some of the main lines of thought on just war and sovereignty in the Western tradition.  Rather than adopting the neutral tone of a textbook or survey, Johnson makes a definite argument, and one that might be questioned on certain points; this book is therefore probably best read in conjunction with other treatments of the same general ground that take a different perspective.       

Machiavelli on mercenaries: a note

[Quotations from The Prince in this post are from the H. Mansfield translation, Univ. of Chicago Press, 2nd ed. 1998.]

Machiavelli didn't like mercenaries, something that is evident both from The Prince and (I see from a quick glance) The Discourses, where he writes that good soldiers are the sinews of war, not gold, and that it "is as impossible for good soldiers to fail to find gold as it is for gold to find good soldiers" (Penguin ed., 1970, p.303). [See also his The Art of War.]

In chapter 13 of The Prince, Machiavelli continues a lecture against the use of mercenaries begun in the immediately preceding chapters.  Among other things he criticizes King Louis XI of France (reigned 1461-1483) for his reliance on Swiss pikemen:

...when he [Louis XI] gave reputation to the Swiss, he debased all his own arms.... For after they [the French] had become accustomed to fighting with Swiss, they did not think they could win without them.  From this it follows that French are not enough against Swiss and without Swiss do not try against anyone else.  Thus, the armies of France have been mixed, part mercenary and part their own.  These arms all together are much better than simple auxiliary or simple mercenary arms, but much inferior to one's own. (pp.56-7)

In referring to French weakness, Machiavelli was thinking of a then-recent event: the French "having been forced out of Italy in 1512" (according to an editor's note in the Skinner & Price edition of The Prince, Cambridge U.P., p.50).  However, Machiavelli does not mention that Louis XI largely owed the Swiss his victory over Charles the Bold of Burgundy at the battle of Nancy in 1477, a  battle that altered the geopolitical landscape of western Europe. [Correction/clarification: It was not really "his" (i.e., Louis XI's) victory; see the discussion in the comment thread.]  Machiavelli says that "a wise prince...has preferred to lose with his own [arms] than to win with others, since he judges it no true victory that is acquired with alien arms" (Mansfield trans., p.55).  Louis XI presumably would have begged to differ.

Postscript: The problem for the Swiss mercenaries, according to Michael Howard (in War in European History, p.28), was their slowness to adapt to changing conditions of war: "...as shot became increasingly important and formations increasingly flexible the Swiss pike phalanxes became left behind like dinosaurs unable to adapt to a new environment, as much of a curiosity in the history of infantry as the English bowman of the later Middle Ages."

Btw, what would Machiavelli have said about how to combat ISIS, or about any other current issues?  Is this question even worth asking?

ISIS and the Reformation

T. Greer at The Scholar's Stage has a characteristically long post about ISIS, taking off from the much-discussed Graeme Wood article in The Atlantic (that I haven't read).  On a quick read, I agree with some of what T. Greer says, but I am leery of his endorsement of the analogy between the current struggles within Islam and the Reformation.  (D. Nexon, I believe, is also opposed to the analogy, and he knows more about the Reformation than I do.  I can't say I recall the *precise* grounds on which Nexon opposes the analogy, without refreshing my memory by looking at the relevant passages in his book or other writings, which I'm not going to do right now.) 

Speaking for myself, I'm uncomfortable about an analogy between the religious struggles within Christianity (Christendom? whatever) of the 16th and 17th centuries and the struggles within Islam today. For one thing, the Protestant reformers were not trying to recapture an historical golden age by recreating a territorial entity under their control -- i.e., no analogy to the restoration of the Caliphate.  That is just one difference.  I'm sure there are others. 

ETA: Such as differences in the content of the ideologies and the methods.

Nowhere to go but up

A couple of things I've seen recently in the blogoshere led me to take a look at an article called "Decolonizing International Relations: Perspectives from Latin America," International Studies Review, Sept. 2012.

The author begins by saying that "the aim of this paper is to think differently about International Relations (IR) by thinking differently about the Americas." The author writes "as a Latin Americanist, and as such...bring[s] a particular geographical and disciplinary perspective to the question of power in the region, drawing on the 'coloniality of power' perspective developed by Latin American academics."

I suppose that could be interesting, provided the perspective is lucidly explained for those unfamiliar with it.

But then my eye fell on this passage, in which the author is approvingly discussing Inayatullah and Blaney's book International Relations and the Problem of Difference:

[Inayatullah and Blaney] show how ideas such as sovereignty and just war -- keystones in the edifice of IR -- are grounded in an understanding of the world which writes such ideas as universal without acknowledging that they emerged from a particular social milieu.

Let's put 'just war' aside and focus on sovereignty. How is the idea of sovereignty "grounded in an understanding of the world" which fails to acknowledge that it emerged from "a particular social milieu"? Virtually every intro IR textbook informs its readers that the idea of sovereignty (as the term is used in contemporary international law and relations) emerged from a particular milieu -- i.e., Europe during a particular era (whose precise dates one might argue about) -- and then eventually spread beyond the milieu in which it originated. No doubt the spread of the idea and institution of sovereignty was historically tied up in various ways with European imperialism, but are people not aware that the most vociferous proponents of state sovereignty and its corollary of noninterference in internal affairs are the states that emerged from the processes of decolonization in the nineteenth and then the mid-twentieth century? Try telling any leader of an Asian, African or Latin American country that the idea of sovereignty is a tool of the 'coloniality of power' because it is a European idea pretending to be a universal one. Chances are you'll be greeted with a shrug or a quizzical look and then politely asked to leave.

Things get worse with this:

...the notion of European superiority was caught up with the Peace of Westphalia, which allowed the birth of the modern nation-state to be heralded as a social advance and confirmed the nation-state as a 'natural' and desirable social model....

Actually the Peace of Westphalia had very little (indeed I would say nothing) to do with the "birth of the modern nation-state," which was a long process that did not reach its end-point until well after 1648. How much Westphalia even had to do with sovereignty is highly debatable, but sovereignty and "the modern nation-state" should not be treated as the same. As for the Peace of Westphalia allowing "the birth of the modern nation-state to be heralded as a social advance and confirm[ing] the nation-state as a 'natural' and desirable social model," I think that is little better than gibberish.

A glance at the rest of the article suggests that it gets somewhat better, but then, starting from such a low point, it has nowhere to go but up.

References for reason-of-state post

These references go with this post (most but not all were cited in the post).

D.A. Bell, "Poker Lessons from Richelieu," Foreign Affairs (March/April 2012) [link]

R. Bireley, The Counter-Reformation Prince (1990)

R. Briggs, Early Modern France (2nd ed. 1998)

J. Donnelly, "Twentieth-Century Realism," in T. Nardin and D. Mapel, eds., Traditions of International Ethics (1992)

M. Doyle, Ways of War and Peace (1997)

M. Foucault, Security, Territory, Population: Lectures at the Collège de France 1977-1978 (2007), ed. M. Senellart, tr. G. Burchell

A. Hirschman, The Passions and the Interests (1977)

S. Hoffmann, Duties Beyond Borders (1981)

R. Jackson, The Global Covenant (2000)

D.L. Jensen, ed., Machiavelli: Cynic, Patriot, or Political Scientist? (1960)

N. Machiavelli, The Prince (1532), tr. H. Mansfield (2nd ed. 1998)

F. Meinecke, Machiavellism, tr. D. Scott (1957)

C. Nederman, "Niccolò Machiavelli," The Stanford Encyclopedia of Philosophy (Fall 2009 Edition), ed. E. Zalta [link]

A. Wolfers, "Statesmanship and Moral Choice" (1949), reprinted in Discord and Collaboration (1962)

Reason of state and the ethics of statecraft

When was the last time a politician used the phrase "reason of state"? I'm not sure, but it must be quite a while. Phrases such as "the national interest" displaced "reason of state" in leaders' vocabularies long ago. But a brief historical look at reason of state may be interesting, at least (if you'll pardon the tautology) to those who are interested in this sort of thing.

The statesman most associated with the notion of raison d'état is Richelieu, who sided with Protestant princes/polities in the Thirty Years War, breaking the link between religion and foreign policy. Richelieu's main concern was to counter the Habsburgs, though not necessarily to defeat them: according to one historian, "French policy aimed to restore a balance in Germany, not to bring about a Protestant triumph" (R. Briggs, Early Modern France, 2d ed. 1998, pp.102-103). At any rate, as David Bell wrote last year in reviewing a recent biography of Richelieu, the Cardinal "was hardly the first European statesman to place national interest above moral or religious imperatives...."  No doubt that's true, but by now Richelieu's name is so firmly linked with reason of state that the connection is probably unshakeable.

While Richelieu is the politician most associated with reason of state, the writer most associated with the notion is Machiavelli, even though he never used the phrase. As Michel Foucault observed in one of his 1978 lectures at the Collège de France, the sixteenth- and seventeenth-century debates about reason of state were "conducted through" Machiavelli; the invocation of his name became, to some extent, a signaling device. In the debates of the time, opponents of Richelieu used the accusation of Machiavellism to signal that the lodestar of policy was the ruler's (in this case Louis XIII's) "whims or interests," not -- what reason of state more properly should have denoted -- an "autonomous and specific art of government," as Foucault put it. Writers more favorable to raison d'état were divided, some distancing themselves from the charge of Machiavellism, others praising the author of The Prince (see Foucault, Security, Territory, Population, trans. G. Burchell, pp.243, 245).

Controversies and polemics invoking Machiavelli began not long after the posthumous publication of The Prince in 1532, five years after his death. In 1559 the Church put all of Machiavelli's books on the Index of condemned works. Before that the English cardinal Reginald Pole had concluded that The Prince was devilish; Pole "issued a warning against Machiavelli" in his Apology for Emperor Charles V, which was "written in the late 1530s but not published for over two centuries" (R. Bireley,The Counter-Reformation Prince, 1990, p.15).

Some Protestant writers also fiercely criticized Machiavelli. A key event in this connection was the St. Bartholomew's Day Massacre (August 1572) in which several thousand Protestants were killed in Paris (and more in the following days in other parts of France). Many Protestants blamed Catherine de Medici, an Italian and a Catholic and the French king Charles lX's mother, for the massacre, though she intended not a mass killing but "the elimination of a relatively small group" of Protestant leaders (Briggs, Early Modern France, pp.21-22). However, Catherine's intentions were probably unclear to everyone outside her inner circle.
 
The Huguenot lawyer and writer Innocent Gentillet penned a Contre-Machiavel or Discourse against Machiavelli (the full title is longer; it was written in Latin in 1571 [thus actually before the St. Bartholomew Massacre], then published in French in 1576 and in English in 1602 [or 1608, depending on which catalog entry one goes with]). Gentillet linked Catherine de Medici to "Italian statecraft" as allegedly exemplified by Machiavelli. Gentillet's book, as Robert Bireley notes, "was the first attempt at a systematic refutation of Machiavelli and was to have a far-reaching influence on Catholic as well as Protestant authors."  Interestingly, Gentillet referred to The Prince as the "Koran of the courtiers" (Bireley, Counter-Reformation Prince, p.17). 

As mentioned above, Machiavelli did have defenders. There was an attempt or two to argue that his views were compatible with the Bible (see Foucault, Security, Territory, Population, p.245), and today at least a couple of scholars argue that Machiavelli was not hostile to Christianity (see C. Nederman's entry on Machiavelli in The Stanford Encyclopedia of Philosophy, here [with a good bibliography]). A considered view is that "Machiavelli's whole work is based on the contrast between ordinary Christian ethics and the ethics of statecraft...not an 'immoral' code of behavior, except by Christian standards, but a different code of morality, which wills the means to the noble end of civic survival" (S. Hoffmann, Duties Beyond Borders (1981), p.23). And "[r]ather than an abstract sovereign institution, the state, for Machiavelli, was nothing less -- or more -- than the government, the prince himself at home and abroad" (M. Doyle, Ways of War and Peace (1997), p.97).

One might argue that the notion of raison d'état lives on, albeit in sometimes very attenuated form, in two ways: first, through the mushy idea of the national interest; second, through the view, famously stated by Weber in "Politics as a Vocation," that politicians must always weigh the likely consequences of their actions rather than just acting in accord with a principle regardless of likely results -- though in this second case the connection to reason of state is debatable.

Following the Weberian line, various writers have argued that the ethics of statecraft is "situational." As Robert Jackson puts it (in The Global Covenant (2000), pp.135-36), "scholars of international ethics should...lay open the conduct of statespeople to appropriate moral standards" but also should take into account the circumstances in which that conduct occurs. Stated in this general way, the position leaves open the questions of which moral standards apply in a given case and which circumstances are the more or less relevant ones. But those questions are probably best debated and answered in the context of specific decisions. (Note: I don't entirely agree with R. Jackson that the ethics of statecraft is "conservative more than progressive" (ibid., p.139) but won't pursue this here.)

P.s. A post on this subject shouldn't neglect to mention Friedrich Meinecke's 1924 book The Idea of Reason of State in Modern History (later translated into English under the title Machiavellism).

Added later: The chronology in this post, I've sort of belatedly realized, goes in reverse: it starts with the 17th cent. (Thirty Years' War), then goes back to the 16th cent. (French Wars of Religion). That's probably not the best way to have organized it, but you know, you get what you pay for here... ;)  

Sovereign debt in historical perspective

The recent focus on sovereign debt crises has reinforced our understandable tendency to associate national debt with state weakness. Originally, however, the incurring of debt was a sign not of state weakness but of state strength. A government could not borrow until it could convince lenders that it had the ability and intent both to pay interest and (eventually) to repay the principal.

The French king Francis I, who reigned from 1515 to 1547 and presided over a period of relative growth, borrowed and ran a budget deficit. [1] Francis I's contemporary Henry VIII also incurred crown debts (or so I recall; too lazy to find a cite for this). So did Charles V, who "financed his campaign [to be elected Holy Roman Emperor in 1519] through loans from the banker Jacob Fugger, which saddled him with significant debts." [2]

Borrowing by monarchs happened even before that. In his discussion of sovereign lending in Sovereignty: Organized Hypocrisy, Stephen Krasner notes that "Edward III of England repudiated his debts in 1339 precipitating a financial crisis in Italy and leading to the first clearly recognizable business cycle in Europe" [3] Desmond Seward writes: "Edward III...raised vast loans from Lombard bankers,...from merchants in the Netherlands, from English wool merchants, pledging either English wool or the duties on Guyennois wine as security. Almost everyone who lent him money went bankrupt." [4]

These rulers all had their problems, and some had more serious problems than others. But those who lent them money must have thought that they were good risks. If a monarch was viewed as weak, or where there was "uncertainty of succession" [5], state borrowing was close to impossible. Only a relatively strong sovereign, or at least one perceived as such, could be an indebted sovereign. Eventually borrowing would contribute -- under certain specific conditions and in certain cases -- to severe weaknesses. But there was a long period in which sovereign borrowing tended to go hand-in-hand with economic growth and state-building.

Does this little bit of history have any implications for how one views today's financial crises? Probably not. But I've had this post hanging around in draft for a long time, and I figured I might as well put it up.

Notes
1. I. Wallerstein, The Modern World-System v.1 (1974), p.138, citing M. Wolfe, "Fiscal and Economic Policy in Renaissance France," Third Int'l Conference of Economic History, Munich 1965 (Paris: Mouton, 1968).

2. D. Nexon, The Struggle for Power in Early Modern Europe (2009), p.141.

3. S. Krasner, Sovereignty: Organized Hypocrisy (1999), p.129.

4. D. Seward, The Hundred Years War (pb. ed. 1999), p.33.

5. Wallerstein, op. cit., p. 138.

No, no, no

Not that this will do any good, but ... people persist in mischaracterizing the Peace of Westphalia.

I'm skimming through a piece by Geoffrey Wheatcroft, called "Once Upon a Time in Westphalia" (ungated) in the current issue of The National Interest -- lots of nice quotations, Rev. Sydney Smith, Cobden and Bright, yes, yes, etc. Then my eye falls on a sentence which says that the Peace of Westphalia "established the principle of national sovereignty" (uh-oh) and that it also established the principle of cuius regio eius religio (whose the region, his the religion). Both statements are wrong, though the second one is perhaps a bit more excusable inasmuch as it confuses the Peace of Westphalia with the Peace of Augsburg. The first statement, about Westphalia and "national sovereignty," doesn't confuse anything with anything else; it's just wrong. There are some people who argue that Westphalia helped lay the foundations for a sovereign state system, though even this claim is debatable, but to say it "established the principle of national sovereignty," in an article full of other historical references, is not good.

May I suggest that Mr. Wheatcroft read the text of the treaties of Munster and Osnabruck (or at least the former). They're online.

Re-reading Barrington Moore

Barrington Moore's Social Origins of Dictatorship and Democracy, published in 1966, is a modern classic of historical sociology that has been assigned to generations of students. I read large parts of it in college and again in grad school, but it was not until the other day, when I had occasion to take it down from the shelf and look at the first chapter, that it fully dawned on me why the book is so famous. At the same time, I realized that the kind of social-scientific writing on display in Social Origins is an endangered species.

The first chapter, "England and the Contributions of Violence to Gradualism," shows Moore's remarkable ability to outline a centuries-spanning argument in less than 40 pages, and to do it in prose of such clarity and directness that it can be understood by virtually any interested reader. The chapter's main question is why England/Britain's route to capitalist modernity culminated in parliamentary democracy (as opposed to dictatorship of right or left) and why it took the relatively peaceful and gradualist form that it did from the eighteenth century on. Compressed into a few sentences, the basic argument runs as follows: The key social-political development in early modern England was the destruction of the peasantry. This was the result of the enclosure (i.e., the seizure for private use) of common lands by landlords and their richer tenants. The enclosures were under way in the sixteenth century but accelerated in the seventeenth century, after the Civil War severely weakened the power of the monarchy, which had served as a brake on enclosing landlords and a protection for the peasants. The destruction of the peasantry effectively removed from "the historical agenda" two possibilities: the reactionary/conservative route to capitalist modernity (as in Germany, e.g.) and the social-revolutionary route (as in Russia and China). (p.30) There's a whole lot more there, but in highly oversimplified form that is the core of the argument in the first chapter.

For the moment I'm not interested in how much validity this argument has; to be blunt, I don't care whether it's right or not, at least not here. I'm certain it's been challenged and debated many times since Social Origins was published (and indeed, several of Moore's students produced major works bearing on the themes of the book). Rather, what I want to emphasize is the lucid way the argument is presented and Moore's mastery in handling multiple strands without ever losing sight of the central thread. Moreover, I don't think this clarity is entirely accidental (it's no accident, as a Marxist would say).

Although Social Origins (SO) was published in 1966, Moore began working on it years earlier, before the so-called behavioral revolution in the social sciences became so influential that even some Marxists felt they had to wrap their writing in the language of variables and falsifiability. As Theda Skocpol observed in a critical review-essay on SO published in 1973, the book "is not organized or written in the style of a scientist trying to elaborate clearly and minutely justify a falsifiable theory of comparative modernization. It is, rather, like a giant mural painted in words, in which a man who has contemplated the modern histories of eight major nations seeks to convey in broad strokes the moral and factual discoveries that he personally has made, about the various routes to the 'world of modern industry' traveled by his 'subject' countries, about the role of landed upper classes and peasantries in the politics of that transformation, and about the consequences of each route for human freedom and societal rationality." (T. Skocpol, Review of SO, reprinted in her Social Revolutions in the Modern World [1994], p.26)

That SO is not written "in the style of a scientist" is no doubt one of the reasons I was struck so forcefully by the lucidity of the opening chapter when I looked at it the other day. My reaction, at a gut level, was something like: "My God, they're not writing like this anymore, are they?" In other words, Moore stands in contrast, it seems to me, to much of the historically-oriented social science being published today, which tends to be preoccupied with methodology, weighed down with references to 'causal mechanisms' and the like, and generally no fun to read. Perhaps that is academic 'progress'. Perhaps there has been a gain in scientific precision and cumulative knowledge. Indeed, as I have written in earlier posts, I think causal explanation is an entirely legitimate goal of social science.

Nonetheless, a growing methodological and theoretical sophistication has come at a cost. With one or two possible exceptions, I know of no work of historically-oriented social science (not history, but social science) published in the last 20 years that I could put into the hands of an intelligent, curious high school student and say: "Here, you will enjoy this and find it fascinating and your life will be changed and you will see the historical sweep of human sufferings and occasional triumphs and you will want to become a historical sociologist." No. Uh-huh. Not happening.

Well, look on the bright side: Social Origins is still in print.

P.S. (added 1/5): If you think the reference to methodological sophistication in this post is a throwaway, track down the Fall 2010 issue of the newsletter of the Am.Pol.Sci.Assn. Section for Qualitative and Multi-Method Research and look at the essays published under the heading "Symposium: Causal Mechanisms, Process Tracing, and Causal Inference."

Point counterpoint

Today's issue:

Did nationalism -- or proto-nationalist sentiment -- exist in late-medieval and early-modern Europe?


No, says Daniel Nexon:

"Early modern European politics...lacked a fundamental feature of contemporary politics: nationalism. The tight connection between nation and the state represented by the ideal of 'national self-determination' simply did not exist in dynastic agglomerations.... Local identities remained far more important than the still inchoate notions of patria or nation.... Dynasts might, often through propaganda, argue that their dynastic interests and the interests of their holdings were synonymous. Sometimes they succeeded, but there was nothing obvious about the harmony of dynastic ambitions and the interests of a kingdom or principality. As J.H. Shennan remarks, 'We should beware of misinterpreting aspects of the consolidation of princely authority in the late fifteenth and early sixteenth centuries as evidence of proto-national sentiment.' " [1]

Yes, says Norman Housley:

"...the extent to which the members of Europe's political communities felt united by national feeling in the late Middle Ages remains hotly disputed.... Bernard Guenée provided a useful analytical framework for the ways in which national sentiment developed. Nomenclature (Francia, Alemania, Polonia, and so on), a common language, a sense of geographical cohesion, shared religious traditions (above all, 'national' saints), and the consciousness of a common history, were all important motors for national feeling; while for the historian, they form indices for the strength of that feeling at any given point. Thus, for Guenée, 'the fact that neither the states nor the subjects of the duke of Burgundy had a common name was more of a threat to Charles the Bold than the policies of Louis XI'.... Guenée and others have also placed emphasis on dynastic continuity, administrative advances, a sense of resentment against privileged and intrusive foreigners, and above all the homogenizing burden of war, as contributory factors in the growth of national feelings. Some historians, including myself, believe that the result was a national sentiment of considerable vigour, which was closely bound up with the development of European statehood." [2]

-----------------------
1. Daniel H. Nexon, The Struggle for Power in Early Modern Europe (Princeton Univ. Press, 2009), pp. 94-95.

2. Norman Housley, "Pro deo et patria mori: Sanctified Patriotism in Europe, 1400-1600," in P. Contamine, ed., War and Competition Between States (Clarendon Press/Oxford Univ. Press, 2000), pp. 225-226.

Modernity, IR, and the European 16th century (Pt. 1)

N.B.: This post ends abruptly; I intend at some point to write a conclusion of sorts (hence the Part I in the title). Bracketed numbers indicate notes, which are found at the end. This will probably be my last post for this month.

How did the distinctive institutions of the modern world emerge and develop? Historians and sociologists have been chewing on that big question for a long time; the field of International Relations (IR) clearly has no monopoly on it. Still, some of the more interesting work by IR scholars in the past couple of decades has focused on this issue. Much of this work has been Eurocentric, partly because state sovereignty and the world capitalist economy have European roots. The concentration on Europe, and on the West more generally, has been criticized by writers who draw on ‘postcolonial’ scholarship. A passage from a recent article gives the flavor of this criticism:

“That the practices of states produce hierarchies – among peoples, places and states – is obvious. It is less obvious that practices of scholarship are complicit in these processes. Postcolonial scholars show how knowledge practices participate in the production and reproduction of international hierarchy. A common effect of such practices is to marginalize Third World and other subaltern points of view…. Perhaps most generally, IR often takes for granted as background knowledge, and thus truth, distinctions constitutive of sharp divides between spaces problematically referred to as the North and the South, the First and the Third World, or ‘the West and the rest’. These practices make the North Atlantic world central to world history, acknowledging only contingent connections between ‘the West’ and ‘the rest’. The former becomes the space of modernity, agency, knowledge, history, and power. The latter becomes ‘its lack, or other’. The consequences for our misunderstanding of the world are evident, for example, in analyses of the rise of the West to global dominance that overlook the significance of the non-West, of the spread of sovereignty out of Europe and across the planet that ignore the close ties between sovereignty and imperialism, and of a modernity assumed to be Western, obscuring the existence of other modernities as well as the constitutive role of colonialism in ‘Western’ modernity itself.” [1]

There is some merit to this critique. For reasons having mostly to do with the limits of my knowledge, this post focuses on “the West” and therefore opens itself to this kind of criticism. With so many Eurocentric books and articles having already contributed to “the production and reproduction of hierarchy,” however, I doubt that a blog post is going to do much additional damage in this respect.

“Feudal” and “Modern”

The notion of modernity implies, of course, a notion of pre-modernity, which in the European context means the era of medieval Christendom. The textbook picture of Latin Christendom emphasizes, indeed probably overemphasizes, its political complexity. This picture is one of overlapping authorities, often unclear jurisdictions, and “two parallel and connected hierarchies” [2]: one headed by the Pope, the other by the Holy Roman Emperor. The ideological glue that held medieval Europe together was the notion of respublica Christiana, but this idea of the unity of Christendom had to exist alongside the frequent intra-Christian warfare that characterized the Middle Ages. Thus to some extent medieval Europe was marked by “communal discourse and conflictual practices.” [3] The relation of discourse to practice, however, was not one of simple contradiction. Rather, intra-Christian warfare was seen as a regrettable affront to the way things should be, which is one reason papal mediation could at least occasionally terminate conflicts.

At what point does it make sense to begin speaking of “modern” states and “modern” rulers? The answer, not surprisingly, is unclear. The traditional dividing line in IR accounts is 1648, but that marker has been debunked in recent years, although some continue to use it and debates about the Peace of Westphalia doubtless will continue. With respect to an earlier period, Gilmore observes that the clash in the late fifteenth century between Charles the Bold of Burgundy and Louis XI of France “provided historians a specious example of dramatic contrast between the past and the future, between Charles, the representative of a dying chivalric and feudal order, and Louis, the representative of modern politics….” Actually both men, Gilmore argues, “worked within a set of conditions of which feudalism was still the basis. Both pursued a policy of territorial aggrandizement and there is small justification for awarding the title of ‘modern’ to the one who succeeded.” [4] Nonetheless, there were important structural differences between the Burgundian and the French polities, and the title of “modern” has to start being awarded at some point: if not to Louis XI, then perhaps to his sixteenth-century successors Francis I and Henry II. Anyway, a sharp divide between “feudal” and “modern” is misleading. Some “feudal” assumptions and institutions survived into the eighteenth and even nineteenth centuries, and the Holy Roman Empire did not formally go out of existence until 1806. [4a]

The Sixteenth Century

That the sixteenth century was an especially important, indeed crucial, period in the history of the West (and of the world) seems true whether the era is defined conventionally (say, 1500-1618) or as what Braudel and Wallerstein call the “long sixteenth century” (c.1450-c.1640). The following remarks are organized under the headings of politics, economics, and the legitimation of authority. The first two headings cover pretty familiar ground, while the third goes down slightly less well-worn paths, at least for IR types.

Politics: In the sixteenth century a new political form, namely the sovereign territorial state, finally emerged from the womb after a long gestation. As Tilly and Spruyt among others have noted, the flourishing of this form was not inevitable but the result of a complicated mixture and interplay of forces (sociopolitical and economic). [5] Some historians describe the emergent states of the sixteenth century as “composite" states – polities made up of parts having different social, legal, and sometimes religious characteristics, and held together by the person of the ruler. Recognizing that most polities were composites to one degree or another, however, should not obscure the differences between, say, France, which was an embryonic sovereign territorial state, and the Holy Roman Empire, which was not. [Note added 4/09: For more on composite states and a different view from that expressed in the preceding sentence, see Daniel Nexon, The Struggle for Power in Early Modern Europe, Princeton U.P., 2009.]

Religious conflicts were the most obvious cleavages of the period, but not the only ones, and conflicts that seemed religious were sometimes so only on the surface. Adding to the confusion was the fact that the same polity could have different official religions within a short time span. From the 1530s to the 1560s, England went from Protestantism to Catholicism to Protestantism again, with each change bringing persecution. For those who took doctrine seriously, such “shifts in official belief and regulated practice must have been excruciating,” dividing communities and families and, sometimes, an individual psyche. [6] State policy could and did veer from toleration to intolerance and back again, as monarchs sought to harness “the passion unleashed by doctrinal conflict…for their own ends.” [7]

Economics: The period witnessed the development of a Europe-wide economy, a “world-economy” in Wallerstein’s phrase, tied together by a division of labor and patterns of exchange. Trade fueled the growth of a banking and credit system, and in Kennedy’s words, “the very existence of mercantile credit, and then of bills of insurance, pointed to a basic predictability of economic conditions which private traders had hitherto rarely, if ever, enjoyed anywhere in the world.” [8] As major customers of merchants and bankers, the emergent states played important roles in the Europe-wide economy’s functioning. [9] Thus, political fragmentation, sustained by (among other things) the fact that most polities were able to produce or to buy the latest military technologies [10], went hand in hand with economic vitality. Territorial consolidation occurred, but not on such a scale as to threaten to replace multiple units with one big entity. In this sense, the geopolitical storyline of the period is “the failure of empire” [11], which enabled the growth of the Europe-wide economy. (Of course, extraction of bullion, sugar, etc. from colonies in the Americas and elsewhere also made this to some extent an extra-European economy.)

The human cost of economic change, both in Europe and beyond, was considerable. In England for instance, rural dislocation “set thousands of beggars wandering the roads” and pushed other people “into the cities and boroughs where they were newly subject to the calamities of depression and urban unemployment.” [12] Crime increased; the suburbs of London were “no other but dark dens for adulterers, thieves, murderers and every mischief worker,” one observer wrote in 1591. [13] Famines and epidemics were regular occurrences.

Legitimation of authority: As Reus-Smit observes, “Legitimacy…is the necessary prerequisite for stable political authority, and investing European monarchs with supreme political authority was, in essence, a process of legitimation.” [14]

In this connection, consider two of the peaks of sixteenth-century literary achievement: Machiavelli’s The Prince (written 1513, published 1532), and the works of Shakespeare (b.1564-d.1616). Close observers of political power and how it is acquired and wielded, Machiavelli and Shakespeare both treat politics as basically a secular realm, with its own set of rules. One scholar remarks that Shakespeare is “the only dramatist who rises to the level of Machiavelli in elaborating all the consequences of the separation of political praxis from moral evaluation.” [15] Another observes that the plays Henry IV (Pts. 1 and 2) and Henry V “confirm the Machiavellian hypothesis that princely power originates in force and fraud even as they draw their audiences toward an acceptance of that power.” [16]

Both Machiavelli and Shakespeare saw that, in an age when rulers had to embody and attempt to unify diverse, “composite” realms, the tools of display and theatricality were central to the legitimation of authority. Machiavelli advised rulers to “keep the people entertained with feasts and spectacles” at “appropriate times of the year.” [17] More importantly, he wrote: “What will make [a ruler] despised is being considered inconstant, frivolous, effeminate, pusillanimous and irresolute: a ruler must avoid contempt as if it were a reef. He should contrive that his actions should display grandeur, courage, seriousness and strength….” [18] Note that “grandeur,” the quality with the strongest link to theatricality, is listed first.

At age eleven, Shakespeare might have seen and been struck by the pomp and display surrounding Elizabeth I on one of her spectacular royal “progresses” through the realm (specifically her 1575 visit to the castle of her favorite the Earl of Leicester). As Greenblatt writes, Elizabeth was “the supreme mistress of these occasions, at once thrilling and terrifying those who encountered her,” and if the young Shakespeare had caught a glimpse of her on this occasion, “arrayed in one of her famously elaborate dresses, carried in a litter on the shoulders of guards specially picked for their good looks, accompanied by her gorgeously arrayed courtiers, he would in effect have witnessed the greatest theatrical spectacle of the age.” [19] Elizabeth was not the only monarch who traveled all over a realm; for example, the young king of France, Charles IX, accompanied by his mother Catherine de Medici and a huge entourage, began a long “tour of France” in 1564 [20] -- the year, incidentally, of Shakespeare’s birth.

Shakespeare’s grasp of the charismatic, theatrical aspects of authority is memorably expressed, among other places, in Henry IV’s rebuke of Prince Hal (1 Henry IV III.ii), in which the father upbraids his son for keeping bad company and becoming too familiar with his future subjects. The trick, Hal is told, is to keep a certain distance and interact with the crowd mainly on well-scripted ceremonial occasions: “Thus did I keep my person fresh and new,/ My presence, like a robe pontifical,/ Ne’er seen but wond’red at; and so my state [i.e. pomp],/ Seldom but sumptuous, showed like a feast/ And won by rareness such solemnity.” For both Shakespeare (at least in these lines) and Machiavelli, too much familiarity with one’s subjects diminishes the ruler’s aura of specialness and separateness, and once that goes, the prince becomes easier prey for domestic conspirators. Ceremony and spectacle help preserve distance and inspire awe; theatricality was thus bound up with the creation and maintenance of legitimate authority.

This authority, however, was fragile, and monarchs’ difficulty in getting their decisions implemented was a source of anxiety for them. One response was to micromanage (as we would now put it), which is basically what Philip II of Spain did. Philip faced nearly insuperable problems in trying to deal with a large empire, but his style of rule probably made the problems even more intractable than they otherwise would have been. Rulers who were more willing to delegate generally fared somewhat better.

Notes

Dates and places of publication have been omitted.

1. M. Laffey and J. Weldes, “Decolonizing the Cuban Missile Crisis,” International Studies Quarterly 52:3, pp. 555-577 (quotations from pp. 556, 558).

2. R. Jackson and G. Sørensen, Introduction to International Relations, 2/e, p.13.

3. M. Fischer, “Feudal Europe, 800-1300: Communal Discourse and Conflictual Practices,” International Organization 46:2, pp. 427-466.

4. M. Gilmore, The World of Humanism 1453-1517, p. 81.

4a. In The International Political System, F.S. Northedge dealt with the issue of dating the modern state system's origin by splitting the question in two: he placed the emergence of "the secular principle," i.e. reason of state, in the sixteenth century, and "the fragmentation principle," i.e. the waning of allegiance to a united Christendom, "perhaps as late as the beginning of the nineteenth century." (p. 55)

5. C. Tilly, Coercion, Capital, and European States; H. Spruyt, The Sovereign State and Its Competitors.

6. S. Greenblatt, Will in the World: How Shakespeare Became Shakespeare, p. 94.

7. A. Marx, Faith in Nation, p. 27.

8. P. Kennedy, The Rise and Fall of the Great Powers, p.19 (italics omitted).

9. I. Wallerstein, The Modern World-System vol.1, p.133.

10. Kennedy, Rise and Fall of the Great Powers, pp. 21-22.

11. Wallerstein, Modern World-System I, ch. 4.

12. M. Walzer, The Revolution of the Saints, p. 201.

13. Ibid.

14. C. Reus-Smit, The Moral Purpose of the State, p. 93.

15. F. Moretti, quoted in S. Greenblatt, Shakespearean Negotiations, p. 23.

16. Greenblatt, Shakespearean Negotiations, p. 65.

17. N. Machiavelli, The Prince (Q. Skinner and R. Price, eds.), ch. 21.

18. Ibid., ch. 19. A different translator (Mansfield) renders this as “greatness, spiritedness, gravity, and strength,” a third (Ricci) as “grandeur, spirit, gravity, and fortitude.”

19. Greenblatt, Will in the World, pp. 42, 45-46.

20. E. Le Roy Ladurie, The Royal French State 1460-1610, pp. 177-180; J. Boutier et al., Un tour de France royal: Le voyage de Charles IX (1564-1566); J.E. Neale, The Age of Catherine de Medici.