History, Literature, Politics

Book Review: Origins of Totalitarianism Part 1

[Content Warning: Discussions of genocide and antisemitism]

Hannah Arendt’s massive study of totalitarianism, The Origins of Totalitarianism, is (at the time of writing), the fourth most popular political theory book on Amazon (after two editions of The Prince, Plato’s Republic, and a Rebecca Solnit book). It’s also a densely written tome, not unsuitable for defending oneself from wild animals. Many of its paragraphs could productively be turned into whole books of their own.

I’m not done it yet. But a review and summary of the whole thing would be far too large for a single blog post. Therefore, I’m going to review its three main sections as I finish them. Hannah Arendt’s Eichmann in Jerusalem set my mind afire and spurred my very first essay on political theory, so I’m very excited to be reviewing the section on antisemitism today.

(Reminder: unless I’m specifically claiming a viewpoint as my own, I am merely summarizing Arendt’s views as I best understand them)

Arendt’s history of antisemitism begins when religious pogroms against Jews ended. Arendt isn’t really interested in this earlier persecution, which she views as entirely distinct from later antisemitism. As far as I can tell, there are two reasons that underlie this distinction. The first is the lack of a political component to the earlier pogroms. Their lack of politicization – there was no one in Christendom who really spoke against them – made them almost by definition politically useless.

For antisemitism to become a rallying cry for a movement, it needed to be more than just antisemitism. It had to also implicate a whole host of people despised by the mob, people who could be expected to stand up against antisemitism, or people who could be compared to Jews so as to focus hatred on them (a practice which continues to this day). The unanimity of the Christian pogroms robbed them of any usage in power struggles between Christians, because any Christian could take up the banner of the pogroms and so divide support for their rivals.

Second, there was always one escape from the Christian pogroms: conversion to Christianity. This escape was notably lacking from later, political antisemitism. Jewishness became a racial stain carried down through the generations, not merely a different religion.

Nowhere is this distinction better seen than between the Vichy government and the occupying Germans. The Germans would ask the Vichy regime to exterminate Jews. And the Vichy government would wipe out foreign Jews, or Jews that didn’t have French citizenship, or Jews that weren’t willing to convert. The French were still somewhat in the old Christian mindset of “good” Jews and “bad” Jews. The Germans wished to exterminate all Jews and made no distinctions between good and bad.

Arendt analyzes this second distinction through the lens of vice and crime. To Arendt, a vice is a crime which has become accepted as inextricably linked to certain people, such that they cannot help but commit it. She describes this as similar to an addict being hooked on drugs.

When you accept that certain people have vices, you may excuse them some of their crimes. According to Arendt, in late 19th century/early 20th century society, a judge would face no opposition to giving a lighter sentence for murder to a gay man, or a lighter sentence for treason to a Jew, because these crimes were viewed to be a matter of racial predestination.

(This definition of vice cuts towards one of my most common annoyances with Arendt: she’s very prone to redefining common words to mean other things. This can leave incautious readers to jump to rather the wrong conclusion, as happened most famously with her definition of “think” in Eichmann in Jerusalem.)

The danger that Arendt identifies here is that this “tolerance” for murder or treason can be quickly reversed. And when this happens, it isn’t enough just to punish the traitors or murderers. Everyone who is racially or dispositionally inclined to these crimes must then be “liquidated”.

Hannah Arendt’s exact phrasing of the threat here is:

It is an attraction to murder and treason which hides behind such perverted tolerance, for in a moment it can switch to a decision to liquidate not only all actual criminals but all who are “racially” predestined to commit certain crimes. Such changes take place whenever the legal and political machine is not separated from society so that social standards can penetrate into it and become political and legal rules. The seeming broad-mindedness that equates crime and vice, if allowed to establish its own code of law, will invariably prove more cruel and inhuman than laws, no matter how severe, which respect and recognize man’s independent responsibility for his behavior.

Having separated modern antisemitism from earlier religious pogroms, Arendt also spends some time separating nationalism from totalitarianism. Nationalism, to Arendt, is always inward focused. It views one’s own nation as best and spurns contact with outsiders. Nationalism may be paranoid and bellicose, but it has no desire to expand, nor any desire to coordinate with foreign nationalists. Totalitarianism, on the other hand, is always focused outwards, its eyes set on world domination.

There were, of course, international organizations of both fascists and communists, the two totalitarian ideologies. But I wonder how nations like North Korea (with no real plausible path to world domination) and Eritrea (which as far as I know is entirely inward focused) fit into this framework. Both are definitely totalitarian, but they seem to falsify this important criterion. I’ll look for more on how to parse those countries when I get to the third and final part of this book, which covers totalitarianism itself.

Let’s pause for a second and ask why a book on totalitarianism is focused so much on antisemitism. One of the most enduring questions of 20th century history is “why were the Jews Hitler’s victims?” Why was this people singled out for destruction and not some other? Was it arbitrary? While Hannah Arendt may have some hindsight bias here, to her the attempt at extermination of the Jews was inevitable in light of the international focus of totalitarian ideologies and the international relationships of European Jews.

While banking may have become less and less Jewish dominated over the course of the 18th and 19th centuries, European Jews (at least the best off) still had an international bent. Arendt relates an anecdote about the end of the Franco-Prussian war in 1871; apparently Bismarck’s approach to terms was basically ‘have their Jews work it out with our Jews’ and she says that this generalizes to the how other treaties were made at the time.

This international network of leading Jews [1] meant that an antisemitic ideology had to frame itself in international terms to attack Jews, or that an ideology could explain its international bent by attacking Jews. Therefore, by virtue of being a people without a nation (who instead lived in all European nations), European Jews became an excellent justification for an international and expansionist totalitarian power.

I think these rumours of international control were a cruel double bind for the Jewish people: any successful quashing of the rumours of Jewish domination would have just served as proof for the next round, while the failure to quash them, brought about by a very real lack of power, meant that they flourished, despite the fact that their continued existence should have itself been all that was required to prove them false.

The view of Jews as international and of one mind was fueled by the clannishness that came about as a natural result of the social discrimination Jews faced in European society. Anti-Semites could imagine that Jewish endogamy meant that all Jews were of one family and therefore had a single goal, which was normally considered to be “world domination”. If even one member of this global clan was left alive, then the anti-Semites believed that they would have failed.

Antisemitism was a useful tool for whipping up the mob because in early modern times, Jews were despised. Arendt again separates this from the earlier religious hatred and attributes it to Jews losing their old formal position (as the state bankers) but not their “privileges” [2] or (at least as far as visible Jews, like the Rothschilds were concerned) their wealth. This loss of formal position, but not the wealth it brought, is identified by Arendt as a particularly vulnerable and despised state – it is, she claims, the state the French aristocracy found themselves in before the revolution. Arendt even claims that no one hated the aristocracy so much when they were fulfilling the societal function of oppressing peasants, although I wonder if it might instead be possible that they were then just as (or more hated), but possessed a surer monopoly on violence and discourse, such that the earlier hate was better hidden.

Arendt believes that all of these fault lines were compounded by several strategies that were undertaken by Jews, strategies that had served them well in the old days of forced conversions, but that were extremely maladaptive when faced with modern antisemitism.

First, Arendt reckoned that Jews had a special relationship with the state. They had formerly served the state (not the body politic, mind you, but the state) as its bankers, finding the capital it needed to wage its wars and build its monuments. In exchange for this service, the bankers had won special privileges for themselves (although note that these privileges were lesser than those afforded to Christians who served the state as e.g. knights) and some modicum of protection by the state for their coreligionists.

(Because of this requirement for paternalistic protection, any loss of central power for a state was almost always a disaster for Jews; petty warlords certainly did need their moneylending services, but they were much less adept at providing protection in return.)

Arendt reckons that this may have made the Jews of Europe doubly despised, first via the general Christian antipathy that was dominant at the time and second because it meant that any who had reason to hate the state would also hate the Jews, because of their highly visible relationship with it.

That the state had mostly upheld its end of the bargain in this deal led to the second strategy that backfired: the Jews were complacent with mere legal rights, despite their despised status. They thought that legal rights could save them from any of the consequences of being despised [3]. In the modern era, the strength of this purely legal protection was first put to test in France, when the Dreyfus Affair erupted.

Captain Alfred Dreyfus was a French Jew who was wrongly convicted of treason in 1894. In 1896, new evidence came to light that showed he was innocent. The military suppressed this evidence and trumped up new charges against Dreyfus, but word leaked out and a scandal was quickly born.

It is said that while the affair was ongoing, nearly everyone in Europe had an opinion on it. Nominally, the Dreyfusards believed Dreyfus was innocent, while the anti-Dreyfusards believed he was guilty, but both positions quickly gained several ancillary beliefs. Dreyfusards became noted for their anti-clerical positions – including that “secret Rome” controlled much of global affairs [4]. The anti-Dreyfusards became authoritarian, nationalistic, and fiercely anti-Semitic. They believed that “secret Judah” controlled everything.

I want to stress how little importance people ended up putting on Dreyfus. La Croix, a Catholic newspaper at one point stated: “it is no longer a question whether Dreyfus is innocent or guilty but only of who will win, the friends of the army or its foes” [5]. It is impossible to explain how the discredited trial of a single military officer could lead to jack-booted thugs attacking intellectuals and crying for “death to the Jews!” without the understanding of the usefulness of antisemitism for whipping up the mob that this book engenders.

“The mob”, as distinct from “the people” is one of the key concepts in Origins of Totalitarianism. It’s Arendt’s most important example of the type of politics she despises and she returns to it again and again. She describes the mob as the “déclassé” and the “residue of all classes”; the mob are those people who are excluded from civil and economic opportunities by virtue of their education (or lack thereof), disposition, personality, or airs, and deeply resent this exclusion, to the point where they wish to destroy the society that excluded them.

Arendt claims that the representation of all classes within the mob makes it easy to mistake the mob as representative of the people in general. Since this argument can be used to disenfranchise basically any group seeking rights, Arendt suggests that the key difference between a mob and a genuine movement lies in what sort of demands the group makes. The people will demand to have their voices heard in government. The mob will demand a strong leader to fix everything (by ripping apart the society that has excluded them). In the case of the anti-Dreyfusards, these strong leaders enjoyed a symbiotic relationship with the mob; they were all recovering esthetics and nihilists and saw in the mob a “primitive and virile strength”, something they found admirable and exhilarating.

Remember that there already was a perception that the Jews secretly controlled everything and that this theory was politically useful because it justified an international ideology and allowed for a polarization of society around attacking a hated other. With respect to the mob, Arendt gives a third reason why this sort of conspiracy theory might be useful as a rallying cry: it helps explain why the déclassé of the mob have been cast out of and abandoned by society. It is much easier for them to believe that there is some worldwide conspiracy then that there is some fault of their own.

(I trust that anyone reading this in 2018 sees why I found Arendt’s description of the mob so frightening. In the margin of the passage where she introduces the mob, I have written “MAGA voters?”)

Against the mob (and its steadily escalating violence) stood Clemenceau (then a journalist), Émile Zola, and a small cadre of liberal and radical intellectuals and their supporters. Arendt says that what made their position unique is their support for purely abstract concepts, like justice. If the rallying call of the mob was “Death to the Jews”, then it seems as if the rallying call of those arrayed against it was fiat justitia ruat caelum, or perhaps the old battle-cry of the French First Republic: liberté, égalité, fraternité.

Ultimately, the appeals of the intellectuals convinced the socialists, if not in the primacy of justice, then that their class interests were served by marching against the anti-Dreyfusards. And so the workers took to the streets and the campaign of terror of the mob was ended.

There was of course rather a large difference between ending open violent antisemitism and actually acquitting Dreyfus. Here the good and great of French society, the delegates of the representative assembly, were barely split: all but one opposed a retrial. The fight around a retrial was to simmer (largely outside of the chambers of government) for three years, between 1897 and 1900. During this time, Dreyfusards used the courts and the press to try and sway public opinion and force the manner, while the anti-Dreyfusards, the Catholic priests, and the army tried to launch a coup d’état (though Arendt mocks that whole endeavour to the point where I think they never got very close to actually seizing power).

Notable were the reactions of Jews outside of Dreyfus’s immediate family to the case. Arendt contends that they made such a deal of legal equality, that they believed that if Dreyfus had been found guilty in a court of law, he must be guilty or that if the verdict was false, it was just a legal error, not an attack against them as a people. Arendt is obviously speaking with the benefit of hindsight here; I wonder how obvious any of this could have been to a people used to discrimination, both social and official.

There was a passage here that felt particularly relevant even now. Arendt suggests that society at the time saw every Jew, however penniless as a potential Rothschild (and therefore unworthy of any protection or “special treatment”). Clemenceau, she says, was one of the few true friends the Jews had because he saw them, all of them, even the Rothschilds with their vast fortune, as members of one of Europe’s oppressed people. To this day, despite the Holocaust, the Jew quotas, the cries of “none is too many” by now-dead bureaucrats or “the Jews will not replace us” by a tiki-torch wielding mob today, and the high rate of antisemitic hate crime, it is hard to find many people who will stand up and say that Jews face systematic prejudice and oppression.

The end of the affair reversed Marx’s famous maxim of history, in that it was the farce that presaged tragedy. Appeals to justice failed. The popular hatred of the aristocracy and the bourgeoisie failed. Zola and Clemenceau’s appeals all failed. But a threatened boycott of the Paris Exposition of 1900 succeeded. The anti-Dreyfusard government was censured, and Dreyfus was pardoned [6].

It was only much later, via an illegal retrial, that an exoneration was achieved.

The fallout of the trials was far reaching. Rights for Catholics, including Catholic schools, were curtailed. Arendt bitterly remarks that this was a failure of politics; instead of the simple republican principle of equality for all, there was “one exception for Jews, and another which threatened the freedom of conscience for Catholics”.

The trial of Dreyfus occupies more space than any other single incident in the volume on antisemitism. It allows Arendt to introduce the idea of “the mob” and the conspiracy (here Jewish domination) that motivates it. But its centrality is mostly, I think, because Arendt views it as the only harbinger of what was to come; the first incident of true violent antisemitism (remember, Arendt views this as in a separate class from the ubiquitous Christian Jew hatred which characterized pre-modern Europe), as opposed to the “mere” social discrimination Jews faced in European society.

I was shocked by how modern this social discrimination was. Jews were consistently exoticized (some of which must have come from fascination with their “vice”, as Arendt defined it). She recounts a review of a Jewish poet from the 19th century, that laments at the normality of the poetry (the reviewer expected something other from normal human poetry).

This exoticism was both a social curse and a key. It was a curse in that it always set Jews apart and that the spectre of social discrimination, of being so exotic that one became the other, was always present. It was a key in that for certain “exceptional” Jews, Jews that society agreed “weren’t like the others”, the fact of their exception could lead to social climbing. These “exceptional” Jews were alternatively welcomed by, showed off almost like exhibits, or excluded by high society, depending on their rarity, their own merits, and the strength of antisemitic sentiments.

As Jews became more normalized in European society, it became harder and harder to be the exception, while the shadow of social discrimination never lifted. Therefore, increasing normalization led to less acceptance in society, not more. Arendt disagrees with the (she claims) commonly held notion that it was primarily Christian antipathy that kept Jewish communities from dispersion and assimilation in the Middle Ages, but thinks that social discrimination became an important limit on dispersion just as assimilation became possible.

This made me wonder about the nature of assimilation and safety. It’s certainly true that the Irish in America are now obviously safe beyond the reach of any Know-Nothing. But it’s clear that they had to give up something to attain that safety. For assimilated Irish (or assimilated Scots or Germans, the stock of my family), there is little of the old culture and none of the old language left.

The central political question of a multi-ethnic democracy might be “how can we ensure safety, without the need for total assimilation?” And certainly, I do not wish to suggest that assimilation is the surest of safeties. It did not save the assimilated German Jews. I wonder if there is in fact a critically dangerous period during very act of assimilation, where a people is vulnerable and dispersed just as social backlash against their increasing rights reaches a fever pitch.

Here, Arendt has no answers for me.

There might be those who question whether reading about antisemitism from Hannah Arendt is like letting the fox guard the chicken coup; One of the most enduring controversies of Hannah Arendt’s life was her alleged antisemitism. Her romance with the noted philosopher and Nazi Heidegger (although note that their relationship preceded his conversion to Nazism and she did not have contact with him while he was a Nazi), her criticism of Jewish leaders in her coverage of the Eichmann trial, and her criticism of historical Jewish attempts to find safety in this section of The Origins of Totalitarianism are the evidence most often given in support of her supposed “self-hating” nature (as she was herself a Jew, and moreover a German Jew who fled the Nazis).

I think it is certainly true that she was an often-harsh critic of some things that Jews had done and that she wrote perhaps unfairly and with the benefit of hindsight. I think it is also undeniable that she was biased against certain Jews (her cringe-worthy and horribly racist description of Ostjuden and middle-eastern Jews opens Eichmann in Jerusalem).

But I think the evidence for her “antisemitism” is often overstated and mainly comes from misreading her works; I mentioned above just how careful a reader must be if they don’t want to be tripped up by her redefinitions of common words. The criticism that she “defended” Eichmann as “just following orders” and not really culpable can be dispelled simply by reading Eichmann in Jerusalem, a book which ends with her calling for his death and features a section where she systematically dismantles the argument he was just following orders [7].

On the other side of the equation, we have her pioneering work on antisemitism which is fiercely critical of anti-Semites and all who enabled them, her work to resettle Jews in Israel, her work in Eichmann in Jerusalem systematically documenting the extent of the Holocaust, and her fierce and rousing defense of the holocaust as a crime against humanity perpetrated on the body of the Jewish people (from her biopic: “because Jews are human, the very status the Nazis tried to deny them”).

Arendt had standards that were impossibly high and I think she held Jews to higher standards than any other group. She may have been secular, but I think she also still believed that the Jews were God’s chosen people, chosen to be a light among the nations. When others said “we must not judge that, we were not there” about the Jewish leaders and their actions during the Holocaust, Arendt built a system of political theory around the act of judgement, a theory she thought that would be inimical to tyrants and Nazis.

She was assuredly arrogant. She assuredly burned bridges. A set of lecture notes she once prepared said:

For conscience to work: either a very strong religious belief—extremely rare. Or: pride, even arrogance. If you say to yourself in such matters: who am I to judge?—you are already lost.”

There is very little positive said in Part 1 of The Origins of Totalitarianism, which is to say that it doesn’t give us very much idea of what we can do to prevent totalitarianism and barbarism. But if we could ask Hannah Arendt, the great political theorist of the 20th century, the lost child of the French Revolution, she might say something like: “find your principles and stick to them; think about what is the right thing and do it; defend liberty always.”

Or, if I can for a second steal the speech her biopic puts in her mouth:

Since Socrates and Plato, we usually call thinking to be engaged in that silent dialogue between me and myself. In refusing to be a person Eichmann utterly surrendered that single most defining human quality: that of being able to think. And consequently, he was no longer capable of making moral judgements. This inability to think created the possibility for many ordinary men to commit evil deeds on a gigantic scale, the likes of which have never been seen before.

It is true, I have considered these questions in a philosophical way. The manifestation of the wind of thought is not knowledge, but the ability to tell right from wrong, beautiful from ugly. And I hope that thinking gives people the strength to prevent catastrophes in these rare moments when the chips are down.

Increasingly, it seems like this might be one of those moments where the chips could be down. I shivered when I read some of Arendt’s descriptions of the mob, because I knew it wasn’t a hypothetical. I’ve seen it, on social media and at rallies. With tiki-torches and with weapons, I have seen the mob. And I hope reading this book and others like it and thinking will give me the strength to act to prevent catastrophe if I am ever so unlucky to have to.

Footnotes:

[1] I want to make it clear that Hannah Arendt (and I) don’t believe the old canard about Jews controlling the world. She specifically mentions this lie being baffling, because when it was started, it was true that a rather small group of European statesmen essentially did control the world. But none of those statesmen were Jewish and all of them were so at cross-purposes that no coordination occurred.

When Arendt talks about internationalism in the European Jewish community, she is simply saying that there were many ties of family and friendship among Jews of different countries, which meant that privileged Jews were more likely to have close associates in countries other than the one in which they resided, even compared to similarly privileged gentiles. ^

[2] “Privileges” here being “were treated the same as gentiles and weren’t discriminated against legally”. I am reminded forcefully of David Schraub’s excellent essay about the recent tendency to equate the Holocaust and occupation of the west bank. I think Arendt unearths reasonable evidence for the claim David makes, that “gentiles believed that superiority over Jews was part of the deal that they were always offered”, such that loss of that superiority feels like a special privilege for Jews. ^

[3] Given that Christian and secular hatred of Jews was without reason, it’s unclear what they could have done to be less despised. ^

[4] There have been several times in history when its looked like conspiracies against Catholics would reach the same fever pitch as those against Jews, but this has never quite materialized. Catholics in North America are still more likely to face hate crimes than other Christian denominations, but the number and severity of these crimes pale in comparison to the crimes conducted against Jews.

Even if the internationalism of the Catholic Church and its occasional use of the confessional for political gain (although the latter has not been seen in recent times), make it an appealing target for conspiracy theories, it offers much less in terms of racial theories. In Germany at least, racial theories would have been much less effective if the target was Catholicism, since essentially all Germans had been Catholic before the reformation and associated wars of religion. That said, Christianity arose from Judaism, so I’m not sure if the targeting of Jews rather than Catholics can be explained by religious lineage alone. ^

[5] How’s this for a case study on politicization, or a toxoplasma of rage? ^

[6] Zola hated the pardon. He said all it accomplished was “to lump together in a single stinking pardon men of honour with the hoodlums”. ^

[7] This was very important to Arendt, because she needed to show the totality of moral collapse in “respectable” German society in order to prove her point about the banality of evil. She recounts that Eichmann actually ignored Himmler’s orders to stop killing Jews, because within the context of the third Reich, they were unlawful orders that went against the values of the state. She then goes on to present distressing evidence about just how far this moral rot extended and just how easy it was for Hitler to cultivate it. ^

Advice

An Apology is a Surrender

[Content Warning: Discussion of the men who have recently been implicated in sexual harassment and assault]

Why do so many people undermine their apologies with defensiveness?

When celebrity chef Mario Batali apologized for sexually harassing his employees, he included a link to a recipe at the end of the email.

This fits into the pattern we’ve seen in many of the recently named abusers. When (if) they apologize, they’re sure to lace it with a few face saving measures:

  • “[I apologize if I’ve hurt anyone], but I remember the incident differently” (Al Franken)
  • “[It’s] not reflective of who I am.” (Dustin Hoffman)
  • “I appreciate the way I’ve behaved with colleagues in the past has caused a lot of pain, and I sincerely apologize for it”, followed by “Any allegations of non-consensual sex are unequivocally denied by Mr. Weinstein. Mr. Weinstein has further confirmed that there were never any acts of retaliation against any women for refusing his advances” via a spokesperson. (Harvey Weinstein)

Amazingly, and for the first time I can remember, (most) people aren’t buying it.

Ignoring most of these apologies is almost certainly the correct response. In fact, I wouldn’t even call them apologies. An apology is a surrender. These statements are rearguards.

What I mean is: as long as you’re defending yourself, you aren’t internalizing the consequences of your actions. For as long as you keep fighting, you get to keep believing that maybe consequences won’t materialize. Maybe you’ll say the right thing; maybe the consequences will disappear.

An apology accepts consequences.

Imagine yourself arguing with someone you’ve hurt. Imagine the wiggle words and excuses you might use. Imagine the fear you feel, the fear of failure, or the fear of hurting someone you love. Imagine how easy it is to give into that fear. Imagine how hard it is to ignore it, to be quiet, to listen when someone tells you that you’ve hurt them.

Doing that, despite the voice inside you telling you to fight, telling you to try and get away clean, that’s scary; that’s difficult. That’s a surrender.

(This is probably a good place to mention the law of equal and opposite advice; some people reading this probably need to surrender more and some people probably need to surrender less. This advice is aimed at the people who need to surrender more. Hopefully you know who you are? If you need to surrender less and you’ve wasted time reading this, sorry. Have some photos of a delightful owl/dog friendship as recompense.)


Of course, surrendering is just the first step. It’s best if you back it up with something of substance. My four-step algorithm for a proper surrender-apology goes:

1. How did I hurt them?

Sometimes people will tell you straight up how you hurt them. Others won’t. And when you’re proactively apologizing, you may know that you did something likely to hurt someone, but not exactly how you hurt them.

To figure out how you hurt someone, consult your mental model of them. Try and remember what makes them sad or insecure. How did your action intersect with that? Don’t assume they’ll be hurt in the same way as you would. Let’s say you played a prank on a co-worker involving paint that ruined their outfit and made them really mad. You might be mad if someone played a similar prank on you because of the ruined clothes. But maybe they’re mad because they’re quiet and anxious and you put them on the spot in an embarrassing situation in front of a lot of people. If that was the case, the clothes might barely even register for them. Therefore, it’s best if you don’t focus your apology on the clothes, but on the embarrassment.

If you don’t know how you hurt someone, or you want to check if you guessed correctly, you can ask:

  • Did <my action X> make you feel <Y>?
  • It seems like <my action X> made you really sad. Can you help me understand how I hurt you?
  • I suspect you might be feeling <Y>, is that correct?
  • If someone did <my action X> to me, I’d be feeling <Y>. Is that what you feel right now?

When asking these questions, be careful to keep your tone neutral and not accusatory and to back off if whoever you’re apologizing to doesn’t seem keen on answering. Also note that there’s always some risk in asking questions; some people believe that you should just know how you hurt them. I don’t endorse this as a social norm, but I understand where the feeling comes from and want to make note of it.

2. Validate and Apologize

Here’s a good script for the start of an apology:

“I am really sorry that I did X. It seems like the kind of thing that would make you feel Y, which makes a lot sense. It’s crappy that I did that to you. You are an important person in my life and I want to work to avoid doing this again.”

Being able to articulate how you hurt someone shows empathy. It also shows that you aren’t horribly self-centred. The focus is on their pain, not your need to have an apology accepted.

Above all other things, avoid the passive voice here. There’s no point being sorry that someone “was hurt”. Nothing says “I am apologizing only because it socially expected” like the passive voice.

Notice also that this script validates what the person is feeling. It proactively assures them that there isn’t something wrong with them for feeling hurt. It makes it clear that their response is reasonable, expected, and that you’re the one who did something wrong.

This is one opportunity to surrender. It is excruciatingly difficult to accept full responsibility for your actions without giving any excuses. But it’s important that you do that first. It shows how serious you are and really helps to validate the emotions of the person you’re apologizing to.

3. (If desired) Explain yourself

After you’ve made a mistake, people often want to be assured that you are a fundamentally reasonable person who doesn’t go around hurting friends for fun. If someone asks you “why?”, you should be prepared to explain yourself.

I think it is best to be brutally honest here, which means you first have to be prepared to be brutally honest with yourself. “I just don’t know what came over me” is a comforting excuse; it implies that this was sudden, incomprehensible, and unlikely to happen again – so don’t allow yourself to believe it! Cop-outs like that allow you to avoid your failings. In almost all cases, “I just don’t know what came over me” (or its ilk) can be replaced with something like:

  • “Our relationship made me feel undesirable and they made me feel sexy again”
  • “I thought it would be fun and that I could convince you to feel okay about it later”
  • “I was so fixated on how funny it would be that I didn’t want to think about whether it was right or wrong”
  • “I’m so used to doing things for other people. I thought ‘fuck it, I’m going to do this just for me'”

Here you must surrender any belief you have that what you did “just happened”. There’s almost certainly a reason for it and the reason is probably uncomfortable – and probably points to some other problem with you or your relationship.

I have a bad habit of leaving this step out, even when asked. Part of this is that I’m personally against excusing myself and part of this is that being “against excuses” is a great cop-out when you aren’t very proud of your actual reasons. But I’m trying to get better, because I think people do find it discomfiting to have their request for explanation ignored.

Apologies aren’t magic. Sometimes even the most sincere and heartfelt apology won’t change someone’s mind if they’ve decided they don’t want to be around you anymore. If that’s the case, take your leave as gracefully as you can and try and figure out how you can do better in similar situations in the future. A sincere apology definitionally cannot be contingent on getting something in return.

4. (If desired) Discuss how to avoid this in the future

This is another step that it’s tempting to jump to, perhaps before you’ve even finished apologizing. It’s nice to believe that if you convince someone that you’ll avoid something in the future, you don’t really have to apologize for it now. This is part of the fast-talking school of apology, where you overwhelm someone with excuses, plans for the future, and rushed sorries so that you don’t ever have to surrender, admit you’re in the wrong, or fundamentally change anything about yourself.

Instead of rushing into this, you should wait until the person you’re apologizing to has had time to digest your apology and thought about what they want. Maybe they don’t want to talk about it at all. Maybe they have specific things they want from you and don’t want to feel like they’re fighting against your plans for the future.

What I’m saying is that while this can be useful, it can also hurt. Make sure whoever you’re apologizing to is ready to hear this part of the apology and wants to hear this part of the apology.

How you plan to avoid your mistakes in the future will probably be unique to your circumstances. That said, one piece of advice I have is to avoid the outcome bias. If you would do the same things again in the same situation because you expect it on average to be positive, you aren’t doing anyone a favour by lying about it. Address the ways in which your decision making was suspect. Don’t weasel out of anything by promising not to do specific actions when you know full well you’d do the same general thing again.

And if you’ve hurt someone in the same way a bunch of times, you may find that plans no longer cut it. Them forgiving you can become contingent on results, not words.

Ultimately, an apology is an acknowledgement that you would have acted differently in the situation if you were better at acting the way you want to act. An apology indicates a willingness to change. If you instead endorse the actions you took and have no intent of deciding differently in the future, you shouldn’t apologize at all. If this is the case, you can tell whoever you hurt that you regret hurting them. You can tell them that you wish they hadn’t been hurt. But you cannot truthfully tell them you wouldn’t hurt them that same way again if you have any choice in the matter. So, don’t walk down the road that ends that way.

It isn’t worth it.


In the examples at the start, it seemed the only thing anyone regretted was getting caught. Remember that these are the examples that our culture provides; it’s no wonder that it’s easy to learn the wrong lessons about apologies! When apologizing to our loved ones, it’s natural to let these lessons seep in and make us defensive when we should be open. Apologizing better requires a conscious act, one that I’m still learning how to do. This post is my attempt to chronicle these tentative efforts in a way that might be useful to others who are also struggling.

Economics, Falsifiable, Politics

Franchise Economics: Why Tim Hortons Has Become A Flashpoint In The Minimum Wage Fight

Since the minimum wage increase took effect on January 1st, Tim Hortons has been in the news. Many local franchisees have been clawing back benefits, removing paid breaks, or otherwise taking measures to reduce the costs associated with an increased minimum wage.

TVO just put out a piece about this ongoing saga by the Christian socialist Michael Coren. It loudly declares that “Tim Hortons doesn’t deserve your sympathy“. Unfortunately, Mr. Coren is incorrect. Everyone involved here (Tim Hortons the corporation, Tim Hortons franchisees, and Tim Hortons workers) is caught between a rock and a hard place. They all deserve your sympathy.

This Tim Hortons could be literally anywhere in suburban or rural Canada. Image Credit: Marek Ślusarczyk via Wikipedia Commons

It is a truism that a minimum wage increase must result in either declining profits, cuts to other costs, or rising prices. While supporters of the minimum wage increase would love to see it all come out of profits, that isn’t reasonable.

Basic economics tell us that as we approach a perfect market, profits should fall to zero. The key assumptions underpinning this are global perfect information (so no one can have any innovations that allow them to do better than anyone else) and zero start-up costs (so anyone can enter any market at any time). Obviously, these assumptions aren’t true in reality, but when it comes to fast food, they’re fairly close to true.

It is relatively cheap to start a fast-food restaurant (compared to say opening a factory). The start-up costs for a McDonalds, KFC, or Wendy’s are $1,000,000 to $2.3 million, while a Subway costs about $100,000 to $250,000 to start. This means that whenever someone sees fast-food restaurants making large profits in an area, they can open their own and take a fraction of the business, driving everyone’s profits down.

They’re probably driven down much lower than you think. If you had to guess, what would you say the profit margins for a fast-food restaurant are? If you’re anything like people in this study, you probably think something like 35%. The actual answer is 6% [1].

In addition to telling me that the average fast food restaurant has a 6% profit margin, that link helpfully told me that 29% of operating expenses in a fast-food restaurant come from labour costs. Raising those labour costs by 20% by increasing wages 20% increases total costs by 6% [2]. The minimum wage isn’t making fast-food restaurant owners make do with a little less in the way of profits. It’s entirely wiping out profits.

Now maybe your response to that is “well my heart doesn’t really bleed for that big multinational losing its profits”. But that’s not how Tim Hortons works. Tim Hortons, like almost all fast-food restaurants is a franchise. Tim Hortons the corporation makes money by collecting fees and providing services to Tim Hortons the restaurants, which are owned by the mythical small business owners™ that everyone (even the proponents of the minimum wage increase) claim to care so much about.

Most of these owners aren’t scions of wealthy families, but are instead ordinary members of their communities who saw opening a Tim Hortons as an investment, a vocation, or as a way to give back. They need to eat as much as their workers.

Faced with rising labour costs and no real profit buffer to absorb them, these owners can only cut costs or raise prices.

Except they can’t raise prices.

That’s the rub of a franchise system. The corporate office wants everything to be the exact same at every store. They set prices and every store must follow them. But there’s divergent incentives here. Tim Hortons the corporation makes a profit by selling supplies to its franchises; critically, they make a profit on supplies whether those franchisees turn a profit or not. They really don’t want to raise prices, because raising prices will hurt their bottom line.

It’s well known that (in general) the more expensive something is, the less people want it. Raising prices will hurt the sales volume of Tim Hortons franchises, which will decrease the profits at corporate Tim Hortons. The minimum wage hike affects Tim Hortons the corporation very little. They might see slightly increased shipping costs, but their costs are far less dependent on Canadian minimum wage labour. Honestly, the minimum wage increase probably is a net good for Tim Hortons the corporation. More money in people’s pockets means more money spent on fast-food.

Tim Hortons the corporation probably won’t say it, because they don’t want to antagonize their franchisees, but this minimum wage hike is great for them.

So, Tim Hortons franchisees have to cut costs or run charities. Given that they are running restaurants and not charities, we can probably assume that they’re going to cut costs. Why does it have to be labour costs that get cut? Can’t they just get their supplies for cheaper?

Here the franchise system bites them again. If they were independent restaurateurs, they might be able to source cheaper ingredients, reduce the ply of the toilet paper in their bathrooms, etc. and get their profits back this way.

But they’re franchisees. Tim Hortons the corporation has a big list of everything you need to run a Tim Hortons and you are only allowed to buy it from them. They get to set the prices however they want. And what they want is to keep them steady.

The only cost that Tim Hortons the corporation doesn’t control is labour costs. So, this is what franchisees have to cut.

There are two ways to decrease your labour costs. You can “increase productivity”, or you can cut wages and benefits. “Increase productivity” is the clinical and uninformative way of saying “fire 20% of your workers and verbally abuse the others until they work faster” or “fire 20% of your workers and replace them with machines”. While increased productivity is generally desirable from an economics point of view, it is often more ambiguous from a moral point of view.

Given that the minimum wage was just raised and it is illegal to pay any less than it, Tim Hortons franchisees cannot cut wages. So, if they’re against firing their employees and want to keep making literally any money, they have to cut benefits.

This might make it seem like corporate Tim Hortons is the bad guy here. They aren’t. The executives at Tim Hortons labour under what is called a fiduciary duty. They have a legal obligation to protect shareholder interests from harm and to act for the good of the corporation, not their own private good or for their private moral beliefs. They are responding to the minimum wage hike the way the government has told them to respond [3].

Minimum wage jobs suck. For all that economists claim there is no moral judgement implied in a wage, that it merely shows the intersection of the amount of supply of a certain type of labour and the demand for that labour, it can be hard to believe that there is no moral dimension to this when people making one wage struggle to make ends meet, while those earning another can buy fancy cars they don’t even need.

It is popular to blame business owners and capitalists for the wages their workers make and to say that it shows how little they value their workers. I don’t think that’s merited here. Corporate Tim Hortons has crunched the numbers and decided that if they raise prices, fewer people will buy coffee, their profits will decrease, and they might be personally liable for breach of fiduciary duty. In the face of rising prices, franchisees try and do whatever they can to stay afloat. We can say that caring about profits more than the wages their workers make shows immense selfishness on the part of these franchisees, but it’s little different than the banal selfishness anyone shows when they care more about making money for themselves than making money and giving it away – or the selfishness we show when we want our coffee to be cheaper than it can be when made by someone earning a wage that can comfortably support a family.

Footnotes

[1] As long as there are other available investments approximately as risky as opening a fast-food restaurant that return at least 6%, profits shouldn’t drop any lower than that. In this way, inefficiencies in other sectors could stop fast food restaurants from behaving like they were in a perfectly free market even if they were. ^

[2] This calculation is flawed, in that there are probably other costs making up total labour costs (like benefits) beyond simple wage income. On the other hand, it isn’t just wages that are going up. Other increased costs probably balance out any inaccuracies, making the conclusions essentially correct. This is to say nothing for corporate taxes, which further reduce profits. ^

[3] We can’t blame fiduciary duty, because fiduciary duty is how investing at all can happen. You might not like investing, but without investing, saving for retirement or having a national pension plan is impossible. If your response to this is to say “well let’s just tear down capitalism and start over”, I’d like to remind you that people tried that and it led to a) famine, b) gulags, c) death squads, d) more famine, and e) persistent shortages of every consumer good imaginable, including food ^

Falsifiable

2018 Predictions

Inspired by Slate Star Codex, this is my second year of making predictions (see also: my previous predictions, their scores, and my recent LessWrong post about these predictions).

Before I jump into the predictions, I want to mention that I’ve created templates so that anyone who wants to can also take a stab at it; the templates focus on international events and come in two versions:

  • Long (which assumes you read global news a lot)
  • Short (which is less demanding)

With both these sheets, the idea is to pick a limited number of probabilities (I recommend 51%, 60%, 70%, 80%, and 90%) and assign one to each item that you have an opinion on. At the end of the year, you count the number of correct items in each probability bin and use that to see how close you were to ideal. This gives you an answer to the important question: “when I say something is 80% likely to happen, how likely, really, is it to happen?”

You can also make your own (or use the set of questions Slate Star Codex normally uses). If you do make your own, please link your post (and maybe also your template?) in the comments or post it to the front page. It’s my hope that this post can serve as a convenient place for the LW community to look at the predictions of everyone who wants to participate in this experiment!

With that out of the way, here’s my guesses for the next year.

Canada

  1. Liberals remain ahead in the CBC Poll Tracker seat projection – 70%
  2. Trudeau has a higher net favorability rating than Andrew Scheer according to the CBC Leader Meter on January 1, 2019 – 80%
  3. Marijuana is legalized in time for Canada Day – 60%
  4. Marijuana is legalized in 2018 – 90%
  5. At least one court finds the assisted dying bill isn’t in line with Carter v Canada – 70%
  6. Ontario PC party wins the election – 60%
  7. The Ontario election results in a minority government – 80%
  8. The Quebec election results in a minority government – 80%
  9. No BC snap election in 2018 – 90%
  10. No terrorist attack in Canada that kills > 10 Canadians in 2018 – 90%
  11. More Canadian opioid poisoning deaths in 2018 than in 2017 – 60%
  12. Canada does better at the 2018 Winter Olympics (in both gold medals and total medals) than in 2014 – 90%
  13. Canada does not win a gold medal in men’s hockey at the 2018 Olympics – 70%
  14. Canada does win a gold medal in women’s hockey at the 2018 Olympics – 51%

America

  1. Trump announces that the US is pulling out of NAFTA and begins the process of putting the US withdrawal into motion – 51%
  2.  Less than 100km of concrete wall on the border with Mexico will be constructed – 90%
  3. No registry of Muslims created – 90%
  4. Congress doesn’t take action to extend DACA – 80%
  5. No department of the Federal Government is eliminated – 90%
  6. There isn’t a government shutdown before the midterm elections – 60%
  7. Democrats take back the house in the 2018 midterm elections – 80%
  8. Democrats take back the senate in the 2018 midterm elections – 60%
  9. Mueller’s investigation finishes in 2018 – 60%
  10. Impeachment proceedings aimed at Trump are not started in 2018 – 80%
  11. Trump is still president at the end of 2018 – 90%
  12. No terrorist attack in America that kills > 10 Americans – 70%
  13. No terrorist attack in America that kills > 100 Americans – 90%
  14. Susan Collins doesn’t get the Obamacare stabilization measures she was promised – 70%
  15. More US opioid poisoning deaths in 2018 than in 2017 – 80%

South America

  1. FARC peace deal remains in place on January 1, 2019 – 80%
  2. The black market exchange rate for Venezuelan Bolivars is above 110,000 to the US dollar on January 1, 2019 (as measured by DolarToday) – 80%
  3. Inflation in Venezuela is above 100% for the year of 2018 (as measured by DolarToday) – 90%
  4. United Socialist party retains control of the Venezuelan presidency in 2018 – 90%
  5. Protests (and the official response to those protests) result in more than 100 fatalities in Venezuela in 2018 – 60%
  6. Protests (and the official response to those protests) do not result in more than 1000 fatalities in Venezuela in 2018 – 70%
  7. Major Venezuelan opposition groups do not enter any sort of power sharing agreement with the Venezuelan regime in 2018 – 80%

Middle East

  1. No Israeli politician is indicted by the ICC over settlement activity in 2018 – 90%
  2. There isn’t an election in Israel in 2018 – 80%
  3. US does not physically relocate its embassy to Jerusalem in 2018 – 90%
  4. No Palestinian led Intifada in Israel that results in the deaths of >1000 combined attackers, security forces, and civilians (this is a conflict characterized by suicide bombing and police responses) – 70%
  5. No Israeli led operation in the West Bank or Gaza that results in the deaths of >1000 combined soldiers, civilians, and militants (this is a conflict characterized by rocket fire and military strikes) – 70%
  6. Fatah and Hamas do not meaningfully reconcile in 2018 (e.g. Fatah still doesn’t control Gaza by January 1, 2019) – 51%
  7. No significant resurgence in ISIL in 2018 (e.g. it does not gain territory over the next year) – 80%
  8. Fewer casualties in the Syrian Civil War in 2018 than in 2017 – 70%
  9. No power sharing agreement or durable ceasefire (typified by the three months following the agreement each having less than 500 fatalities) in Syria in 2018 – 80%
  10. Bashar Al Assad is still President of Syria on January 1, 2019 – 90%
  11. Protests in Iran do not result in more than 1000 fatalities by the end of 2018 – 70%
  12. Protests in Iran do not result in more than 100 fatalities by the end of 2018 – 51%
  13. Hassan Rouhani is still President of Iran on January 1, 2019 – 90%
  14. No new international sanctions against Iran (does not include adding new organizations or individuals to old categories and requires coordinated participation of at least two countries) – 80%
  15. No new US sanctions against Iran (does not include adding new organizations or individuals to old categories) – 51%
  16. No attack on the Iranian nuclear program by Israel – 90%
  17. Iran does not withdraw from the deal limiting its nuclear program – 90%
  18. Conditional on Iran remaining in the nuclear deal, inspectors find no evidence of violations after the deal began – 90%
  19. Yemen Civil War continues – 60%
  20. Saudi Arabia pulls troops out of Yemen – 51%
  21. Mohammed bin Salman either remains as crown prince of Saudi Arabia, or becomes king (i.e. no coup or succession shake-up) – 80%
  22. Rockets fired from Yemen cause casualties in another country – 51%
  23. No resolution or lifting of embargo in the Qatar crisis – 80%
  24. OPEC production cuts continue through to the end of 2018 – 60%

Africa

  1. No power sharing between ZANU-PF and the opposition will happen in Zimbabwe before the elections (if they occur) in 2018 – 80%
  2. Zimbabwe will hold election in 2018 – 70%
  3. No peace deal ends South Sudan fighting – 70%
  4. Libya still has two rival governments on January 1, 2019 – 70%
  5. No protests, riots, or rebellion in Egypt that kills >100 people in a one week period – 80%
  6. No protests, riots, or rebellion in Tunisian kills >50 people in a one week period – 90%
  7. No terrorist attack in Tunisia kills >20 people – 80%
  8. Zuma is not impeached in 2018 – 51%

Asia

  1.  Inflation rate in Japan still remains below 1% in 2018 – 70%
  2. Japanese constitutional reform (removing pacifism) does not occur in 2018 – 51%
  3. China will not deploy its military against Taiwan or Hong Kong in 2018 – 90%
  4. North Korea will test a submarine launched ballistic missile in 2018 – 70%
  5. North Korea will not test nuclear weapons or launch any missiles during the 2018 Olympics – 80%
  6. North Korea will test a nuclear weapon in 2018 – 51%
  7. No country will attempt to shoot down a North Korean missile test in 2018 – 80%
  8. If there is an attempt, it will succeed – 51%
  9. North Korea tests a missile that is judged by experts at 38 North as likely able to carry a plausible North Korean nuclear weapon to the United States – 60%
  10. No current member of China’s Politburo Standing Committee visits North Korea in 2018 – 70%
  11. No meeting between Kim Jung-un and Moon Jae-in in 2018 – 90%

Europe

  1. No resolution to the crisis in Ukraine – 80%
  2. Russian GDP growth is less than 3% – 80%
  3. No gain of greater than 20% in the value of the ruble vs. the dollar – 70%
  4. Sanctions against Russia are not significantly rolled back (e.g. sanctions remain in place against Rosneft, Novate, Gazprombank and Vnesheconombank by all members of the G7 remain in place at the end of 2018) – 90%
  5. Angela Merkel remains chancellor of Germany – 60%
  6. Germany holds another election before a government can be formed – 51%
  7. No date set for another Scottish referendum in 2018 – 80%
  8. Teresa May remains prime minister of the United Kingdom – 70%
  9. The UK does not terminate the process of Brexit in 2018 – 90%
  10. There is no final Brexit withdrawal deal reached in 2019 (Donald Tusk wishes to have one by October) – 51%
  11. No snap election/vote of no-confidence in the UK in 2018 – 80%
  12. Poland’s EU voting rights aren’t suspended – 90%
  13. Poland and Hungary continue to refuse to accept migrant quotas – 90%
Falsifiable

Grading my 2017 Predictions

Now is the big reveal. Just how did I do in 2017?

Canada

  1. Trudeau ends the year with a lower approval rating than he started – 60%
  2. No bill introduced that changes the electoral system away from first past the post in 2019 – 50%
  3. No referendum scheduled on changing the electoral system away from first past the post before 2019 – 70%
  4. A bill legalizing marijuana is passed by the House of Commons – 90%
  5. The senate doesn’t block attempts to legalize marijuana – 80%
  6. At least one court finds the assisted dying bill isn’t in line with Carter v Canada – 60%
  7. Ontario Liberal Approval rating remains below 30% – 80%
  8. Patrick Brown “unsure” rating remains above 40% – 70%
  9. Kellie Leitch is not the next CPC leader – 80%
  10. Michael Chong is not the next CPC leader – 70%
  11. Maxine Bernier is not the next CPC leader – 90%
  12. No terrorist attack that kills >10 Canadians – 70%
  13. No terrorist attack that kills >100 Canadians – 90%
  14. At least one large technology company (valuation >$10 billion and >1,000 employees) will open a Waterloo office in 2017 – 80%

 

America

  1. Trump will veto at least 1 bill passed by the House and Senate – 70%
  2. Changes to NAFTA will not significantly affect Canada (e.g. introduce tariffs, eliminate visas, etc) – 80%
  3. Less than 100km of concrete wall on the border with Mexico will be constructed – 80%
  4. Unemployment rate changes by less than 0.5% in 2017 – 90%
  5. Bay Area housing prices increase in 2017 – 90%
  6. Protests (in America) on Trump’s inauguration day draw at least 1 million people – 80%
  7. Protests (in America) on Trump’s inauguration day draw at least 5 million people – 50%
  8. Protests (in America) on Trump’s inauguration day draw less than 10 million people – 70%
  9. Protests outside of America on Trump’s inauguration day draw at least 1 million people – 60%
  10. Terrorist attack in America that kills at least 10 Americans – 70%
  11. No terrorist attack in America that kills at least 100 Americans – 70%
  12. No registry of Muslims created in America – 90%
  13. New Supreme Court Justice is named to the USSC – 90%
  14. No repeal of any of: the individual mandate, the prohibition on denying coverage for pre-existing conditions, children remaining on their parents insurance plans until they are 25 – 70%
  15. gov is taken offline or otherwise rendered inoperative by the new administration – 80%
  16. No Federal Department is eliminated – 80%

South America

  1. No setback to the FARC peace deal significant enough to cause >1000 rebels to rearm – 70%
  2. On the black market, the exchange rate for Venezuelan Bolivars to US Dollars remains above 3000 bolivars per dollar. (As measured by DolarToday) – 80%
  3. Inflation in Venezuela for 2017 is higher than 100% (As measured by DolarToday) – 90%
  4. United Socialist party retains control of the Venezuelan presidency – 70%
  5. No uprising in Venezuela leading to >1000 combined civilian and soldier deaths – 70%

Middle East

  1. The “Regulation” Bill, legalizing many illegal settlements, is passed in Israel – 60%
  2. No Israeli politician is indicted by the ICC over settlement activity in 2017 – 80%
  3. The US moves its embassy to Jerusalem – 50%
  4. OPEC agreement fails (as evidenced by Saudi Arabia increasing oil production to >10.058 million BPD) – 50%
  5. Iraq takes back Mosul – 90%
  6. Mosul Dam does not fail – 70%
  7. Fewer casualties in Syrian Civil War in 2017 than in 2016 – 60%
  8. No new international sanctions against Iran – 80%
  9. No new US sanctions against Iran – 50%
  10. No attack on the Iranian nuclear program by Israel – 80%
  11. Iran does not withdraw from the deal limiting its nuclear program – 80%
  12. Conditional on Iran remaining in the nuclear deal, inspectors find no evidence of violations after the deal began – 90%
  13. Yemen Civil War continues – 60%

Africa

  1. Power transition in The Gambia requires ECOWAS troops – 50%
  2. Power transition occurs in The Gambia – 70%
  3. No peace deal ends South Sudan fighting – 50%
  4. IS or affiliated groups do not hold more territory in Africa at the end of 2017 than at the beginning – 90%
  5. Libya has a single government by the end of 2017 – 50%
  6. No protests, riots, or rebellion in Egypt that kills >100 people in a one week period – 80%
  7. No protests, riots, or rebellion in Tunisian kills >50 people in a one week period – 90%
  8. At least one terrorist attack kills >50 people in Tunisian – 50%

Asia

  1. Inflation rate in Japan remains below 1% in 2017 – 70%
  2. No Japanese snap election in 2017 – 90%
  3. Scandal involving Thailand’s new king makes its way to a major Western Newspaper – 50%
  4. Saenuri Party loses in the 2017 South Korean election – 80%
  5. China will send at least one diplomatic “insult” to the US (e.g. expelling an ambassador or consul or closing on of its embassies or consulates) – 60%
  6. By the end of 2017, none of the young lawmakers associated with the Umbrella Revolution will be in the Hong Kong parliament – 60%
  7. The Hong Kong lawmakers who are appealing their ban from parliament will have their final appeals denied – 80%
  8. China will not deploy its military against either Hong Kong or Taiwan in 2017 – 90%
  9. North Korea detonates a nuclear weapon – 70%
  10. North Korea does not demonstrate a completed weapon system (e.g. miniaturized bomb and ICBM capable of threatening the continental United States) – 90%

Europe

  1. No resolution to the crisis in Ukraine – 70%
  2. Crimea remains part of Russia – 90%
  3. Russian GDP growth is less than 2% – 80%
  4. No gain of greater than 15% in the value of the ruble vs the dollar – 60%
  5. Angela Merkel remains Chancellor of Germany – 60%
  6. Marie Le Pen does not become President of France – 70%
  7. Geert Wilders does not become Prime Minister of the Netherlands – 70%
  8. UK invokes Article 50 – 60%
  9. Conditional on the UK invoking article 50, this occurs behind schedule – 70%
  10. Conditional on the UK leaving the EU, Scotland prepares for another referendum – 80%
  11. No snap election called in the UK – 80%
  12. No regional independence movement (e.g. Scotland, Catalan) achieves success in Europe in 2017 – 90%
  13. Sanctions against Russia are not significantly rolled back (e.g. sanctions remain in place against Rosneft, Novate, Gazprombank and Vnesheconombank by all members of the G7 remain in place at the end of 2017) – 60%

Personal

  1. I will not break up with anyone I am currently dating – 90%
  2. I will buy a car – 50%
  3. I will still be working at my current job at the end of 2017 – 80%
  4. I will not move to another city in 2017 – 90%
  5. Conditional on remaining in my current city, I will not move to a different apartment in 2017 – 80%
  6. I will read at least 40 books this year – 80%
  7. I will read at least 10 non-fiction books this year – 50%
  8. I will start reading (and read at least 50 pages) of at least 10 books people recommended to me this year – 60%
  9. I will write at least 200,000 words this year – 80%
  10. I will post at least 15 blog posts or short stories – 80%
  11. I will post at least 25 blog posts or short stories – 50%
  12. I will be >15% over or under-confident for at least 2 confidence levels in these predictions (before taking into account this prediction) – 80%

Notes

I thought that making my predictions mostly numerical would make them easy to grade. This mostly worked, but there were a few edge cases, judgement calls, and other amusing things that I want to explicitly mention:

  • Throughout my predictions I used the word “remains”. I regret this, because it is ambiguous. I think I intended it to mean “on January 1st, 2018, X remains true”, but there’s an alternative parsing that is “during all of 2017, X will be true”. I feel it’s most accurate to grade these according to my intent. For my 2018 predictions, I will use clearly language.
  • For 8, the two most recent polls I could find were both from November. In one, Patrick Brown had a “don’t know” rating of 50%. In the other, it was 34%. Polls were found by Googling ‘ontario leader popularity’ and ‘ontario leader popularity politics’; November was the last month in which I could find polls, so I only used November polls. I’m averaging these two and considering the prediction successful. The lack of good aggregation of Ontario political information is part of why I would like to create a website tracking the Ontario election this year.
  • While I was correct as to the who wasn’t the next leader of the Conservative party, I definitely got emotionally involved such that I was severely miscalibrated. Bernier came far closer to winning it then Leitch or Chong and both of those two fringe candidates had much lower chances that it felt like they did.
  • WRT 24 and 25, I’m not counting the Las Vegas shooting as a terrorist attack because it lacked a political motive (as far as we currently know). I think I overestimated the risk of terrorist attack because of the availability heuristic (the last two years had seen a higher than normal amount of successful and dangerous terrorist attacks). A proper estimation would have focused more on the base rate.
  • I don’t think Trump’s cancellation of advertising comes anywhere close to fulfilling 29, so I’m marking it as failed.
  • 31 is borderline, with many former FARC fighters “joining criminal gangs or a dissident FARC movement that has about 1,000 fighters nationwide“. Given that this still implies less than 1000 members rearmed to continue the fight as FARC, I think the prediction holds.
  • 38 is also borderline, but ultimately, I think there is a difference between an announcement of intent to move and an actual movement. Since I was going to mark 28 as a success if Trump hadn’t signed the tax bill by now, it’s only fair that I mark 38 as a failure.
  • I was way under-confident in the stability of the Mosul dam (41). Compare my probability with the chance on the Good Judgement Project and you’ll see I really overstated the risk compared to the consensus.
  • WRT to 43 and 44, the US Treasury added new groups to existing designations, but these are neither new sanctions, nor international sanctions
  • For 59, I think this Daily Mail headline counts: “Thailand’s colourful new King brought ‘his mistress AND his former air stewardess wife’ to his father’s lavish cremation ceremony with both marching in bearskin hats“. I think I want to stay away from prediction “scandals” in the future though, because it’s a very fuzzy concept.
  • While North Korea claims to have a complete, miniaturized ICBM, it looks like them actually realizing this with a weapon able to hit the US mainland is about one year away. Therefore 66 is a success.
  • 69 is only provisionally true and needs to be revised when more GDP data is available.
  • I am apparently rubbish at predicting snap elections, given that I got both 77 and 58 wrong, while being highly confident in my wrongness.
  • Out of all of my failed predictions, the one that surprised me the most was the OPEC deal holding. I really thought that it would fall apart.

A complete list of the sources I used when grading all non-personal predictions is available here.

Calibration

The whole point of having predictions with few allowed probabilities (for me it was 50%, 60%, 70%, 80% and 90%) is that you can then check how accurate these were by pooling your answers. Here’s how I did:

Of my predictions at a 50% confidence level, I got 7 right and 6 wrong (54%).
Of my predictions at a 60% confidence level, I got 9 right and 4 wrong (69%).
Of my predictions at a 70% confidence level, I got 16 right and 4 wrong (80%).
Of my predictions at an 80% confidence level, I got 20 right and 6 wrong (77%).
Of my predictions at a 90% confidence level, I got 17 right and 2 wrong (89%).

If you prefer graphs, here’s the results on a graph. The red line shows what I would get if I was a perfect judge of probability. The blue line is actual me. Whenever the red line is below my results, I was under-confident. Whenever it’s above them, I was overconfident.

I’m pleased that in general (excepting 70% vs. 80%), things I thought were more likely were in fact more likely. I appear to be fairly under-confident at lower probability levels (50% through 70%), and fairly good at higher confidence levels (80% and 90%), although of course this is just one year and some of this could be due to chance and luck.

My meta-calibration was quite poor. I was never more than 10% off from perfect calibration, despite my worries that I would frequently be up to 15% from it.

Advice, Model

Improvement Without Superstition

[7 minute read]

When you make continuous, incremental improvements to something, one of two things can happen. You can improve it a lot, or you can fall into superstition. I’m not talking about black cats or broken mirrors, but rather humans becoming addicted to whichever steps were last seen to work, instead of whichever steps produce their goal.

I’ve seen superstition develop first hand. It happened in one of the places you might least expect it – in a biochemistry lab. In the summer of 2015, I found myself trying to understand which mutants of a certain protein were more stable than the wildtype. Because science is perpetually underfunded, the computer that drove the equipment we were using was ancient and frequently crashed. Each crash wiped out an hour or two of painstaking, hurried labour and meant we had less time to use the instrument to collect actual data. We really wanted to avoid crashes! Therefore, over the course of that summer, we came up with about 12 different things to do before each experiment (in sequence) to prevent them from happening.

We were sure that 10 out of the 12 things were probably useless, we just didn’t know which ten. There may have been no good reason that opening the instrument, closing, it, then opening it again to load our sample would prevent computer crashes, but as far as we could tell when we did that, the machine crashed far less. It was the same for the other eleven. More self-aware than I, the graduate student I worked with joked to me: “this is how superstitions get started” and I laughed along. Until I read two articles in The New Yorker.

In The Score (How Childbirth Went Industrial), Dr. Atul Gawande talks about the influence of the Apgar score on childbirth. Through a process of continuous competition and optimization, doctors have found out ways to increase the Apgar scores of infants in their first five minutes of life – and how to deal with difficult births in ways that maximize their Apgar scores. The result of this has been a shocking (six-fold) decrease in infant mortality. And all of this is despite the fact that according to Gawande, “[in] a ranking of medical specialties according to their use of hard evidence from randomized clinical trials, obstetrics came in last. Obstetricians did few randomized trials, and when they did they ignored the results.”

Similarly, in The Bell Curve (What happens when patients find out how good their doctors really are), Gawande found that the differences between the best CF (cystic fibrosis) treatment centres and the rest turned out to hinge on how rigorously each centre followed the guidelines established by big clinical trials. That is to say, those that followed the accepted standard of care to the letter had much lower survival rates than those that hared off after any potentially lifesaving idea.

It seems that obstetricians and CF specialists were able to get incredible results without too much in the way of superstitions. Even things that look at first glance to be minor superstitions often turned out not to be. For example, when Gawande looked deeper into a series of studies that showed forceps were as good as or better than Caesarian sections, he was told by an experienced obstetrician (who was himself quite skilled with forceps) that these trials probably benefitted from serious selection effects (in general, only doctors particularly confident in their forceps skills volunteer for studies of them). If forceps were used on the same industrial scale as Caesarian sections, that doctor suspected that they’d end up worse.

But I don’t want to give the impression that there’s something about medicine as a field that allows doctors to make these sorts of improvements without superstition. In The Emperor of all Maladies, Dr. Siddhartha Mukherjee spends some time talking about the now discontinued practices of “super-radical” mastectomy and “radical” chemotherapy. In both treatments, doctors believed that if some amount of a treatment was good, more must be better. And for a while, it seemed better. Cancer survival rates improved after these procedures were introduced.

But randomized controlled trials showed that there was no benefit to those invasive, destructive procedures beyond that offered by their less-radical equivalents. Despite this evidence, surgeons and oncologists clung to these treatments with an almost religious zeal, long after they should have given up and abandoned them. Perhaps they couldn’t bear to believe that they had needlessly poisoned or maimed their patients. Or perhaps the superstition was so strong that they felt they were courting doom by doing anything else.

The simplest way to avoid superstition is to wait for large scale trials. But from both Gawande articles, I get a sense that matches with anecdotal evidence from my own life and that of my friends. It’s the sense that if you want to do something, anything, important – if you want to increase your productivity or manage your depression/anxiety, or keep CF patients alive – you’re likely to do much better if you take the large scale empirical results and use them as a springboard (or ignore them entirely if they don’t seem to work for you).

For people interested in nootropics, melatonin, or vitamins, there’s self-blinding trials, which provide many of the benefits of larger trials without the wait.  But for other interventions, it’s very hard to effectively blind yourself. If you want to see if meditation improves your focus, for example, then you can’t really hide the fact that you meditated on certain days from yourself [1].

When I think about how far from the established evidence I’ve gone to increase my productivity, I worry about the chance I could become superstitious.

For example, trigger-action plans (TAPs) have a lot of evidence behind them. They’re also entirely useless to me (I think because I lack a visual imagination with which to prepare a trigger) and I haven’t tried to make one in years. The Pomodoro method is widely used to increase productivity, but I find I work much better when I cut out the breaks entirely – or work through them and later take an equivalent amount of time off whenever I please. I use pomos only as a convenient, easy to Beemind measure of how long I worked on something.

I know modest epistemologies are supposed to be out of favour now, but I think it can be useful to pause, reflect, and wonder: when is one like the doctors saving CF patients and when is one like the doctors doing super-radical mastectomies? I’ve written at length about the productivity regime I’ve developed. How much of it is chaff?

It is undeniable that I am better at things. I’ve rigorously tracked the outputs on Beeminder and the graphs don’t lie. Last year I averaged 20,000 words per month. This year, it’s 30,000. When I started my blog more than a year ago, I thought I’d be happy if I could publish something once per month. This year, I’ve published 1.1 times per week.

But people get better over time. The uselessness of super-radical mastectomies was masked by other cancer treatments getting better. Survival rates went up, but when the accounting was finished, none of that was to the credit of those surgeries.

And it’s not just uselessness that I’m worried about, but also harm; it’s possible that my habits have constrained my natural development, rather than promoting it. This has happened in the past, when poorly chosen metrics made me fall victim to Campbell’s Law.

From the perspective of avoiding superstition: even if you believe that medicine cannot wait for placebo controlled trials to try new, potentially life-saving treatments, surely you must admit that placebo controlled trials are good for determining which things aren’t worth it (take as an example the very common knee surgery, arthroscopic partial meniscectomy, which has repeatedly performed no better than sham surgery when subjected to controlled trials).

Scott Alexander recently wrote about an exciting new antidepressant failing in Stage I trials. When the drug was first announced, a few brave souls managed to synthesize some. When they tried it, they reported amazing results, results that we now know to have been placebo. Look. You aren’t getting an experimental drug synthesized and trying it unless you’re pretty familiar with nootropics. Is the state of self-experimentation really that poor among the nootropics community? Or is it really hard to figure out if something works on you or not [2]?

Still, reflection isn’t the same thing as abandoning the inside view entirely. I’ve been thinking up heuristics since I read Dr. Gawande’s articles; armed with these, I expect to have a reasonable shot at knowing when I’m at risk of becoming superstitious. They are:

  • If you genuinely care only about the outcome, not the techniques you use to attain it, you’re less likely to mislead yourself (beware the person with a favourite technique or a vested interest!).
  • If the thing you’re trying to improve doesn’t tend to get better on its own and you’re only trying one potentially successful intervention at a time, fewer of your interventions will turn out to be superstitions and you’ll need to prune less often (much can be masked by a steady rate of change!).
  • If you regularly abandon sunk costs (“You abandon a sunk cost. You didn’t want to. It’s crying.”), superstitions do less damage, so you can afford to spend less mental effort on avoid them.

Finally, it might be that you don’t care that some effects are placebo, so long as you get them and get them repeatedly. That’s what happened with the experiment I worked on that summer. We knew we were superstitious, but we didn’t care. We just needed enough data to publish. And eventually, we got it.

[Special thanks go to Tessa Alexanian, who provided incisive comments on an earlier draft. Without them, this would be very much an incoherent mess. This was cross-posted on Less Wrong 2.0 and as of the time of posting it here, there’s at least one comment over there.]

Footnotes:

[1] Even so, there are things you can do here to get useful information. For example, you could get in the habit of collecting information on yourself for a month or so (like happiness, focus, etc.), then try several combinations of interventions you think might work (e.g. A, B, C, AB, BC, CA, ABC, then back to baseline) for a few weeks each. Assuming that at least one of the interventions doesn’t work, you’ll have a placebo to compare against. Although be sure to correct any results for multiple comparisons. ^

[2] That people still buy anything from HVMN (after they rebranded themselves in what might have been an attempt to avoid a study showing their product did no better than coffee) actually makes me suspect the latter explanation is true, but still. ^

Literature

Book Review: The Managed Heart

[16 minute read]

Content warning: reading this book left me in a low state of existential panic and unable to respond appropriately to other people’s emotions for about a week. You have been warned.

If you’ve followed my blog for any amount of time, you probably know that I’m a big fan of the sociologist and feminist scholar Professor Arlie Russell Hochschild. Previously I have reviewed her books “Strangers in Their Own Land” and “The Second Shift“. I’ve also published a practical guide to sharing housework, inspired by reading “The Second Shift”. Today I’m going to review The Managed Heart the book that first brought Professor Hochschild to mainstream attention.

But before I begin the review, I’d like to talk about words.

Words are handles to grasp concepts. These handles (like the concepts they evoke) are by necessity blurry and fuzzy. They change. Is Pluto a planet? It depends on what “planet” means to you. If you’re an academic astronomer, you might answer this differently than one of the kids who sent Neil deGrasse Tyson hate mail.

Language must necessarily grow and evolve. I’ve given up trying to police the meaning of literally (although you’ll have to take the Oxford Comma from my cold, dead hands). That said, I really wish that every subculture dominated by people under thirty took one fucking second to do a fucking lit review before they grab academic sounding words for their HuffPo think pieces or blog posts.

(I live in a glass house here. I am loosely associated with the Rationalist Community, a group of people who have based their whole philosophy on the literal arch-enemies of the rationalist philosophical tradition. “Empiricist Community” didn’t sound as smart or clever, so it lost out as a name despite the fact it was far more accurate.)

Technical words mean specific things and their definitions are policed so that academic disagreement (and more rarely, agreement) can happen at all. Academics need to have a clear(ish) view of what concept-handles they’re playing with and clear(ish) boundaries on those concepts, lest they spend all of their days arguing about definitions, like a Clinton caught in a lie. Currently we filter that sort of person out of the general academic discourse by letting them go study Hegel, but there’s always a risk of that spilling over, to disastrous effect.

Worse, when a technical word is stolen for general vocabulary it often comes to mean what people think it should mean, rather than what it originally meant. Those concepts, which were important enough that they needed names, are now left to float, handle-less. For example, “market failure” is at risk of coming to mean “weird consequences of markets”, not “markets that are trapped away from the Pareto-frontier, such that they have an opportunity to make someone/some metric better off without making anyone/anything else worse off that cannot be realized”. The technical definition is not evoked as well by the phrase “market failure” and so is at risk of being elided in popular discourse.

A subsequent consequence of this is that academic debate becomes meaningless, confusing, or incomprehensible to ordinary people (as their ability to police the language they use for discussions results in inevitable linguistic drift when those same terms are misused elsewhere). Non-academics assume that academics are using the colloquial term, when in fact they’re saying something else. Switching terms like this often has serious consequences for the veracity of arguments!

When an economist says “a minimum wage can lead to market failures”, many people think the economist is saying “it would be better if people could be payed less”, where they might actually be saying “when a minimum wage exists, a company may fail to hire a low productivity worker (say a high school graduate, or someone who doesn’t speak the dominant language very well) while forcing another worker to work overtime; if no minimum wage existed, the company could hire that worker, making both the hired worker and the existing employee (now freed from overtime) better off, while leaving the company no worse off”.

All this is to say that “emotional labour” is a key concept from The Managed Heart. It was termed in this book. And as near as I can tell, it has literally never been used properly in a blog post or think piece.

So before I talk about what emotional labour (in the academic sense) is, I’d like to give several examples of what it isn’t.

Emotional labour isn’t the mental load that women have to carry when managing the chores and children of a household. Infuriatingly, this subject was covered by Professor Hochschild in another book. It has a whole chapter devoted to it! Properly termed, it would be “responsibility for managing the second shift” or something like that.

Emotional labour isn’t women helping men process and figure out their feelings without compensation. Under the framework introduced in The Managed Heart, I’d suggest that it could be called “feeling rules promoting asymmetric empathizing”, which I will admit is much less catchy.

Emotional labour isn’t even the work women do to manage their feelings in a relationship so that men feel supported and validated. That comes up in The Managed Heart and is one subset of “emotion work”.

I am not claiming that any of these other contenders for the term “emotional labour” do not exist, are not real problems, or do not deserve academic study of their own. I believe that they do exist, are real problems, and deserve study (much of which has been done by Professor Hochschild). But I am also going to ignore them, pretend they don’t exist, and talk only about emotional labour as it was defined by Professor Hochschild: “the commercialization of our capacity to influence our own feelings”.

Unpacking that seemingly simple definition will provide fodder for most of my review.

First, what are feelings?

Professor Hochschild carefully charts the development of theories of emotion. There’s Darwin’s physical theory of emotion, that holds that emotions are the evolutionary vestiges of certain acts. Teeth barred in a rictus of anger is, to Darwin, the evolutionary vestige of actually biting. Anger emerges as the remnant of what would have been aggressive action and shows up in situations where our ancestors might have been aggressive.

Freud had some nonsense about dammed up libido (I have a policy of ignoring everything Freud said that involves the words “libido”, “oedipal”, and “fixation”, and I’m not going to break it just for this review). William James held that emotions were signifiers of physical change; to James, the emotion of anger was merely what we feel when our body prepares to fight and is solely a consequence of underlying physiological processes.

Later theorists, like Gerth and Mills, situated emotions in a social context. They talked about how culture might influence emotions and how inchoate emotions might be made understandable when others interpreted them for us. For example, if a bride cries when left at the altar on her wedding day, her mother’s explanation “you must be furious” gives name and focus to her roiling emotions. The bride may come to believe that she is crying because she is angry, and that the roil of emotions in her belly is anger. Had her mother instead suggested that she was feeling “sorrow”, then perhaps that would have been the name she chose.

Professor Hochschild builds on these definitions (and many others) to get one she’s satisfied with. To her, emotion is a sense, like proprioception or touch. It allows us to sense how we relate to others actions or to developments. Emotion in a Hochschildian framework doesn’t just lead to action (e.g. I was angry so I attacked him), it also leads to cognition (e.g. I paused to wonder why I was so sad).

Professor Hochschild holds emotion up as one of the most important senses because it acts as a signal function. There is the tautological sense in which emotion lets us know how we feel about something, but there is also the sense in which it warns us. We talk about a twinge of jealousy or a sinking dread. These emotions help us realize that all is not right.

Emotions can be consonant with a situation (e.g. I feel so happy on my wedding day), or dissonant (e.g. I should be happy at my wedding, but I’m really just scared). Dissonant emotions are most often the ones we seek to change, but as emotion becomes commercialized, we are increasingly asked to change our consonant emotions as well.

What do we do when we can’t change our emotions? And how do we effect a change?

Surface acting is one way we can deal (in a socially acceptable manner) with “feeling the wrong thing”. In surface acting, we change our countenance or face, but make no attempt to change how we feel. We might grin through pain, wear a fixed smile, or hide that we want to cry. We may not fool anyone else and we certainly don’t fool ourselves, but sometimes surface acting allows us to pay our emotional dues to those around us.

Surface acting can feel exhausting; you can’t rest or relax while you are presenting a fake face to the world. Therefore, it is often beneficial for us to be able to engage in deep acting.

Deep acting is the sincere attempt to engender an emotion that you are currently not feeling. There are two ways that you can attempt deep acting. In the first, you can try and chivy and talk yourself into feeling what you desire. When someone says they are trying to fall in love, or conversely trying not to fall too hard, they are engaging in this first form of deep acting.

The second form of deep acting shares much with method acting. Method acting encourages the actor to bring in emotions from other parts of their life and use them to animate the emotions of their character. In deep acting, you push on your emotions by using memories of other emotional states. Deep acting might look like “I was unhappy on the day of my wedding, so I brought up memories of things I like about my partner until I was smiling“.

Society imposes on us many feelings rules, which we interact with by doing the emotion work of deep acting or the feigning surface acting. Here’s a simple feelings rule: it is considered impolite to feel anything other than happiness for a friend’s promotion. If you instead feel jealous, there will be a strong societal expectation that you show none of it. Instead, you must transmute the jealousy into joy via deep acting, or hide it via surface acting.

You might think that feeling rules only apply when you aren’t interacting with the people you’re closest with. Professor Hochschild disagrees. She believes that feelings rules bind us especially tightly when we are with our closest friends or our romantic partners. She talks briefly here (and at depth in “The Second Shift”) about the economy of gratitude that exists in a relationship and how it requires constant emotion work to maintain. You expect your partner to be excited on your behalf when you get a promotion or self-flagellating and apologetic if they cheat. Closeness acts like a filter; only people who instinctively manage their emotions in a way that is pleasing to you (or, in the case of partners who try and “win someone over”, put in a lot of effort) end up close to you, so the reality of the emotion work underlying close relationships is often obscured. Part of Professor Hochschild’s purpose in studying emotion work at work was to pull back this curtain and view emotion work that wasn’t so unconscious and unthinking.

There certainly can be a gendered dynamic to emotion work. Professor Hochschild believes that men are trained to expect a certain amount of emotion work from women: fluffing of the ego, soothing of the temper, etc. She also believes that emotion work is unevenly spread because women are better trained in it and men tend to be better off. Within the context of a heterosexual relationship, this often manifests in the unconscious deal of a man providing physical security through his more highly paid work, in exchange for a woman’s emotional labour and her labour around the house (this idea is more thoroughly dissected in “The Second Shift”).

The primary marketplace and arena of emotion work is “emotional bowing”. Emotional bowing encompasses two types of exchanges, improvisational and straight. In a straight exchange, you are following the rules and exchange rates of society. When you repay advice from a senior colleague with sincere gratitude, you are engaging in a straight exchange.

When the gratitude is feigned, obviously false, or the advice given grudgingly, you are still trying to play out the straight exchange, but you are quibbling about the exchange rate. Similarly, when you brush aside gratitude and claim the advice you gave was “my pleasure”, you are making a rather different point about the exchange rate and showing kindnesses and graciousness – and perhaps making something clear about the emotional tone you expect at your workplace. Even kindness can become a demand for future emotion work.

Many disagreements, especially among close friends and lovers are caused by different notions of the exchange rate between actions. In these close relationships, emotion work is just one way that we can repay others, but it is often the one that breaks down in response to problems, when we suddenly realize the thing we “should” be feeling takes actual work to feel.

In an improvisational exchange, the feeling rules themselves are called into question, often using sarcasm or irony. A man may jokingly tell a crying male friend “remember, men never cry”. By ironically referencing the feeling rule (that men cannot show emotion), he gives his friend permission to violate it. This sort of exchange requires clear knowledge and understanding of how everyone involved interprets feelings rules, so is uncommon except in close relationships.

When the crying man rejects the toxic masculinity that causes men to disown their emotions, referencing the feeling rule might cheer him up, as he is reminded that even his sorrow is a radical act in line with his values. But if he instead embraces that conception of masculinity, referencing the feeling rule might add to his grief and make him feel a failure. Only his friends would know which is likely to occur, so only his friends would risk an improvisational exchange.

This particular part of the book brought on my existential crisis, as I found myself unable to respond to emotional displays with anything other than attempts to calculate what was given, expected, and owed. I do now wonder if this is a common experience, or if my response was somewhat atypical? In either case, a warning before I (potentially) inflicted this on anyone else seemed prudent.

Anyway, all of this background brings us to emotional labour, the true topic of this book. Emotional labour is when emotion work is removed from its normal place in the home and in broader society, and starts to become part of someone’s economic responsibilities. Physical labour has long been commoditized and therefore made anonymous – that is to say, it does not matter which particular person manufactures your car, because any other labourer could have done it approximately as well. While emotional labour has long existed, it is only recently (with a decline in manufacturing jobs and increase in service jobs) that it has become commoditized and therefore gone mainstream.

Professor Hochschild takes a somewhat Marxist approach to the dangers of emotional labour. In the same way that Marx worried about labourers being alienated from the physical products of their work, Professor Hochschild worries about the effects of labourers being alienated from the emotional products of their work.

Like all of Professor Hochschild’s books, The Managed Heart is in some sense an ethnography. The subjects of this book are bill collectors (who are required to do the emotional labour of avoiding sympathy or pity) and flight attendants (who must do the emotional labour of providing a cheery, relaxed façade). In both of these cases, these required emotions (and the feeling rules that produce them) might be variously consonant and dissonant with what the worker may wish to feel.

Earlier, I said that workers are being increasingly asked to avoid consonant feelings. Take as an example the bill collector, moved by pity or charity to seek to find a repayment schedule that works for their client or a flight attendant furious at a customer who is repeatedly belittling them. In both of these cases, emotions are correctly functioning (both as a signal function, and in accordance with societal feelings rules), but economic realities demand that the worker feel something else. Corporate requirements impose a new set of feelings rules, which may clash with extant ones, potentially grinding up workers in the process.

Acting in response to these alien feeling rules can be exhausting. For flight attendants, Professor Hochschild identified three stances they can take towards their work, each with its own risks:

In the first, the worker identifies too wholeheartedly with the job, and therefore risks burnout. In the second, the worker clearly distinguishes her- self from the job and is less likely to suffer burnout; but she may blame herself for making this very distinction and denigrate herself as ‘Just an actor, not sincere.” In the third, the worker distinguishes herself from her act, does not blame herself for this, and sees the job as positively requiring the capacity to act; for this worker there is some risk of estrangement from acting altogether, and some cynicism about it– “We’re just illusion makers.”

No job is entirely without risks (both physical and psychological), yet work must get done. I would have like to see Professor Hochschild better engage with this fact. Her potential solution (to give workers more control over the emotional labour they are required to do) is not as free of costs as she seems to think it is. For whenever it is not universal, all those companies that refuse to give control of emotional labour over to their employees may find themselves at a steep advantage. The threat of this (if emotional labour is indeed a competitive advantage) might be enough to keep whole industries scared of allowing any worker control, absent a mechanism for perfect coordination.

(It seems like the best way to free people from emotional labour would be to prove that it is not important. But we are social animals and so I doubt such a proof is forthcoming. Or possible at all.)

Still, there is often something deeply troubling about how emotional labour is framed. Professor Hochschild gives the example of a seminar about “reducing stress and making work more pleasant” at the flight attendant recurrent training centre. Belying the messaging, it seemed like the real purpose of the seminar was to convince the flight attendants to sublimate any anger they might, in the future, feel at passengers into emotions less risky for the company. A pleasant working environment was secondary to the corporate goals.

In the model of emotion-as-signal-function, anger is important. Indeed, it seems that negative emotions (specifically the negative affect/fear cluster) are particularly important to living a safe life. There seems to be something deeply wrong and dangerous to workers in telling them that all anger in their professional life is their own problem, to be appropriately handled, rather than occasionally indicative of a customer who is seriously overstepping lines.

Regardless of the right or wrong of it, the flight attendants interviewed in the book had to manage their anger and they talked about several strategies they had developed to do so (some of which were taught to them at recurrent training). They might put themselves in the angry customer’s shoes and try and imagine that person as suffering from some life events that explained and excused their behaviour. Or they might remind themselves that they only had to deal with the customer for a little while, allowing them drive out their anger and replace it with relief. Asking other co-workers for emotional support was officially discouraged, because it might lead to anger spreading. Flight attendants who could help their colleagues feel the officially sanctioned emotions (e.g. by diffusing anger with light-hearted joking) were valued members of teams.

Professor Hochschild suggests that we are trained for emotional labour from a young age. Or rather, that some children are. She suggests that working-class children are prepared to have their actions governed by rules, while middle-class children are prepared to have their feelings governed by rules. Note that this isn’t necessarily explicit. I recall receiving no specific training on emotion management, but I know that I picked it up somewhere and that I’m somewhat disturbed by people who seem unable or unwilling to practice emotion management.

One way that emotion work is taught (or not) is by family dynamics. Professor Hochschild suggests that many working-class families use a positional family control system, while middle-class families use a personal control system. In a positional family, authority is derived from a certain mixture of age, gender, employment status, parenthood, etc. Those with authority make decisions within their spheres of authority and the other members of the family must act in accordance with these decisions, although they don’t have to like it.

In a personal control system, control is achieved via appeals to the emotions of a child. Because all decisions of the child are framed as a choice (but with an obvious correct answer), this can lead to a maddening chain of explanations. Whenever the child states their preference, the parent will explain the decision in more detail and explain why the child should feel differently, such that they’ll have the “correct” preference. I can’t remember if this was explicitly mentioned, but it seems to me that this would also serve the purpose of inculcating in the child a strong understand of normative feeling rules.

There is also a relationship between these control systems and discipline. Professor Hochschild cites research that middle-class parents are more likely to sanction intent, while working-class parents are more likely to sanction actions. The working-class parent sanctions the child because of the results of a temper-tantrum. The middle-class parent sanctions the child because they lost their temper.

Professor Hochschild suggests that the sum of this is three messages sent to a (middle-class) child:

  • Feelings in others, particularly their superiors, are important and worth trying to understand.
  • Their own feelings are important and a valid reason for making decisions.
  • Feelings are meant to be managed, controlled, and yoked to rules.

It’s clear that because of this education, feelings rules are a gender and class issue. First, the feelings rules learned in childhood act as a middle- and upper-class shibboleth, making it clear who was raised outside of those classes. Working-class members looking for upwards mobility will have to do catch-up work that is entirely invisible – except in lapses – to those they are seeking to blend in with.

Second, in a world in which the higher ranks of government and corporations are biased towards men, women are given a particular incentive to be sensitive towards the feelings of men, while men have no corresponding requirement to be sensitive towards the feelings of women. Combine this with a toxic masculinity that leaves men little room to acknowledge or talk about feelings and you’re left with a situation where many men will seriously lack the capacity to understand – or even the knowledge that they should be trying to understand – the feelings of women in their lives.

Professor Hochschild frames the intersection of class and feeling rules somewhat more bluntly than I have:

More precisely, the class messages that parents pass on to their children may be roughly as follows. Middle class: “Your feelings count because you are (or will be) considered important by others:’ Lower class: “Your feelings don’t count because you aren’t (or won’t be) considered important by others:’

Note that this was written in the 80s and Professor Hochschild did suggest that orientation towards controlling emotions might soon (after the time of publication) cut across class lines due to the advent of automation. To an extent I think this has been borne out, but I feel like there is also an aesthetic element here. Class determines what emotions are acceptable to show (although of course this relationship is complicated and fickle, much like fashion), which also determines what people are raised to be able to do.

For a book that was supposed to focus on emotional labour, remarkably little of this book concerned actual interviews with labourers. The case studies here were much less in depth than in “The Second Shift” or “Strangers in Their Own Land”. This necessarily made the book harder to read and more academic and dry in tone. Ethnography often gives me the thrill of meeting (vicariously) interesting people (and of discovering that people I haven’t given much thought to are shockingly interesting!), but I found that distinctly lacking in this book.

(It’s much more theoretical than practical and I have to say that I prefer Professor Hochschild’s more practical books.)

That’s not to say the book wasn’t interesting or thought provoking. On the contrary, I often found thinking about it overwhelming. It introduced me to powerful models in areas of my life where I’d previously done little modelling.

If you want to better understand emotion, I recommend this book. If you want to read an entertaining ethnography, or see in depth case studies of how emotional management ties in to work, I’m less certain that you should. If you want an introduction to Professor Hochschild’s work, I also recommend skipping this one until you’ve read “The Second Shift”; that book is much more focused and somewhat better written.

Really, I think that my view of The Managed Heart illustrates a common problem, known to anyone who goes back and reads the earlier (and less polished) work of a beloved author. People grow, change, and develop. I can see some of the things I loved about Professor Hochschild’s later work here, but many other parts were missing.

Luckily Professor Hochschild has written several other books and they undoubtedly have more of what I like most about her. My ambivalence for the style (although not the contents) of this book have not at all dulled my resolution to read more of her work. Expect to see more reviews of Professor Hochschild’s books here in the future.

Model, Politics

Four Narratives on Mohammed Bin Salman

[10 minute read]

Since June 21st of this year, Mohammed bin Salman (often known by his initials, MBS) has been the crown prince of Saudi Arabia. This required what was assuredly not a palace coup, because changes of government or succession are never coups, merely “similar to coups”, “coup-like”, “coup-esque”, or “coupLite™” [1]. As crown prince, MBS has championed a loosening of religious restrictions on women and entertainment, a decrease in reliance on oil for state revenues, and a harder line with Qatar and Iran.

Media coverage has been, uh, split. Here’s an editorial in The Washington Post comparing MBS to Putin, while an editorial in The New York Times fawningly declares “Saudi Arabia’s Arab Spring, at Last” [2]. Given that there’s so much difference in opinion on MBS, I thought it might be useful to collect and summarize some of the common narratives, before giving my own perspective on the man.

MBS as the Enlightened Despot

Historical Archetype: Frederick the Great.
Proponents: Al Arabiya [3], optimistic western journalists.
Don’t talk to them about: The war in Yemen, the blockade of Qatar, the increased stifling of dissent.

Exemplified by the fawning column above, this school of thought holds that MBS is a dynamic young leader who will reform the Saudi economy, end its dependence on oil, overhaul its institutions, end corruption, and “restore” a more moderate form of Islam.

They point to several initiatives that back this up. There’s the Vision 2030 plan that aims to spur entrepreneurship and reduce corruption. There’s much needed educational reforms. There’s the decision to allow women to drive and view sports games. There’s the lifting of bans on entertainment. For some of them, the ambiguous clamp-down on “corruption” is even further evidence that MBS is very serious about his reforms.

To supporters, MBS has achieved much in very little time, which they take to be clear evidence of a strong work ethic and a keen intelligence. His current crop of reforms gives them clear hope that clerical power can be shattered and Saudi Arabia can one day become a functioning, modern, democracy.

MBS as a character in Game of Thrones

Historical Archetype: Richard Nixon
Proponents: Cynical western journalists, Al Jazeera
Don’t talk to them about: How real-life politics is never actually as interesting or well planned as Game of Thrones.

Cersei Lannister’s quotable warning, that “when you play a game of thrones you win or you die” might imply that MBS is on somewhat shaky ground. Proponents of the first view might dispute that and proponents of the next rejoice in it. Proponents of this view point out that so far, MBS seems to be winning.

By isolating Qatar and launching a war in Yemen, he has checked Iranian influence on the Arabian Peninsula. Whether or not it’s valid, his corruption crackdown has sidelined many potential sources of competition (and will probably net much needed liquid cash for the state coffers; it is ironic that Saudi state now turns to sources of liquidity other than the literal liquid that made it so rich). His conflict with Qatar might yet result in the shutdown of Al Jazeera, the most popular TV channel in the Arabic speaking world and long a thorn in the side of Saudi Arabian autocracy.

People who view the conflict through this lens either aren’t particularly concerned with right or wrong (e.g. westerners who just want to get their realpolitik fix) or think that the very fact that MBS might be engaging in HBO worthy realpolitik proves he is guilty of a grave crime (e.g. Al Jazeera, westerners worrying that the region might become even more unstable).

MBS as an overreaching tyrant

Historical Archetype: Joseph II (epitaph: “Here lies Joseph II, who failed in all he undertook.”)
Proponents: Arab spring activists and their allies
Don’t talk to them about: How much better MBS is than any plausible alternative.

Saudi Arabia is a rentier state with an unusual relationship with its population. Saudi state revenues are not derived from taxation (which almost invariably results in calls for responsible government), but instead from oil money. This money is distributed back to citizens via cushy government jobs. In Saudi Arabia, two-thirds of citizen employment is in the public sector. The private sector is almost wholly the purview of expats, who (if I’m reading the latest official Saudi employment report right) hold 75% of the non-governmental jobs [4].

With oil set to become obsolete in the next fifty years, Saudi Arabia is in a very bad position. The only thing that can save it is a diversified economy, but the path there isn’t smooth. Overarching reform of an economy is difficult and normally relies on extensive, society-wide consultation. Proponents of this theory see MBS as intent on centralizing power so that he can achieve this transformation single-handedly.

They note that the reversal of the ban on women driving has been paired with intense pressure on the very activists who originally agitated for its removal, pressure to say nothing and to avoid celebrations. They also note that the anti-corruption sweep conveniently removes many people who could have stood in MBS’s way as he embarks on his reforms and expropriates their wealth for the state [5]. They note that independent economists and other civil society figures – just the sort of people who could have provided (and did provide) nuanced feedback on Vision 2030 – have found themselves suddenly detained on MBS’s orders.

Proponents of this theory believe that MBS is trying to modernize Saudi Arabia, but that he is doomed to fail in his attempts without building a (possibly democratic) consensus around the direction of the kingdom. They believe that Saudi Arabia cannot have the civil society necessary for reform until the government stops viewing rights as something it gives the citizens (and that they must be grateful for), but as an inherent human birthright.

If you believe this, you’ll most likely see MBS as moving the kingdom further from this ideal. And you might see the invasion and ongoing war in Yemen as the sort of cluster-fuck we can expect from MBS’s too-rapid attempts to accumulate and use power.

My View

I would first like to note that one advantage of caricaturing other views then providing a synthesis is that you get to appear reasonable and nuanced by comparison. I’m going to claim that as my reward for going through the work to post this, but please do remember that other people have nuanced views too. I got where I am by reading or listening to them!

My overarching concern with respect to Saudi Arabia is checking the spread of Wahhabi fundamentalism. Saudi Arabia has been exporting this world-wide, with disastrous effects. Wahhabism may not be the official ideology of the so-called Islamic State (Daesh), but it is inextricably tied to their barbarism. Or rather, their barbarity is inextricably tied to and influenced by Wahhabism. It is incredibly easy to find articles by authors, Muslim or not, (many by academics) marking the connection between Wahhabism and terrorism.

The takfiri impulses of Wahhabism [6] underlie the takfiri doctrine so beloved of Daesh. Of course, the vast, vast majority of Wahhabis engage in neither terrorism, nor public executions of (by Canadian standards) innocent people. But insofar as those things do happen in the Sunni world, Wahhabi men are unusually likely to be the perpetrators. It is tempting to go further, to claim that conservatives are wrong – that there is no Islamic terrorism problem, merely a Wahhabi terrorism problem [7] – but this would be false.

(There is terrorism conducted by Shia Muslims and by other Sunni sects and to call terrorism a solely Wahhabi problem makes it sound like there are no peaceful Wahhabis. A much more accurate (and universal, as this is true across almost all religions and populations) single cause would be masculinity, as almost all terrorists are men.)

Still, the fact that so much terrorism can be traced back to a close western ally [8] is disquieting and breeds some amount of distrust of the west in some parts of the Islamic world (remember always that Muslim are the primary victims of Islamic terrorism; few have better reasons to despise Islamic terrorism than the terrorists’ co-religionists and most-frequent victims).

Beyond terrorist groups like Daesh, Wahhabism fuels sectarian conflicts, strips rights from women, makes life even more dangerous for queer people in Muslim countries, and leads to the arrest and persecution of atheists. I am in a general a staunch liberal and I believe that most religions can coexist peacefully and many represent paths towards human flourishing. I do not believe this about Wahhabism. It stifles flourishing and breeds misery wherever it lands. It must be stopped.

The fact that Wahhabism at home is a problem for MBS (the Wahhabi clergy is an alternative, non-royal power centre that he can’t directly control) could give me some hope that he might stop supporting Wahhabism. Certainly he has made statements to that effect. But it is very unclear if he has any real interest in ending Saudi Arabia $100 billion-dollar effort to export Wahhabism abroad. I would be unsurprised if he deals with the domestic problems inherent in displacing the clergy (i.e. they might not want to be displaced without a messy fight) by sending the most reticent and troublesome members abroad, where they won’t mess up his own plans.

There’s the added wrinkle of Iran. MBS clearly hates Iran and Wahhabism considers Iranian Shiites heretical by default. MBS could easily hold onto Wahhabism abroad simply for its usefulness in checking Iranian influence.

Second to this concern is my concern for the human rights of Yemenis. MBS launched a war that has been marked by use of cluster munitions and flagrant disregard for civilian casualties. MBS instigated this war and was defense minister for much of its duration. Its existence and his utter failure to hold his troops to humanitarian standards is a major black mark against him.

Finally, I care about human rights inside Saudi Arabia. It seems clear that in general, the human rights situation inside the country will improve with MBS in power. There really doesn’t exist a plausible power centre that is more likely to make the average Saudi freer. That said, MBS has detained activists and presided over the death sentence of peaceful protestors.

The average Saudi who does not rock the boat may see her life improve. But the activists who have struggled for human rights will probably not be able to enjoy them themselves.

What this means is that MBS is better than almost all plausible replacements (in the short-term), but he is by no means a good leader, or a morally upstanding individual. In the long term, he might stunt the very civil society that Saudi Arabia needs to become a society that accepts and promotes human flourishing [9]. And if he fails in his quest to modernize Saudi society, we’re much more likely to see unrest, repression, and a far worse regime than we are to see democratic change.

In the long run, we’re all dead. But before that, Saudi Arabia may be in for some very uncomfortable changes.

Footnotes

[1] As near as I can tell, the change was retroactively made all proper with the Allegiance Council, as soon as the fait was truly accompli. Reports that they approved it beforehand seem to come only from sources with a very vested interest in that being true. ^

[2] There’s something deeply disturbing about a major news organization comparing a change in which unelected despot will lead a brutal dictatorship with a movement that earnestly strove for democratic change. ^

[3] A note on news outlets linked to throughout this post: Al Arabiya is owned by Saudi Arabia and therefore tends to view everything Saudi Arabia does in the best possible light. Al Jazeera is owned by Qatar (which is currently being blockaded by Saudi Arabia) and tends to view the kingdom in the worst possible light. The Arab Tyrants Manual Podcast that informed my own views here is produced by Iyad El-Baghdadi, who was arrested for his Arab Spring reporting by The United Arab Emirates (a close ally of Saudi Arabia) and later exiled. This has somewhat soured his already dim view on Arab dictatorships. ^

[4] Foreigners make up about 53% of the total labour force and almost all of them work in the private sector. Saudis holding private jobs are ~15.5% of the labour force based on these numbers. If we divide 15.5% by 53% plus 15.5%, we get 22% of private jobs held by Saudis. I think for purposes of this comparison, Saudi Aramco, the state oil giant, counts as the public sector.

Remember also that Saudi Arabia has a truly dismal adult labour force participation rate, a side of effect of their deeply misogynistic public policy. ^

[5] Furthermore, they point out that it is basically impossible to tell if a Saudi royal is corrupt or not, because there is no clear boundary between the personal fortune of the Saud dynasty and the state coffers. Clearing up this particular ambiguity seems low on the priority list of a man who just bought a half-billion dollar yacht.

(If you’re not too lazy to click on a footnote, but are too lazy to click on a link, it was MBS. MBS bought the giant yacht. Spoilers.) ^

[6] I’ve long held the belief that Wahhabism is dangerous. When talking about this with my Muslim friends, I was often hesitant and apologetic. I needn’t have been. Their vehemence in criticism of Wahhabism often outstripped mine. That was because they had all of my reasons to dislike Wahhabism, plus the unique danger takfir presented to them.

Takfir is the idea that Wahhabis (or their ideological descendants) may deem other Muslims to be infidels if they do not follow Wahhabism’s austere commandments. This often leads to the execution or lynching of more moderate Muslims at the hands of takfiris. As you may have guessed, most North American Muslims could be called takfir by Wahhabis or others of their ilk.

Remember: there are Quranic rules of conduct (oft broken, but still existing) that govern how ISIL may treat Christians or Jews. With those they declare takfir, there are no such niceties. Daesh ecstatically executes Muslims they deem takfir.

Takfir is one of the many reasons that it is easy to find articles by Muslim authors decrying Wahhabism. Many Muslims legitimately fear a form of Islam that would happily deem them heretical and execute them. ^

[7] It is commonly reported that 15 of the 19 September 11 hijackers were Saudi men, brought up on Wahhabism. The link between Wahhabism, takfir, and terrorism is another reason it is common to find non-Wahhabi Muslims opposed to Wahhabism. Here’s a sampling of English language reporting on Daesh from Muslim countries. Indeed, in many sources I’ve read, the word takfiri was exclusively followed by “terrorist” or “terrorists”. ^

[8] It remains baffling and disgusting that politicians like Donald Trump, Teresa May, and Justin Trudeau can claim to oppose terrorism, while also maintaining incredibly close relationships with Saudi Arabia, which was described in a leaked diplomatic cable as “the most significant source of funding to Sunni terrorist groups worldwide”. ^

[9] To create a civil society, Saudi Arabia would need to lift restrictions on the press, give activists some official power, and devolve more power to elected municipalities. Civil society is the corona of pressure groups, advisors, and influencers that exist around a government and allow people to build common knowledge about their desires. Civil society helps you understand just how popular or unpopular a government policy is and gives you a lever to pull if you want to influence it.

A functioning civil society protects a government from its own mistakes (by making an outcry possible before any deed is irreversibly done) and helps ensure that the government is responsible to the will of the people.

That MBS is working hard to prevent civil society shows that he has no desire for feedback and believes he knows better than literally everyone else in the country who is not already his sycophant. I see few ways this could end well. ^

Model, Philosophy

When Remoter Effects Matter

In utilitarianism, “remoter effects” are the result of our actions influencing other people (and are hotly debated). I think that remoter effects are often overstated, especially (as Sir Williams said in Utilitarianism for and against) when they give the conventionally ethical answer. For example, a utilitarian might claim that the correct answer to the hostage dilemma [1] is to kill no one, because killing weakens the sanctity of human life and may lead to more deaths in the future.

When debating remoter effects, I think it’s worthwhile to split them into two categories: positive and negative. Positive remoter effects are when your actions cause others to refrain from some negative action they might otherwise take. Negative remoter effects are when your actions make it more likely that others will engage in a negative action [2].

Of late, I’ve been especially interested in ways that positive and negative remoter effects matter in political disagreements. To what extent will acting in an “honourable” [3] or pro-social way convince one’s opponents to do the same? Conversely, does fighting dirty bring out the same tendency in your opponents?

Some of my favourite bloggers are doubtful of the first proposition:

In “Deontologist Envy”, Ozy writes that we shouldn’t necessarily be nice to our enemies in the hopes that they’ll be nice to us:

In general people rarely have their behavior influenced by their political enemies. Trans people take pains to use the correct pronouns; people who are overly concerned about trans women in bathrooms still misgender them. Anti-racists avoid the use of slurs; a distressing number of people who believe in human biodiversity appear to be incapable of constructing a sentence without one. Social justice people are conscientious about trigger warnings; we are subjected to many tedious articles about how mentally ill people should be in therapy instead of burdening the rest of the world with our existence.

In “The Blues of Self-Regulation”, David Schraub talks about how this specifically applies to Republicans and Democrats:

The problem being that, even when Democrats didn’t change a rule protecting the minority party, Republicans haven’t even blinked before casting them aside the minute they interfered with their partisan agenda.

Both of these points are basically correct. Everything that Ozy says about asshats on the internet is true and David wrote his post in response to Republicans removing the filibuster for Supreme Court nominees.

But I still think that positive remoter effects are important in this context. When they happen (and I will concede that this is rare), it is because you are consistently working against the same political opponents and at least some of those opponents are honourable people. My favourite example here (although it is from war, not politics) is the Christmas Day Truce. This truce was so successful and widespread that high command undertook to move men more often to prevent a recurrence.

In politics, I view positive remoter effects as key to Senator John McCain repeatedly torpedoing the GOP healthcare plans. While Senators Murkowski and Collins framed their disagreements with the law around their constituents, McCain specifically mentioned the secretive, hurried and partisan approach to drafting the legislation. This stood in sharp contrast to Obamacare, which had numerous community consultations, went through committee and took special (and perhaps ridiculous) care to get sixty senators on board.

Imagine that Obamacare had been passed after secret drafting and no consultations. Imagine if Democrats had dismantled even more rules in the senate. They may have gotten a few more of their priorities passed or had a stronger version of Obamacare, but right now, they’d be seeing all that rolled back. Instead of evidence of positive remoter effects, we’d be seeing a clear case of negative ones.

When dealing with political enemies, positive remoter effects require a real sacrifice. It’s not enough not to do things that you don’t want to do anyway (like all the examples Ozy listed) and certainly not enough to refrain from doing things to third parties. For positive remoter effects to matter at all – for your opponents (even the honourable ones) not to say “well, they did it first and I don’t want to lose” – you need to give up some tools that you could use to advance your interests. Tedious journalists don’t care about you scrupulously using trigger warnings, but may appreciate not receiving death threats on Twitter.

Had right-wingers refrained from doxxing feminist activists (or even applied any social consequences at all against those who did so), all principled people on the left would be refusing to engage in doxxing against them. As it stands, that isn’t the case and those few leftists who ask their fellow travelers to refrain are met with the entirely truthful response: “but they started it!”

This highlights what might be an additional requirement for positive remoter effects in the political sphere: you need a clearly delimited coalition from which you can eject misbehaving members. Political parties are set up admirably for this. They regularly kick out members who fail to act as decorously as their office demands. Social movements have a much harder time, with predictable consequences – it’s far too easy for the most reprehensible members of any group to quickly become the representatives, at least as far as tactics are concerned.

Still, with positive remoter effects, you are not aiming at a movement or party broadly. Instead you are seeking to find those honourable few in it and inspire them on a different path. When it works (as it did with McCain), it can work wonders. But it isn’t something to lay all your hopes on. Some days, your enemies wake up and don’t screw you over. Other days, you have to fight.

Negative remoter effects seem so obvious as to require almost no explanation. While it’s hard (but possible) to inspire your opponents to civility with good behaviour, it’s depressingly easy to bring them down to your level with bad behavior. Acting honourably guarantees little, but acting dishonourably basically guarantees a similar response. Insofar as honour is a useful characteristic, it is useful precisely because it stops this slide towards mutual annihilation.

Notes:

[1] In the hostage dilemma, you are one of ten hostages, captured by rebels. The rebel leader offers you a gun with a single bullet. If you kill one of your fellow hostages, all of the survivors (including you) will be let free. If you refuse all of the hostages (including you) will be killed. You are guarded such that you cannot use the weapon against your captors. Your only option is to kill another hostage, or let all of the hostages be killed.

Here, I think remoter effects fail to salvage the conventional answer and the only proper utilitarian response is to kill one of the other hostages. ^

[2] Here I’m using “negative” in a roughly utilitarian sense: negative actions are those that tend to reduce the total utility of the world. When used towards good ends, negative actions consume some of the positive utility that the ends generate. When used towards ill ends, negative actions add even more disutility. This definition is robust against different preferred plans of actions (e.g. it works across liberals and conservatives, who might both agree that political violence tends to reduce utility, even if it doesn’t always reduce utility enough to rule it out in the face of certain ends), but isn’t necessarily robust across all terminal values (e.g. if you care only about reducing suffering and I care only for increasing happiness we may have different opinions on the tendency of reproduction towards good or ill).

Negative actions are roughly equivalent to “defecting”. “Roughly” because it is perhaps more accurate to say that the thing that makes defecting so pernicious is that it involves negative actions of a special class, those that generate extra disutility (possibly even beyond what simple addition would suggest) when both parties engage in them. ^

[3] I used “honourable” in several important places and should probably define it. When discussing actions, I think honourable actions are the opposite of “negative” actions as defined above: actions that tend towards the good, but can be net ill if used for bad ends. When describing “people” as honourable, I’m pointing to people who tend to reinforce norms around cooperation. This is more or less equivalent to being inherently reluctant to use negative actions to advance goals unless provoked.

My favourite example of honour is Salah ad-Din. He sent his own personal physician to tend to King Richard, who was his great enemy and used his own money to buy back a child kidnapped into slavery. Conveniently for me, Salah ad-Din shows both sides of what it means to be honourable. He personally executed Raynald III of Tripoli after Raynald ignored a truce, attacked Muslim caravans, and tortured many of the caravaners to death. To Guy of Lusignan, King of Jerusalem (who was captured in the same battle as Raynald and wrongly feared he was next to die), Salah ad-Din said: “[i]t is not the wont of kings, to kill kings; but that man had transgressed all bounds, and therefore did I treat him thus.” ^

History, Model

Warriors and Soldiers

Epistemic Status: Full of sweeping generalizations because I don’t want to make it 10x longer by properly unpacking all the underlying complexity.

[9 minute read]

In 2006, Dr. Atul Gawande wrote an article in The New Yorker about maternal care entitled “How Childbirth Went Industrial“. It’s an excellent piece from an author who consistently produces excellent pieces. In it, Gawande charts the rise of the C-section, from its origin as technique so dangerous it was considered tantamount to murder (and consequently banned on living mothers), to its current place as one of the most common surgical procedures carried out in North American hospitals.

The C-section – and epidurals and induced labour – have become so common because obstetrics has become ruthlessly focused on maximizing the Apgar score of newborns. Along the way, the field ditched forceps (possibly better for the mother yet tricky to use or teach), a range of maneuvers for manually freeing trapped babies (likewise difficult), and general anesthetic (genuinely bad for infants, or at least for the Apgar scores of infants).

The C-section has taken the place of much of the specialized knowledge of obstetrics of old, not the least because it is easy to teach and easy for even relatively less skilled doctors to get right. When Gawande wrote the article, there was debate about offering women in their 39th week of pregnancy C-sections as an alternative to waiting for labour. Based on the stats, this hasn’t quite come to pass, but C-sections have become slightly more prevalent since the article was written.

I noticed two laments in the piece. First, Gawande wonders at the consequences of such an essential aspect of the human experience being increasingly (and based off of the studies that show forceps are just as good as C-sections, arguably unnecessarily) medicalized. Second, there’s a sense throughout the article that difficult and hard-won knowledge is being lost.

The question facing obstetrics was this: Is medicine a craft or an industry? If medicine is a craft, then you focus on teaching obstetricians to acquire a set of artisanal skills—the Woods corkscrew maneuver for the baby with a shoulder stuck, the Lovset maneuver for the breech baby, the feel of a forceps for a baby whose head is too big. You do research to find new techniques. You accept that things will not always work out in everyone’s hands.

But if medicine is an industry, responsible for the safest possible delivery of millions of babies each year, then the focus shifts. You seek reliability. You begin to wonder whether forty-two thousand obstetricians in the U.S. could really master all these techniques. You notice the steady reports of terrible forceps injuries to babies and mothers, despite the training that clinicians have received. After Apgar, obstetricians decided that they needed a simpler, more predictable way to intervene when a laboring mother ran into trouble. They found it in the Cesarean section.

Medicine would not be the first industry to industrialize. The quasi-mythical King Ludd that gave us the phrase “Luddite” was said to be a weaver, put out of business by the improved mechanical knitting machines. English programs turn out thousands of writers every year, all with an excellent technical command of the English language, but most with none of the emotive power of Gawande. Following the rules is good enough when you’re writing for a corporation that fears to offend, or for technical clarity. But the best writers don’t just know how to follow the rules. They know how and when to break them.

If Gawande was a student of military history, he’d have another metaphor for what is happening to medicine: warriors are being replaced by soldiers.

If you ever find yourself in possession of a spare hour and feel like being lectured breathlessly by a wide-eyed enthusiast, find your local military history buff (you can identify them by their collection of swords or antique guns) and ask them whether there’s any difference between soldiers and warriors.

You can go do this now, or I can fill in, having given this lecture many times myself.

Imagine your favourite (or least favourite) empire from history. You don’t get yourself an empire by collecting bottle caps. To create one, you need some kind of army. To staff your army, you have two options. Warriors, or soldiers.

(Of course, this choice isn’t made just by empires. Their neighbours must necessarily face the same conundrum.)

Warriors are the heroes of movies. They were almost always the product of training that starts at a young age and more often than not were members a special caste. Think medieval European Knights, Japanese Samurai, or the Hashashin fida’i. Warriors were notable for their eponymous mastery of war. A knight was expected to understand strategy and tactics, riding, shooting, fighting (both on foot and mounted), and wrestling. Warriors wanted to live up to their warrior ethos, which normally emphasized certain virtues, like courage and mercy (to other warriors, not to any common peasant drafted to fight them).

Soldiers were whichever conscripts or volunteers someone could get into a reasonable standard of military order. They knew only what they needed to complete their duties: perhaps one or two simple weapons, how to march in formation, how to cook, and how to repair some of their equipment [1]. Soldiers just wanted to make it through the next battle alive. In service to this, they were often brutally efficient in everything they did. Fighting wasn’t an art to them – it was simple butchery and the simpler and quicker the better. Classic examples of soldiers are the Roman Legionaries, Greek Hoplites, and Napoleon’s Grande Armée.

The techniques that soldiers learned were simple because they needed to be easy to teach to ignorant peasants on a mass scale in a short time. Warriors had their whole childhood for elaborate training.

(Or at least, that’s the standard line. In practice, things were never quite as clear cut as that – veteran soldiers might have been as skilled as any warrior, for example. The general point remains though; one on one, you would always have bet on a warrior over a soldier.)

But when you talk about armies, a funny thing happens. Soldiers dominated [2]. Individually, they might have been kind of crap at what they did. Taken as a whole though, they were well-coordinated. They looked out for each other. They fought as a team. They didn’t foolishly break ranks, or charge headlong into the enemy. When Germanic warriors came up against Roman soldiers, they were efficiently butchered. The Germans went into battle looking for honour and perhaps a glorious death. The Romans happily gave them the latter and so lived (mostly) to collect their pensions. Whichever empire you thought about above almost certainly employed soldiers, not warriors.

It turns out that discipline and common purpose have counted for rather a lot more in military history than simple strength of arms. Of this particular point, I can think of no better example than the rebellion that followed the Meiji restoration. The few rebel samurai, wonderfully trained and unholy terrors in single combat were easily slaughtered by the Imperial conscripts, who knew little more than which side of a musket to point at the enemy.

The very fact that the samurai didn’t embrace the firing line is a point against them. Their warrior code, which esteemed individual skill, left them no room to adopt this devastating new technology. And no one could command them to take it up, because they were mostly prima donnas where their honour was concerned.

I don’t want to be too hard on warriors. They were actually an efficient solution to the problem of national defence if a population was small and largely agrarian, lacked political cohesion or logistical ability, or was otherwise incapable of supporting a large army. Under these circumstances, polities could not afford to keep a large population under arms at all times. This gave them several choices: they could rely on temporary levies, who would be largely untrained. They could have a large professional army that paid for itself largely through raiding, or they could have a small, elite cadre of professional warriors.

All of these strategies had disadvantages. Levies tended to have very brittle morale, and calling up a large proportion of a population makes even a successfully prosecuted war economically devastating. Raiding tends to make your neighbours really hate you, leading to more conflicts. It can also be very bad for discipline and can backfire on your own population in lean times. Professional warriors will always be dwarfed in numbers by opponents using any other strategy.

Historically, it was never as simple as solely using just one strategy (e.g. European knights were augmented with and eventually supplanted by temporary levies), but there was a clear lean towards one strategy or another in most resource-limited historical polities. It took complex cultural technology and a well-differentiated economy to support a large force of full time soldiers and wherever these pre-conditions were lacking, you just had to make do with what you could get [3].

When conditions suddenly call for a struggle – whether that struggle is against a foreign adversary, to boost profits, or to cure disease, it is useful to look at how many societal resources are thrown at the fight. When resources are scarce, we should expect to see a few brilliant generalists, or many poorly trained conscripts. When resources are thick on the ground, the amount that can be spent on brilliant people is quickly saturated and the benefits of training your conscripts quickly accrue. From one direction or another, you’ll approach the concept of soldiers.

Doctors as soldiers, not as warriors is the concept Gawande is brushing up against in his essay. These new doctors will be more standardized, with less room for individual brilliance, but more affordances for working well in teams. The prima donnas will be banished (as they aren’t good team players, even when they’re brilliant). Dr. Gregory House may have been the model doctor in the Victorian Age, or maybe even in the fifties. But I doubt any hospital would want him now. It may be that this standardization is just the thing we need to overcome persistent medical errors, improve outcomes across the board, and make populations healthier. But I can sympathize with the position that it might be causing us to lose something beautiful.

In software development, where I work, a similar trend can be observed. Start-ups aggressively court ambitious generalists, for whom freedom to build things their way is more important than market rate compensation and is a better incentive than even the lottery that is stock-options. At start-ups, you’re likely to see languages that are “fun” to work with, often dynamically typed, even though these languages are often considered less inherently comprehensible than their more “enterprise-friendly” statically typed brethren.

It’s with languages like Java (or its Microsoft clone, C#) and C++ that companies like Google and Amazon build the underlying infrastructure that powers large tracts of the internet. Among the big pure software companies, Facebook is the odd one out for using PHP (and this choice required them to rewrite the code underlying the language from scratch to make it performant enough for their large load).

It’s also at larger companies where team work, design documents, and comprehensibility start to be very important (although there’s room for super-stars at all of the big “tech” companies still; it’s only in companies more removed from tech and therefore outside a lot of the competition for top talent where being a good team player and writing comprehensible code might top brilliance as a qualifier). This isn’t to say that no one hiring for top talent appreciates things like good documentation, or comprehensibility. Merely that it is easy for a culture that esteems individual brilliance to ignore these things are a mark of competence.

Here the logic goes that anyone smart enough for the job will be smart enough to untangle the code of their predecessors. As anyone who’s been involved in the untangling can tell you, there’s a big difference between “smart enough to untangle this mess” and “inclined to wade through this genius’s spaghetti code to get to the part that needs fixing”.

No doubt there exist countless other examples in fields I know nothing about.

The point of gathering all these examples and shoving them into my metaphor is this: I think there exist two important transitions that can occur when a society needs to focus a lot of energy on a problem. The transition from conscripts to soldiers isn’t very interesting, as it’s basically the outcome of a process of continuous improvement.

But the transition from warriors to soldiers is. It’s amazing that we can often get better results by replacing a few highly skilled generalists who apply a lot of hard fought decision making, with a veritable army of less well trained, but highly regimented and organized specialists. It’s a powerful testament to the usefulness of group intelligence. Of course, sometimes (e.g. Google, or the Mongols) you get both, but these are rare happy accidents.

Being able to understand where this transition is occurring helps you understand where we’re putting effort. Understanding when it’s happening within your own sphere of influence can help you weather it.

Also note that this transition doesn’t only go in one direction. As manufacturing becomes less and less prevalent in North America, we may return to the distant past, when manufacturing stuff was only undertaken by very skilled artisans making unique objects.

Footnotes:

[1] Note the past tense throughout much of this essay; when I speak about soldiers and warriors, I’m referring only to times before the 1900s. I know comparatively little about how modern armies are set up. ^

[2] Best of all were the Mongols, who combined the lifelong training of warriors with the discipline and organization of soldiers. When Mongols clashed with European knights in Hungary, their “dishonourable” tactics (feints, followed by feigned retreats and skirmishing) easily took the day. This was all possible through a system of signal flags that allowed Subutai to command the whole battle from a promontory. European leaders were expected to show their bravery by being in the thick of fighting, which gave them no overall control over their lines. ^

[3] Historically, professional armies with good logistical support could somewhat pay for themselves by expanding an empire, which brought in booty and slaves. This is distinct from raiding (which does not seek to incorporate other territories) and has its own disadvantages (rebellion, over-extension, corruption, massive unemployment among unskilled labourers, etc.). ^