Thursday, November 21, 2013

Aztec Political Thought

(A footnote on Inga Clendinnen’s extraordinary “Aztecs: An Interpretation.” If there’s a better book on the Aztecs than this, I want to read it).

The Aztecs are hard to love. Theirs was a highly hierarchical society in which human sacrifice was a hugely important practice, ruling over a tributary empire oppressive enough that Cortés and his small band of Spaniards were easily able to foment rebellion among subject peoples and eventually destroy Tenochtitlan, despite being heavily outnumbered and more or less constantly on the brink of disaster. (Though I should say that Cortés himself strikes me as a great example of the Machiavellian “new prince,” a genuine conqueror of fortuna, always able to take advantage of whatever opportunities presented themselves). The usual presentation of the Aztecs as a warrior culture whose principal claim to fame is that they were able to conquer other peoples and leave behind some impressive monuments leaves me cold, and their art always struck me as difficult to relate to. But Inga Clendinnen’s superb book on the Aztecs paints such a powerfully seductive picture of their polity that I feel like I have a grasp of what is truly interesting about them for the first time. In particular, the Aztec (or better, the Mexica) view of (what we call today) “political” authority struck me as extraordinarily thought-provoking and worth thinking about, in part because it seems so alien, and in part because it shows the enormous importance of ritual in politics.

Consider this passage Clendinnen quotes from the Florentine Codex (one of the main sources for pre-conquest Mexica thought and culture), coming after the speech with which the Mexica greeted a new tlatoani (ruler; literally, the “Great Speaker”) and exhorted him to good behaviour:

Those early and anxious exhortations to benevolent behaviour were necessary, ‘for it was said when we replaced one, when we selected someone … he was already our lord, our executioner and our enemy.’ (p. 80; the quote is from Book 6, chapter 10, in Dibble and Anderson’s translation from the Nahuatl).

It’s an arresting thought: “he was already our lord, our executioner, and our enemy.” (Clendinnen comments on the “desolate cadence” of these words). The ruler is not understood by the Mexica as normally benevolent though potentially dangerous; he is the enemy, and yet as the enemy he is indispensable. There is something profoundly alien in this thought, with its unsettling understanding of “legitimacy,” something I do not find anywhere in the classical Western tradition of political thought. (Indeed, as longtime readers may guess, I think the political thought of the Mexica is further evidence of how impoverished and irrelevant our ideas about legitimacy are in the vast majority of historical cases).

But Aztec cosmology, it turns out, goes much further than this. The ruler embodies or channels Tezcatlipoca, who is often vaguely characterized as a god of “fate and war” (and normally downplayed in favor of Huizilopochtli, e.g., in the current Te Papa exhibit on the Aztecs here in Wellington, who is more understandable as a straightforward god of war, and is viewed as the “patron” of the Tenochtitlan Mexica). But Tezcatlipoca is the more important deity: he is described at the beginning of Book 6 of the Florentine Codex as “the principal god” of the Mexica.


A representation of Tezcatlipoca from the Codex Borgia. Image from Wikimedia Commons.

And he is not a merciful or benevolent god; on the contrary, he represents a kind of arbitrary malice that is visited on all alike, and is variously addressed as the Enemy on Both Sides, the Mocker, He Whose Slaves We Are, and the Lord of the Smoking Mirror (for the smoky reflections in dark obsidian mirrors used by the shamans, “obscure intimations of what was to come endlessly dissolving back into obscurity,” as Clendinnen puts it [p. 148]). From the same great prayer in Book 6 quoted earlier, addressing the ruler:

O my son, O our lord, O ruler, O my grandson: Our lord, the lord of the near, of the nigh, is made to laugh. He is arbitrary, he is capricious, he mocketh. He willeth the manner he desireth. He is placing us in the palm of his hand; he is making us round. We roll; we become as pellets. He is casting us from side to side. We make him laugh; he is making a mockery of us. (Florentine Codex, Book 6, chapter 10; p. 51 of Dibble and Anderson’s translation. The image is of a small ball of seed dough, rolled in the hand of the god).

Human and divine authority seem equally inescapable and malicious. The entire address to the ruler in this section of the Florentine Codex does contain a number of admonitions to behave well, yet it insists that nothing the ruler does will be sufficient to escape Tezcatlipoca’s malice; good behavior is no guarantee of divine favour:

Perhaps thou canst for a time support the governed … [But] [t]hou wilt become as smut, and he [Tezcatlipoca] will send you into the vegetation, into the forest. And he will cast thee, push thee, as is said, into the excrement, into the refuse … In thy time there will be disunity, quarreling in thy city. No more wilt thou be esteemed; no more wilt thou be regarded. … And soon it is all for thee; the lord of the near, of the nigh, will destroy thee, will hide thee, will trample thee underfoot. (pp. 49-50 of Dibble and Anderson’s translation of book 6, chapter 10 of the Florentine Codex).

(Clendinnen notes many other examples of the “shared and steady vision common to the different social groupings in Tenochtitlan” concerning “the casual, inventive, tireless malice of the only sacred force concerned with the fates of men,” p. 148).  And the ruler himself is a microcosmic image of the macrocosmic arbitrariness of Tezcatlipoca; as Clendinnen puts it, “Tezcatlipoca in the Mexica imagining of him was the epitome of the great lord: superb; indifferent to homage, with its implication of legitimate dependence; all bounty in his hand; and altogether too often not in the giving vein” (p. 83). She comments at more length on the analogies between divine and political authority:

It was this principle of subversion, of wanton, casual, antisocial power which was peculiarly implicated in Mexica notions of rule, and was embodied (at least on occasion) in the Mexica ruler. … For most of the time the tlatoani functioned in the mundane world, his authority deriving from his exalted lineage, his conquests, and his position as head of the social hierarchy. But that was merely a human authority, which could be displaced by Tezcatlipoca's overwhelming presence, especially when men who had violated the social order were brought before their lord. The place of royal judgment was called ‘the slippery place’, because beyond it lay total destruction. If his careful judges reflected on the niceties of their judgments, there were no judicious metaphors in the ruler’s punishment: only obliterating sacred power (p. 80).

When reading these passages, I cannot help but think: how could the Mexica be reconciled to their social and natural worlds with such an arbitrary, even malignant conception of divine and political authority? How is a ruler or a deity who is simultaneously seen as an enemy inspire support and commitment? As Clendinnen puts it, the puzzle is that “submission to a power which is caprice embodied is a taxing enterprise, yet it is that which the most devoted Mexica appear to have striven to achieve” (p. 76). Yet she hits on the right answer, I think, when she interprets these statements in the context of the rituals of Mexica society. In particular, she shows the Aztec state as an extraordinary example of what Clifford Geertz, referring to pre-colonial Bali, once called the “theatre state.”

I mentioned earlier that human sacrifice was one of the central practices of Mexica society. But this does not quite capture what was going on. Human sacrifice was the most intense part of the pervasive ritual practices that structured Mexica society, but it was never merely sacrifice.  Sacrifice was the culminating act of a set of amazing spectacles, enormously powerful intensifiers of emotion that made use of the entire register of Aztec symbols and pharmacopeia, and drew on the full resources of the empire. (Clendinnen’s descriptions of the Toxcatl, Izcalli, and Ochpanitzli festivals, running to many pages, cannot be properly summarized here – I am not competent enough – but they give a taste of the overwhelming intensity of the Mexica experience of ritual life, something that we can barely appreciate from looking at the stone relics available in museums). These spectacles were not closed or purely elite affairs, but involved the enthusiastic participation of ordinary people (as far as we can tell, but Clendinnen makes a good case). And they were not “games” (like the Roman gladiatorial contests) for the entertainment of spectators, or irregular and more or less infrequent affairs, like witch burning or hangings in Europe. Human sacrifice happened regularly and was central to Mexica self-understanding: “It is Mexica picturings which dwell on the slow tides of blood down the steps of the pyramids, on skull-faced deities chewing on human limbs, and human hearts pulped into stone mouths ... The killings, whether large or small, were frequent: part of the pulse of living” (p. 88).

The Mexica, like most other peoples that have ever engaged in sacrificial practices, understood these rituals partly in instrumental terms – as ways to “propitiate” the gods so as to achieve some favorable outcome. (And I suspect that, given a geographical setting where the main instrumental aim of religious ritual was to avert natural dangers that came at irregular intervals, such practices were subject to an “intensification ratchet” – if your efforts did not succeed in preventing the earthquake, volcanic eruption, or hurricane despite the previous long period of peace and quiet, the best inference is that it’s probably because you did not try hard enough. But that’s a story for another day; see Watson’s “The Great Divide” for some speculations along these lines). Clendinnen suggests that the Mexica understood what they were doing as, in a sense, catching the attention of the gods and awakening their pride:

The aim was to waken pride … The gods, those notoriously abstracted givers, had first to be attracted by performances which would catch their attention, and then coaxed to munificence by the presentation of gifts, the richer the better. There were histrionic displays of confidence in the generosity of the lordly giver (p. 72).

But the religious instrumentality of the ritual was the least important part of their function, in my view; I suspect, as I’ve said on another occasion, that here ritual is prior to belief. For one thing, Mexica rituals, as powerful intensifiers of emotion, were singularly effective at producing experiences of the sacred; it makes better sense to say that rituals were for the sake of these emotional experiences than to say that they were for the sake of certain material outcomes (like victory in war, or a good harvest, or the avoidance of natural disasters), though they were obviously rationalized in such ways (e.g., as means to ensure that the sun rose every day, or to prevent the destruction of the world, etc.). At the end of the day, human sacrifice is, instrumentally speaking, pure waste: it only makes sense from the point of view of the intensified emotions (“experiences of the sacred”) that it helps produce in ritual context. In turn these emotions bound together the community and made for a particularly intense kind of social life:

If Mexica rituals were valued for their connections and commentaries on life and their capacity to forge a particular kind of unity out of difference, participation was itself addictive. Given that access to ritual excitements was not an occasional grace note but an enduring part of the rhythm of living, ritual-generated experience and ritual-generated knowledge among the Mexica opened zones of thought and feeling at once collective, cumulative and transformative (p. 241).

We might say that the theatre state at Tenochtitlan was primarily organized not to provide security, prosperity, or even glory, but for producing transcendental experiences. In this setting, Mexica priests were, in Clendinnen’s felicitous phrase, “impresarios of the sacred” (p. 242), practitioners of the only art that really mattered in the polity, and capable of setting in motion all of its resources for the sake of producing such collective experiences. Their “work” involved not just sacrifice, but a whole series of techniques, from fasting to powerful hallucinogenic drugs to chanting and dance, designed for maximum emotional effect. (There is a great deal of interesting “psychological engineering” in Mexica ritual, and I occasionally wondered idly about the genesis of such complicated practices). And the overall effect of their work was a “calculated assault on the senses,” that contrived

by very different means, the kind of delirium that we associate not with high reverence but with Carnival. Through the chant when the priests spoke in the voice of the gods and the people replied; the swirling movement of processions and the slow turnings of the dancers in the flare of the pine torches; through the long preparation, the long isolation from the routine in the fasting period, the distancing formality of the painting and robing; through the patterns of dance and drum and song etched into the senses and graven into the muscles of throat and calf and thigh, came a shifting in awareness and of the boundaries of the self. And only then, as the self evaporated and the choreographed excitements multiplied and the sensations came flooding in, did the god draw near (p. 258; I could quote Clendinnen all day).

Such rituals should not, I think, be understood as promoting an “ideology” of submission – in the sense of stories told by ruling classes to preserve their privileges. No “private” privileges could compare to the intensity of these manufactured collective experiences, for one thing; and, as Clendinnen notes, the rituals at Tenochtitlan did not help to compel acceptance of Aztec supremacy among subject peoples either. Though it is true that in their thoroughgoing embrace of submission to and dependence on the god, Mexica rituals did dramatize the microcosmic hierarchy as an instance of the macrocosmic one, that hierarchy is not presented as just, or fair, or otherwise as "justified" in any sense we could recognize; the power of such practices was in their sacralization of social life through extraordinary emotion, not in their "justificatory" content. At the end of the day, their deep “message” could hardly serve to legitimize anything in the sense of persuading the subjects of the ruling elite’s “right to rule.” Again, Clendinnen is a much better writer than I am:

Just how fragile our social worlds are is something normally and mercifully masked from us, perhaps because we have been too little sensitive to the difference between societies which proceed as if the cultural terms of their existence are reasonably well fixed, and those where the 'making' aspect is evident, and where the recognition of dynamic possibilities is counterpoised by the recognition of the fragility of that which is made: the subversive insight built into the texture of that which is built. … In imperial Tenochtitlan the hierarchy was privileged to watch enactments intimating its own necessary final dissolution, or at least acknowledge its carefully crafted state to be a made thing: another precarious human construct. Beneath the immediate and superficial message of the high rituals ('the Mexica, gloriously differentiated, gloriously dominate') the darkest aspect of the human condition was dramatized through this brilliant human making …

What the rituals finally and most powerfully represented was a vision subversive of human distinctions, with all the elegancies and elaborations of the social order collapsed into the carnal indifference of death. The glamour attending the warrior performance on the gladiatorial stone would seem to be in fine accord with the 'warrior ideology' and its classification as state-sustaining, as handpicked Mexica warriors delicately slit the skin of their tethered victims in a display of Mexica might; but an analysis sustained over the whole parabola of the action from the perspective of the captor and his kin suggests a much darker vision. And most ritual warrior deaths were notably less heroic: trussed like deer to be logged, heads lolling, up the pyramid steps; others, similarly trussed, cast writhing into the fire …

Honours so hardly won were denied, ignored, made meaningless as men, jealous of least indicators of rank and ordered in accordance with that rank, watched undifferentiated bipeds being done to bloody death. …

In that butchery - there was no surgical precision here - blood jetted up, heads dangled from priests' hands, violated bodies were carried away for more dismemberings and distributions. And all this where large-scale butchery of animals was unknown; where humans were the creatures men most often saw slaughtered. If (as some would claim) all ceremonial works to sustain the existing social and political order, these performances did so in most devious ways. It is a perilous business to assert over close to half a millenium and vast cultural distance what the Mexica saw, and made of what they saw. It is nonetheless difficult to see these enactments as directly legitimating the Mexica, or indeed any, social order [my emphasis]. …

What the Mexica were shown, again and again, was a hard lesson - hard because it ran counter to human passions, vanities and affections, allowing no status to individuals or peoples or castes, but speaking only to mankind: the human body, cherished as it might be, was no more than one stage in vegetable cycle of transformations, and human society a human arrangement to help sustain that essential cycle. 'Enchantment' and 'violence' are typically presented as alternative strategies for the maintenance of social stability, but that distinction is not easily drawn in Tenochtitlan, where acts of state-approved violence were at once part of the complex rhetoric of cosmically sanctioned human power, and, more profoundly, illustrative of the ferocious constraints on the merely human. (pp. 260-262).

(Incidentally, I think this should give pause to those who think that unmasking the “naturalness” or asserting the “contingency” of a social order has liberating effects. But that’s a different story, and this post is quite long already.)

There is much more in this amazing book I have barely touched. Clendinnen’s chapters on women in Mexica society are a tour de force, and her discussion of the Aztecs’ final defeat by the Spaniards is touched by a deep empathy. She sees Aztec life from their perspective, at least as much as such a thing is possible. The book left me with an uneasy feeling, though. Could one imagine a situation in which Aztec culture had not been so completely destroyed by the Spaniards? How, given the dependence of their way of life on human sacrifice, could the outcome of the encounter between Spaniards and Mexica have been any different? The incommensurability of Mexica and Spanish values was not simply a result of what they believed; it was an incompatibility of ritual practices so thoroughgoing that no understanding seems to have been possible without a complete change in the ritual context. And in the end, the Aztecs remain hard to love.

(Update 11/21 - fixed some typos).

Wednesday, July 31, 2013

The Perils of Public Opinion Research in Libya, circa 2000

This story of how Mabroka al-Werfalli (lecturer in politics at the University of Benghazi, previously the University of Garyounis) managed to conduct the research for her book, Political Alienation in Libya, is fascinating as a window into life in Libya under Gaddafi around the year 2000, and the difficulties of ascertaining "public opinion" in such a society:
Researchers always require an official authorization for opinion surveying in Libya. The problem was who should be contacted to get the permission? Although I was doing the research within my own society, it was difficult to identify who was in charge. Because institutions and individuals do not realize they are entitled to any sort of power, I was trapped for nearly four months in a revolving door of authorities, revolutionary committee offices and security agencies, none of which wanted to stick out their necks. It appeared that nobody wanted to shoulder the responsibility for giving the go-ahead for distributing such a daring questionnaire. (p. 1)
She then tells the story of how she gets shifted from the Basic Popular Congress, to the Head of Internal Security, to the Revolutionary Committee Liaison Bureau, to the governor of the city of Benghazi, and back again to the RCLB, all of whom require someone else's approval, or tell her they've gone on vacation, or simply refuse to meet her. Weeks pass, and she enlists friends and family members in the effort to secure a permit. Eventually, through the good offices of her uncle, she meets someone in security who is willing to grant her the permit "on the grounds that [she] was from the same tribe" (p. 2). But having a permit turns out to be a mixed blessing for her research:
It was not possible to wander around knocking on people's doors and requesting them to fill in forms. Libyans are not familiar with surveys of any kind apart from the population census that takes place every few years, so it is highly unusual for them to have individuals on their doorsteps asking them to answer unusual questions. 
The problem was how to calm people and attain their trust. I wanted to show good will by presenting the security permission, but people then suspected me of being sponsored by the security agencies, and consequently were afraid of me. When I approached people without showing my permit, they were also nervous and would not cooperate with me, fearing that I might have been doing something against the regime and wishing to avoid any involvement in this. People expressed a great deal of hesitation and apprehension when they read the questions set in the questionnaire. A number of them just said sorry and slammed their doors in my face. (pp. 2-3)
She does not give up, however. Enlisting her siblings and their close friends, she forms a team to help convince residents of the Al-Orouba district of Benghazi to answer her questions. Basically, they have to visit every house four or five times to gain people's trust, and some of the people who agree to be interviewed even help persuade some of their neighbors to cooperate with her. But even then sometimes people back out, or family members convince them that it was too risky to participate. Some people would only agree to be interviewed in a car, not in a house. And then the security officer who had given her a permit started getting nervous himself:
First he asked my late uncle to stop the process; then I was summoned to the headquarters where he worked and asked to make people write their names on the forms. I explained the irrationality of doing this, as it would jeopardize my entire project. They let me go but called me again about two weeks later and asked me to hand over all the completed forms I had by that time managed to collect. This was the most serious problem I faced while doing the survey. The decision to be made then was either to hand over the forms and lose all the months of work, or to run off with the forms in order to save them. I had to leave the country before all the forms had been collected. 
After I had left the country, security patrols visited my family to ask if I had managed all the forms so they could take them away. My family told them that I had managed to collect only a few forms, and that I had left for Britain. Because the fieldwork had taken so long, I was running out of time, and I had to go back to England to pursue my study [the book started as a PhD project]. So far, this excuse has protected my family, particularly those who were involved in the distribution and collection of the forms, from inevitable intimidation and detention [the book was completed in 2008, from the UK]. (p. 4)
Problems with the security services were not her only difficulties. There were also cultural obstacles. Interviewees did not wish to be interviewed at their homes, for obvious reasons; so they asked to be interviewed at her home. But her home turns out to be complicated to use:
It was quite difficult to do the interviewing in my home because 47 out of 76 interviewees were adult men, and because I had therefore to meet my interviewees either at the male-lounge (marbou'a) or on the roof above the flat, ... The roof was a good place when the weather was fine, but it was not convenient at all when it was raining and windy. The reason I resorted to the roof was that the male-lounge kept being occupied by guests coming for different purposes so I always had to leave immediately, not only because of violating the privacy of the interview but also because, as a female, I am not allowed to stay in the male-lounge if there is a male visitor. (p. 5)
She does get some help from the fact that she was the daughter of an Imam, but not enough. Trust was built up a little at a time; people who had completed the forms told their neighbors that it was safe to do so, and eventually the survey came to stand for something larger:
People regarded my interest in their political life as a promise to change the circumstances surrounding them, while others regarded it as a confidential and safe way to speak out, since their voices would be heard while their identities would never be revealed. (p. 5)
All of this can be neatly summed up in an observation she makes later:
For a relatively long period the state has been a strange entity for the individual in Libya. He or she has always dealt with it using extreme caution, or has avoided dealing with it altogether, believing that engaging with the state or its authorities involves a high risk to personal safety (p. 11)
The observation applies to other places as well. (One more for my file on the irrelevance of legitimacy).

Anyway, I haven't finished the book, but I think this has got to be a contender for "most difficult to carry out public opinion survey EVER." My hat is off to Dr al-Werfalli; she shows real grit, determination, and courage. I hope she is doing well in post-revolution Libya.

Friday, July 12, 2013

Inequality Regimes and Rawlsian Growth Rates: Some thoughts on the evolution of inequality 1960-2010, with special reference to Venezuela

(Mostly an excuse to play with the Standardized Worldwide Income Inequality Database, compiled by Frederick Solt, which I just discovered. This post also belongs, loosely speaking, to my long-running series on the quantitative history of political regimes. R code for everything in this blogpost available in this Git repository; you would need to download the dataset separately).
Inequality is difficult to measure. Socially relevant inequalities are manifold, and measurable inequalities in money income are not always especially important. (In the formerly communist states of Eastern Europe income was very evenly distributed; yet this did not mean that there were no important social inequalities). Even inequality in money income is not easy to measure properly. Most existing data is not very comparable accross countries or years, and it is often not even clear to what income concept the sorts of inequality measures people typically use to make a point in political discourse refer to: does it refer to after-tax, after-transfer income or to "market" income? Does it refer to individual or household income? What sorts of things are counted as "income"? How do we account for access to high-quality public services? At best, measures of income inequality are uncertain estimates of an unknown distribution of potential living standards, more or less valid for societies where "money income" is a useful proxy for the ability of people to enjoy various important goods, and of little value outside the context of a conception of a "just distribution" of these capabilities.
Despite the fact that estimates of what is essentially a statistical abstraction often play surprisingly big roles in current political debates (cf. the debate over The Spirit Level some years ago, or recent concern about a rise in New Zealand's gini index), I have recently become more skeptical about the importance of measured income inequality in politics: whatever importance the actual distribution of incomes has for political life in a society, it has to be mediated through complicated processes that refract local lived experience through the prism of context-dependent fairness norms that are only vaguely related, if at all, to the numbers used to measure its skewness.
Yet I'm curious: what sorts of income inequality have in fact increased, and where? How might these changes have mattered? Enter a new and shiny dataset: the Standardized Worldwide Income Inequality Database, which promises to ameliorate some of these measurement problems. The database uses the Luxembourg Income Study - very high quality income inequality data - to calibrate the much larger but less comparable United Nations University World Income Inequality Database. The result: lovely long time series estimates of both the market and the after tax, after transfer (net) gini index of inequality, including standard errors, for 153 countries. My first though on learning about this was: graphs! (Hopefully some non-obvious facts are also involved below).
Let's start by looking at a country that has often been cited as a great success in reducing inequality: Venezuela during the Chavez years. (Also, I was there recently visiting family after a long absence, and I have a personal interest in understanding the changes that have occurred during that time). One question I've been curious about concerns the evolution of inequality in Venezuela relative to other Latin American countries, especially since the coming to power of Chavez in 1999. How do changes in inequality in Venezuela compare to changes elsewhere?
In the following plot, we see changes in both the market ("equivalized (square root scale) household gross (pre-tax, pre-transfer) income", if you must know) and the net gini index of inequality (after tax, after transfer) in 19 Latin American countries from 1999 until 2010, ordered by the estimated rate of inequality reduction (countries that reduced inequality faster appear earlier; read the graph from right to left, top to bottom):
plot of chunk LatinAmericanTrendsInequality
Inequality in Venezuela has indeed decreased relatively quickly since 1999 - the second fastest decrease after Ecuador, which has also had left-leaning governments (though a far more unstable political context, with five different presidents since 1998). Three things are worth noting about the context of these trends, however.
First and most important is that this reduction in inequality is not driven by direct redistribution: there is barely any difference between the "market" gini index (our measure of inequality before taxes and transfers) and the "net" gini index (our measure of inequality after taxes and transfers). To the extent that the reduction in inequality is the result of government action rather than something else, it must have come about through measures like investment in human capital and labor market policies (see Morgan and Kelly 2012, ungated here, for the proper peer-reviewed argument). This is true of all Latin American countries save for Puerto Rico (which is part of the USA in a sense) and (to a lesser extent) Brazil; indeed, redistribution in some countries (Peru) appears to have perversely increased inequality.
Second, most Latin American countries have experienced reductions in inequality during this period, though most remain highly unequal. But Venezuela was already among the most equal countries in Latin America; in 1999, only Uruguay and Costa Rica had lower measured inequality (and the difference in net gini was within the margin of measurement error, so it should probably be disregarded). This surprised me; I had expected higher levels of inequality in Venezuela when compared to other countries, given the level of class conflict on display during the Chavez era. More surprisingly perhaps, if we take a broader look we discover that inequality in Venezuela appears to have been remarkably stable over the past fifty years, fluctuating around a flat trend:
plot of chunk LongerRunVenezuelaInequality
(Lines around dots represent 95% confidence intervals).
In fact, the low level of inequality in Venezuela as of 2010 only returned the country to the level of inequality it last experienced around ... 1992, the year of the February coup which made Chavez famous, and three years after the "neoliberal" paquete of 1989 (which was supposed to have triggered the Caracazo). Inequality did increase after 1992, and poverty had increased before then - the Venezuelan economy had been in decline for a while, as we can see below. Which all goes to show, I suppose, that political unrest and lived experiences of injustice are only very loosely connected, if at all, with measures of income inequality; whereas austerity and large income losses appear more immediately important to political outcomes (as Jay Ulfelder argues here):
plot of chunk LongerRunGDPPerCapitaVenezuela
(GDP per capita data from the Penn World Table v. 8.0).
Finally, it's probably worth noting that Venezuela's economic fortunes are deeply tied to oil prices, and that the rapid reduction in inequality in the last decade or so should also be placed in the context of the very large rise in the value of oil and gas during this period. Here is an estimate of the per capita value of oil and gas exports for Venezuela, from Michael Ross' oil and gas dataset:
plot of chunk OilAndGasData
In fact, Venezuela and Ecuador, the countries that have experienced the fastest inequality decreases, have been precisely the two countries that have benefitted the most from oil and gas price increases - money that flows directly to the state (especially since the Chavez government systematically asserted control over the state oil company) and can be used to provide employment and subsidize education, healthcare, housing, staples, and other goods, however inefficiently (e.g., the varios "Misiones" and other social programs created by the Chavez government). At least some of these programs must have played some role in the reduction of inequality, but given the amount of oil and gas money flowing directly to the Venezuelan state (representing most Venezuela's exports, which have become substantially less diversified over the last 15 years) and the typical patterns of clientelism and electoral politics in Venezuela it would have taken a bloody-minded kleptocrat not to reduce inequality by some amount. At any rate, inequality and poverty also diminished quite a bit during the 1970s oil boom, likely through similar channels - massive amounts of money flowing through the state, which increased its ability to employ people and subsidize public services. (I don't mean to sound grudging; though I have doubts about the effectivenes of some of these programs, some of the new housing built during the Chavez years looks decent, for example).
Let's take a broader look, however. How does the Venezuelan experience of inequality reduction compare to some countries outside of Latin America? Just because they've been in the news, let's look at the Venezuelan experience in coparison to Turkey and Egypt; and add the USA and New Zealand to see how two "developed" countries look as well.
plot of chunk ComparisonOutsideLatam1
That's right: Egypt and Turkey apparently reduced inequality faster than Venezuela in this period (though the error estimates of the gini index for both are also larger), and were less unequal than Venezuela by the end of the period! Also, despite the fact that the degree of "market" inequality was higher in the USA and NZ than in Venezuela, and did not decrease or even increased a little during this period (as measured by the net gini index), both countries remain less unequal than Venezuela (as measured by the net gini index), due to the effectiveness of their redistributive measures.
Now, this is perhaps surprising, but a bit of an aberration, and really, we are dealing with imperfectly estimated quantities (rates of decline) based on measurements with error. So there's really no point in arguing about whether inequality in Venezuela has in fact decreased faster than in Egypt or not; our methods of measuring inequality don't allow us to give a very precise answer to this question (error bars are large, etc.). In any case, it is clear that income inequality has declined pretty fast in Venezuela over the last 15 years, even allowing for some meaurement and estimation error, as we can see by calculating the trend rate of change in the net gini coefficient (the slope of a regression of log(gini_net) on year, to be technical, which yields the estimated trend annual percent rate change in the gini index) for all countries in the dataset:
plot of chunk ComparisonOutsideLatam2
(I took out countries that had too few datapoints, since the trends didn't look to me like they could be informative. The error estimates in the graph are nevertheless probably too small, since one would need to use the proper rules for error propagation to calculate them, which I have not done. Interestingly, the estimate of the rate of change in the net gini index for New Zealand and the USA since 1998 suggests basically that they have experienced no significant change in measured inequality from 1999 until 2010, contrary to popular belief; their important increases in inequality occurred earlier. More on this in a minute).
What strikes me about this graph is that countries that have achieved very fast reductions in inequality over this period appear to be quite disparate; though left governments are in evidence among these, many countries apparently achieved fast reductions in inequality with supposedly "neoliberal" policies (e.g., Egypt and Turkey) that are now in turmoil. Maybe this is evidence that the gini index does not capture socially relevant changes in inequality; but then it would also fail to capture changes in inequality in non-neoliberal Venezuela and Ecuador. (Of course, other confounding factors may be at work too).
It is also curious that many of the fastest reductions in inequality have occurred in states that do not engage in a lot of explicit redistribution. In fact, a simple correlation between the average redistributive capacity of a state (measured by the percentage difference between the "market" gini and the net gini coefficient) and the rate of decrease in measured "final" inequality over the period is slightly negative (so fastest reductions in inequality have occurred in states that are unable to affect market gini very much at all, or that even increase it through perverse redistribution):
plot of chunk RedistributionReductionRateCorrelation
It's probably not worth making too much of this correlation (measurement errors, the relatively short time period under consideration, and confounding factors are not taken into consideration), though it does suggest that many changes in inequality seem beyond the control of most governments. But even when we expand the period of observation all the way to 1960, the correlation does not entirely disappear, though it weakens greatly:
plot of chunk RedistributionReductionRateCorrelation2
Ultimately, however, the more directly and explicitly redistributive the state has been, the more equal it also appears to be over the long run:
plot of chunk RedistributionInequalityCorrelation
Or, to put it crudely, since 1960 at least market inequality has only been reliably reduced in states that take from the rich and give to the poor. And yet actually taking from the rich and giving to the poor seems to put nontrivial demands on state capacity and political life (witness the existence of robber states that take from the poor and give to the rich). The degree of change in the market distribution of income even appears to be a fair measure of that capacity; from the graph above, it's likely that a state that can consistently reduce gini index of market inequality by at least 30% is a pretty "strong" state (in the "infrastructural" sense of strong), whereas a state that cannot make a dent on the market distribution of income is more likely to be "weak" (with some communist exceptions like the USSR that did not engage in a great deal of explicit redistribution, since, to put it crudely the state owned everything and everyone more or less got paid the same).
And abilities to redistribute income appear to be remarkably "sticky." Few countries appear to become more able to affect the gini distribution over time:
plot of chunk StickinessOfRedistributiveCapacity
(I've deleted cases with very few data points to make the graph look prettier. See the code for the details). What is striking about this graph is how stable the redistributive capacity of most states has remained over a period of more than six decades: many countries show basically zero change in their ability to change the income distribution. To be sure, some countries have increased their redistributive capacity -- France is a good example -- and others experience wild swings in redistributive capacity, probably related to big political conflicts -- note Bangladesh and Chile, the latter with a big bump around the time of Allende. But at best we can detect a long-term decline in redistributive capacity for the majority of cases (even if the decline is often slight); and often, after a decline, we see long periods of stability rather than change: countries settle into an "inequality regime," with some occasional big bumps which indicate new equilibria.
Note that in many cases the redistributive capacity of the state does not change even while inequality increases: thus, for example, while the net gini has increased over the past six decades in the USA and New Zealand, their capacity to affect the gini coefficient has remained approximately the same (New Zealand has been able to reduce the market gini by about 27%, though there's a slight downwards trend in this number; the USA by about 22%). The structure of their economies changed (by political action, in part), producing more inequality, but their redistributive capacity as states remained basically the same. To decrease inequality by redistribution in cases where the market gini increases substantially seems to require either a big political shock, or a long-run increase in state capacity.
There is another historical pattern that struck me as interesting: both levels of inequality and redistributive capacities seem to be highly correlated accross regions. Neighboring countries appear to have both similar levels of inequality and similar redistributive capacities. Linked economic and political histories seem to produce both the equilibrium level of inequality and the long-run redistributive capcity of the state.
Here, for example, we see the average redistributive capacity of states per region:
plot of chunk RedistCapacityPerRegion
(Cases to the right of the solid line are states that on average made their income distribution more equal; the dashed line indicates the median redistributive capacity).
And here is a graph of net gini per region (all observations since 1960):
plot of chunk GiniRegion
No great surprises here, perhaps: Sub-Saharan Africa and Latin America have been the world's most income-unequal regions over the last six decades, whereas Europe has been consistently equal - the home of both Northern social democracy and Eastern European communism, both of which have been able to keep the distribution of incomes relatively equal through explicit redistribution, though in somewhat different ways.
But perhaps this is of little importance. On one (vaguely Rawlsian) view, what matters is not the income distribution per se, but the ways in which it affects the prospects of the worst off in society. How much does it matter whether or not inequality declines in any given society, especially for the poorest? This will depend on the growth rate of the economy; high growth with declining inequality will be better for the poor than low growth with increasing inequality, though the outcome of the comparison is ambiguous for high growth with increasing inequality or low growth with decreasing inequality.
Now, it occurs to me that with the average income for these countries as well as their level of inequality, we can make an informed guess (technically, a wild guess) about the average income of various deciles for the years in which data is available. To do this properly would be too painful for a blog post, but I assume that empirical income distributions more or less fit a lognormal distribution (even though they fit more exotic distributions better, like the Singh-Maddala distribution or the generalized Beta distribution). With a little help from R, I can then simulate the average income of each decile of every country in the SWIID dataset. (Take a look at the code for the gory details. Also: this is a VERY rough and ready simulation, extremely inefficient to run and cooked up in a day. Do not take these numbers too seriously). We can then provide some vaguely informed answers to a Rawlsian question: which countries have most increased the prospects of the poorest over the last six decades?
The question admits of two more precise formulations, which we'll take on in turn: what countries have had the highest growth rate of income for the lowest deciles of the population? And second, in which countries do the poor have the highest incomes? (The first corresponds to a sort of dynamic version of the difference principle, which I find more interesting). Let's start with looking at the Rawlsian growth rate (the rate of income growth for the lowest decile, which we'll assume represents the group whose position must be maximized in Rawls' theory); the higher the long-run Rawlsian growth rate, the more the country fulfills the dynamic version of the difference principle. Though in theory the long-run growth rate of the economy as a whole and the long-run growth rate of the income of the lowest decile should perhaps converge, in practice they diverge, even over long time periods - some groups do well over some time frame, others do badly. Now, what we would actually want to know from a strict Rawlsian perspecive is the highest long-run growth rate of income for a representative person in the lowest decile of a given country relative to the potential growth rate of the whole economy (in other words, what degree of inequality would produce the highest income growth for that representative person, given the particular structure of that economy), but this is a counterfactual quantity we cannot estimate, so we'll make do with simulating the incomes of the lowest decile for the actual combinations of growth and inequality in existing economies. (I repeat my warning: this is only a simulation!)
First, we estimate the long-run Rawlsian growth rate (for countries with data going back far enough - so we drop countries that don't have long enough time trends, say at least 30 years):
plot of chunk RawlsianLongRunRates
The "Asian Tigers" unsurprisingly top the list: over the last six decades, Taiwan, Singapore, and South Korea had the highest (simulated) Rawlsian growth rate (in countries with at least 30 years of both GDP and gini data). South Korea and Taiwan are below average in inequality, which makes sense, but Singapore is not. Over the long run, in other words, a high enough growth rate of income seems to compensate for higher than average inequality. But one surprise among the top countries is Egypt - where the poorest decile, if we believe this simulation (and you shouldn't), had a pretty good run over many decades, despite Egypt not being considered a big performer in terms of its average per capita growth. At the bottom, by contrast, we find that Venezuela has essentially experienced zero Rawlsian growth over six decades (in fact, its long-run trend in regular per-capita annual growth is also zero). Though below average in inequality, its income has suffered so many ups and downs (mostly following oil price changes) that the trend is flat; no wonder Venezuelans eventually got tired of all their politicians before Chavez.
Now, there obviously is a correlation between Rawlsian growth and regular growth, as well as between Rawlsian growth and average inequality, but it is not perfect, simply because the Rawlsian growth rate is a function of both the average growth rate and the gini index by construction, and these two things are not perfectly correlated; a high enough growth rate in the whole economy can overcome a large gini coefficient to produce high Rawlsian growth rates and vice-versa. But it's worth noting that extremely high levels of inequality do appear to be associated with plain low growth over the long run, bad for both the poor and everyone else except perhaps tiny kleptocratic elites:
plot of chunk RawlsiantoAverage
We can now repeat the exercise for the last 15 years and see how Venezuela stacks up since then:
plot of chunk RawlsianLongRunRatesSince1999
As we can see, the Chavez years (up to 2010; the data does not tell us what happened for the last three years) were quite good for the poor, according to this simulation: the combination of declining inequality and relatively high growth rates (due in great part to rising oil prices) made Venezuela a top ten Rawlsian performer - better even than China, which also had torrid growth rates but increasing inequality during this period. To be sure, this good "Rawlsian" growth rate is only relevant if we ignore the equal liberties principle, which from a strict Rawlsian perspective  is meant to have priority over the difference principle; and increasing disregard of classic liberal rights during this period counts against Venezuela. (I vaguely wondered whether perhaps a "Rawls index" could be constructed, using data like the UDS to measure compliance with the first principle, fair equality of opportunity using the gini index, and the difference principle using the rate of growth of the income of the lowest decile; but since the two principles are supposed to be lexicographically ordered, a combined Rawlsian index would be pointless, useful only if we relax that assumption. Nevertheless, if we relax that assumption, then we would have to face the question of how much the improvement in the condition of the least well off ought to count against the decline in the "equal liberties" of the first principle; and I don't know of any good principled answer).
At the same time, it is interesting to note the countries at the very top are not precisely all left-wing governments; Azerbaijan, Mongolia, and Ukraine appear there. This may be because the simulations are risibly wrong (an important possibility), or the data are wrong; or simply that policies of the kind the Chavez government tried out are not the only possible ones to bring about growth in the income of the poor (and now, with high inflation, sporadic shortages, a large black market premium for dollars, and other problems, they don't look especially sustainable either). Nevertheless, the high Rawlsian growth rate makes it easy to understand why many of the Venezuelan poor felt that Chavez improved their position, regardless of how much responsibility we ought to attribute to his government for that outcome, or how sustainable its policies may be with lower oil prices.
Regardless, a good growth rate for the poorest decile matters: if inequality had remained at its maximum level during the Chavez years instead of declining but the growth rate had stayed the same, I estimate that the a representative of the poorest decile would have earned about $2000 less over the entire period than they actually did. We can call this quantity the "Rawls gap": the amount of income the poorest decile would have gained (or lost) in a given period had inequality remained the same as at the beginning of the period. Of course, since the growth rate would have been different had inequality remained the same, this is merely a fiction; we can't really estimate this counterfactual.
Nevertheless, just for fun, here is the Rawls gap for Latin America, per year:
plot of chunk RawlsGap
This allows us to say that in Venezuela, the reduction of inequality that occurred during the Chavez period (assuming, per impossibile, that the growth rate would have stayed exactly the same had inequality remained at the 1999 level) gained a representative person in the poorest decile a total of about $1500-$2500 over 10 years, or about $200 per year, whereas the increase in inequality over the same period in Costa Rica cost a representative person in the poorest decile about $800-$1200 in income, or about $100 per year. This is nothing to sneeze at for the poorest decile (whose average yearly income is only about $3000 per year).
(It's kind of fun, though conceptually pointless and computationally expensive in my system given my crappy code, to calculate various Rawlsian gaps for arbitrary years and countries; for example, the "Rawls gap" for NZ is something like $2000 per year lost in income for the poorest decile if we assume the same growth trajectory but the level of inequality of the early 80s. Which of course we shouldn't - had inequality remained the same, the growth trajectory would have been different. As Adam Przeworski has said, everything is endogenous).
(We could also imagine even more exotic quantities, though I have no time to test them out here. Consider the Rawlsian compensatory growth rate, for example. This would be the growth rate that would compensate the poorest decile for an increase in inequality: if we want to say that some reform x would lead to higher income growth but higher inequality, then the compensatory Rawlsian growth rate is the growth rate where the income growth rate of the poorest decile at the higher level of inequality is identical to their income growth rate at a lower level of inequality but a lower overall growth rate for the economy; you would need a reform to produce at least the compensatory Rawlsian growth rate for it to be justified in terms of the difference principle. Which you may of course think is bogus).
Now, absolute incomes matter too; the difference principle in Rawls is not usually understood in terms of growth rates (though I think that should be the more natural interpretation). But the second version of the Rawlsian question above (where do the poor have the highest incomes?) has a much more obvious and boring answer: the Scandinavian countries, due to both generally high incomes and low levels of inequality due to high redistribution; and most of the countries at the top also score well in terms of the first principle (measured inexactly here by the UDS, which perhaps ought to be discounted a bit given recent developments in some countries). I include it here for completeness:
plot of chunk RawlsianCountriesSince1999-2
The roots of that ranking of countries are much older and deeper than this dataset allows us to see.
In theory, both the first ("equal liberties") and the second principle of Rawls' theory ("fair equality of opportunity" plus the "difference principle") ought to go together. In practice, however, Rawls himself thought that they did not always do so, though his reasons for thinking this were not always clear. Though I don't really have the tools to tackle the question of the relationship between liberal rights and the rest of the components of Rawls' theory properly (certainly not here), it looks as if we see a kind of inverted-U relationship in the data:
plot of chunk GrowthofPoorandDem
In other words, over the last half-century, the income of the poor has risen fastest under regimes that have not been on average highly democratic, but also has grown least in these regimes; non-democracy looks like a (potentially quite bad) gamble, though both democracy, long-run inequality, and the long-run growth rate of the income of the poor are probably determined by (or are a reflection of) some deeper social fact, like state capacity, which is not really susceptible to policy intervention. Whatever state capacity is (I have argued it is a kind of development of political technologies) it emerges out of political struggles that take a very long time to work themselves out with many tragic consequences along the way; and in any case the rate of improvement of state capacity is at times immeasurably low.

[Update 12/7/2013 - fixed a reference to a non-existing graph]

Sunday, April 14, 2013

Engines of Sacrality: A Footnote on Randall Collins’ Interaction Ritual Chains

(A review of Randall Collins’ Interaction Ritual Chains, with speculative detours into the political theory of ritual)

I have previously encouraged people to read Randall Collins’ work (his infrequently updated blog, The Sociological Eye, is typically excellent), but it is only recently that I tackled his book on interaction rituals. And despite its forbidding title, seemingly promising a work on some technical topic in the sociology of religion, this is a very good book that deserves to be more widely read, especially beyond the disciplinary confines of sociology. (The title is in part a reference to Erving Goffman’s Interaction Ritual; but while “Interaction Ritual” is a great title, easily bringing to mind the rituals of everyday life with which Goffmann is principally concerned, the addition of chains makes the topic of Collins’ book a bit obscure, even if the idea is clearly explained in the work itself).

The book presents an ambitious theory of social action based on rituals and the emotions they amplify – so ambitious, in fact, that it is likely to seem absurd at the margins, much like rational choice theory sounds absurd to most people when pushed to extremes. Skimming the reviews of the book in sociology journals one finds a mixture of admiration and annoyance at the scope of the book’s claims, combined with a desire to put the theory in its place: interaction ritual chain theory cannot explain this or that phenomenon, or it exaggerates the importance of interaction rituals at the expense of meaningful communication or strategic action. But I tend to prefer theories that are ambitious and fruitful even if ultimately wrong, so I will not dwell overmuch on the book’s shortcomings here.

The basic ideas of the theory are deceptively simple, drawn more or less in equal parts from Durkheim, Goffman, and Mead. Collins starts with the idea of a situation of co-presence, or really any physical gathering. A situation of that sort turns into a ritual when those physically present focus their attention on specific people, objects, or symbols, and are thereby constituted as a distinct group with more or less clear boundaries. This obviously includes religious rituals, but also a vast number of interpersonal interactions, ranging from informal small-group conversations and sexual acts at one end to academic lectures, workplace meetings, conference presentations, political rallies, sports events, and other large-scale physical gatherings with a joint focus at the other end of the scale. With a bit of conceptual stretching one can even include here private rituals (e.g., praying alone, having a solitary cigarette or a cup of coffee before working or after working), with only one participant (these are treated by Collins as secondary rituals, where the focus of attention is on the symbols and objects whose meaning and value is produced in primary social rituals); and one may also wish to treat situations of joint focus  but no physical co-presence – mediated interactions, in short – as rituals (though Collins claims, for reasons that will become clear below, that rituals without physical co-presence are far less likely to succeed qua rituals). As should be obvious, the word “ritual” is here being used in a very capacious sense, without reference to the “ceremonial” aspects of many of the activities that we would normally call rituals, or to any hard and fast distinction between the “sacred” and the “profane;” Collins stresses that he wants us to see ritual “almost everywhere” (p. 15). I have no particular problems with this; “ritual”, like “game”, is a family resemblance term. The more interesting move comes when we ask what a ritual is for.

A ritual, for Collins, is basically an amplifier of emotion. (I pause to note that an amplifier of emotion is not necessarily a generator of emotion, though it is not clear whether or not Collins sees any important distinction here). We are literally “pumped up” by a successful ritual – we experience a buzz, exhilaration, enthousiasmos, “collective effervescence.” A great lecture, a sports spectacle in a vast stadium, a great concert, a fire-and-brimstone sermon, the rituals of solidarity among small military units; these interactions motivate us, that is, they set us in motion, send us on our way to act beyond the immediate confines of the group situation (to read the book discussed in the lecture, follow the news of your sports team or music band and wear the team colors, proselytize for your sect, attack the enemy, and perhaps also to do the crappy jobs necessary to gather the material resources to do all of these things). Not every ritual is successful, of course (and not every ritual is equally successful for all participants, even when the ritual is generally successful – more on this point later); some ritual situations bore us, sending our attention wandering, and we end up feeling drained and depressed: think of a boring meeting at your workplace, or an awful lecture:


These rituals are demotivating; as Collins puts it, they sap our “emotional energy.”

Emotional energy (EE) is the all-purpose term Collins uses to talk about the emotions and moods that motivate (anger, righteousness, joy, pride, etc.) or demotivate us (depression, sadness, etc.). A successful ritual generates and amplifies motivating emotions, while an unsuccessful ritual does the contrary. Perhaps Collins’ most controversial claim is the idea that we are basically EE “seekers”: much (all?) of our social activity can be understood as a largely unconscious “flow” along the gradient of maximal EE charge for us, given our particular material resources and positions within the “market” for ritual situations (the set of ritual situations available to us). Our primary “motivation” is the search for motivation; or more precisely, motivation (our “motive power”) is simply a result of emotional amplification in ritual situations, so that we are propelled along “chains” of situations where we achieve high levels of EE and avoid situation chains where the contrary is the case. Thus, our ordinary “interests” cannot be understood apart from the ritual situations which shape and indeed construct them as genuinely motivating values; whether a person cares specifically for material goods, knowledge, or the welfare of some particular group depends on the ritual chains in which they participate and the way these rituals affect their emotional energy. As Collins puts it, “[h]uman behaviour may be characterized as emotional energy tropism. Social sources of EE directly energize behaviour; the strongest energizing situation exerts the strongest pull” (pp. 181-182; he adds that “individuals do not experience such situations as controlling them; because they are being filled with energy, the feel that they [are in] control … When EE is strong, they see immediately what they want to do.”).

In keeping with the “energy” metaphor, Collins argues further that rituals charge symbols, objects, and persons with value (or, in the case of unsuccessful rituals, drain them of value) that then circulate in other rituals (in “chains” of interaction rituals) and in “private” settings (in secondary rituals). Consider a powerful symbol for some group, like the cross. Its power as a symbol – its concentration of meaning and value, and thus its ability to motivate action – is directly related to the success of the rituals in which it is a central focus of attention (church services, prayer rituals, etc.); and it is more powerful for those who participate in these rituals regularly and who are themselves closer to the focus of attention. For these people, the cross becomes an increasingly powerful reminder of their bonds to one another, a genuinely “sacred” object whose violation can engender anger and around which other norms (prescribing forms of display, handling, material sacrifices, etc.) can also develop.  At the same time, the cross obviously does not have the same motivating power for everyone (certainly not for every nominal Christian); its ability to awaken emotional reactions in people outside the ritual situation depends on how it circulates in the various “ritual chains” of people’s lives (whether it is something worn, referred to, exchanged, displayed in painting or art, etc.), and it decays with distance to the rituals that imbue the cross with value.

Thus, once an object or an idea (a “symbol” for short) is “charged” by rituals, it can serve to temporarily reinforce the identities of group members and motivate them to act in accordance with what they take to be the group’s values (defending the symbols that are central to the group’s rituals, for example), even when the group is not gathered together. By the same token, symbols will be inert for those who do not participate in the rituals that invest them with value and meaning; the value and meaning (or more precisely, the motivational potential) of any symbol is always relative to particular groups and their rituals. And, crucially, anything can become a powerful symbol for some group, given a sufficiently successful ritual: a copy of Aristotle’s Ethics or Marx’s Capital, particular places or animals, the image of a person like Hugo Chávez (a charismatic person being simply a person who has been charged with emotional energy in interaction rituals, though we can also think of people who are especially skilled at producing successful interaction rituals), the expression of particular opinions (e.g., the idea that global warming is a hoax or that shape-shifting lizards rule the world); the key point is that these objects and symbols both reinforce the bonds between group members and store reserves of motivation that people can draw on outside the immediate context of the ritual.

Stated more incautiously than I think Collins would, rituals are what I would call engines of sacrality: they produce sacred things the way a generator might charge a battery. There is no room in the theory for a distinction in kind between the sacred and the profane; a sufficiently powerful ritual can make anything that is a joint focus of attention into a sacred object, its sacrality merely the measure of its emotional charge for a particular group. And because rituals are omnipresent in human life, sacred objects and symbols are also omnipresent. (From this point of view, the idea that the modern world is especially “disenchanted” is basically a myth, though I suppose it is possible that rituals in the modern world are more “fragmented” – there are a multiplicity of symbols that become charged with emotional energy and value rather than a relatively small set of such symbols, including the symbol “god”). Or, as the South Indian poet Bavasanna once put it (as quoted by David Shulman):

The pot is a god. The winnowing fan is a god. The stone in the street is a god. The comb is a god. The bowstring is also a god. The bushel is a god and the spouted cup is a god.

Gods, gods, there are so many there’s no place left for a foot.

Though Collins does not say this, this view implies that ritual is prior to belief: belief “in” a cause, or a leader, or a god, or anything of the sort is primarily attachment to particular symbols of group membership that have been charged with value by powerful rituals, and should tend to decay in the absence of rituals “recharging” these symbols. (Collins suggests that a week is a good estimate of the half-life of the emotional charge of most symbols; hence the weekly services of churches or the weekly frequency of many intimate rituals, for example). Moreover, motivated reasoning should be ubiquitous, as indeed it seems to be; for the most part, we do not reason our way to most of our important beliefs, but acquire these through participation in communities with their interaction rituals (which may not look like obvious rituals; note that as long as we are participants in a successful interaction ritual, our focus is on the things the ritual is about, not on the ritual itself). Sociologists time and again find that many (most?) people join social movements before they acquire clear beliefs about issues; we then justify these beliefs ex post and defend them against perceived threats. And when a particular belief becomes entangled with an identity – when it becomes, in other words, a focus in some chain of successful interaction rituals, circulating as a marker of membership in some group– it then becomes more or less immune to rational argument. This is not to say that we cannot on occasion reason our way to various positions; but solid “belief” (in the sense that people most people have in mind when they say that they believe “in” something, ranging from Christianity to socialism) needs a lot of help from interaction ritual chains (understood as repeated, focused interactions that charge certain symbols with value). Belief without ritual and community is typically a fickle thing, discarded just as easily as acquired.

But how do successful rituals manage to amplify emotion and produce sacred objects and symbols? Here Collins draws a picture of human beings as homo saltans. Emotional charge or motivational energy is built up from entrainment: the micro-coordination of gesture, voice, and attention in rhythmic activity, down to tiny fractions of a second. Think of how in an engrossing conversation the partners are wholly attuned to one another, laughing and exhibiting emotional reactions simultaneously, keeping eye contact, taking turns at precisely the right moments, mirroring each other’s reactions; or how a sports event, a sermon, or a concert produces emotional energy through the rhythmic synchronization of the fans or congregants in call and response, or simply in dance. Or consider sexual acts, to which Collins devotes a long and very interesting chapter. Emotional amplification works everywhere through physical resonance; as we become progressively attuned to the physical activity of others, individual emotions (which are, after all, rooted in physical dispositions) come to be shared and amplified. (Consider the difference between listening to a recording of comedian in the privacy of one’s own room and listening to a comedian live while in a room of people laughing; or the fact that one can feel the need to cry when one is surrounded by people crying).

(We might even say that patterns of micro-coordination are the building blocks of macro-coordination: the larger circuits of collective action are nourished by the smaller-scale rituals of collective micro-activity. Though we are not there yet; we have not yet seen how to translate the micro-coordination characteristic of successful rituals to the patterns of macro-coordination that produces what we normally call power).

Reading these parts of Collins’ book on how successful rituals depend on high levels of emotional entrainment brought to mind some very old passages from Plato, who among the great philosophers is perhaps the one most keenly aware of the significance and power of ritual in this sense. Plato’s entire theory of education, for example, is premised on the idea that successful character formation depends on ritual chains that focus attention on the right sorts of symbols and are built up from precise attention to rhythmic elements; character education is inseparable from participation in “musical” rituals, and lack of participation – or the inability to become fully attuned to the rhythms of these rituals – can therefore weaken character. We are situational beings, requiring constant reinforcement of our character through ritual. As the Athenian Stranger in the Laws puts it, using rather more elevated language:

these forms of child-training, which consist in right discipline in pleasures and pains, grow slack and weakened to a great extent in the course of men's lives; so the gods, in pity for the human race thus born to misery, have ordained the feasts of thanksgiving as periods of respite from their troubles; and they have granted them as companions in their feasts the Muses and Apollo the master of music, and Dionysus, that they may at least set right again their modes of discipline by associating in their feasts with gods. … [A]lmost without exception, every young creature is incapable of keeping either its body or its tongue quiet, [653e] and is always striving to move and to cry, leaping and skipping and delighting in dances and games, and uttering, also, noises of every description. Now, whereas all other creatures are devoid of any perception of the various kinds of order and disorder in movement (which we term rhythm and harmony), to men the very gods, who were given, as we said, to be our fellows in the dance, have granted the pleasurable perception of rhythm and harmony, whereby they cause us to move [654a] and lead our choirs, linking us one with another by means of songs and dances; and to the choir they have given its name from the “joy” [chara] implanted therein. (653c-654a, Bury translation, slightly modified).

Or, as Collins puts it, more prosaically, “[i]n general, “personality” traits are just these results of experiencing particular kinds of IR chains.”

Collins follows four basically theoretical chapters (describing the interaction ritual model of social action and providing evidence of how rituals amplify and generate emotion) with five more applied chapters: on “private” thinking and its sources in interaction rituals (technically this is a “theory” chapter, though it felt more like one of the applied chapters), sex and the generation of sexuality in interaction rituals, situational stratification (class, status, and power), tobacco rituals and anti-rituals (which provoked at least one outraged response arguing that Collins is basically an apologist for tobacco companies), and a chapter on the production of “individualism” in the modern world. Not all chapters are equally successful (I liked the tobacco and situational stratification chapters best); and though Collins’ range of scholarship is wide, there is a tendency to look primarily to evidence from the USA and Britain and universalize it rather too quickly.

Rather than describe in detail these specific applications of the theory (though more on “power” in a minute), let me instead speculate a bit on how one might use these ideas to think about politics. Here are a number of potential topics that seem like they could benefit this framework, in descending order of epistemic certainty (later topics I’m less sure about).

  1. Cults of personality. I’ve mentioned before that I think cults of personality emerge from interaction rituals. Not all of these interaction rituals will be successful, but it is enough if some of them do produce true believers – people for whom the leader is a sacred object (hardcore Chavistas, Red Guards, etc.) who can then act as norm enforcers and provide a core of supporters enhancing the mobilization of emotion in various settings. Collins’ theory also suggests that, as in many “power rituals”, the “frontstage” performance of worship does not imply anything much about behaviour outside of the ritual context (“backstage”), especially for those people who are at the margins of the ritual and are not energized by its performance. (The world is full of people who feign compliance and drag their feet, in Collins’ presentation). Indeed, the theory tells us precisely where to look for “preference falsification”: among marginal participants in forced rituals, especially low-status group members for whom the ritual is draining rather than motivating, and who derive their sources of motivation from other rituals (e.g., private “niches” of deep friendship in socialist countries before 1989, church services and other intense ritual situations, etc.)

    More interestingly, I take it that the theory points to what we might call the “social construction of charisma.” Charisma for the most part does not precede successful rituals, but is built up by them. The charismatic leader is the person who both becomes emotionally energized by being the focus of attention in successful rituals, and is in turn charged as a sacred object by ritual participants. Thus, though some people will of course be more skillful than others at using ritual situations to amplify collective emotion (and hence will be more likely to be considered “charismatic” leaders), the mere fact that someone can compel attention may often be sufficient to produce an aura of charisma, especially if the rituals are otherwise successful (one thinks here of in retrospect fairly uncharismatic leaders like Stalin or Kim Jong-il). I suspect that more skilful producers of charisma are precisely the people who seem to have the knack for putting together already charged symbols produced in everyday interaction rituals into larger narratives and symbols leading to them; Chávez was a master of this art, effortlessly associating himself with “the people.” (By contrast, his chosen successor, Maduro, is not yet a sacred object, charged in an endless series of interaction rituals, since he has not yet been the focus of attention for long in successful interaction rituals; this appears as a lack of charisma, though it could yet change).
  2. The mobilization of social movements. Along the same lines, we could understand the way in which social movements are built up in terms of chains of interaction rituals (Collins himself describes one case by looking at growth of social movements against tobacco). Movements grow as charged symbols come to link a larger set of groups whose rituals for the production of solidarity (WUNC displays, to use the terminology of the late Charles Tilly) are sufficiently compatible. (I think also here of Ernesto Laclau’s ideas about  how the “people” in populism – its master symbol – is constituted by linked “chains of demands” – charged symbols that circulate among and link otherwise disparate groups).

    The lens of ritual also emphasizes the tremendous importance of physical mobilization; ritual is far more powerful when people are physically together and aware of each other’s reactions. Movements that depend on “social” media can hardly match the power of movements that are forged in physical co-presence. Marches, campaign rallies, etc. are not important because they provide information, or even because they are costly signals of commitment (though they are sometimes that) but because they concentrate and amplify emotion, motivating people to keep going in sometimes quite difficult circumstances. (You don’t go to a campaign rally to learn a candidate’s position, but to show solidarity and renew your commitment to a cause or a person).

    More generally, the lens of ritual provides a way of thinking about power as the capacity to mobilize or disrupt collective action rather than as the capacity to enforce orders in micro-situations or to produce calculable consequences in the world. Power in this sense is produced in micro-rituals of solidarity and cemented by strong emotional experiences that circulate in the form of charged symbols (like common experiences of war; hence the strength of political parties forged in warfare as against parties held together only by patronage). Collins mostly discusses power in terms of deference rituals or the ability to produce calculable consequences, but the theory he offers can provide resources for thinking about the sources of collective action more generally.

  3. The (relative) insignificance of ideology. Taken in its strongest terms, Collins’ theory seems to suggest that ideology is generally unimportant. Whether a symbol acquires socially motivating value depends much less on its “generalized” meaning than on its place within chains of interaction rituals; we are not generally the dupes of rhetorical framings and persuasive strategies except in the context of successful ritual situations. (Collins notes, for example, that most advertisement seems to be unsuccessful at actually persuading people to buy products, and is mostly intended to preserve attention space against competitors). From this perspective, the decline of labor movements worldwide, for example, may owe less to any ideological changes (“persuasion” and “manipulation” taken in a very broad sense) than to (intentional or unintentional) changes in the conditions for the ritual production of solidarity. Chris Bertram recently mused on the occasion of Margaret Thatcher’s death that UK society used to be socially more class-differentiated (there were strong institutions where class solidarities and roles were produced) but is now less so (since these institutions have vanished), despite very low levels of economic mobility and higher levels of economic inequality; many people now “feel” that there is more equality. From the interaction ritual perspective, these changes are not the result of the working class becoming simply convinced of lies due to clever persuasive strategies by elites, but of the less central place of rituals and symbols reinforcing class solidarity in their lives. This is in turn due to any number of causes: laws that made labor unions more difficult to organize, structural changes in employment patterns, the decay of rituals of deference, the emergence of rituals focused on celebrities that cut across social class, etc.
  4. The (near) impossibility of deliberative democracy. I confess that the interaction ritual perspective makes me feel pessimistic about the prospects for anything like genuinely deliberative democracy. Deliberation is itself a ritual situation, but one that seems particularly fragile and unlikely to produce strong commitments, unlike many other political rituals, since it is premised on disagreement. The basic building blocks of political solidarity – all the rituals inadvertently sacralising various opinions as tokens of membership – seem to cut against the possibility of successful deliberation except in very rare circumstances. But this is something I would need to think more about.
  5. The ritual origins of civilization. From reading Peter Watson's “The Great Divide: History and Human Nature in the Old World and the New” I take it that the conventional wisdom in anthropology today seems to be that “civilization” (or perhaps better, cities) did not emerge from agriculture; the first cities are ritual centers, and precede the development of agriculture. Though this idea (including the fact that much early religious practice seems to have also depended on the chemical amplification of experience through hallucinogens) seems to fit within the overall perspective of the theory, I don’t quite know what to make of it yet.
All in all, for me this was one of those books that changes the way I see things; everyday situations – a committee meeting, a lecture, a political event – suddenly appeared in a new light, and even everyday problems – habit formation, how to give an interesting talk, etc. – seemed to benefit from the insights Collins' perspective provides.

[Update: fixed some typos]