Elias developed the theory of the Civilizing Process not by poring over numbers, which weren't available in his day, but by examining the texture of everyday life in medieval Europe. He examined, for instance, a series of drawings from the 15th-century German manuscript The Medieval Housebook, a depiction of daily life as seen through the eyes of a knight.
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Now let's consider the implications of the centuries-long decline in homicide in Europe. Do you think that city living, with its anonymity, crowding, immigrants, and jumble of cultures and classes, is a breeding ground for violence? What about the wrenching social changes brought on by capitalism and the Industrial Revolution? Is it your conviction that small-town life, centered on church, tradition, and fear of God, is our best bulwark against murder and mayhem? Well, think again. As Europe became more urban, cosmopolitan, commercial, industrialized, and secular, it got safer and safer. And that brings us back to the ideas of Norbert Elias, the only theory left standing.
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In the detail shown in figure 3-5, a peasant disembowels a horse as a pig sniffs his exposed buttocks. In a nearby cave a man and a woman sit in the stocks. Above them a man is being led to the gallows, where a corpse is already hanging, and next to it is a man who has been broken on the wheel, his shattered body pecked by a crow. The wheel and gibbet are not the focal point of the drawing, but a part of the landscape, like the trees and hills.
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FIGURE 3-5: Detail from "Saturn," Das Mittelalterliche Hausbuch (The Medieval Housebook, 1475-80)
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Sources: Reproduced in Elias, 1939/2000, appendix 2; see Graf zu Waldburg Wolfegg, 1988.
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Figure 3-6 contains a detail from a second drawing, in which knights are attacking a village. In the lower left a peasant is stabbed by a soldier; above him, another peasant is restrained by his shirttail while a woman, hands in the air, cries out. At the lower right, a peasant is being stabbed in a chapel while his possessions are plundered, and nearby another peasant in fetters is cudgeled by a knight. Above them a group of horsemen are setting fire to a farmhouse, while one of them drives off the farmer's cattle and strikes at his wife.
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The knights of feudal Europe were what today we would call warlords.
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FIGURE 3-6: Detail from "Mars," Das Mittelalterliche Hausbuch (The Medieval Housebook, 1475-80)
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States were ineffectual, and the king was merely the most prominent of the noblemen, with no permanent army and little control over the country. Governance was outsourced to the barons, knights, and other noblemen who controlled fiefs of various sizes, exacting crops and military service from the peasants who lived in them. The knights raided one another's territories in a Hobbesian dynamic of conquest, preemptive attack, and vengeance, and as the Housebook illustrations suggest, they did not restrict their killing to other knights. In A Distant Mirror: The Calamitous 14th Century, the historian Barbara Tuchman describes the way they made a living:
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Sources: Reproduced in Elias, 1939/2000, appendix 2; see Graf zu Waldburg Wolfegg, 1988.
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These private wars were fought by the knights with furious gusto and a single strategy, which consisted in trying to ruin the enemy by killing and maiming as many of his peasants and destroying as many crops, vineyards, tools, barns, and other possessions as possible, thereby reducing his sources of revenue. As a result, the chief victim of the belligerents was their respective peasantry.
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The private wars and tournaments were the backdrop to a life that was violent in other ways. As we saw, religious values were imparted with bloody crucifixes, threats of eternal torture, and prurient depictions of mutilated saints. Craftsmen applied their ingenuity to sadistic machines of punishment and execution. Brigands made travel a threat to life and limb, and ransoming captives was big business. As Elias noted, "the little people, too -- the hatters, the tailors, the shepherds -- were all quick to draw their knives." Even clergymen got into the act. The historian Barbara Hanawalt quotes an account from 14th-century England:
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As we saw in chapter 1, to maintain the credibility of their deterrent threat, knights engaged in bloody tournaments and other demonstrations of macho prowess, gussied up with words like honor, valor, chivalry, glory, and gallantry, which made later generations forget they were bloodthirsty marauders.
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It happened at Ylvertoft on Saturday next before Martinmass in the fifth year of King Edward that a certain William of Wellington, parish chaplain of Ylvertoft, sent John, his clerk, to John Cobbler's house to buy a candle for him for a penny. But John would not send it to him without the money wherefore William became enraged, and, knocking in the door upon him, he struck John in the front part of the head so that his brains flowed forth and he died forthwith.
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During my decades in academia I have read thousands of scholarly papers on a vast range of topics, from the grammar of irregular verbs to the physics of multiple universes. But the oddest journal article I have ever read is "Losing Face, Saving Face: Noses and Honour in the Late Medieval Town." Here the historian Valentin Groebner documents dozens of accounts from medieval Europe in which one person cut off the nose of another. Sometimes it was an official punishment for heresy, treason, prostitution, or sodomy, but more often it was an act of private vengeance. In one case in Nuremberg in 1520, Hanns Rigel had an affair with the wife of Hanns von Eyb. A jealous von Eyb cut off the nose of Rigel's innocent wife, a supreme injustice multiplied by the fact that Rigel was sentenced to four weeks of imprisonment for adultery while von Eyb walked away scot-free. These mutilations were so common that, according to Groebner,
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Violence pervaded their entertainment as well. Tuchman describes two of the popular sports of the time: "Players with hands tied behind them competed to kill a cat nailed to a post by battering it to death with their heads, at the risk of cheeks ripped open or eyes scratched out by the frantic animal's claws… Or a pig enclosed in a wide pen was chased by men with clubs to the laughter of spectators as he ran squealing from the blows until beaten lifeless."
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The practice was the source of our strange idiom to cut off your nose to spite your face. In late medieval times, cutting off someone's nose was the prototypical act of spite.
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the authors of late-medieval surgical textbooks also devote particular attention to nasal injuries, discussing whether a nose once cut off can grow back, a controversial question that the French royal physician Henri de Mondeville answered in his famous Chirurgia with a categorical "No." Other fifteenth-century medical authorities were more optimistic: Heinrich von Pforspundt's 1460 pharmacoepia promised, among other things, a prescription for "making a new nose" for those who had lost theirs.
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Not that people were always going around with fierce looks, drawn brows and martial countenances… On the contrary, a moment ago they were joking, now they mock each other, one word leads to another, and suddenly from the midst of laughter they find themselves in the fiercest feud. Much of what appears contradictory to us -- the intensity of their piety, the violence of their fear of hell, their guilt feelings, their penitence, the immense outbursts of joy and gaiety, the sudden flaring and the uncontrollable force of their hatred and belligerence -- all these, like the rapid changes of mood, are in reality symptoms of one and the same structuring of the emotional life. The drives, the emotions were vented more freely, more directly, more openly than later. It is only to us, in whom everything is more subdued, moderate, and calculated, and in whom social taboos are built much more deeply into the fabric of our drive-economy as self-restraints, that the unveiled intensity of this piety, belligerence, or cruelty appears to be contradictory.
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Like other scholars who have peered into medieval life, Elias was taken aback by accounts of the temperament of medieval people, who by our lights seem impetuous, uninhibited, almost childlike:
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Tuchman too writes of the "childishness noticeable in medieval behavior, with its marked inability to restrain any kind of impulse." Dorothy Sayers, in the introduction to her translation of The Song of Roland, adds, "The idea that a strong man should react to great personal and national calamities by a slight compression of the lips and by silently throwing his cigarette into the fireplace is of very recent origin."
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Though the childishness of the medievals was surely exaggerated, there may indeed be differences in degree in the mores of emotional expression in different eras. Elias spends much of The Civilizing Process documenting this transition with an unusual database: manuals of etiquette. Today we think of these books, like Amy Vanderbilt's Everyday Etiquette and Miss Manners' Guide to Excruciatingly Correct Behavior, as sources of handy tips for avoiding embarrassing peccadilloes. But at one time they were serious guides to moral conduct, written by the leading thinkers of the day. In 1530 the great scholar Desiderius Erasmus, one of the founders of modernity, wrote an etiquette manual called On Civility in Boys which was a bestseller throughout Europe for two centuries. By laying down rules for what people ought not to do, these manuals give us a snapshot of what they must have been doing.
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Don't foul the staircases, corridors, closets, or wall hangings with urine or other filth. • Don't relieve yourself in front of ladies, or before doors or windows of court chambers. • Don't slide back and forth on your chair as if you're trying to pass gas. • Don't touch your private parts under your clothes with your bare hands. • Don't greet someone while they are urinating or defecating. • Don't make noise when you pass gas. • Don't undo your clothes in front of other people in preparation for defecating, or do them up afterwards. • When you share a bed with someone in an inn, don't lie so close to him that you touch him, and don't put your legs between his. • If you come across something disgusting in the sheet, don't turn to your companion and point it out to him, or hold up the stinking thing for the other to smell and say "I should like to know how much that stinks."
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The people of the Middle Ages were, in a word, gross. A number of the advisories in the etiquette books deal with eliminating bodily effluvia:
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Others deal with blowing one's nose:
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Don't blow your nose onto the tablecloth, or into your fingers, sleeve, or hat. • Don't offer your used handkerchief to someone else. • Don't carry your handkerchief in your mouth. • "Nor is it seemly, after wiping your nose, to spread out your handkerchief and peer into it as if pearls and rubies might have fallen out of your head."
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Then there are fine points of spitting:
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Don't spit into the bowl when you are washing your hands. • Do not spit so far that you have to look for the saliva to put your foot on it. • Turn away when spitting, lest your saliva fall on someone. • "If anything purulent falls to the ground, it should be trodden upon, lest it nauseate someone." • If you notice saliva on someone's coat, it is not polite to make it known.
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And there are many, many pieces of advice on table manners:
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Don't be the first to take from the dish. • Don't fall on the food like a pig, snorting and smacking your lips. • Don't turn the serving dish around so the biggest piece of meat is near you. • "Don't wolf your food like you're about to be carried off to prison, nor push so much food into your mouth that your cheeks bulge like bellows, nor pull your lips apart so that they make a noise like pigs." • Don't dip your fingers into the sauce in the serving dish. • Don't put a spoon into your mouth and then use it to take food from the serving dish. • Don't gnaw on a bone and put it back in the serving dish. • Don't wipe your utensils on the tablecloth. • Don't put back on your plate what has been in your mouth. • Do not offer anyone a piece of food you have bitten into. • Don't lick your greasy fingers, wipe them on the bread, or wipe them on your coat. • Don't lean over to drink from your soup bowl. • Don't spit bones, pits, eggshells, or rinds into your hand, or throw them on the floor. • Don't pick your nose while eating. • Don't drink from your dish; use a spoon. • Don't slurp from your spoon. • Don't loosen your belt at the table. • Don't clean a dirty plate with your fingers. • Don't stir sauce with your fingers. • Don't lift meat to your nose to smell it. • Don't drink coffee from your saucer.
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In the mind of a modern reader, these advisories set off a train of reactions. How inconsiderate, how boorish, how animalistic, how immature those people must have been! These are the kinds of directives you'd expect a parent to give to a three-year-old, not a great philosopher to a literate readership. Yet as Elias points out, the habits of refinement, self-control, and consideration that are second nature to us had to be acquired -- that's why we call them second nature -- and they developed in Europe over the course of its modern history.
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The sheer quantity of the advice tells a story. The three-dozen-odd rules are not independent of one another but exemplify a few themes. It's unlikely that each of us today had to be instructed in every rule individually, so that if some mother had been remiss in teaching one of them, her adult son would still be blowing his nose into the tablecloth. The rules in the list (and many more that are not) are deducible from a few principles: Control your appetites; Delay gratification; Consider the sensibilities of others; Don't act like a peasant; Distance yourself from your animal nature.
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In the European Middle Ages, sexual activity too was less discreet. People were publicly naked more often, and couples took only perfunctory measures to keep their coitus private. Prostitutes offered their services openly; in many English towns, the red-light district was called Gropecunt Lane. Men would discuss their sexual exploits with their children, and a man's illegitimate offspring would mix with his legitimate ones. During the transition to modernity, this openness came to be frowned upon as uncouth and then as unacceptable.
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And the penalty for these infractions was assumed to be internal: a sense of shame. Elias notes that the etiquette books rarely mention health and hygiene. Today we recognize that the emotion of disgust evolved as an unconscious defense against biological contamination. But an understanding of microbes and infection did not arrive until well into the 19th century. The only explicit rationales stated in the etiquette books are to avoid acting like a peasant or an animal and to avoid offending others.
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The change left its mark in the language. Words for peasantry took on a second meaning as words for turpitude: boor (which originally just meant "farmer," as in the German Bauer and Dutch boer); villain (from the French vilein, a serf or villager); churlish (from English churl, a commoner); vulgar (common, as in the term vulgate); and ignoble, not an aristocrat. Many of the words for the fraught actions and substances became taboo. Englishmen used to swear by invoking supernatural beings, as in My God! and Jesus Christ! At the start of the modern era they began to invoke sexuality and excretion, and the "Anglo-Saxon four-letter words," as we call them today, could no longer be used in polite company. As the historian Geoffrey Hughes has noted, "The days when the dandelion could be called the pissabed, a heron could be called a shitecrow and the windhover could be called the windfucker have passed away with the exuberant phallic advertisement of the codpiece."Bastard, cunt, arse, and whore also passed from ordinary to taboo.
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Don't pick your teeth with your knife. • Don't hold your knife the entire time you are eating, but only when you are using it. • Don't use the tip of your knife to put food into your mouth. • Don't cut bread; break it. • If you pass someone a knife, take the point in your hand and offer him the handle. • Don't clutch your knife with your whole hand like a stick, but hold it in your fingers. • Don't use your knife to point at someone.
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As the new etiquette took hold, it also applied to the accoutrements of violence, particularly knives. In the Middle Ages, most people carried a knife and would use it at the dinner table to carve a chunk of meat off the roasted carcass, spear it, and bring it to their mouths. But the menace of a lethal weapon within reach at a communal gathering, and the horrific image of a knife pointed at a face, became increasingly repellent. Elias cites a number of points of etiquette that center on the use of knives:
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It was during this transition that the fork came into common use as a table utensil, so that people no longer had to bring their knives to their mouths. Special knives were set at the table so people would not have to unsheathe their own, and they were designed with rounded rather than pointed ends. Certain foods were never to be cut with a knife, such as fish, round objects, and bread -- hence the expression to break bread together.
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Some of the medieval knife taboos remain with us today. Many people will not give a knife as a present unless it is accompanied by a coin, which the recipient gives back, to make the transaction a sale rather than a gift. The ostensible reason is to avoid the symbolism of "severing the friendship," but a more likely reason is to avoid the symbolism of directing an unsolicited knife in the friend's direction. A similar superstition makes it bad luck to hand someone a knife: one is supposed to lay it down on the table and allow the recipient to pick it up. Knives in table settings are rounded at the end and no sharper than needed: steak knives are brought out for tough meat, and blunter knives substituted for fish. And knives may be used only when they are absolutely necessary. It's rude to use a knife to eat a piece of cake, to bring food to your mouth, to mix ingredients ("Stir with a knife, stir up strife"), or to push food onto your fork.
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Aha!
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Elias's theory, then, attributes the decline in European violence to a larger psychological change (the subtitle of his book is Sociogenetic and Psychogenetic Investigations). He proposed that over a span of several centuries, beginning in the 11th or 12th and maturing in the 17th and 18th, Europeans increasingly inhibited their impulses, anticipated the long-term consequences of their actions, and took other people's thoughts and feelings into consideration. A culture of honor -- the readiness to take revenge -- gave way to a culture of dignity -- the readiness to control one's emotions. These ideals originated in explicit instructions that cultural arbiters gave to aristocrats and noblemen, allowing them to differentiate themselves from the villains and boors. But they were then absorbed into the socialization of younger and younger children until they became second nature. The standards also trickled down from the upper classes to the bourgeoisie that strove to emulate them, and from them to the lower classes, eventually becoming a part of the culture as a whole.
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Elias helped himself to Freud's structural model of the psyche, in which children acquire a conscience (the superego) by internalizing the injunctions of their parents when they are too young to understand them. At that point the child's ego can apply these injunctions to keep their biological impulses (the id) in check. Elias stayed away from Freud's more exotic claims (such as the primeval parricide, the death instinct, and the oedipal complex), and his psychology is thoroughly modern. In chapter 9 we will look at a faculty of the mind that psychologists call self-control, delay of gratification, and shallow temporal discounting and that laypeople call counting to ten, holding your horses, biting your tongue, saving for a rainy day, and keeping your pecker in your pocket. We will also look at a faculty that psychologists call empathy, intuitive psychology, perspective-taking, and theory of mind and that laypeople call getting into other people's heads, seeing the world from their point of view, walking a mile in their moccasins, and feeling their pain. Elias anticipated the scientific study of both of these better angels.
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To his credit, Elias leapfrogged academic fashion in not claiming that early modern Europeans "invented" or "constructed" self-control. He claimed only that they toned up a mental faculty that had always been a part of human nature but which the medievals had underused. He repeatedly drove the point home with the pronouncement "There is no zero point." As we shall see in chapter 9, exactly how people dial their capacity for self-control up or down is an interesting topic in psychology. One possibility is that self-control is like a muscle, so that if you exercise it with table manners it will be stronger across the board and more effective when you have to stop yourself from killing the person who just insulted you. Another possibility is that a particular setting of the self-control dial is a social norm, like how close you can stand to another person or how much of your body has to be covered in public. A third is that self-control can be adjusted adaptively according to its costs and benefits in the local environment. Self-control, after all, is not an unmitigated good. The problem with having too much self-control is that an aggressor can use it to his advantage, anticipating that you may hold back from retaliating because it's too late to do any good. But if he had reason to believe that you would lash out reflexively, consequences be damned, he might treat you with more respect in the first place. In that case people might adjust a self-control slider according to the dangerousness of those around them.
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Critics of Elias have pointed out that all societies have standards of propriety about sexuality and excretion which presumably grow out of innate emotions surrounding purity, disgust, and shame. As we will see, the degree to which societies moralize these emotions is a major dimension of variation across cultures. Though medieval Europe certainly did not lack norms of propriety altogether, it seems to have lain at the far end of the envelope of cultural possibilities.
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But Elias did propose an exogenous trigger to get the whole thing started, indeed, two triggers. The first was the consolidation of a genuine Leviathan after centuries of anarchy in Europe's feudal patchwork of baronies and fiefs. Centralized monarchies gained in strength, brought the warring knights under their control, and extended their tentacles into the outer reaches of their kingdoms. According to the military historian Quincy Wright, Europe had five thousand independent political units (mainly baronies and principalities) in the 15th century, five hundred at the time of the Thirty Years' War in the early 17th, two hundred at the time of Napoleon in the early 19th, and fewer than thirty in 1953.
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At this point in the story, the theory of the Civilizing Process is incomplete, because it appeals to a process that is endogenous to the phenomenon it is trying to explain. A decline in violent behavior, it says, coincided with a decline in impulsiveness, honor, sexual license, incivility, and boorishness at the dinner table. But this just entangles us in a web of psychological processes. It hardly counts as an explanation to say that people behaved less violently because they learned to inhibit their violent impulses. Nor can we feel confident that people's impulsiveness changed first and that a reduction in violence was the result, rather than the other way around.
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The consolidation of political units was in part a natural process of agglomeration in which a moderately powerful warlord swallowed his neighbors and became a still more powerful warlord. But the process was accelerated by what historians call the military revolution: the appearance of gunpowder weapons, standing armies, and other expensive technologies of war that could only be supported by a large bureaucracy and revenue base. A guy on a horse with a sword and a ragtag band of peasants was no match for the massed infantry and artillery that a genuine state could put on the battlefield. As the sociologist Charles Tilly put it, "States make war and vice-versa."
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Turf battles among knights were a nuisance to the increasingly powerful kings, because regardless of which side prevailed, peasants were killed and productive capacity was destroyed that from the kings' point of view would be better off stoking their revenues and armies. And once they got into the peace business --"the king's peace," as it was called -- they had an incentive to do it right. For a knight to lay down his arms and let the state deter his enemies was a risky move, because his enemies could see it as a sign of weakness. The state had to keep up its end of the bargain, lest everyone lose faith in its peacekeeping powers and resume their raids and vendettas.
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Feuding among knights and peasants was not just a nuisance but a lost opportunity. During Norman rule in England, some genius recognized the lucrative possibilities in nationalizing justice. For centuries the legal system had treated homicide as a tort: in lieu of vengeance, the victim's family would demand a payment from the killer's family, known as blood money or wergild ("man-payment"; the wer is the same prefix as in werewolf, "man-wolf"). King Henry I redefined homicide as an offense against the state and its metonym, the crown. Murder cases were no longer John Doe vs. Richard Roe, but The Crown vs. John Doe (or later, in the United States, The People vs. John Doe or The State of Michigan vs. John Doe). The brilliance of the plan was that the wergild (often the offender's entire assets, together with additional money rounded up from his family) went to the king instead of to the family of the victim. Justice was administered by roving courts that would periodically visit a locale and hear the accumulated cases. To ensure that all homicides were presented to the courts, each death was investigated by a local agent of the crown: the coroner.
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Once Leviathan was in charge, the rules of the game changed. A man's ticket to fortune was no longer being the baddest knight in the area but making a pilgrimage to the king's court and currying favor with him and his entourage. The court, basically a government bureaucracy, had no use for hotheads and loose cannons, but sought responsible custodians to run its provinces. The nobles had to change their marketing. They had to cultivate their manners, so as not to offend the king's minions, and their empathy, to understand what they wanted. The manners appropriate for the court came to be called "courtly" manners or "courtesy." The etiquette guides, with their advice on where to place one's nasal mucus, originated as manuals for how to behave in the king's court. Elias traces the centuries-long sequence in which courtesy percolated down from aristocrats dealing with the court to the elite bourgeoisie dealing with the aristocrats, and from them to the rest of the middle class. He summed up his theory, which linked the centralization of state power to a psychological change in the populace, with a slogan: Warriors to courtiers.
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The Christian attitude toward commerce… held that money was evil, that according to St. Augustine "Business is in itself an evil," that profit beyond a minimum necessary to support the dealer was avarice, that to make money out of money by charging interest on a loan was the sin of usury, that buying goods wholesale and selling them unchanged at a higher retail price was immoral and condemned by canon law, that, in short, St. Jerome's dictum was final: "A man who is a merchant can seldom if ever please God."
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The zero-sum nature of the medieval economy was reinforced by a Christian ideology that was hostile to any commercial practice or technological innovation that might eke more wealth out of a given stock of physical resources. As Tuchman explains:
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The second exogenous change during the later Middle Ages was an economic revolution. The economic base of the feudal system was land and the peasants who worked it. As real estate agents like to say, land is the one thing they can't make more of. In an economy based on land, if someone wants to improve his standard of living, or for that matter maintain it during a Malthusian population expansion, his primary option is to conquer the neighboring lot. In the language of game theory, competition for land is zero-sum: one player's gain is another player's loss.
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A positive-sum game is a scenario in which agents have choices that can improve the lots of both of them at the same time. A classic positive-sum game in everyday life is the exchange of favors, where each person can confer a large benefit to another at a small cost to himself or herself. Examples include primates who remove ticks from each other's backs, hunters who share meat whenever one of them has felled an animal that is too big for him to consume on the spot, and parents who take turns keeping each other's children out of trouble. As we shall see in chapter 8, a key insight of evolutionary psychology is that human cooperation and the social emotions that support it, such as sympathy, trust, gratitude, guilt, and anger, were selected because they allow people to flourish in positive-sum games. 37
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As my grandfather would have put it, "Goyische kopp!"-- gentile head. Jews were brought in as moneylenders and middlemen but were just as often persecuted and expelled. The era's economic backwardness was enforced by laws which decreed that prices should be fixed at a "just" level reflecting the cost of the raw material and the value of the labor added to it. "To ensure that no one gained an advantage over anyone else," Tuchman explains, "commercial law prohibited innovation in tools or techniques, underselling below a fixed price, working late by artificial light, employing extra apprentices or wife and under-age children, and advertising of wares or praising them to the detriment of others." This is a recipe for a zero-sum game, and leaves predation as the only way people could add to their wealth.
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A classic positive-sum game in economic life is the trading of surpluses. If a farmer has more grain than he can eat, and a herder has more milk than he can drink, both of them come out ahead if they trade some wheat for some milk. As they say, everybody wins. Of course, an exchange at a single moment in time only pays when there is a division of labor. There would be no point in one farmer giving a bushel of wheat to another farmer and receiving a bushel of wheat in return. A fundamental insight of modern economics is that the key to the creation of wealth is a division of labor, in which specialists learn to produce a commodity with increasing cost-effectiveness and have the means to exchange their specialized products efficiently. One infrastructure that allows efficient exchange is transportation, which makes it possible for producers to trade their surpluses even when they are separated by distance. Another is money, interest, and middlemen, which allow producers to exchange many kinds of surpluses with many other producers at many points in time.
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Commerce attaches [people] to one another through mutual utility… Through commerce, man learns to deliberate, to be honest, to acquire manners, to be prudent and reserved in both talk and action. Sensing the necessity to be wise and honest in order to succeed, he flees vice, or at least his demeanor exhibits decency and seriousness so as not to arouse any adverse judgment on the part of present and future acquaintances.
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Positive-sum games also change the incentives for violence. If you're trading favors or surpluses with someone, your trading partner suddenly becomes more valuable to you alive than dead. You have an incentive, moreover, to anticipate what he wants, the better to supply it to him in exchange for what you want. Though many intellectuals, following in the footsteps of Saints Augustine and Jerome, hold businesspeople in contempt for their selfishness and greed, in fact a free market puts a premium on empathy. 38 A good businessperson has to keep the customers satisfied or a competitor will woo them away, and the more customers he attracts, the richer he will be. This idea, which came to be called doux commerce (gentle commerce), was expressed by the economist Samuel Ricard in 1704:
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And this brings us to the second exogenous change. Elias noted that in the late Middle Ages people began to unmire themselves from technological and economic stagnation. Money increasingly replaced barter, aided by the larger national territories in which a currency could be recognized. The building of roads, neglected since Roman times, resumed, allowing the transport of goods to the hinterlands of the country and not just along its coasts and navigable rivers. Horse transport became more efficient with the use of horseshoes that protected hooves from paving stones and yokes that didn't choke the poor horse when it pulled a heavy load. Wheeled carts, compasses, clocks, spinning wheels, treadle looms, windmills, and water mills were also perfected in the later Middle Ages. And the specialized expertise needed to implement these technologies was cultivated in an expanding stratum of craftsmen. The advances encouraged the division of labor, increased surpluses, and lubricated the machinery of exchange. Life presented people with more positive-sum games and reduced the attractiveness of zero-sum plunder. To take advantage of the opportunities, people had to plan for the future, control their impulses, take other people's perspectives, and exercise the other social and cognitive skills needed to prosper in social networks.
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The two triggers of the Civilizing Process -- the Leviathan and gentle commerce -- are related. The positive-sum cooperation of commerce flourishes best inside a big tent presided over by a Leviathan. Not only is a state well suited to provide the public goods that serve as infrastructure for economic cooperation, such as money and roads, but it can put a thumb on the scale on which players weigh the relative payoffs of raiding and trading. Suppose a knight can either plunder ten bushels of grain from his neighbor or, by expending the same amount of time and energy, raise the money to buy five bushels from him. The theft option looks pretty good. But if the knight anticipates that the state will fine him six bushels for the theft, he'd be left with only four, so he's better off with honest toil. Not only do the Leviathan's incentives make commerce more attractive, but commerce makes the job of the Leviathan easier. If the honest alternative of buying the grain hadn't been available, the state would have had to threaten to squeeze ten bushels out of the knight to deter him from plundering, which is harder to enforce than squeezing five bushels out of him. Of course, in reality the state's sanctions may be the threat of physical punishment rather than a fine, but the principle is the same: it's easier to deter people from crime if the lawful alternative is more appealing.
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Indeed the "organic" analogy is not far-fetched. The biologists John Maynard Smith and Eörs Szathmáry have argued that an evolutionary dynamic similar to the Civilizing Process drove the major transitions in the history of life. These transitions were the successive emergence of genes, chromosomes, bacteria, cells with nuclei, organisms, sexually reproducing organisms, and animal societies. In each transition, entities with the capacity to be either selfish or cooperative tended toward cooperation when they could be subsumed into a larger whole. They specialized, exchanged benefits, and developed safeguards to prevent one of them from exploiting the rest to the detriment of the whole. The journalist Robert Wright sketches a similar arc in his book Nonzero, an allusion to positive-sum games, and extends it to the history of human societies. In the final chapter of this book I will take a closer look at overarching theories of the decline of violence.
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The two civilizing forces, then, reinforce each other, and Elias considered them to be part of a single process. The centralization of state control and its monopolization of violence, the growth of craft guilds and bureaucracies, the replacement of barter with money, the development of technology, the enhancement of trade, the growing webs of dependency among far-flung individuals, all fit into an organic whole. And to prosper within that whole, one had to cultivate faculties of empathy and self-control until they became, as he put it, second nature.
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Elias himself was haunted by the not-so-civilized behavior of his native Germany during World War II, and he labored to explain that "decivilizing process" within the framework of his theory. He discussed the fitful history of German unification and the resulting lack of trust in a legitimate central authority. He documented the persistence of a militaristic culture of honor among its elites, the breakdown of a state monopoly on violence with the rise of communist and fascist militias, and a resulting contraction of empathy for groups perceived to be outsiders, particularly the Jews. It would be a stretch to say that he rescued his theory with these analyses, but perhaps he shouldn't have tried. The horrors of the Nazi era did not consist in an upsurge in feuding among warlords or of citizens stabbing each other over the dinner table, but in violence whose scale, nature, and causes are altogether different. In fact in Germany during the Nazi years the declining trend for one-on-one homicides continued (see, for example, figure3-19). In chapter 8 we will see how the compartmentalization of the moral sense, and the distribution of belief and enforcement among different sectors of a population, can lead to ideologically driven wars and genocides even in otherwise civilized societies.
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The theory of the Civilizing Process passed a stringent test for a scientific hypothesis: it made a surprising prediction that turned out to be true. Back in 1939 Elias had no access to the statistics of homicide; he worked from narrative histories and old books of etiquette. When Gurr, Eisner, Cockburn, and others surprised the world of criminology with their graphs showing a decline in killings, Elias had the only theory that anticipated it. But with everything else we have learned about violence in recent decades, how well does the theory fare?
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Many criminologists believe that the source of the state's pacifying effect isn't just its brute coercive power but the trust it commands among the populace. After all, no state can post an informant in every pub and farmhouse to monitor breaches of the law, and those that try are totalitarian dictatorships that rule by fear, not civilized societies where people coexist through self-control and empathy. A Leviathan can civilize a society only when the citizens feel that its laws, law enforcement, and other social arrangements are legitimate, so that they don't fall back on their worst impulses as soon as Leviathan's back is turned. This doesn't refute Elias's theory, but it adds a twist. An imposition of the rule of law may end the bloody mayhem of feuding warlords, but reducing rates of violence further, to the levels enjoyed by modern European societies, involves a more nebulous process in which certain populations accede to the rule of law that has been imposed on them.
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Eisner pointed out another complication for the theory of the Civilizing Eisner pointed out another complication for the theory of the Civilizing Process: the decline of violence in Europe and the rise of centralized states did not always proceed in lockstep. Belgium and the Netherlands were at the forefront of the decline, yet they lacked strong centralized governments. When Sweden joined the trend, it wasn't on the heels of an expansion in state power either. Conversely, the Italian states were in the rearguard of the decline in violence, yet their governments wielded an enormous bureaucracy and police force. Nor did cruel punishments, the enforcement method of choice among early modern monarchs, reduce violence in the areas where they were carried out with the most relish.
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II. A Loose-Fish is fair game for anybody who can soonest catch it.
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Thus the most vexatious and violent disputes would often arise between the fishermen, were there not some written or unwritten, universal, undisputed law applicable to all cases.
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Libertarians, anarchists, and other skeptics of the Leviathan point out that when communities are left to their own devices, they often develop norms of cooperation that allow them to settle their disputes nonviolently, without laws, police, courts, or the other trappings of government. In Moby-Dick, Ishmael explains how American whalers thousands of miles from the reach of the law dealt with disputes over whales that had been injured or killed by one ship and then claimed by another:
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I. A Fast-Fish belongs to the party fast to it.
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… Though no other nation [but Holland] has ever had any written whaling law, yet the American fishermen have been their own legislators and lawyers in this matter… These laws might be engraven on a Queen Anne's farthing, or the barb of a harpoon, and worn round the neck, so small are they.
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Informal norms of this kind have emerged among fishers, farmers, and herders in many parts of the world. In Order Without Law: How Neighbors Settle Disputes, the legal scholar Robert Ellickson studied a modern American version of the ancient (and frequently violent) confrontation between pastoralists and farmers. In northern California's Shasta County, traditional ranchers are essentially cowboys, grazing their cattle in open country, while modern ranchers raise cattle in irrigated, fenced ranches. Both kinds of ranchers coexist with farmers who grow hay, alfalfa, and other crops. Straying cattle occasionally knock down fences, eat crops, foul streams, and wander onto roads where vehicles can hit them. The county is carved into "open ranges," in which an owner is not legally liable for most kinds of accidental damage his cattle may cause, and "closed ranges," in which he is strictly liable, whether he was negligent or not. Ellickson discovered that victims of harm by cattle were loath to invoke the legal system to settle the damages. In fact, most of the residents -- ranchers, farmers, insurance adjustors, even lawyers and judges -- held beliefs about the applicable laws that were flat wrong. But the residents got along by adhering to a few tacit norms. Cattle owners were always responsible for the damage their animals caused, whether a range was open or closed; but if the damage was minor and sporadic, property owners were expected to "lump it." People kept rough long-term mental accounts of who owed what, and the debts were settled in kind rather than in cash. (For example, a cattleman whose cow damaged a rancher's fence might at a later time board one of the rancher's stray cattle at no charge.) Deadbeats and violators were punished with gossip and with occasional veiled threats or minor vandalism. In chapter 9 we'll take a closer look at the moral psychology behind such norms, which fall into a category called equality matching.
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As important as tacit norms are, it would be a mistake to think that they obviate a role for government. The Shasta County ranchers may not have called in Leviathan when a cow knocked over a fence, but they were living in its shadow and knew it would step in if their informal sanctions escalated or if something bigger were at stake, such as a fight, a killing, or a dispute over women. And as we shall see, their current level of peaceful coexistence is itself the legacy of a local version of the Civilizing Process. In the 1850s, the annual homicide rate of northern California ranchers was around 45 per 100,000, comparable to those of medieval Europe.
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I think the theory of the Civilizing Process provides a large part of the explanation for the modern decline of violence not only because it predicted the remarkable plunge in European homicide but because it makes correct predictions about the times and places in the modern era that do not enjoy the blessed 1-per-100,000-per-year rate of modern Europe. Two of these rule-proving exceptions are zones that the Civilizing Process never fully penetrated : the lower strata of the socioeconomic scale, and the inaccessible or inhospitable territories of the globe. And two are zones in which the Civilizing Process went into reverse: the developing world, and the 1960s. Let's visit them in turn.
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