Clausewitz, Keegan, and the
Big History of Warfare
Daniel Barreiros
Federal University of Rio de Janeiro
Daniel Ribera Vainfas
Federal University of Rio de Janeiro
Correspondence | daniel.barreiros@ie.ufrj.br; danielvainfas@gmail.com
Citation | Barreiros, Daniel, and Daniel Ribera Vainfas. 2019. “Clausewitz, Keegan, and the Big History of Warfare.” Journal
of Big History, IV (1): 4-12. http://dx.doi.org/10.22339/jbh.v4i1.4130.
DOI | http://dx.doi.org/10.22339/jbh.v4i1.4130
Abstract
As a social phenomenon, is war subordinate to politics, as Carl von Clausewitz argued in the early nineteenth century,
or, instead, is it the product of an instinctive ‘warrior culture’, common to all peoples and times and beyond politics, as
John Keegan suggested in the late twentieth? Should we emphasize ‘essential historical elements in the search for a temporal continuum in warfare? In this article, we stress the relevance of the ‘perennity of war’ thesis, and the impropriety of a
dichotomy between political rationality vs. instinct. The results of the clash between these two strands of thought about
the origins of warfare face limitations due to the absence of a temporal ‘play of scales’, so that short-term approaches
emerge as incompatible with macro-historical views. We suggest that a deep understanding of the phenomenon of warfare
must consider the interaction and the feedback between processes at different time scales.
Introduction
If war (in general) is the “father of
all things” as said by Heraclitus, the
Wars of the French Revolution were
the parents of the modern theory of
coalitional violence. Carl von Clausewitz, the man behind the most notorious incursion of the Enlightenment in
the rational explanation of war, served
in the Prussian army during the Rhine
Campaigns of 1793-1794, went through
defeat and humiliation at the hands of
the French army in Jena (1806), fought
alongside the Russians in Borodino
(1812) after Prussia's surrender, and
paved the way for the Sixth Coalition
that would bring down the Grande
Armée and its allies in 1814. His wartime reflections and experiences gave
birth to a treatise on modern warfare
published posthumously in 1832,
named Vom Kriege (On War), that
influenced world leaders like Bismarck, Moltke, Lenin, Eisenhower,
and Mao Zedong among others. On
War became the cornerstone of military strategic thinking in the twentieth
century and is still praised as one of
the most important works on the subject. Of all topics addressed by Clausewitz, the idea that warfare is a rational
endeavor caught the attention of
many critics, especially after the carnage of two world wars. Naturally,
Clausewitz was not trying to sugarcoat
the nature of his métier, and in spite of
the fact that he spent most of his military career away from the frontline, he
was very aware of the fact that real
combat is engulfed in a storm of emotions, instincts, and somatization. So,
what On War teaches is that coalitional violence is chaotic and dreadful but
is nevertheless a rational instrument
in the hands of human collectives
(modern states, in this case) in their
dispute over scarce resources. When
conflict resolution fails, Clausewitz
says, a state is able to employ organized violence as a technique, as social
4
engineering, a means to obtain desired
ends. From the viewpoint of the strategist, war is just like chess, and that is
the way it should be if it is to be conducted in a “civilized” and “rational”
manner (different from the “savages”
overwhelmed by the lack of organization and primitive motives and methods). In the Clausewitzian tradition,
war is a continuation of politics, and
that is the point where a long debate
begins.
John Keegan, a British military
historian who never faced live
rounds—actually, he was considered
unfit for duty in the armed forces due
to a medical condition in 1952—was
brave enough to dig deeper into the
nature of warfare. He dismisses all
“well-behaved” and historically shallow concepts of organized violence in
favor of a framework that shows the
lines of continuation between warfare
among non-state and state actors.
Evoking the idea of a “warrior culture”
ubiquitous to all mankind, Keegan
emphasizes the social function of warfare in terms of group cohesion, coordination, and identity and stratification, rather than the instrumental aspects so dear to the Clausewitzians. A
conceptual debate was formed around
these positions, but the aim of this
article is not to take sides. Instead, our
purpose is to suggest that this debate
is tainted by its inability to grasp with
the “play of scales” as conceived by
David Christian (2005, 2018); if we
“scale up” our look into human experience employing critical insights obtained from primatological, ethological, and archaeological studies, we can
find enough common ground between
Keeganian and Clausewitizian traditions.
In A History of Warfare (1994),
Keegan argues that warfare should not
be understood as a continuation of
politics, as stated in the Clausewitzian
tradition, but rather as a cultural phenomenon, a product of the collective
practices adopted by a particular
group or society. Thinking of warfare
as a cultural product would open the
possibility, according to Keegan, of
escaping the artificial restrictions imposed by Clausewitz that bound warfare to human rational mind and particularly to state rationality. In this
way, to formulate a theory of warfare
that would explain its existence
throughout the history of humankind
would be possible. Although the concept of culture is broader than the
concept of politics and although Keegan’s assertion gives us a wider understanding of warfare, it is still necessary
to consider the ideas of Clausewitz
about what constitutes the political
phenomenon and contrast them with
the definition given by Keegan since
the controversy between these two
authors is substantial enough to demand caution in the use of their concepts.
Keegan's concept of culture is
interchangeable with a loose concept
of human nature. He claims that the
major cause of warfare is “warrior culture” and recognizes its universality
among societies (Keegan 1994); in other words, there seems to be more than
enough space for us to identify a pos-
sible overlap between that object
(culture) and an innate behavioral
framework in Homo sapiens.
Warfare is almost as old as man
himself, and reaches into the
most secret places of the human
heart, places where self dissolves
rational purpose, where pride
reigns, where emotion is paramount, where instinct is king.
(Keegan 1994, 3)
Keegan's assertion is quite interesting as it situates warfare as a phenomenon present in the very beginning of human natural history and,
therefore, as a structural component
of the social history of all human
groups since Paleolithic times. In doing so, Keegan must determine a main
cause for warfare that must also be
transcendent in time; this procedure
puts his ideas on a collision course
with the Clausewitzian tradition,
which places politics (and warfare, by
definition) in the list of phenomena
determined by human “rationality.” By
stating that “instinct is king” and invoking its biological dimension, Keegan conceives culture as something
beyond or even opposed to politics (in
its state and formal dimensions). Nevertheless, Keegan does not insist upon
bringing up the concept of instinct in
its plain colors, opting for a more generic element, easier accepted by his
interlocutors: something like a
“human warrior culture” with local
tones but a universal hue (Keegan
1994, xvi), in opposition to a supposed
misuse of the Clausewitzian “war as
politics” assertion. Keegan suggests
that Clausewitz's original statement
tends to be inaccurately translated.
Better than affirming that warfare is
the continuation of politics by other
means would be saying that warfare is
the continuation of political interactions with the participation of other
means (Keegan 1994, 3). Consequentially, a duality emerges in a Keeganian reading of Clausewitz: on the
one hand, politics, and on the other,
the so called ‘other means’; the undefined second element in the dyad definitely paves the way for theoretical
exploration.
5
Warfare, therefore, is not a monolithic phenomenon since it carries a
fundamental opposition in its core; if,
in broad terms, this opposition is
formed by a well-defined element
(politics) and a somewhat amorphous
element (the “other means”), it happens to transcend its very object
(warfare), enabling us to bring into
the debate the general ontological
structure of the human psyche. This
structure also consists in an opposition between elements with different
levels of definability (conscious vs.
unconscious mind), and we are convinced that it is not a mere product of
analogy. In short, warfare appears as a
holistic phenomenon, integrating not
only the dimensions of conscious decision and rational action as a means
to an end but also of the complex interaction between culture, society,
and deep psychology.
That Keegan tries to break the
duality that lies in his theoretical and
interpretative framework by replacing
the causes of warfare with a general
notion of culture is true. The ‘military
culture’, in particular, would be that
privileged environment in which the
“tribal spell” would happen and where
the contingencies of civilization would
be dissolved in a so-called ‘ancestral
urgency’ (Herberg-Rothe 2001, 183184). The most interesting aspect in
this formulation is in the fact that it
comes to us as essentially misleading
in its definitional roots.
Keegan defends the primacy of
“culture” from an analytical and theoretical standpoint where the very notion of culture should be dissolved.
Instinctive urgency (“where instinct is
king”) and the “tribal spell” are not
specific cultural elements; actually,
they refer to a set of ancient psychic
mobilizations present in all human
groups. The “culture of the warriors,”
which is the key element of Keegan's
argument, is not properly cultural; on
the contrary, it is clearly a pre-cultural
element, which must precede the
symbolic, representational, idiosyncratic and historical dimensions. In
his eagerness to overcome the notion
of warfare as policy, Keegan not only
ends up entering the minefield of the
“natural” explanation of the collective
and organized intersocietal violence
but also offers an understanding of
“politics” in Clausewitz that flirts intensely with contradictions.
Keegan’s
understanding
of
“politics” in Clausewitz’s work is quite
controversial because it tends to
equate “politics” with “policy,” the
latter referring to a rational construction, an adequacy of means to ends,
particularly the improvement of human wellbeing. On the other hand,
Clausewitz used the German term
Politik with a two-fold meaning, invoking simultaneously the notion of
policy and of politics. “Politics” in this
sense involves a degree of conflict and
non-rationality that is absent from
Keegan's construction. Warfare, then,
can be violent, barbaric, and cruel and
still be “political” to the extent that it
deals with divergences between distinct political groups (Bassford 1994,
326-327). Certainly the conversation
between Clausewitz and Keegan is
disturbed by the simple reason that
they both name distinct processes (in
whole or in part) the same. In spite of
that, two important notions seem to
survive this struggle: (1) that the universal character of the warrior culture
feedbacks with (Keegan would say,
“determines”) politics as a social organizational phenomenon, as Bassford (1994, 333) suggests; and (2) that,
in Keegan's work, the warrior culture
as a concept refers to a phenomenon
that does not behave as a manifestation of the social and intellectual history, but rather as an aspect of human
cognitive dynamics that informs every
kind of culture.
C. S. Gray takes the theme of
human nature to criticize Keegan and
defend Clausewitz, bringing up the
idea of the “common thread of the
human factor” (Gray 1999, 164). That
common thread would represent a
problematic
and
controversial
“proclivity to combat” and a “will to
fight” (Gray 1999, 176, 181). If it is true
that something like a “human nature”
exists, sustained across the evolutionary time in spite of technical and cultural changes, then we could be able
to formulate questions beyond shortterm transformations. The fundamen-
tal problem would be to recognize
what nature is in order to formulate
the theory with the best possible result. Clausewitz's hypothesis of
“structuring rationality”, i.e., the notion that every war has or must have a
political purpose (Gray 1999, 169), is
not enough though it seems to be true
in its own way. The strength of the
structuring rationality hypothesis lies
in the notion that politics (in all its
dimensions) is steady enough to function as a catalyst to the congregation
of individuals with different and
(most of the time) colliding agendas,
leading to the cooperation necessary
to make warfare possible. In essence,
politics, as behavior, is related to major structuring myths in the core of
our social and cultural life as H. sapiens:
Any large-scale human cooperation—whether a modern state, a
medieval church, an ancient city
or an archaic tribe—is rooted in
common myths that exist only in
people’s collective imagination (.
. .). States are rooted in common
national myths (. . .). Yet none of
these things exists outside the
stories that people invent and
tell one another (Harari 2015, 36).
The existence of different myths
is such a problem that a complete theory must investigate the birth of
myths and macro-narratives rather
than the social consequences of a particular narrative. To accomplish this,
we have to venture into the Big History of human evolution to de-authorize
unilateral readings of Clausewitz and
of Keegan. A Big History of warfare
that seeks to recognize the dialectical
interaction between phenomena occurring at different timescales, from
the événementielle to the evolutionary, would consider pointless the opposition between the instinctive
“warrior culture” and the “rational
enterprise.” Rather, the conceptual
dyad formed by the “instinctual” and
the “rational” aspects of warfare behavior sheds light on the very nature
of the mind of H. sapiens.
Keegan's belief that warfare be6
longs to a set of social phenomena
endowed with a certain universality
finds macro-historical support, albeit
not without controversy. If some contemporary hunter-gatherer societies
that do not undertake intersocietal
coalitional violence exist, it is not uncommon to identify in their past
(when this is ethnologically possible)
evidence of engagement in conflicts
with neighboring groups or with regular military forces, which ultimately
resulted in demographic, political,
and economic fragility (so that much
of the hunter-gatherer pacifism can be
associated with “defeated societies”)
(Keeley 1996, 31-32). All other societies
display some sort of military cultural
practices that interact dialectically
with religious, ideological, mythological, and political representations.
Thus, the existence of something like
“warrior tendencies” in a transcivilizational level seems plausible. Nevertheless, as we shall see, the notion that
intersocietal violence is the result of
some innate psychological impulse
dedicated exclusively to this purpose
(i.e., lethal action against other social
groups) is based on very fragile evolutionary foundations, often associated
with discussions about human nature
that are tributary to the western political philosophy of the 17th and 18th
centuries (Hobbes vs. Rousseau, especially). In the same tune, Keegan’s
proposition that the “warrior culture”
is the ultimate reason why warfare
exists does not lead us farther from
the clash between doves and hawks
since Keegan suggests that intersocietal coalitional violence is the product
of some “active principle” of human
cognition, whose nature and function
are to promote conflict.
Prosocial cognition: construction
of the ingroup
The cognitive foundations of intersocietal coalition violence belong
not to any active ethological complex
in favor of warfare but to the failure of
the dedicated and highly specialized
modular social intelligence, built by
natural selection in a very long evolutionary history that traces back to the
last common ancestor between
chimpanzees and modern humans six
million years in the past. Intersocietal
coalitional violence, i.e., the result of
processes and phenomena related to
the organization of social sub-units
dedicated to the exercise of power
over other groups, based on the imposition (or threat) of lethal action, is
quite rare in primatological terms.
Among extant great apes, only modern humans and common chimpanzees have a behavioral portfolio consistent with the practice of warfare.
We have no reason to reject the hypothesis that all the species that descended from the last common ancestor of Homo and Pan also engaged in
intersocietal coalitional violence, even
though our ability to trace evidence of
this type of practice in the fossil record is restricted by taphonomic reasons and by the dubiousness in the
identification of osteological markers
of lethal violence
We have no evidence of warfare—in a broad sense—in any other
primate lineages, extant or extinct,
and in this respect, we should not be
surprised. Organized lethal aggression toward other social groups
emerged as a functional byproduct of
the specific form assumed by socioethological structures emerged six
million years in the past among species split from the LCA social structure that, in its more specific aspects,
was another very rare condition in the
primatological universe.
Two were the most likely conditions of sociability among the many
species of great apes by the time of
the LCA speciation. The first, older
and more common, consisted of permanent kin-related female matrilineal
collectives, accompanied by unstable
and uncooperative non-kin groups of
males (migrant individuals in volatile
groups). The second one also relied
on kin-related female cooperation,
but associated with the exercise of
strict dominance in male-male relations, with the formation of harems
(with vast inequality in the distribution of copulatory opportunities
among males). To think of social organization on a macro-historical scale
and beyond modern human societies
requires taking into account the chal-
lenges represented by the energetic
needs of females in eutherian and
mammal species. Females suffer a
great amount of ethological pressure
for accessing food resources with the
highest possible nutritional value,
since the costs of lactation and of a
relatively long intrauterine pregnancy
are far from negligible. From this evolutionary standpoint, we understand
the formation (behaviorally innate) of
permanent kin-related female matrilineal collectives, based on cooperative relations aimed at guaranteeing
mutual energy needs in the genetic
community
(Foley
2003,
220;
Nordhausen and Oliveira Filho 2015,
36).
Territoriality is shaped by the
foraging strategies of female collectives, so males follow female groups
and compete for reproductive opportunities among themselves, with intense interpersonal agonistic behavior. In species that ethologically form
one-male groups, an alpha-male will
strive to deny copulatory opportunities to his rivals through violence and
intimidation; these primate societies
are more prone to agonism and show
higher levels of sexual dimorphism
(morphological and behavioral differences between males and females,
including body mass, temperament
and behavior, canine morphology,
and muscle mass) and fewer opportunities for male cooperation. In cognitive terms, intricate forms of social
intelligence, with innate modules
dedicated to conflict management,
manifest among many of these species in both of the situations. Nevertheless, given that social relations in
male groups are mostly transient,
fight-or-flight behavior is highly functional and relevant so that retreat and
migration to other groups can be a
sufficient strategy for a male eventually confronted by an overwhelming
force (Foley 2003, 223-224; Wrangham
and Peterson 1996, 131).
An ecological change in habitats
occupied by certain species of great
apes may have led some populations
to large scale migrations and others to
a slow adaptation to the new context.
The gradual savannization of East
Africa and part of Central Africa ad7
vanced along the Cenozoic and met a
critical point in the Late Miocene for
most of the great apes around eight to
six million years in the past. For the
species that resisted in these savannized habitats, heterogeneity in
the distribution of natural resources
and the decrease in its average nutritional value began to take its toll, requiring adaptive responses. The rarefaction of resources in the territory
would have jeopardized the strategy
of kin-related female cooperation; the
dispersion of resources and the lower
energy value stored in each patch of
bushland or woods would have led
these kin-related groups to be threatened by internal competition, rendering most of the win-win strategies
replicated ethologically up to that
point ineffective. Avoiding internal
competition would mean, to these
female apes, spreading through the
landscape, driving cooperative behavior to sub-optimal levels of efficiency.
In this evolutionary context, kinrelated matrilineal sociability is disfavored, and female migration to other
groups as they reach sexual maturity
becomes a pattern of behavior gradually fixed by natural selection in these
species. This means, for females, that
disputing resources that are more
distant as possible from one’s maternal genetic community renders more
reproductive gains (in the evolutionary long run) than staying in natal
groups. For males, this ethological
change in female behavior could have
led to the emergence of patrilineal kin
-related cooperation, an exotic type of
sociability (Aureli et al. 2008, 629630; Foley 2008, 230).
Male patrilineal collectives, in
association with non-kin female
groups, would potentially create a
problem: how the access to reproductive opportunities could be regulated
and how a win-win strategy could be
sustained in order to keep permanent
cooperation behavior among males in
the genetic community. As we have
seen, the most common ethological
strategies in other contexts were either the intensification of interpersonal male conflict with high lethality
risks or the migration to other groups.
Patrilineal male cooperation denies
these two strategies since the former
jeopardizes a more balanced distribution of gains in terms of evolutionary
fitness, and the latter dissolves male
stable sociability itself. Of course,
there is no reason to disregard the fact
that climatic aggravation and its impacts on African ecosystems could
have made, hypothetically (other factors excluded), permanent societies of
great apes in the arid zones unlikely.
However, gregariousness and cooperation are evolutionary assets that, once
conquered, have the tendency to survive even major evolutionary bottlenecks (Shultz, Opie and Atkinson 2011,
222; Wrangham and Peterson 1996,
128; 186).
Speaking of environmental pressure, for the great apes, savannization
resulted in the fragmentation of resources (and females) across the territory, making one-male social groups
quite difficult to maintain, if not impossible to exist. Broadly speaking,
surveillance by an alpha male in order
to hinder the incursion of rival males
had become unlikely, and the evolutionary opportunity was open for the
cooperation
between
kin-related
males in the control of the territory
and its resources. These coalitions act
to prevent access to the group females
by any outsider male. For cooperation
to work, so that the dispute between
individual reproductive agendas does
not produce fractures in the kin collective, a specialized and ethological
social intelligence emerges, exclusively
devoted to process social information,
in order to operate a dynamic hierarchy of status. This socio-cognitive domain should operate the norms and
forms of dispute for higher ranks and
produce prosocial limits that buffer
against lethal outcomes in internal
conflict.
Social intelligence, differently
from general intelligence, is not based
on the application of simple and
standardized learning rules, generating cumulative and modified content
based on interaction with the environment, but on trial and error. Social
cognition has the following characteristics: (1) an increased dedication and
speed of processing information that
allow for the prediction of the status
rank actually possessed by others
through the analysis of sensorial cues
and through the recall of past interactions; (2) the formulation of hypotheses about the behavior of conspecifics
in a given social interaction, involving
or not the observer; and (3) the designing of strategies for climbing status ranks or preserving a current rank,
employing alliances and coalitions
with conspecifics dedicated to the
same objective. Social cognition forms,
thus, an innate political ethology, present in common chimpanzees and also
in the evolutionary lineage of H. sapiens (Aureli et al. 2008, 632; Mithen
2002, 129-131; Wrangham and Peterson
1996, 128, 186).
The ethological rite in the struggle for status among common chimpanzees in a social group follows some
elementary principles, identified and
thus interpreted from the observation
of these primates in their natural environment (Mithen 2002; Wrangham
and Peterson 1996):
The prospect of a stable dominance
maintained basically through force,
as occurs with gorillas, is discarded
so that status relations are organized into fluid networks of power
with unstable alliances between
males and between females (more
intense among the first); the rise
and fall in hierarchy indicate that
social mobility is a very important
ethological aspect in the species
split from the LCA, six million years
in the past.
The rise and fall in the status pyramid,
although part of a win-win strategy
in the long run (as a prosocial
mechanism that helps to prevent
the dissolution of the society), in
the short run results in a zero-sum
game in which the gain of one is
the loss of another.
Males will confront other males in an
intricate dynamic of coalition formation, involving the intimidation
of adversaries and their allies, and
the conquest of crescent support
from the group members. This
growing support is expressed by the
longer social time spent by a contestant
with
his
supporters
(involving grooming and other
8
forms
of
recreation
and/or
strengthening of social bonds). In
this case, the ascension of a competitor brings non-linear status
gains to all members of his coalition;
The “ritualistic” dimension (lato sensu,
devoid of the symbolic nature present in the culture of modern humans) is a crucial aspect of disputes
of status because it provides rapid
sensorial information to the social
cognitive mechanisms. The cycles
of dispute involve precisely the violation of expected social behaviors
that, when in practice, indicate the
recognition of the status of a third
party. A common chimpanzee
bends down before a higher rank
conspecific, permits being touched
on the shoulder, etc., as forms of
status signaling. Denying these
‘courtesies’ on a regular basis
means conflict.
Status disputes indirectly involve most
of the group, and their cycles are
concluded through the establishment of a “consensus”, insofar as
the majority of the members of the
social group converge in support of
a certain competitor and his allies.
From this point, gains and losses
are
recognized,
submission/
dominance signaling in form of
gesticulations and vocalizations are
performed, and life goes on until a
new contest begins.
Outgroups and coalitional violence
The prosocial ethology in chimpanzees (and presumably in the LCA)
is not fail-safe. Fluid but effective limits persist in the average volume of
social information that can be processed cumulatively. Thus, although
composed of dedicated and specialized mental modules, social cognitive
activity has a significant correlation
with the neocortical volume, and both
have as proxy the time spent in
grooming and other forms of recreation necessary for the renewal of social
bonds and for the reaffirmation of hierarchies. This means that when the
number of relationships to be processed exceeds a certain limit (variable
according to encephalization, in each
species), the volume of sensory
information to be detected and analyzed, as well as the number of possible combinations of relationships
involving two or more individuals,
surpasses the power of mental processing, making cooperation and coordination less viable. In this context,
the identification of the status rank
of a growing number of conspecifics
becomes increasingly vague, which
makes the operation of prosocial
mechanisms less effective. Thus, by
virtue of demography or environmental factors, the operation of the
prosocial ethology may be impaired,
leading to the intensification of internal conflict between individual agendas; in these situations, permanent
group fission tends to be the answer,
leading the operation of social cognition back to manageable levels
(Aiello and Dunbar 1993, 184-185;
Aureli et al. 2008, 637; Ferguson and
Beaver 2009, 291).
What about intersocietal relations? No prosocial ethological restraints present as capable of preventing lethal violence from being
imposed on individuals about whom
little or no social information is available. The unloading of excessive social information, enabled by group
fission, results in framing the
“foreign” as an entity external to the
hierarchy pyramid and, therefore, as
someone not eligible to be included
in prosocial mechanisms; intersocietal relations are thus restricted to
violent contacts. The logic underneath the “wars” among common
chimpanzees lies in the physical
elimination of “opposing” males, in
the disarticulation of neighboring
communities, and in the abduction
of their females. This is attempted
during many raids into the foraging
territory belonging to neighboring
groups, promoted by male raiding
parties, eventually accompanied by a
few nulliparous females (Roscoe
2007, 485-486; Wrangham and Peterson 1996, 6-7, 162-165).
From the process of mobilization of a raiding party to the return
to their home territory, some themes
are relevant:
Mobilization is triggered by a highranking male through vocalizations and bodily displays with
strong somatic and sensorial
content. Once successful, mobilization results in the formation of
temporary parties organized with
the sole purpose of inflicting lethal violence to the “enemy.” It is
not a defensive action, or the
result of any need of patrolling
the territory boundaries.
During the advance toward the
neighboring territory, the sensorial attention for the presence of
“enemy” chimpanzees is intense.
The perception of features on the
landscape that suggest the proximity with the border between
the two territories reduces the
number of vocalizations emitted
and widens the attention even
more. If a vocalization is responded by an enemy chimpanzee, signs of anxiety in the raiding party become visible, and
prosocial ethology enters the
scene: the group members most
often perform gestures and specific actions, which are employed
to calm and renew mutual trust
under
normal
conditions
(touches and hugs as examples).
The strategy of violence between
groups of common chimpanzees
seeks to exploit asymmetry of
power to the maximum. An attack on an isolated opponent is
the main objective; in the ecological niches explored by these primates, and probably also by our
common ancestor (savannah,
open woodland, or bushland),
the rarefaction of resources in
the territory leads to frequent
dispersion in their already deconcentrated
social
macrogroups, creating opportunity for
the engagement of a lone opponent. During a raid, if a decisive
numerical advantage is not identified, the attacking group retreats. In case of contact with
more than one “enemy” and if
the conditions of numerical
asymmetry are still favorable, the
aggressors will seek to isolate
their opponents to prevent them
9
from cooperating in their defense.
There are no observed acts of nonlethal violence and intimidation
performed by an aggressive coalition against male members of an
outgroup. Lethality seems to be
always sought, and there are records of ethological demonstrations of intriguing content, such
as the emasculation of dying opponents and the sharing of body
parts and the blood of dead
“enemies.” The association between intersocietal violence and
cannibalism is of particular interest, since common chimpanzees
exhibit different somatic displays
and vocalizations when dealing
with ingroup and outgroup individuals: in the first case, all ritualistic and lethality prevention
mechanisms are in place, while
in the second case, raiders show
body language and make vocalizations normally related to hunting activities (chimpanzees often
feed on small vertebrates and
even on smaller monkeys like the
red colobus, Piliocolobus badius).
Therefore, “foreigner” chimpanzees are behaviorally treated as
prey. The re-signification of the
enemy's
nature
is
called
“dechimpizing”, clearly analogous to “dehumanization” processes (Roscoe 2007; Mithen
2002).
Raids may also be associated with
attempts to coerce females from
neighboring groups through intimidation and non-lethal violence so that they desert and join
the aggressor’s side. In case of
success, the first offspring born
of newly incorporated females
are almost always victims of infanticide by adult males. This
type of behavior is not uncommon among social mammals and
has the effect of minimizing the
impact of paternity uncertainty
on a polygynandric mating system:
since there is no sexual exclusivity
among common chimpanzees,
infanticide in these cases operates as a guarantee that the offspring does not belong to males
unrelated to the ingroup. This is
an important factor (the absence
of marked inequality in reproductive opportunities) that makes
engaging in intersocietal violence
a potentially rewarding strategy
for all males involved.
The balance of power is an ethologically relevant strategy for the prevention of intersocietal violence
among common chimpanzees.
This is because lethal aggression,
although not a rare ethological
phenomenon among mammals,
occurs more frequently at interpersonal levels, in asymmetric
conditions, and between adults
and infants (Roscoe 2007, 485-486;
Wrangham and Peterson 1996, 67, 162-165). Lethal aggression
among adults is a high-risk behavior, with the potential for killing
aggressors and/or victims. What
makes intersocietal violence possible in the way it occurs among
chimpanzees is precisely the presence of an advanced social cognition, acting to produce intense
male cooperation and coordination. The coalitional strategy has
the potential for breaking the balance of power, for delivering lethal
violence against the enemy with
minimal risks to the aggressors,
and for maximizing individual returns resulting from the expansion
of foraging territory (as a consequence of the demographic decline of neighboring groups), and
from the abduction of females in a
polygynandrous mating system.
Warfare and the modern human
mind: between Clausewitz and Keegan
Of course, all this relates to our
closest evolutionary relatives, with
whom we share almost 99% of the
genes. In this context, anyone could
quite rightly claim that human societies function in another framework,
that modern humans are rational and
conscious, and that they are cultural
animals; thus, wars between human
societies should illustrate a phenomenon of another kind, incurring another
dynamic and logic. In fact, human evo-
lution lead us through other paths; in
spite of this, the evolutionary dynamics should never be confused with the
drawing board of the Creator, in which
drawings are erased to give space to
others, traced from scratch; the evolutionary process is a collage that takes
place over millennia, with overlapping
images, some visible, others almost
imperceptible, but still present. The
human mind, though distinct as a result of its metarepresentational and
transdominial format, carries in its
ontology and phylogeny all the evolutionary content of the deep past, substantially situated in the opacity of the
collective unconscious (Stevens 2002).
In modern humans, specialized
intelligences of high performance and
energetic cost operate together, with
their algorithms, innate and learned
contents circulating freely, generating
knowledge of a creative and transversal nature. As a result of this transdominiality, for modern humans a forest
can contain a universe of naturalistic
information regarding foraging (for
the resources it contains), but, at the
same time, a forest represents a socially constructed space (the “dwelling of
the ancestors,” for example); for modern humans, a forest can be imbued
with sentience, can talk and listen, so
it must be respected as a social being.
By this transversality between naturalistic and social intelligences, it is highly likely that the food resources provided by a forest can also be a “gift” of
the ancestors, satisfying not only energetic needs but also renewing social
bonds through symbolical and mythical representations. Automobile enthusiasts in modern industrial societies know that their cars are much
more than a tool, a product of technology and capitalism; a vehicle can be
treated as a social entity, an object of
trust and affection, and can send powerful social messages about its owner. I
believe that only a few SUV owners in
the capitalist world consider of more
importance the technical aspect that
gives the thing a name – ‘utility’ – than
the strident social message it sends to
economy car drivers; although this
message is also “useful” in its own way.
The articulation between cogni10
tive domains with strong presence of
innate algorithms is made by a master
domain, the metarepresentation module, which gains this name by producing simultaneous images of the same
object in different specialized intelligences. Moreover, it is in the module
of metarepresentation that holistic
representations about knowledge are
expressed—in the form of something
like a “consciousness of the consciousness.” Evidence suggests that chimpanzees are aware of themselves and
aware of others only in the realm of
social relations but nowhere else.
Chimpanzees do not use tools (which
they produce) to convey social messages and help in their status disputes,
nor do they seem to be able to use
their social algorithms in their relationship with the natural world
(Mithen 2002, 139). Human capacity to
employ consciously or unconsciously
deep-rooted ethological algorithms in
tasks for which they were not
evolved—a capacity for a “creative
confusion”—can make the aftermath
of the clash between Keegan’s “warrior
culture” and Clausewitz’s “rationality
of war” less trivial than it may seem.
We will insist here on the inexistence of a real opposition between
these two propositions and on the fact
that they emerge at different instances
of the complex phenomenology of social cognition. In the first place, the
question does not seem to involve a
problem of rationality vs. irrationality.
If the war for Clausewitz is fundamentally rational because it is a means to
an end, the results of the intersocietal
coalitional violence in Pan troglodytes
also have a solid rational dimension; as
a means to an end, warfare contributes
to the expansion of the foraging territory of a social group and to increase
the number of sexual opportunities for
all males (albeit unevenly) as a result
of the polygynandric mating system. It
is evident that wars between modern
human societies, and especially interstate conflicts, often involve different
purposes. We do not need, for any reason,
to postulate that modern wars, being
impacted by the constant presence of
“ancestral impulses,” have to result in
the expansion of male reproductive
fitness and in the expansion of a society’s “vital space.” This is not the way
these “ancestral impulses” comes to
us. The ethological algorithms that
echo in the metarepresentational
mind and the symbols produced by it
are not the cause of war, either among
humans or among chimpanzees.
These algorithms are ultimately one
of the means to make warfare happen,
even though they arise as an indispensable condition.
What modern humans do, in the
mobilization and in the strategy of
war, is to resort consciously or unconsciously to the ethology contained in
deep layers of specialized intelligences, to combine them with hundreds of
other pieces of knowledge, and to
change the values of the variables in
the algorithms so that they serve the
expected ‘rational means’ that some
cultural, institutional, or political context demands. In other words, we
must consider that, in the minds of
women and men in modern war offices, the prospecting of geopolitical scenarios and the setting up of strategies—rational actions, by definition—
become credible and trustworthy only
by resorting to deep ethological complexes that make some courses of action familiar and self-explanatory to
the detriment of others. So, in every
pursuit of a rational goal involving
strategy, evolutionary algorithms are
frankly present; their echoes in the
metarepresentational mind reduce, at
the cognitive level, the degree of estrangement and uncertainty about
decisions that, at the limit, can involve the lives of hundreds of thousands of people. In preparation for
modern warfare, indoctrination and
training of the combatants (as well as
the mobilization of public opinion)
involve a large dose of massive and
programmed activation of unconscious ethological complexes through
the use of cultural and symbolic categories that reinforce the construction
of imagined ingroups (‘homeland’,
‘nation’, ‘class’ , ‘brothers in arms’,
and the like). The Hobbesian warre
involves also the use of cultural contents capable of triggering dehumanizing behavior through the use of con-
cepts that outlines the enemy outgroup
(‘barbarian’,
‘immoral’,
‘impure’,
‘pagan’,
‘imperialist’,
‘communist’, among others ).
War among modern humans, if
reduced to its innate behavioral components, would result in an irrational
phenomenon: the potential gains in
reproductive fitness brought by intersocietal violence, fixed by natural selection since the LCA, do not appear
as the result of engagement in modern warfare. In this way, if the expansion of the male evolutionary fitness is
supposedly the purpose for which
men (and women!) march toward the
battlefield and something that makes
strategists a living, modern warfare
would be an irrational phenomenon
since, in theory, it fails to contribute
to this goal either in victory or in defeat. The rationality of interstate warfare is a product of transdominiality
and metarepresentation; it is a means
for purposes that are transversal to
the economic, political, and cultural
realms, using strategic or incidental
activation of ethological complexes on
the collective unconscious. These
complexes, selected over millions of
years of the natural history of the Primates order, are employed by modern
humans as instruments for understanding, significance, mobilization,
and acceptance of lethal intersocietal
violence, devoted to objectives most
distinct from ancestral ones.
Pride, emotion, and instinct, the
affective triumvirate of warfare in
Keeganian terms, produces a false
contradiction with rational purpose.
This provocation against Clausewitzian principles seems to slip between
two distinct dyads: rationality x irrationality, by one side, consciousness x
unconsciousness, by the other. The so
-called “irrational dimensions” in Keegan should be so because of the eventual inadequacy of warfare in achieving certain goals, and it does not appear that intersocietal coalitional violence has been constituted as a mere
set of frivolities, distempers, or periodic tragedies. If there is a conflict
between categories, it happens not in
the circumstances of an “unconsciousrational” dyad but in an “unconscious11
conscious” one although the notion of
conflict does not fit the complex dialectical game between these two instances of the metarepresentational
mind. “Irrational” belongs to behavior
and courses of action seeking or resulting in sub-optimal consequences.
Those that result in optimal outcomes
are rational by definition, regardless
of their conscious or unconscious origins. In this way, the “warrior culture”
can be a mechanism for the discharge
of primal impulses without ceasing to
be a means to an end.
Final considerations
Keegan is captured by the contradiction between his intuitions
about a “human condition” directed
toward warfare and his theoretical
need to define it as “culture”. Considering the mechanisms of intersocietal
violence we have described, a “warrior
instinct” seems devoid of evidence; in
spite of this, Keegan contributes decisively in bringing the longue durée to
the debate, something that paves the
way to the interaction between the
collective unconscious with evolutionary origins (Jung 2015) and particular cultural systems. We can overcome this conceptual confusion by
unfolding the “warrior culture” in two
separate and interlocked aspects: (a)
one that requires a deep comprehension of warfare, requiring our attention to “ancestral psychic mobilizations” based on ethological projections (the observance and the violation of prosocial complexes) over the
metarepresentational mind; or (b)
another one that evaluates genuine
“warrior cultures” in their condition
of conscious and unconscious practices specific to particular societies. The
“warrior culture” in Keegan is definitely not what it seems, and we believe that Clausewitzian rationality is
not what it seems either if it is considered as synonym of “consciousness.”
Keegan resorts to a universal dimension,
and thus ends up postulating his object
of analysis as something pre-cultural
and innate, ubiquitous to all societies.
Such universality places the “warrior
culture” in the ethological realm, but,
as we have seen, the existence of a
warfare ethology is very unlikely; no
unconscious complexes dedicated to
bringing lethal violence to outsiders
are identified. Ethologically speaking,
intersocietal violence seems to be the
result of the exhaustion of social cognition with the eventual inability to
recognize the rank and status of an
increasing number of individuals. For
these “unidentified” conspecifics, prosocial mechanisms are off limits, which
means that further contacts may be
mediated by hunting ethological complexes—the behavioral basis for intersocietal violence.
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