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October 1, 2013
Models of Dignity
By Robert Fuller
This is the fourth part of the serialization of All Rise: Somebodies, Nobodies, and the Politics of Dignity (Berrett-Koehler, 2006). The ideas in this book are further developed in my recent novel The Rowan Tree.
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This is the fourth part of the serialization of All Rise: Somebodies, Nobodies, and the Politics of Dignity (Berrett-Koehler, 2006). The ideas in this book are further developed in my recent novel The Rowan Tree.
Chapter 3: MODELS OF DIGNITY
When first we mean to build,
We first survey the plot, then draw the model.
--William Shakespeare, Henry IV
The sciences do not try to explain, they hardly even try to interpret, they mainly make models. By a model is meant a...construct which, with the addition of certain verbal interpretations, describes observed phenomena. The justification of such a construct is solely and precisely that it is expected to work.
--John von Neumann, digital computer logician and creator of game theory
We Are Model Builders
The title of Mark Twain's What Is Man? poses a question that humankind has pondered for millennia. Over time, the species that scientists call Homo sapiens (the wise) has also variously been referred to as Homo faber (the builder, by Benjamin Franklin), Homo ludens (the game player, by Johan Huizinga), Homo economicus (the rationalist, by Adam Smith), and Homo babulus (the talker). Twain himself argued that man is a machine (Homo machinus).
While all of the above describe us, none does so uniquely. In fact, it seems that every time someone makes a case that a particular trait sets humans apart, experts in animal life say, "No, animals do that too."
Animals display intelligence, they build things (nests, dams) and use tools, they play games, make war, communicate, and have emotions.
Nonetheless, there is one faculty that humans appear to have developed more than other animals. It is our talent for consciously building models that represent nature, ourselves, and our institutions. Many of our models, both historically and today, take the form of narratives.
Cooperating across the generations on the development of models and passing on our stories have combined to give our species a dominant role on this planet.
Model building, in combination with complex language, stands as one of humankind's epochal accomplishments. It's the faculty that has enabled us to harness nature's force. The flip side of this is that we often use these powers in ways that cause others indignity. But the modeling skills that have put power in our hands can also help guide us toward dignity-protecting applications of that power. The following paragraphs illustrate some of the key features of model building that will be used throughout this book.
Models Are Everywhere
People learn modeling early, starting with Play Doh, Lego blocks, dolls, and model trains. The stories we grow up with are replete with models of human behavior. Teens today fancy themselves as video game characters and get to try out different behaviors vicariously, without risking their own lives or even punishment for "failure."
Scientists Francis Crick and James Watson modeled the double-stranded helical structure of the DNA molecule with Tinkertoys. There is a model of the San Francisco Bay--complete with miniature piers poking into the water, a scaled-down Golden Gate Bridge, and "tidal currents" propelled by pumps--that fills a warehouse in Sausalito, California.
By studying it, scientists can anticipate the effects of proposed real-world alterations of the bay. Similarly, to protect Venice, Italy, from the rising sea, engineers use a model of the adjoining lagoon and gulf. Using computers and mathematical models, weather bureaus the world over provide forecasts. As everyone knows, the predictions are not always right, but they're getting more accurate as the models upon which they are based improve.
Experimenting with model planes in wind tunnels enabled the Wright brothers to build the aircraft they flew at Kitty Hawk a century ago. Even more significant than the plane they built was their pioneering use of modeling in engineering. Models enabled them to anticipate problems through trial and error without paying the price of crashing a piloted plane. Today, flight can be simulated on computers by representing both the airplane and the atmosphere in a mathematical model.
Grand unifying models are the holy grail of every branch of science. In biology, Darwin's theory of evolution by natural selection is such a model. In chemistry, it's Mendeleyev's periodic table of the elements. In geology, plate tectonics accounts for all the earth's principal geological features.
Present-day physicists are searching for a "theory of everything" that would incorporate all known forces. "We hope to explain the entire universe in a single, simple formula that you can wear on your T-shirt," says Leon Lederman, a Nobel laureate in physics. One candidate model, now under development, is string theory. Like all theories and models,string theory will ultimately live or die "solely and precisely," as stated in the von Neumann quotation at the beginning of this chapter, on whether its implications agree with observations.
The use of models is not limited to science. Indeed, normative, prescriptive social models predate by many centuries the descriptive and predictive nature models just mentioned.
Beginning in the distant past, cultural codes of conduct--for example, the Code of Hammurabi and the Ten Commandments--were used to govern family and tribal relationships. Other examples of social models include the charters, bylaws, and organizational charts of corporations, universities, and religious institutions.
Governance models of nation-states range from the divine right of kings to fascism, communism, and constitutional democracies. Entrepreneurs and the venture capitalists who invest in their companies are guided by business models that, by examining a range of scenarios based on various assumptions, forecast success or failure in the marketplace.
Sometimes users of social models actually lose sight of the difference between their models and reality. As Alan Greenspan, longtime chairman of the Federal Reserve Board, warned: "A surprising problem is that a number of economists are not able to distinguish between the models we construct and the real world."
When we use parents, heroes, public figures, and fictional characters as "role models," we're using models to shape our character. As will be discussed in chapter, religion gains its special place in human affairs by providing us with models of the self and its transformation.
In sum, models are descriptive or prescriptive representations of the world and ourselves, and they serve a variety of functions. Among these are to provide us a sense of identity, shape our behavior, maintain social order, and guide our use of power. Model building has made us what we are and holds the potential to guide us as we put our predatory history behind us and move into a dignitarian era. To see how models can help us make this transition, we need to familiarize ourselves with the broad features of the model-building process.
Models Evolve
Inherent in the notion of building models is that they change. That models are perpetually works in progress is a key reason why they are so useful. But it has been hard to accept the notion that models can and should change, yielding to modified or radically new ones as we gain more insight and information. Until relatively recently we have much preferred to stick to what we know--or think we know--and defer to existing authority and received wisdom. But ironically, our principal heroes are precisely those people who have struggled and suffered to overcome the notion that "the truth" is forever, usually by championing a new truth that contradicts the prevailing social consensus.
A turning point in the history of intellectual development came in the seventeenth century when one such figure, the English physician William Harvey, discovered that the blood circulates through the body. His plea--"I appeal to your own eyes as my witness and judge"--was revolutionary at a time when physicians looked not to their own experience but rather accepted on faith the Greek view that blood was made in the liver and consumed as fuel by the body. In persuading people to see for themselves, Harvey drove another nail into the coffin of Aristotelian fundamentalism, which had dominated thought for more than a thousand years.
As Bertrand Russell, the Welsh mathematician and philosopher, said, "Aristotle could have avoided the mistake of thinking that women have fewer teeth than men by the simple device of asking Mrs. Aristotle to open her mouth." The idea that institutional dogma be subordinated to the empirical experience of the individual represented a critical juncture in human affairs. States quite rightly saw it as a threat to their monopoly on power. In fact, what we like to think of as the unassailable truth is actually just our best current understanding of things--in other words, our latest model. Nothing is more natural than that models should change with time.
Another classic example of the evolution of models was the shift from the geocentric--or Ptolemaic--to the heliocentric--or Copernican--model of the heavens. Until five centuries ago, it was an article of faith that the sun, the stars, and the planets revolved around the earth, which lay motionless at the center of the universe.When the Italian scientist Galileo embraced the Copernican model, which said that the earth and other planets revolve around the sun, he was abandoning the received wisdom of the church. This was considered sacrilege, and under threat of torture, he was forced to recant:
I, Galileo Galilei, aged 70, arraigned before this tribunal of Inquisitors against heretical depravity, swear that I have always believed all that is taught by the Church. But whereas I wrote a book in which I adduce arguments of great cogency...that the sun is the center of the world and immovable, and that the earth is not the center and moves, I abjure, curse, and detest these errors and heresies and I swear that I will never again assert anything that might furnish occasion for suspicion regarding me.
By maintaining that his arguments had "great cogency," Galileo defended his integrity while sparing himself the fate of some of his predecessors. The Dominican friar Giordano Bruno, an Italian philosopher-scientist like Galileo, was burnt at the stake in 1600 for championing the Copernican model. Fundamentalists have never lacked for conviction.
As Galileo withdrew from the court, he is said to have mumbled, "But it does move. "He spent the rest of his life under house arrest, making further astronomical discoveries and writing books for posterity. In 1992 an ecclesiastical commission appointed by Pope John Paul II finally and formally affirmed that Galileo had been right.
The Galileo affair was really an argument about whether models should be allowed to change without the church's consent. Upon the geocentric model rested a whole edifice of theological thought, much of which was also contradicted by new evidence. For example, finding seashells on mountaintops and fossil evidence of extinct species undermined theological doctrine that the world and all living things were a mere six thousand years old. Such discoveries posed a serious challenge to conventional wisdom and the authority of the church. Freeing ourselves from the idea that the world is fixed, immobile, and unchanging marked the birth of modernity.
Galileo's models were later improved upon by Newton, whose three laws of motion form the foundation of classical dynamics. Then, in the twentieth century, limitations were discovered in Newton's model. It works fine for falling apples and for space vehicles, but when applied either to objects moving at speeds comparable to the speed of light or to particles on the atomic scale, Newton's laws give erroneous predictions.
These failings were overcome by relativity and quantum mechanics.
The twentieth-century theories do not invalidate earlier models. Rather, they stake out and provide road maps to new territory that prior models don't cover. Often, new models do not so much render old ones obsolete as circumscribe their domains of applicability, revealing and accounting for altogether new phenomena that lie beyond the purview of the old models. For example, relativity and quantum theory do not invalidate Newton's laws of motion.
Newton's classical treatment still describes accurately the motions of the objects to which he originally applied them so long as they move at speeds much slower than the speed of light. NASA's space scientists have no need for the refinements of quantum or relativistic mechanics in calculating the flight paths of space vehicles. But if we wish to account for the dynamics of objects at very high velocities or describe atomic phenomena, we must use quantum mechanical models. For everyday-size objects moving at everyday speeds, the quantum and relativistic models reduce to the familiar models of classical physics. In sum, new models usually don't invalidate old ones so much as they transcend them.
This is also a key feature of the social and self models characteristic of dignitarian culture, which will be discussed in chapter. The idea of evolving truth is the lynchpin of such a culture. However, it's crucial to note that just because our models evolve does not mean that "anything goes." Indeed, quite the contrary: at any given time, what "goes" is precisely the best current model we've got. One simply has to be alert to the fact that today's best model may be superseded by an even better one tomorrow.
Most contemporary students of the natural world are actually excited when they find a persistent discrepancy between their latest model and empirical data because they know such deviations signal the existence of hitherto unknown realms in which new phenomena may be discovered.
The presumption that nature models are infallible has been replaced with the humbling expectation that they will eventually be replaced by more comprehensive and accurate ones.
If the past is any guide, we are unlikely ever to find a theory so comprehensive and accurate that it would bring an end to the search for more fundamental truths. Any model that seemed to account for all known phenomena would still be vulnerable to the possibility that new observations would reveal it to be incomplete.
Toward the end of the nineteenth century, many physicists believed they'd learned all there was to know about the workings of the universe.
The consensus was that Newton's dynamics and Maxwell's electromagnetism together had everything covered. Prominent scientists announced the "end of physics."Then a few tiny discrepancies between theory and experiment were noted, and as physicists explored them they came upon all the previously unknown phenomena of atomic and relativistic physics. A new world was discovered and with it the technology that put its stamp on the twentieth century.
Albert Einstein believed that the final resting place of every theory is as a special case of a broader one. Indeed, he spent the last decades of his life searching for a unified theory that would have transcended his own landmark theories, reducing them to special cases of a grander theory.
In postulating that the universe is "infinite in all directions," physicist Freeman Dyson suggests there will be no end to our explorations and that we are unlikely ever to come up with an all-inclusive model.
This dynamic has its counterpart in social and self models. Instead of suppressing deviations from the current social consensus, we can examine them for clues that might lead us to a more encompassing synthesis, one that integrates previous experience with the new evidence.
For example, when Alfred Kinsey's studies on sexuality revealed the full range of human sexual behavior, we faced two choices. We could label certain of these behaviors as perverted and try to suppress them. Or, we could relax our prescriptive models pertaining to sexuality and so accommodate them. The advent of reliable, available birth control only intensified the pressure for revising these models.
The ensuing sexual revolution suggests that the public did in fact gradually move toward a different consensus on sexuality. That movement is still under way as the public comes to terms with homosexuality. Likewise, the worldwide controversy over same-sex unions has the potential to alter the traditional model of marriage.8 In a growing number of countries, the debate has resulted in granting legal status to domestic partnerships.
Instead of repressing or ignoring a question or fact that challenges a current view of ourselves, we can welcome it as a harbinger of change. As we accept something about ourselves that differs from the norm, it is only natural to grant the same acceptance to others. For this reason, the idea of partial, ever-evolving truth is a keystone of dignitarian culture.
Humility is not simply a trait to be admired; it's dictated by the incontrovertible fact that there are viable alternatives to our habitual ways of doing business. Given a chance to prove themselves, some of them may even turn out to be better than our own!
Models Are Commonplace
The notion of model building can sound technical at first, perhaps even esoteric. To make it clear that the use of this tool is not limited to scientists and philosophers but can be used expertly in "ordinary life," here is an example provided to me by writer and educator Dr. Pamela Gerloff, who reflected on her upbringing on an Illinois farm:
I learned about model building from my mother. No one called it that; it was just what you did, the way you solved problems or made decisions, the way you lived in the world. If I asked my mother why I had to do something a certain way, she never said "because I said so,"or even just "because." She always had a reason for why this way worked better than others. I was free to propose a different way--a different model--if I could come up with a more useful, effective, or efficient one, based on reason, observation, experience, or insight.
Whether it was folding laundry, dealing practically with difficult (i.e., rankist) school officials, or understanding the complex psychology of human interaction, no model was static. Solutions and approaches changed and improved, and the superior model won out. I remember how her model for unloading hay bales from a wagon saved me from my own less effective approach, which had caused me considerable strain and struggle. ("I think of it as a puzzle," she said, as she gracefully selected the next bale most easily removed from the pile.)
When I was a young adult interested in child rearing, she explained to me how, periodically, she used to secretly put new books on the bookshelf for her small children to "discover" on their own. She read philosophy and psychology, using others' thinking as a springboard to develop and refine her own theories about why the people we knew acted the way they did.
It was exciting and adventurous, this way of approaching the world. No job was mundane, no chore particularly tedious. Everything was an opportunity for model building, for intellectual engagement. From my mother, I learned to observe, to contemplate, to formulate hypotheses and theories, to seek new and better solutions.
An example of the changing nature of social models is provided by the evolution of governmental models in the twentieth century. The United Nations Development Program reports that eighty-one countries moved from tyranny toward democracy in the 1980s and 1990s and that by 2002, 140 of the world's almost 200 independent nations had held multiparty elections--compared to just a handful a century earlier.
When we recall how few democratic states there were at the beginning of the twentieth century, a dignitarian world does not seem to be quite such an unrealistic goal for the twenty-first. Ironically, the apparent infinitude of our ignorance about the universe and ourselves has an upside. In a perpetually unfolding reality, our business will always remain unfinished, our knowledge incomplete. We will never lose the opportunity to contribute by extending our understanding. Therein lies a transcendental refuge for human dignity.
Modeling Our Uses of Power
Only yesterday our forebears moved out of Africa. They multiplied and spread out across the earth. One tribe became many.
At every step of the way, we sought out nature's power and cleverly turned it to our purposes. We tamed fire, domesticated plants and animals, and built cities. By the time different tribes began bumping up against one another, they no longer recognized that we are all one family. They looked strange, sounded stranger, and inspired fear in each other.
So under threat of enslavement or worse, we designed ever more potent weapons with which to protect ourselves. Sometimes, thinking we had the advantage, we turned them on branches of our estranged family. Over some five thousand generations we have accumulated enough might to return us all to the Stone Age. As Enrico Fermi, nuclear physicist and Nobel laureate put it, "What we all fervently hope, is that man will soon grow sufficiently adult to make good use of the powers that he acquires."
Although Homo sapiens often misused their powers in the past, many of our species' misadventures can be chalked up to "youthful experimentation."How else to learn that certain actions have long-term negative consequences except by seeing what happens when we execute them? Moreover, on many occasions we have used power well. A species that can go from living in caves to landing on the moon in some tens of millennia must be doing some things right.
With luck, adolescence ends without serious mishap. But its inherent recklessness sometimes lands the young in trouble before they complete the dicey transition to adulthood. Because the powers we now command are capable of putting the entire human project in jeopardy, it has become ever more important that we learn to predict in advance the ramifications of their proposed uses. And we must institutionalize safeguards to minimize the damage should we miscalculate. When it comes to our use of power, building predictive models has become a matter of life and death. For example, based on models of global climate change, a scientific consensus is now forming that if we don't curtail greenhouse gas emissions, we may inadvertently induce a planetary catastrophe.
We took one step out of the Dark Ages as we ceased to accept the idea that authorities could make up the "facts" to suit themselves and began to substitute knowledge, evidence, and reason for hearsay, superstition, and dogma. Now we must bring the other foot forward out of the past.
Today's challenge is distinguishing between rightful and wrongful uses of power. It's a distinction that goes to the heart of virtually all political issues, both local and global. The consequences of asserting rank range from the relatively harmless (as in the alienation of an acquaintance) to the fate of life on earth (as in global nuclear war or a man-made pandemic). We must begin to make a practice of refusing to acquiesce when people in positions of authority misuse that authority, even if we are the beneficiaries of their actions.
Likewise, we ourselves must expect to be held accountable in this regard. By modeling the uses of power and choosing only those that protect dignity, we can do for standards of justice what modeling nature has done for standards of living.
Some might argue that we already accomplish this, albeit imperfectly, through the various mechanisms of democracy. It's true that democracy provides a recourse when government officials abuse their rank; we can vote them out. But thus far we've applied the democratic idea only to our civic affairs, only within national boundaries, and quite inconsistently.
Democracy's next step is to extend its protections against rankism beyond civic affairs to social institutions and to relations among nation-states. As indicated in the preceding chapter, we can do this in two ways: (1) by conducting dignity impact studies before authorizing a new use of power, and (2) by remodeling existing institutions into dignitarian ones.
Rankism is invariably experienced, by the individual or group suffering it, as an insult to dignity. Indignity therefore provides us with a litmus test that signals a likely abuse of power. But determining which uses of power will damage dignity, and as a result, backfire, can no longer be left to the full-scale, rough-and-tumble tests of power politics. That has become too dangerous because modern weaponry is more destructive and more widely available than ever before. Rather, the process must be brought into the "laboratory," as natural scientists have learned to do, and modeled in thought or other small-scale experiments. As Stewart Brand puts it, "We are as gods, and might as well get good at it."
Despite warnings from a few farseeing individuals, we have typically plunged ahead and learned only by doing. The end result has been the same as that suffered by the succession of foolhardy men who climbed into flying machines without first modeling the consequences of their designs: over and over again, we've crashed and burned.
Conducting dignity impact studies in advance may sound far-fetched and utopian now, but this was once believed true of environmental impact studies, which are now mandatory. Nor are what we're calling dignity impact studies really a new thing. People do the equivalent every time they imagine the effect on someone of something they are about to do or say. Part of conducting ourselves thoughtfully--of not inadvertently giving offense--is projecting ahead before we commit ourselves to a course of action, especially when the stakes are high. Such imaginative thought-experiments have long been a common tool in model building of all sorts. It is now time to apply this tool systematically to our anticipated uses of power with an eye on their impact on dignity.
By modeling the consequences of proposed uses of power, all of which hold the potential for unwelcome if not catastrophic results, we can disallow those that flunk the dignity test and thereby spare ourselves much grief. In doing so we'll be heeding Shylock's warning that victims of villainy are seldom satisfied with merely getting even, but rather are inclined to "better the instruction."
An Example from Higher Education:
A Template for Remodeling Institutions
Although it's possible to delineate the broad features of a dignitarian society, no one can foretell exactly what shape they will take. Likewise, it's impossible to tell in advance precisely what an organization will look like after it is transformed into a dignitarian one. This is because the process of transformation must be one in which everyone involved has a voice and everyone's views have some political weight.
In a dignitarian society, the role of institutional architect is inherently collaborative. Providing a blueprint from outside the design process is contrary to the dignitarian spirit. This is not to suggest that the role of experts in education, health care, organizational development, government, and international relations is unimportant. Quite the contrary. But for the resulting institutions to embody equal dignity, these professionals will have to work directly with the people those institutions are being designed to serve.
That leaders and pundits insist on designing programs without involving those they're meant to serve is one reason their ideas usually fall flat. A paternalistic process is incompatible with a dignitarian outcome because such a process, no matter how benevolent, is inherently rankist. To illustrate the remodeling of an institution, the following is an example I'm familiar with--one from academia. Just change the names, and it illustrates the procedures that apply to transforming any kind of institution into a dignitarian one.
In response to the renascence of the women's movement in the 1960s, many academic institutions established special committees on the status of women. Typically, these committees were composed of women administrators, faculty, students, alumni, and staff, and also included a few men. They began their work by holding open hearings on campus during which anyone could call attention to policies or practices that were felt to demean women or put them at a disadvantage. The committees then compiled a list of specific instances of unfairness or abuse along with potential remedies and presented it to the administrator, group, or governing body with the power to redress the grievances at issue. Their final task was to persuade that official or body to adopt the recommended changes.
This process, widely employed to make institutions less sexist, can serve as a template for making institutions less rankist. Open hearings can allow participants to point out ways in which members of various constituencies feel their dignity is not respected. A portion of the complaints may be contested, with some eventually judged to be ill-founded and withdrawn or dismissed. A number of the valid ones will be relatively easy to address. Other problems may take years or even decades to rectify.
A few words of caution regarding committees--especially those charged with transforming an institution. First, the likelihood of success is greatly enhanced by the participation of a figure of very high rank in the organization who makes it clear that it's safe for others to seriously challenge the status quo. It need not be the president, but if not, it must be someone who everyone knows speaks for the president.
Second, the committee must have a fixed deadline against which it works. As the postwar British Prime Minister Clement Attlee noted, "Democracy means government by discussion, but it is only effective if you can stop people talking."
Dignitarian governance does not necessarily mean giving everyone a vote on every issue, but it does mean giving everyone a voice. To ensure those voices are heard usually requires having at least some voting representatives from each of the organization's various constituencies serving at every level of its governance. This is sometimes referred to as multi-stakeholder or collaborative problem-solving. For example, in an academic institution this means adding students and alumni to committees on student life, educational policy, appointments, and promotions, and to the governing faculty body itself and also the board of trustees. Typically, such representatives hold 5 to 15 percent of the seats, but the percentage could go higher. The aim is to ensure every group has an opportunity to make its interests known. This goal is given teeth by providing each group with enough votes to determine the outcome in those situations where the group as a whole is closely divided.
Vote ratios between various constituencies mirror their relative degree of responsibility for achieving each specific goal of the institution. Thus, students would have a decisive majority of votes on a student life committee, faculty a decisive majority on educational policy. And students, faculty, and administrators would all play minority roles in fiduciary decisions that traditionally are decided by the board of trustees.
Including voting representatives from all constituencies creates an environment in which the authorities do not merely deign to listen to those of lower rank. Rather, it behooves them to treat everyone with dignity because at the end of the day everyone will be exercising some degree of voting power over the outcome.
In addition to shared governance, a dignitarian institution is likely to possess a number of other distinctive characteristics. For example, the evaluation process would be broadened so that people from constituencies other than the one for which the person is being evaluated would be involved in hiring decisions and reviews of job performance. In the corporate world, such evaluation models are referred to as 360-degree reviews. All comments thus generated are provided as feedback to the employee. A growing practice is the appointment of an ombudsperson with broad responsibility for resolving disputes over the use and abuse of rank. Princeton University's ombudsman in 2004, Camilo Azcarate, told me that his job can largely be summed up as making the distinction between rank and rankism in a wide variety of circumstances.
Finally, institution-wide constitutional reviews would be scheduled--every five or ten years or more frequently if called for--to update the system of governance in light of changing circumstances to ensure that it remains dignitarian. As power evolves, new opportunities for abuse present themselves. No institution will remain dignitarian for long if it is not committed to co-evolving with power.
The next chapter looks at how business organizations can be transformed into dignitarian ones.
For further background on the connection between rankism and indignity, listen to Rob Kall's interview with me here.