Viet Nam Generation Journal & Newsletter
V3, N3 (November 1991)
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Metaphor and War: The Metaphor System Used to Justify War in the Gulf
(Part 1 of 2)
George Lakoff, Linguistics Department, UC Berkeley
This paper was presented on January 30, 1991 in the midst of the Gulf War to an audience at Alumni House on the campus of the University of California at Berkeley. An earlier version had been distributed widely via electronic mail, starting on December 31, 1990.
Metaphors can kill. The discourse over whether to go to war in the gulf was a panorama of metaphor. Secretary of State Baker saw Saddam Hussein as "sitting on our economic lifeline." President Bush portrayed him as having a "stranglehold" on our economy. General Schwarzkopf characterized the occupation of Kuwait as a "rape" that was ongoing. The President said that the US was in the gulf to "protect freedom, protect our future, and protect the innocent", and that we had to "push Saddam Hussein back." Saddam Hussein was painted as a Hitler. It is vital, literally vital, to understand just what role metaphorical thought played in bringing us in this war.
Metaphorical thought, in itself, is neither good nor bad; it is simply commonplace and inescapable. Abstractions and enormously complex situations are routinely understood via metaphor. Indeed, there is an extensive, and mostly unconscious, system of metaphor that we use automatically and unreflectively to understand complexities and abstractions. Part of this system is devoted to understanding international relations and war. We now know enough about this system to have an idea of how it functions.
The metaphorical understanding of a situation functions in two parts. First, there is a widespread, relatively fixed set of metaphors that structure how we think. For example, a decision to go to war might be seen as a form of cost -benefit analysis, where war is justified when the costs of going to war are less than the costs of not going to war. Second, there is a set of metaphorical definitions that that allow one to apply such a metaphor to a particular situation. In this case, there must be a definition of "cost", including a means of comparing relative "costs". The use of a metaphor with a set of definitions becomes pernicious when it hides realities in a harmful way.
It is important to distinguish what is metaphorical from what is not. Pain, dismemberment, death, starvation, and the death and injury of loved ones are not metaphorical. They are real and in this war, they could afflict hundreds of thousands of real human beings, whether Iraqi, Kuwaiti, or American.
War as Politics; Politics as Business
Military and international relations strategists do use a cost-benefit analysis metaphor. It comes about through a metaphor that is taken as definitional by most strategic thinkers in the area of international politics, Clausewitz's Metaphor:
WAR IS POLITICS PURSUED BY OTHER MEANS.
Karl von Clausewitz was a Prussian general whose views on war became dominant in American foreign policy circles during the Vietnam War, when they were seen as a way to rationally limit the use of war as an instrument of foreign policy. Clausewitz is most commonly presented as seeing war in terms of political cost-benefit analysis: Each nation-state has political objectives, and war may best serve those objectives. The political "gains" are to to be weighed against acceptable "costs." When the costs of war exceed the political gains, the war should cease.
There is another metaphor implicit here: POLITICS IS BUSINESS, where efficient political management is seen as akin to efficient business management. As in a well-run business, a well-run government should keep a careful tally of costs and gains. This metaphor for characterizing politics, together with Clausewitz's metaphor, makes war a matter of cost-benefit analysis: defining beneficial "objectives", tallying the "costs", and deciding whether achieving the objectives is "worth" the costs.
The New York Times, on November 12, 1990, ran a front-page story announcing that "a national debate has begun as to whether the United States should go to war in the Persian Gulf." The Times described the debate as defined by what I have called Clausewitz's metaphor (though it described the metaphor as literal), and then raised the question, "What then is the nation's political object in the gulf and what level of sacrifice is it worth?" The "debate" was not over whether Clausewitz's metaphor was appropriate, but only over how various analysts calculated the relative gains and losses. The same was true of the hearings of the Senate Foreign Relations Committee, where Clausewitz's metaphor provided the framework within which most discussion took place.
The broad acceptance of Clausewitz's metaphor raises vital questions: What, exactly, makes it a metaphor rather than a literal truth? Why does it seem so natural to foreign policy experts? How does it fit into the overall metaphor system for understanding foreign relations and war? And, most importantly, what realities does it hide?
To answer these questions, let us turn to the system of metaphorical thought most commonly used by the general public in comprehending international politics. What follows is a two-part discussion of the role of metaphorical reasoning about the gulf crisis. The first part lays out the central metaphor systems used in reasoning about the crisis: both the system used by foreign policy experts and the system used by the public at large. The second part discusses how the system was applied to the crisis in the gulf.
Part 1: The Metaphor Systems
The State-as-Person System
A state is conceptualized as a person, engaging in social relations within a world community. Its land-mass is its home. It lives in a neighborhood, and has neighbors, friends and enemies. States are seen as having inherent dispositions: they can be peaceful or aggressive, responsible or irresponsible, industrious or lazy.
Well-being is wealth. The general well-being of a state is understood in economic terms: its economic health. A serious threat to economic health can thus be seen as a death threat. To the extent that a nation's economy depends on foreign oil, that oil supply becomes a 'lifeline' (reinforced by the image of an oil pipeline).
Strength for a state is military strength. Maturity for the person-state is industrialization. Unindustrialized nations are '`underdeveloped', with industrialization as a natural state to be reached. Third-world nations are thus immature children, to be taught how to develop properly or disciplined if they get out of line. Nations that fail to industrialize at a rate considered normal are seen as akin to retarded children and judged as "backward" nations. Rationality is the maximization of self-interest.
There is an implicit logic to the use of these metaphors: Since it is in the interest of every person to be as strong and healthy as possible, a rational state seeks to maximize wealth and military might.
Violence can further self-interest. It can be stopped in three ways: Either a balance of power, so that no one in a neighborhood is strong enough to threaten anyone else. Or the use of collective persuasion by the community to make violence counter to self-interest. Or a cop strong enough to deter violence or punish it. The cop should act morally, in the community's interest, and with the sanction of the community as a whole.
Morality is a matter of accounting, of keeping the moral books balanced. A wrongdoer incurs a debt, and he must be made to pay. The moral books can be balanced by a return to the situation prior to the wrongdoing, by giving back what has been taken, by recompense, or by punishment. Justice is the balancing of the moral books.
War in this metaphor is a fight between two people, a form of hand-to-hand combat. Thus, the US sought to "push Iraq back out of Kuwait" or "deal the enemy a heavy blow," or "deliver a knockout punch." A just war is thus a form of combat for the purpose of settling moral accounts.
The most common discourse form in the West where there is combat to settle moral accounts is the classic fairy tale. When people are replaced by states in such a fairy tale, what results is the most common scenario for a just war. So:
The Fairy Tale of the Just War
Cast of characters: A villain, a victim, and a hero. The victim and the hero may be the same person.
The scenario: A crime is committed by the villain against an innocent victim (typically an assault, theft, or kidnapping). The offense occurs due to an imbalance of power and creates a moral imbalance. The hero either gathers helpers or decides to go it alone. The hero makes sacrifices; he undergoes difficulties, typically making an arduous heroic journey, sometimes across the sea to a treacherous terrain. The villain is inherently evil, perhaps even a monster, and thus reasoning with him is out of the question. The hero is left with no choice but to engage the villain in battle. The hero defeats the villain and rescues the victim. The moral balance is restored. Victory is achieved. The hero, who always acts honorably, has proved his manhood and achieved glory. The sacrifice was worthwhile. The hero receives acclaim, along with the gratitude of the victim and the community.
The fairy tale has an asymmetry built into it. The hero is moral and courageous, while the villain is amoral and vicious. The hero is rational, but though the villain may be cunning and calculating, he cannot be reasoned with. Heroes thus cannot negotiate with villains; they must defeat them. The enemy-as-demon metaphor arises as a consequence of the fact that we understand what a just war is in terms of this fairy tale.
Metaphorical Definition
The most natural way to justify a war on moral grounds is to fit this fairy tale structure to a given situation. This is done by metaphorical definition, that is, by answering the questions: Who is the victim? Who is the villain? Who is the hero? What is the crime? What counts as victory? Each set of answers provides a different filled-out scenario.
As the gulf crisis developed, President Bush tried to justify going to war by the use of such a scenario. At first, he couldn't get his story straight. What happened was that he was using two different sets of metaphorical definitions, which resulted in two different scenarios:
The Self-Defense Scenario: Iraq is villain, the US is hero, the US and other industrialized nations are victims, the crime is a death threat, that is, a threat to economic health.
The Rescue Scenario: Iraq is villain, the US is hero, Kuwait is victim, the crime is kidnap and rape. The American people could not accept the Self-Defense scenario, since it amounted to trading lives for oil. The day after a national poll that asked Americans what they would be willing to go to war for, the administration settled on the Rescue Scenario, which was readily embraced by the public, the media, and Congress as providing moral justification for going to war.
The Ruler-for-State Metonymy
There is a metonymy that goes hand-in-hand with the State-as-Person metaphor: THE RULER STANDS FOR THE STATE. Thus, we can refer to Iraq by referring to Saddam Hussein, and so have a single person, not just an amorphous state, to play the villain in the just war scenario. It is this metonymy that was invoked every time President Bush said "We have to get Saddam out of Kuwait."
Incidentally, the metonymy only applies to those leaders perceived as illegitimate rulers. Thus, it would be strange for us to describe the American invasion of Kuwait by saying, "George Bush marched into Kuwait."
The Experts' Metaphors
Experts in international relations have an additional system of metaphors that are taken as defining a "rational" approach. The principal ones are the Rational Actor metaphor and Clausewitz's metaphor, which are commonly taught as truths in courses on international relations. We are now in a position to show precisely what is metaphorical about Clausewitz's metaphor. To do so, we need to look at a system of metaphors that is presupposed by Clausewitz's metaphor. We will begin with an everyday system of metaphors for understanding causation:
The Causal Commerce System
The Causal Commerce system is a way to comprehend actions intended to achieve positive effects, but which may also have negative effects. The system is composed of three metaphors:
Causal Transfer: An effect is an object transferred from a cause to an affected party. For example, sanctions are seen as "giving" Iraq economic difficulties. Correspondingly, economic difficulties for Iraq are seen as "coming from" the sanctions. This metaphor turns purposeful actions into transfers of objects.
The Exchange Metaphor for Value: The value of something is what you are willing to exchange for it. Whenever we ask whether it is "worth" going to war to get Iraq out of Kuwait, we are using the Exchange Metaphor for Value plus the Causal Transfer metaphor.
Well-being is Wealth: Things of value constitute wealth. Increases in well-being are "gains"; decreases in well -being are "costs." The metaphor of Well-being-as-Wealth has the effect of making qualitative effects quantitative. It not only makes qualitatively different things comparable, it even provides a kind of arithmetic calculus for adding up costs and gains.
Taken together, these three metaphors portray actions as commercial transactions with costs and gains. Seeing actions as transactions is crucial to applying ideas from economics to actions in general.
Risks
A risk is an action taken to achieve a positive effect, where the outcome is uncertain and where there is also a significant probability of a negative effect. Since Causal Commerce allows one to see positive effects of actions as "gains" and negative effects as "costs", it becomes natural to see a risky action metaphorically as a financial risk of a certain type, namely, a gamble.
Risks are Gambles
In gambling to achieve certain "gains", there are "stakes" that one can "lose". When one asks what is "at stake" in going to war, one is using the metaphors of Causal Commerce and Risks-as-Gambles. These are also the metaphors that President Bush uses when he refers to strategic moves in the gulf as a "poker game" where it would be foolish for him to "show his cards", that is, to make strategic knowledge public.
The Mathematicization of Metaphor
The Causal Commerce and Risks-as-Gambles metaphors lie behind our everyday way of understanding risky actions as gambles. At this point, mathematics enters the picture, since there is mathematics of gambling, namely, probability theory, decision theory, and game theory. Since the metaphors of Causal Commerce and Risks-as -Gambles are so common in our everyday thought, their metaphorical nature often goes unnoticed. As a result, it is not uncommon for social scientists to think that the mathematics of gambling literally applies to all forms of risky action, and that it can provide a general basis for the scientific study of risky action, so that risk can be minimized.
Rational Action
Within the social sciences, especially in economics, it is common to see a rational person as someone who acts in his own self-interest, that is, to maximize his own well-being. Hard-core advocates of this view may even see altruistic action as being in one's self-interest if there is a value in feeling righteous about altruism and in deriving gratitude from others.
In the Causal Commerce system, where well-being is wealth, this view of Rational Action translates metaphorically into maximizing gains and minimizing losses. In other words:
Rationality is Profit Maximization
This metaphor presupposes Causal Commerce plus Risks-as-Gambles, and brings with it the mathematics of gambling as applied to risky action. It has the effect of turning specialists in mathematical economics into "scientific" specialists in acting rationally so as to minimize risk and cost while maximizing gains.
Suppose we now add the State-as-Person metaphor to the Rationality-as-Profit-Maximization metaphor. The result is:
International Politics is Business
Here the state is a Rational Actor, whose actions are transactions and who is engaged in maximizing gains and minimizing costs. This metaphor brings with it the mathematics of cost-benefit calculation and game theory, which is commonly taught in graduate programs in international relations. Clausewitz's metaphor, the major metaphor preferred by international relations strategists, presupposes this system.
Clausewitz's Metaphor: War is Politics, pursued by other means.
Since politics is business, war becomes a matter of maximizing political gains and minimizing losses. In Clausewitzian terms, war is justified when there is more to be gained by going to war than by not going to war. Morality is absent from the Clausewitzian equation, except when there is a political cost to acting immorally or a political gain from acting morally.
Clausewitz's metaphor only allows war to be justified on pragmatic, not moral, grounds. To justify war on both moral and pragmatic grounds, the Fairy Tale of the Just War and Clausewitz's metaphor must mesh: The "worthwhile sacrifices" of the fairy tale must equal the Clausewitzian "costs" and the "victory" in the fairy tale must equal the Clausewitzian "gains."
Clausewitz's metaphor is the perfect expert's metaphor, since it requires specialists in political cost-benefit calculation. It sanctions the use of the mathematics of economics, probability theory, decision theory, and game theory in the name of making foreign policy rational and scientific.
Clausewitz's metaphor is commonly seen as literally true. We are now in a position to see exactly what makes it metaphorical. First, it uses the State-as-Person metaphor. Second, it turns qualitative effects on human beings into quantifiable costs and gains, thus seeing political action as economics. Third, it sees rationality as profit-making. Fourth, it sees war in terms of only one dimension of war, that of political expediency, which is in turn conceptualized as business.
War as Violent Crime
To bear in mind what is hidden by Clausewitz's metaphor, we should consider an alternative metaphor that is not used by professional strategists nor by the general public to understand war as we engage in it.
WAR IS VIOLENT CRIME: MURDER, ASSAULT, KIDNAPPING, ARSON, RAPE, AND THEFT.
Here, war is understood only in terms of its moral dimension, and not, say, its political or economic dimension. The metaphor highlights those aspects of war that would otherwise be seen as major crimes.
There is an Us/Them asymmetry between the public use of Clausewitz's metaphor and the War-as-Crime metaphor. The Iraqi invasion of Kuwait was reported on in terms of murder, theft and rape. The American invasion was never discussed in terms of murder, assault, and arson. Moreover, the US plans for war were seen, in Clausewitzian terms, as rational calculation. But the Iraqi invasion was discussed not as a rational move by Saddam Hussein, but as the work of a madman. We portrayed Us as rational, moral, and courageous and Them as criminal and insane.
War as a Competitive Game
It has long been noted that we understand war as a competitive game like chess, or as a sport, like football or boxing. It is a metaphor in which there is a clear winner and loser, and a clear end to the game. The metaphor highlights strategic thinking, team work, preparedness, the spectators in the world arena, the glory of winning and the shame of defeat.
This metaphor is taken very seriously. There is a long tradition in the West of training military officers in team sports and chess. The military is trained to win. This can lead to a metaphor conflict, as it did in Vietnam, since Clausewitz's metaphor seeks to maximize geopolitical gains, which may or may not be consistent with absolute military victory. Indeed, the right wing myth that the Vietnam War was fought "with one hand tied behind our back" uses the boxing version of the sports metaphor. What is being referred to was the application of Clausewitzian principles in Vietnam to limit our involvement in that war.
War as Medicine
Finally, there is a common metaphor in which military control by the enemy is seen as a cancer that can spread. In this metaphor, military "operations" are seen as hygienic, to "clean out" enemy fortifications. Bombing raids are portrayed as "surgical strikes" to "take out" anything that can serve a military purpose. The metaphor is supported by imagery of shiny metallic instruments of war, especially jets.
The First Days of the War
All these metaphor systems were apparent in the TV coverage of the first days of the war. The Fairy Tale: American soldiers were "heroes." They had used their magic weaponry to smite the demonic enemy. There was voluminous TV reportage on the magical quality of the weapons.
Sports: Commanding officers told their troops "This is our Super Bowl." The actual Super Bowl half-time activities mixed war and sports imagery interchangeably. Pilots returning from bombing runs gave each other "high-fives" and waved their index fingers in the air proclaiming "We're number one!" Casualty estimates was given in the form of a scoreboard. The major American tactic was named after a football play.
Cost-benefit: Within hours of the first bombing, Pentagon officials and Republican politicians started declaring that the enormously expensive development of weapons over the last fifteen years was "well worth it" and a sound investment.
Medicine: Endless pictures of surgical strikes.
In short, the War brought the basic metaphors into full view. Those things highlighted by the metaphors were shown vividly and often. But what was hidden by the metaphors was largely undiscussable.