Critias (460—403 B.C.E.)

CritiasCritias, son of Callaeschrus, an Athenian philosopher, rhetorician, poet, historian, and political leader, was best known for his leading role in the pro-Spartan government of the Thirty (404-403 BC). But Critias also produced a broad range of works and was a noted poet and teacher in his own time. The fragments of three tragedies and a satyr play, a collection of elegies, books of homilies and aphorisms, a collection of epideictic speeches, and a number of constitutions of the city-states both in poetry and prose all have been passed down in the works of later authors. In spite of arguments over the authorship of certain works ascribed to him and the brevity of the fragments, few other classical Greek writers present such a breadth of literary output. Critias, the political figure, author, and philosopher, stands as one of the most controversial and enigmatic figures of fifth-century BC Athens.

Critias’ one significant and original contribution appears to have been a clear distinction between perception through the senses (aisthanomai) and understanding through the mind (gnômê). While there are indications that others (e.g., Empedocles and Heraclitus) may have shared in this differentiation, Critias’ statement is the earliest extant. Apart from this one exception, Critias does not appear to have been an original thinker.

Critias commented that “if you yourself were trained, so that you were sufficient in mind (gnômê), you would thus be least wronged by your own (senses)” (fr. 40). In this statement Critias appears to be in agreement with Protagoras and many other of his contemporaries in the sophistic idea that excellence is teachable. He was furthermore a materialist in his beliefs about the soul and its role in perception. Aristotle and later writers report that Critias believed that the soul (psychê) was the blood, and, in agreement with Empedocles, that the blood around the heart was the seat of perception (noêma) (fr. 23).

Table of Contents

  1. Life
  2. Political Career
  3. Ancient Perspectives on Critias
  4. Relationship with Socrates
    1. Philosophical Views
    2. Distinction Between Sense and Understanding
    3. Views on Law and Morals
  5. Drama and Poetry
  6. Rhetoric
  7. Writings
  8. References and Further Reading

1. Life

Critias’ first certain appearance in the historical record is as an alleged participant in the mutilation of the herms in 415 BC. Critias was released on the testimony of Andocides (On the Mysteries 47) in the course of the investigation of the crime, and nothing further is known of his involvement in the matter. There are also sporadic references to Critias’ participation in some of the major events of the last years of the Peloponnesian war. Whether he was a participant in the oligarchic reign of the Four Hundred in 411 BC is uncertain. He posthumously prosecuted Phrynicus, the radical oligarch and ringleader of the Four Hundred (Lycurgus, Against Leocrates 113) after the regime’s collapse in 410 BC.

2. Political Career

In the years that followed, Critias was actively involved in politics as an associate of Alcibiades. Critias proclaims in one of his elegiac poems that he proposed Alcibiades’ return from exile, probably around 408 BC (fragments 4 and 5). With the turn of Athenian popular opinion against Alcibiades, Critias probably followed Alcibiades into exile in 406 BC. During this time Critias became involved in an insurrection in Thessaly, but nothing certain is known of his activities there, apart from Theramenes’ enigmatic statement that Critias was “with Prometheus setting up a democracy and arming the peasants against their masters” (Xenophon, Hellenica 2.3.36). Too little is known of Thessalian history at that time to ascertain whom “Prometheus” was, or to determine the nature of any alleged “democratic” revolution in which Critias may have been involved.

Upon his return from exile in the spring of 404 BC, Critias was one of the “five ephors” who led the various oligarchic factions of post-war Athens (Lysias, Against Eratosthenes 43). Critias was also a leading member of the Thirty, whose brutal reign of terror in 404/403 BC was vividly depicted by Xenophon (Hellenica, Book 2). The reign of terror unleashed by the Thirty saw summary executions, property confiscations, and the exile of thousands of Athenian sycophants, democrats, and metics. Even Theramenes, one of the founding members of the Thirty, was executed without a trial after he dared to openly oppose Critias. Another apparent victim of the Thirty was the still-exiled Alcibiades, who remained in his fortified estates in Thrace. According to the report of Alcibiades’ later biographers-Cornelius Nepos (Alcibiades 10) and Plutarch (Alcibiades 38.5)-it was his old supporter and fellow Socratic companion Critias who gave the assassination order in 403 BC.

There are indications that Critias had some degree of personal control over the Athenian cavalry class and over the Eleven, who acted as executioners (Xenophon, Hellenica 2.4.8). Critias also appears to have been the guiding force behind the more extreme elements of the Thirty as well as their unquestioned leader after the execution of Theramenes in 403 BC. He also appears to have been one of the chief law-givers of the oligarchy (Xenophon, Hellenica 2.3.49).

Whatever plans that Critias and the Thirty had for the establishment of a new oligarchic regime in Athens were abruptly halted by the military successes of a group of pro-democratic exiles led by Thrasybulus at the Athenian border post at Phyle and in the port town of Piraeus. On a single day in May of 403 BC, in a pitched battle between the forces under the command of Thrasybulus and Critias and the supporters of the Thirty, the mastermind of the oligarchic movement fell. At that time, Critias, commander of the phalanx, opted for a deep line of fifty shields for his hoplites. The members of the Thirty themselves stood in the front ranks on the extreme left of the phalanx. Far from shunning the violent danger of the battlefield, Critias positioned himself in the left-most corner of the line. However, the arrangement of the phalanx in a deep column failed, the fighting bloody and costly. Critias was among the more than seventy who fell (Xenophon, Hellenica 2.3.11-13). Critias’ death left the remaining members of the Thirty and the Three Thousand leaderless and in confusion. Attempts at a new oligarchic government failed and the democracy was restored soon afterwards.

A memorial was later erected to Critias and the Thirty depicting a personified Oligarchy carrying torches and setting Democracy on fire. An inscription on the monument’s base, as recorded by a scholiast, read: “This is a memorial of those noble men who restrained the hubris of the accursed Athenian Demos a short time” (scholiast on Aeschines, Against Timarchus 39). The price of this “restraint” was the lives of at least 1,500 Athenians (Aristotle, Constitution of the Athenians 35.4).

As Plato admits in his Seventh Letter, the extreme behavior of his second cousin Critias-along with another cousin, Charmides, the leader of the Ten who governed the Piraeus during the rule of the Thirty-effectively ended any thoughts he had previously entertained about a future political career (Plato, Seventh Letter 324d).

3. Ancient Perspectives on Critias

Xenophon characterized Critias as a ruthless, amoral tyrant, whose crimes would eventually be the cause of Socrates’ death. This negative view of Critias was continued by Philostratus, who called him “the most evil… of all men” (Lives of the Sophists 1.16). On the other hand, Plato’s portrayal of his second cousin, Critias, in four dialogues (Lysis, Charmides, Critias, and Timaeus) presents Critias as a refined and well-educated member of one of Athens’ oldest and most distinguished aristocratic families and as a regular participant in Athenian philosophical culture.

Although these portrayals differ, they are not mutually exclusive. Critias’ family was among the most prominent of the old aristocratic Eupatrid clans that had ruled Athens before the advent of the democracy. No fewer than four of his direct ancestors had held the eponymous archonship (the highest office of the Athenian state)–one, a certain Dropides, in 645/644 BC. Solon was among his famous relatives (Plato, Charmides 155a), and both Solon and the poet Anacreon reportedly praised Critias’ ancestors in their poems (Plato, Charmides 157e and Solon, fr. 22 in Iambi et Elegi Graeci. 2nd ed. M.L. West, ed. Oxford 1992).

Although the literary tradition lacks detailed evidence about Critias’ youth, his biographer Philostratus (Lives of the Sophists 1.16) says that Critias’ “formal education was the of the most noble sort,” and Athenaeus (Deipnosophistae 4.84d) notes that his training as a flutist made him famous in his youth. A fragment of a dedication for two victories at the Isthmian games and two victories at the Nemean games in 438 BC by a [Critia]s, son of Callaeschrus, remains (IG I3 1022), but the restoration of the name remains uncertain. It does seem clear that Critias excelled in two of the most important elements of traditional Athenian education: music and athletics.

If Plato accurately reports the characters of historical figures in his dialogues–though surely in fictionalized situations that suited his philosophical ends–then perhaps these dialogues provide glimpses into Critias’ character and behavior. In Plato’s Protagoras, set in 433 BC, Critias appears among the leading sophists–Protagoras, Hippias, Prodicus, and Socrates–and the educated elite of Athens. In the Protagoras, Critias takes part in the dialogue alongside Alcibiades. This pairing is perhaps ironic, since Xenophon records that Athenian anger at the reckless and destructive behavior of Critias and Alcibiades, both associates of Socrates, was the real reason behind the execution of Socrates in 399 BC (Memoirs of Socrates 1.2.12). It is noteworthy that Critias’ only contribution to the philosophical discussion is a plea to the participants to be impartial and fair at a point in which those present increasingly appear either in favor of Socrates or Protagoras. In contrast to Xenophon’s portrayal of Critias as a ruthless tyrant, Plato’s presentation of Critias as a moderating force is a remarkable counterpoint.

Critias’ more substantial role in the Charmides, which opens with the return of Socrates from Potidaea in 432 BC, provides an equally stark contrast to the negative depiction of Xenophon and others. The dialogue centers on the meaning of sophrosyne (self-control), which Charmides–clearly following the lead of his cousin and guardian Critias–defines for Socrates at one point as “minding one’s own business” (Plato, Charmides 161b). Although this particular definition is abandoned in the discussion described in Charmides itself, it reappears in an expanded form as the ultimate meaning of dikaiosyne (justice) in the Republic (433a-b): “that each individual must act in the affairs of the city as each is best fitted by nature to do.” This definition of justice (dikaiosyne) is, of course, held by Plato to be the highest virtue and is central to his utopian conception of the ordering of the various social and political classes of the ideal state.

Critias is also a principal character in both the Timaeus and the Critias, which are set on the day after the events recorded in the Republic in 421 BC. Critias relates the story of Atlantis and its fabled war with Athens some 9,000 years earlier. He had heard this tale from his homonymous grandfather, who, in turn, had heard it from his relative the lawgiver Solon. The story, which Plato has Critias say was preserved by Egyptian priests, presents an idealized portrait of an ancient Athens that matches remarkably well the features of the utopian state described in the Republic. What is significant is that Plato has chosen Critias as the reporter of the Atlantis myth. By doing this Plato invests his second cousin with heightened importance as a man who knew the history of a past age, a time when governments resembled the utopia of the Republic and not the imperfect systems of fourth-century BC Greece.

4. Relationship with Socrates

Among the laws drafted by Critias was an edict forbidding “instruction in the art of words” (Xenophon, Memoribilia 1.2.31). Xenophon reports that Socrates responded with a sarcastic reply: “if someone was a herdsman and made his cattle fewer and more poor, would he not agree that he was a bad herdsman; yet it is a great wonder, if someone was a leader of a city and made his citizens fewer and poorer, that he would not be ashamed nor think himself a bad leader of a city” (Xenophon, Memoribilia 1.2.32). Although it is the relationship between Critias and his former teacher that Xenophon wants to deny, it is Charicles who threatens Socrates with punishment if he does not desist from making statements against the regime (Xenophon, Memoribilia 1.2.37-38). Critias remains in the background of the conversation, making only a withering remark about the philosopher’s affinity for “tanners, craftsmen, and bronze workers” (Xenophon, Memoribilia 1.2.37). In another tête-a-tête, Socrates crudely upbraids a lovestruck Critias for his apparently overzealous attraction to a handsome youth named Euthydemus by saying that he was rubbing against the young man “like a little pig scratching itself against a rock” (Xenophon, Memoribilia 1.2.29-30). These vignettes of Socrates and Critias are both amusing and make a point: Critias and Socrates knew each other, but also were often at odds with one another.

Despite the threats and obvious tension between the two, Socrates survived the terror and the subsequent civil war. Perhaps it was at Critias’ insistence that Socrates’ insubordinate behavior was overlooked during the terror. Whatever the reason, it is clear from the events of Socrates’ trial in 399 BC and the scattered rebukes in fourth- and third-century BC literature that the attachment between Critias and the philosopher held fast in the popular mind (e.g., Xenophon, Memoribilia 1.2.12; Aeschines, Against Timarchus 173; and comic fragment 3:122 in T. Kock, ed. Comicorum Atticorum Fragmenta. Teubner 1880-1888).

a. Philosophical Views

Although the tragic events of the last year of Critias’ life have left a vivid picture of a radical and brutal politician, it is important to remember that Critias was also a regular and leading participant in Athenian philosophical culture. As a scholiast on Plato’s Timaeus (20a) notes: “he was called an amateur among philosophers, and a philosopher among amateurs.” Here the term “amateur” clearly refers to Critias’ aristocratic background in the sense that aristocrats by nature are “amateurs”–or perhaps more accurately “those who do not take money for their work.”

While little remains of Critias’ philosophical writing, numerous quotations by later writers attest to multiple works on a variety of topics. Unfortunately, these fragments reflect neither a comprehensive nor a thorough understanding of his philosophy. Enough remains, however, to understand something of his practice as a philosopher, his epistemology, his conception of the soul, and his ethics.

Much of his philosophical teaching appears to have been presented in multiple books of Homilies and Aphorisms. It is tempting to imagine that the Homilies (which may be understood either as “lectures” or “conversations”) may have represented an early form of the dialogue, but an insufficient number of fragments survive to give a clear picture of their literary character. If Critias’ Homilies were indeed in dialogues, he may have influenced his cousin Plato in his choice of an innovative literary form for the presentation of philosophy.

b. Distinction Between Sense and Understanding

Critias’ one significant and original contribution appears to have been a clear distinction between perception through the senses (aisthanomai) and understanding through the mind (gnômê). While there are indications that others (e.g., Empedocles and Heraclitus) may have shared in this differentiation, Critias’ statement is the earliest extant. Apart from this one exception, Critias does not appear to have been an original thinker.

Critias commented that “if you yourself were trained, so that you were sufficient in mind (gnômê), you would thus be least wronged by your own (senses)” (fr. 40). In this statement Critias appears to be in agreement with Protagoras and many other of his contemporaries in the sophistic idea that excellence is teachable. He was furthermore a materialist in his beliefs about the soul and its role in perception. Aristotle and later writers report that Critias believed that the soul (psychê) was the blood, and, in agreement with Empedocles, that the blood around the heart was the seat of perception (noêma) (fr. 23).

A fragment of Critias’ tragedy Perithus illustrates more clearly the point of these fragments: “A noble character (chrêstos tropos) is more credible than law, for no orator can overcome it…” (fr. 22) As M. Untersteiner has argued, Critias believed that “the concrete manifestation of gnômê is realized in tropos, ‘character,’ where the idea of will and decision is included in the very root of the term.” An example of Critias putting his philosophical beliefs into practice may be found in the showdown with his political rival Theramenes before the other members of the Thirty and the Athenian councilors. At the very moment that Theramenes seems to be swaying the audience, Critias steps forward and says: “I believe the business of a leader should be that if he sees his comrades being deceived, he should not permit it.” Then, backed up by an armed bodyguard, Critias summarily sentences Theramenes to death and has him dragged from the altar in the council chamber (Xenophon, Hellenica 2.3.51).

c. Views on Law and Morals

Critias believed that law, order, and the divine are merely human creations that function as tyrants over humanity–thus, morality is relative to the individual and a trained, noble character should be regarded as superior to any law. This ethical preference for the educated individual over human law occurs in several of the other fragments of his work, but is best illustrated in the fragment from the satyr play Sisyphus, which is attributed to Critias. Authorship of the play continues to be disputed by scholars, but there is nothing in the one surviving fragment (fr. 25) that cannot be paralleled either in the other fragments or in what is known of Critias’ beliefs. In the play Critias describes the invention both of law and the gods by a clever and wise man (puknos kai sophos anêr) who wished to deceive and control the rest of humanity through fear of supernatural powers. If law and the gods are a human construct, it follows that they are no match for the learned individual. Although the quotation is clearly meant to be spoken by Sisyphus, who was condemned by the gods for his impious acts, the second-century AD medical doctor and skeptic Sextus Empiricus quotes this passage as evidence of Critias’ atheism.

Additional circumstantial evidence for Critias’ atheism may be found in his open blasphemy toward the gods at the climax of the condemnation of his political rival Theramenes (Xen. Hell. 2.3.52-55). Having taken refuge atop the sacred altar in the council house, Theramenes calls Critias and his followers “the most unholy of men.” At Critias’ behest, the herald orders the Eleven to drag Theramenes from the altar, and he is carried off to his execution “beseeching the gods to witness these events.”

5. Drama and Poetry

Apart from the surviving fragments of the plays and the elegiac and hexameter poetry attributed to him, nothing is known about Critias’ work as a playwright and poet. Only a single quote from the Tennes survives, the end of a hypothesis of the Rhadamanthys remains along with three brief fragments, and some nine fragments are extant from his Pirithous. A substantial fragment from the satyr play, Sisyphus, (discussed above) also remains.

In the sole surviving fragment of his hexameters, Critias celebrates the sixth-century BC poet Anacreon, who was reputed to be the lover of Critias’ homonymous grandfather (fr.1). This fragment also contains the earliest reference to the kottabos game, a favorite sport at aristocratic symposia; another fragment in elegaic couplets further records the Sicilian origins of the game (fr. 2). Critias’ apparent love for this drinking game, which included a brief prayer for one’s younger lover, is undoubtedly behind Theramenes’ famous last words at his execution in 403 BC. After having been compelled to drink hemlock, Theramenes reputedly tossed the dregs from his cup and in clear imitation of kottabos practice said: “This to Critias the fair” (Xenophon, Hellenica 2.3.56).

Two fragments of Critias’ elegies honor Alcibiades (fragments 4 and 5). One of the fragments, in fact, states emphatically that it was Critias who proposed the successful motion for Alcibiades’ return from exile (fr. 5).

Another brief pentameter line records the axiom: “More men are good from practice, than from nature” (fr. 9). The axiom fits well what is known of Critias’ emphasis on training in the building of character, but is perhaps striking when his own aristocratic pedigree is considered.

The remaining elegaic couplets, which record various customs and facts relating to the Spartans, apparently belonged to a “Politeia of the Lacedaemonians” in verse (fragments 5-7). Politeia is a term often best translated as “constitution,” but often refers more broadly to a “way of life” rather than strictly political matters. Critias appears to have been one of the first to compose such “constitutions” either in verse or prose. Critias reportedly believed that the Spartan politeia was the best (Xenophon, Hellenica 2.3.34), and so it is no accident that the majority of the fragments come from his constitutions of the Lacedaimonians (one in prose, the other in verse).

6. Rhetoric

In his rhetorical training, Critias was influenced by the grand, antithetical style of Gorgias and Antiphon and continued to be read by students of rhetoric such as Cicero (On Oratory 2.23.93) throughout antiquity. Furthermore, his work was remembered by later rhetoricians of the Second Sophistic as an excellent example of pure Attic oratory (see, for example, Philostratus, Lives of the Sophists 9.16 and 16.1.34-40). None of Critias’ speeches survive intact, although H.T. Wade-Gery has argued that a speech attributed to Herodes Atticus is a work of Critias. However, U. Albini’s careful and thorough study of the speech leaves no possibility for a date of composition of the “Herodes” speech earlier than the second century AD. More profitably, S. Usher has argued that the speeches given by Critias in Xenophon’s Hellenica are condensed versions of the originals. Xenophon almost certainly knew Critias and his rhetorical style personally, and may have been present to hear him attack Theramenes in the council chamber, but how precisely he recalled the words spoken must remain a matter of speculation.

7. Writings

Fragments of Constitutions of Thessaly (fr. 31) and Lacedaemon (frr. 32-37) written by Critias in prose are extant; A. Boeckh and other scholars have attributed to Critias a “Constitution of the Athenians” wrongly ascribed to Xenophon, but this argument has found little favor. Other extant fragments from unnamed prose works include biographical details of the lives of the poet Archilochus (fr. 44) and the Athenian statesmen Themistocles (fr. 45) and Cimon (fr. 52). In addition, the lexicographer Pollux cites words from Critias’ works on some twenty occasions–a testimony to Critias’ stature as a writer of pure Attic Greek and, perhaps, to his educated diction.

In the fragments from his “Constitution of the Lacedaimonians” Critias never fails to record his admiration for even the most mundane features of Spartan society. Along with Lacedaimonian moderation in drinking wine and toasting their fellows (fr. 6), Critias stated that the Laconian way of raising children (fr. 32), the shape of Laconian drinking cups, Laconian shoes, Laconian cloaks, and even Laconian furniture (fr. 34) were the best. He also recorded that “it was a Lacedaimonian, Chilon the wise, who once said, ‘Nothing too much, all beautiful things arrive at the proper moment'” (fr. 7).

Critias was one of the first to write histories of individual city states. It is likely that Xenophon used and perhaps even imitated Critias in the writing of his own “Constitution of the Lacedaemonians,” although he never says as much. It is also possible, if not certain, that Aristotle used Critias’ work in the composition of his “constitutions” of the Greek city-states, but this too must remain an open question.

The breadth of Critias’ work in philosophy, drama, poetry, historical writing, rhetoric, and politics is impressive. He was not a particularly original thinker, but generalists seldom are. His leadership of the Thirty–one of Athens’ darkest, bloodiest moments–has tended to overshadow his literary and philosophical work, but Critias was no ordinary despotic thug. A scion of one of Athens most noble families, highly-educated, cultured, a writer of poetry and prose, a powerful speaker, and brave, Critias was perhaps the greatest tragedy the city ever produced.

8. References and Further Reading

  • H. Diels and W. Kranz, eds. Die Fragmente der Vorsokratiker. 10th ed. Berlin 1960-1961. Fragments of Critias’ works are cited above according to the numeration of Diels-Kranz.
  • U. Albini, [Erode Attico] peri politeias. introduzione, testo critico e commento. Florence 1968.
  • J.K. Davies, Athenian Propertied Families 600-300 B.C. Oxford 1971.
  • H.T. Wade-Gery, “Kritias and Herodes,” in Essays in Greek History. Oxford 1958 271-292.
  • W. Morison, The “Amateur” as Tyrant: A Socioeconomic Study of Kritias. Unpublished Masters Thesis: California State University, Fresno 1990
  • D. Stephans, Critias: Life and Literary Remains. Cincinnati 1939.
  • M. Untersteiner, The Sophists. New York 1954.
  • S. Usher, “Xenophon, Critias, and Theramenes,” Journal of Hellenic Studies 88 (1968) 128-135.

Author Information

William Morison
Email: morisonw@gvsu.edu
Grand Valley State University
U. S. A.

The Bakhtin Circle

bakhtinThe Bakhtin Circle was a 20th century school of Russian thought which centered on the work of Mikhail Mikhailovich Bakhtin (1895-1975). The circle addressed philosophically the social and cultural issues posed by the Russian Revolution and its degeneration into the Stalin dictatorship. Their work focused on the centrality of questions of significance in social life in general and artistic creation in particular, examining the way in which language registered the conflicts between social groups. The key views of the circle are that linguistic production is essentially dialogic, formed in the process of social interaction, and that this leads to the interaction of different social values being registered in terms of reaccentuation of the speech of others. While the ruling stratum tries to posit a single discourse as exemplary, the subordinate classes are inclined to subvert this monologic closure. In the sphere of literature, poetry and epics represent the centripetal forces within the cultural arena whereas the novel is the structurally elaborated expression of popular ideologiekritik, the radical criticism of society. Members of the circle included Matvei Isaevich Kagan (1889-1937); Pavel Nikolaevich Medvedev (1891-1938); Lev Vasilievich Pumpianskii (1891-1940); Ivan Ivanovich Sollertinskii (1902-1944); Valentin Nikolaevich Voloshinov (1895-1936); and others.

Table of Contents

  1. Introduction
  2. The Early Works: 1919-1927
  3. The Concluding Works of the Bakhtin Circle: 1928-1929
  4. Bakhtin and the Theory of the Novel: 1933-1941
  5. Carnival, History And Popular Culture: Rabelais, Goethe And Dostoyevsky As Philosophers
  6. Bakhtin’s Last Works
  7. Conclusion

1. Introduction

M.M. Bakhtin and his circle began meeting in the Belorussian towns of Nevel and Vitebsk in 1918 before moving to Leningrad in 1924. Their group meetings were terminated due to the arrest of many of the group in 1929. From this time until his death in 1975, Bakhtin continued to work on the topics which had occupied his group, living in internal exile first in Kustanai (Kazakhstan, 1930-36), Savelovo (about 100 km from Moscow, 1937-45), Saransk (Mordovia, 1936-7, 1945-69) and finally moving in 1969 to Moscow, where he died at the age of eighty. In Saransk Bakhtin worked at the Mordov Pedagogical Institute (now University) until retirement in 1961.

The Bakhtin circle is reputed to have been initiated by Kagan on his return from Germany, where he had studied philosophy in Leipzig, Berlin and Marburg. He had been a pupil of the founder of Marburg Neo-Kantianism Herman Cohen and had attended lectures by Ernst Cassirer. Kagan established a “Kantian Seminar” at which various philosophical, religious and cultural issues were discussed. Kagan was a Jewish intellectual who had been a member of the Social Democratic Party (the precursor of the Bolsheviks and Mensheviks) and he may have been attracted to Cohen’s philosophy for its supposed affinity with Marxism (Cohen regarded his ethical philosophy as completely compatible with that of Marx), while rejecting the atheism of Russian Communism. Whatever the truth of the matter, the members of the circle did not restrict themselves to academic philosophy but became closely involved in the radical cultural activities of the time, activities which became more intense with the movement of the group to Vitebsk, where many important avant-garde artists such as Malevich and Chagall had settled to avoid the privations of the Civil War. One of the group, Pavel Medvedev, a graduate in law from Petrograd University, became rector of the Vitebsk Proletarian University, editing the town’s cultural journalIskusstvo (Art) to which he and Voloshinov contributed articles, while Bakhtin and Pumpianskii both gave public lectures on a variety of philosophical and cultural topics, as seen in recently published student notes. Pumpianskii, it is known, never finished his studies at Petrograd university, while it is doubtful whether Bakhtin had any formal higher education at all despite his claims, now disproven, to have graduated from the same University in 1918. It seems that Bakhtin attempted to gain acceptance in academic circles by adopting aspects of his older brother’s biography. Nikolai Bakhtin had a solid classical education from his German governess and graduated from Petrograd University, where he had been a pupil of the renowned classicist F.F. Zelinskii. Bakhtin had therefore been exposed to philosophical ideas since his youth. After Nikolai’s departure for the Crimea, and Mikhail’s move to Nevel, it seems that Kagan took the place of his brother as unofficial mentor, having an important influence on Bakhtin’s philosophy in a new and exciting cultural environment, although the two friends went their separate ways in 1921, the year Bakhtin married.

Kagan, however, moved to take up a teaching position at the newly established provincial university in Orel in 1921. While there he published the only sustained piece of philosophy to be published by a member of the group before the late 1920s entitled “Kak vozmozhna istoria” (How Is History Possible) in 1922. The same year he produced an obituary of Hermann Cohen in which he stressed the historical and sociological aspects of Cohen’s philosophy and wrote other unpublished works. 1922 also saw the publication of Pumpianskii’s paper “Dostoevskii i antichnost´” (Dostoyevsky and Antiquity), a theme that was to recur in Bakhtin’s work for many years. While Bakhtin himself did not publish any substantial work until 1929, he was clearly working on matters related to Neo-Kantian philosophy and the problem of authorship at this time. Bakhtin’s earliest published work is the two page “Iskusstvo i otvetstvennost´” (Art and Answerability) from 1919 and fragments of a larger project on moral philosophy written between 1920 and 1924, now usually referred to as K filosofii postupka (Towards a Philosophy of the Act).

Most of the group’s significant work was produced after their move to Leningrad in 1924. It seems that there the group became acutely aware of the challenge posed by Saussurean linguistics and its development in the work of the Formalists. Thus there emerges a new awareness of the importance of the philosophy of language in philosophy and poetics. The most significant work on the philosophy of language was published in the period 1926-1930 by Voloshinov: a series of articles and a book entitledMarksizm i filosofia iazyka (Marxism and the Philosophy of Language) (1929). Medvedev, who had been put in charge of the archive of the symbolist poet Aleksandr Blok, participated in the vigorous discussions between Marxist and formalist literary theorists with a series of articles and a book, Formal´lnyi metod v literaturovedenii (The Formal Method in Literary Scholarship) (1928) and the first book-length study of Blok’s work. Voloshinov also published an article and a book (1925, 1926) on the debate which raged around Freudianism at the time. In 1929 Bakhtin produced the first edition of his famous monograph Problemy tvorchestva Dostoevskogo (Problems of Dostoyevsky’s Work), but many other works dating from 1924-9 remained unpublished and usually unfinished. Among these was a critical essay on formalism called “Problema soderzheniia i formy v slovesnom khudozhestvennom tvorchestve” (The Problem of Content, Material and Form in Verbal Artistic Creation) (1924) and a book length study called “Avtor i geroi v esteticheskoi deiatel´nosti” (Author and Hero in Aesthetic Activity) (1924-7).

Since the 1970s the works published under the names of Voloshinov and Medvedev have often been ascribed to Bakhtin, who neither consented nor objected. A voluminous, ideologically motivated, often bad-tempered and largely futile body of literature has grown up to contest the issue one way or another, but since there is no concrete evidence to suggest that the published authors were not responsible for the texts which bear their names, there seems no real case to answer. It seems much more likely that the materials were written as a result of lively group discussions around these issues, which group members wrote up according to their own perspectives afterwards. There are clearly many philosophical, ideological and stylistic discrepancies which, despite the presence of certain parallels and points of agreement, suggest these very different works were largely the work of different authors. In accordance with Bakhtin’s own philosophy, it seems logical to treat them as rejoinders in ongoing dialogues between group members on the one hand and between the group and other contemporary thinkers on the other.

The sharp deterioration in the situation of unorthodox intellectuals in the Soviet Union at the end of 1928 effectively broke the Bakhtin circle up. Bakhtin, whose health had already begun to deteriorate, was arrested, presumably because of his connection with the St. Petersburg Religious-Philosophical society, and was sentenced to ten years on the Solovetskii Islands. After vigorous intercession by Bakhtin’s friends, a favourable review of his Dostoyevsky book by Commissar of Enlightenment Lunacharskii and a personal appeal by Maksim Gor´kii, this was commuted to six years exile in Kazakhstan. With the tightening of censorship at the time, very little was published by Voloshinov, while Medvedev published a book on theories of authorship V laboratorii pisatelia (In the Laboratory of the Writer) in 1933 and a new version of the Formalism study, revised to fit in more closely with the ideological requirements of the time, in 1934. Medvedev was appointed full professor at the Leningrad Historico-Philological Institute but was arrested and disappeared during the terror of 1938. Voloshinov worked at the Herzen Pedagogical Institute in Leningrad until 1934 when he contracted tuberculosis. He died in a sanitorium two year later leaving unfinished a translation of the first volume of Ernst Cassirer’s The Philosophy of Symbolic Forms, a book which is of considerable importance in the work of the circle. Kagan died of angina in 1937 after working as editor of an encyclopedic atlas of energy resources in the Soviet Union for many years. Pumpianskii pursued a successful career as Professor of Literature at Leningrad University, but published only short articles and introductions to works of Russian authors, most notably Turgenev. Sollertinskii joined the Leningrad Philharmonic in 1927 as a lecturer, but soon established himself as one of the leading Soviet musicologists, producing over two hundred articles, books and reviews. He died of a heart attack, probably resulting from the privations of the Leningrad blockade, in 1944.

While in Kazakhstan Bakhtin began work on his now famous theory of the novel which resulted in the now famous articles Slovo v romane (Discourse in the Novel) (1934-5), Iz predystorii romannogo slovo (From the Prehistory of Novelistic Discourse) (1940), Epos i roman (Epic and Novel) (1941),Formy vremeni i khronotopa v romane (Forms of Time and Chronotope in the Novel) (1937-8). Between 1936 and 1938 he completed a book on the Bildungsroman and its significance in the history of realism which was lost when the publishing house at which the manuscript was lying awaiting publication was destroyed in the early days of the German invasion of the Soviet Union in 1941. Voluminous, most still unpublished, preparatory material still exists, although part is lost, allegedly because Bakhtin used it for cigarette papers during the wartime paper shortage. Bakhtin’s exceptional productiveness at this time is further accentuated when one considers that one of his legs was amputated in February 1938. He had suffered from inflammation of the bone marrow, osteomyelitis, for many years, which gave him a lot of pain, high temperatures, and often confined him to bed for weeks on end. This had been a factor in the appeals of his friends and acquaintances for clemency when he was internally exiled, a factor that may well have saved his life. This did not, however, prevent him from presenting a now famous doctoral thesis on Rabelais to the Gor´kii Institute of World Literature in 1940. The work proved extremely controversial in the hostile ideological climate of the time and it was not until 1951 that Bakhtin was eventually granted the qualification of kandidat. It was not published in book form until 1965.

The period between the completion of the Rabelais study and the second edition of the Dostoyevsky study in 1963 is perhaps the least well known of Bakhtin’s life in terms of work produced. This has been recently (1996) rectified with the publication of archival materials from this period, when Bakhtin was working as a lecturer at the Mordov Pedagogical Institute. The most substantial work dating from this period is Problema rechevykh zhanrov (The Problem of Speech Genres) which was most likely produced in response to the reorganisation of Soviet linguistics in the wake of Stalin’s article Marksizm i voprosy iazykoznaniia (Marxism and Questions of Linguistics) of 1953. Many other fragments exist from this time, including notes for a planned article about Maiakovskii and more methodological comments on the study of the novel.

In the more liberal atmosphere of the so-called “thaw” following Khruschev’s accession, Bakhtin’s work on Dostoyevsky came to the attention of a group of younger scholars led by Vadim Kozhinov who, upon finding out that he was still alive, contacted Bakhtin and tried to convince him to republish the 1929 Dostoyevsky book. After some initial hesitation, Bakhtin responded by significantly expanding and fundamentally altering the overall project. It was accepted for publication in September 1963 and received a generally favourable reception. Publication of the Rabelais study, newly edited for purposes of acceptability (mainly the toning down of scatology and an analysis of a speech by Lenin) followed soon after. As Bakhtin’s health continued to decline, he was taken to hospital in Moscow in 1969 and in May 1970 he and his wife, who died a year later, were moved into a retirement home just outside Moscow. Bakhtin continued to work until just before his death in 1975, producing work of a mainly methodological character.

Since Bakhtin’s death, several collections of his work have appeared in Russian and many translations have followed. English language translations have been appearing since 1968, although the quality of translation and systematicity of publication has been uneven. Up to ten different translators have published work by a writer whose terminology is very specific, often rendering key concepts in a variety of different ways. This has exacerbated problems of interpretation and questions of theoretical heritage, especially since there is a quite sharp distinction between works written before and after the 1929 Dostoyevsky study. Another problem has been the questions of authorship of the Bakhtin circle and the extent to which a Marxist vocabulary in the works of Voloshinov and Medvedev should be taken at face value. Those, for example, who argue Bakhtin was the author of these works also tend to argue that the vocabulary is mere “window dressing” to facilitate publication, while those who support the authenticity of the original publications also tend to take the Marxist arguments seriously. As a result writers about Bakhtin have tended to choose one period of Bakhtin’s career and treat it as definitive, a practice which has produced a variety of divergent versions of “Bakhtinian” thought. The recent appearance of the first volume of a collected works in Russian might help to overcome the problems which have dogged Bakhtin studies.

2. The Early Works: 1919-1927

The work of the Bakhtin Circle should be regarded as a philosophy of culture. Questions which seem to be of very specific relevance, such as the modality of author-hero relations, actually involve questions of a much more general nature encompassing the value-laden relations between subject and object, subjects and other subjects. The phenomenological arguments presented by the young Bakhtin are directed against the abstractions of rationalist philosophy and contemporary positivism. He draws much of his conceptual structure from the work of the Marburg School (most notably Hermann Cohen (1842-1918), Paul Natorp (1854-1924) and Nicolai Hartmann (1882-1950)) and German phenomenologists such as Max Scheler (1874-1928) and Heinrich Rickert (1863-1936). However, it is particularly difficult to trace the precise influence of these writers because Bakhtin was notoriously inconsistent in crediting his sources and was not averse to copying whole passages which he had translated from German into Russian in his works without reference to the original. This has led many commentators either to guess at influences on the young Bakhtin or to credit him with the invention of a philosophical vocabulary almost from nothing. However, recent archival work by Brian Poole has uncovered notebooks in which Bakhtin made copious notes from various German idealist philosophers which give us a better idea both of the sources of his ideas and the originality of the philosophical work which resulted from his fusion of disparate ideas.

The ideas of the Marburg School were undoubtedly filtered to Bakhtin through the works of Matvei Kagan on his return from Germany at the end of the First World War. In his obituary of Cohen Kagan stressed the religious, messianic aspects of the former’s philosophy, which emerges in his later work. For the late Cohen, “the unity of objective being, as an unending large process of the unity of being and concept demands the unending small unity of the singular individuum…. The whole problem of religion is contained in the problem of the individuum as in the question of God.” The continual relationship between the individuum and God is the absolute element of subjectivity and is the unity of monotheism. The individual does not combine with God but continually relates to God. This has social significance, for religion grows out of ethics: “the religion of the unity of humanity is monotheism…. Religion is everywhere, in all regions of culture…. Religion itself is philosophy.” Problems of intersubjectivity must be related to questions of historical development: “in our opinion, the problem of individual relationships, the problem of subjective consciousness, ontological subjectivity can be based on the pathos of the individual condition of the struggle of the historical life of culture, the person and humanity.” Kagan stresses the parallels between Cohen’s ethics and the traditions of Russian populism, a factor which recurs later in Bakhtin’s career when the novel becomes linked with a populist political process. (M. Kagan, German Kogen, 1922) The unity of the individual is dependent on the unity of the people and this is in turn dependent on the unity of God.

Whatever the difficulties of tracing his more immediate precursors, there is no doubt that Bakhtin’s philosophical project maintained a fundamental connection with the traditions of Enlightenment aesthetics and with Kantianism in particular. As for Kant, the aesthetic is distinguished by its “disinterestedness,” the uncoupling of purposiveness from representation of the end. Where Kant concentrated on aesthetic judgement, however, Bakhtin was interested in aesthetic activity which can help to establish a mode of reciprocal intersubjective relationships necessary to produce an intimate unity of individuals whose specificity is in no way endangered. This project, which remains constant throughout his work, adopts various forms. The aesthetic is the realm where now detached from the “open event of being” and “finalized” by virtue of the author’s “exteriority” (vnenakhodimost´), the value-laden essence of the hero’s deed is manifested. If the hero’s activity were not objectified by the author then he or she would remain in some perpetual stream of consciousness, completely oblivious to the wider significance of those deeds. However, in order to visualise the meaningful nature of those deeds, the author must also have an insight into the subjective world of the hero, his or her horizon, sphere of views and interests (krugozor). Only the appropriate mode of empathy and objectification can produce the sort of productive whole Bakhtin envisages.

Several problems arise from this model. The first is that Bakhtin seems to want to use the author-hero model as a reciprocal principle within society and as a model of relations in literary composition. In the first model authors and heroes change their roles constantly, the unique perspective of each subject allows the objectification of others except oneself, who is objectified by others. Although the concept hardly appears in the early works, from 1928 onwards dialogue becomes the model of such interactions: one gains an awareness of one’s own place within the whole through dialogue, which helps to bestow an awareness on others at the same time. This is a very pleasant model as long as relationships remain equal. Yet the author-hero model also assumes a fundamental inequality in that the hero of a work can never have a reciprocal vantage point from which to objectify the author and thus the creator. There is a crucial difference between a person-to-person and a person-to-God relationship which Bakhtin’s model seems to obscure.

Furthermore, Bakhtin’s model of the unique perspective of each author/hero, which is drawn from the Kantian model of an individual consciousness bearing a-priori categories encountering and giving form to the manifold of sense impressions, is seriously compromised when one admits a socio-linguistic dimension into the equation. This happens in Voloshinov’s 1926 article on discourse in life and poetry. The alternative adopted by Voloshinov foregrounds the intonational dimension of language which manifests the unique evaluative connections between subject and object. Language enmeshed within everyday practical activity is extracted, or liberated, from its connection with the “open event of being” by the author who then reflects upon it, from his or her own unique vantage point, manifesting its total intonational meaning. The hero’s language is alien to the author and therefore ripe for objectification; the crucial category is the latter’s exteriority. Stress on this intonational dimension allows the encounter of the two consciousnesses to be spoken about in phenomenological rather than linguistic terms and therefore allows Bakhtin to counter what he calls “theoreticism”, the tendency to consider the inner meaning of an action and its historical specificity in isolation from each other. This might include Hegel‘s tendency to view the particular incident as meaningful only as an instance of the unfolding of reason, Husserl‘s sublation of inter-subjective relations in transcendental subjectivity or the positivistic assumption that categorisation of a phenomenon is sufficient to explain that phenomenon.

The distinctively Bakhtinian approach to language only really begins to emerge in Voloshinov’s 1926 essay Slovo v zhizni i slovo v poezii: k voprosam sotsiologicheskoi poetiki (Discourse in Life and Discourse in Poetry: Questions of Sociological Poetics), written during his postgraduate studies at the Institute of Material, Artistic and Verbal Culture in Leningrad where L.P. Iakubinskii, the pioneer of the study of dialogic speech, was among his advisers. This work, which has been seen as the earliest example of pragmatics by more than one commentator, is the first work of the circle to be presented as an explicitly Marxist text. The author attempts to define the aesthetic as a specific form of social interaction characterised by its “completion by the creation of the artistic work and by its continual recreations in cocreative perception and it does not require any other objectifications”. In the artistic work unspoken social evaluations are “condensed” and determine artistic form. The deeper structural features of a particular social interaction are made manifest in a successful artistic work; as Voloshinov puts it, “form should be a convincing evaluation of the content” (Bakhtin School Papers ed. Shukman, Colchester 1983 p.9, 19, 20). The early Bakhtinian phenomenology is now recast in terms of discursive interaction, with a specifically sociological frame of reference.

Another of Voloshinov’s projects was a critical response to incipient psychoanalysis and contemporary attempts to attempt a fusion of Marxism and Freudianism. In 1927 he published his first book calledFreidizm: Kriticheskii ocherk (Freudianism a Critical Sketch), which continued the theme of an earlier article from 1925 Po tu storonu sotsial´nogo (Just Beyond the Social) in which Freud was accused of a biological reductionism and subjectivism quite alien to the spirit of Marxism. Leaning upon a sociological analysis of language and culture, Voloshinov stresses that intersubjectivity precedes subjectivity as such and that all meaning production and thus repression of meanings are socio-ideological rather than individual and biological as Freud supposed. It must be noted, however, that Voloshinov does not pay any attention to Freud’s later work on cultural phenomena and thus presents a rather one-sided view of contemporary psychology. Furthermore, Freudianism is treated as a manifestation of “bourgeois decay” very much in the spirit of the later Lukács. This indicates a turning towards a more Hegelian approach to questions of cultural and philosophical development, while the recasting of the Freudian superego in terms of the repression of unofficial ideologies by an official ideology anticipates one of the central themes that would occupy Bakhtin in the 1930s and 1940s.

3. The Concluding Works of the Bakhtin Circle: 1928-1929

In the late 1920s the sociological and linguistic turn signalled by Voloshinov’s article on discourse had begun to form into a distinct school of thought in which language was the index of social relations and embodiment of ideological worldview. While Voloshinov’s linguistic studies were undoubtedly crucial to this reorientation, one of the central influences on the group at the time was the work of Ernst Cassirer, whose ground-breaking Philosophy of Symbolic Forms (3 Vols) was published between 1923 and 1929. One of Voloshinov’s unfinished projects, which he began while at University, was a translation of the first volume of Cassirer’s work on language. This volume marked the culmination of Cassirer’s move away from Marburg Neo-Kantianism to a Hegelian rectification of Kant. Adopting Hegel’s dialectical orientation, evolutionary approach to human knowledge and existence and concentration of the totality of human activities, Cassirer sought to overcome the exclusivity of the Kantian focus on mankind’s rational thought processes. At the same time, however, Cassirer strove to resist the Hegelian subsumption of all realms of the human spirit into the Absolute by retaining the Kantian distinction between the “languages” of the human spirit. To this end Cassirer drew upon Herder and von Humboldt’s identification of thought and signification, viewing the “symbolic function” as the common element to all areas of knowledge, but which took a specific form in each of them. The truth, agreed Cassirer and Hegel, is whole, but the former understood this to mean that each of the perspectives offered by various symbolic forms is equally valid and must be progressively “unfolded” so as to fully articulate itself. This formulation, as we shall see, had a far reaching effect on the later work of Bakhtin, but there are signs of its influence almost immediately in the work of the group.

In 1928 P.N. Medvedev published a book-length critique of Russian Formalism. This work begins with a definition of literary scholarship as “one branch of the study of ideologies”, a study which “embraces all areas of man’s ideological creativity”. Medvedev goes on to argue that while Marxism has established the basis of such a study, including its relationship to economic factors, the study of “the distinctive features and qualitative individuality of each of the branches of ideological creation — science, art, ethics, religion, and so forth. — is still in the embryonic stage” (p.3). Despite the replacement of “symbolic forms” with “branches of ideological creation” the continuity of approach is clear. Where Cassirer sought to examine the symbolic function as “a factor which recurs in each basic cultural form but in no two takes exactly the same shape” (vol. 1, p.84), Medvedev sought to investigate the “sociological laws of development” which can be found in each “branch” of “ideological creation” but which manifests itself in specific ways. This sociological adaption of Cassirer’s work was to feature largely in Bakhtin’s work from the 1930s and 1940s, where, as Poole has demonstrated, many unattributed passages from the former’s work appear in Russian translation within the body of the latter’s work. Medvedev felt that the Formalists were correct in attempting to define the specific features of literary creation but fundamentally mistaken in the positivistic approach they took towards literary devices which tended to efface the ideological, meaning-bearing and thus sociological aspect of literary form. In conclusion Medvedev recommended that the formalists be treated respectfully and seriously, even if their fundamental premises were erroneous. Marxist criticism, he argued, should value Formalism as an object of serious criticism through which the bases of the former can be clarified.

While subjecting the Russian Formalists to intense criticism on the basis of their partisan alliance with the Futurist movement and their sharing its tendency towards a nihilistic destruction of meaning, Medvedev particularly praised Western “formalist art scholarship” such as the work of Hildebrand, Wölfflin and Worringer. These theorists were important for the development of the Bakhtin circle because they treated changes of artistic forms and styles as changes of “artistic volition”, that is, having ideological significance. Worringer saw art history to be marked by an alternation of naturalism (empathy) and abstraction (estrangement) which correlated to the harmony or otherwise in the relationship of man and his environment. While formal and evaluative aspects are not identical, they do tend to maintain a close affiliation and this, Medvedev concluded, can be applied to literary form as well as visual art. This particular chapter, along with some shorter extracts of the book were omitted from the second edition of the book published with the title Formalizm I formalisty (Formalism and the Formalists) in 1934. By this time a tolerant attitude towards the Formalists or Western scholarship was not permitted, and thus an additional and extremely hostile chapter called “The Collapse of Formalism” was included. Earlier writers on the Bakhtin Circle tended to ascribe the first edition to Bakhtin and the second to Medvedev, but it is clear that the body of the second edition is an expurgated version of the first.

Medvedev’s formulation was carried over into Bakhtin’s now famous study Problemy tvorchestva Dostoevskogo (Problems of Dostoyevsky’s Work) published in 1929. Here the great nineteenth-century novelist’s own verbally affirmed and often reactionary ideology is downplayed in favour of his “form-shaping ideology” which is seen to be imbued with a profoundly democratic spirit. Bakhtin attacks those critics, such as Engelgardt, who characterised Dostoyevsky’s creative method as Hegelian. In such a scheme two positions struggle for ascendancy but are transformed into a synthesis at the end; however, according to Bakhtin, there is no merging of voices into a final, authoritative voice as in the Hegelian absolute. Dostoyevsky does not present an abstract dialectic but an unmerged dialogue of voices, each given equal rights. Bakhtin follows the nineteenth-century German novelist and critic Otto Ludwig in terming this type of dialogue “polyphonic dialogue”, which allows Cassirer’s insistence on a plurality of cultural forms to be extended to a plurality of discourses in society and the novel. In the course of Dostoyevsky’s novels, argues Bakhtin, very much in the spirit of Cassirer, the worldviews of Dostoyevsky’s heroes “unfold”, presenting their own unique perspective upon the world. The novelist does not, as is the case with Tolstoi, submerge all positions beneath a single authoritative perspective, but allows the voice of the narrator to reside beside the voices of the characters, bestowing no greater authority on that voice than on any of the others. Voices intersect and interact, mutually illuminating their ideological structures, potentialities, biases and limitations.

Bakhtin’s early phenomenology is now translated into discursive terms. Where Bakhtin was initially concerned with intersubjective relations and the modality of authorial and heroic interaction, this is now examined in terms of the way in which one language encounters another, reporting and modifying the utterance by reaccentuating it. Modes of interaction range from stylisation to explicit parody, which Bakhtin spends a considerable proportion of the book cataloguing. As only the later edition of the book (1963) has been published in English, there is a tendency to confuse the chronology of the emergence of Bakhtin’s key concepts. It should be noted that there is no reflection on carnival or on the Menippean Satire in the first edition of the Dostoyevsky study. These features only emerged in the next decade in relation to the history of the novel as a genre. The first edition of the Dostoyevsky study is a monograph on the work of the famous novelist in terms which in many respects embody the poetics of a significant portion of contemporary “fellow-traveller” writing. When considered in its historical context, the Dostoyevsky study can be seen as a sort of rearguard defence of liberality in the cultural arena against the encroachment of political control. The book was published on the eve of the destructive RAPP dictatorship, when bellicose advocates of “proletarian culture” were granted free reign by the newly victorious Stalinist leadership of the Soviet Communist Party. Formal experimentation and an inadequately tendentious narrative position was branded as reactionary, while Bakhtin’s work defended the presentation of a plurality of perspectives free from “monologic” closure. The formal characteristics of a work were themselves of ideological significance, but the reactionary tendency was in the imposition of a unitary perspective on a varied community of opinion.

The semiotic dimension of the new orientation of the Bakhtin Circle was developed at the same time by Voloshinov. In a series of articles between 1928 and 1930 punctuated by the appearance of the book-length Marksizm i filosofiia iazyka (Marxism and the Philosophy of Language) in 1929 (2nd edition 1930) Voloshinov published an analysis of the relationship between language and ideology unsurpassed for several decades. Voloshinov examines two contemporary accounts of language, what he calls “abstract objectivism”, whose leading exponent is Saussure, and “individualistic subjectivism”, developed from the work of Wilhelm von Humboldt by the romantic idealists Benedetto Croce (1866-1952) and Karl Vossler (1872-1942). Voloshinov argues that the two trends derive from rationalism and romanticism respectively and share both the strengths and weaknesses of those movements. While the former identifies the systematic and social character of language it mistakes the “system of self-identical forms” for the source of language usage in society; it abstracts language from the concrete historical context of its utilisation (Bakhtin’s “theoreticism”); the part is examined at the expense of the whole; the individual linguistic element is treated as a “thing” at the expense of the dynamics of speech; a unity of word meaning is assumed to the neglect of the multiplicity of meaning and accent and language is treated as a ready-made system whose developments are aberrations. The latter trend is correct in viewing language as a continuous generative process and asserting that this process is meaningful, but fundamentally wrong in identifying the laws of that creation with those of individual psychology, viewing the generative process as analogous with art and treating the system of signs as an inert crust of the creative process. These partial insights, Voloshinov argues that a stable system of linguistic signs is merely a scientific abstraction; the generative process of language is implemented in the social-verbal interaction of speakers; the laws of language generation are sociological laws; although linguistic and artistic creativity do not coincide, this creativity must be understood in relation to the ideological meanings and values that fill language and that the structure of each concrete utterance is a sociological structure.

Several commentators have noted how Voloshinov’s approach to language anticipates many of the criticisms of linguistic philosophy levelled by present day Poststructuralists, but does so without invoking the relativism of much of the latter or the nullity of Derrida‘s “hors texte.” Voloshinov firmly establishes the sign-bound nature of consciousness and the shifting nature of the language system, but instead of viewing the subject as fragmented by the reality of difference, he poses each utterance to be a microcosm of social conflict. This allows sociological structure and the plurality of discourse to be correlated according to a unitary historical development. In this sense Voloshinov’s critique bears a strong resemblance to the Italian Communist leader Antonio Gramsci’s account of hegemony in his Prison Notebooks. Like Voloshinov and Bakhtin, Gramsci drew upon the work of Croce and Vossler and Matteo Bartoli’s Saussurean “spatial linguistics”, and combined it with a Hegelian reading of Marxism. As we have seen, however, Voloshinov was heavily influenced by the work of Cassirer, whose admiration for the work of von Humboldt, the founder of generative linguistics, was substantial. Voloshinov’s critique thus tended towards the romantic pole of language study rather than taking up the equidistant position he claimed in his study. This can be seen in the tendency to see social groups as collective subjects rather than institutionally defined collectives and such assertions as those which suggest the meaning of a word is “totally determined” by its context. What Voloshinov effectively does is to supplement Humboldt’s recognition of individual and national linguistic variability with a sociological dimension. Humboldt’s “inner-form” of language is recast as the relationality of discourse, dialogism. Abandoning the Marxist distinction between base and superstructure, Voloshinov follows Cassirer and Hegel in seeing the variety of linguistic forms as expressions of a single essence. It is significant that Gramsci, who adopted a consistently pragmatist epistemology followed the same course and emerged with startlingly similar formulations.

This suggests that the relations between the work of the Bakhtin school and Marxism are ones which are complex and worthy of close scrutiny. Those who have tried to set up a Chinese wall between the two tendencies or who have tried to identify them, have consistently failed to do justice to this philosophical dialogue. Some have even gone so far as to see the work of the group as fundamentally anti-Hegelian, a charge which collapses as soon as one traces the use of terminology in the works from the late 1920s.

4. Bakhtin and the Theory of the Novel: 1933-1941

The shift in Bakhtin’s thought from Kant towards Hegel is nowhere clearer than in his central works on the novel. This can be seen in the new centrality Bakhtin grants to the history of literature to which Kant had been largely indifferent. As if to stress his indebtedness to German idealism, Bakhtin adopts all of the characteristics of the novel as a genre catalogued by Goethe, Schlegel and Hegel with little modification and traces how the “essence” of the genre “appears” over a course of time. The development of the novel is described in a way distinctly reminiscent of Cassirer’s “symbolic forms” which unfold to present their unique view of the world which is itself a modified version of Hegel’s characterisation of thePhenomenology of Spirit as the representation of “appearing knowledge”. At the same time, however, the novel adopts many of the features of the role of Hegel’s philosophy in its Cassireran guise as the philosophy of culture. Such a philosophy, argued Cassirer, does not attempt to go behind the various image worlds created by the human spirit but “to understand and elucidate their basic formative principle” (The Philosophy of Symbolic Forms vol. 1, Language p.113). The novel, according to the scheme developed by Bakhtin, elucidates this principle with regard both to other literary genres and socio-ideological discourses. The old idealist formulation of the novel’s imperative that it be a “full and comprehensive reflection of its era” is reformulated as “the novel must represent all the ideological voices of its era… all the era’s languages that have any claim to being significant” (411). The novel is a symbolic form, but a specific one in which the “basic formative principle” of symbolic forms becomes visible. The socially stratified national language, heteroglossia in itself, becomes heteroglossia for-itself rather as thought perceives itself as its own object at the climax of Hegel’s Phenomenology.

The novel, for Bakhtin, uncovers the formative principle of discourse, its relationality, dialogism, without presenting some final absolute language of truth such as that which constitutes Hegelian conceptualism. The novel develops into something akin to a visio intellectualis of the sort Cassirer found in the work of Nicholas Cusanus. This is a whole which includes all various viewpoints in its accidentiality and necessity, “the thing seen and the manner and direction of the seeing” (Cassirer The Individual and the Cosmos in Renaissance Philosophy 1963, p.32). No individual perspective is adequate to the whole in itself, for only the concrete totality of perspectives can present the whole:

Languages of heteroglossia, like mirrors that face each other, each of which in its own way reflects a little piece, a tiny corner of the world, force us to guess at and grasp behind their inter-reflecting aspects for a world that is broader, more multi-levelled and multi-horizoned than would be available to one language, one mirror. (Bakhtin Voprosy literatury i estetikipp.225-26)

While this aspect of Bakhtin’s theory of the novel is most likely based on the philosophy of Cassirer, who developed his work as a defence of liberal values in the context of an increasingly chauvinistic atmosphere in Weimar Germany, a different political slant becomes markedly more apparent in Bakhtin’s work of the 1930s. The novelist now becomes the heir of an anti-authoritarian popular cultural strategy to deflate the pretensions of the official language and ideology and institute a popular-collective learning process. The antecedent of this strategy is not German bourgeois liberalism but Russian populism (narodnichestvo). Thus the dialectic of mythical and critical symbolic forms which Cassirer outlined in his philosophy now becomes fused with a dialectic of official and popular socio-cultural forces. On one side stand the forces of cultural centralisation and stabilisation: the “official strata”, unitary language, the literary canon and so on. On the other side stands the decentralising influence of popular culture: popular festivity and collective ridicule, literary parody, and the anti-canonic novel. The rise of the novel is correlated with the collapse of antique unity and the breaking down of cultural boundaries. Where the official culture developed a canon of poetic genres which posited a rarified language in opposition to the common spoken language, presented a monolithically serious worldview and epic accounts of a golden age and heroic beginnings, the novel parodies these features, ridiculing the official culture’s claims to universal validity and the ossified conventionality of canonic forms and language.

The novel is thus a literary expression of a whole socio-cultural process, but this process is rather too broad to be incorporated under the label Bakhtin gives to it without considerable problems with regard to conceptual accuracy. The adjective poetic becomes shorthand for the whole complex of institutional and cultural forms which can be included on the side of officialdom. Thus poetic denotes both a type of discourse used in artistic texts and a hierarchical relation between discourses which constitutes the hegemonic relationships of an unequal society. Correspondingly, novelistic describes both the character of a genre, multi-accented artistic discourse, and an anti-authoritarian relationship between discourses. Another pair of terms which is often used interchangeably with these two is monologic and dialogic. The former denotes a mono-accentual type of discourse and an authoritarian stance towards another discourse. The latter describes a multi-accentual discourse, the relationality of discourse, and an orientation on a monologic discourse which seeks to reveal the ideological structure lurking behind surface appearances. The ground between formal and political terms shifts before the reader, who is constantly reminded of the institutional co-ordinates for all discursive phenomena but is never presented with a sociological account of those co-ordinates. This might be explained both by the ideological restrictions placed on any writer in Stalin’s Russia and by the idealist frame of Bakhtin’s own theory. This ambiguity has allowed very different interpretations of Bakhtin’s work to be drawn, ranging from a tendency to reduce the whole argument to one of artistic forms, leading to a liberalistic formal criticism and attempts to correlate Bakhtin’s argument with the institutional forms of modern capitalist society. Bakhtin’s work has thus become a battleground between (mainly American) liberal academics and (mainly British) anti-Stalinist Marxists.

In its classical phase, Russian populism was, according to Walicki, “opposed to the “abstract intellectualism” of those revolutionaries who tried to teach the peasants, to impose on them the ideals of Western socialism, instead of learning what were their real needs and acting in the name of such interests and ideals of which the peasants had already become aware”. Yet it also suggested an opposition to those Second International Marxists who argued that capitalism was an unavoidable stage in the development of Russia (The Controversy Over Capitalism 1989 p.3). In one sense, then, it was a political ideology compatible with Third International Marxism, but in another it sought to reverse the hegemony of intellectuals over “the people”. Bakhtin’s poet is a hegemonic intellectual whose language relates in an authoritative fashion to the discourse of the masses, while the novelist aims to break and indeed reverse that hegemonic relationship. In Bakhtin’s formulation, the locus of critical forces of culture is the people, while the mythological forces of culture emerge from the official stratum.

Many of the central works on the novel were at least partially written in response to the theory of the novel developed by Georg Lukács. Bakhtin had begun to translate Lukács’ Theory of the Novel in the 1920s but abandoned the project upon learning that Lukács no longer liked the book but in the 1930s, when Lukács accommodated to the Stalin regime and essentially became a right Hegelian, his theory of the novel became canonical. Bakhtin agreed with Lukács that the novel represented the “essence of the age” and that irony constituted a central factor of the novelistic method, but rejected the latter’s assertion that unless the novel revealed the thread of rationality running through a seemingly anarchic world, that is, presented an authoritative perspective, the author had succumbed to bourgeois decadence. Modernist formal experimentation and the dominance of parody in modernist literature Lukács found to be a reflection of “bourgeois decay”, while Bakhtin strove to reveal its popular-democratic roots. The novel should not be seen as a compensation for the restlessness of contemporary society, uncovering the assured road to progress, but the embodiment of the dynamic forces that could shape society in a popular-democratic fashion. Thus where Lukács championed epic closure, Bakhtin highlighted novelistic openendedness; where Lukács advocated a strong narrative presence, Bakhtin advocated the maximalisation of multilingual intersection and the testing of discourse. Bakhtin takes a left Hegelian stance against Lukács; dialogism becomes analogous to Hegel’s Geist, both describing the social whole and standing in judgement over those eras in which the dialogic imperative is not realised.

5. Carnival, History And Popular Culture: Rabelais, Goethe And Dostoyevsky As Philosophers

The high point of Bakhtin’s populism can be seen in his now famous 1965 study of Rabelais and the heavily revised second edition of the 1929 Dostoyevsky book (1963). The former had been composed as Bakhtin’s doctoral dissertation which had been written in the late 1930s but was only prepared for publication when he emerged from obscurity in the 1960s. Tvorchestvo Fransua Rable i narodnaia kul´tura srednevekov´ia i renessansa (The work of François Rabelais and the Popular Culture of the Middle Ages and the Renaissance) is a remarkable work. Bakhtin concentrates on the collapse of the strict hierarchies of the Middle Ages and the beginning of the Renaissance by looking at the way in which ancient modes of living and working collectively, in accordance with the rhythms of nature, re-emerge in the forms of popular culture opposed to official culture. In Problemy poetiki Dostoevskogo (Problems of Dostoyevsky’s Poetics) Bakhtin summarises the essence of the question thus:

It could be said (with certain reservations, of course) that a person of the Middle Ages lived, as it were, two lives: one that was the official life, monolithically serious and gloomy, subjugated to a strict hierarchical order, full of terror, dogmatism, reverence and piety; the other was the life of the carnival square, free and unrestricted, full of ambivalent laughter, blasphemy, the profanation of everything sacred, full of debasing and obscenities, familiar contact with everyone and everything. Both these lives were legitimate, but separated by strict temporal boundaries. (p.129-30)

The activities of the carnival square: collective ridicule of officialdom, inversion of hierarchy, violations of decorum and proportion, celebration of bodily excess and so on embody, for Bakhtin, an implicit popular conception of the world. This conception is not, however, able to become ideologically elaborated until the radical laughter of the square entered into the “world of great literature” (Rabelais p.96). The novel of Rabelais is seen as the epitome of this process of breaking down the rigid, hierarchical world of the Middle Ages and the birth of the modern era. Rabelais is much more than a novelist for Bakhtin: his work embodies a whole new philosophy of history, in which the world is viewed in the process of becoming. The grotesque is the image of this becoming, the boundaries between person and person, person and thing, are erased as the individual merges with the people and the whole cosmos. As the individual body is transcended, the biological body is negated and the “body of historical, progressing mankind” moves to the centre of the system of images. In the carnival focus on death and rebirth the individual body dies, but the body of the people lives and grows, biological life ends but historical life continues.

The carnivalesque becomes a set of image-borne strategies for destabilising the official worldview. In a recently published article written for inclusion in the Soviet Literaturnaia entsiklopediia (Literary Encyclopaedia) in 1940, Bakhtin defines the satirical attitude as the “image-borne negation” of contemporary actuality as inadequacy, which contains within itself a positive moment in which an improved actuality is affirmed. This affirmed actuality is the historical necessity implicit in contemporary actuality and which is implied by the grotesque image. The grotesque, argues Bakhtin, “discloses the potentiality of an entirely different world, of another order, another way of life. It leads man out of the confines of the apparent (false) unity, of the indisputable and stable” (Rabelais p.48). The grotesque image of the body, as an image which reveals incomplete metamorphosis no longer represents itself, it represents what Hegel called the “universal dialectic of life”.

The Renaissance birth of the historical world led to a new development in the Enlightenment. Where Rabelais was presented as the high point of Renaissance literary and philosophical development, the Enlightenment reaches one of its high points in the work of Goethe. The process dispersing the “residue of otherworldly cohesion and mythical unity” was completed at this time, helping “reality to gather itself together and condense into the visible whole of a new world” (Speech Genres and Other Late Essaysp.45). The Enlightenment, argues Bakhtin in a section which draws heavily on Cassirer (the corresponding passage is The Philosophy of the Enlightenment p.197), should no longer be considered an a-historical era, but “an epoch of great awakening of a sense of time, above all … in nature and human life” (p.26). But, argues Bakhtin “this process of preparing for the disclosure of historical time took place more rapidly, completely, and profoundly in literary creativity than in the abstract philosophical, ideological views of Enlightenment thinkers” (p.26). Goethe’s imagination was fundamentally chronotopic, he visualised time in space:

Time and space merge … into an inseparable unity … a definite and absolutely concrete locality serves at the starting point for the creative imagination… this is a piece of human history, historical time condensed into space. Therefore the plot (sum of depicted events) and the characters … are like those creative forces that formulated and humanised this landscape, they made it a speaking vestige of the movement of history (historical time), and, to a certain degree, predetermined its subsequent course as well, or like those creative forces a given locality needs in order to organise and continue the historical process embodied in it. (p.49)

Goethe wanted to “bring together and unite the present, past and future with the ring of necessity” (p.39), to make the present creative. Like Rabelais, Goethe was as much a philosopher as a writer.

The same pattern of analysis shapes the 1963 version of the Dostoyevsky study. Here Dostoyevsky is no longer treated, as in the 1929 version, as a totally original innovator, but as the heir to a tradition rooted in popular culture. The novelist stood poised at the threshold of a new era, as the rigidly hierarchical Russian Empire was poised to give way to the catastrophic arrival of capitalist anarchy and ultimately revolution. Dostoyevsky thus intersected with the threshold poetics of carnival at a different stage in its development, he sought to present the voices of his era in a “pure simultaneity” unrivalled since Dante. In contradistinction to that of Goethe this chronotope was one of visualising relations in terms of space not time and this leads to a philosophical bent that is distinctly messianic:

Only such things as can conceivably be linked at a single point in time are essential and are incorporated into Dostoevskii’s world; such things can be carried over into eternity, for in eternity, according to Dostoevskii, all is simultaneous, everything coexists…. Thus there is no causality in Dostoevskii’s novels, no genesis, no explanations based on the past, on the influences of the environment or of upbringing and so forth. Every act a character commits is in the present, and in this sense is not predetermined; it is conceived of and represented by the author as free. (p.29)

The roots of such a conception lie in carnival and, according to Bakhtin, in the carnivalised philosophical dialogues that constituted the Menippean Satire. This philosophico-literary genre reaches a new stage in Dostoyevsky’s work, where the roots of the novel as a genre stands out particularly clearly. One of those roots was the Socratic Dialogue, which was overwhelmed by the monologic Aristotelian treatise, but which continued to lead a subterranean life in the non-canonical minor satirical genres and then became a constitutive element of the novel form and, implicitly, literary modernism. This accounts for its philosophical importance.

6. Bakhtin’s Last Works

In his last years Bakhtin returned to the methodological questions that had preoccupied his earlier years, though now with a rather different perspective. This began with his work on speech genres in the 1950s, though apart from this study, did not yield any sustained texts until the 1970s. Bakhtin now began to stress the dialogic character of all study in the “human sciences”, the fact that one needs to deal with another “I” who can speak for and about his or herself in a fundamentally different way than with an inanimate and voiceless object. To this end he sought to differentiate his position from that of incipient Soviet structuralism, which adopted the “abstract objectivist” approach to language and the constitution of the subject. Bakhtin’s approach to subjectivity is dialogic, referring to the exchange of utterances rather than narrowly linguistic, and this extends to the analysis of texts which are always intertextual, meeting and illuminating each other. Just as texts have genres, “definite and relatively stable typical forms of construction of the whole” so too does speech. Thus the boundaries between complex genres such as those commonly regarded as literary and other less formalised genres should be seen as porous and flexible, allowing a dialogue of genres as well as styles.

7. Conclusion

The work of the Bakhtin circle is multifaceted and extremely pertinent to contemporary philosophical concerns. Yet their work moves beyond philosophy narrowly defined to encompass anthropology, literary studies, historiography and political theory. The vicissitudes of intellectual life in the Soviet Union have complicated assessment of the work of the circle, as has the way in which the works have been published and translated in recent years. On top of this, the works of the group have been read into a theoretical position framed by present-day concerns over poststructuralism and the fate of the subject in modern philosophy. A proper historical assessment of the work of the Bakhtin Circle will be much aided by the publication of Bakhtin’s Complete Works which will appear over the next few years. This will hopefully be followed by a harmonised English translation which will facilitate an informed assessment in the English speaking world.

Author Information

Craig Brandist
Email: c.s.brandist@sheffield.ac.uk
University of Sheffield
United Kingdom

Francis Bacon (1561—1626)

bacon-francisSir Francis Bacon (later Lord Verulam and the Viscount St. Albans) was an English lawyer, statesman, essayist, historian, intellectual reformer, philosopher, and champion of modern science. Early in his career he claimed “all knowledge as his province” and afterwards dedicated himself to a wholesale revaluation and re-structuring of traditional learning. To take the place of the established tradition (a miscellany of Scholasticism, humanism, and natural magic), he proposed an entirely new system based on empirical and inductive principles and the active development of new arts and inventions, a system whose ultimate goal would be the production of practical knowledge for “the use and benefit of men” and the relief of the human condition.

At the same time that he was founding and promoting this new project for the advancement of learning, Bacon was also moving up the ladder of state service. His career aspirations had been largely disappointed under Elizabeth I, but with the ascension of James his political fortunes rose. Knighted in 1603, he was then steadily promoted to a series of offices, including Solicitor General (1607), Attorney General (1613), and eventually Lord Chancellor (1618). While serving as Chancellor, he was indicted on charges of bribery and forced to leave public office. He then retired to his estate where he devoted himself full time to his continuing literary, scientific, and philosophical work. He died in 1626, leaving behind a cultural legacy that, for better or worse, includes most of the foundation for the triumph of technology and for the modern world as we currently know it.

Table of Contents

  1. Life and Political Career
  2. Thought and Writings
    1. Literary Works
    2. The New Atlantis
    3. Scientific and Philosophical Works
    4. The Great Instauration
    5. The Advancement of Learning
    6. The “Distempers” of Learning
    7. The Idea of Progress
    8. The Reclassification of Knowledge
    9. The New Organon
    10. The Idols
    11. Induction
  3. Reputation and Cultural Legacy
  4. References and Further Reading

1. Life and Political Career

Sir Francis Bacon (later Lord Verulam, the Viscount St. Albans, and Lord Chancellor of England) was born in London in 1561 to a prominent and well-connected family. His parents were Sir Nicholas Bacon, the Lord Keeper of the Seal, and Lady Anne Cooke, daughter of Sir Anthony Cooke, a knight and one-time tutor to the royal family. Lady Anne was a learned woman in her own right, having acquired Greek and Latin as well as Italian and French. She was a sister-in-law both to Sir Thomas Hoby, the esteemed English translator of Castiglione, and to Sir William Cecil (later Lord Burghley), Lord Treasurer, chief counselor to Elizabeth I, and from 1572-1598 the most powerful man in England.

Bacon was educated at home at the family estate at Gorhambury in Herfordshire. In 1573, at the age of just twelve, he entered Trinity College, Cambridge, where the stodgy Scholastic curriculum triggered his lifelong opposition to Aristotelianism (though not to the works of Aristotle himself).

In 1576 Bacon began reading law at Gray’s Inn. Yet only a year later he interrupted his studies in order to take a position in the diplomatic service in France as an assistant to the ambassador. In 1579, while he was still in France, his father died, leaving him (as the second son of a second marriage and the youngest of six heirs) virtually without support. With no position, no land, no income, and no immediate prospects, he returned to England and resumed the study of law.

Bacon completed his law degree in 1582, and in 1588 he was named lecturer in legal studies at Gray’s Inn. In the meantime, he was elected to Parliament in 1584 as a member for Melcombe in Dorsetshire. He would remain in Parliament as a representative for various constituencies for the next 36 years.

In 1593 his blunt criticism of a new tax levy resulted in an unfortunate setback to his career expectations, the Queen taking personal offense at his opposition. Any hopes he had of becoming Attorney General or Solicitor General during her reign were dashed, though Elizabeth eventually relented to the extent of appointing Bacon her Extraordinary Counsel in 1596.

It was around this time that Bacon entered the service of Robert Devereux, the Earl of Essex, a dashing courtier, soldier, plotter of intrigue, and sometime favorite of the Queen. No doubt Bacon viewed Essex as a rising star and a figure who could provide a much-needed boost to his own sagging career. Unfortunately, it was not long before Essex’s own fortunes plummeted following a series of military and political blunders culminating in a disastrous coup attempt. When the coup plot failed, Devereux was arrested, tried, and eventually executed, with Bacon, in his capacity as Queen’s Counsel, playing a vital role in the prosecution of the case.

In 1603, James I succeeded Elizabeth, and Bacon’s prospects for advancement dramatically improved. After being knighted by the king, he swiftly ascended the ladder of state and from 1604-1618 filled a succession of high-profile advisory positions:

  • 1604 – Appointed King’s Counsel.
  • 1607 – Named Solicitor General.
  • 1608 – Appointed Clerk of the Star Chamber.
  • 1613 – Appointed Attorney General.
  • 1616 – Made a member of the Privy Council.
  • 1617 – Appointed Lord Keeper of the Royal Seal (his father’s former office).
  • 1618 – Made Lord Chancellor.

As Lord Chancellor, Bacon wielded a degree of power and influence that he could only have imagined as a young lawyer seeking preferment. Yet it was at this point, while he stood at the very pinnacle of success, that he suffered his great Fall. In 1621 he was arrested and charged with bribery. After pleading guilty, he was heavily fined and sentenced to a prison term in the Tower of London. Although the fine was later waived and Bacon spent only four days in the Tower, he was never allowed to sit in Parliament or hold political office again.

The entire episode was a terrible disgrace for Bacon personally and a stigma that would cling to and injure his reputation for years to come. As various chroniclers of the case have pointed out, the accepting of gifts from suppliants in a law suit was a common practice in Bacon’s day, and it is also true that Bacon ended up judging against the two petitioners who had offered the fateful bribes. Yet the damage was done, and Bacon to his credit accepted the judgment against him without excuse. According to his own Essayes, or Counsels, he should have known and done better. (In this respect it is worth noting that during his forced retirement, Bacon revised and republished the Essayes, injecting an even greater degree of shrewdness into a collection already notable for its worldliness and keen political sense.) Macaulay in a lengthy essay declared Bacon a great intellect but (borrowing a phrase from Bacon’s own letters) a “most dishonest man,” and more than one writer has characterized him as cold, calculating, and arrogant. Yet whatever his flaws, even his enemies conceded that during his trial he accepted his punishment nobly, and moved on.

Bacon spent his remaining years working with renewed determination on his lifelong project: the reform of learning and the establishment of an intellectual community dedicated to the discovery of scientific knowledge for the “use and benefit of men.” The former Lord Chancellor died on 9 April, 1626, supposedly of a cold or pneumonia contracted while testing his theory of the preservative and insulating properties of snow.

2. Thought and Writings

In a way Bacon’s descent from political power was a fortunate fall, for it represented a liberation from the bondage of public life resulting in a remarkable final burst of literary and scientific activity. As Renaissance scholar and Bacon expert Brian Vickers has reminded us, Bacon’s earlier works, impressive as they are, were essentially products of his “spare time.” It was only during his last five years that he was able to concentrate exclusively on writing and produce, in addition to a handful of minor pieces:

  • Two substantial volumes of history and biography, The History of the Reign of King Henry the Seventh and The History of the Reign of King Henry the Eighth.
  • De Augmentis Scientiarum (an expanded Latin version of his earlier Advancement of Learning).
  • The final 1625 edition of his Essayes, or Counsels.
  • The remarkable Sylva Sylvarum, or A Natural History in Ten Centuries (a curious hodge-podge of scientific experiments, personal observations, speculations, ancient teachings, and analytical discussions on topics ranging from the causes of hiccups to explanations for the shortage of rain in Egypt). Artificially divided into ten “centuries” (that is, ten chapters, each consisting of one hundred items), the work was apparently intended to be included in Part Three of the Magna Instauratio.
  • His utopian science-fiction novel The New Atlantis, which was published in unfinished form a year after his death.
  • Various parts of his unfinished magnum opus Magna Instauratio (or Great Instauration), including a “Natural History of Winds” and a “Natural History of Life and Death.”

These late productions represented the capstone of a writing career that spanned more than four decades and encompassed virtually an entire curriculum of literary, scientific, and philosophical studies.

a. Literary Works

Despite the fanatical claims (and very un-Baconian credulity) of a few admirers, it is a virtual certainty that Bacon did not write the works traditionally attributed to William Shakespeare. Even so, the Lord Chancellor’s high place in the history of English literature as well as his influential role in the development of English prose style remain well-established and secure. Indeed even if Bacon had produced nothing else but his masterful Essayes (first published in 1597 and then revised and expanded in 1612 and 1625), he would still rate among the top echelon of 17th-century English authors. And so when we take into account his other writings, e.g., his histories, letters, and especially his major philosophical and scientific works, we must surely place him in the first rank of English literature’s great men of letters and among its finest masters (alongside names like Johnson, Mill, Carlyle, and Ruskin) of non-fiction prose.

Bacon’s style, though elegant, is by no means as simple as it seems or as it is often described. In fact it is actually a fairly complex affair that achieves its air of ease and clarity more through its balanced cadences, natural metaphors, and carefully arranged symmetries than through the use of plain words, commonplace ideas, and straightforward syntax. (In this connection it is noteworthy that in the revised versions of the essays Bacon seems to have deliberately disrupted many of his earlier balanced effects to produce a style that is actually more jagged and, in effect, more challenging to the casual reader.)

Furthermore, just as Bacon’s personal style and living habits were prone to extravagance and never particularly austere, so in his writing he was never quite able to resist the occasional grand word, magniloquent phrase, or orotund effect. (As Dr. Johnson observed, “A dictionary of the English language might be compiled from Bacon’s works alone.”) Bishop Sprat in his 1667 History of the Royal Society honored Bacon and praised the society membership for supposedly eschewing fine words and fancy metaphors and adhering instead to a natural lucidity and “mathematical plainness.” To write in such a way, Sprat suggested, was to follow true, scientific, Baconian principles. And while Bacon himself often expressed similar sentiments (praising blunt expression while condemning the seductions of figurative language), a reader would be hard pressed to find many examples of such spare technique in Bacon’s own writings. Of Bacon’s contemporary readers, at least one took exception to the view that his writing represented a perfect model of plain language and transparent meaning. After perusing the New Organon, King James (to whom Bacon had proudly dedicated the volume) reportedly pronounced the work “like the peace of God, which passeth all understanding.”

b. The New Atlantis

As a work of narrative fiction, Bacon’s novel New Atlantis may be classified as a literary rather than a scientific (or philosophical) work, though it effectively belongs to both categories. According to Bacon’s amanuensis and first biographer William Rawley, the novel represents the first part (showing the design of a great college or institute devoted to the interpretation of nature) of what was to have been a longer and more detailed project (depicting the entire legal structure and political organization of an ideal commonwealth). The work thus stands in the great tradition of the utopian-philosophical novel that stretches from Plato and More to Huxley and Skinner.

The thin plot or fable is little more than a fictional shell to contain the real meat of Bacon’s story: the elaborate description of Salomon’s House (also known as the College of the Six Days Works), a centrally organized research facility where specially trained teams of investigators collect data, conduct experiments, and (most importantly from Bacon’s point of view) apply the knowledge they gain to produce “things of use and practice for man’s life.” These new arts and inventions they eventually share with the outside world.

In terms of its sci-fi adventure elements, the New Atlantis is about as exciting as a government or university re-organization plan. But in terms of its historical impact, the novel has proven to be nothing less than revolutionary, having served not only as an effective inspiration and model for the British Royal Society, but also as an early blueprint and prophecy of the modern research center and international scientific community.

c. Scientific and Philosophical Works

It is never easy to summarize the thought of a prolific and wide-ranging philosopher. Yet Bacon somewhat simplifies the task by his own helpful habits of systematic classification and catchy mnemonic labeling. (Thus, for example, there are three “distempers” – or diseases – of learning,” eleven errors or “peccant humours,” four “Idols,” three primary mental faculties and categories of knowledge, etc.) In effect, by following Bacon’s own methods it is possible to produce a convenient outline or overview of his main scientific and philosophical ideas.

d. The Great Instauration

As early as 1592, in a famous letter to his uncle, Lord Burghley, Bacon declared “all knowledge” to be his province and vowed his personal commitment to a plan for the full-scale rehabilitation and reorganization of learning. In effect, he dedicated himself to a long-term project of intellectual reform, and the balance of his career can be viewed as a continuing effort to make good on that pledge. In 1620, while he was still at the peak of his political success, he published the preliminary description and plan for an enormous work that would fully answer to his earlier declared ambitions. The work, dedicated to James, was to be called Magna Instauratio (that is, the “grand edifice” or Great Instauration), and it would represent a kind of summa or culmination of all Bacon’s thought on subjects ranging from logic and epistemology to practical science (or what in Bacon’s day was called “natural philosophy,” the word science being then but a general synonym for “wisdom” or “learning”).

Like several of Bacon’s projects, the Instauratio in its contemplated form was never finished. Of the intended six parts, only the first two were completed, while the other portions were only partly finished or barely begun. Consequently, the work as we have it is less like the vast but well-sculpted monument that Bacon envisioned than a kind of philosophical miscellany or grab-bag. Part I of the project, De Dignitate et Augmentis Scientiarum (“Nine Books of the Dignity and Advancement of Learning”), was published in 1623. It is basically an enlarged version of the earlier Proficience and Advancement of Learning, which Bacon had presented to James in 1605. Part II, the Novum Organum (or “New Organon”) provides the author’s detailed explanation and demonstration of the correct procedure for interpreting nature. It first appeared in 1620. Together these two works present the essential elements of Bacon’s philosophy, including most of the major ideas and principles that we have come to associate with the terms “Baconian” and “Baconianism.”

e. The Advancement of Learning

Relatively early in his career Bacon judged that, owing mainly to an undue reverence for the past (as well as to an excessive absorption in cultural vanities and frivolities), the intellectual life of Europe had reached a kind of impasse or standstill. Yet he believed there was a way beyond this stagnation if persons of learning, armed with new methods and insights, would simply open their eyes and minds to the world around them. This at any rate was the basic argument of his seminal 1605 treatise The Proficience and Advancement of Learning, arguably the first important philosophical work to be published in English.

It is in this work that Bacon sketched out the main themes and ideas that he continued to refine and develop throughout his career, beginning with the notion that there are clear obstacles to or diseases of learning that must be avoided or purged before further progress is possible.

f. The “Distempers” of Learning

“There be therefore chiefly three vanities in studies, whereby learning hath been most traduced.” Thus Bacon, in the first book of the Advancement. He goes on to refer to these vanities as the three “distempers” of learning and identifies them (in his characteristically memorable fashion) as “fantastical learning,” “contentious learning,” and “delicate learning” (alternatively identified as “vain imaginations,” “vain altercations,” and “vain affectations”).

By fantastical learning (“vain imaginations”) Bacon had in mind what we would today call pseudo-science: i.e., a collection of ideas that lack any real or substantial foundation, that are professed mainly by occultists and charlatans, that are carefully shielded from outside criticism, and that are offered largely to an audience of credulous true believers. In Bacon’s day such “imaginative science” was familiar in the form of astrology, natural magic, and alchemy.

By contentious learning (“vain altercations”) Bacon was referring mainly to Aristotelian philosophy and theology and especially to the Scholastic tradition of logical hair-splitting and metaphysical quibbling. But the phrase applies to any intellectual endeavor in which the principal aim is not new knowledge or deeper understanding but endless debate cherished for its own sake.

Delicate learning (“vain affectations”) was Bacon’s label for the new humanism insofar as (in his view) it seemed concerned not with the actual recovery of ancient texts or the retrieval of past knowledge but merely with the revival of Ciceronian rhetorical embellishments and the reproduction of classical prose style. Such preoccupation with “words more than matter,” with “choiceness of phrase” and the “sweet falling of clauses” – in short, with style over substance – seemed to Bacon (a careful stylist in his own right) the most seductive and decadent literary vice of his age.

Here we may note that from Bacon’s point of view the “distempers” of learning share two main faults:

  1. Prodigal ingenuity – i.e., each distemper represents a lavish and regrettable waste of talent, as inventive minds that might be employed in more productive pursuits exhaust their energy on trivial or puerile enterprises instead.
  2. Sterile results – i.e., instead of contributing to the discovery of new knowledge (and thus to a practical “advancement of learning” and eventually to a better life for all), the distempers of learning are essentially exercises in personal vainglory that aim at little more than idle theorizing or the preservation of older forms of knowledge.

In short, in Bacon’s view the distempers impede genuine intellectual progress by beguiling talented thinkers into fruitless, illusory, or purely self-serving ventures. What is needed – and this is a theme reiterated in all his later writings on learning and human progress – is a program to re-channel that same creative energy into socially useful new discoveries.

g. The Idea of Progress

Though it is hard to pinpoint the birth of an idea, for all intents and purposes the modern idea of technological “progress” (in the sense of a steady, cumulative, historical advance in applied scientific knowledge) began with Bacon’s The Advancement of Learning and became fully articulated in his later works.

Knowledge is power, and when embodied in the form of new technical inventions and mechanical discoveries it is the force that drives history – this was Bacon’s key insight. In many respects this idea was his single greatest invention, and it is all the more remarkable for its having been conceived and promoted at a time when most English and European intellectuals were either reverencing the literary and philosophical achievements of the past or deploring the numerous signs of modern degradation and decline. Indeed, while Bacon was preaching progress and declaring a brave new dawn of scientific advance, many of his colleagues were persuaded that the world was at best creaking along towards a state of senile immobility and eventual darkness. “Our age is iron, and rusty too,” wrote John Donne, contemplating the signs of universal decay in a poem published six years after Bacon’s Advancement.

That history might in fact be progressive, i.e., an onward and upward ascent – and not, as Aristotle had taught, merely cyclical or, as cultural pessimists from Hesiod to Spengler have supposed, a descending or retrograde movement, became for Bacon an article of secular faith which he propounded with evangelical force and a sense of mission. In the Advancement, the idea is offered tentatively, as a kind of hopeful hypothesis. But in later works such as the New Organon, it becomes almost a promised destiny: Enlightenment and a better world, Bacon insists, lie within our power; they require only the cooperation of learned citizens and the active development of the arts and sciences.

h. The Reclassification of Knowledge

In Book II of De Dignitate (his expanded version of the Advancement) Bacon outlines his scheme for a new division of human knowledge into three primary categories: History, Poesy, and Philosophy (which he associates respectively with the three fundamental “faculties” of mind – memory, imagination, and reason). Although the exact motive behind this reclassification remains unclear, one of its main consequences seems unmistakable: it effectively promotes philosophy – and especially Baconian science – above the other two branches of knowledge, in essence defining history as the mere accumulation of brute facts, while reducing art and imaginative literature to the even more marginal status of “feigned history.”

Evidently Bacon believed that in order for a genuine advancement of learning to occur, the prestige of philosophy (and particularly natural philosophy) had to be elevated, while that of history and literature (in a word, humanism) needed to be reduced. Bacon’s scheme effectively accomplishes this by making history (the domain of fact, i.e., of everything that has happened) a virtual sub-species of philosophy (the domain of realistic possibility, i.e., of everything that can theoretically or actually occur). Meanwhile, poesy (the domain of everything that is imaginable or conceivable) is set off to the side as a mere illustrative vehicle. In essence, it becomes simply a means of recreating actual scenes or events from the past (as in history plays or heroic poetry) or of allegorizing or dramatizing new ideas or future possibilities (as in Bacon’s own interesting example of “parabolic poesy,” the New Atlantis.)

i. The New Organon

To the second part of his Great Instauration Bacon gave the title New Organon (or “True Directions concerning the Interpretation of Nature”). The Greek word organon means “instrument” or “tool,” and Bacon clearly felt he was supplying a new instrument for guiding and correcting the mind in its quest for a true understanding of nature. The title also glances at Aristotle’s Organon (a collection that includes his Categories and his Prior and Posterior Analytics) and thus suggests a “new instrument” destined to transcend or replace the older, no longer serviceable one. (This notion of surpassing ancient authority is aptly illustrated on the frontispiece of the 1620 volume containing the New Organon by a ship boldly sailing beyond the mythical pillars of Hercules, which supposedly marked the end of the known world.)

The New Organon is presented not in the form of a treatise or methodical demonstration but as a series of aphorisms, a technique that Bacon came to favor as less legislative and dogmatic and more in the true spirit of scientific experiment and critical inquiry. Combined with his gift for illustrative metaphor and symbol, the aphoristic style makes the New Organon in many places the most readable and literary of all Bacon’s scientific and philosophical works.

j. The Idols

In Book I of the New Organon (Aphorisms 39-68), Bacon introduces his famous doctrine of the “idols.” These are characteristic errors, natural tendencies, or defects that beset the mind and prevent it from achieving a full and accurate understanding of nature. Bacon points out that recognizing and counteracting the idols is as important to the study of nature as the recognition and refutation of bad arguments is to logic. Incidentally, he uses the word “idol” – from the Greek eidolon (“image” or “phantom”) – not in the sense of a false god or heathen deity but rather in the sense employed in Epicurean physics. Thus a Baconian idol is a potential deception or source of misunderstanding, especially one that clouds or confuses our knowledge of external reality.

Bacon identifies four different classes of idol. Each arises from a different source, and each presents its own special hazards and difficulties.

1. The Idols of the Tribe.

These are the natural weaknesses and tendencies common to human nature. Because they are innate, they cannot be completely eliminated, but only recognized and compensated for. Some of Bacon’s examples are:

  • Our senses – which are inherently dull and easily deceivable. (Which is why Bacon prescribes instruments and strict investigative methods to correct them.)
  • Our tendency to discern (or even impose) more order in phenomena than is actually there. As Bacon points out, we are apt to find similitude where there is actually singularity, regularity where there is actually randomness, etc.
  • Our tendency towards “wishful thinking.” According to Bacon, we have a natural inclination to accept, believe, and even prove what we would prefer to be true.
  • Our tendency to rush to conclusions and make premature judgments (instead of gradually and painstakingly accumulating evidence).

2. The Idols of the Cave.

Unlike the idols of the tribe, which are common to all human beings, those of the cave vary from individual to individual. They arise, that is to say, not from nature but from culture and thus reflect the peculiar distortions, prejudices, and beliefs that we are all subject to owing to our different family backgrounds, childhood experiences, education, training, gender, religion, social class, etc. Examples include:

  • Special allegiance to a particular discipline or theory.
  • High esteem for a few select authorities.
  • A “cookie-cutter” mentality – that is, a tendency to reduce or confine phenomena within the terms of our own narrow training or discipline.

3. The Idols of the Market Place.

These are hindrances to clear thinking that arise, Bacon says, from the “intercourse and association of men with each other.” The main culprit here is language, though not just common speech, but also (and perhaps particularly) the special discourses, vocabularies, and jargons of various academic communities and disciplines. He points out that “the idols imposed by words on the understanding are of two kinds”: “they are either names of things that do not exist” (e.g., the crystalline spheres of Aristotelian cosmology) or faulty, vague, or misleading names for things that do exist (according to Bacon, abstract qualities and value terms – e.g., “moist,” “useful,” etc. – can be a particular source of confusion).

4. The Idols of the Theatre.

Like the idols of the cave, those of the theatre are culturally acquired rather than innate. And although the metaphor of a theatre suggests an artificial imitation of truth, as in drama or fiction, Bacon makes it clear that these idols derive mainly from grand schemes or systems of philosophy – and especially from three particular types of philosophy:

  • Sophistical Philosophy – that is, philosophical systems based only on a few casually observed instances (or on no experimental evidence at all) and thus constructed mainly out of abstract argument and speculation. Bacon cites Scholasticism as a conspicuous example.
  • Empirical Philosophy – that is, a philosophical system ultimately based on a single key insight (or on a very narrow base of research), which is then erected into a model or paradigm to explain phenomena of all kinds. Bacon cites the example of William Gilbert, whose experiments with the lodestone persuaded him that magnetism operated as the hidden force behind virtually all earthly phenomena.
  • Superstitious Philosophy – this is Bacon’s phrase for any system of thought that mixes theology and philosophy. He cites Pythagoras and Plato as guilty of this practice, but also points his finger at pious contemporary efforts, similar to those of Creationists today, to found systems of natural philosophy on Genesis or the book of Job.

k. Induction

At the beginning of the Magna Instauratio and in Book II of the New Organon, Bacon introduces his system of “true and perfect Induction,” which he proposes as the essential foundation of scientific method and a necessary tool for the proper interpretation of nature. (This system was to have been more fully explained and demonstrated in Part IV of the Instauratio in a section titled “The Ladder of the Intellect,” but unfortunately the work never got beyond an introduction.)

According to Bacon, his system differs not only from the deductive logic and mania for syllogisms of the Schoolmen, but also from the classic induction of Aristotle and other logicians. As Bacon explains it, classic induction proceeds “at once from . . . sense and particulars up to the most general propositions” and then works backward (via deduction) to arrive at intermediate propositions. Thus, for example, from a few observations one might conclude (via induction) that “all new cars are shiny.” One would then be entitled to proceed backward from this general axiom to deduce such middle-level axioms as “all new Lexuses are shiny,” “all new Jeeps are shiny,” etc. – axioms that presumably would not need to be verified empirically since their truth would be logically guaranteed as long as the original generalization (“all new cars are shiny”) is true.

As Bacon rightly points out, one problem with this procedure is that if the general axioms prove false, all the intermediate axioms may be false as well. All it takes is one contradictory instance (in this case one new car with a dull finish) and “the whole edifice tumbles.” For this reason Bacon prescribes a different path. His method is to proceed “regularly and gradually from one axiom to another, so that the most general are not reached till the last.” In other words, each axiom – i.e., each step up “the ladder of intellect” – is thoroughly tested by observation and experimentation before the next step is taken. In effect, each confirmed axiom becomes a foothold to a higher truth, with the most general axioms representing the last stage of the process.

Thus, in the example described, the Baconian investigator would be obliged to examine a full inventory of new Chevrolets, Lexuses, Jeeps, etc., before reaching any conclusions about new cars in general. And while Bacon admits that such a method can be laborious, he argues that it eventually produces a stable edifice of knowledge instead of a rickety structure that collapses with the appearance of a single disconfirming instance. (Indeed, according to Bacon, when one follows his inductive procedure, a negative instance actually becomes something to be welcomed rather than feared. For instead of threatening an entire assembly, the discovery of a false generalization actually saves the investigator the trouble of having to proceed further in a particular direction or line of inquiry. Meanwhile the structure of truth that he has already built remains intact.)

Is Bacon’s system, then, a sound and reliable procedure, a strong ladder leading from carefully observed particulars to true and “inevitable” conclusions? Although he himself firmly believed in the utility and overall superiority of his method, many of his commentators and critics have had doubts. For one thing, it is not clear that the Baconian procedure, taken by itself, leads conclusively to any general propositions, much less to scientific principles or theoretical statements that we can accept as universally true. For at what point is the Baconian investigator willing to make the leap from observed particulars to abstract generalizations? After a dozen instances? A thousand? The fact is, Bacon’s method provides nothing to guide the investigator in this determination other than sheer instinct or professional judgment, and thus the tendency is for the investigation of particulars – the steady observation and collection of data – to go on continuously, and in effect endlessly.

One can thus easily imagine a scenario in which the piling up of instances becomes not just the initial stage in a process, but the very essence of the process itself; in effect, a zealous foraging after facts (in the New Organon Bacon famously compares the ideal Baconian researcher to a busy bee) becomes not only a means to knowledge, but an activity vigorously pursued for its own sake. Every scientist and academic person knows how tempting it is to put off the hard work of imaginative thinking in order to continue doing some form of rote research. Every investigator knows how easy it is to become wrapped up in data – with the unhappy result that one’s intended ascent up the Baconian ladder gets stuck in mundane matters of fact and never quite gets off the ground.

It was no doubt considerations like these that prompted the English physician (and neo-Aristotelian) William Harvey, of circulation-of-the-blood fame, to quip that Bacon wrote of natural philosophy “like a Lord Chancellor” – indeed like a politician or legislator rather than a practitioner. The assessment is just to the extent that Bacon in the New Organon does indeed prescribe a new and extremely rigid procedure for the investigation of nature rather than describe the more or less instinctive and improvisational – and by no means exclusively empirical – method that Kepler, Galileo, Harvey himself, and other working scientists were actually employing. In fact, other than Tycho Brahe, the Danish astronomer who, overseeing a team of assistants, faithfully observed and then painstakingly recorded entire volumes of astronomical data in tidy, systematically arranged tables, it is doubtful that there is another major figure in the history of science who can be legitimately termed an authentic, true-blooded Baconian. (Darwin, it is true, claimed that The Origin of Species was based on “Baconian principles.” However, it is one thing to collect instances in order to compare species and show a relationship among them; it is quite another to theorize a mechanism, namely evolution by mutation and natural selection, that elegantly and powerfully explains their entire history and variety.)

Science, that is to say, does not, and has probably never advanced according to the strict, gradual, ever-plodding method of Baconian observation and induction. It proceeds instead by unpredictable – and often intuitive and even (though Bacon would cringe at the word) imaginative – leaps and bounds. Kepler used Tycho’s scrupulously gathered data to support his own heart-felt and even occult belief that the movements of celestial bodies are regular and symmetrical, composing a true harmony of the spheres. Galileo tossed unequal weights from the Leaning Tower as a mere public demonstration of the fact (contrary to Aristotle) that they would fall at the same rate. He had long before satisfied himself that this would happen via the very un-Bacon-like method of mathematical reasoning and deductive thought-experiment. Harvey, by a similar process of quantitative analysis and deductive logic, knew that the blood must circulate, and it was only to provide proof of this fact that he set himself the secondary task of amassing empirical evidence and establishing the actual method by which it did so.

One could enumerate – in true Baconian fashion – a host of further instances. But the point is already made: advances in scientific knowledge have not been achieved for the most part via Baconian induction (which amounts to a kind of systematic and exhaustive survey of nature supposedly leading to ultimate insights) but rather by shrewd hints and guesses – in a word by hypotheses – that are then either corroborated or (in Karl Popper’s important term) falsified by subsequent research.

In summary, then, it can be said that Bacon underestimated the role of imagination and hypothesis (and overestimated the value of minute observation and bee-like data collection) in the production of new scientific knowledge. And in this respect it is true that he wrote of science like a Lord Chancellor, regally proclaiming the benefits of his own new and supposedly foolproof technique instead of recognizing and adapting procedures that had already been tested and approved. On the other hand, it must be added that Bacon did not present himself (or his method) as the final authority on the investigation of nature or, for that matter, on any other topic or issue relating to the advance of knowledge. By his own admission, he was but the Buccinator, or “trumpeter,” of such a revolutionary advance – not the founder or builder of a vast new system, but only the herald or announcing messenger of a new world to come.

3. Reputation and Cultural Legacy

If anyone deserves the title “universal genius” or “Renaissance man” (accolades traditionally reserved for those who make significant, original contributions to more than one professional discipline or area of learning), Bacon clearly merits the designation. Like Leonardo and Goethe, he produced important work in both the arts and sciences. Like Cicero, Marcus Aurelius, Benjamin Franklin, and Thomas Jefferson, he combined wide and ample intellectual and literary interests (from practical rhetoric and the study of nature to moral philosophy and educational reform) with a substantial political career. Like his near contemporary Machiavelli, he excelled in a variety of literary genres – from learned treatises to light entertainments – though, also like the great Florentine writer, he thought of himself mainly as a political statesman and practical visionary: a man whose primary goal was less to obtain literary laurels for himself than to mold the agendas and guide the policy decisions of powerful nobles and heads of state.

In our own era Bacon would be acclaimed as a “public intellectual,” though his personal record of service and authorship would certainly dwarf the achievements of most academic and political leaders today. Like nearly all public figures, he was controversial. His chaplain and first biographer William Rawley declared him “the glory of his age and nation” and portrayed him as an angel of enlightenment and social vision. His admirers in the Royal Society (an organization that traced its own inspiration and lineage to the Lord Chancellor’s writings) viewed him as nothing less than the daring originator of a new intellectual era. The poet Abraham Cowley called him a “Moses” and portrayed him as an exalted leader who virtually all by himself had set learning on a bold, firm, and entirely new path:

Bacon at last, a mighty Man, arose

Whom a wise King and Nature chose

Lord Chancellour of both their Lawes. . . .

The barren Wilderness he past,

Did on the very Border stand

Of the great promis’d Land,

And from the Mountains Top of his Exalted Wit,

Saw it himself and shew’d us it. . . .

Similarly adulatory if more prosaic assessments were offered by learned contemporaries or near contemporaries from Descartes and Gassendi to Robert Hooke and Robert Boyle. Leibniz was particularly generous and observed that, compared to Bacon’s philosophical range and lofty vision, even a great genius like Descartes “creeps on the ground.” On the other hand, Spinoza, another close contemporary, dismissed Bacon’s work (especially his inductive theories) completely and in effect denied that the supposedly grand philosophical revolution decreed by Bacon, and welcomed by his partisans, had ever occurred.

The response of the later Enlightenment was similarly divided, with a majority of thinkers lavishly praising Bacon while a dissenting minority castigated or even ridiculed him. The French encyclopedists Jean d’Alembert and Denis Diderot sounded the keynote of this 18th-century re-assessment, essentially hailing Bacon as a founding father of the modern era and emblazoning his name on the front page of the Encyclopedia. In a similar gesture, Kant dedicated his Critique of Pure Reason to Bacon and likewise saluted him as an early architect of modernity. Hegel, on the other hand, took a dimmer view. In his “Lectures on the History of Philosophy” he congratulated Bacon on his worldly sophistication and shrewdness of mind, but ultimately judged him to be a person of depraved character and a mere “coiner of mottoes.” In his view, the Lord Chancellor was a decidedly low-minded (read typically English and utilitarian) philosopher whose instruction was fit mainly for “civil servants and shopkeepers.”

Probably the fullest and most perceptive Enlightenment account of Bacon’s achievement and place in history was Voltaire’s laudatory essay in his Letters on the English. After referring to Bacon as the father of experimental philosophy, he went on to assess his literary merits, judging him to be an elegant, instructive, and witty writer, though too much given to “fustian.”

Bacon’s reputation and legacy remain controversial even today. While no historian of science or philosophy doubts his immense importance both as a proselytizer on behalf of the empirical method and as an advocate of sweeping intellectual reform, opinion varies widely as to the actual social value and moral significance of the ideas that he represented and effectively bequeathed to us. The issue basically comes down to one’s estimate of or sympathy for the entire Enlightenment/Utilitarian project. Those who for the most part share Bacon’s view that nature exists mainly for human use and benefit, and who furthermore endorse his opinion that scientific inquiry should aim first and foremost at the amelioration of the human condition and the “relief of man’s estate,” generally applaud him as a great social visionary. On the other hand, those who view nature as an entity in its own right, a higher-order estate of which the human community is only a part, tend to perceive him as a kind of arch-villain – the evil originator of the idea of science as the instrument of global imperialism and technological conquest.

On the one side, then, we have figures like the anthropologist and science writer Loren Eiseley, who portrays Bacon (whom he calls “the man who saw through time”) as a kind of Promethean culture hero. He praises Bacon as the great inventor of the idea of science as both a communal enterprise and a practical discipline in the service of humanity. On the other side, we have writers, from Theodor Adorno, Max Horkheimer, and Lewis Mumford to, more recently, Jeremy Rifkin and eco-feminist Carolyn Merchant, who have represented him as one of the main culprits behind what they perceive as western science’s continuing legacy of alienation, exploitation, and ecological oppression.

Clearly somewhere in between this ardent Baconolotry on the one hand and strident demonization of Bacon on the other lies the real Lord Chancellor: a Colossus with feet of clay. He was by no means a great system-builder (indeed his Magna Instauratio turned out to be less of a “grand edifice” than a magnificent heap) but rather, as he more modestly portrayed himself, a great spokesman for the reform of learning and a champion of modern science. In the end we can say that he was one of the giant figures of intellectual history – and as brilliant, and flawed, a philosopher as he was a statesman.

4. References and Further Reading

Note: The standard edition of Bacon’s Works and Letters and Life is still that of James Spedding, et. al., (14 volumes, London, 1857- 1874), also available in a facsimile reprint (Stuttgart, 1989).

  • Adorno, Theodor and Max Horkheimer. The Dialectic of Enlightenment. 1944.
  • Anderson, F. H. Francis Bacon: His Career and His Thought. Los Angeles: University of Southern California Press, 1962.
  • Bury, J.B. The Idea of Progress. London: MacMillan, 1920.
  • Eiseley, Loren. The Man Who Saw Through Time. New York: Scribners, 1973.
  • Fish, Stanley E. “The Experience of Bacon’s Essays.” In Self-Consuming Artifacts. Berkeley, CA: University of California Press, 1972.
  • Gaukroger, Stephen. Francis Bacon and the Transformation of Early-modern Philosophy. Cambridge, U.K. ; New York : Cambridge University Press, 2001.
  • Merchant, Carolyn. The Death of Nature: Women, Ecology, and the Scientific Revolution. San Francisco: Harper and Row, 1980.
  • Mumford, Lewis. Technics and Civilization. 1934.
  • Lampert, Laurence. Nietzsche and Modern Times : A Study of Bacon, Descartes, and Nietzsche. New Haven, Conn.: Yale University Press, 1993.
  • Rifkin, Jeremy. Biosphere Politics. New York: Crown, 1991.
  • Rossi, Paolo. Francis Bacon: from Magic to Science. Trans. Sacha Rabinovitch. Chicago: University of Chicago Press, 1968.
  • Vickers, Brian. Francis Bacon. Harlow, UK: Longman Group, 1978.
  • Vickers, Brian, Ed. Francis Bacon. New York : Oxford University Press, 1996.
  • Whitney, Charles. Francis Bacon and Modernity. New Haven, CN: Yale University Press, 1986.

Author Information

David Simpson
Email: dsimpson@condor.depaul.edu
DePaul University
U. S. A.

Cyrenaics

The Cyrenaics are one of the minor Socratic schools. The school was founded by Aristippus, a follower of Socrates. The Cyrenaics are notable mainly for their empiricist and skeptical epistemology and their sensualist hedonism. They believe that we can have certain knowledge of our immediate states of perceptual awareness, for example, that I am seeing white now. However, we cannot go beyond these experiences to gain any knowledge about the objects themselves that cause these experiences or about the external world in general. Some of their arguments prefigure the positions of later Greek skeptics, and their distinction between the incorrigibility of immediate perceptual states versus the uncertainty of belief about the external world became key to the epistemological problems confronting philosophers of the ‘modern’ period, such as Descartes and Hume. In ethics, they advocate pleasure as the highest good. Furthermore, bodily pleasures are preferable to mental pleasures, and we should pursue whatever will bring us pleasure now, rather than deferring present pleasures for the sake of achieving better long-term consequences. In all these respects, their iconoclastic and ‘crude’ hedonism stands well outside the mainstream of Greek ethical thought, and their theories were often contrasted with Epicurus’ more moderate hedonism.

Table of Contents

  1. History
  2. Epistemology
    1. Experiences and Their Causes
      1. The Relativity of Perception
      2. The Privacy of Experience and the Problem of Other Minds
    2. The Cyrenaics, Relativism, and Skepticism
      1. The Cyrenaics and Protagoras
      2. The Cyrenaics and Pyrrhonian Skeptics
  3. Ethics
    1. The Value and Nature of Pleasure
    2. Pleasure, Happiness, and Prudence
      1. Personal Identity and Momentary Pleasure
      2. The Self-Defeating Nature of Future-Concern
      3. Present Preferences and Future-Concern
    3. Custom, Morality, and Friendship
    4. Later Cyrenaics
      1. Hegesias
      2. Anniceris
      3. Theodorus
  4. Ancient Sources
  5. References and Further Reading

1. History

The Cyrenaic school was founded by Aristippus (c. 435-356 B.C.), a follower of Socrates and a rough contemporary of Plato. The name ‘Cyrenaic’ comes from Cyrene, Aristippus’ home town, a Greek colony in Northern Africa. Aristippus taught philosophy to his daughter Arete, who in turn taught philosophy to her son Aristippus. Aristippus the younger formulated many of the theories of the Cyrenaic school, so that some scholars count him as being more properly the founder of the school, with Aristippus the Elder being merely the school’s figurehead. However, disentangling the exact contributions of the two to the Cyrenaic philosophy is difficult. Later Cyrenaics, notably Hegesias, Anniceris, and Theodorus, who were rough contemporaries of Epicurus, modified the Cyrenaic ethical doctrines in different directions, and the school died out shortly afterwards, around the middle of the 3rd century B.C. However, it did have some influence on later philosophers. Epicurus most likely developed some of the distinctive features of his ascetic hedonism in order to avoid what he saw as the unpalatable consequences of Cyrenaic hedonism, and many of the Cyrenaic arguments against the possibility of gaining knowledge of the external world were appropriated by later academic and Pyrrhonian skeptics.

2. Epistemology

The Cyrenaics are empiricists and skeptics. As empiricists, they believe that all that we have access to as a potential source of knowledge are our own experiences. These experiences are private to each of us. We can have incorrigible knowledge of our experiences (that is, it impossible to be mistaken about what we are currently experiencing), but not of the objects that cause us to have these experiences. This results in their skepticism—their conviction that we cannot have knowledge of the external world.

a. Experiences and Their Causes

The Cyrenaics affirm that pathê–affections, or experiences–are the criterion of knowledge. They distinguish sharply between the experiences that one has– for example, that I am now seeing gray–and the objects that cause one to have these experiences– for example, the computer screen.

We can have infallible knowledge of our own experiences, since we have immediate access to them, but we do not have access to objects and qualities in the external world. As the Cyrenaics put it, “The experience which takes place in us reveals to us nothing more than itself.” The Cyrenaics reinforce this point by saying that, strictly speaking, we should not say, “I am seeing something yellow,” for instance, but “I am being yellowed,” or “I am being moved by something yellowly,” since the latter statements make it clear that we are reporting only our immediate perceptual state. (In this respect, the Cyrenaics bear a striking resemblance to some modern epistemologists, who resort to locutions like “I am being appeared to redly now” as describing accurately what is immediately given to us in experience.)

The Cyrenaics have two main arguments for why it is impossible to make inferences about the qualities of objects in the external world on the basis of our experiences:

i. The Relativity of Perception

The Cyrenaics note that the same object can cause different perceivers to experience different sensible qualities, depending on the bodily condition of the perceivers. For instance, honey will taste sweet to most people, but bitter to somebody with an illness, and the same wall that appears white to one person will look yellow to somebody with jaundice. And if a person presses his eye, he sees double.

From the fact that the wall appears white to me and yellow to you, the Cyrenaics think we should infer that we cannot know which quality the wall itself has on the basis of our experience of it, presumably because we have no criterion outside of our experiences to use to adjudicate which one (if either) of our experiences is correct. Such arguments from the relativity of perception are common in ancient Greek philosophy, and other thinkers draw different conclusions; for example, Protagoras says we should conclude that the wall is both white (for me) and yellow (for you), while Democritus thinks that we should conclude that it is neither white nor yellow.

ii. The Privacy of Experience and the Problem of Other Minds

Even if all people were to agree on the perceptual quality that some object has–for instance, that a wall appears white–the Cyrenaics still think that we could not confidently say that we are having the same experience. This is because each of us has access only to our own experiences, not to those of other people, and so the mere fact that each of us calls the wall ‘white’ does not show us that we are all having the same experience that I am having when I use the word ‘white.’

This argument of the Cyrenaics anticipates the problem of other minds—that is, how can I know that other people have a mind like I do, since I only observe their behavior (if even that), not the mental states that might or might not cause that behavior?

b. The Cyrenaics, Relativism, and Skepticism

The Cyrenaic position bears some striking resemblance to the relativistic epistemology of the sophist Protagoras, as depicted in Plato’s dialogue Theaetetus, and to the skeptical epistemology of the Pyrrhonists. Because of this, the Cyrenaics’ epistemology is sometimes wrongly assimilated that of Protagoras or the Pyrrhonists. However, the Cyrenaics’ subjectivism is quite different from those positions, and explaining their differences will help bring out what is distinctive about the Cyrenaics.

i. The Cyrenaics and Protagoras

The Cyrenaics and Protagoras do have similar starting-points. Protagoras also says that knowledge comes from perception. He uses basically the same arguments from relativity that the Cyrenaics use, and on their basis asserts that each of us infallibly has knowledge of how things appear to us. So, if I feel that the wind is hot, and judge that “the wind is hot,” I am judging truly (for me) how the wind is. And if the wind feels not-hot to you, and you judge that “the wind is not hot,” you are also judging truly (for you) how the wind is. These apparently contradictory statements can both betrue, since each of us is judging only about how things appear to us.

However, there are important differences between Protagoras’ relativism and the Cyrenaics’ subjectivism. The Cyrenaics would more likely want to say “that the wind appears hot to me is true” (simpliciter) rather than “‘The wind is hot’ is true-for-me.” The Cyrenaic position retains the possibility of error whenever you go beyond the immediate content of your experience, whereas Protagoras says that however things appear to you is ‘true for you.’ According to the Cyrenaics, I may know infallibly that “I am being appeared to hotly now,” but if I were to say that the wind itself were hot, I might be mistaken, and if I were to judge that “You are being appeared to hotly now,” whereas in fact you were having a chilly experience, I would be mistaken. Protagoras, as depicted in the Theaetetus, does away with the possibility of people genuinely contradicting one another, since all statements are about how things appear to the individual making the statement, and hence all (sincere) statements turn out to be true–for that individual, at that time.

Also, when Protagoras says that each us can judge infallibly how things ‘appear’ to us, the sense of ‘appearance’ that Protagoras is using extends beyond the initial restricted sense of phenomenal appearances, for example, a wind feeling hot or a wall seeming white, to cover beliefs generally. That is, if I believe that “the laws of Athens are just,” then Protagoras would say that this is equivalent to “it seems to me that the laws of Athens are just.” And since each of us can judge infallibly about our own appearances, I can also know that it is true (for me) that “the laws of Athens are just.” The Cyrenaics retain the more restricted sense of ‘appearance,’ where each of can know infallibly our immediate perceptual states, for instance, knowing that I am having a red experience, but this does not extend to knowledge of laws ‘appearing’ to be just, or the future ‘appearing’ to be hopeful.

ii. The Cyrenaics and Pyrrhonian Skeptics

The later academic and Pyrrhonian skeptics make use of arguments from the relativity of perception to try to refute the position of dogmatists, like the Stoics and the Epicureans, who claim that we can gain knowledge of the external world on the basis of sense-perception. However, although the Cyrenaics might properly be called ‘skeptics,’ their skepticism differs from the skepticism of the Pyrrhonists in at least three respects.

The first difference is that the Cyrenaics claim that we can have knowledge of the contents of our experiences, while the Pyrrhonists disavow any knowledge whatsoever. However, this difference might not be as significant as it seems, since the Pyrrhonists do acknowledge that we can accurately report how things appear to us– for example, that the wind appears hot. However, they refuse to say that this qualifies as knowledge, since knowledge concerns how things are, not merely how they appear to us.

The second difference is that the Cyrenaics claim that it is impossible to gain knowledge of the external world, while the Pyrrhonists claim neither that one can nor that one cannot gain such knowledge. The Pyrrhonists would label the Cyrenaic position as a form of ‘negative dogmatism,’ since the Cyrenaics do advance assertions about the impossibility of knowledge of the external world. This is a type of second-order purported ‘knowledge’ about the limits of our knowledge, and the Pyrrhonists, as true skeptics, do not make even these types of pronouncements.

Third, although the Cyrenaics do claim that it is impossible to gain knowledge of what the external world is like, it is not as clear that they doubt that there exists an external world, which the Pyrrhonists do. Some sources ascribe to the Cyrenaics the position that whether there is an external world is not known, while others ascribe to them the position that we can know that there is an external world that is the cause of our experiences, but that we cannot know what this world is like. The latter position fits in more smoothly with the way the Cyrenaics conceive of experiences, as effects of external causes (“I am being yellowed”), but has obvious difficulties of its own. (For instance, if we can know nothing about what characteristics objects in the external world have, what basis do we have to think that these objects exist?) However, if this is what the Cyrenaics think, a parallel can be drawn between their position and what Immanuel Kant says about the existence of the noumenal world of ‘things in themselves,’ which is the unknowable source of the data which ultimately forms our experiences.

Finally, the Cyrenaic position, at least in the limited reports we have concerning it, does not appear to be as fully-developed as that of the later skeptics. The academic and Pyrrhonian skeptics engaged in long controversies with the dogmatists, and as a result, they needed to answer the objections of the dogmatists, for example, that it is impossible to live as a skeptic, or that skepticism is self-refuting. The Cyrenaics, as far as we know, do not address these questions.

3. Ethics

The Cyrenaics are unabashed sensual hedonists: the highest good is my own pleasure, with all else being valuable only as a means to securing my own pleasure, and bodily pleasures are better than mental pleasures. Their iconoclastic theory stands well outside the mainstream of Greek ethical thought, with the traditional virtues of moderation, justice, and friendship being disparaged by them.

a. The Value and Nature of Pleasure

The Cyrenaics start from the Greek ethical commonplace that the highest good is what we all seek for its own sake, and not for the sake of anything else. This they identify as pleasure, because we instinctively seek pleasure for its own sake, and when we achieve pleasure, we want nothing more. Similarly, pain is bad because we shun it.

When the Cyrenaics say that ‘pleasure’ is the highest good, they do not mean that pleasure in general in good, so that we should seek to maximize the overall amount of pleasure in the world, as utilitarians say. Instead, they mean that, for each of us, our own pleasure is what is valuable to us, because that is what each of us seeks. Also, each of us can only experience our own pleasures, and not the pleasures of other people. Thus, the Cyrenaic view is a form of egoistic hedonism.

Pleasure and pain are both ‘movements,’ according to the Cyrenaics: pleasure a smooth motion, and pain a rough motion. The absence of either type of motion is an intermediate state which is neither pleasurable nor painful. This is directed against Epicurus’ theory that thehomeostatic state of being free of pain, need and worry is itself most pleasant. The Cyrenaics make fun of the Epicurean theory by saying that this state of being free of desires and pain is the condition of a corpse.

The Cyrenaics admit that there are both bodily pleasures (for example, sexual gratification) and mental pleasures ( for example, delight at the prosperity of one’s country), and they maintain, against the Epicureans, that not all mental pleasures are based upon bodily pleasures. However, they exalt bodily over mental pleasures, presumably because bodily pleasures are much more vivid than mental pleasures. They also assert that bodily pains are worse than mental pains, and give as evidence for this claim that criminals are punished with bodily instead of mental pains.

b. Pleasure, Happiness, and Prudence

One of the most striking features of Cyrenaic ethics is their assertion that it is pleasure, and not happiness, which is the highest good. Almost all other Greek theorists agree that happiness is the highest good, but disagree about what happiness consists in. Even Epicurus, who is a hedonist, remains within this tradition by asserting that happiness is the same as leading a pleasant life. The Cyrenaics, however, say that what we really seek are individual pleasures, for example, the pleasure of eating a steak. Happiness, which is thought of as the sum of all of these individual pleasures, is valuable only because of the value of each of the individual pleasures that make it up.

Another striking feature of the Cyrenaic theory is its lack of future-concern. The Cyrenaics advocate going after whatever will bring one pleasure now, enjoying the pleasure while one is experiencing it, and not worrying too much about what the future will bring. Although the Cyrenaics say that prudence is valuable for attaining pleasure, they do not seem much concerned with exercising self-control in pursuing pleasure, or with deferring present pleasures (or undergoing present pains) for the sake of experiencing greater pleasure (or avoiding greater pains) in the future.

This lack of future-concern is not a direct consequence of their hedonism, nor of their privileging of bodily over mental pleasures. If pleasure is the highest good, and one wants to maximize the pleasure in one’s life, then the natural position to take is the one Socrates lays out in Plato’s dialogue the Protagoras. Socrates describes a type of hedonism in which one uses a ‘measuring art’ to weigh equally all of the future pleasures and pains one would experience . Although present pleasures might seem more alluring than distant ones, Socrates maintains that this is like an optical illusion in which nearer objects seem larger than distant ones, and that one must correct for this distortion if one is going to plan one’s life rationally. Epicurus, likewise, says that the wise person is willing to forgo some particular pleasure if that pleasure will bring one greater pain in the future. Simply indulging in whatever pleasures are close at hand will ultimately bring one unhappiness.

The texts we have do not allow us to obtain with any degree of confidence the reasons that the Cyrenaics have for their advocacy of the pleasures of the moment. There are at least three plausible speculations, however:

i. Personal Identity and Momentary Pleasure

The first reason that the Cyrenaics might have for rejecting long-term planning about one’s pursuits is that they are skeptical about personal identity across time. If all I have access to are momentary, fluctuating experiences, what reason do I have to think that the ‘self’ that exists today will be the same ‘self’ as the person who will bear my name 30 years hence? After all, in most respects, a person at 30 years old is almost completely different from that ‘same’ person at 10, and the ‘same’ person at 50 will also be much changed. So, if what I desire is pleasure for myself, what reason do I have to sacrifice my pleasures for the sake of the pleasures of that ‘other’ person down the temporal stream from myself? Nursing a hangover, or deep in debt, that future self might curse the past self for his intemperance, but what concern is that of mine?

If the Cyrenaics do believe that personal identity does not persist over time, their position would be similar to one espoused by Protagoras in the Theaetetus. Because of the similarities between the Protagorean and Cyrenaic epistemologies, as well as the fact that having such a position would help make sense of the Cyrenaics’ focus on pursuing present pleasures, some scholars have attributed this view of personal identity to the Cyrenaics. However, there is little direct evidence that they held such a view, and the way they describe people and objects seems, indeed, to presuppose their identity across time.

ii. The Self-Defeating Nature of Future-Concern

The Cyrenaics may also think that planning for the future, and trying to assure happiness by foregoing present pleasures for the sake of the future, is self-defeating. If this is right, then it is not the case that the Cyrenaics think that future pleasures and pains are unimportant, it is simply that they believe that worrying about the future is futile. One gains happiness, and maximizes the pleasure in one’s life, not by anxiously planning one’s future out, and toiling on behalf of the future, but simply by enjoying whatever pleasures are immediately at hand, without worrying about the long-term consequences.

The Cyrenaics think that “to pile up the pleasures which produce happiness is most unpleasant,” because one will need to be choosing things which are painful for the sake of future pleasures. The Cyrenaics instead aim at enjoying the pleasures that are present, without letting themselves be troubled at what is not present, that is, the past and future. Epicurus thinks that the memory of past pleasures, and the expectation of future pleasures, are themselves most pleasant, and hence he emphasizes the importance of careful planning in arranging what one will experience in the future. The Cyrenaics, however, deny this, saying that pleasures are pleasant only when actually being experienced.

iii. Present Preferences and Future-Concern

Finally, the Cyrenaics lack of future-concern may result from radically relativizing the good to one’s present preferences. It’s reported that Aristippus “discerned the good by the single present time alone,” and later Cyrenaics assert that there is no telos–goal or good–to life asa whole; instead, particular actions and desires each aim at some particular pleasure. So the notion of some overall goal or good for one’s entire life is rejected and is replaced by a succession of short-terms goals. As one’s desires change over time, what is good for you at that time likewise changes, and at each moment, it makes sense to try to satisfy the desires that one has at that time, without regard to the desires one may happen to have in the future.

If the Cyrenaics thought that to choose rationally is to endeavor to maximize the fulfillment of one’s present preferences, their position would be analogous to the model of economic rationality put forward by current philosophers like David Gauthier.

c. Custom, Morality, and Friendship

In ancient times, the Cyrenaics were among the most dismissive of traditional Greek morality. They say that nothing is just or base by nature: what is just or base is set entirely by the customs and conventions of particular societies. So, for instance, there is nothing in the world or in human nature that makes incest, or stealing, or parricide wrong in themselves. However, these things become base in a particular society because the laws and customs of that society designate those practices as base. You should normally refrain from wrong-doing, not because wrong-doing is bad in itself, but because of the punishments that you will suffer if you are caught.

Many of the stories surrounding Aristippus stress his willingness to do things that were considered demeaning or shocking, like putting on a woman’s robes when the king commands it, or exposing his child to die with no remorse when it was an inconvenience. Although most of these stories are malicious and probably untrue, they do seem to have a basis in the Cyrenaics’ disregard of conventions of propriety when they think they can get away with it. All pleasures are good, they say, even ones that result from unseemly behavior.

The Cyrenaic attitude toward friendship also is consistent with their egoistic hedonism and well outside the traditional attitudes toward friendship. Friendship, according to the Cyrenaics, is entered into for self-interested motives. That is, we obtain friends simply because we believe that by doing so we will be in a better position to obtain pleasure for ourselves, not because we think that the friendship is valuable for its own sake, or because we love our friend for his own sake.

d. Later Cyrenaics

Around the time of Epicurus, a number of offshoot sects of Cyrenaicism sprung up. They seemed to have been concerned mainly with modifying or elaborating Cyrenaic ethics.

i. Hegesias

Hegesias is an extremely pessimistic philosopher. He maintains that happiness is impossible to achieve, because the body and mind are subject to a great deal of suffering, and what happens to us is a result of fortune and not under our control. Pleasure is good, and pain evil, but life as such is neither good nor evil. It is reported (maybe spuriously) that Hegesias was known as the ‘death-persuader,’ and that he was forbidden to lecture because so many members of his audience would kill themselves after listening to him.

Hegesias stresses that every action is done for entirely self-interested motives, and because of this, he denies that friendship exists. This assumes, of course, that one cannot truly be a friend if one enters into the friendship for entirely self-interested reasons.

ii. Anniceris

Anniceris moderated the extreme psychological egoism of Hegesias. He says that friendship does exist, that we should not cherish our friends merely for the sake of their usefulness to us, and that we will willingly deprive ourselves of pleasures because of our love of our friends.

He also says, however, that our end is our own pleasure, and that the happiness of our friend is not desirable for its own sake, since we feel only our own pleasure, not that of our friend. It is not clear how he makes these different parts of his theory consistent with one another.

iii. Theodorus

Theodorus was a pupil of Anniceris. His main innovation is the rejection of the thesis that pleasure and pain are the things that are intrinsically good and evil. Instead, he says that these are intermediates, and that the experience of joy is the highest good, and the feeling of grief the worst evil. (Theodorus may mean to relegate only bodily pleasures and pains to the status of intermediates, since it is natural to think of joy as a mental pleasure and grief as a mental pain.)

He also believes that friendship does not exist, since wise people are self-sufficient and do not need friends, while the unwise enter into friendship merely to satisfy their needs (and hence are not really friends). He also says that acts like adultery, theft and sacrilege are sometimes allowable, since these acts are not bad by nature, but are simply looked down upon because of societal prejudices, which are engendered in order to keep the masses in line.

4. Ancient Sources

None of Cyrenaics’ own writings survive. Thus, in order to reconstruct their views, we need to rely on secondary and tertiary sources which summarize the outlines of Cyrenaic doctrines, or mention the Cyrenaics in passing while discussing some other topic. These sources are not always reliable, and they are often sketchy, so our knowledge of the Cyrenaics is incomplete and tentative. In particular, our sources often mention what the philosophical position of a Cyrenaic is, without recording what his arguments were for that position.

Our main source for Cyrenaic epistemology is Sextus Empiricus, a doctor and Pyrrhonian skeptic who probably lived in the second century A.D. He is a careful and intelligent writer, although he is a fairly late source and is also sometimes polemical. He mentions the Cyrenaics in several places, but his most extended discussion of them occurs in Against the Professors VII 190-200. Another important source for Cyrenaic epistemology is the treatise Against Colotes, by the essayist Plutarch (c. 50-120 A.D.), a Platonist. The main topic of the essay is an attack on Epicurean epistemology, but Plutarch also deals with the Epicurean criticisms of the Cyrenaics in 1120c-1121e.

Our main source for the lives and ethics of the Cyrenaics is Diogenes Laertius, who probably lived in the third century A.D. His 10-book Lives of the Philosophers is a gossipy compendium of what other people have said about the lives and thought of many philosophers. Book 2 includes a discussion of Aristippus and the Cyrenaics. It is stuffed with reports of the Cyrenaics’ scandalous behavior and witty repartee, almost all of which are probably scurrilous, but it also has a valuable summary of the Cyrenaics’ ethical doctrines.

5. References and Further Reading

This is not meant as comprehensive bibliography; rather, it’s a selection of a few recent books and articles to read for those who want to learn more about the Cyrenaics. The books and articles listed below have extensive bibliographies for those looking for more specialized and scholarly publications.

  • The Epistemology of the Cyrenaic School, by Voula Tsouna, Cambridge University Press. 1998.
    • This is the only book-length study of Cyrenaic epistemology available in English. It is written for an audience of specialists in ancient philosophy, and hence gets a little technical at places for the non-specialist. However, the discussion is very clear overall, and Tsouna does an excellent job of assessing the sources we have and of relating the Cyrenaic’s position to those of both ancient and modern philosophers. There is also an appendix which contains translations of almost all of the ancient sources we have that are significant for understanding Cyrenaic epistemology.
  • The Morality of Happiness, by Julia Annas, Oxford University Press. 1993.
    • There are no recent books in English available which focus on the Cyrenaic’s ethics. This book deals with all major ancient theorists from Aristotle on, but it is still a good introduction to Cyrenaic ethics. Annas concentrates on the respects in which the Cyrenaics are out of step with other ancient ethical theories.
  • “The Cyrenaics on Pleasure, Happiness, and Future-Concern,” by Tim O’Keefe, Phronesis, vol. 47 no. 4 (2002), 395-416.
    • This article explores the question of why the Cyrenaics, alone among ancient Greek ethical theorists, claim that happiness is not the highest good, but particular pleasures are instead, and that one should not worry about the long-term consequences of one’s actions but instead concentrate on obtaining pleasures that are near at hand.

Author Information

Tim O’Keefe
Email: (see web page)
Georgia State University
U. S. A.

Bhartrihari (c. 450—510 C.E.)

Bhartrihari may be considered one of the most original philosophers of language and religion in ancient India. He is known primarily as a grammarian, but his works have great philosophical significance, especially with regard to the connections they posit between grammar, logic, semantics, and ontology. His thought may be characterized as part of the shabdadvaita (word monistic) school of thought, which asserts that cognition and language at an ultimate level are ontologically identical concepts that refer to one supreme reality, Brahman. Bhartrihari interprets the notion of the originary word (shabda) as transcending the bounds of spoken and written language and meaning. Understood as shabda tattva-the “word principle,” this complex idea explains the nature of consciousness, the awareness of all forms of phenomenal appearances, and posits an identity obtains between these, which is none other than Brahman. It is thus language as a fundamentally ontological principle that accounts for how we are able to conceptualize and communicate the awareness of objects. The metaphysical notion of shabda Brahman posits the unity of all existence as the foundation for all linguistically designated individual phenomena.

Bhartrihari’s theory of language recognizes that meaning is conveyed in formalist terms where meaning is organized along syntactical rules. But it makes the leap, not made by modern Western philosophers, that such a view of language does not merely serve our mundane communicative purposes and see to the achievement of practical goals, but leads to paramount metaphysical knowledge and salvation.

Table of Contents

  1. Bhartrihari’s Life and Works
  2. Early Grammarians and Philosophical Semantics
  3. Brahman, Language, and the World
  4. Bhartrihari’s Grammar
  5. The Sphota Theory of Language
  6. Phenomenology of Language and the Concept of ShabdaBrahman
  7. Bhartrihari and Western Philosophy
  8. References and Further Reading

1. Bhartrihari’s Life and Works

Bhartrihari’s works were so widely known that even the Chinese traveler Yijing (I-Tsing) (635-713 CE) mentions the grammarian-philosopher, mistaking him for a Buddhist. Unfortunately, we do not know much about his personal history and his works do not throw much light on the matter. There are some narratives referring to his background but they are not supported by historical data. In these somewhat dubious accounts, he is said to have been existentially torn between two kinds of life: the path of pleasure and that of the monastic yogi. Although he believed that he should renounce the world of material pleasures (reflected in poetry attributed to him by scholars), it took many attempts to finally achieve the life of dispassion. His hedonism and philosophical acumen led him, according to his legend, to produce works of great breadth, depth and beauty.

Bhartrihari credits some of the theories in his work Vâkyapadîya to his teacher, who was probably one of Candrâcârya’s contemporaries, Vasurata. To be more precise, the noted scholar T.R.V. Murti proposes the following chronology: Vasurata, followed by Bhartrihari (450-510 CE) and Dinnâga (Dignâga) (480-540 CE). Among the major works attributed to Bhartrihari are his main philosophical treatise, Vâkyapadîya (On Sentences and Words) kândas I, II, and III, Mahâbhâshyatîkâ (a commentary on the Mahâbhâshya of Patanjali), Vâkyapadîyavrtti (a commentary on the Vâkyapadîya kândas I and II), and shabdadhâtusamîksha. Since 1884, the Vâkyapadîya, containing approximately 635 verses, has been edited and published several times in English translation.

The first two chapters of the Vâkyapadîya discuss the nature of creation, the relationship of Brahman, world, language, the individual soul (jîva), and the manifestation and comprehension of the meanings of words and sentences. In addition, the literary works attributed by some to Bhartrihari (not mentioned here) have made an impact on the growing popular Hindu devotional (bhakti) movements. More importantly, his philosophical work was recognized and addressed by schools of Hindu scriptural exegesis (Mîmâmsâ), Vedânta (mystical Vedism) and Buddhism.

2. Early Grammarians and Philosophical Semantics

In ancient India, grammarians saw their task as establishing the foundations of the Vedas, but their work often resulted in the development of their own philosophical systems. Patanjali, in his Mahâbhâshya, explains that the study of grammar (vyâkaranam) was meant to maintain the truth of the Vedas, to guide the use of Vedic speech in ritual contexts, and to aid in the clear interpretations of individual human speech. Both Pânini and Patanjali, two major Sanksrit grammarians, were the first to provide a systematic and formal analysis of the grammatical bases of all intended meanings. Pânini (7th century BCE) developed the Ashtâdhyâyî (Eight-Chapters) for the grammarians. This impressive work contains a thorough analysis of the rules of Sanskrit language down into its nominal and verbal components; it contains a science of language, applicable to the Vedas, also comprised of sets of operational rules and meta -rules that interpret the former. Among these “rules for interpretation” of Vedic texts, we are given a “universal grammar. Pânini’s approach is not like the Mîmâmsâ, which focuses on the study of Vedic language. Instead, Pânini deals with spoken and Vedic languages as if they are of the same genre.

Pânini’s Ashtâdhyâyî, its commentaries, and the Vâkyapadîya of Bhartrihari are said to constitute the fundamental texts for the school of Pânini’s grammar, whose object of study was ultimately Vedic. Around 150 BCE, Patanjali wrote the Mahâbhâshya, an interpretation of some of Pânini’s rules written in dialogue form, and it is this work that is the basis for later commentaries on grammar and philosophy. It is of interest to note here that the Dharmashâstras or Treatises on Law, including the well-known Laws of Manu, were composed between 322 and 183 BCE. J.N. Mohanty points out that these treatises can be seen as attempts on the part of orthodox Brahminism to preserve itself against the anti-Vedic philosophies. However, he considers Pânini’s grammar and Patanjali’s commentary to carry greater weight in the Indian philosophical tradition.

With the Vâkyapadîya, Bhartrihari moves grammatical analysis squarely into the realm of philosophy, arguing that grammar can be consider a darshana, a “view,” or an official philosophical school, providing perspective and insight into ultimate reality. The first verse articulates the fundamental view of his newly envisaged school:

The Brahman is without beginning and end, whose essence is the Word, who is the cause of the manifested phonemes, who appears as the objects, from whom the creation of the world proceeds.

It is the project of the Vâkyapadîya to explain this verse, with all of its philosophical, linguistic, and metaphysical implications. At base, we contextualize Bhartrihari’s philosophical inquiry into language as being conditioned by the Indian culture and scriptural tradition, in which this type of intellectual pursuit had a soteriological purpose -the realization of absolute knowledge and the spiritual liberation which ensues; thus, it is a distinctively ontological reflection on language which Bhartrihari added to the thought of earlier grammarians.

3. Brahman, Language, and the World

The Brahminic view of the cosmos put forth in the Vedas is one of constant and cyclical creation and dissolution. At the dissolution of each creative cycle a seed or trace (samskâra) is left behind out of which the next cycle arises. What is significant here is that the nature of the seed from which each cycle of creation bursts forth is expressed as “Divine Word” (Daivi Vâk). If language is of divine origin, it can be conceived as Being Brahman expressing and embodying itself in the plurality of phenomena that is creation.

Bhartrihari considers Brahman, the basis of reality, to be “without beginning and end” (anâdi nidhânam), as a concept that is not subject to the attributes of temporal sequences of events, either externally or in the succession of mental events that form cognitions. The word principle, shabda Brahman, is not defined in terms of the temporal nature of our cognitive states, because it functions as the inherent, primordial ground of all cognitions. Thus, against the Hindu logicians, the Nyâyas, for whom particular forms of human speech may be expressed in conventional terms for practical purposes, language itself is not something which arises or is created in time by God or humans. As B.K. Matilal states, “To talk of an absolute beginning of language is untenable. Language is continuous and co-terminus with human existence or the existence of any sentient being.”

There has been some scholarly debate regarding the meaning of the term “eternal” or “akshara” as Bhartrihari applies it to the word-principle. While some interpret this to refer to an all-pervading entity, existing in opposition to the multiplicity of objects in space and time, others see it as Bhartrihari’s specialized way of referring to phonemes, the minimal units of meaningful sound. It seems that phonemes understood in this way explain how it is the case that Word appears as objects. Eternity is “that which appears as objects, and from whom the creation of the world proceeds.” Phonemes are thus the eternally possible elements that can be combined in inexhaustible ways to manifest the plurality of nature.

This principle accounts for creation on a number of levels: it is the origin of consciousness, of cognition, sensation, language use, cognitive and experiential aspects of the world. In other words, objects of thought and the relations between them are word-determined, regardless of whether they are objects of perception, inference or any other kind of knowledge. When we perceptually apprehend external reality, we always do so in terms of names, for without names objects are neither identifiable nor knowable.

Furthermore, when we consider phenomenal concepts, we see that they do not exist or hold any meaning aside from the words through which they are expressed; we might say that our concepts are “word-loaded” and from this we can infer that the word principle causes the world. Bhartrihari’s causal claim is in keeping with the traditional philosophical discussions on the nature of causality and inference as he applies it to the word-principle:

Just as other thinkers, while explaining causality, saw that the properties of cause continue in the effects….in the same way in the scriptures also, the word in which the power of Enjoyer and Enjoyed are submerged has been declared as the cause of the world.

4. Bhartrihari’s Grammar

In the Vâkyapadîya, kânda I, Bhartrihari defines the scope of his inquiry as the subjects of grammar. Our speech takes the form of the basic structures of language, and grammar deals with this communicatively spoken language. The correct understanding of speech can take us to the limits of our conventional and spiritual capacities, and so language analysis must operate at all the following levels: 1. sentences and words, 2. meanings corresponding to sentences and words, 3. the fitness or compatibility between sound and sense, and 4. the spiritual merit obtained by using the correct language.

In the Sanskrit grammatical tradition, the “elite” are defined as those who use the correct language; we arrive at this standard language by abstracting from communicative language, or “language-in-use.” In his linguistic theory, Bhartrihari distinguishes between two forms of language, the spoken, or “language-in-use” and the analytic. The analytic or formal language emerges from a formal, abstract analysis of communicative language. If we were to gather and compare various sentences and words from different contexts of use, we would logically infer the basic segments (roots, stems, suffixes) that account for a common logical or formal basis of denotation.

This hierarchical conception of language use and language meaning can be understood in the following way, taking off from a representation of Matilal, with the term on the far right of each column understood as the originator of the term in the middle, and the term in the middle being the originator of the term on the left. In other words, Bhartrihari’s conception of utterance and understanding can be grasped with the following schema under the rubric of:

Product Producer Derivative Element
Linguistic Components Language-in-Use Analytic Language
sound
sentences and words word stems, suffixes, etc..
sense sentence meaning and word meaning stem meaning and suffix meaning
sound and sense relations fitness compatibility causality relations
purpose spiritual merit correct knowledge

There is debate about the ontological and epistemological status of relations between these levels of language, and Bhartrihari’s commentary on grammar includes a review of several theories and ultimately he seems to favor the “naturalist view.” In the first chapter of the Vâkyapadîya, Bhartrihari explains the naturalist view. Following the pâdavâdins (those who regard the word as the primary indivisible unit) who consider word-constituents, such as roots and suffixes, to be mere fictitious abstractions from words, so also the vâkyavâdins (those who regard the sentence as the indivisible unit) consider words to be imaginary abstractions from the sentence. The naturalists, such as Pânini, believe that language has an invariant form expressed in grammar. They therefore give epistemic primacy to spoken language; formal language is only an “appearance” and secondary aid to understanding. The conventionalists, on the other hand, hold that the analytic language is primary in that it contains within it all the structural features that may be used to create meaningful speech.

5. The Sphota Theory of Language

Bhartrihari’s theory occupies an interesting place in the ongoing Hindu-Buddhist debates about meaning and reference. For the Buddhists, meaning is a function of social and linguistic convention and reference is ultimately a projection of imaginative consciousness. For the Brahminic Nyâyas or Logicians, words have meaning because they refer to external objects; words can be combined in sentences just like things exist in relation to one another in external reality. With Advaita Vedânta, words mask the meaning of the Absolute Self (Âtman) which is Brahman, so that, when a person predicates categories to their identity such as in the sentence “I am tall,” this predication masks the all-inclusive nature of the eternal Self, which is beyond categorization. Bhartrihari puts forth a theory of language which, rather than starting by taking fundamental ontological, epistemological or social sides in these well-established debates, starts from the question of how meaning happens, how it emerges from the acts of both speaker and audience, and, constructing this theory first, what he believes to be appropriate metaphysical, epistemological and soteriological implications are drawn from it.

For Bhartrihari, linguistic meaning cannot be conveyed or accounted for by the physical utterance and perception of sounds, so he puts forth the sphota theory: the theory which posits the meaning-unit, which for him is the sentence, as a single entity. The term “sphota” dates back to Pânini’s reference to “sphotâyana” in his treatise Ashtâdhyâyî, however it was Patanjali who explicitly discusses sphota in his Mahâbhâshya. According to him sphota signifies spoken language, with the audible sound (dhvani) as its special quality. In Bhartrihari’s treatment of this concept, while the audible noise may vary depending on the speaker’s mode of utterance, sphota as the meaning unit of speech is not subject to such variations. This is so because for Bhartrihari, meaning is conveyed by the sentence. To explicate this theory, Bhartrihari depends on the root of sphota, namely sphut, meaning “to burst forth…” as in the “idea that spews forth” (in an internal mental state) when a meaningful sound, the sentence as a whole, is uttered.

The meaning of the sentence, the speech-unit, is one entire cognitive content (samvit). The sentence is indivisible (akhanda) and owes its cognitive value to the meaning-whole. Thus, its meaning is not reducible to its parts, the individual words which are distinguished only for the purposes of convention or expression. The differentiated word-meanings, which are also ontological categories, are the abstracted “pieces” we produce using imaginative construction, or vikalpa. Sphota entails a kind of mental perception which is described as a moment of recognition, an instantaneous flash (pratibhâ), whereby the hearer is made conscious, through hearing sounds, of the latent meaning unit already present in his consciousness (unconscious). The sentence employs analyzable units to express its meaning, but that meaning emerges out of the particular concatenation of those units, not because those units are meaningful in themselves. We analyze language by splitting it up into words, prefixes, suffixes, etc….but this is indicative of the fact that we “misunderstand” the fundamental oneness of the speech-unit. Words are only abstracted meaning possibilities in this sense, whereas the uttered sentence is the realization of a meaning-whole irreducible to those parts in themselves. This fundamental unity seems to apply, also, to any language taken as a whole. Matilal explains: “it is only those who do not know the language thoroughly who analyze it into words, in order to get a connected meaning.” As this scholar suggests, it is rather remarkable that Bhartrihari’s recognition of the theoretical indivisibility of the sentence resonates with the contemporary linguistic view of learning sentences as wholes (at a later stage of development we build new sentences from learned first sentences through analogical reasoning).

Sphota is therefore the cause of manifested language, which is meant to convey meaning. Sphota is more specifically identified as the underlying totality of linguistic capability, or “potency” and secondarily as the cause of two differentiated aspects of manifested meaning: applied meaning expressed as dhvani, the audible sound patterns of speech and artha-language as meaning-bearing. The grammatical/syntactical parts of the underlying sphota can only be heard and understood through its phonetic elements. Bhartrihari explains that the apparent difference between sphota and dhvani arises as we utter words. Initially, the word exists in the mind of the speaker as a unity but is manifested as a sequence of different sounds-thus giving the appearance of differentiation. dhvanis may be more specifically described as merely the audible possibility of meaning, a necessary but hardly sufficient condition of meaning.

We might think of this unit of linguistic potency, the sphota, as the cognitive/propositional whole content of meaning that can be transposed into different languages, while the actual word-sounds comprise the contents of the “speech-act”. But what holds the act to its ability to convey intended meanings? The words sounded by a plurality of speakers comprise the physical manifestation of vâk or vaikharîvâk and it is upon this form of vâk that physical objects as objective forms are modeled. The unity that underlies these objective referents and meanings, however, is known as the intuited vâkpashyativâk, which makes possible the unmediated understanding of a complete linguistic expression. This intuitive level of understanding, constitutive of the sphota, is teleological in its nature and structure in that it contains all potential possibilities of meaning-bearing dhvanis and their order of manifestation.

But, what guarantees that the hearer of speech properly comprehends what is uttered? In the second book of the Vâkyapadîya, Bhartrihari states:

Sentence meaning is produced by word meanings but is not constituted by them. Its form is that Intuition, that innate “know how” awareness (pratibhâ) possessed by all beings. It is a cognitive state evident to the hearer…not describable or definable, but all practical activities depend on it directly or through recollection of it.

Pratibhâ intuition can be characterized as shabda, the very same speech principle externalized in the utterances of speakers, as it operates within the hearer, causing her to instantaneously comprehend the meaning of the utterance. However, linguistic convention, shared by speaker and hearer, cannot account for the flash of comprehension. If that were the case, we would not have instances where communication breaks down in spite of the shared language between speaker and hearer. The comprehension of meaning lies in the sphota that is already present in the hearer’s awareness. As she hears the succession of audible phonemes, the latent and undifferentiated language potency within her is brought to “fruition” in the form of grasping the speaker’s meaning. Thus, while the audible words are necessary for such verbal comprehension to occur in the hearer, they are not sufficient. It is her own ability to understand meaning referred to by these words, by virtue of sharing the same sphota with the speaker, which completes the act of cognition.

It is at this point that the philosophy of language has for Bhartrihari religious implications of both ontological and interpretive scope. Just as various sentences might sound different in the mouths of different speakers and yet convey the same meanings, various Vedas may seem different in form and style, but there is a unity carried by the underlying sphota, which ensures that it is the same truth, or dharma that is expressed throughout the texts. Bearing in mind that Brahman is the ultimate referent of all speech forms, this higher reality is manifested in the sacred texts-whose efficacy (ritual, soteriological, epistemological) depends upon our ability to correctly apprehend its meaning. The sphota concept makes such interpretation possible. Again, the sphota expresses a meaning-whole behind individual letters and words. The implication for the truth of Vedic discourse is clear, for that truth is already present in the speaker (the Veda) and is potentially present in the consciousness of the hearers (the practitioners).

According to Bhartrihari’s theory, we can justify this particular philosophical method as revelatory by using the concept of shabdapramâna. The implications of this method are explained in the following section; here, we examine the source of our cognitions. But in order for one to give their assent to a worldview that renders to language the cosmic and salvific roles Bhartrihari does, a theory that posits that language is the medium of ultimate knowledge, one must be convinced that language in general has the capacity to yield ordinary knowledge. Given the way Bhartrihari conceptualizes language, as not primarily referent directed, but instead as referent-constructing, we need to look at how the grammarian thematizes the knowledge-conferring power of language within his own peculiarly unique framework.

6. Phenomenology of Language and the Concept of Shabda-Brahman

Sphota may be characterized as the intersubjective, universal “store-house” of meaning, the ground of all linguistic activity and communication. Sphota is the unifying principle that connects the word, the grammatical form of the word, and the meaning. Furthermore, just as words and sentences represent “pieces” of the meaning extracted from the whole, the objects and states of affairs these pieces represent actually refer to a “whole of objects meant” or an entire reality.

In classical Indian thought, objects are thought to be constituted of substance (dravya), but in Bhartrihari and especially in his first major commentator Helârâja, substance can be distinguished into two kinds, the substance of all things, which is Brahman, and the other individual, empirical substances. The empirical notion of substance here may be derived from the grammatical operation of ekashesha, explained by Pânini as using individual word-tokens to refer to individual objects-substances. Thus, names or singular terms are said by the earliest grammarians to refer to one substance at a time, therefore substance is defined through the relation of reference, and the nature of each substance is so specific that we cannot posit any general properties possessed by all of them. For example, each time we say the word ‘cow’ we refer to a different cow, and each cow is actually a different wholly individual entity.

Bhartrihari defines “actual” or empirical substance as that which we refer to by using indexicals and quantifiers, which refer to anything in our ontological reality: ‘this’ ‘that’ ‘something’ or ‘anything.’ The term ‘this’ points out an existence given to perception, while ‘that’ refers to something whose existence can be validated by some other means of knowledge but which is not available to perception. Bhartrihari also acknowledges the pragmatic and common sense view of “substance” as “a relative concept being dependent on our concept of quality (guna). A substance is that which is said to be distinguished and a quality is that which distinguishes the substance.

But Bhartrihari’s contribution to this debate changes the very notion of substance into a much more inclusive and general concept, since anything we refer to using a name or substantive term, even generic properties and verbs, become substances in that they are distinguished by words, as Matilal illustrates: “Thus, cooking would refer to the fact of cooking and ‘walking’ to the fact of walking as long as the speaker intends to distinguish the act of cooking from the act of walking.” “In the third book of the Vâkyapadîya, he defines the concept of ‘quality’/guna as dependent upon, as arising from substance. He rejects the Vaisheshika view that substances and qualities belong to entirely different categories (padârtha-s), and espouses the revolutionary view that the latter arises from the former. For him, qualities, existing in relation to substances serve to further differentiate those substances by “delimiting their scope.” But how does he account for such a radical revisioning?

Bhartrihari’s contribution of his particular theory of the “imaginative construction” of perceptions and language once again emerges within the context of debates with competing theories of knowledge. The Buddhist idealistic claim also argued that the world of experience or phenomena is at base a product of the human imaginative faculty. The Buddhists claim that our cognitive experiences construct our reality; these are modes of consciousness containing cognitive contents and in the final analysis, do not yield any knowledge about reality as it may be outside of themselves. It is consciousness that posits the (apparent) externality of objects, not the “objects themselves.” This form of phenomenal-idealism is developed as a counterclaim to the Hindu realist position, which affirms the existence of external reality. For the Buddhist, objects are only the external contents of the human imagination. Interestingly enough, Bhartrihari’s sphota theory of language and cognition is sometimes understood as an extension of the Buddhist position; according to the grammarian, cognition is entirely language-dependent in that the structure of our cognitive states is determined by grammar. But Bhartrihari’s theory posits knowledge as a matter of specifically linguistic construction. The concept of vikalpa for him implies the following: the structure of language shapes how we categorize the objects of our experience and our descriptions of reality as a whole. Even at the most immediate levels of awareness), we must conceptualize and therefore interpret the contents of sense perception. Thus, at the level of pure sensation, the sensory core is already saturated, as it were, with the “deep structure” of language. In this respect, Bhartrihari’s position differs from the Buddhist position rather dramatically. The Buddhists clearly distinguish between pure perception (nirvikalpa-pratyaksha), which is pre-conceptual, unverbalizable and correspondent to reality, and constructed perception (savikalpa-pratyakasha) that is conceptual and may therefore be considered a verbalized interpretation of the real. For the Buddhist, the pure sensory core is the real locus of perception. Bhartrihari, as an ontological monist, does not distinguish between a pure perception and a constructed perception such that the former is concept-free and ineffable and the latter concept-loaded and autonomously constructed, because he thinks that perception is inherently verbal. Not only are sense data and linguistic units non-different, but they are expressive of the unitary principle of Brahman-which is differentiated into the plurality of linguistic objects that make up the world.

Bhartrihari’s notion of vikalpa is also directed against the early Nyaiyayikas, who, while agreeing on the correspondence between word and thing, uphold the distinction between language and its object-referents. These Hindu Logicians held that the perceptual apprehension of the object could be distinguished from naming the object. For the Nyâyas, who are ontological pluralists and materialists, words refer to distinct generic properties of and relations between objects. Perception is a two-step process involving the initial apprehension of the object and then the subsequent apperception/awareness that results in mental and syntactic/linguistic representations of the first moment of awareness. Here, linguistic categories originate in the different substances and attributes that exist in the world. Bhartrihari counters them by arguing that the act of perception, rather than acquiring linguistic clothing after the bare particular has already been presented to consciousness, can only be aware of the object before it as a ‘this’ or ‘that’, that is, as an awareness of something only as a particular and as such, identifiable. That is to say, significantly enough, that for Bhartrihari, the word makes the thing an individual, and as one moves further and further along the refined categories of what is conventionally known as denotation, the word makes the thing what it is. For Bhartrihari, the difference the Logicians posit between the ontological and the linguistic would make meanings of all kinds, mundane ones and religious ones, contingent on the circumstances and speaker. But if perception is innately verbal, no perilous bridge need be suspended over some supposed abyss between vision and truth, both in our mundane lives and for the rishis who pronounced the Vedas. The word then makes the thing, and Brahman makes the world, and so it is entirely proper to speak of words as the creator of all things (shabdaBrahman).

7. Bhartrihari and Western Philosophy

Although previous Bhartrihari scholarship has progressed rather slowly due to numerous difficulties, within the last decade or so his work has garnered attention from Western scholars. Bhartrihari’s explorations into the relations between language, thought and reality reflect contemporary philosophical concerns with meaning, language use, and communication, particularly in the work of Chomsky, Wittgenstein, Grice, and Austin. His theory of language recognizes that meaning is conveyed in formalist terms where meaning is organized along syntactical rules. But it makes the leap, not made by modern Western philosophers, that such a view of language does not merely serve our mundane communicative purposes and see to the achievement of practical goals, but leads to paramount metaphysical knowledge, a knowledge carrying with it a palpable salvific value.

8. References and Further Reading

  • Bhartrihari. The Vâkyapadîya, Critical texts of Cantos I and II with English Translation. Trans. K. Pillai. Delhi: Motilal Banarsidass, 1971.
  • Coward, Harold G. The Sphota Theory of Language: A Philosophical Analysis . Delhi: Motilal Banarsidass, 1980.
  • Coward, Harold G., and K. Kunjunni Raja, eds. The Philosophy of the Grammarians (Volume V of Encyclopedia of Indian Philosophies, ed. Karl Potter). Princeton: Princeton University Press, 1990.
  • Herzberger, Radhika. Bhartrihari and the Buddhists. Dordrecht: D. Reidel/Kluwer Academic Publishers, 1986.
  • Houben, Jan E.M. The Sambanda Samuddesha and Bhartrihari’s Philosophy of Language. Groningen: Egbert Forsten, 1995.
  • Iyer, Soubramania, K.A. Bhartrihari. A Study of Vâkyapadîya in the Light of Ancient Commentaries. Poona: Deccan College Postgraduate Research Institute, 1997.
  • Matilal, B.K. Mind, Language, and World. Ed. J. Ganeri. Delhi: Oxford University Press, 2002. (See “What Bhartrihari Would Have Said About Quine.”)
  • Matilal, B.K. The Word and the World: India’s Contribution to the Study of Language. Delhi: Oxford University Press, 1992.
  • Matilal, B. K. Perception: An Essay on Classical Indian Theories of Knowledge. Oxford: Oxford University Press, 1986. (See chapter 12.)
  • Matilal, B.K. Epistemology, Logic, and Grammar in Indian Philosophical Analysis. The Hague: Mouton, 1971.
  • Potter, Karl, ed. The Tradition of the Nyâya-Vaisheshika up to Gangesha (Volume II of Encyclopedia of Indian Philosophies, ed. Karl Potter). Delhi: Motilal Banarsidass, 1977.
  • Shah, K.J. “Bhartrihari and Wittgenstein.” Perspectives on the Philosophy of Meaning 1/1 (1990): 80-95.

Author Information

Stephanie Theodorou
Email: STheodorou@Immaculata.edu
Immaculata University
U. S. A.

Michael Dummett (1925—2011)

Michael DummettMichael Dummett was one of the most influential British philosophers of his generation.  His philosophical reputation is based partly on his studies of the history of analytical philosophy and partly on his own contributions to the philosophical study of logic, language, mathematics and metaphysics. The article deals first with the historical work, then with his on-going project, concluding with a brief discussion of his influence.

Of his historical work, it is his commentaries on Gottlob Frege that are of outstanding importance. Frege was primarily a mathematician, and Dummett has devoted a book to Frege’s philosophy of mathematics. More controversially, Dummett has argued that analytical philosophy is based on Frege’s insight that the correct way to study thought is to study language. He holds that Frege advocated a realist semantic theory. According to such a theory, every sentence (and thus every thought we are capable of expressing) is determinately true or false, even though we may not have any means of discovering which it is.

Dummett’s most celebrated original work lies in his development of anti-realism, based on the idea that to understand a sentence is to be capable of recognizing what would count as evidence for or against it. According to anti-realism, there is no guarantee that every declarative sentence is determinately true or false. This means that the realist and the anti-realist support rival systems of logic. Dummett argues that we should think in terms of a series of independent debates between realists and anti-realists, each concerned with a different type of language—so one might be an anti-realist about arithmetic but a realist, say, about the past. Dummett’s main philosophical project is to demonstrate that philosophy of language is capable of providing a definitive resolution of such metaphysical debates.  His work on realism and anti-realism involves all of the following fields: philosophy of mathematics, philosophy of logic, philosophy of language and metaphysics.

Table of Contents

  1. Biographical Information
  2. Dummett and Other Philosophers
    1. Wittgenstein: Meaning as Use
    2. Intuitionism: the Significance of Bivalence
    3. Frege and Dummett
      1. Frege: the Significance of Philosophy of Language
      2. Frege and the Origins of Semantics
      3. Frege’s Unfinished Business
  3. Dummett on Realism and Anti-Realism
    1. Justifying Logical Laws by a Semantic Theory
    2. The Role of Proof-Theoretic Justification
    3. Justifying a Semantic Theory by Means of a Meaning-Theory
    4. Justificationist Semantics
    5. God
  4. On Immigration
  5. Dummett’s Influence
  6. References and Further Reading

1. Biographical Information

Michael Dummett attended Sandroyd School and Winchester College, and served in the armed forces from 1943 to 1947. Although he was educated within the traditions of the Anglican Church at Winchester, by the age of 13 he regarded himself as an atheist. In 1944 however, he was received into the Roman Catholic Church, and he remains a practising Catholic. After his military service, he studied at Christ Church College, Oxford, graduating with First Class Honours in Philosophy, Politics and Economics in 1950 and then attained a fellowship at All Souls College. An All Souls fellowship is perhaps the ultimate academic prize open to Oxford graduates, providing an ideal opportunity to engage in research without any of the pressure that comes from having to teach, or to produce a doctoral thesis within a set period of time. From 1950 to 1951, Dummett was also Assistant Lecturer in Philosophy in Birmingham University. In Oxford, he was Reader in Philosophy of Mathematics from 1962 until 1974.

His first philosophical article was a book review, published in Mind in 1953. He has published many more articles since, most of which have been collected into three volumes. Several of the articles published in the 1950s and 1960s are considered by some to be classics, but, at this time, some members of the philosophical community worried that his published output would never match his true potential. This was partly because of his perfectionism, and partly because, from 1965 to 1968, he and his wife Ann chose to devote much of their time and energy to the fight against racism. In 1965, they helped to found the Oxford Committee for Racial Integration, which soon affiliated to a newly formed national organization, the Committee Against Racial Discrimination on whose national executive committee he served. However, CARD was wracked with internal divisions, and after an acrimonious annual convention in 1967 Dummett concluded that a white person could play only an ancillary role in the fight against racism. He did found a new organization, the Joint Council for the Welfare of Immigrants which focused specifically on immigration rights, but by 1969, his work as an activist had been reduced sufficiently to allow a return to philosophical research, and he resumed the task of writing his first major work, Frege: Philosophy of Language.

The book was eventually published in 1973 and it was a watershed in the study of Frege. Even so, the first edition was deficient in containing hardly any references to the text of Frege’s work, a fault that was remedied in the second edition in 1981, published concurrently with The Interpretation of Frege’s Philosophy, a book whose title is self-explanatory.

Between the first and second editions of Frege: Philosophy of Language, Dummett also published Elements of Intuitionism in 1977 (a second edition was published in 2000), and his first collection of papers, Truth and Other Enigmas in 1978. In 1979, he accepted the position of Wykeham Professor of Logic at Oxford, which he held until his retirement in 1992. Although Dummett had been connected with Oxford for the whole of his professional career, he has also taught and studied outside England. He held various visiting positions at Berkeley, Ghana, Stanford, Minnesota, Princeton, Rockefeller, Munster, Bologna and Harvard. The William James Lectures that he delivered at Harvard in 1976 were published in 1991 as The Logical Basis of Metaphysics, his most detailed study of the debates between realists and anti-realists. In the same year, he published his second collection of papers, Frege and Other Philosophers, and Frege: Philosophy of Mathematics, his long-awaited sequel to Frege: Philosophy of Language. His third collection of papers, The Seas of Language, was published in 1993.

The lectures he delivered at Bologna in 1987, entitled Origins of Analytical Philosophy, were published in 1988 in the journal Lingua e Stile. A translation into German was made by Joachim Schulte, and this was published along with Schulte’s interview with Dummett in 1988, as Ursprünge der analytischen Philosophie. The book was subsequently published in Italian in 1990, in French in 1991, and in English in 1993. In 1996-1997, he delivered the Gifford Lectures in St. Andrews University, and these were published as Thought and Reality in 2006. He also gave the John Dewey Lectures at Columbia University in 2002, which were published as Truth and the Past in 2004. In 2001, he published On Immigration and Refugees, which is in part a contribution to moral and political philosophy. He also published works on voting systems and the history of card games, all of them subjects on which he was an authority. He received a Knighthood in 1999 in recognition of his efforts to fight racism, as well as for his philosophical work.

2. Dummett and Other Philosophers

There is an intimate connection between Dummett’s studies of the history of analytical philosophy and his own contributions to the field. Much of his own work can only be understood as a response to other thinkers, who, he thinks, have set the agenda that analytical philosophers ought to follow. To understand anything of his work it is necessary to understand the significance that Wittgenstein, the intuitionists, and above all Gottlob Frege have for him.

a. Wittgenstein: Meaning as Use

Dummett states that early in his career (before he published the work on which his reputation rests), “I regarded myself, doubtless wrongly, as a Wittgensteinian” (Dummett, 1993a 171). The most important idea that Dummett took from the later works of Wittgenstein, is that “meaning is use”. To know the meaning of a word is to understand that word, and to understand it is to be able to use it correctly. Of course, in order to be able to determine the significance of the claim that meaning is use, we must be able to spell out precisely what is involved in being able to use a word correctly: this is a task to which Dummett devoted a considerable amount of effort.

Wittgenstein also asserted in his later works that the task of philosophy is not to increase the sum of human knowledge, but to release us from the grip of confused metaphysical notions by drawing our attention to certain facts about meaning. Philosophy should limit itself to describing what we do in other areas of life, and should never attempt to alter our practices. Dummett states that, “I have never been able to sympathise with that idea,” (Dummett, 1993a, 174) and, as he has noted, a Catholic philosopher could hardly be content to say that metaphysics is impossible (Dummett, 1978, 435). However, there seems to be a connection between Wittgenstein’s suggestion that meaning is use and his rejection of metaphysics.

In Zettel, Wittgenstein asks the reader to consider two philosophers, one an idealist, the other a realist, who are raising their children to share their philosophical beliefs. An idealist holds that physical objects only exist in so far as they are perceived; talk of unperceived physical objects is merely a means to making predictions about future observations. The realist holds that physical objects exist independently of our capacity to perceive them. Wittgenstein suggests that both philosophers will teach their children how to use vocabulary about physical objects in exactly the same way, except, perhaps, that one child will be taught to say, “Physical objects exist independently of our perceptions,” and the other will be taught to deny this. If this is the only difference between the two children, says Wittgenstein, “Won’t the difference be one only of battle-cry?” (Wittgenstein, 1967, 74). For Wittgenstein, to understand the use of a word, in the manner that is relevant to philosophy, it is necessary to understand the role that sentences involving that word play in our lives. His claim in this case is that those sentences which philosophers take to express substantive statements about realism and idealism play no role whatsoever in our lives. The metaphysical sentences have no use, and so there is nothing to be understood—they are strings of words without a meaning. Wittgenstein’s hope is that once we see that, in a given metaphysical dispute, both sides are divided by nothing more than their different battle cries, both parties will realize that there is nothing to fight about and so give up fighting.

The argument presented above for the conclusion that metaphysical disputes are arguments about nothing does not follow just from the doctrine that meaning is use: a necessary part of the argument was the controversial observation that one’s stance on a particular metaphysical issue has no possible relevance to any practices in which one engages outside the arcane practice of arguing with other metaphysicians. This would have to be demonstrated for each metaphysical dispute in turn. Dummett accepts that meaning is use, but not that metaphysical problems need to be abandoned rather than solved. Therefore, he is faced with the challenge of explaining what content metaphysical statements have, by pointing out the exact connection between metaphysical doctrines and other practices in which we engage. Dummett met this challenge by focusing upon a disagreement in philosophy of mathematics, the dispute between intuitionists and Platonists.

b. Intuitionism: the Significance of Bivalence

In philosophy of mathematics, the term “platonism” is used to describe the belief that at least some mathematical objects (for example, the natural numbers) exist independently of human reasoning and perception. The Platonist is a realist about numbers. There are various forms of opposition to platonism. One form of anti-realism about mathematical objects is known as intuitionism.

Intuitionism was founded by L. E. J. Brouwer (1881-1966). The intuitionists argued that mathematical objects are constructed, and statements of arithmetic are reports by mathematicians of what they have constructed, each mathematician carrying out his or her own construction in his or her own mind. A concise statement of this case may be found in a lecture delivered by Brouwer in 1912 (Brouwer, 1983). This process of construction involves what Kant called “intuition”, hence the name “intuitionism”. Dummett does not, in fact, find the case presented by Brouwer very convincing, relying as it does on the idea that a mathematical construction is a process carried out by the individual mathematician within the privacy of his or her own mind. This seems to identify the meaning that one attaches to a mathematical term with a private mental object to which only that person has access. For Dummett, the significance of Brouwer lies not so much in the way that he and his immediate followers argued for their position, as in their exploration of the implications of their philosophical position for mathematical logic (Dummett, 1978, 215-247).

From an intuitionistic perspective, to claim that some mathematical proposition, P, is true is to claim that there is a proof of P, that is, that ‘we’ have access to a proof of P. It is the task of the mathematician to construct such proofs. To claim that the negation of P is true is to claim there is a proof that it is impossible to prove P. Of course, there is no guarantee that, for any arbitrary mathematical proposition, we will have either a proof of that proposition or a proof that no proof is possible. From the perspective of platonism, whether or not we have a proof, we know that P must be either true or false: mathematical reality guarantees that it has one of these two truth-values. From an intuitionist perspective, we have no such guarantee.

Consider, for example, Goldbach’s conjecture, the conjecture that every even number is the sum of two primes. So far, nobody has discovered either a proof or a counter-example. It makes sense, from a realist perspective, to suppose that this conjecture might be true because every one of the infinite series of even numbers is a sum or two primes, even though there might be no proof to be discovered. As far as the intuitionist is concerned, the only thing that could make it true that all even numbers are the sum of two primes is that there be a proof. For all we know, according to the intuitionist, there might be no proof and no counter-example, in which case there is nothing to give the conjecture a truth-value.

The belief that every proposition is determinately true or false is the principle of bivalence. If we assert that the principle of bivalence holds of some set of propositions, even though we do not know whether, for every proposition in that set, there is sufficient evidence to confirm or refute that proposition, then our assertion of bivalence must be based on the belief that truth can transcend evidence. In dealing with mathematics, to have sufficient evidence to confirm a proposition is to have a proof of that proposition. So we see that, in the dispute between platonists (realists about numbers), and intuitionists (anti-realists about numbers), the realist affirms the principles of bivalence and that truth may transcend evidence, and the anti-realist denies these two principles.

Intuitionism is a doctrine that has clear implications for mathematical practice: the realist considers certain inferences to be valid which the intuitionist considers to be invalid. Suppose, for example, we have a proof that ‘P implies R’, and that ‘not-P implies R’. In the form of logic favored by the realist, classical logic, we then have a proof of R, because we can apply the law of excluded middle, which tells us that ‘P or not-P’. The intuitionist cannot appeal to the law of excluded middle. In order to derive R from ‘P implies R’ and ‘not-P implies R’, the intuitionist would also have to prove either P or not-P. In virtue of these clear implications for mathematical practice, the difference between the Platonist and the intuitionist can hardly be dismissed as merely one of battle-cry.

Dummett has suggested that certain other philosophical debates between realists and anti-realists should take the same form, once both sides properly understand the nature of the debate. The example taken from Wittgenstein concerned a debate between a realist and an idealist concerning physical objects. According to Dummett, the idealist’s opposition to the view that physical objects exist independently of our perceptions of them should result in the rejection of both evidence-transcendent truth and bivalence. The idealist will be proposing some reform of classical logic, although it might not be exactly the same as that proposed by the intuitionist, since it will have to incorporate an account of what counts as sufficient evidence to confirm or refute a statement about physical objects. The important point to note is that the issue at stake will be which logical laws we should accept. If Dummett is correct, the great insight of the intuitionists was to realize that metaphysical disputes were really disputes about logical laws. However, we have also seen that he does not find the arguments of Brouwer and others in favor of this revision of classical logic to be compelling. He believed that the thinker who provided the tools that will enable us to solve such disputes was Gottlob Frege, not Brouwer.

c. Frege and Dummett

i. Frege: the Significance of Philosophy of Language

Gottlob Frege (1848-1925) was a mathematician by profession, whose work on the foundations of mathematics carried him deep into philosophical territory. His ultimate goal, for most of his career, was to demonstrate that all truths of arithmetic could be derived from purely logical premises. This position is known as “logicism.” Frege’s attempted proof of logicism was a failure, and, thanks to Kurt Gödel, we know that no single axiomatic system can suffice for the proof of all truths of arithmetic. In Frege: Philosophy of Mathematics Dummett attempts to pinpoint exactly where Frege went wrong. For current purposes, it is more important to understand the extent to which Dummett approves of Frege’s work. Dummett has probably been the most important commentator on Frege. His interpretation of Frege’s work is by no means universally accepted, but serious students of Frege’s work can hardly afford to ignore it.

According to Dummett, Frege’s unsuccessful project had two important by-products. In order to vindicate his logicism, Frege had to invent a language in which numbers could be defined by means of a more primitive logical vocabulary, and by means of which statements of arithmetic could be either proved or disproved. This Frege achieved in 1879, the major technical innovation being the use of quantifiers to handle statements involving multiple generality. In other words, Frege invented a formal language in which it is possible to display the difference between “Everybody loves somebody”, and “There is somebody whom everybody loves”, and to demonstrate clearly how different conclusions can be derived from each these. This was a major achievement, and all current formal languages, rely upon Frege’s method for expressing such statements. Consequently, Frege has been crowned as the founder of modern formal logic.

It is hardly surprising that, having used logic to investigate the foundations of mathematics, Frege should also have been interested in the nature of logic itself. Frege wrote a variety of papers on the nature of thought, meaning and truth; and on a number of occasions, he attempted to combine these into a comprehensive treatise on logic. Dummett adopts the label “philosophy of language” for this aspect of Frege’s work, and he views it as the second important by-product of Frege’s failed project (Dummett, 1981b, 37).

Why does Dummett reject Frege’s own term for this field of study, “logic”, and instead describe it as “philosophy of language”, a label whose accuracy has been disputed? Dummett rejects the label “logic” because he prefers to use that word in the narrow Aristotelian sense of the study of principles of inference (Dummett, 1981b, 37). That alone does not explain why he chooses “philosophy of language” as an alternative label, rather than, for example, “philosophy of thought.” This label is adopted because he thinks that Frege’s work made it natural for philosophers to take the “linguistic turn“, and thus to become analytical philosophers, although Dummett acknowledges that Frege himself did not explicitly make this turn, and that some of his statements seem to be antithetical to it (Dummett, 1993a, 7). According to Dummett, the linguistic turn is taken when one recognizes

[F]irst, that a philosophical account of thought can be attained through a philosophical account of language, and, secondly, that a comprehensive account can only be so attained. (Dummett, 1993a, 4)

As an example of how Frege’s approach to philosophical questions anticipated the explicit acknowledgement of the priority of language over thought, Dummett refers to Frege’s use of the context principle in Die Grundlagen der Arithmetik, published in 1884. When faced with the question of what number words mean, Frege invokes the context principle, which is characterized by Dummett as

[T]he thesis that it is only in the context of a sentence that a word has a meaning: the investigation therefore takes the form of asking how we can fix the senses of sentences containing words for numbers. (Dummett, 1993a, 5)

It should be noted that the term that Dummett here translates as “sentence”, Satz, is, in this passage, (p. x of Frege’s original text) translated as “proposition” by J.L. Austin (Frege, 1980a, x) and Michael Beaney (Frege, 1997, 90). Dummett’s translation is more favorable to his interpretation of the context principle as a linguistic principle than that of Austin and Beaney.

What is important, for Dummett, is that Frege does not approach the question of numbers by focusing on what is happening inside our heads when we think of a number. Frege, even if he did not explicitly embrace the linguistic turn, rejected psychologism—the view that would have us understand logic by studying private mental processes. Dummett holds that the rejection of psychologism leads more or less inevitably to the linguistic turn (Dummett, 1993a, 25).

On Dummett’s view, the contrast between Brouwer and Frege could be put as follows. Brouwer introspected, and found that he had intuitions of proofs, but not of numbers. Frege focused on sentences containing numerical terms, asking whether the numerical terms functioned as names, and whether there was a guarantee that such sentences were all determinately true or false, holding that an affirmative answer to each of these two questions would be sufficient to establish that numbers are objects—the presence or absence of any private mental ideas or intuitions being irrelevant.

Even if the use Frege makes of the context principle in the Grundlagen makes a turn to philosophy of language inevitable, that need not in itself be seen as a contribution to philosophy of language. Indeed, Dummett himself writes as follows of the Grundlagen:

Realism is a metaphysical doctrine; but it stands or falls with the viability of a corresponding semantic theory. There is no general semantic theory in, or underlying the Grundlagen; the context principle repudiates semantics. That principle, as understood in the Grundlagen, ought therefore not to be invoked as underpinning realism, but as dismissing the issue as spurious. (Dummett, 1991a, 198)

Dummett holds that Frege did supply a semantic theory in his writings after the Grundlagen, indeed, a few lines after the paragraph cited above, he adds:

Full-fledged realism depends on—indeed, may be identified with—an undiluted application to sentences of the relevant kind a straightforward two-valued classical semantics: a Fregean semantics in fact.

A “straightforward two-valued classical semantics” involves a commitment to bivalence, and we have already seen why Dummett views this as the defining feature of realism. Commentators who do not accept Dummett’s characterization of realism would not necessarily agree with his characterization of Frege as a realist, since it is not a label that Frege himself adopts. We must now consider what it was that Frege added to his philosophy after the Grundlagen that constitutes, on Dummett’s view, a general semantic theory incorporating the principle of bivalence. If the Grundlagen can be used by Dummett as evidence that Frege’s work made a turn to philosophy of language inevitable, it is to his later writings that he turns for evidence of Frege’s contributions to philosophy of language.

ii. Frege and the Origins of Semantics

Dummett describes Frege as a realist in virtue of his semantic theory. Frege never explicitly described himself as a realist, and never explicitly stated that he was advancing a semantic theory. Dummett’s interpretation provides a framework for evaluating the views that Frege did explicitly advance. To understand Dummett’s interpretation of Frege, it will be useful to see how this interpretation can be used to make sense of the views advanced in Frege’s most influential paper, “Über Sinn und Bedeutung” (Frege, 1892). The translation of Bedeutung has been a controversial question; a guide is given in Beaney’s preface to (Frege, 1997, 36-46). Dummett’s preferred translation is “reference” (Dummett, 1981a, 84), so that the title of the article would be “On Sense and Reference”. The standard English translations (Frege, 1980b, 56-79 and Frege, 1997, 151-172) both include page references to the original text of 1892.

Frege introduces the distinction between sense and reference by the example of proper names. It is frequently informative to be told that two names stand for the same object: it was, for example, a significant discovery that the evening star is the morning star. In such a case, Frege says that we are discovering that two names that have a different sense have the same reference. They have the same reference because they stand for the same object, they have a different sense because, in each case, the object is presented in a different way (Frege, 1892, 26). Frege then asserts that, in indirect speech, rather than using a name to speak of the object referred to, as is usual, we speak about the sense. If “the morning star” and “the evening star” really do designate one and the same object, then any true statement that includes the phrase “the morning star” can be converted into a true statement in which the phrase “the evening star” is substituted for “the morning star” throughout. An obvious exception to this rule would be a statement such as “Before it was discovered by the Babylonians that the morning star is the evening star, people did not believe the evening star was visible in the morning” (Frege, 1892, 28). Frege’s claim is that the sense is that which is understood by users of a word. When we talk about pre-Babylonian astronomical beliefs, what is relevant to the truth of what we say is the understanding people then had of “the morning star”, and not, as is more usual, the morning star itself.

Frege is very clear that the sense of a word is something objective: two people grasp one and the same sense of a word, just as two people may view the moon through one and the same telescope (Frege, 1892, 31). Frege then introduces a new piece of terminology: a name designates its reference, but expresses its sense (Frege, 1892, 32).

Having introduced the distinction between sense and reference, Frege then asks whether a sentence has a reference (Frege, 1892, 32). He starts by asserting that a sentence expresses a thought. This implies, of course, that a thought is the sense of a sentence, because what is expressed is a sense. He also observes that when we alter the sense of any part of a sentence, the sense of the whole sentence is altered (Frege, 1892, 32). So, just as two people can both grasp the sense of a particular name, they can also grasp the sense of a particular sentence: that is, different people can think the very same thought. Now that it is established that a sentence has a sense, and that the sense of the sentence depends upon the sense of the parts of the sentence, Frege argues that if the sentence has a reference, this too would depend on the reference of the parts. If a proper name lacks a bearer, then it will not have a reference, and one would expect that a sentence that contains a name without a bearer would lack a reference. Frege considers an example of a sentence that contains a name without a bearer, a sentence from The Odyssey about Odysseus—Frege is supposing that there is no such person as Odysseus. Frege asserts that such a sentence fails to be true or false: what the sentence lacks is a truth-value (Frege, 1892, 33). This leads Frege to conclude that the reference of a sentence is its truth-value: he states that the True and the False are objects, and truth-values, and that all sentences either name one of these two objects, or else they are names that fail to name anything (Frege, 1892, 34).

Frege then finds further support for this conclusion. He has already stated that if two names stand for the same object, one name may be substituted for the other without changing the truth of what is said, unless, as in indirect speech, we are using a name to designate the sense that that name usually bears. Frege claims that the same applies to sentences. When one sentence contains another as its part, the truth-value of the larger sentence is unchanged when the sentence that forms a part is replaced by another sentence that bears the same truth-value, unless we are dealing with indirect speech (Frege, 1892, 36). Frege proceeds to defend this claim in the rest of the article, analyzing particular cases.

Dummett holds that there are two guiding principles that we need in order to understand Frege’s work on sense and reference. The first is that Frege is offering a semantic theory, in which the reference of an expression is its semantic value, the second is that to understand the relationship between a word and its referent, we must take as a model the relationship between a name and its bearer (Dummett, 1981a, 190).

A semantic theory explains how the truth-value of a sentence is determined by its parts. In a semantic theory, every simple expression is assigned a semantic value, and the semantic value of a complex expression is determined by the semantic value of the simple expressions from which it is composed. The truth-value of a sentence is determined by the semantic value of its parts.

Consider, for example, the expressions “George Lucas”, “Gottlob Frege”, “contributed to mathematical logic”, and “directed a famous film”. The sentence “Gottlob Frege contributed to mathematical logic” is true, but the sentence “George Lucas contributed to mathematical logic” is not true. This is because “Gottlob Frege” and “George Lucas” each have a different semantic value, or, in plain English, “Gottlob Frege” and “George Lucas” are not two different names for the same person (and George Lucas made no independent contribution to mathematical logic). Similarly, from the fact that “Gottlob Frege contributed to mathematical logic” is true, but “Gottlob Frege directed a famous film” is not true, we can conclude that “… directed a famous film” and “… contributed to mathematical logic” do not share the same semantic value.

Semantic theories have a role in the justification of systems of formal logic. Dummett holds that Frege used his work on sense and reference to justify his formal system in exactly the way that logicians today use what is explicitly described as a semantic explanation. Indeed, Dummett sees Frege’s work as providing the foundations for all current work in semantics of natural language (Dummett, 1981a, 81-83).

Dummett does not just claim that Frege had a semantic theory; he claims that he had a realist semantic theory. The semantic theory is realist because the prototype of a term’s semantic value is the object designated by a name: a term’s having a semantic value is equated with its picking out non-linguistic reality, and the failure to pick out non-linguistic reality would result in a failure to have a semantic value (Dummett, Frege: Philosophy of Language, 1981a, 404). From Frege’s perspective, if an expression lacks a semantic value, then that really is a failure: a semantic value is something that no expression should be without. If a (declarative) sentence lacks a truth-value, that is because something has gone wrong: all (declarative) sentences should be either true or false, because their components should all denote bits of reality.

iii. Frege’s Unfinished Business

Dummett holds that it was an important turning point when Frege described a sentence as a proper name for a truth-value. He thinks that, at this point, Frege lost sight of an important insight embodied in the context principle: the importance of the sentence as the smallest unit of language that can be used to say something. Once a sentence is treated as just a proper name, and a truth-value as just another object, there is no acknowledgement that there is something special about the role of a sentence in language (Dummett, 1981a, 195-196).

Dummett is also unsatisfied by Frege’s account of sense. We have seen that, for Frege, several people may grasp the sense of one word or of one thought, and that just as the sense of a name denotes an object, the sense of a thought denotes a truth-value. But what is involved in grasping a sense?

Frege’s answer is that senses are neither part of the world of spatio-temporal objects, nor do they exist inside the minds of individuals. They belong to a “third realm”, a timeless world, to which all of us have access. Dummett is far from endorsing the suggestion that thoughts occupy a third realm beyond time and space. He describes this doctrine as a piece of “ontological mythology”, the term “mythology” here being used in a purely pejorative sense (Dummett, 1993a, 25). Dummett thinks that these two loose ends should be tied together. Rather than being content to describe the act of understanding as involving a mysterious connection between our minds and timeless entities known as senses, we should focus on the practice of using sentences in a language. This, in turn requires us to think about the purpose of classifying sentences as true or false, and that requires that we think about the purposes for which we use a language (Dummett, 1981a, 413). The result of this process might be to vindicate Frege’s semantics, or it might vindicate the intuitionist position. Dummett’s most influential contribution to philosophy can be understood as an attempt to resolve this unfinished business.

3. Dummett on Realism and Anti-Realism

Along with his historical work, Dummett is known for his on-going work on a grand metaphysical project. The aim of this project is to find a means of resolving a number of debates, each of which has a common form but a different subject matter. In each debate, there is a realist, and an anti-realist, and they differ concerning which logical principles they apply to statements of the type that are under dispute—as it may be, statements of arithmetic, statements about the past, about the future, about the physical world, about possible worlds, and so forth. To decide in favor of anti-realism in one instance does not mean that one must always decide in favor of anti-realism, and the same is true for realism.

Some of Dummett’s papers deal with arguments that are quite specific to one particular debate—for example, he discusses the charge that anti-realism about the past is ultimately self-defeating, since what is now the present will be the past (Dummett, “The Reality of the Past”, in his 1978), and he has advanced an argument about the nature of names for non-existent natural-kinds that is intended to undercut David Lewis’s argument for the thesis that all possible worlds are real (Dummett, “Could There Be Unicorns?” in his 1993b). However, he is best known for advancing a generic line of argument that the anti-realist in any particular debate could appeal to. That does not mean that he thinks that the anti-realist will always be successful. In his valedictory lecture as Wykeham Professor of Logic, he stated:

I saw the matter, rather, as the posing of a question how far, and in what contexts, a certain generic line of argument could be pushed, where the answers ‘No distance at all’ and ‘In no context at all’ could not be credibly entertained, and the answers ‘To the bitter end’ and ‘In all conceivable contexts’ were almost as unlikely to be right. (Dummett, 1993b, 464)

The difference between the realist and the anti-realist, in each case, concerns the correct logical laws, because, for reasons explained in section 2.2, Dummett thinks that metaphysical debates are properly understood as debates about logical laws. Dummett’s most complete statement of the nature of such metaphysical debates, and the means by which they can be resolved was The Logical Basis of Metaphysics (Dummett, 1991b).

a. Justifying Logical Laws by a Semantic Theory

According to Dummett, to find out how to resolve metaphysical disputes, we must find out how to justify a logic—that is, a set of principles of inference. Logic is the study of validity—an inference is valid if, and only if, the truth of the premises guarantees the truth of the conclusion. The logician wants to be able to recognize such truth-preserving inferences by their structure. More precision can be achieved by presenting inferences in a formal system (Dummett, 1991b, 185), and precision comes to be of vital importance when we are trying to choose between rival logical systems.

The logician wants to be able to recognize, from the structure of one set of sentences, that the members of another set of sentences are true. One method of validating rules of inference is by means of a semantic theory. In such a theory, every expression is assigned a semantic value, and an account is offered of how the semantic value of a complex expression is based upon the semantic value of its components. The aim of the semantic theory is to explain how the parts of a sentence determine the truth-value of that sentence (Dummett, 1991b, 23-25), as was explained above.

At this point, it may be helpful to focus upon a particular inference and a particular semantic theory. Suppose that we assign the following semantic values to symbols in the following way. P and Q stand for atomic sentences, which have either the value true, or the value false, and never both values. The symbol “~” when followed by a symbol which stands for an atomic sentence has the opposite value of the value of that atomic sentence. The symbol “(x v y)”, where x and y are replaced by symbols which stand for atomic sentences has the value true when at least one of those atomic sentences has the value true. Otherwise, it has the value false. Next, we consider the following argument:

(1) (P v Q)
(2) ~Q
Therefore P.

To validate this inference, we must show that if (1) and (2) are true, then the conclusion, P, must also be true. If (2) is true, then Q is false. If Q is false, then if (1) is true, it must be in virtue of the truth of P, since if both P and Q were false, (1) could not be true. So we must suppose that P is true, and that is what we were trying to demonstrate.

In this case, the semantic theory used incorporated the principle of bivalence: every sentence was assigned either the value true or the value false. For reasons explained in sections 2.2 and 2.3.2, Dummett considers this to be characteristic of realist semantics. There is no one simple alternative to the principle of bivalence. One could depart from bivalence in virtue of having more than two truth-values, or in virtue of admitting that there are sentences without a truth-value, or in virtue of believing that we have no guarantee that all sentences will have one of the two values true or false. Just as there are many alternatives to bivalence, there are many alternatives to classical logic. Although Dummett’s work on deduction has its roots in the debate over intuitionism, it does not necessarily follow that, in every case, the alternative logic advocated by a Dummett-style anti-realist would be intuitionistic logic. The correct logical principles should become clear once the correct semantic theory is established.

Of course, in this case, it probably was not necessary to offer a semantic theory in order to convince the reader of the validity of the inference. Indeed, the astute reader might well wonder whether such a procedure can serve to justify a logical law at all. Did we not invoke logical laws when explaining how the inference under discussion was justified?

The answer is that we did—but this need not render the justification circular. Dummett is clear that he is not trying to show how deductive practices could be justified to someone who is completely skeptical about the possibility of deduction; rather, he is considering how we might decide whether a particular rule of inference, which is accepted by some logicians but not by others, is justifiable. As long as no logical law that is under dispute is used in the semantic theory, it will be possible to offer a justification that does not beg the question. It is important to note that the set of logical laws that are used in the semantic theory need not be co-extensive with the set of logical laws that are justified thereby (Dummett, 1991b, 204).

b. The Role of Proof-Theoretic Justification

Dummett devotes considerable attention to establishing a procedure that can be used to show that a law is beyond dispute, a procedure that he terms “third-grade proof-theoretic justification.” These are the logical laws that can be used in the semantic theory without fear of controversy. It is not possible to explain the procedure in full here, only to outline the basic principles on which the procedure is based.

As we have seen, logic deals with our ability to recognize that one set of sentences implies that all the members of some other set of sentences are true, in virtue of the structure of the sentences. The task of a system of formal logic is to display the structure, or form, in virtue of which such inferences are possible. Within such a system, the principal operator in a sentence indicates which other sentences may be derived from that sentence, possibly in conjunction with other sentences. For example, the symbol “&” may be used to indicate conjunction: if it is true to assert P & Q, then we know that it is true to assert P and true to assert Q. When we derive, for example, P from P & Q, we are said to be applying an elimination rule for “&”: a rule which states how to derive from a sentence which contains “&” a sentence which does not contain “&”. As well as elimination rules, a logical constant also has introduction rules. We apply an introduction rule for “&” if, having derived P from one formula, and Q from another, we then assert P & Q.

Let us assume (and this assumption is not trivial), that, whenever we assert a sentence containing “&”, that sentence could have been derived by means of the introduction rule. Given the set of introduction and elimination rules for “&”, along with our assumption, it will be clear that, if we add the constant “&” to a language, the only sentences that we can now assert, although we were not entitled to assert them before, are sentences which contain “&”. When we derive some new sentence from a sentence containing “&”, by applying the elimination rule, the final sentence will be one that we could have asserted anyway. In technical terms, this means that if we extend the language by adding the term “&”, we have only a conservative extension. Dummett is in agreement with Belnap’s thesis is that if we can show, for some rule, that adding this rule to a language involves only a conservative extension, then we have a reason for supposing that the addition of this rule has been justified (Dummett, 1991b, 217-220).

The assumption that, when we have a sentence containing a logical constant, that sentence could have been derived using the introduction rule for the constant, is referred to by Dummett as “the fundamental assumption”. It is necessary to consider, for each logical constant whose introduction and elimination rules we wish to justify, whether the fundamental assumption is correct for it. Consider, for example, disjunction, “v“—that is, the logical constant which is more or less equivalent in meaning to “or”. The standard introduction rule for disjunction is that, if one can assert P, one can assert “P v Q”, and if one can assert Q, then one can assert “P v Q”. To decide whether the fundamental assumption is true in this case, it is necessary to consider whether, if I see a child running across the street and say “A boy or a girl is running across the street,” it is always true that I could have looked more closely, and been in a position to say either “A boy is running across the street,” or “A girl is running across the street.” It is a difficult task to spell out the precise content of “could have”, and thus a difficult task to determine whether the fundamental assumption should be accepted for each constant (Dummett, 1991b, 270).

Even if we accept the fundamental assumption, not every alleged logical rule involves making merely a conservative extension to the language. Suppose we know that “If P, then Q” is true and also “If not-P, then Q”, and from this, we derive “Q”. Here, we are applying an elimination rule that does not involve a merely conservative extension of the language, because it could be that the truth of “Q” was not used in deriving either of the two conditional statements.

The technical apparatus for examining whether adding some constant to the language involves a conservative or non-conservative extension is known as “proof-theory”. It was pioneered by Gerhard Gentzen. Dummett’s third-grade proof theoretic justification builds on the work of Dag Prawitz. Dummett’s requirements are, in fact, more stringent than that adding an operator to a language involve a merely conservative extension of the language, because it is necessary to take into account that two or more operators each of which, taken on its own, involves a conservative extension might, taken together, involve a non-conservative extension, (Dummett, 1991b, 286-290), but we cannot discuss all those details fully here.

It must be remembered that Dummett is not arguing that we should accept only those logical laws which can be justified by these means—rather, he is suggesting that these logical laws are the ones which can be taken for granted when trying to justify more controversial principles. Logical constants that are justified by third-grade proof-theoretic justification are above reproach. Other logical constants may be justified, if at all, by a semantic theory. Proof-theoretic justification is not sufficient to settle disputes about logical laws: it is a useful means of showing that an inference is valid, but it is less useful as a test for invalidity. The set of logical laws that are justified by a semantic theory need not be the same as the set of logical laws that are appealed to in explaining that theory (Dummett, 1991b, 301).

So, we settle a debate about a logical law by offering a semantic theory—but that just pushes the problem back one stage further; we must still consider how to settle debates about rival semantic theories. Dummett’s answer is that just as a logic may be justified by a semantic theory, a semantic theory may, in turn be justified by being made the basis of a meaning-theory.

c. Justifying a Semantic Theory by Means of a Meaning-Theory

A meaning-theory is an explanation of the skill that anyone who understands a language has. As language-users, we are faced, continually, with sentences that we have never before encountered. It seems that there must be some set of rules of which we have implicit knowledge, which enable us to deduce the meaning of new sentences. Dummett is by no means alone in seeking for such a theory: in particular, there is a certain amount of overlap between Dummett’s thinking and that of Donald Davidson, although it would be well beyond the scope of this article to examine the similarities and differences between these two thinkers in detail.

One suggestion, which Davidson has advocated strongly, is that a meaning-theory would specify a set of rules from which we could derive, for any sentence, a knowledge of the conditions under which that sentence is true. The suggestion is that, if you know of some sentence of a foreign language that the sentence is true if the cat is on the mat, and false if the cat is not on the mat, then you know that the sentence in question means “The cat is on the mat.”

Dummett endorses the proposal that this is the best suggestion currently on offer for constructing a meaning-theory (Dummett, 1991b, 164), and notes that such a theory must be built on foundations laid by Frege. However, he distinguishes between a strong and a weak sense in which truth can be the central notion of a meaning-theory. In the strong sense, meaning is to be explained in terms of truth-conditions, as above, and it is simply taken for granted that we know what truth is. If truth is central to the meaning-theory only in the weak sense, then although knowledge of the meaning of a sentence is equated with knowledge of its truth-conditions, some further explanation is offered of what it is for a sentence to be true (Dummett, 1991b 113, 161-163). For example, an intuitionist would say that to understand some mathematical formula, it is necessary to be able to distinguish between those mathematical constructions which do and those which do not constitute proofs of the formula in question: truth is here being explained in terms of provability. If truth is central to the meaning-theory in the strong sense, however, grasp of truth-conditions is not explained in terms of any more fundamental notion: we are just told that to understand the meaning is to understand the truth-conditions, it being assumed that, for every sentence, there is something which renders it either true or false.

The connection between a semantic theory and a meaning-theory should now be apparent. Both the realist and the anti-realist offer semantic theories that explain how the semantic value of a sentence is determined by the semantic value of its parts. A meaning-theory of the type favored by Dummett will explain how, when we see what words are used in a sentence and the order in which they are put together, we are enabled to understand the truth-conditions for that sentence. The realist, adhering to the principle of bivalence, supposes that all the sentences will be determinately true or false. The anti-realist, on the other hand, can bring other notions into play to explain what it is for a sentence to be true.

So, the logic is justified by a semantics; the semantics is justified by a meaning-theory. How is the meaning-theory to be justified? A meaning-theory is judged to be successful according to whether it provides us with a satisfactory explanation of what it is to understand a language. It is important to note that Dummett requires that the meaning-theory provide us with a genuine explanation of what understanding is. He points out that while it is, no doubt, correct to say that someone understands the meaning of “Davidson has a toothache” if, and only if, they know that an utterance of this sentence is true if, and only if, Davidson has a toothache, this account fails to provide us with a non-circular explanation of what it is to understand the utterance. We want to be told exactly what it is to know that such an utterance is true. Meaning-theories of this type are classified by Dummett as “modest”, and he urges other philosophers to set about the harder task of providing more ambitious meaning-theories, meaning-theories that are, in his terminology, “full-blooded.” A full-blooded theory offers an explanation of understanding, which does not rely on a prior grasp of concepts such as “understanding”, or “knowing the truth-conditions” (Dummett, 1991b, 113, 136).

d. Justificationist Semantics

We are now in a position to consider the “generic line of argument” that Dummett considers can be advanced by the anti-realist. This argument makes use of the Wittgensteinian principle that meaning is use. Dummett takes this to mean that there can be no element in linguistic understanding that is not manifested in the way a word is used in practice. When we recognize that a sentence is true, we are manifesting that we have a certain ability—the ability to recognize that the sentence has been verified. The same holds when we recognize that a sentence has been decisively refuted. According to an anti-realist meaning-theory ( in which justification is central), the ability to recognize when a sentence has been decisively confirmed or refuted is constitutive of knowing the meaning. (Dummett terms this a justificationist semantics). According to the realist, knowledge of how a sentence may be confirmed or refuted is answerable to a prior knowledge of the meaning.

Dummett is aware that the realist suggestion is far more intuitively compelling. However, he argues that it may yet prove to be mistaken. He offers several arguments, of which I will summaries one. Suppose that realism is correct. In that case, our ability to agree about what things are yellow is dependent upon our shared understanding of what makes it true that something is yellow. It would therefore be possible that, tomorrow, everything which is yellow becomes orange and vice versa, and that, at the same time, we all undergo a collective psychological change, so that things which are really yellow now appear to us to be orange, and vice versa. In other words, a major change would have taken place in reality, and yet none of us would notice it. Given that we had not altered the truth-conditions of sentences involving “yellow” and “orange”, we would now be making many false utterances using these words. Yet this widespread falsity would pass entirely unnoticed; indeed, it would be entirely inconsequential. Our assertions would be fulfilling perfectly every purpose that they have, and yet would be false. If we admit this possibility, it seems incorrect to say, as Dummett thinks we should, that truth is the goal of our assertions. Truth and falsity would have lost their connection with practice.

Alternatively, one might argue that we would still be making true statements using “yellow” and “orange”, but that the meanings of the words “yellow” and “orange” would have been altered. In that case, meaning has been altered, even though there is no observable difference in the practice, and so meaning has lost its connection with practice.

For the anti-realist, this possibility cannot arise, because there is no gap between what makes an assertion correct, and the most direct means that we have of checking that assertion. Dummett does allow that there will be indirect means of confirming a sentence, that is, methods for showing that, had we applied our most direct, or canonical method of verification, it would have been successful (Dummett, 1991b, 313-314).

It is by this type of argument that Dummett hopes to persuade us to rethink our attachment to realism. Of course, he does not think that we will know whether to be a realist or an anti-realist about a specific subject matter until we have a well-worked out meaning-theory. He does not assert that in all cases the correct meaning-theory will be an anti-realist one. Indeed, he has also offered reasons for supposing that “global anti-realism”—the thesis that anti-realism is always correct—is untenable (for example, Dummett, 1978, 367). Dummett’s anti-realism was first formulated as a thesis about arithmetic, and, as he points out, applying it to empirical discourse is not a straightforward matter:

The fundamental difference between the two lies in the fact that, whereas a means of deciding a range of mathematical statements or any other effective mathematical procedure, if available at all, is permanently available, the opportunity to decide whether or not an empirical statement holds good may be lost: what can be effectively decidable now will no longer be effectively decidable next year, nor, perhaps, next week. (Dummett, 2004, 42)

The most extreme form of anti-realism would be the theory that a statement about the past is rendered true or false only by evidence available to the speaker at the time of asserting it. This would imply that if the only evidence for the occurrence of an event is that some individual remembers it, and that individual takes the memory to their grave, then when the witness dies it ceases to be true that the event took place. However, it is basic to Dummett’s whole approach that meaning is determined by how a community uses the language; an individual acting alone cannot confer a meaning. Justification is therefore a collective enterprise; what matters is not whether I can verify a statement, but whether we can verify it, where ‘we’ are a community that includes people who are now dead. Dummett therefore rejects this most extreme form of anti-realism about the past as being too solipsistic. (Dummett, 2004, 67-68)
For this reason, Dummett accepts that some concession must be made to realism when it comes to dealing with statements about the past. He has made different suggestions about how much should be conceded: in his Gifford lectures, he argued that a proposition is true if and only if we are or were in a position to establish its truth, in the Dewey lectures that a proposition is true if and only if someone suitably placed would have been able to do so. The latter implies that statements concerning times before any human being existed have a determinate truth-value on the grounds that, if someone had existed then, they would have been able to confirm or deny such statements. (Dummett, 2006, vii-viii) These two lecture series offer quite different views about the nature of time.

It should be noted that the philosophical motivation for making a concession to realism is the attempt to do justice to the manner in which statements about the past are justified. Dummett’s justificationist approach to semantics does not imply a dogmatic insistence on anti-realism. Rather, he advocates a method for spelling out what it is to grasp truth-conditions by focusing on the way in which that grasp of truth-conditions is manifested. His central objection to truth-conditional semantics is that their advocates presuppose that we know what it is for something to be true, yet they never explain what constitutes such knowledge. This he regards as an act of faith that stands in need of a rational foundation. (Dummett, 2006, 55) Whatever concessions the justificationist may make to the realist, this central principle is not compromised.

e. God

In his Gifford Lectures, Dummett presents an argument for the existence of God that depends on his justificationist semantics. According to justificationist semantics, any account of the way the world is must be an account of the way the world is perceived by someone. We know that different animals perceive the world in different ways, and we aspire to break out of the limitations of merely human perception, and perceive the world as it is in itself—the single reality that underlies the very different perceptions that constitute the world of dogs and the world of humans.

By means of science, we have made some progress towards understanding the world as it is in itself—we can point to ways in which scientific descriptions of the world are improvements on the description based on our bare perceptions, so our aspiration to know the world as it is in itself cannot be dismissed as an incoherent longing. But insofar as this aspiration is coherent, “in itself” cannot mean “without reference to the perceptions of any being.”

We might be led to suppose that perceptions had been successfully eliminated from our account of how the world is if we focus on abstract mathematical models used by scientists, but this is an error. Abstract mathematical models are a necessary part of science, but many such structures exist as models for mathematicians to study. We must be saying something further when we say of one such structure that it is not merely an object of mathematical study, but a true description of the way the world is. This ‘something further’ would include an explanation of how to apply the favored mathematical description, and that would mean matching the abstract mathematical description to perceptions.

Dummett concludes that the single world that underlies the different perceptions of humans and other species can only be understood as being the world as apprehended by a being whose knowledge constitutes the way things are—in other words, the world as apprehended by God. (Dummett, 2006, 103) Dummett thinks that this demonstrates that there exists a Creator who controls and sustains the universe, but he concedes that it is hard to reconcile Biblical statements about God’s goodness with the presence of evil in the world. (Dummett, 2006, 106)

4. On Immigration

Dummett’s work against racism was not motivated by philosophy, but it did result in his publishing a work of moral and political philosophy in 2001. The book, On Immigration and Refugees is aimed at a wide audience. In the first half, Dummett argues for a set of general principles concerning rights of immigrants and refugees. In the second half, he examines the recent history of the United Kingdom (with some discussion of other nations), analyzing the reasons why successive governments have failed to live up to the moral standards defended in the first part of the book.

Dummett’s starting point is that everyone is under an obligation to behave justly in the sense of giving people what they are due, which includes the necessities for living a fully human life. He argues that political philosophy has usually focused on the duties that a state has to its citizens, overlooking the fact that a state also represents its citizens to the outside world. Forming a corporation of any kind does not remove normal human obligations, or grant any right to be selfish, so it is immoral to congratulate politicians for upholding the interests of their own citizens at the expense of giving others what is due to them. One basic human right is to be a “first-class citizen” of some state, that is, a citizen of a state whose values one shares and where one does not face unjust persecution.

Starting from these premises, Dummett argued that there should be a presumption in favor of the right to migrate. The state has a right to refuse entry to criminals, or to halt mass immigration to prevent over-population or the submergence of its culture and language. He emphasized that in practice these conditions are rarely met, and argued that although British colonial authorities encouraged immigration policies that submerged the native population in Fiji and Malaya, the claim that British culture is being “swamped” by immigrants is merely a cover for racism. He also argued that those who are stateless have the right to become citizens of another state. Dummett recommended the creation of a commission run by the United Nations to handle such cases.

5. Dummett’s Influence

A few philosophers, notably Crispin Wright (Wright, 1983) and Neil Tennant (Tennant, 1987, 1997), have attempted to extend the project of providing anti-realist semantics for empirical language. More commonly, philosophers have reacted to Dummett’s work by attempting to demonstrate that his anti-realist arguments are not successful. Even if they are not, it may yet be that he has provided the correct account of what is at stake in metaphysical disputes concerning realism, and the correct account of the proper framework for resolving disputes about fundamental logical laws. Of course, not all philosophers who have considered the matter are agreed even upon that. How often do philosophers agree about anything?

This lack of agreement may not be surprising, but one of Dummett’s early ambitions was to show how philosophers could achieve agreement. His claim was that, once the contributions of Frege are fully appreciated, it would be possible to formulate a method for achieving generally agreed resolutions to problems concerning theories of meaning, and that such work should be viewed as providing the foundations for all future work in philosophy.

He himself pointed out that the similar claims have been made for the work of Husserl, Kant, Spinoza and Descartes, to name but a few, and that, in each case, such claims proved false:

[B]y far the safest bet would be that I am suffering from a similar illusion in making this claim about Frege. To this, I can offer only the banal reply which any prophet has to make to any sceptic: time will tell. (Dummett, 1978, 458)

It may be too early to judge, but so far the passage of time has favored the skeptics rather than the prophet; there does not seem to be a general consensus about how to resolve disputes in philosophy of language, even among analytical philosophers. However, one does not have to agree with Dummett to appreciate that his work is important. His historical work has been devoted towards formulating the basic premises that underlie much contemporary philosophy, including his own. In so doing, he has provided a useful service for critics; those who find themselves out of sympathy with analytical philosophy at least know where to direct their attacks. One does not have to find Dummett’s challenge to classical logic successful to accept that it is worth taking seriously.

It is widely acknowledged that Dummett’s work is not easy to read. His work has been influential despite this. Indeed, his influence may be attributed, in part, to some of those factors that make his work hard to read, such as his refusal to accept superficial solutions, and his skill in unearthing hidden complexities. These features make for work that is daunting to beginners, but rewarding for experts. To read Dummett’s work is to be reminded continuously that anyone who is serious about wanting to discover the answers to deep philosophical questions must be prepared to work very hard. That is a lesson well worth learning.

6. References and Further Reading

Works by Dummett in English

  • (Co-edited with John Crossley): Formal Systems and Recursive Functions: Proceedings of the Eighth Logic Colloquium, Oxford 1963 (Amsterdam: North-Holland, 1965)
  • Frege: Philosophy of Language (London: Duckworth, and Cambridge MA: Harvard University Press, 1st ed. 1973; 2nd ed. 1981a)
  • Elements of Intuitionism (Oxford: Clarendon Press, 1st ed. 1977; 2nd ed. 2000)
  • Truth and Other Enigmas (London: Duckworth, and Cambridge MA: Harvard University Press, 1978)
  • Catholicism and the World Order: Some Reflections on the 1978 Reith Lectures (London: Catholic Institute for International Relations, 1979)
  • (with Sylvia Mann): The Game of Tarot: from Ferrara to Salt Lake City (London: Duckworth, 1980)
  • Twelve Tarot Games (London: Duckworth, 1980)
  • Immigration: Where the Debate Goes Wrong (2nd ed, London, 1981)
  • The Interpretation of Frege’s Philosophy (London: Duckworth, and Cambridge MA: Harvard University Press, 1981b)
  • Voting Procedures (Oxford: Clarendon Press, 1984)
  • The Visconti-Sforza Tarot Cards (New York: George Braziller, 1986)
  • Frege and Other Philosophers (Oxford: Clarendon Press, 1991)
  • Frege: Philosophy of Mathematics (London: Duckworth, and Cambridge: Harvard University Press, 1991a)
  • The Logical Basis of Metaphysics (London: Duckworth, and Cambridge MA: Harvard University Press, 1991b)
  • Grammar and Style for Examination Candidates and Others (London: Duckworth, 1993)
  • Origins of Analytical Philosophy (London: Duckworth and Cambridge MA: Harvard University Press, 1993a)
  • The Seas of Language (Oxford: Clarendon Press, 1993b)
  • (with Ronald Decker and Thierry Depaulis): A Wicked Pack of Cards (London: Duckworth, 1996)
  • Principles of Electoral Reform (Oxford University Press, Oxford: 1997)
  • Grammar and Style for Examination Candidates and Others (London: Duckworth, 1993)
  • Origins of Analytical Philosophy (London: Duckworth and Cambridge MA: Harvard University Press, 1993a)
  • The Seas of Language (Oxford: Clarendon Press, 1993b)
  • (with Ronald Decker and Thierry Depaulis): A Wicked Pack of Cards (London: Duckworth, 1996)
  • Principles of Electoral Reform (Oxford University Press, Oxford: 1997)
  • On Immigration and Refugees (London: Taylor and Francis, 2001)
  • Truth and the Past (New York: Columbia University Press, 2004)
  • Thought and Reality (Oxford: Oxford University Press, 2006)

A complete bibliography of Dummett’s writings may be found in Randall E. Auxier and Lewis Edwin Hahn (eds.) The Philosophy of Michael Dummett: The Library of Living Philosophers, Volume XXXI (Chicago and La Salle: Open Court, 2007)

Books about Dummett

  • Barry Taylor (ed.) Michael Dummett, Contributions to Philosophy (Dordrecht: Kluwer, 1987)
  • B. McGuinnes and G. Oliveri (eds.) The Philosophy of Michael Dummett (Dordrecht: Kluwer, 1994)
  • Richard Heck (ed.) Language, Thought and Truth (Oxford: Clarendon Press, 1998)
  • Johannes L. Brandl and Peter Sullivan (eds.) New Essays on the Philosophy of Michael Dummett (Amsterdam: Rodolpi, 1998)
  • Darryl Gunson, Michael Dummett and the Theory of Meaning (Aldershot: Ashgate, 1998)
  • Karen Green, Dummett: Philosophy of Language (Oxford: Blackwell, 2001)
  • Bernhard Weiss, Michael Dummett: Philosophy Now (Princeton: Princeton University Press, 2002)

Other Works Cited

  • L. E. J. Brouwer, ‘Intuitionism and Formalism’, in P. Benacerraf and H. Putnam (eds.) Philosophy of Mathematics: Selected Readings (Cambridge: Cambridge University Press, 2nd ed. 1983)
  • Gottlob Frege, “Über Sinn und Bedeutung” in Zeitschrift für Philosophie und philosophische Kritik 1892.
  • Gottlob Frege, (trans. J. L. Austin) The Foundations of Arithmetic (Oxford: Blackwell, 1950, 1953, 1980a)
  • Gottlob Frege, (ed. Peter Geach and Max Black), Translations from the Philosophical Writings of Gottlob Frege (Oxford: Blackwell, 1952, 1960, 3rd ed. 1980b)
  • Gottlob Frege, (trans. and ed. M. Beaney), The Frege Reader (Oxford: Blackwell, 1997)
  • Neil Tennant, Anti-Realism and Logic (Oxford: Clarendon Press, 1987)
  • Neil Tennant, The Taming of the True (Clarendon Press, Oxford, 1997)
  • Ludwig Wittgenstein, (ed. G. E. M. Anscombe and G. H. von Wright; trans. G. E. M. Anscombe), Zettel (Oxford: Blackwell, 1967)
  • Crispin Wright, Realism, Meaning and Truth (Oxford: Blackwell, 1987, 2nd ed. 1993)

Author Information

Benjamin Murphy
Email: bmurphy@fsu.edu
Florida State University, Panama City
U. S. A.

Juan Donoso Cortés (1809—1853)

CortesJDJuan Donoso Cortés, parliamentary statesman, diplomat, government minister, royal counselor, theologian, and political theorist, may not be well known among modern political philosophers. However, his ideas had an enormous influence in the spheres of politics and religion in the nineteenth and twentieth centuries. Donoso’s theories were uniquely influential in shaping the ideological trajectory that began with the reaction against the Enlightenment and the French Revolution in the eighteenth century and culminated in the rise of fascism in the twentieth century. This Spanish Catholic and conservative thinker was the philosophical heir of Joseph de Maistre, one of the most prominent reactionary conservative thinkers of the late eighteenth and early nineteenth centuries. Even though his life was short and his works few in number, Donoso’s contribution to modern political philosophy and theology cannot be ignored if we wish to have a more complete understanding of the ideas and actions that have shaped Europe and the Roman Church in recent centuries. His most notable idea—the theory on dictatorship—was Donoso’s most significant and unique contribution to modern political thought.

Table of Contents

  1. Philosophical Development and Context
  2. View of Human Nature
  3. Theory of Dictatorship
    1. Religious Dictatorship
    2. Political Dictatorship
  4. Views on Violence
  5. Views on History
  6. References and Further Reading

1. Philosophical Development and Context

In the early years of his life, Donoso’s thinking was deeply influenced by the philosophes of the Enlightenment. His education was thoroughly grounded in the study of such Enlightenment thinkers as Rousseau, Montesquieu, Voltaire, and Diderot. It was only in the last years of his life that Donoso distinguished himself as a standard bearer of an ideological camp that stood in complete opposition to the philosophes. By the year 1848 Donoso was firmly in the camp of such contre-philosophes as Joseph de Maistre and Louis de Bonald.

Until the European revolution of 1848, the primary concern of reactionary conservative thinkers was the restoration of the pre-1789 monarchical ancien régime. The authority and hierarchical order that were the centerpieces of conservative thought, were seen only in the context of restoring and preserving a monarchical régime. The revolution of 1848 exposed the inability of many of the European monarchies to maintain authority and hierarchical order. Donoso was one of the first and most vociferous of conservative thinkers to acknowledge this. While like de Maistre he was something of a romantic medievalist who advocated a hierarchical social order, with the Pope of Rome at the head of that order wielding absolute spiritual and temporal power while all other temporal and ecclesiastical authorities ruled as his deputies, he was also a realist who could strategically adapt his ideology to contemporary exigencies. He was the first conservative thinker to develop an alternative theory that posited a different model of régime calculated to achieve the restoration and maintenance of the authority and hierarchical order that all conservatives saw as the foundation of civilization. This was his theory on dictatorship. Even though Donoso was always an ardent monarchist, like his precursor de Maistre, he was also enough of a political realist to know that the ultimate goal of a stable social order based on obedience to infallible authority and adherence to a rigid hierarchy of rank and privilege could be achieved by other means, if necessary. If monarchies were too feeble to maintain such a social order, then other forms of government, more harsh in nature, need to be instituted in order to subjugate human beings.

2. View of Human Nature

Like de Maistre, Donoso viewed human beings as essentially and naturally depraved and irrational. To Donoso, human beings are so irredeemably corrupt in moral capacity and intellectually drawn to absurdity that they must be ruled with an iron fist. All social and religious order depends upon the will of those who rule to demand and impose obedience to their dictates and belief in their teachings as well as upon the willingness of subjects to obey and believe their rulers, both secular and religious. Civilization, according to Donoso, can only be preserved through the imposition and acceptance of political and religious commands and dogmas. These commands and dogmas are the repressive mechanisms Donoso held as essential to the survival and preservation of civilization, especially that mode of civilization which Donoso called “Catholic.” Repression, said Donoso, is one of the most essential elements of civilization. For Donoso, no amount of free and open discussion could ever arrive at any modicum of truth. He saw truth as revealed by God and mediated through God’s chosen instrument, the Catholic Church and it’s Supreme Pontiff. Discussion only opens the door to doubt, confusion, and discord thus preparing the ground for socialism. Discussion, which Donoso held as the cornerstone of liberalism, creates a belief vacuum that can only be filled by Christ or Antichrist, by Catholicism or socialism. In a begrudging sort of way, Donoso respected socialism more than liberalism because he saw the former as more akin to Catholicism, as something offering human beings a set of dogmatic beliefs. Liberalism can only offer doubt and uncertainty.

3. Theory of Dictatorship

In his Speech on Dictatorship, Donoso described two different types of repression which he saw as necessary for the survival and maintenance of civilization—political and religious. These two forms of repression must exist in an equilibrium in order to be effective. With a decline in religious repression must come a corresponding and proportional rise in political repression, and vice versa. As the “thermometer” of religious repression falls, the “thermometer” of political repression must rise; and as the “thermometer” of political repression falls, so the “thermometer” of religious repression must rise. All political and religious régimes must be repressive if political and religious order are to endure. Donoso emphasized that the legitimacy of a régime is not based upon heredity, but upon the capacity of a régime to be repressive. This constituted a major shift in conservative thinking. Concern was not focused as much on who should rule, but on how rule is to be exercised. While authority and hierarchical order remained the conservative ideal, Donoso introduced a degree of realistic pragmatism to how this ideal could be achieved and preserved. This shift had ominous consequences in the twentieth century since the door was opened to more radical and ruthless forms of political and religious control.

a. Religious Dictatorship

In the religious arena, Donoso’s ideas on authority influenced the life of the Roman Catholic Church for over a century. Again echoing the views of de Maistre, Donoso thought that infallibility is an essential characteristic of authority. Authority is synonymous with infallibility. The power to command behavior and impose beliefs is not subject to error and must not be seen as subject to error. Without the exercise of and belief in infallible authority, Donoso thought that people and societies would sink into a morass of confusion, doubt, and error.

Donoso’s theory on infallibility helped to lay the foundation for the doctrine of papal infallibility that was promulgated by Pope Pius IX in 1870 at the end of the First Vatican Council. His advice was sought by Pius IX through the papal nuncio to France in the early 1850s, Rafaello Cardinal Fornari, with regard to the drawing up of a list of religious and philosophical propositions that were to be condemned as heretical. Donoso’s loathing for democracy, freedom of thought, freedom of speech, freedom of religion, rationalism, liberalism, socialism, pluralism, freedom of expression, and tolerance was reflected in his Letter to Cardinal Fornari. The ideas asserted in this letter appeared in Pius IX’s decree the Syllabus of Errors.

The repressive methods of governance advocated by Donoso in his theory on dictatorship also influenced the development of a papal régime that rested upon the absolute exercise of power by the pope over the Church. Donoso’s theories contributed to the development of a totalitarian ideology of papal supremacy and authority that dominated the Church until the Second Vatican Council in the early 1960s. A dictatorial papal régime was established by Pius IX that lasted through and reached its zenith during the pontificate of Pius XII. The Church endured a form of régime and a vision that pitted it in a holy war against modernity. His theories helped to shape the ideas and vocabulary that justified the establishment of a strong and centralized papal régime and the persecution of dissident and progressive Catholic thinkers—”modernists”— who sought to bring about a reconciliation between Christianity and the modern world.

b. Political Dictatorship

In the political arena, Donoso’s influence was just as ominous. His theory of dictatorship and his critique of liberal democratic parliamentarianism significantly influenced the thinking of the twentieth century German conservative political theorist Carl Schmitt. Schmitt figured prominently in the development of the legal principles and structures of the Nazi régime. Schmitt’s critique of parliamentary democracy rests heavily upon arguments first developed by Donoso. Furthermore, Schmitt’s depiction of politics as a constant struggle of friends against enemies reflects Donoso’s quasi-Manichæan view of politics as a war between Catholic civilization and philosophical civilization. Donoso’s notion of infallible authority resonated in the Nazi Führerprinzip, the Italian fascist principle of Ducismo, and the principle of Caudillaje of the Franco régime in Spain (1936-75). The emphasis Donoso placed on infallible authority, his contempt of parliamentary democracy, and his support of dictatorial rule were common features of both conservative authoritarian as well as fascist régimes. Donoso’s ideas were held in high esteem in Spain during the time of the Franco dictatorship and were also reflected in other conservative authoritarian régimes in Portugal under Salazar and Caetano, France under Pétain (the Vichy régime), Austria under Dollfuss and Schuschnigg, and Hungary under Horthy.

4. Views on Violence

Donoso’s theory on sacrifices, developed in his Ensayo sobre el catolicismo, el liberalismo y el socialismo, endorsed violence as a social necessity. The spilling of blood by the State is essential in keeping the repressive equilibrium required to maintain a society. For every drop of blood spilled in crime, there must be an equal amount of blood spilled in the name of justice if authority and order are to be preserved. Criminal violence must be balanced with just violence; the violence that promotes evil must be met with the violence that promotes the good. Donoso saw human beings as so morally depraved and feeble in intellect that they require dictatorial rulers to regulate their behavior, priests to tell then what to believe and think, and executioners to punish them when they waver or depart from the commanded norms of behavior, thought, and belief. Kings, priests, and executioners are the pillars of civilization.

5. Views on History

Donoso’s view of history reflect the influence of St. Augustine, Vico, and Hegel. It combines the eschatological perspective of Augustine with the historical cycles of Vico and the dialectical process of Hegel. History is a process of the unfolding of a divine plan guided by Providence toward a specific end, which is the triumph of good over evil, of Catholic civilization over philosophical civilization. The process advances in cycles wherein the recurrent theme of good against evil is played out in a dialectical manner until the end is reached. Each cycle in the dialectical process ends with what Donoso called the “supernatural triumph of good over evil.” The action of divine Providence is essential in this process. Just as the executioner turns an evil into a good by replacing criminal violence with just violence, so Providence turns the natural triumph of evil into the supernatural triumph of the good. Donoso saw the natural triumph of evil in Jesus’ death as a supernatural triumph at the same time. The evil of the crucifixion accomplished the good of human redemption. The evil that afflicts can also be a good that strengthens and saves. The evil of sin allows God to display the good that is manifested in his justice and his mercy. History is the playing out of this drama in a cyclic and dialectically structured process guided by divine Providence toward a definite conclusion-the ultimate triumph of good over evil. Catholic civilization, which Donoso depicted as totally good, will ultimately crush and triumph over that evil he called philosophical civilization.

Donoso can also be seen as a modern-day Cassandra uttering prophecies of apocalyptic doom. He saw the development of modern technology, symbolized by the telegraph for him, and the establishment of mass permanent armies and police forces as potential instruments in the hands of a future godless and socialistic tyranny. All of his efforts in the arenas of politics, philosophy, and religion were aimed at preventing the rise of such an evil. Revolution had to be met with counterrevolution, anarchy with dictatorship, freethinking with dogma, doubt with certainty, and discussion with decree. The ultimate battle for Donoso was to be a quasi-Manichæan struggle between Catholicism and socialism, or Catholic civilization and philosophical civilization, two systems of belief in a combat to the death for the control of societies and souls.

6. References and Further Reading

Works by Juan Donoso Cortés:

  • Juan Donoso Cortés, Antologia de Juan Donoso Cortés, edited by Francisco Elías de Tejada (Madrid: Editorial Tradicionalista, 1953)
  • Artículos políticos en “El Porvenir,” edited by Federico Súarez Verdeguer (Pamplona: Ediciones Universidad de Navarra, 1992
  • Donoso Cortés y la fundación de “El Heraldo” y “El Sol,” edited by Federico Súarez Verdeguer (Pamplona: Ediciones Universidad de Navarra, 1986)
  • Essai sur le catholicisme, le libéralisme et le socialisme, introduction by Arnaud Imatz (Bouère: Editions Dominique Martin Morin, 1986).
    • French translation of the Ensayo sobre el catolicismo, el liberalismo y el socialismo
  • Essay on Catholicism, Liberalism, and Order, translated by Madeleine Vincent Goddard, edited J. C. Reville (New York: Joseph F. Wagner, 1925).
    • English translation of the Ensayo
  • Essays on Catholicism, Liberalism, and Socialism, translated by Rev. William McDonald (Dublin: M. H. Gill and Son, 1879).
    • The second English translation of the Ensayo
  • Der Staat Gottes, translated by Ludwig Fischer (Darmstadt: Wissenschaftliche Buchgesellschaft, 1966).
    • German translation of the Ensayo
  • Obras completas de Don Juan Donoso Cortés, 2 vols., edited by Juan Juretschke (Madrid: Biblioteca de Autores Cristianos, 1946)
  • Obras completas de Donoso Cortés, 2 vols., edited by Carlos Valverde, S.J., (Madrid: Biblioteca de Autores Cristianos, 1970)
  • Selected Works of Juan Donoso Cortés, translated, edited, and introduced by Jeffrey P. Johnson (Wesport: Greenwood Press, 2000)
  • “Speech on Dictatorship,” in Catholic Political Thought: 1789-1848, edited by Bela Menczer (South Bend: University of Notre Dame Press, 1962).

Works on Juan Donoso Cortés:

  • Gabriel de Armas, Donoso Cortés: su sentido trascendente de la vida (Madrid: Colección Cálamo, 1953)
  • Orestes Brownson, Orestes Brownson: Selected Essays, edited by Russell Kirk (Chicago: Regnery, 1955)
  • Catholic Encyclopedia, 1909 edition, s.v. “Donoso Cortés,” by Condé B. Pallen; Jules Chaix-Ruy Donoso Cortés: Théologien de l’histoire et prophète (Paris: Beauchesne, 1956)
  • Alois Dempf, Christliche Staatsphilosophie in Spanien (Salzburg: Verlag Anton Pustet, 1937)
  • John T. Graham, Donoso Cortés: Utopian Romanticist and Political Realist (Columbia: University of Missouri Press, 1974)
  • R. A. Herrera, Donoso Cortés: Cassandra of the Age (Grand Rapids: Eerdmans, 1995)
  • Ramon Menéndez Pidal, La historia de España: la era Isabelina y el sexenio democrático (1834-1874), vol. XXXIV (Madrid: Espasa Calpe, 1981)
  • Raúl Sánchez Abelenda, La teoría del poder en el pensamiento político de Juan Donoso Cortés (Buenos Aires: Editorial Universitaria de Buenos Aires, 1969)
  • Carl Schmitt, La interpretación europea de Donoso Cortés (Madrid: Rialp, 1953); Political Theology, translated by George Schwab (Cambridge: MIT Press, 1985)
  • Edmund Schramm, Donoso Cortés: ejemplo del pensamiento de la tradición, (Madrid: Publicaciones Españolas, 1961); Donoso Cortés: Su vida y su pensamiento (Madrid: Espasa Calpe, 1936)
  • Federico Súarez Verdeger, Introducción a Donoso Cortés (Madrid: Rialp, 1964)
  • Carlos Valverde, S.J., “Introducción” in Obras completas de Donoso Cortés, vol. 1, edited by Carlos Valverde, S.J. ( Madrid: Biblioteca de Autores Cristianos, 1970); Dietmar Westemeyer, Donoso Cortés, hombre de estado y teólogo, translated by J. S. Mazpule (Madrid: Editora Nacional, 1957)
  • Frederick D. Wilhelmsen, Christianity and Political Philosophy (Athens: University of Georgia Press, 1978); Francis G. Wilson, Political Thought in National Spain (Champaign: Stipes, 1967).

Author Information

Jeffrey P. Johnson
U. S. A.

John Dewey (1859—1952)

John Dewey was a leading proponent of the American school of thought known as pragmatism, a view that rejected the dualistic epistemology and metaphysics of modern philosophy in favor of a naturalistic approach that viewed knowledge as arising from an active adaptation of the human organism to its environment. On this view, inquiry should not be understood as consisting of a mind passively observing the world and drawing from this ideas that if true correspond to reality, but rather as a process which initiates with a check or obstacle to successful human action, proceeds to active manipulation of the environment to test hypotheses, and issues in a re-adaptation of organism to environment that allows once again for human action to proceed. With this view as his starting point, Dewey developed a broad body of work encompassing virtually all of the main areas of philosophical concern in his day. He also wrote extensively on social issues in such popular publications as the New Republic, thereby gaining a reputation as a leading social commentator of his time.

Dewey’s philosophical work received varied responses from his philosophical colleagues during his lifetime. There were many philosophers who saw his work, as Dewey himself understood it, as a genuine attempt to apply the principles of an empirical naturalism to the perennial questions of philosophy, providing a beneficial clarification of issues and the concepts used to address them. Dewey’s critics, however, often expressed the opinion that his views were more confusing than clarifying, and that they appeared to be more akin to idealism than the scientifically based naturalism Dewey expressly avowed.

Table of Contents

  1. Life and Works
  2. Theory of Knowledge
  3. Metaphysics
  4. Ethical and Social Theory
  5. Aesthetics
  6. Critical Reception and Influence
  7. References and Further Reading
    1. Primary Sources
    2. Secondary Sources

1. Life and Works

John Dewey was born on October 20, 1859, the third of four sons born to Archibald Sprague Dewey and Lucina Artemesia Rich of Burlington, Vermont. The eldest sibling died in infancy, but the three surviving brothers attended the public school and the University of Vermont in Burlington with John. While at the University of Vermont, Dewey was exposed to evolutionary theory through the teaching of G.H. Perkins and Lessons in Elementary Physiology, a text by T.H. Huxley, the famous English evolutionist. The theory of natural selection continued to have a life-long impact upon Dewey’s thought, suggesting the barrenness of static models of nature, and the importance of focusing on the interaction between the human organism and its environment when considering questions of psychology and the theory of knowledge. The formal teaching in philosophy at the University of Vermont was confined for the most part to the school of Scottish realism, a school of thought that Dewey soon rejected, but his close contact both before and after graduation with his teacher of philosophy, H.A.P. Torrey, a learned scholar with broader philosophical interests and sympathies, was later accounted by Dewey himself as “decisive” to his philosophical development.

After graduation in 1879, Dewey taught high school for two years, during which the idea of pursuing a career in philosophy took hold. With this nascent ambition in mind, he sent a philosophical essay to W.T. Harris, then editor of the Journal of Speculative Philosophy, and the most prominent of the St. Louis Hegelians. Harris’s acceptance of the essay gave Dewey the confirmation he needed of his promise as a philosopher. With this encouragement he traveled to Baltimore to enroll as a graduate student at Johns Hopkins University.

At Johns Hopkins Dewey came under the tutelage of two powerful and engaging intellects who were to have a lasting influence on him. George Sylvester Morris, a German-trained Hegelian philosopher, exposed Dewey to the organic model of nature characteristic of German idealism. G. Stanley Hall, one of the most prominent American experimental psychologists at the time, provided Dewey with an appreciation of the power of scientific methodology as applied to the human sciences. The confluence of these viewpoints propelled Dewey’s early thought, and established the general tenor of his ideas throughout his philosophical career.

Upon obtaining his doctorate in 1884, Dewey accepted a teaching post at the University of Michigan, a post he was to hold for ten years, with the exception of a year at the University of Minnesota in 1888. While at Michigan Dewey wrote his first two books: Psychology (1887), and Leibniz’s New Essays Concerning the Human Understanding (1888). Both works expressed Dewey’s early commitment to Hegelian idealism, while the Psychology explored the synthesis between this idealism and experimental science that Dewey was then attempting to effect. At Michigan Dewey also met one of his important philosophical collaborators, James Hayden Tufts, with whom he would later author Ethics (1908; revised ed. 1932).

In 1894, Dewey followed Tufts to the recently founded University of Chicago. It was during his years at Chicago that Dewey’s early idealism gave way to an empirically based theory of knowledge that was in concert with the then developing American school of thought known as pragmatism. This change in view finally coalesced into a series of four essays entitled collectively “Thought and its Subject-Matter,” which was published along with a number of other essays by Dewey’s colleagues and students at Chicago under the title Studies in Logical Theory (1903). Dewey also founded and directed a laboratory school at Chicago, where he was afforded an opportunity to apply directly his developing ideas on pedagogical method. This experience provided the material for his first major work on education, The School and Society (1899).

Disagreements with the administration over the status of the Laboratory School led to Dewey’s resignation from his post at Chicago in 1904. His philosophical reputation now secured, he was quickly invited to join the Department of Philosophy at Columbia University. Dewey spent the rest of his professional life at Columbia. Now in New York, located in the midst of the Northeastern universities that housed many of the brightest minds of American philosophy, Dewey developed close contacts with many philosophers working from divergent points of view, an intellectually stimulating atmosphere which served to nurture and enrich his thought.

During his first decade at Columbia Dewey wrote a great number of articles in the theory of knowledge and metaphysics, many of which were published in two important books: The Influence of Darwin on Philosophy and Other Essays in Contemporary Thought (1910) and Essays in Experimental Logic(1916). His interest in educational theory also continued during these years, fostered by his work at Teachers College at Columbia. This led to the publication of How We Think (1910; revised ed. 1933), an application of his theory of knowledge to education, and Democracy and Education (1916), perhaps his most important work in the field.

During his years at Columbia Dewey’s reputation grew not only as a leading philosopher and educational theorist, but also in the public mind as an important commentator on contemporary issues, the latter due to his frequent contributions to popular magazines such as The New Republic and Nation, as well as his ongoing political involvement in a variety of causes, such as women’s suffrage and the unionization of teachers. One outcome of this fame was numerous invitations to lecture in both academic and popular venues. Many of his most significant writings during these years were the result of such lectures, includingReconstruction in Philosophy (1920), Human Nature and Conduct (1922), Experience and Nature(1925), The Public and its Problems (1927), and The Quest for Certainty (1929).

Dewey’s retirement from active teaching in 1930 did not curtail his activity either as a public figure or productive philosopher. Of special note in his public life was his participation in the Commission of Inquiry into the Charges Against Leon Trotsky at the Moscow Trial, which exposed Stalin’s political machinations behind the Moscow trials of the mid-1930s, and his defense of fellow philosopher Bertrand Russell against an attempt by conservatives to remove him from his chair at the College of the City of New York in 1940. A primary focus of Dewey’s philosophical pursuits during the 1930s was the preparation of a final formulation of his logical theory, published as Logic: The Theory of Inquiry in 1938. Dewey’s other significant works during his retirement years include Art as Experience (1934), A Common Faith(1934), Freedom and Culture (1939), Theory of Valuation (1939), and Knowing and the Known(1949), the last coauthored with Arthur F. Bentley. Dewey continued to work vigorously throughout his retirement until his death on June 2, 1952, at the age of ninety-two.

2. Theory of Knowledge

The central focus of Dewey’s philosophical interests throughout his career was what has been traditionally called “epistemology,” or the “theory of knowledge.” It is indicative, however, of Dewey’s critical stance toward past efforts in this area that he expressly rejected the term “epistemology,” preferring the “theory of inquiry” or “experimental logic” as more representative of his own approach.

In Dewey’s view, traditional epistemologies, whether rationalist or empiricist, had drawn too stark a distinction between thought, the domain of knowledge, and the world of fact to which thought purportedly referred: thought was believed to exist apart from the world, epistemically as the object of immediate awareness, ontologically as the unique aspect of the self. The commitment of modern rationalism, stemming from Descartes, to a doctrine of innate ideas, ideas constituted from birth in the very nature of the mind itself, had effected this dichotomy; but the modern empiricists, beginning with Locke, had done the same just as markedly by their commitment to an introspective methodology and a representational theory of ideas. The resulting view makes a mystery of the relevance of thought to the world: if thought constitutes a domain that stands apart from the world, how can its accuracy as an account of the world ever be established? For Dewey a new model, rejecting traditional presumptions, was wanting, a model that Dewey endeavored to develop and refine throughout his years of writing and reflection.

In his early writings on these issues, such as “Is Logic a Dualistic Science?” (1890) and “The Present Position of Logical Theory” (1891), Dewey offered a solution to epistemological issues mainly along the lines of his early acceptance of Hegelian idealism: the world of fact does not stand apart from thought, but is itself defined within thought as its objective manifestation. But during the succeeding decade Dewey gradually came to reject this solution as confused and inadequate.

A number of influences have bearing on Dewey’s change of view. For one, Hegelian idealism was not conducive to accommodating the methodologies and results of experimental science which he accepted and admired. Dewey himself had attempted to effect such an accommodation between experimental psychology and idealism in his early Psychology (1887), but the publication of William James’ Principles of Psychology (1891), written from a more thoroughgoing naturalistic stance, suggested the superfluity of idealist principles in the treatment of the subject.

Second, Darwin’s theory of natural selection suggested in a more particular way the form which a naturalistic approach to the theory of knowledge should take. Darwin’s theory had renounced supernatural explanations of the origins of species by accounting for the morphology of living organisms as a product of a natural, temporal process of the adaptation of lineages of organisms to their environments, environments which, Darwin understood, were significantly determined by the organisms that occupied them. The key to the naturalistic account of species was a consideration of the complex interrelationships between organisms and environments. In a similar way, Dewey came to believe that a productive, naturalistic approach to the theory of knowledge must begin with a consideration of the development of knowledge as an adaptive human response to environing conditions aimed at an active restructuring of these conditions. Unlike traditional approaches in the theory of knowledge, which saw thought as a subjective primitive out of which knowledge was composed, Dewey’s approach understood thought genetically, as the product of the interaction between organism and environment, and knowledge as having practical instrumentality in the guidance and control of that interaction. Thus Dewey adopted the term “instrumentalism” as a descriptive appellation for his new approach.

Dewey’s first significant application of this new naturalistic understanding was offered in his seminal article “The Reflex Arc Concept in Psychology” (1896). In this article, Dewey argued that the dominant conception of the reflex arc in the psychology of his day, which was thought to begin with the passive stimulation of the organism, causing a conscious act of awareness eventuating in a response, was a carry-over of the old, and errant, mind-body dualism. Dewey argued for an alternative view: the organism interacts with the world through self-guided activity that coordinates and integrates sensory and motor responses. The implication for the theory of knowledge was clear: the world is not passively perceived and thereby known; active manipulation of the environment is involved integrally in the process of learning from the start.

Dewey first applied this interactive naturalism in an explicit manner to the theory of knowledge in his four introductory essays in Studies in Logical Theory. Dewey identified the view expressed in Studies with the school of pragmatism, crediting William James as its progenitor. James, for his part, in an article appearing in the Psychological Bulletin, proclaimed the work as the expression of a new school of thought, acknowledging its originality.

A detailed genetic analysis of the process of inquiry was Dewey’s signal contribution to Studies. Dewey distinguished three phases of the process. It begins with the problematic situation, a situation where instinctive or habitual responses of the human organism to the environment are inadequate for the continuation of ongoing activity in pursuit of the fulfillment of needs and desires. Dewey stressed inStudies and subsequent writings that the uncertainty of the problematic situation is not inherently cognitive, but practical and existential. Cognitive elements enter into the process as a response to precognitive maladjustment.

The second phase of the process involves the isolation of the data or subject matter which defines the parameters within which the reconstruction of the initiating situation must be addressed. In the third, reflective phase of the process, the cognitive elements of inquiry (ideas, suppositions, theories, etc.) are entertained as hypothetical solutions to the originating impediment of the problematic situation, the implications of which are pursued in the abstract. The final test of the adequacy of these solutions comes with their employment in action. If a reconstruction of the antecedent situation conducive to fluid activity is achieved, then the solution no longer retains the character of the hypothetical that marks cognitive thought; rather, it becomes a part of the existential circumstances of human life.

The error of modern epistemologists, as Dewey saw it, was that they isolated the reflective stages of this process, and hypostatized the elements of those stages (sensations, ideas, etc.) into pre-existing constituents of a subjective mind in their search for an incorrigible foundation of knowledge. For Dewey, the hypostatization was as groundless as the search for incorrigibility was barren. Rejecting foundationalism, Dewey accepted the fallibilism that was characteristic of the school of pragmatism: the view that any proposition accepted as an item of knowledge has this status only provisionally, contingent upon its adequacy in providing a coherent understanding of the world as the basis for human action.

Dewey defended this general outline of the process of inquiry throughout his long career, insisting that it was the only proper way to understand the means by which we attain knowledge, whether it be the commonsense knowledge that guides the ordinary affairs of our lives, or the sophisticated knowledge arising from scientific inquiry. The latter is only distinguished from the former by the precision of its methods for controlling data, and the refinement of its hypotheses. In his writings in the theory of inquiry subsequent to Studies, Dewey endeavored to develop and deepen instrumentalism by considering a number of central issues of traditional epistemology from its perspective, and responding to some of the more trenchant criticisms of the view.

One traditional question that Dewey addressed in a series of essays between 1906 and 1909 was that of the meaning of truth. Dewey at that time considered the pragmatic theory of truth as central to the pragmatic school of thought, and vigorously defended its viability. Both Dewey and William James, in his book Pragmatism (1907), argued that the traditional correspondence theory of truth, according to which the true idea is one that agrees or corresponds to reality, only begs the question of what the “agreement” or “correspondence” of idea with reality is. Dewey and James maintained that an idea agrees with reality, and is therefore true, if and only if it is successfully employed in human action in pursuit of human goals and interests, that is, if it leads to the resolution of a problematic situation in Dewey’s terms. The pragmatic theory of truth met with strong opposition among its critics, perhaps most notably from the British logician and philosopher Bertrand Russell. Dewey later began to suspect that the issues surrounding the conditions of truth, as well as knowledge, were hopelessly obscured by the accretion of traditional, and in his view misguided, meanings to the terms, resulting in confusing ambiguity. He later abandoned these terms in favor of “warranted assertiblity” to describe the distinctive property of ideas that results from successful inquiry.

One of the most important developments of his later writings in the theory of knowledge was the application of the principles of instrumentalism to the traditional conceptions and formal apparatus of logical theory. Dewey made significant headway in this endeavor in his lengthy introduction to Essays in Experimental Logic, but the project reached full fruition in Logic: The Theory of Inquiry.

The basis of Dewey’s discussion in the Logic is the continuity of intelligent inquiry with the adaptive responses of pre-human organisms to their environments in circumstances that check efficient activity in the fulfillment of organic needs. What is distinctive about intelligent inquiry is that it is facilitated by the use of language, which allows, by its symbolic meanings and implication relationships, the hypothetical rehearsal of adaptive behaviors before their employment under actual, prevailing conditions for the purpose of resolving problematic situations. Logical form, the specialized subject matter of traditional logic, owes its genesis not to rational intuition, as had often been assumed by logicians, but due to its functional value in (1) managing factual evidence pertaining to the problematic situation that elicits inquiry, and (2) controlling the procedures involved in the conceptualized entertainment of hypothetical solutions. As Dewey puts it, “logical forms accrue to subject-matter when the latter is subjected to controlled inquiry.”

From this new perspective, Dewey reconsiders many of the topics of traditional logic, such as the distinction between deductive and inductive inference, propositional form, and the nature of logical necessity. One important outcome of this work was a new theory of propositions. Traditional views in logic had held that the logical import of propositions is defined wholly by their syntactical form (e.g., “All As are Bs,” “Some Bs are Cs”). In contrast, Dewey maintained that statements of identical propositional form can play significantly different functional roles in the process of inquiry. Thus in keeping with his distinction between the factual and conceptual elements of inquiry, he replaced the accepted distinctions between universal, particular, and singular propositions based on syntactical meaning with a distinction between existential and ideational propositions, a distinction that largely cuts across traditional classifications. The same general approach is taken throughout the work: the aim is to offer functional analyses of logical principles and techniques that exhibit their operative utility in the process of inquiry as Dewey understood it.

The breadth of topics treated and the depth and continuity of the discussion of these topics mark theLogic as Dewey’s decisive statement in logical theory. The recognition of the work’s importance within the philosophical community of the time can be gauged by the fact that the Journal of Philosophy, the most prominent American journal in the field, dedicated an entire issue to a discussion of the work, including contributions by such philosophical luminaries as C. I. Lewis of Harvard University, and Ernest Nagel, Dewey’s colleague at Columbia University. Although many of his critics did question, and continue to question, the assumptions of his approach, one that is certainly unique in the development of twentieth century logical theory, there is no doubt that the work was and continues to be an important contribution to the field.

3. Metaphysics

Dewey’s naturalistic metaphysics first took shape in articles that he wrote during the decade after the publication of Studies in Logical Theory, a period when he was attempting to elucidate the implications of instrumentalism. Dewey disagreed with William James’s assessment that pragmatic principles were metaphysically neutral. (He discusses this disagreement in “What Does Pragmatism Mean by Practical,” published in 1908.) Dewey’s view was based in part on an assessment of the motivations behind traditional metaphysics: a central aim of the metaphysical tradition had been the discovery of an immutable cognitive object that could serve as a foundation for knowledge. The pragmatic theory, by showing that knowledge is a product of an activity directed to the fulfillment of human purposes, and that a true (or warranted) belief is known to be such by the consequences of its employment rather than by any psychological or ontological foundations, rendered this longstanding aim of metaphysics, in Dewey’s view, moot, and opened the door to renewed metaphysical discussion grounded firmly on an empirical basis.

Dewey begins to define the general form that an empirical metaphysics should take in a number of articles, including “The Postulate of Immediate Empiricism” (1905) and “Does Reality Possess Practical Character?” (1908). In the former article, Dewey asserts that things experienced empirically “are what they are experienced as.” Dewey uses as an example a noise heard in a darkened room that is initially experienced as fearsome. Subsequent inquiry (e.g., turning on the lights and looking about) reveals that the noise was caused by a shade tapping against a window, and thus innocuous. But the subsequent inquiry, Dewey argues, does not change the initial status of the noise: it was experienced as fearsome, and in fact was fearsome. The point stems from the naturalistic roots of Dewey’s logic. Our experience of the world is constituted by our interrelationship with it, a relationship that is imbued with practical import. The initial fearsomeness of the noise is the experiential correlate of the uncertain, problematic character of the situation, an uncertainty that is not merely subjective or mental, but a product of the potential inadequacy of previously established modes of behavior to deal effectively with the pragmatic demands of present circumstances. The subsequent inquiry does not, therefore, uncover a reality (the innocuousness of the noise) underlying a mere appearance (its fearsomeness), but by settling the demands of the situation, it effects a change in the inter-dynamics of the organism-environment relationship of the initial situation–a change in reality.

There are two important implications of this line of thought that distinguish it from the metaphysical tradition. First, although inquiry is aimed at resolving the precarious and confusing aspects of experience to provide a stable basis for action, this does not imply the unreality of the unstable and contingent, nor justify its relegation to the status of mere appearance. Thus, for example, the usefulness and reliability of utilizing certain stable features of things encountered in our experience as a basis for classification does not justify according ultimate reality to essences or Platonic forms any more than, as rationalist metaphysicians in the modern era have thought, the similar usefulness of mathematical reasoning in understanding natural processes justifies the conclusion that the world can be exhaustively defined mathematically.

Second, the fact that the meanings we attribute to natural events might change in any particular in the future as renewed inquiries lead to more adequate understandings of natural events (as was implied by Dewey’s fallibilism) does not entail that our experience of the world at any given time may as a whole be errant. Thus the implicit skepticism that underlies the representational theory of ideas and raises questions concerning the veracity of perceptual experience as such is unwarranted. Dewey stresses the point that sensations, hypotheses, ideas, etc., come into play to mediate our encounter with the world only in the context of active inquiry. Once inquiry is successful in resolving a problematic situation, mediatory sensations and ideas, as Dewey says, “drop out; and things are present to the agent in the most naively realistic fashion.”

These contentions positioned Dewey’s metaphysics within the territory of a naive realism, and in a number of his articles, such as “The Realism of Pragmatism” (1905), “Brief Studies in Realism” (1911), and “The Existence of the World as a Logical Problem” (1915), it is this view that Dewey expressly avows (a view that he carefully distinguishes from what he calls “presentational realism,” which he attributes to a number of the other realists of his day). Opposing narrow-minded positions that would accord full ontological status only to certain, typically the most stable or reliable, aspects of experience, Dewey argues for a position that recognizes the real significance of the multifarious richness of human experience.

Dewey offered a fuller statement of his metaphysics in 1925, with the publication of one of his most significant philosophical works, Experience and Nature. In the introductory chapter, Dewey stresses a familiar theme from his earlier writings: that previous metaphysicians, guided by unavowed biases for those aspects of experience that are relatively stable and secure, have illicitly reified these biases into narrow ontological presumptions, such as the temporal identity of substance, or the ultimate reality of forms or essences. Dewey finds this procedure so pervasive in the history of thought that he calls it simplythe philosophic fallacy, and signals his intention to eschew the disastrous consequences of this approach by offering a descriptive account of all of the various generic features of human experience, whatever their character.

Dewey begins with the observation that the world as we experience it both individually and collectively is an admixture of the precarious, the transitory and contingent aspect of things, and the stable, the patterned regularity of natural processes that allows for prediction and human intervention. Honest metaphysical description must take into account both of these elements of experience. Dewey endeavors to do this by an event ontology. The world, rather than being comprised of things or, in more traditional terms, substances, is comprised of happenings or occurrences that admit of both episodic uniqueness and general, structured order. Intrinsically events have an ineffable qualitative character by which they are immediately enjoyed or suffered, thus providing the basis for experienced value and aesthetic appreciation. Extrinsically events are connected to one another by patterns of change and development; any given event arises out of determinant prior conditions and leads to probable consequences. The patterns of these temporal processes is the proper subject matter of human knowledge–we know the world in terms of causal laws and mathematical relationships–but the instrumental value of understanding and controlling them should not blind us to the immediate, qualitative aspect of events; indeed, the value of scientific understanding is most significantly realized in the facility it affords for controlling the circumstances under which immediate enjoyments may be realized.

It is in terms of the distinction between qualitative immediacy and the structured order of events that Dewey understands the general pattern of human life and action. This understanding is captured by James’ suggestive metaphor that human experience consists of an alternation of flights and perchings, an alternation of concentrated effort directed toward the achievement of foreseen aims, what Dewey calls “ends-in-view,” with the fruition of effort in the immediate satisfaction of “consummatory experience.” Dewey’s insistence that human life follows the patterns of nature, as a part of nature, is the core tenet of his naturalistic outlook.

Dewey also addresses the social aspect of human experience facilitated by symbolic activity, particularly that of language. For Dewey the question of the nature of social relationships is a significant matter not only for social theory, but metaphysics as well, for it is from collective human activity, and specifically the development of shared meanings that govern this activity, that the mind arises. Thus rather than understanding the mind as a primitive and individual human endowment, and a precondition of conscious and intentional action, as was typical in the philosophical tradition since Descartes, Dewey offers a genetic analysis of mind as an emerging aspect of cooperative activity mediated by linguistic communication. Consciousness, in turn, is not to be understood as a domain of private awareness, but rather as the fulcrum point of the organism’s readjustment to the challenge of novel conditions where the meanings and attitudes that formulate habitual behavioral responses to the environment fail to be adequate. Thus Dewey offers in the better part of a number of chapters of Experience and Nature a response to the traditional mind-body problem of the metaphysical tradition, a response that understands the mind as an emergent issue of natural processes, more particularly the web of interactive relationships between human beings and the world in which they live.

4. Ethical and Social Theory

Dewey’s mature thought in ethics and social theory is not only intimately linked to the theory of knowledge in its founding conceptual framework and naturalistic standpoint, but also complementary to it in its emphasis on the social dimension of inquiry both in its processes and its consequences. In fact, it would be reasonable to claim that Dewey’s theory of inquiry cannot be fully understood either in the meaning of its central tenets or the significance of its originality without considering how it applies to social aims and values, the central concern of his ethical and social theory.

Dewey rejected the atomistic understanding of society of the Hobbesian social contract theory, according to which the social, cooperative aspect of human life was grounded in the logically prior and fully articulated rational interests of individuals. Dewey’s claim in Experience and Nature that the collection of meanings that constitute the mind have a social origin expresses the basic contention, one that he maintained throughout his career, that the human individual is a social being from the start, and that individual satisfaction and achievement can be realized only within the context of social habits and institutions that promote it.

Moral and social problems, for Dewey, are concerned with the guidance of human action to the achievement of socially defined ends that are productive of a satisfying life for individuals within the social context. Regarding the nature of what constitutes a satisfying life, Dewey was intentionally vague, out of his conviction that specific ends or goods can be defined only in particular socio-historical contexts. In theEthics (1932) he speaks of the ends simply as the cultivation of interests in goods that recommend themselves in the light of calm reflection. In other works, such as Human Nature and Conduct and Art as Experience, he speaks of (1) the harmonizing of experience (the resolution of conflicts of habit and interest both within the individual and within society), (2) the release from tedium in favor of the enjoyment of variety and creative action, and (3) the expansion of meaning (the enrichment of the individual’s appreciation of his or her circumstances within human culture and the world at large). The attunement of individual efforts to the promotion of these social ends constitutes, for Dewey, the central issue of ethical concern of the individual; the collective means for their realization is the paramount question of political policy.

Conceived in this manner, the appropriate method for solving moral and social questions is the same as that required for solving questions concerning matters of fact: an empirical method that is tied to an examination of problematic situations, the gathering of relevant facts, and the imaginative consideration of possible solutions that, when utilized, bring about a reconstruction and resolution of the original situations. Dewey, throughout his ethical and social writings, stressed the need for an open-ended, flexible, and experimental approach to problems of practice aimed at the determination of the conditions for the attainment of human goods and a critical examination of the consequences of means adopted to promote them, an approach that he called the “method of intelligence.”

The central focus of Dewey’s criticism of the tradition of ethical thought is its tendency to seek solutions to moral and social problems in dogmatic principles and simplistic criteria which in his view were incapable of dealing effectively with the changing requirements of human events. In Reconstruction of Philosophyand The Quest for Certainty, Dewey located the motivation of traditional dogmatic approaches in philosophy in the forlorn hope for security in an uncertain world, forlorn because the conservatism of these approaches has the effect of inhibiting the intelligent adaptation of human practice to the ineluctable changes in the physical and social environment. Ideals and values must be evaluated with respect to their social consequences, either as inhibitors or as valuable instruments for social progress, and Dewey argues that philosophy, because of the breadth of its concern and its critical approach, can play a crucial role in this evaluation.

In large part, then, Dewey’s ideas in ethics and social theory were programmatic rather than substantive, defining the direction that he believed human thought and action must take in order to identify the conditions that promote the human good in its fullest sense, rather than specifying particular formulae or principles for individual and social action. He studiously avoided participating in what he regarded as the unfortunate practice of previous moral philosophers of offering general rules that legislate universal standards of conduct. But there are strong suggestions in a number of his works of basic ethical and social positions. In Human Nature and Conduct Dewey approaches ethical inquiry through an analysis of human character informed by the principles of scientific psychology. The analysis is reminiscent of Aristotelian ethics, concentrating on the central role of habit in formulating the dispositions of action that comprise character, and the importance of reflective intelligence as a means of modifying habits and controlling disruptive desires and impulses in the pursuit of worthwhile ends.

The social condition for the flexible adaptation that Dewey believed was crucial for human advancement is a democratic form of life, not instituted merely by democratic forms of governance, but by the inculcation of democratic habits of cooperation and public spiritedness, productive of an organized, self-conscious community of individuals responding to society’s needs by experimental and inventive, rather than dogmatic, means. The development of these democratic habits, Dewey argues in School and Society andDemocracy and Education, must begin in the earliest years of a child’s educational experience. Dewey rejected the notion that a child’s education should be viewed as merely a preparation for civil life, during which disjoint facts and ideas are conveyed by the teacher and memorized by the student only to be utilized later on. The school should rather be viewed as an extension of civil society and continuous with it, and the student encouraged to operate as a member of a community, actively pursuing interests in cooperation with others. It is by a process of self-directed learning, guided by the cultural resources provided by teachers, that Dewey believed a child is best prepared for the demands of responsible membership within the democratic community.

5. Aesthetics

Dewey’s one significant treatment of aesthetic theory is offered in Art as Experience, a book that was based on the William James Lectures that he delivered at Harvard University in 1931. The book stands out as a diversion into uncommon philosophical territory for Dewey, adumbrated only by a somewhat sketchy and tangential treatment of art in one chapter of Experience and Nature. The unique status of the work in Dewey’s corpus evoked some criticism from Dewey’s followers, most notably Stephen Pepper, who believed that it marked an unfortunate departure from the naturalistic standpoint of his instrumentalism, and a return to the idealistic viewpoints of his youth. On close reading, however, Art as Experience reveals a considerable continuity of Dewey’s views on art with the main themes of his previous philosophical work, while offering an important and useful extension of those themes. Dewey had always stressed the importance of recognizing the significance and integrity of all aspects of human experience. His repeated complaint against the partiality and bias of the philosophical tradition expresses this theme. Consistent with this theme, Dewey took account of qualitative immediacy in Experience and Nature, and incorporated it into his view of the developmental nature of experience, for it is in the enjoyment of the immediacy of an integration and harmonization of meanings, in the “consummatory phase” of experience that, in Dewey’s view, the fruition of the re-adaptation of the individual with environment is realized. These central themes are enriched and deepened in Art as Experience, making it one of Dewey’s most significant works.

The roots of aesthetic experience lie, Dewey argues, in commonplace experience, in the consummatory experiences that are ubiquitous in the course of human life. There is no legitimacy to the conceit cherished by some art enthusiasts that aesthetic enjoyment is the privileged endowment of the few. Whenever there is a coalesence into an immediately enjoyed qualitative unity of meanings and values drawn from previous experience and present circumstances, life then takes on an aesthetic quality–what Dewey called having “an experience.” Nor is the creative work of the artist, in its broad parameters, unique. The process of intelligent use of materials and the imaginative development of possible solutions to problems issuing in a reconstruction of experience that affords immediate satisfaction, the process found in the creative work of artists, is also to be found in all intelligent and creative human activity. What distinguishes artistic creation is the relative stress laid upon the immediate enjoyment of unified qualitative complexity as the rationalizing aim of the activity itself, and the ability of the artist to achieve this aim by marshalling and refining the massive resources of human life, meanings, and values.

The senses play a key role in artistic creation and aesthetic appreciation. Dewey, however, argues against the view, stemming historically from the sensationalistic empiricism of David Hume, that interprets the content of sense experience simply in terms of the traditionally codified list of sense qualities, such as color, odor, texture, etc., divorced from the funded meanings of past experience. It is not only the sensible qualities present in the physical media the artist uses, but the wealth of meaning that attaches to these qualities, that constitute the material that is refined and unified in the process of artistic expression. The artist concentrates, clarifies, and vivifies these meanings in the artwork. The unifying element in this process is emotion–not the emotion of raw passion and outburst, but emotion that is reflected upon and used as a guide to the overall character of the artwork. Although Dewey insisted that emotion is not the significant content of the work of art, he clearly understands it to be the crucial tool of the artist’s creative activity.

Dewey repeatedly returns in Art as Experience to a familiar theme of his critical reflections upon the history of ideas, namely that a distinction too strongly drawn too often sacrifices accuracy of account for a misguided simplicity. Two applications of this theme are worth mentioning here. Dewey rejects the sharp distinction often made in aesthetics between the matter and the form of an artwork. What Dewey objected to was the implicit suggestion that matter and form stand side by side, as it were, in the artwork as distinct and precisely distinguishable elements. For Dewey, form is better understood in a dynamic sense as the coordination and adjustment of the qualities and associated meanings that are integrated within the artwork.

A second misguided distinction that Dewey rejects is that between the artist as the active creator and the audience as the passive recipient of art. This distinction artificially truncates the artistic process by in effect suggesting that the process ends with the final artifact of the artist’s creativity. Dewey argues that, to the contrary, the process is barren without the agency of the appreciator, whose active assimilation of the artist’s work requires a recapitulation of many of the same processes of discrimination, comparison, and integration that are present in the artist’s initial work, but now guided by the artist’s perception and skill. Dewey underscores the point by distinguishing between the “art product,” the painting, sculpture, etc., created by the artist, and the “work of art” proper, which is only realized through the active engagement of an astute audience.

Ever concerned with the interrelationships between the various domains of human activity and concern, Dewey ends Art as Experience with a chapter devoted to the social implications of the arts. Art is a product of culture, and it is through art that the people of a given culture express the significance of their lives, as well as their hopes and ideals. Because art has its roots in the consummatory values experienced in the course of human life, its values have an affinity to commonplace values, an affinity that accords to art a critical office in relation to prevailing social conditions. Insofar as the possibility for a meaningful and satisfying life disclosed in the values embodied in art is not realized in the lives of the members of a society, the social relationships that preclude this realization are condemned. Dewey’s specific target in this chapter was the conditions of workers in industrialized society, conditions which force upon the worker the performance of repetitive tasks that are devoid of personal interest and afford no satisfaction in personal accomplishment. The degree to which this critical function of art is ignored is a further indication of what Dewey regarded as the unfortunate distancing of the arts from the common pursuits and interests of ordinary life. The realization of art’s social function requires the closure of this bifurcation.

6. Critical Reception and Influence

Dewey’s philosophical work received varied responses from his philosophical colleagues during his lifetime. There were many philosophers who saw his work, as Dewey himself understood it, as a genuine attempt to apply the principles of an empirical naturalism to the perennial questions of philosophy, providing a beneficial clarification of issues and the concepts used to address them. Dewey’s critics, however, often expressed the opinion that his views were more confusing than clarifying, and that they appeared to be more akin to idealism than the scientifically based naturalism Dewey expressly avowed. Notable in this connection are Dewey’s disputes concerning the relation of the knowing subject to known objects with the realists Bertrand Russell, A. O. Lovejoy, and Evander Bradley McGilvery. Whereas these philosophers argued that the object of knowledge must be understood as existing apart from the knowing subject, setting the truth conditions for propositions, Dewey defended the view that things understood as isolated from any relationship with the human organism could not be objects of knowledge at all.

Dewey was sensitive and responsive to the criticisms brought against his views. He often attributed them to misinterpretations based on the traditional, philosophical connotations that some of his readers would attach to his terminology. This was clearly a fair assessment with respect to some of his critics. To take one example, Dewey used the term “experience,” found throughout his philosophical writings, to denote the broad context of the human organism’s interrelationship with its environment, not the domain of human thought alone, as some of his critics read him to mean. Dewey’s concern for clarity of expression motivated efforts in his later writings to revise his terminology. Thus, for example, he later substituted “transaction” for his earlier “interaction” to denote the relationship between organism and environment, since the former better suggested a dynamic interdependence between the two, and in a new introduction to Experience and Nature, never published during his lifetime, he offered the term “culture” as an alternative to “experience.” Late in his career he attempted a more sweeping revision of philosophical terminology in Knowing and the Known, written in collaboration with Arthur F. Bentley.

The influence of Dewey’s work, along with that of the pragmatic school of thought itself, although considerable in the first few decades of the twentieth century, was gradually eclipsed during the middle part of the century as other philosophical methods, such as those of the analytic school in England and America and phenomenology in continental Europe, grew to ascendency. Recent trends in philosophy, however, leading to the dissolution of these rigid paradigms, have led to approaches that continue and expand on the themes of Dewey’s work. W. V. O. Quine’s project of naturalizing epistemology works upon naturalistic presumptions anticipated in Dewey’s own naturalistic theory of inquiry. The social dimension and function of belief systems, explored by Dewey and other pragmatists, has received renewed attention by such writers as Richard Rorty and Jürgen Habermas. American phenomenologists such as Sandra Rosenthal and James Edie have considered the affinities of phenomenology and pragmatism, and Hilary Putnam, an analytically trained philosophy, has recently acknowledged the affinity of his own approach to ethics to that of Dewey’s. The renewed openness and pluralism of recent philosophical discussion has meant a renewed interest in Dewey’s philosophy, an interest that promises to continue for some time to come.

7. References and Further Reading

a. Primary Sources

All of the published writings of John Dewey have been newly edited and published in The Collected Works of John Dewey, Jo Ann Boydston, ed., 37 volumes (Carbondale: Southern Illinois University Press, 1967-1991).

Dewey’s complete correspondence has know been published in electronic form in The Correspondence of John Dewey, 3 vols., Larry Hickman, ed. (Charlottesville, Va: Intelex Corporation).

An authoritative collection of Dewey’s writings is The Essential Dewey, 2 vols., Larry Hickman and Thomas M. Alexander, eds. (Bloomington, IN: Indiana University Press, 1998).

b. Secondary Sources

  • Alexander, Thomas M. The Horizons of Feeling: John Dewey’s Theory of Art, Experience, and Nature. Albany: State University of New York Press, 1987.
  • Boisvert, Raymond D. Dewey’s Metaphysics. New York: Fordham University Press, 1988.
  • Boisvert, Raymond D. John Dewey: Rethinking Our Time. Albany: State University of New York Press, 1998.
  • Bullert, Gary. The Politics of John Dewey. Buffalo, NY: Prometheus Books, 1983.
  • Campbell, James. Understanding John Dewey: Nature and Cooperative Intelligence. Chicago and La Salle: Open Court, 1995.
  • Damico, Alfonso J. Individuality and Community: The Social and Political Thought of John Dewey. Gainesville, FL: University Presses of Florida, 1978.
  • Dykhuizen, George. The Life and Mind of John Dewey. Carbondale: Southern Illinois University Press, 1973.
  • Eames, S. Morris. Experience and Value: Essays on John Dewey and Pragmatic Naturalism.Elizabeth R. Eames and Richard W. Field, eds. Carbondale: Southern Illinois University Press, 2003.
  • Eldridge, Michael. Transforming Experience: John Dewey’s Cultural Instrumentalism. Nashville: Vanderbilt University Press, 1998.
  • Gouinlock, James. John Dewey’s Philosophy of Value. New York: Humanities Press, 1972.
  • Hickman, Larry. John Dewey’s Pragmatic Technology. Bloomington: Indiana University Press, 1990.
  • Hickman, Larry A., ed. Reading Dewey: Interpretations for a Postmodern Generation. Bloomington and Indianapolis: Indiana University Press, 1998.
  • Hook, Sidney. John Dewey: An Intellectual Portrait. New York: John Day Co., 1939; New York: Prometheus Books, 1995.
  • Jackson, Philip W. John Dewey and the Lessons of Art. New Haven: Yale University Press, 1998.
  • Haskins, Casey and David I. Seiple, eds. Dewey Reconfigured: Essays on Deweyan Pragmatism.Albany: State University of New York Press, 1999.
  • Levine, Barbara. Works about John Dewey: 1886-1995. Carbondale and Edwardsville: Southern Illinois University Press, 1996.
  • Rockefeller, Steven C. John Dewey: Religious Faith and Democratic Humanism. New York: Columbia University Press, 1991.
  • Schilpp, Paul Arthur and Lewis Edwin Hahn, eds. The Philosophy of John Dewey, The Library of Living Philosophers, vol. 1. La Salle, IL: Open Court, 1989.
  • Sleeper, Ralph. The Necessity of Pragmatism: John Dewey’s Conception of Philosophy. New York: Yale University Press, 1987.
  • Thayer, H. S. The Logic of Pragmatism: An Examination of John Dewey’s Logic. New York: Humanities Press, 1952.
  • Tiles, J. E. Dewey. London: Routledge, 1988.
  • Welchman, Jennifer. Dewey’s Ethical Thought. Ithaca: Cornell University Press, 1995.

Author Information

Richard Field
Email: rfield(at)nwmissouri.edu
Northwest Missouri State University
U. S. A.

Confucius (551—479 B.C.E.)

Better known in China as “Master Kong” (Chinese: Kongzi), Confucius was a fifth-century BCE Chinese thinker whose influence upon East Asian intellectual and social history is immeasurable. As a culturally symbolic figure, he has been alternately idealized, deified, dismissed, vilified, and rehabilitated over the millennia by both Asian and non-Asian thinkers and regimes. Given his extraordinary impact on Chinese, Korean, Japanese, and Vietnamese thought, it is ironic that so little can be known about Confucius. The tradition that bears his name – “Confucianism” (Chinese: Rujia) – ultimately traces itself to the sayings and biographical fragments recorded in the text known as the Analects (Chinese: Lunyu). As with the person of Confucius himself, scholars disagree about the origins and character of the Analects, but it remains the traditional source for information about Confucius’ life and teaching. Most scholars remain confident that it is possible to extract from the Analects several philosophical themes and views that may be safely attributed to this ancient Chinese sage. These are primarily ethical, rather than analytical-logical or metaphysical in nature, and include Confucius’ claim that Tian (“Heaven”) is aligned with moral order but dependent upon human agents to actualize its will; his concern for li (ritual propriety) as the instrument through which the family, the state, and the world may be aligned with Tian’s moral order; and his belief in the “contagious” nature of moral force (de), by which moral rulers diffuse morality to their subjects, moral parents raise moral children, and so forth.

Table of Contents

  1. The Confucius of History
  2. The Confucius of the Analects
  3. Theodicy
  4. Harmonious order
  5. Moral force
  6. Self-cultivation
  7. The Confucius of Myth
  8. The Confucius of the State
  9. Key Interpreters of Confucius
  10. References and Further Reading

1. The Confucius of History

Sources for the historical recovery of Confucius’ life and thought are limited to texts that postdate his traditional lifetime (551-479 BCE) by a few decades at least and several centuries at most. Confucius’ appearances in Chinese texts are a sign of his popularity and utility among literate elites during the Warring States (403-221 BCE), Qin (221-206 BCE), and Han (206 BCE-220 CE) periods. These texts vary in character and function, from collections of biographical and pedagogical fragments such as the Analects to dynastic histories and works by later Confucian thinkers.

The historical Confucius, born in the small state of Lu on the Shandong peninsula in northeastern China, was a product of the “Spring and Autumn Period” (770-481 BCE). We know him mostly from texts that date to the “Warring States Period” (403-221 BCE). During these eras, China enjoyed no political unity and suffered from the internecine warfare of small states, remnants of the once-great Zhou polity that collapsed after “barbarian” invasions in 771 BCE. For more than three hundred years after the alleged year of Confucius’ birth, the Chinese would fight each other for mastery of the empire lost by the Zhou. In the process, life became difficult, especially for the shi (“retainer” or “knight”) class, from which Confucius himself arose. As feudal lords were defeated and disenfranchised in battle and the kings of the various warring states began to rely on appointed administrators rather than vassals to govern their territories, these shi became lordless anachronisms and fell into genteel poverty and itinerancy. Their knowledge of aristocratic traditions, however, helped them remain valuable to competing kings, who wished to learn how to regain the unity imposed by the Zhou and who sought to emulate the Zhou by patterning court rituals and other institutions after those of the fallen dynasty.

Thus, a new role for shi as itinerant antiquarians emerged. In such roles, shi found themselves in and out of office as the fortunes of various patron states ebbed and flowed. Confucius is said to have held office for only a short time before withdrawing into scholarly retirement. While out of office, veteran shi might gather small circles of disciples – young men from shi backgrounds who wished to succeed in public life. It is precisely such master-and-disciple exchanges between Confucius and his students that the Analects claims to record.

2. The Confucius of the Analects

Above all else, the Analects depicts Confucius as someone who “transmits, but does not innovate” (7.1). What Confucius claimed to transmit was the Dao (Way) of the sages of Zhou antiquity; in the Analects, he is the erudite guardian of tradition who challenges his disciples to emulate the sages of the past and restore the moral integrity of the state. Although readers of the Analects often assume that Confucius’ views are presented as a coherent and consistent system within the text, a careful reading reveals several different sets of philosophical concerns which do not conflict so much as they complement one another. These complimentary sets of concerns can be categorized into four groups:

  • Theodicy
  • Harmonious order
  • Moral force
  • Self-cultivation

3. Theodicy

Those familiar with Enlightenment-influenced presentations of Confucius as an austere humanist who did not discuss the supernatural may be surprised to encounter the term “theodicy” as a framework for understanding Confucius’ philosophical concerns. Confucius’ record of silence on the subject of the divine is attested by the Analects (5.13, 7.21, 11.12). In fact, as a child of the late Zhou world, Confucius inherited a great many religious sensibilities, including theistic ones. For the early Chinese (c. 16th century BCE), the world was controlled by an all-powerful deity, “The Lord on High” (Shangdi), to whom entreaties were made in the first known Chinese texts, inscriptions found on animal bones offered in divinatory sacrifice. As the Zhou polity emerged and triumphed over the previous Shang tribal rule, Zhou apologists began to regard their deity, Tian (“Sky” or “Heaven”) as synonymous with Shangdi, the deity of the deposed Shang kings, and explained the decline of Shang and the rise of Zhou as a consequence of a change in Tianming (“the mandate of Heaven”). Thus, theistic justifications for conquest and rulership were present very early in Chinese history.By the time of Confucius, the concept of Tian appears to have changed slightly. For one thing, the ritual complex of Zhou diviners, which served to ascertain the will of Tian for the benefit of the king, had collapsed with Zhou rule itself. At the same time, the network of religious obligations to manifold divinities, local spirits, and ancestors does not seem to have ceased with the fall of the Zhou, and Confucius appears to uphold sacrifices to “gods and ghosts” as consistent with “transmitting” noble tradition. Yet, in the Analects, a new aspect of Tian emerges. For the Confucius of the Analects, discerning the will of Tian and reconciling it with his own moral compass sometimes proves to be a troubling exercise:

If Heaven is about to abandon this culture, those who die afterwards will not get to share in it; if Heaven has not yet abandoned this culture, what can the men of Guang [Confucius’ adversaries in this instance] do to me? (9.5)

There is no one who recognizes me…. I neither resent Heaven nor blame humanity. In learning about the lower I have understood the higher. The one who recognizes me – wouldn’t that be Heaven? (14.35)

Heaven has abandoned me! Heaven has abandoned me! (11.9)

As A. C. Graham has noted, Confucius seems to be of two minds about Tian. At times, he is convinced that he enjoys the personal protection and sanction of Tian, and thus defies his mortal opponents as he wages his campaign of moral instruction and reform. At other moments, however, he seems caught in the throes of existential despair, wondering if he has lost his divine backer at last. Tian seems to participate in functions of “fate” and “nature” as well as those of “deity.” What remains consistent throughout Confucius’ discourses on Tian is his threefold assumption about this extrahuman, absolute power in the universe: (1) its alignment with moral goodness, (2) its dependence on human agents to actualize its will, and (3) the variable, unpredictable nature of its associations with mortal actors. Thus, to the extent that the Confucius of the Analects is concerned with justifying the ways of Tian to humanity, he tends to do so without questioning these three assumptions about the nature of Tian, which are rooted deeply in the Chinese past.

4. Harmonious order

The dependence of Tian upon human agents to put its will into practice helps account for Confucius’ insistence on moral, political, social, and even religious activism. In one passage (17.19), Confucius seems to believe that, just as Tian does not speak but yet accomplishes its will for the cosmos, so too can he remain “silent” (in the sense of being out of office, perhaps) and yet effective in promoting his principles, possibly through the many disciples he trained for government service. At any rate, much of Confucius’ teaching is directed toward the maintenance of three interlocking kinds of order: (1) aesthetic, (2) moral, and (3) social. The instrument for effecting and emulating all three is li (ritual propriety).

Do not look at, do not listen to, do not speak of, do not do whatever is contrary to ritual propriety. (12.1)

In this passage, Confucius underscores the crucial importance of rigorous attention to li as a kind of self-replicating blueprint for good manners and taste, morality, and social order. In his view, the appropriate use of a quotation from the Classic of Poetry (Shijing), the perfect execution of guest-host etiquette, and the correct performance of court ritual all serve a common end: they regulate and maintain order. The nature of this order is, as mentioned above, threefold. It is aesthetic — quoting the Shijing upholds the cultural hegemony of Zhou literature and the conventions of elite good taste. Moreover, it is moral — good manners demonstrate both concern for others and a sense of one’s place. Finally, it is social — rituals properly performed duplicate ideal hierarchies of power, whether between ruler and subject, parent and child, or husband and wife. For Confucius, the paramount example of harmonious social order seems to be xiao (filial piety), of which jing (reverence) is the key quality:

Observe what a person has in mind to do when his father is alive, and then observe what he does when his father is dead. If, for three years, he makes no changes to his father’s ways, he can be said to be a good son. (1.11)

[The disciple] Ziyu asked about filial piety. The Master said, “Nowadays, for a person to be filial means no more than that he is able to provide his parents with food. Even dogs and horses are provided with food. If a person shows no reverence, where is the difference?” (2.7)

In serving your father and mother, you ought to dissuade them from doing wrong in the gentlest way. If you see your advice being ignored, you should not become disobedient but should remain reverent. You should not complain even if you are distressed. (4.18)

The character of this threefold order is deeper than mere conventions such as taste and decorum, as the above quotations demonstrate. Labeling it “aesthetic” might appear to demean or trivialize it, but to draw this conclusion is to fail to reflect on the peculiar way in which many Western thinkers tend to devalue the aesthetic. As David Hall and Roger Ames have argued, this “aesthetic” Confucian order is understood to be both intrinsically moral and profoundly harmonious, whether for a shi household, the court of a Warring States king, or the cosmos at large. When persons and things are in their proper places – and here tradition is the measure of propriety – relations are smooth, operations are effortless, and the good is sought and done voluntarily. In the hierarchical political and social conception of Confucius (and all of his Chinese contemporaries), what is below takes its cues from what is above. A moral ruler will diffuse morality to those under his sway; a moral parent will raise a moral child:

Let the ruler be a ruler, the subject a subject, a father a father, and a son a son. (12.11)

Direct the people with moral force and regulate them with ritual, and they will possess shame, and moreover, they will be righteous. (2.3)

5. Moral force

The last quotation from the Analects introduces a term perhaps most famously associated with a very different early Chinese text, the Laozi (Lao-tzu) or Daodejing (Tao Te Ching)de (te), “moral force.” Like Tian, de is heavily freighted with a long train of cultural and religious baggage, extending far back into the mists of early Chinese history. During the early Zhou period, de seems to have been a kind of amoral, almost magical power attributed to various persons – seductive women, charismatic leaders, etc. For Confucius, de seems to be just as magically efficacious, but stringently moral. It is both a quality, and a virtue of, the successful ruler:

One who rules by moral force may be compared to the North Star – it occupies its place and all the stars pay homage to it. (2.1)

De is a quality of the successful ruler, because he rules at the pleasure of Tian, which for Confucius is resolutely allied with morality, and to which he attributes his own inner de (7.23). De is the virtue of the successful ruler, without which he could not rule at all.

Confucius’ vision of order unites aesthetic concerns for harmony and symmetry (li) with moral force (de) in pursuit of social goals: a well-ordered family, a well-ordered state, and a well-ordered world. Such an aesthetic, moral, and social program begins at home, with the cultivation of the individual.

6. Self-Cultivation

In the Analects, two types of persons are opposed to one another – not in terms of basic potential (for, in 17.2, Confucius says all human beings are alike at birth), but in terms of developed potential. These are the junzi (literally, “lord’s son” or “gentleman”; Tu Wei-ming has originated the useful translation “profound person,” which will be used here) and the xiaoren (“small person”):

The profound person understands what is moral. The small person understands what is profitable. (4.16)

The junzi is the person who always manifests the quality of ren (jen) in his person and the displays the quality of yi (i) in his actions (4.5). The character for ren is composed of two graphic elements, one representing a human being and the other representing the number two. Based on this, one often hears that ren means “how two people should treat one another.” While such folk etymologies are common in discussions of Chinese characters, they often are as misleading as they are entertaining. In the case of ren – usually translated as “benevolence” or “humaneness” – the graphic elements of a human being and the number two really are instructive, so much so that Peter Boodberg suggested an evocative translation of ren as “co-humanity.” The way in which the junzi relates to his fellow human beings, however, highlights Confucius’ fundamentally hierarchical model of relations:

The moral force of the profound person is like the wind; the moral force of the small person is like the grass. Let the wind blow over the grass and it is sure to bend. (12.19)

D. C. Lau has pointed out that ren is an attribute of agents, while yi (literally, “what is fitting” — “rightness,” “righteousness”) is an attribute of actions. This helps to make clear the conceptual links between li, de, and the junzi. The junzi qua junzi exerts de, moral force, according to what is yi, fitting (that is, what is aesthetically, morally, and socially proper), and thus manifests ren, or the virtue of co-humanity in an interdependent, hierarchical universe over which Tian presides.

Two passages from the Analects go a long way in indicating the path toward self-cultivation that Confucius taught would-be junzi in fifth century BCE China:

From the age of fifteen on, I have been intent upon learning; from thirty on, I have established myself; from forty on, I have not been confused; from fifty on, I have known the mandate of Heaven; from sixty on, my ear has been attuned; from seventy on, I have followed my heart’s desire without transgressing what is right. (2.4)

The Master’s Way is nothing but other-regard and self-reflection. (4.15)

The first passage illustrates the gradual and long-term scale of the process of self-cultivation. It begins during one’s teenaged years, and extends well into old age; it proceeds incrementally from intention (zhi) to learning (xue), from knowing the mandate of Heaven (Tianming) to doing both what is desired (yu) and what is right (yi). In his disciple Zengzi (Tseng-tzu)’s summary of his “Way” (Dao), Confucius teaches only “other-regard” (zhong) and “self-reflection” (shu). These terms merit their own discussion.

The conventional meaning of “other-regard” (zhong) in classical Chinese is “loyalty,” especially loyalty to a ruler on the part of a minister. In the Analects, Confucius extends the meaning of the term to include exercising oneself to the fullest in all relationships, including relationships with those below oneself as well as with one’s betters. “Self-reflection” (shu) is explained by Confucius as a negatively-phrased version of the “Golden Rule”: “What you do not desire for yourself, do not do to others.” (15.24) When one reflects upon oneself, one realizes the necessity of concern for others. The self as conceptualized by Confucius is a deeply relational self that responds to inner reflection with outer virtue.

Similarly, the self that Confucius wishes to cultivate in his own person and in his disciples is one that looks within and compares itself with the aesthetic, moral, and social canons of tradition. Aware of its source in Tian, it seeks to maximize ren through apprenticeship to li so as to exercise de in a manner befitting a junzi. Because Confucius (and early Chinese thought in general) does not suffer from the Cartesian “mind-body problem” (as Herbert Fingarette has demonstrated), there is no dichotomy between inner and outer, self and whole, and thus the cumulative effect of Confucian self-cultivation is not merely personal, but collectively social and even cosmic.

7. The Confucius of Myth

While the Analects is valuable, albeit not infallible, as a source for the reconstruction of Confucius’ thought, it is far from being the only text to which Chinese readers have turned in their quest for discovering his identity. During the Han dynasty (206 BCE-220 CE), numerous hagiographical accounts of Confucius’ origins and deeds were produced, many of which would startle readers familiar only with the Analects. According to various texts, Confucius was a superhuman figure destined to rule as the “uncrowned king” of pre-imperial China. At birth, his body was said to have displayed special markings indicating his exemplary status. After his death, he was alleged to have revealed himself in a glorified state to his living disciples, who then received further esoteric teachings from their apotheosized master. Eventually, and perhaps inevitably, he was recognized as a deity and a cult organized itself around his worship. Feng Youlan has suggested that, had these Han images of Confucius prevailed, Confucius would have become a figure comparable to Jesus Christ in the history of China, and there would have been no arguments among scholars about whether or not Confucianism was a religion like Christianity.

To both ancient modern eyes, fantastic and improbable myths of Confucius should be added more recent myths about the sage that date from the earliest sustained contact between China and the West during the early modern period. The Latinization of Kong(fu)zi to “Confucius” originates with the interpretation of Chinese culture and thought by Jesuit missionaries for their Western audiences, supporters, and critics. Jesuits steeped in Renaissance humanism saw in Confucius a Renaissance humanist; German thinkers such as Leibniz or Wolff recognized in him an Enlightenment sage. Hegel condemned Confucius for exemplifying those whom he saw as “the people without history”; Mao castigated Confucius for imprisoning China in a cage of feudal archaism and oppression. Each remade Confucius in his own image for his own ends – a process that continues throughout the modern era, creating great heat and little light where the historical Confucius himself is concerned. Each mythologizer has seen Confucius as a symbol of whatever s/he loves or hates about China. As H. G. Creel once put it, once a figure like Confucius has become a cultural hero, stories about him tell us more about the values of the storytellers than about Confucius himself.

8. The Confucius of the State

Such mythmaking was very important to the emerging imperial Chinese state, however, as it struggled to impose cultural unity on a vast and fractious territory during the final few centuries BCE and beyond into the Common Era. After the initial persecution of Confucians during the short-lived Qin dynasty (221-202 BCE), the succeeding Han emperors and their ministers seized upon Confucius as a vehicle for the legitimation of their rule and the social control of their subjects. The “Five Classics” – five ancient texts associated with Confucius – were established as the basis for the imperial civil service examinations in 136 BCE, making memorization of these texts and their orthodox Confucian interpretations mandatory for all who wished to obtain official positions in the Han government. The state’s love affair with Confucius carried on through the end of the Han in 220 CE, after which Confucius fell out of official favor as a series of warring factions struggled for control of China during the “Period of Disunity” (220-589 CE) and foreign and indigenous religious traditions such as Buddhism and Daoism rivaled Confucianism for the attentions of the elite.

After the restoration of unified imperial government with the Tang dynasty (618-907 CE), however, the future of Confucius as a symbol of the Chinese cultural and political establishment became increasingly secure. State-sponsored sacrifices to him formed part of the official religious complex of temple rituals, from the national to the local level, and orthodox hagiography and history cemented his reputation as cultural hero among the masses. The Song dynasty (969-1279 CE) Confucian scholar Zhu Xi (Chu Hsi, 1130-1200 CE) institutionalized the study of the Analects as one of “Four Books” required for the redesigned imperial civil service examinations, and aspiring officials continued to memorize the text and orthodox commentaries on it until the early twentieth century.

With the fall of the last Chinese imperial government in 1911, Confucius also fell from his position of state-imposed grandeur – but not for long. Within a short time of the abdication of the last emperor, monarchists were plotting to restore a Confucian ruler to the throne. Although these plans did not materialize, the Nationalist regime in mainland China and later in Taiwan has promoted Confucius and Confucianism in a variety of ways in order to distinguish itself from the iconoclastic Communists who followed Mao to victory and control over most of China in 1949. Even the Communist regime in China has bowed reverentially to Confucius on occasion, although not without vilifying him first, especially during the anti-traditional “Cultural Revolution” campaigns of the late 1960s and early 1970s.

Today, the Communist government of China spends a great deal of money on the reconstruction and restoration of old imperial temples to Confucius across the country, and has even erected many new statues of Confucius in areas likely to be frequented by tourists from overseas. Predictably, Confucius, as a philosopher, has been rehabilitated by culturally Chinese regimes across Asia, from Singapore to Beijing, as what Wm. Th. de Bary has called “the East Asian challenge for human rights” has prompted attempts to ground “human rights with Chinese characteristics” in an authentically traditional source. In short, Confucius seems far from dead, although one wonders if the authentic spirit of his fifth century BCE thought ever will live again.

9. Key Interpreters of Confucius

Detailed discussion of Confucius’ key interpreters is best reserved for an article on Confucian philosophy. Nonetheless, an outline of the most important commentators and their philosophical trajectories is worth including here.

The two best known early interpreters of Confucius’ thought – besides the compilers of the Analects themselves, who worked gradually from the time of Confucius’ death until sometime during the former Han dynasty – are the Warring States philosophers “Mencius” or Mengzi (Meng-tzu, 372-289 BCE) and Xunzi (Hsun-tzu, 310-220 BCE). Neither knew Confucius personally, nor did they know one another, except retrospectively, as in the case of Xunzi commenting on Mencius. The two usually are cast as being opposed to one another because of their disagreement over human nature – a subject on which Confucius was notably silent (Analects 5.13).

Mencius illustrates a pattern typical of Confucius’ interpreters in that he claims to be doing nothing more than “transmitting” Confucius’ thought while introducing new ideas of his own. For Mencius, renxing (human nature) is congenitally disposed toward ren, but requires cultivation through li as well as yogic disciplines related to one’s qi (vital energy), and may be stunted (although never destroyed) through neglect or negative environmental influence. Confucius does not use the term renxing in the Analects, nor does he describe qi in Mencius’ sense, and nowhere does he provide an account of the basic goodness of human beings. Nonetheless, it is Mencius’ interpretation of Confucius’ thought – especially after the ascendancy of Zhu Xi’s brand of Confucianism in the twelfth century CE – that became regarded as orthodox by most Chinese thinkers.

Like Mencius, Xunzi claims to interpret Confucius’ thought authentically, but leavens it with his own contributions. Whereas Mencius claims that human beings are originally good but argues for the necessity of self-cultivation, Xunzi claims that human beings are originally bad but argues that they can be reformed, even perfected, through self-cultivation. Also like Mencius, Xunzi sees li as the key to the cultivation of renxing. Although Xunzi condemns Mencius’ arguments in no uncertain terms, when one has risen above the smoke and din of the fray, one may see that the two thinkers share many assumptions, including one that links each to Confucius: the assumption that human beings can be transformed by participation in traditional aesthetic, moral, and social disciplines.

Later interpreters of Confucius’ thought between the Tang and Ming dynasties are often grouped together under the label of “Neo-Confucianism.” This term has no cognate in classical Chinese, but is useful insofar as it unites several thinkers from disparate eras who share common themes and concerns. Thinkers such as Zhang Zai (Chang Tsai, 1020-1077 CE), Zhu Xi (Chu Hsi, 1130-1200 CE), and Wang Yangming (1472-1529 CE), while distinct from one another, agree on the primacy of Confucius as the fountainhead of the Confucian tradition, share Mencius’ understanding of human beings as innately good, and revere the “Five Classics” and “Four Books” associated with Confucius as authoritative sources for standards of ritual, moral, and social propriety. These thinkers also display a bent toward the cosmological and metaphysical which isolates them from the Confucius of the Analects, and betrays the influence of Buddhism and Daoism – two movements with little or no popular following in Confucius’ China — on their thought.

This cursory review of some seminal interpreters of Confucius’ thought illustrates a principle that ought to be followed by all who seek to understanding Confucius’ philosophical views: suspicion of the sources. All sources for reconstructing Confucius’ views, from the Analects on down, postdate the master and come from a hand other than his own, and thus all should be used with caution and with an eye toward possible influences from outside of fifth century BCE China.

10. References and Further Reading

  • Allan, Sarah. The Way of Water and Sprouts of Virtue. Albany: State University of New York Press, 1997.
  • Allinson, Robert E. “The Golden Rule as the Core Value in Confucianism and Christianity: Ethical Similarities and Differences.” Asian Philosophy 2/2 (1992): 173-185.
  • Ames, Roger T., and Henry Rosemont, Jr., trans. The Analects of Confucius: A Philosophical Translation. New York: Ballatine, 1998.
  • Ames, Roger T. “The Focus-Field Self in Classical Confucianism,” in Self as Person in Asian Theory and Practice, ed. Roger T. Ames (Albany: State University of New York Press, 1994), 187-212.
  • Berthrong, John. “Trends in the Interpretation of Confucian Religiosity,” in The Confucian-Christian Encounter in Historical and Contemporary Perspective, ed. Peter K. H. Lee (Lewiston, ME: Edwin Mellen Press, 1991), 226-254.
  • Boodberg, Peter A. “The Semasiology of Some Primary Confucian Concepts,” in Selected Works of Peter A. Boodberg, ed. Alvin P. Cohen (Berkeley: University of California Press, 1979), 26-40.
  • Brooks, E. Bruce and A. Taeko, trans. The Original Analects: Sayings of Confucius and His Successors. New York: Columbia University Press, 1998.
  • Chan, Wing-tsit, ed. A Sourcebook in Chinese Philosophy. Princeton: Princeton University Press, 1963.
  • Cheng, Anne. “Lun-yü,” in Early Chinese Texts: A Bibliographical Guide, ed. Michael Loewe (Berkeley: Society for the Study of Early China and the Institute of East Asian Studies, University of California, Berkeley, 1993), 313-323.
  • Creel, Herrlee G. Confucius and the Chinese Way. New York: Harper and Row, 1949.
  • Creel, Herrlee G. “Was Confucius Agnostic?” T’oung Pao 29 (1935): 55-99.
  • Csikszentmihalyi, Mark. “Confucius and the Analects in the Hàn,” in Confucius and the Analects: New Essays, ed. Bryan W. Van Norden (Oxford: Oxford University Press, 2002), 134-162.
  • Eno, Robert. The Confucian Creation of Heaven. Albany: State University of New York Press, 1990.
  • Fingarette, Herbert. Confucius — The Secular as Sacred. New York: Harper Torchbooks, 1972.
  • Graham, A. C. Disputers of the Tao: Philosophical Argument in Ancient China. La Salle, IL: Open Court, 1989.
  • Hall, David L., and Roger T. Ames. Thinking Through Confucius. Albany: State University of New York Press, 1987.
  • Ivanhoe, Philip J. “Whose Confucius? Which Analects?” in Confucius and the Analects: New Essays, ed. Bryan W. Van Norden (Oxford: Oxford University Press, 2002), 119-133.
  • Lau, D.C., trans. Confucius — The Analects. 2nd ed. Hong Kong: Chinese University Press, 1992.
  • Legge, James, trans. Confucius — Confucian Analects, The Great Learning, and the Doctrine of the Mean. New York: Dover Publications, 1971.
  • Munro, Donald J. The Concept of Man In Early China. Stanford, CA: Stanford University Press, 1969.
  • Nivison, David S. “The Classical Philosophical Writings,” in The Cambridge History of Ancient China: From the Origins of Civilization to 221 B.C., ed. Michael Loewe and Edward L. Shaughnessy (Cambridge: Cambridge University Press, 1999), 745-812.
  • Nivison, David S. The Ways of Confucianism: Investigations in Chinese Philosophy. Ed. Bryan W. Van Norden. Chicago and La Salle, IL: Open Court, 1996.
  • Schwartz, Benjamin I. The World of Thought in Ancient China. Cambridge, MA: The Belknap Press of Harvard University Press, 1985.
  • Shryock, John K. The Origin and Development of the State Cult of Confucius. New York: Century Company, 1932.
  • Taylor, Rodney L. “The Religious Character of the Confucian Tradition.” Philosophy East and West 48/1 (January 1998): 80-107.
  • Tu, Wei-ming. “Li as a Process of Humanization,” in Tu, Humanity and Self-Cultivation: Essays in Confucian Thought (Berkeley: Asian Humanities Press, 1979), 17-34.
  • Van Norden, Bryan W. “Introduction,” in Confucius and the Analects: New Essays, ed. Bryan W. Van Norden (Oxford: Oxford University Press, 2002), 3-38.
  • Waley, Arthur, trans. The Analects of Confucius. New York: The MacMillan Company, 1938.

Author Information

Jeff Richey
Email: Jeffrey_Richey@berea.edu
Berea College
U. S. A.

Cicero (106—43 B.C.E.)

cicero-02Marcus Tullius Cicero was born on January 3, 106 B.C.E. and was murdered on December 7, 43 B.C.E. His life coincided with the decline and fall of the Roman Republic, and he was an important actor in many of the significant political events of his time, and his writings are now a valuable source of information to us about those events. He was, among other things, an orator, lawyer, politician, and philosopher. Making sense of his writings and understanding his philosophy requires us to keep that in mind. He placed politics above philosophical study; the latter was valuable in its own right but was even more valuable as the means to more effective political action. The only periods of his life in which he wrote philosophical works were the times he was forcibly prevented from taking part in politics.

While Cicero is currently not considered an exceptional thinker, largely on the (incorrect) grounds that his philosophy is derivative and unoriginal, in previous centuries he was considered one of the great philosophers of the ancient era, and he was widely read well into the 19th century. Probably the most notable example of his influence is St. Augustine’s claim that it was Cicero’s Hortensius (an exhortation to philosophy, the text of which is unfortunately lost) that turned him away from his sinful life and towards philosophy and ultimately to God. Augustine later adopted Cicero’s definition of a commonwealth and used it in his argument that Christianity was not responsible for the destruction of Rome by the barbarians.

Table of Contents

  1. Cicero’s life
  2. Cicero’s influence
  3. Cicero’s thought
  4. Cicero and the Academic Skeptics
  5. Cicero and Stoicism and Peripateticism
  6. Cicero and Epicureanism
  7. Cicero’s writings
    1. On Invention
    2. On the Orator
    3. On the Republic
    4. On the Laws
    5. Brutus
    6. Stoic Paradoxes
    7. The Orator
    8. Consolation
    9. Hortensius
    10. Academics
    11. On Ends
    12. Tusculan Disputations
    13. On the Nature of the Gods
    14. On Divination
    15. On Fate
    16. On Old Age
    17. On Friendship
    18. Topics
    19. On Duties
  8. Further reading on Cicero’s life
  9. Further reading on Cicero’s philosophy
    1. Texts by Cicero
    2. Texts about Cicero

1. Cicero’s life

Cicero’s political career was a remarkable one. At the time, high political offices in Rome, though technically achieved by winning elections, were almost exclusively controlled by a group of wealthy aristocratic families that had held them for many generations. Cicero’s family, though aristocratic, was not one of them, nor did it have great wealth. But Cicero had a great deal of political ambition; at a very young age he chose as his motto the same one Achilles was said to have had: to always be the best and overtop the rest. Lacking the advantages of a proper ancestry, there were essentially only two career options open to him. One was a military career, since military success was thought to result from exceptional personal qualities and could lead to popularity and therefore political opportunity (as was the case much later for American presidents Ulysses S. Grant and Dwight D. Eisenhower). Cicero, however, was no soldier. He hated war, and served in the military only very briefly as a young man.

Instead, Cicero chose a career in the law. To prepare for this career, he studied jurisprudence, rhetoric, and philosophy. When he felt he was ready, he began taking part in legal cases. A career in the law could lead to political success for several reasons, all of which are still relevant today. First, a lawyer would gain a great deal of experience in making speeches. Second, he (there were no female lawyers in Rome) could also gain exposure and popularity from high-profile cases. Finally, a successful lawyer would build up a network of political connections, which is important now but was even more important in Cicero’s time, when political competition was not conducted along party lines or on the basis of ideology, but instead was based on loose, shifting networks of personal friendships and commitments. Cicero proved to be an excellent orator and lawyer, and a shrewd politician. He was elected to each of the principal Roman offices (quaestor, aedile, praetor, and consul) on his first try and at the earliest age at which he was legally allowed to run for them. Having held office made him a member of the Roman Senate. This body had no formal authority — it could only offer advice — but its advice was almost always followed. He was, as can be imagined, very proud of his successes. (Though this is not the place for a long discussion of Roman government, it should be noted that the Roman republic was not a democracy. It was really more of an oligarchy than anything else, with a few men wielding almost all economic and political power).

During his term as consul (the highest Roman office) in 63 B.C.E. he was responsible for unraveling and exposing the conspiracy of Catiline, which aimed at taking over the Roman state by force, and five of the conspirators were put to death without trial on Cicero’s orders. Cicero was proud of this too, claiming that he had singlehandedly saved the commonwealth; many of his contemporaries and many later commentators have suggested that he exaggerated the magnitude of his success. But there can be little doubt that Cicero enjoyed widespread popularity at this time – though his policy regarding the Catilinarian conspirators had also made him enemies, and the executions without trial gave them an opening.

The next few years were very turbulent, and in 60 B.C.E. Julius Caesar, Pompey, and Crassus (often referred to today as the First Triumvirate) combined their resources and took control of Roman politics. Recognizing his popularity and talents, they made several attempts to get Cicero to join them, but Cicero hesitated and eventually refused, preferring to remain loyal to the Senate and the idea of the Republic. This left him open to attacks by his enemies, and in January of 58 B.C.E. one of them, the tribune Clodius (a follower of Caesar’s), proposed a law to be applied retroactively stating that anyone who killed a Roman citizen without trial would be stripped of their citizenship and forced into exile. This proposal led to rioting and physical attacks on Cicero, who fled the city. The law passed. Cicero was forbidden to live within 500 miles of Italy, and all his property was confiscated. This exile, during which Cicero could not take part in politics, provided the time for his first period of sustained philosophical study as an adult. After roughly a year and a half of exile, the political conditions changed, his property was restored to him, and he was allowed to return to Rome, which he did to great popular approval, claiming that the Republic was restored with him. This was also treated by many as an absurd exaggeration.

Cicero owed a debt to the triumvirate for ending his exile (and for not killing him), and for the next eight years he repaid that debt as a lawyer. Because he still could not engage in politics, he also had time to continue his studies of philosophy, and between 55 and 51 he wrote On the Orator, On the Republic, and On the Laws. The triumvirate, inherently unstable, collapsed with the death of Crassus and in 49 B.C.E. Caesar crossed the Rubicon River, entering Italy with his army and igniting a civil war between himself and Pompey (Caesar’s own account of this war still survives). Cicero was on Pompey’s side, though halfheartedly. He felt that at this point the question was not whether Rome would be a republic or an empire but whether Pompey or Caesar would be Emperor, and he believed that it would make little difference, for it would be a disaster in either case. Caesar and his forces won in 48 B.C.E., and Caesar became the first Roman emperor. He gave Cicero a pardon and allowed him to return to Rome in July of 47 B.C.E., but Cicero was forced to stay out of politics. Most of the rest of his life was devoted to studying and writing about philosophy, and he produced the rest of his philosophical writings during this time.

Caesar was murdered by a group of senators on the Ides of March in 44 B.C.E. Cicero was a witness to the murder, though he was not a part of the conspiracy. The murder led to another power struggle in which Mark Antony (of “Antony and Cleopatra” fame), Marcus Lepidus, and Octavian (later called Augustus) were the key players. It also gave Cicero, who still hoped that the Republic could be restored, the opportunity for what is considered his finest hour as a politician. With Caesar dead, the Senate once again mattered, and it was to the Senate that Cicero made the series of speeches known as the Philippics (named after the speeches the Greek orator Demosthenes made to rouse the Athenians to fight Philip of Macedon). These speeches called for the Senate to aid Octavian in overcoming Antony (Cicero believed that Octavian, still a teenager, would prove to be a useful tool who could be discarded by the Senate once his purpose was served).

However, Antony, Lepidus, and Octavian were able to come to terms and agreed to share power. Each of them had enemies that he wanted eliminated, and as part of the power-sharing deal each got to eliminate those enemies. Antony put not only Cicero but also his son, his brother, and his nephew on the list of those to be killed (the Philippics are not very nice to him at all, especially the Second Philippic). Though Octavian owed his success in part to Cicero, he chose not to extend his protection to Cicero and his family. Cicero, his brother, and his nephew tried somewhat belatedly to flee Italy. His brother and nephew turned aside to collect more money for the trip, and were killed. Cicero kept going. Plutarch describes the end of Cicero’s life: “Cicero heard [his pursuers] coming and ordered his servants to set the litter [in which he was being carried] down where they were. He…looked steadfastly at his murderers. He was all covered in dust; his hair was long and disordered, and his face was pinched and wasted with his anxieties – so that most of those who stood by covered their faces while Herennius was killing him. His throat was cut as he stretched his neck out from the litter….By Antony’s orders Herennius cut off his head and his hands.” Antony then had Cicero’s head and hands nailed to the speaker’s podium in the Senate as a warning to others. Cicero’s son, also named Marcus, who was in Greece at this time, was not executed. He became consul in 30 B.C.E. under Octavian, who had defeated Antony after the Second Triumvirate collapsed. As consul, the younger Marcus got to announce Antony’s suicide to the Senate. It is unfortunate that we have no record of this speech.

2. Cicero’s influence

While Cicero is currently not considered an exceptional thinker, largely on the (incorrect) grounds that his philosophy is derivative and unoriginal, in previous centuries he was considered one of the great philosophers of the ancient era, and he was widely read well into the 19th century. Probably the most notable example of his influence is St. Augustine’s claim that it was Cicero’s Hortensius (an exhortation to philosophy, the text of which is unfortunately lost) that turned him away from his sinful life and towards philosophy and ultimately to God. Augustine later adopted Cicero’s definition of a commonwealth and used it in his argument that Christianity was not responsible for the destruction of Rome by the barbarians. Further discussion of Cicero’s influence on later philosophers can be found in MacKendrick, Chapter 20 and Appendix.

3. Cicero’s thought

Cicero subordinated philosophy to politics, so it should not surprise us to discover that his philosophy had a political purpose: the defense, and if possible the improvement, of the Roman Republic. The politicians of his time, he believed, were corrupt and no longer possessed the virtuous character that had been the main attribute of Romans in the earlier days of Roman history. This loss of virtue was, he believed, the cause of the Republic’s difficulties. He hoped that the leaders of Rome, especially in the Senate, would listen to his pleas to renew the Republic. This could only happen if the Roman elite chose to improve their characters and place commitments to individual virtue and social stability ahead of their desires for fame, wealth, and power. Having done this, the elite would enact legislation that would force others to adhere to similar standards, and the Republic would flourish once again. Whether this belief shows an admirable commitment to the principles of virtue and nobility or a blindness to the nature of the exceedingly turbulent and violent politics of his time, or perhaps both, is impossible to say with certainty.

Cicero, therefore, tried to use philosophy to bring about his political goals. Like most intellectual endeavors in Cicero’s time, philosophy was an activity in which Greece (and especially Athens) still held the lead. The Romans were more interested in practical matters of law, governance, and military strategy than they were in philosophy and art (many of Cicero’s writings include justifications for his study of philosophy and arguments that it ought to be taken seriously). But for Cicero to really use philosophy effectively, he needed to make it accessible to a Roman audience. He did this in part by translating Greek works into Latin, including inventing Latin words where none seemed suitable for Greek concepts (including the Latin words which give us the English words morals, property, individual, science, image, and appetite), and in part by drawing on and idealizing Roman history to provide examples of appropriate conduct and to illustrate the arguments of philosophy. He also summarized in Latin many of the beliefs of the primary Greek philosophical schools of the time (and he is the source of much of our knowledge about these schools). These included the Academic Skeptics, >Peripatetics, Stoics, and Epicureans. Cicero was well acquainted with all these schools, and had teachers in each of them at different times of his life. But he professed allegiance throughout his life to the Academy.

4. Cicero and the Academic Skeptics

In Cicero’s time there were in fact two schools claiming to be descended from the First Academy, established by Plato. Cicero studied briefly in both the Old Academy and the New Academy; the differences between the two need not concern us. What they shared was their basic commitment to skepticism: a belief that human beings cannot be certain in their knowledge about the world, and therefore no philosophy can be said to be true. The Academic Skeptics offered little in the way of positive argument themselves; they mostly criticized the arguments of others.

This can be annoying, but it requires real mental abilities, including the ability to see all sides of an issue and to understand and accept that any belief, no matter how cherished, is only provisional and subject to change later if a better argument presents itself. It is the approach which underlies the modern scientific method, though the Academics did not use it in that way. Even something like evolution, for which there is mountains of evidence and seemingly no resonable alternative, is treated as a theory subject to change if needed rather than an eternal truth.

And it is this approach which Cicero embraced. This is not surprising if we consider again why he was interested in philosophy in the first place. As a lawyer, he would need to see as many sides of an argument as possible in order to argue his clients’ cases effectively. He would have to marshal all the available evidence in a methodical way, so as to make the strongest possible case, and he would have to accept that he might at any time have to deal with new evidence or new issues, forcing him to totally reconsider his strategies. As a politician, he would need a similar grasp of the issues and a similar degree of flexibility in order to speak and to act effectively. A lawyer or politician who fanatically sticks to a particular point of view and cannot change is not likely to be successful. Adopting the teachings of the Academy also allowed Cicero to pick and choose whatever he wanted from the other philosophical schools, and he claims to do this at various points in his writings. Finally, his allegiance to the Academy helps to explain his use of the dialogue form: it enables Cicero to put a number of arguments in the mouths of others without having to endorse any particular position himself.

However, Cicero did not consistently write as a member of the Academy. Skepticism can, if taken to extremes, lead to complete inaction (if we can’t be certain of the correctness of our decisions or of our actions, why do anything at all?) which was incompatible with Cicero’s commitment to political activity. Even if it isn’t taken that far, it can still be dangerous. It may not be a problem if trained, knowledgeable philosophers are skeptical about things like whether the gods exist or whether the laws are just. But if people in general are skeptical about these things, they may end up behaving lawlessly and immorally (see Aristophanes’ Clouds for a portrayal of this). Thus, while Cicero is willing to accept Academic Skepticism in some areas, he is not willing to do so when it comes to ethics and politics. For doctrines in these areas, he turns to the Stoics and Peripatetics.

5. Cicero and Stoicism and Peripateticism

Cicero believed that these two schools taught essentially the same things, and that the difference between them was whether virtue was the only thing human beings should pursue or whether it was merely the best thing to be pursued. According to the first view, things like money and health have no value; according to the second, they have value but nowhere near enough to justify turning away from virtue to attain them. This was a difference with little practical consequence, so far as Cicero was concerned, and there is no need to take it up here.

Since, according to the teachings of the Academy, Cicero was free to accept any argument that he found convincing, he could readily make use of Stoic teachings, and he did so particularly when discussing politics and ethics. In the Laws, for example, he explicitly says that he is setting aside his skepticism, for it is dangerous if people do not believe unhesitatingly in the sanctity of the laws and of justice. Thus he will rely on Stoicism instead. He puts forth Stoic doctrines not dogmatically, as absolutely and always true, but as the best set of beliefs so far developed. We ought to adhere to them because our lives, both individually and collectively, will be better if we do. It is essentially Stoic ethical teachings that Cicero urges the Roman elite to adopt.

Stoicism as Cicero understood it held that the gods existed and loved human beings. Both during and after a person’s life, the gods rewarded or punished human beings according to their conduct in life. The gods had also provided human beings with the gift of reason. Since humans have this in common with the gods, but animals share our love of pleasure, the Stoics argued, as Socrates had, that the best, most virtuous, and most divine life was one lived according to reason, not according to the search for pleasure. This did not mean that humans had to shun pleasure, only that it must be enjoyed in the right way. For example, it was fine to enjoy sex, but not with another man’s wife. It was fine to enjoy wine, but not to the point of shameful drunkenness. Finally, the Stoics believed that human beings were all meant to follow natural law, which arises from reason. The natural law is also the source of all properly made human laws and communities. Because human beings share reason and the natural law, humanity as a whole can be thought of as a kind of community, and because each of us is part of a group of human beings with shared human laws, each of us is also part of a political community. This being the case, we have duties to each of these communities, and the Stoics recognized an obligation to take part in politics (so far as is possible) in order to discharge those duties. The Stoic enters politics not for public approval, wealth, or power (which are meaningless) but in order to improve the communities of which they are a part. If politics is painful, as it would often prove to be for Cicero, that’s not important. What matters is that the virtuous life requires it.

6. Cicero and Epicureanism

For the Epicurean philosophy Cicero had only disdain throughout most of his life, though his best friend Atticus was an Epicurean. This disdain leads him to seriously misrepresent its teachings as being based on the shameless pursuit of base pleasures, such as food, sex, and wine (the modern day equivalent being sex, drugs, and rock’n’roll). However, this is not what Epicurus, who founded the school, or his later followers actually taught. Epicurus did claim that nature teaches us that pleasure is the only human good, and that life should therefore be guided by the pursuit of pleasure. But he meant by pleasure the absence of pain, including the pain caused by desires for wealth, fame, or power. This did not mean living life as one long Bacchanalia. Instead it meant withdrawing from politics and public life and living quietly with friends, engaged in the study of philosophy, which provided the highest pleasure possible (think of a monastery without the Bible and the rigorous discipline). The notion that the life of philosophy is the most pleasant life, of course, also comes from Socrates. Epicureans were also publicly atheists. Their atheism was based on a theory of atomism, which they were the first to propose. Everything in the universe, they argued, was made up of atoms, including the heavenly bodies; the gods did not exist. This knowledge was not a cause of despair but a cause of joy, they believed, since one of the greatest human pains is the pain caused by the fear of death and what lies beyond it. According to the Epicureans, death simply meant the end of sensation, as one’s atoms came apart. Thus there was no reason to fear it, because there was no divine judgment or afterlife. The best known Epicurean is Lucretius, a contemporary of Cicero’s at Rome who Cicero may have known personally. Lucretius’ On the Nature of Things, available online, sets out Epicurean teachings.

It is easy to see why Cicero, a man deeply involved in politics and the pursuit of glory, would find any doctrine that advocated the rejection of public life repulsive. It is also easy to see why someone concerned with the reform of character and conduct would reject public atheism, since fear of divine punishment often prevents people from acting immorally. During his forced exile from politics at the end of his life, however, some of his letters claim that he has gone over to Epicureanism, presumably for the reasons he hated it previously. No longer able to take part in public life, the best he could hope for was the cultivation of private life and the pleasures that it had to offer. Since Cicero abandoned this idea as soon as the opportunity to return to public life arose, there is no reason to take his professed conversion seriously – unless we wish to see in it an example of changing his beliefs to reflect changing circumstances, and thus an example of his commitment to the Academy.

7. Cicero’s writings

Cicero’s written work can be sorted into three categories. None can be said to represent the “true” Cicero, and all of Cicero’s work, we must remember, has a political purpose. This does not make it worthless as philosophy, but it should make us cautious about proclaiming anything in particular to be what Cicero “really thought.” Also, as an Academic skeptic, Cicero felt free to change his mind about something when a better position presented itself, and this makes it even more difficult to bring his writing together into a coherent whole.

The first category of Cicero’s work is his philosophic writings, many of which were patterned after Plato’s or Aristotle’s dialogues. These writings, in chronological order, include On Invention, On the Orator, On the Republic, On the Laws, Brutus, Stoic Paradoxes, The Orator, Consolation, Hortensius, Academics, On Ends, Tusculan Disputations, On the Nature of the Gods, On Divination, On Fate, On Old Age, On Friendship, Topics, On Glory, and On Duties. Unfortunately, several of them have been lost almost entirely (Hortensius, on the value of philosophy, the Consolation, which Cicero wrote to himself on the death of his beloved daughter Tullia in order to overcome his grief, and On Glory, almost totally lost) and several of the others are available only in fragmentary condition (notably the Laws, which Cicero may never have finished, and the Republic, fragments of which were only discovered in 1820 in the Vatican). These will be discussed in more detail below. While each of them is dedicated and addressed to a particular individual or two, they were intended to be read by a wide audience, and even at the end of his life Cicero never gave up entirely on the hope that the Republic and his influence would be restored. Hence these are not purely philosophical writings, but were designed with a political purpose in mind, and we are entitled to wonder whether Cicero is being entirely candid in the opinions that he expresses. Also, the dialogue form is useful for an author who wishes to express a number of opinions without having to endorse one. As we have seen, Cicero’s skepticism would have made this an especially attractive style. We should not assume too quickly that a particular character speaks for Cicero. Instead we should assume that, unless he explicitly says otherwise, Cicero wanted all the viewpoints presented to be considered seriously, even if some or all of them have weaknesses.

The second category is the speeches Cicero made as a lawyer and as a Senator, about 60 of which remain. These speeches provide many insights into Roman cultural, political, social, and intellectual life, as well as glimpses of Cicero’s philosophy. Many of them also describe the corruption and immorality of the Roman elite. However, they have to be taken with a grain of salt, because Cicero was writing and delivering them in order to achieve some legal outcome and/or political goal and by his own admission was not above saying misleading or inaccurate things if he thought they would be effective. In addition, the speeches that we have are not verbatim recordings of what Cicero actually said, but are versions that he polished later for publication (the modern American analogy would be to the Congressional Record, which allows members of Congress the opportunity to revise the text of their speeches before they are published in the Record). In some cases (such as the Second Philippic) the speech was never delivered at all, but was merely published in written form, again with some political goal in mind.

Finally, roughly 900 letters to and from (mostly from) Cicero have been preserved. Most of them were addressed to his close friend Atticus or his brother Quintius, but some correspondence to and from some other Romans including famous Romans such as Caesar has also been preserved. The letters often make an interesting contrast to the philosophic dialogues, as they deal for the most part not with lofty philosophical matters but with the mundane calculations, compromises, flatteries, and manipulations that were part of politics in Rome and which would be familiar to any politician today. It is important to be cautious in drawing conclusions from them about Cicero’s “true” beliefs since they rely on an understanding between the sender and recipient not available to others, because they are often not the result of full reflection or an attempt at complete clarity and precision (after all, a friend can be counted on to know what you mean), and because many of them, like the speeches, were written with a political purpose in mind that may make them less than fully truthful and straightforward.

Space does not allow us to discuss Cicero’s speeches and letters. The serious student of Cicero, however, will not want to ignore them. What follows is a brief summary of the main points each of Cicero’s philosophical works.

a. On Invention

Written while Cicero was still a teenager, it is a handbook on oratory. Cicero later dismissed it and argued that his other oratorical works had superceded it.

b. On the Orator

A lengthy treatise, in the form of a dialogue, on the ideal orator. While it is full of detail which can be tedious to those who are not deeply interested in the theory of rhetoric, it also contains useful discussions of the nature of and the relationships among law, philosophy, and rhetoric. Cicero places rhetoric above both law and philosophy, arguing that the ideal orator would have mastered both law and philosophy (including natural philosophy) and would add eloquence besides. He argues that in the old days philosophy and rhetoric were taught together, and that it is unfortunate that they have now been separated. The best orator would also be the best human being, who would understand the correct way to live, act upon it by taking a leading role in politics, and instruct others in it through speeches, through the example of his life, and through making good laws.

c. On the Republic

This dialogue is, unfortunately, in an extremely mutilated condition. It describes the ideal commonwealth, such as might be brought about by the orator described in On the Orator. In doing so it tries to provide philosophical underpinnings for existing Roman institutions and to demonstrate that Roman history has been essentially the increasing perfection of the Republic, which is superior to any other government because it is a mixed government. By this Cicero means that it combines elements of monarchy, aristocracy, and democracy in the right balance; the contemporary reader may well disagree. But even this government can be destroyed and is being destroyed by the moral decay of the aristocracy. Thus Cicero describes the importance of an active life of virtue, the foundations of community, including the community of all human beings, the role of the statesman, and the concept of natural law. It also includes the famous Dream of Scipio.

d. On the Laws

This dialogue is also badly mutilated, and may never have been finished. In it Cicero lays out the laws that would be followed in the ideal commonwealth described in On the Republic. Finding the source of law and justice, he says, requires explaining “what nature has given to humans; what a quantity of wonderful things the human mind embraces; for the sake of performing and fulfilling what function we are born and brought into the world; what serves to unite people; and what natural bond there is between them.” Philosophy teaches us that by nature human beings have reason, that reason enables us to discover the principles of justice, and that justice gives us law. Therefore any valid law is rooted in nature, and any law not rooted in nature (such as a law made by a tyrant) is no law at all. The gods also share in reason, and because of this they can be said to be part of a community with humanity. They care for us, and punish and reward us as appropriate. Much of what remains of this dialogue is devoted to religious law.

e. Brutus

This dialogue too is in a mutilated condition. It is a history of oratory in Greece and Rome, listing hundreds of orators and their distinguishing characteristics, weaknesses as well as strengths. There is also some discussion of oratory in the abstract. Cicero says that the orator must “instruct his listener, give him pleasure, [and] stir his emotions,” and, as in On the Orator, that the true orator needs to have instruction in philosophy, history, and law. Such a person will have the tools necessary to become a leader of the commonwealth. This dialogue is less inclined to the argument that the orator must be a good man; for example, Cicero says that orators must be allowed to “distort history [i.e. lie] in order to give more point to their narrative.”

f. Stoic Paradoxes

Not a dialogue; Cicero lays out six Stoic principles (called paradoxes) which the average listener would not be likely to agree with and tries to make them both understandable and persuasive to such a listener. It is, he says, an exercise in turning the specialized jargon of the Stoics into plain speech for his own amusement (which obviously does not require Cicero to actually agree with any of the Stoic beliefs). The beliefs discussed are as follows: moral worth is the only good; virtue is sufficient for happiness; all sins and virtues are equal; every fool is insane; only the wise man is really free; only the wise man is really rich. These topics are largely taken up again in the Tusculan Disputations. MacKendrick argues strenuously that this work is far more than an idle amusement, and that it showcases Cicero’s rhetorical skills as well as being an attack on his enemies.

g. The Orator

Written in the form of a letter on the topic of the perfect orator, it includes a defense of Cicero’s own oratorical style (Cicero was never known for his modesty). It emphasizes that the orator must be able to prove things to the audience, please them, and sway their emotions. It also includes the famous quote “To be ignorant of what occurred before you were born is to remain always a child.”

h. Consolation

This text is lost except for fragments cited by other authors. Cicero wrote it to diminish his grief over the death of his daughter Tullia through the use of philosophy. From his letters we know that it was not entirely successful.

i. Hortensius

his text is heavily fragmented and we can determine little more than its broad outline. It is written in order to praise philosophy, which alone can bring true happiness through the development of reason and the overcoming of passions. In antiquity it was widely read and very popular; it was instrumental in converting St. Augustine to Christianity.

j. Academics

The positions of the various philosophical schools on epistemology (how we can perceive and understand the world) and the possibility of knowing truth are set out and refuted by the participants in this dialogue (of which we have different parts of two editions). Cicero also incorporates a detailed history of the development of these schools following the death of Socrates (diagrammed nicely in MacKendrick; see below). The nature of Cicero’s own skepticism can be found in this work; the reader is left to choose the argument that is most persuasive.

k. On Ends

A dialogue which sets out the case, pro and con, of the several philosophic schools on the question of the end or purpose (what Aristotle called the telos) of human life. For Cicero, and arguably for ancient philosophy generally, this was the most important question: “What is the end, the final and ultimate aim, which gives the standard for all principles of right living and of good conduct?” Today many are inclined to believe that an answer to this question, if an answer exists at all, must be found in religion, but Cicero held that it was a question for philosophy, and this text was meant to popularize among the Romans the various answers that were being offered at the time. As with Academics, the reader must decide which case is most persuasive.

l. Tusculan Disputations

Another attempt to popularize philosophy at Rome and demonstrate that the Romans and their language had the potential to achieve the very highest levels of philosophy. The first book presents the argument that death is an evil; this argument is then refuted. The second book presents and refutes the argument that pain is an evil. The third book argues that the wise man will not suffer from anxiety and fear. In the fourth book Cicero demonstrates that the wise man does not suffer from excessive joy or lust. And in the fifth and final book Cicero argues that virtue, found through philosophy, is sufficient for a happy life. These positions are all compatible with Stoicism.

m. On the Nature of the Gods

This dialogue, along with the next two, was intended by Cicero to form a trilogy on religious questions. It offers desciptions of literally dozens of varieties of religion. Emphasis is especially placed on the Epicurean view (the gods exist but are indifferent about human beings), which is described and then refuted, and the Stoic view (the gods govern the world, love human beings, and after death reward the good and punish the bad), which is similarly stated and refuted. At the end of the dialogue the characters have not reached agreement. This is perhaps the dialogue that best illustrates Cicero’s skeptical method.

n. On Divination

This dialogue too, according to Cicero, is meant to set out arguments both for and against a topic, in this case the validity of divination (predicting the future through methods such as astrology, reading animal entrails, watching the flight of birds, etc.) without asserting that either side is correct. The case for the validity of divination is presented in the first book and then crushed in the second (in which Cicero himself is the main speaker). While Cicero explicitly says that he reserves judgment, it is hard to conclude that Cicero approved of divination, which he saw as drawing on superstition rather than religion. Religion was useful because it helped to control human behavior and could be used as a tool for public policy; and in this context divination could be useful too (as when an unwise political decision was prevented by the announcement that the omens were unfavorable).

o. On Fate

The text is fragmented. The topic discussed is whether or not human beings can be said to have free will, so much of the book deals with theories of causation and the meaning of truth and falsehood. Cicero apparently rejects the idea that fate determines all our actions and argues that human beings, to a significant extent, have free will.

p. On Old Age

In this dialogue, we learn that the sufferings of old age do not affect everyone equally but in fact are dependent on character; old men of good character continue to enjoy life, though in different ways than in their youth, while men of bad character have new miseries added to their previous ones. Nothing is more natural than to age and die, and if we are to live in accordance with nature (a Stoic teaching) we should face death calmly. If one has lived well, there are many pleasant memories to enjoy, as well as prestige and the intellectual pleasures that are highest of all.

q. On Friendship

This dialogue describes the nature of true friendship, which is possible only between good men, who are virtuous and follow nature. This friendship is based on virtue, and while it offers material advantages it does not aim at them or even seek them. The dialogue goes on to describe the bonds of friendship among lesser men, which are stronger the more closely they are related but which exist even in more distant relationships. The conclusion is reached that all human beings are bonded together, along with the gods, in a community made up of the cosmos as a whole and based on shared reason. There is, however, awareness of the fact that in the real world friendship can be a difficult thing to maintain due to political pressures and adversity. It also includes the assertion that Cato was better than Socrates because he is praised for deeds, not words, which is perhaps the center of Cicero’s personal philosophy (recall that he only wrote about philosophy, rhetoric and so on when political participation was denied to him by force), as well as the claim that love is not compatible with fear – a claim that Machiavelli found significant enough to explicitly reject in The Prince.

r. Topics

A toolkit for orators on the science of argument, touching on the law, rhetoric, and philosophy, and setting out the various kinds of arguments available to the orator, rules of logic, and the kinds of questions he may find himself facing. It has similarities to Aristotle’s Topics and part of his Rhetoric.

s. On Duties

Written in the form of a letter to his son Marcus, then in his late teens and studying philosophy in Athens (though, we can gather from the letters, not studying it all that seriously), but intended from the start to reach a wider audience. Cicero addresses the topic of duty (including both the final purpose of life, which defines our duties, and the way in which duties should be performed), and says that he will follow the Stoics in this area, but only as his judgment requires. More explicitly, the letter discusses how to determine what is honorable, and which of two honorable things is more honorable; how to determine what is expedient and how to judge between two expedient things; and what to do when the honorable and the expedient seem to conflict. Cicero asserts that they can only seem to conflict; in reality they never do, and if they seem to it simply shows that we do not understand the situation properly. The honorable action is the expedient and vice-versa. The bonds among all human beings are described, and young Marcus is urged to follow nature and wisdom, along with whatever political activity might still be possible, rather than seeking pleasure and indolence. On Duties, written at the end of Cicero’s life, in his own name, for the use of his son, pulls together a wide range of material, and is probably the best starting place for someone wanting to get acquainted with Cicero’s philosophic works.

8. Further reading on Cicero’s life

Plutarch’s “Life of Cicero” is the source of much of our knowledge of Cicero’s life. It should be kept in mind that Plutarch is writing a century after Cicero’s death and has no firsthand knowledge of the events he describes. He also writes to offer moral lessons, rather than simply record events. The Roman historian Sallust’s Conspiracy of Catiline offers a description of that conspiracy, written twenty years after it took place, which fails to give Cicero the same degree of importance he gave himself. Both of these texts are available online and in inexpensive Penguin editions. D.R. Shackleton Bailey, Cicero, incorporates many of Cicero’s own letters in describing Cicero and the events of his life; the reader gets a firsthand look at events and a taste of Cicero’s enjoyable prose style through these letters. Manfred Fuhrmann, Cicero and the Roman Republic, uses the same approach and also includes material from speeches and the philosophical writings. Christian Habicht, Cicero the Politician, is a short (99 pages of text) history of Cicero’s life and times. Its brevity makes it a useful starting point and overview. Even shorter (84 pages of text) is Thomas Wiedemann, Cicero and the End of the Roman Republic. Weidemann even finds room for photographs and drawings, which makes this book perhaps too short. R.E. Smith, Cicero the Statesman, focuses on the period from 71 B.C.E.-43 B.C.E., which is the most active part of Cicero’s life. He gives a very clear exposition of Roman politics as well as Cicero’s part in it. Thomas Mitchell’s two volumes, Cicero, the Ascending Years (which covers Cicero’s life up to the end of his consulship) and Cicero the Senior Statesman (which covers the years from the end of his consulship to his death), in his words, aim to “provide a detailed and fully documented account of Cicero’s political life that combines the story of his career with a comprehensive discussion of the political ideas and events that helped shape it.” He succeeds admirably. There are also available a large number of general histories of the Roman Republic and empire which the reader is encouraged to explore.

9. Further reading on Cicero’s philosophy

a. Texts by Cicero

The standard versions of Cicero’s writings in English are still the Loeb editions of the Harvard University Press. They include the Latin text on the left hand pages and the English translation on the right hand pages, which is obviously of particular use to one who knows or is learning Latin. There are Loeb editions of all of Cicero’s speeches, letters, and philosophical writings known to exist, and they were the main sources for this article. The Perseus Project includes Cicero’s writings in its online archives. The series of Cambridge Texts in the History of Political Thought has recently added editions of On the Commonwealth and On the Laws (in one volume, edited by James E.G. Zetzel) and On Duties (edited by M.T. Griffin and E.M. Atkins). These volumes include the Cambridge series’ usual excellent introductions and background material and were also helpful in preparing this article. The Oxford World’s Classics series has recently released a new translation of On the Commonwealth and On the Laws (edited by Jonathan Powell and Niall Rudd); while its supplemental material is not as thorough as that of the Cambridge edition, it is still worth reading.

b. Texts about Cicero

Perhaps the best starting point is Neal Wood, Cicero’s Social and Political Thought. It includes chapters on Cicero’s life and times and then discusses Cicero’s thought in a number of areas (for example there are chapters entitled “The Idea of the State” and “The Art of Politics”); admittedly its focus de-emphasizes Cicero’s thought on religion, oratorical theory, and so on. A wider range of essays, which can best be appreciated after reading Cicero’s texts, can be found in J.G.F. Powell, editor, Cicero the Philosopher: Twelve Papers. Andrew R. Dyck, A Commentary on Cicero, De Officiis (On Duty), is exactly what it says; it is massive (654 pages), detailed, relies on the reader’s knowing Latin, and is of interest almost exclusively to the specialist. Paul MacKendrick, The Philosophical Books of Cicero, offers detailed summaries of each of Cicero’s philosophical writings, as well as brief discussions which include the issue of Cicero’s sources and originality for each text (Cicero is defended against the charges of unoriginality commonly made against him). It was extremely helpful in the preparation of this article. The final two chapters, as mentioned above, trace Cicero’s influence down through the centuries and conclude with the observation that “Americans, though denied by their educational system a widespread knowledge of the classics in the original, share with Cicero a sturdy set of ethical values, which it is to be hoped they will, in true Ciceronian fashion, still cleave to in time of crisis.”

Author Information

Edward Clayton
Central Michigan University
U. S. A.

Theories of Explanation

Within the philosophy of science there have been competing ideas about what an explanation is. Historically, explanation has been associated with causation: to explain an event or phenomenon is to identify its cause. But with the growth and development of philosophy of science in the 20th century, the concept of explanation began to receive more rigorous and specific analysis. Of particular concern were theories that posited the existence of unobservable entities and processes (atoms, fields, genes, and so forth). These posed a dilemma: on the one hand, the staunch empiricist had to reject unobservable entities as a matter of principle; on the other, theories that appealed to unobservable entities were clearly producing revolutionary results. Thus philosophers of science sought some way to characterize the obvious value of these theories without abandoning the empiricist principles deemed central to scientific rationality.

A theory of explanation might treat explanations in either a realist or an epistemic (that is, anti-realist) sense. A realist interpretation of explanation holds that the entities or processes an explanation posits actually exist–the explanation is a literal description of external reality. An epistemic interpretation, on the contrary, holds that such entities or processes do not necessarily exist in any literal sense but are simply useful for organizing human experience and the results of scientific experiments–the point of an explanation is only to facilitate the construction of a consistent empirical model, not to furnish a literal description of reality. Thus Hempel‘s epistemic theory of explanation deals only in logical form, making no mention of any actual physical connection between the phenomenon to be explained and the facts purported to explain it, whereas Salmon’s realist account emphasizes that real processes and entities are conceptually necessary for understanding exactly why an explanation works.

In contrast to these theoretical and primarily scientific approaches, some philosophers have favored a theory of explanation grounded in the way people actually perform explanation. Ordinary Language Philosophy stresses the communicative or linguistic aspect of an explanation, its utility in answering questions and furthering understanding between two individuals, while an approach based in cognitive science maintains that explaining is a purely cognitive activity and that an explanation is a certain kind of mental representation that results from or aids in this activity. It is a matter of contention within cognitive science whether explanation is properly conceived as the process and results of belief revision or as the activation of patterns within a neural network.

This article focuses on the way thinking about explanation within the philosophy of science has changed since 1950. It begins by discussing the philosophical concerns that gave rise to the first theory of explanation, the deductive-nomological model. Discussions of this theory and standard criticisms of it are followed by an examination of attempts to amend, extend or replace this first model. There is particular emphasis on the most general aspects of explanation and on the extent to which later developments reflect the priorities and presuppositions of different philosophical traditions. There are many important aspects of explanation not covered, most notably the relation between the different types of explanation such as teleological, functional, reductive, psychological, and historical explanation — that are employed in various branches of human inquiry.

Table of Contents

  1. Introduction
  2. Hempel’s Theory of Explanation
  3. Standard Criticisms of Hempel’s Theory of Explanation
  4. Contemporary Developments in the Theory of Explanation
    1. Explanation and Causal Realism
    2. Explanation and Constructive Empiricism
    3. Explanation and Ordinary Language Philosophy
    4. Explanation and Cognitive Science
    5. Explanation, Naturalism and Scientific Realism
  5. The Current State of the Theory of Explanation
  6. References and Further Reading

1. Introduction

Most people, philosophers included, think of explanation in terms of causation. Very roughly, to explain an event or phenomenon is to identify its cause. The nature of causation is one of the perennial problems of philosophy, so on the basis of this connection one might reasonably attempt to trace thinking about the nature of explanation to antiquity. (Among the ancients, for example, Aristotle’s theory of causation is plausibly regarded as a theory of explanation.) But the idea that the concept of explanation warrants independent analysis really did not begin to take hold until the 20th century. Generally, this change occurred as the result of the linguistic turn in philosophy. More specifically, it was the result of philosophers of science attempting to understand the nature of modern theoretical science.

Of particular concern were theories that posited the existence of unobservable entities and processes (for example, atoms, fields, genes, etc.). These posed a dilemma. On the one hand, the staunch empiricist had to reject unobservable entities as a matter of principle; on the other hand, theories that appealed to unobservables were clearly producing revolutionary results. A way was needed to characterize the obvious value of these theories without abandoning the empiricist principles deemed central to scientific rationality.

In this context it became common to distinguish between the literal truth of a theory and its power to explain observable phenomena. Although the distinction between truth and explanatory power is important, it is susceptible to multiple interpretations, and this remains a source of confusion even today. The problem is this: In philosophy the terms “truth” and “explanation” have both realist and epistemic interpretations. On a realist interpretation the truth and explanatory power of a theory are matters of the correspondence of language with an external reality. A theory that is both true and explanatory gives us insight into the causal structure of the world. On an epistemic interpretation, however, these terms express only the power of a theory to order our experience. A true and explanatory theory orders our experience to a greater degree than a false non-explanatory one. Hence, someone who denies that scientific theories are explanatory in the realist sense of the term may or may not be denying that they are explanatory in the epistemic sense. Conversely, someone who asserts that scientific theories are explanatory in the epistemic sense may or may not be claiming that they are explanatory in the realist sense. The failure to distinguish these senses of “explanation” can and does foster disagreements that are purely semantic in nature.

One common way of employing the distinction between truth and explanation is to say that theories that refer to unobservable entities may explain the phenomena, but they are not literally true. A second way is to say that these theories are true, but they do not really explain the phenomena. Although these statements are superficially contradictory, they can both be made in support of the same basic view of the nature of scientific theories. This, it is now easy to see, is because the terms ‘truth’ and ‘explanation’ are being used differently in each statement. In the first, ‘explanation’ is being used epistemically and ‘truth’ realistically; in the second, ‘explanation’ is being used realistically and ‘truth’ epistemically. But both statements are saying roughly the same thing, namely, that a scientific theory may be accepted as having a certain epistemic value without necessarily accepting that the unobservable entities it refers to actually exist. (This view is known as anti-realism.) One early 20th century philosopher scientist, Pierre Duhem, expressed himself according to the latter interpretation when he claimed:

A physical theory is not an explanation. It is a system of mathematical propositions, deduced from a small number of principles, which aim to represent as simply, as completely, and as exactly as possible a set of experimental laws. ([1906] 1962: p7)

Duhem claimed that:

To explain is to strip the reality of the appearances covering it like a veil, in order to see the bare reality itself. (op.cit.: p19)

Explanation was the task of metaphysics, not science. Science, according to Duhem, does not comprehend reality, but only gives order to appearance. However, the subsequent rise of analytic philosophy and, in particular, logical positivism made Duhem’s acceptance of classical metaphysics unpopular. The conviction grew that, far from being explanatory, metaphysics was meaningless insofar as it issued claims that had no implications for experience. By the time Carl Hempel (who, as a logical positivist, was still fundamentally an anti-realist about unobservable entities) articulated the first real theory of explanation (1948) the explanatory power of science could be stipulated.

To explain the phenomena in the world of our experience, to answer the question “Why?” rather than only the question “What?”, is one of the foremost objectives of all rational inquiry; and especially scientific research, in its various branches strives to go beyond a mere description of its subject matter by providing an explanation of the phenomena it investigates. (Hempel and Oppenheim 1948: p8)

For Hempel, answering the question “Why?” did not, as for Duhem, involve an appeal to a reality beyond all experience. Hempel employs the epistemic sense of explanation. For him the question “Why?” was an expression of the need to gain predictive control over our future experiences, and the value of a scientific theory was to be measured in terms of its capacity to produce this result.

2. Hempel’s Theory of Explanation

According to Hempel, an explanation is:

…an argument to the effect that the phenomenon to be explained …was to be expected in virtue of certain explanatory facts. (1965 p. 336)

Hempel claimed that there are two types of explanation, what he called ‘deductive-nomological’ (DN) and ‘inductive-statistical’ (IS) respectively.” Both IS and DN arguments have the same structure. Their premises each contain statements of two types: (1) initial conditions C, and (2) law-like generalizations L. In each, the conclusion is the event E to be explained:

C1, C2, C3,…Cn

L1, L2, L3,…Ln

————————

E

The only difference between the two is that the laws in a DN explanation are universal generalizations, whereas the laws in IS explanations have the form of statistical generalizations. An example of a DN explanation containing one initial condition and one law-like generalization is:

C. The infant’s cells have three copies of chromosome 21.

L. Any infant whose cells have three copies of chromosome 21 has Down’s Syndrome.

————————————————————————————————–

E. The infant has Down’s Syndrome.

An example of an IS explanation is:

C. The man’s brain was deprived of oxygen for five continuous minutes.

L. Almost anyone whose brain is deprived of oxygen for five continuous minutes will sustain brain damage.

—————————————————————————————————

E. The man has brain damage.

For Hempel, DN explanations were always to be preferred to IS explanations. There were two reasons for this.

First, the deductive relationship between premises and conclusion maximized the predictive value of the explanation. Hempel accepted IS arguments as explanatory just to the extent that they approximated DN explanations by conferring a high probability on the event to be explained.

Second, Hempel understood the concept of explanation as something that should be understood fundamentally in terms of logical form. True premises are, of course, essential to something being a good DN explanation, but to qualify as a DN explanation (what he sometimes called a potential DN explanation) an argument need only exhibit the deductive-nomological structure. (This requirement placed Hempel squarely within the logical positivist tradition, which was committed to analyzing all of the epistemically significant concepts of science in logical terms.) There is, however, no corresponding concept of a potential IS explanation. Unlike DN explanations, the inductive character of IS explanations means that the relation between premises and conclusion can always be undermined by the addition of new information. (For example, the probability of brain damage, given that a man is deprived of oxygen for 7 minutes, is lowered somewhat by the information that the man spent this time at the bottom of a very cold lake.) Consequently, it is always possible that a proposed IS explanation, even if the premises are true, would fail to predict the fact in question, and thus have no explanatory significance for the case at hand.

3. Standard Criticisms of Hempel’s Theory of Explanation

Hempel’s dissatisfaction with statistical explanation was at odds with modern science, for which the explanatory use of statistics had become indispensable. Moreover, Hempel’s requirement that IS explanations approximate the predictive power of DN explanations has the counterintuitive implication that for inherently low probability events no explanations are possible. For example, since smoking two packs of cigarettes a day for 40 years does not actually make it probable that a person will contract lung cancer, it follows from Hempel’s theory that a statistical law about smoking will not be involved in an IS explanation of the occurrence of lung cancer. Hempel’s view might be defended here by claiming that when our theories do not allow us to predict a phenomenon with a high degree of accuracy, it is because we have incomplete knowledge of the initial conditions. However, this seems to require us to base a theory of explanation on the now dubious metaphysical position that all events have determinate causes.

Another important criticism of Hempel’s theory is that many DN arguments with true premises do not appear to be explanatory. Wesley Salmon raised the problem of relevance with the following example:

C1. Butch takes birth control pills.

C2: Butch is a man.

L: No man who takes birth control pills becomes pregnant.

———————————————————————————-

E: Butch has not become pregnant.

Unfortunately, this reasoning qualifies as explanatory on Hempel’s theory despite the fact that the premises seem to be explanatorily irrelevant to the conclusion.

Sylvain Bromberger raised the problem of asymmetry by pointing out that, while on Hempel’s model one can explain the period of a pendulum in terms of the length of the pendulum together with the law of simple periodic motion, one can just as easily explain the length of a pendulum in terms of its period in accord with the same law. Our intuitions tell us that the first is explanatory, but the second is not. The same point is made by the following example:

C: The barometer is falling rapidly.

L: Whenever the barometer falls rapidly, a storm is approaching.

—————————————————————–

E: A storm is approaching.

While the falling barometer is a trustworthy indicator of an approaching storm, it is counterintuitive to say that the barometer explains the occurrence of the storm. Rather, it is the approaching storm that explains the falling barometer.

These two problems, relevance and asymmetry, expose the difficulty of developing a theory of explanation that makes no reference to causal relations. Reference to causal relations is not an option for Hempel, however, since causation heads the anti-realist’s list of metaphysically suspect concepts. It would also undermine his view that explanation should be understood as an epistemic rather than a metaphysical relationship. Hempel’s response to these problems was that they raise purely pragmatic issues. His model countenances many explanations that prove to be useless, but whether an explanation has any practical value is not, in Hempel’s view, something that can be determined by philosophical analysis. This is a perfectly cogent reply, but it has not generally been regarded as an adequate one. Virtually all subsequent attempts to improve upon Hempel’s theory accept the above criticisms as legitimate.

As noted above, Hempel’s model requires that an explanation make use of at least one law-like generalization. This presents another sort of problem for the DN model. Hempel was careful to distinguish law-like generalizations from accidental generalizations. The latter are generalizations that may be true, but not in virtue of any law of nature. (for example, “All of my shirts are stained with coffee” may be true, but it is- I hope- just an accidental fact, not a law of nature.) Although the idea that explanation consists in subsuming events under natural laws has wide appeal in the philosophy of science, it is doubtful whether this requirement can be made consistent with Hempel’s epistemic view of explanation. The reason is simply that no one has ever articulated an epistemically sound criterion for distinguishing between law-like generalizations and accidental generalizations. This is essentially just Hume’s problem of induction, namely, that no finite number of observations can justify the claim that a regularity in nature is due to an natural necessity. In the absence of such a criterion, Hempel’s model seems to violate the spirit of the epistemic view of explanation, as well as the idea that explanation can be understood in purely logical terms.

4. Contemporary Developments in the Theory of Explanation

Contemporary developments in the theory of explanation in many ways reflect the fragmented state of analytic philosophy since the decline of logical positivism. In this article we will look briefly at examples of how explanation has been conceived within the following five traditions: (1) Causal Realism, (2) Constructive Empiricism, (3) Ordinary Language Philosophy, (4) Cognitive Science and (5) Naturalism and Scientific Realism.

a. Explanation and Causal Realism

With the decline of logical positivism and the gathering success of modern theoretical science, philosophers began to regard continued skepticism about the reality of unobservable entities and processes as pointless. Different varieties of realism were articulated and against this background several different causal theories of explanation were developed. The idea behind them is the ordinary intuition noted at the beginning of this essay: to explain is to attribute a cause. Michael Scriven argued this point with notable force:

Let us take a case where we can be sure beyond any reasonable doubt that we have a correct explanation. As you reach for the dictionary, your knee catches the edge of the table and thus turns over the ink bottle, the contents of which proceed to run over the table’s edge and ruin the carpet. If you are subsequently asked to explain how the carpet was damaged you have a complete explanation. You did it by knocking over the ink. The certainty of this explanation is primeval…This capacity for identifying causes is learnt, is better developed in some people than in others, can be tested, and is the basis for what we call judgments. (1959: p. 456)

Wesley Salmon’s causal theory of explanation is perhaps the most influential developed within the realist tradition. Salmon had earlier developed a fundamentally epistemic view according to which an explanation is a list of statistically relevant factors. However he later rejected this, and any epistemic theory, as inadequate. His reason was that all epistemic theories are incapable of showing how explanations produce scientific understanding. This is because scientific understanding is not only a matter of having justified beliefs about the future. Salmon now insists that even a Laplacean Demon whose knowledge of the laws and initial conditions of the universe were so precise and complete as to issue in perfect predictive knowledge would lack scientific understanding. Specifically, he would lack the concepts of causal relevance and causal asymmetry and he could not distinguish between true causal processes and pseudo-processes. (As an example of the latter, consider the beam of a search light as it describes an arc through the sky. The movement of the beam is a pseudo-process since earlier stages of the beam do not cause later stages. By contrast, the electrical generation of the light itself, and the movement of the lamp housing are true causal processes.)

Salmon defends his causal realism by rejecting the Humean conception of causation as linked chains of events, and by attempting to articulate an epistemologically sound theory of continuous causal processes and causal interactions to replace it. The theory itself is detailed and does not lend itself to compression. It reads not so much as an analysis of the term ‘explanation’ as a set of instructions for producing an explanation of a particular phenomenon or event. One begins by compiling a list of statistically relevant factors and analyzing the list by a variety of methods. The procedure terminates in the creation of causal models of these statistical relationships and empirical testing to determine which of these models is best supported by the evidence.

Insofar as Salmon’s theory insists that an adequate explanation has not been achieved until the fundamental causal mechanisms of a phenomenon have been articulated, it is deeply reductionistic. It is not clear, for example, how Salmon’s model of explanation could ever generate meaningful explanations of mental events, which supervene on, but do not seem to be reducible to a unique set of causal relationships. Salmon’s theory is also similar to Hempel’s in at least one sense, and that is that both champion ideal forms of explanation, rather than anything that scientists or ordinary people are likely to achieve in the workaday world. This type of theorizing clearly has its place, but it has also been criticized by those who see explanation primarily as a form of communication between individuals. On this view, simplicity and ease of communication are not merely pragmatic, but essential to the creation of human understanding.

b. Explanation and Constructive Empiricism

In his book The Scientific Image (1980) Bas van Fraassen produced an influential defense of anti-realism. Terming his view “constructive empiricism” van Fraassen claimed that theoretical science was properly construed as a creative process of model construction rather than one of discovering truths about the unobservable world. While avoiding the fatal excesses of logical positivism he argued strongly against the realistic interpretation of theoretical terms, claiming that contemporary scientific realism is predicated on a dire misunderstanding of the nature of explanation. (See “Naturalism and Scientific Realism” below). In support of his constructive empiricism van Fraassen produced an epistemic theory of explanation that draws on the logic of why-questions and draws on a Bayesian interpretation of probability.

Like Hempel, van Fraassen seeks to explicate explanation as a purely logical concept. However, the logical relation is not that of premises to conclusion, but one of question to answer. Following Bromberger, van Fraassen characterizes explanation as an answer to a why-question. Why-questions, for him, are essentially contrastive. That is, they always, implicitly or explicitly, ask: Why Pk, rather than some set of alternatives X= ? Why-questions also implicitly stipulate a relevance relation R, which is the explanatory relation (for example, causation) any answer must bear to the ordered pair .

Van Fraassen follows Hempel in addressing explanatory asymmetry and explanatory relevance as pragmatic issues. However, van Fraassen’s question-answering model makes this view a bit more intuitive. The relevance relation is defined by the interests of the person posing the question. For example, an individual who asks for an explanation of an airline accident in terms of the human decisions that led to it can not be forced to accept an explanation solely in terms of the weather. van Fraassen deals with the problem of explanatory asymmetry by showing that this, too, is a function of context. For example, most people would say that bad weather explains plane crashes, but plane crashes don’t explain bad weather. However, there are conditions (for example, unstable atmospheric conditions, an airplane carrying highly explosive cargo) that could combine to supply the latter explanation with an appropriate context.

Van Fraassen’s model also avoids Hempel’s problematic requirement of high probability for IS explanation. For van Fraassen, an answer will be potentially explanatory if it “favors” Pk over all the other members of the contrast class. This means roughly that the answer must confer greater probability on Pk than on any other Pi. It does not require that Pk actually be probable, or even that the probability of Pk be raised as a result of the answer, since favoring can actually result from an answer that lowers the probability of all other Pi relative to Pk. For van Fraassen, the essential tool for calculating the explanatory value of a theory is Bayes’ Rule, which allows one to calculate the probability of a particular event relative to a set of background assumptions and some new information. From a Bayesian point of view, the rationality of a belief is relative to a set of background assumptions which are not themselves the subject of evaluation. Van Fraassen’s theory of explanation is therefore deeply subjectivist: what counts as a good explanation for one person may not count as a good explanation for another, since their background assumptions may differ.

Van Fraassen’s pragmatic account of explanation buttresses his anti-realist position, by showing that when properly analyzed there is nothing about the concept of explanation that demands a realistic interpretation of causal processes or unobservables. Van Fraassen does not make the positivist mistake of claiming that talk of such things is metaphysical nonsense. He claims only that a full appreciation of science does not depend on a realistic interpretation. His pragmatism also offers an alternative account of Salmon’s Laplacean Demon. van Fraassen agrees with Salmon that an individual with perfect knowledge of the laws and initial conditions of the universe lacks something, but what he lacks is not objective knowledge of the difference between causal processes and pseudo processes. Rather, he simply lacks the human interests that make causation a useful concept.

c. Explanation and Ordinary Language Philosophy

Although van Fraassen’s theory of explanation is based on the view that explanation is a process of communication, he still chooses to explicate the concept of explanation as a logical relationship between question and answer, rather than as a communicative relationship between two individuals. Ordinary Language Philosophy tends to emphasize this latter quality, rejecting traditional epistemology and metaphysics and focusing on the requirements of effective communication. For this school, philosophical problems do not arise because ordinary language is defective, but because we are in some way ignoring the communicative function of language. Consequently, the point of ordinary language analysis is not to improve upon ordinary usage by clarifying the meanings of terms for use in some ideal vocabulary, but rather to bring the full ordinary meanings of the terms to light.

Within this tradition Peter Achinstein (1983) developed an illocutionary theory of explanation. Like Salmon, Achinstein characterizes explanation as the pursuit of understanding. He defines the act of explanation as the attempt by one person to produce understanding in another by answering a certain kind of question in a certain kind of way. Achinstein rejects Salmon’s narrow association of understanding with causation, as well as van Fraassen’s analysis in terms of why-questions. For Achinstein there are many different kinds of questions that we ordinarily regard as attempts to gain understanding (for example, who-, what-, when-, and where-questions) and it follows that the act of answering any of these is properly regarded as an act of explanation.

According to Achinstein’s theory S (a person) explains q (an interrogative expressing some question Q) by uttering u only if:

S utters u with the intention that his utterance of u render q understandable by producing the knowledge of the proposition expressed by u that it is a correct answer to Q. (1983: p.13)

Achinstein’s approach is an interesting departure from the types of theory discussed above in that it draws freely both on the concept of intention as well as the irreducibly causal notion of “producing knowledge.” This move clearly can not be countenanced by someone who sees explanation as a fundamentally logical concept. Even the causal realist who believes that explanations make essential reference to causes does not construe explanation itself in causal terms. Indeed, Achinstein’s approach is so different from theories that we have discussed so far that it might be best construed as addressing a very different question. Whereas traditional theories have attempted to explicate the logic of explanation, Achinstein’s theory may be best understood as an attempt to describe the process of explanation itself.

Like van Fraassen’s theory, Achinstein’s theory is deeply pragmatic. He stipulates that all explanations are given relative to a set of instructions (cf. van Fraassen’s relevance relations) and indicates that these instructions are ultimately determined by the individual asking the question. So, for example, a person who ask for an explanation why the electrical power in the house has gone out implicitly instructs that the question be answered in a way that would be relevant to the goal of turning the electricity back on. An answer that explained the absence of an electrical current in scientific terms, say by reference to Maxwell’s equations, would be inappropriate in this case.

Achinstein attempts to avoid van Fraassen’s subjectivism, by identifying understanding with knowledge that a certain kind of proposition is true. These, he calls “content giving propositions” which are to be contrasted with propositions that have no real cognitive significance. For example, Achinstein would want to rule out as non-explanatory, answers to questions that are purely tautological, such as: Mr. Pheeper died because Mr. Pheeper ceased to live. Achinstein also counts as non explanatory the scientifically correct answer to a question like: What is the speed of light in a vacuum? For him 186,000 miles/ second is not explanatory because, as it stands, it is just an incomprehensibly large number offering no basis of comparison with velocities that are cognitively significant. This does not mean that speed of light in a vacuum can not be explained. For example, a more cognitively significant answer to the above question might be that light can travel 7 1/2 times around the earth in one second. (Thanks to Professor Norman Swartz for this example)

One of the main difficulties with Achinstein’s theory is that the idea of a content-giving proposition remains too vague. His refusal to narrow the list of questions that qualify as requests for explanation makes it very difficult to identify any interesting property that an act of explanation must have in order to produce understanding. Moreover, Achinstein’s theory suffers from epistemological problems of its own. His theory of explanation makes essential reference to the intention to produce a certain kind of knowledge-state, but it is unclear from what Achinstein says how a knowledge state can be the result of an illocutionary act simpliciter. Certainly, such acts can produce beliefs, but not all beliefs so produced will count as knowledge, and Achinstein’s theory does not distinguish between the kinds of explanatory acts that are likely to result in such knowledge, and the kinds that will not.

d. Explanation and Cognitive Science

While explanation may be fruitfully regarded as an act of communication, still another departure from the standard relational analysis is to think of explaining as a purely cognitive activity, and an explanation as a certain kind of mental representation that results from or aids in this activity. Considered in this way, explaining (sometimes called ‘abduction’) is a universal phenomenon. It may be conscious, deliberative, and explicitly propositional in nature, but it may also be unconscious, instinctive, and involve no explicit propositional knowledge whatsoever. For example: a father, hearing a high-pitched wail coming from the next room, rushes to his daughter’s aid. Whether he reacted instinctively, or on the basis of an explicit inference, we can say that the father’s behavior was the result of his having explained the wailing sound as the cry of his daughter.

From this perspective the term ‘explanation’ is neither a meta-logical nor a metaphysical relation. Rather, the term has been given a theoretical status and an explanatory function of its own; that is, we explain a person’s behavior by reference to the fact that he is in possession of an explanation. Put differently, ‘explanation’ has been subsumed into the theoretical vocabulary of science (with explanation itself being one of the problematic unobservables) an understanding of which was the very purpose of the theory of explanation in the first place.

Cognitive science is a diverse discipline and there are many different ways of approaching the concept of explanation within it. One major rift within the discipline concerns the question whether “folk psychology” with its reference to mental entities like intentions, beliefs and desires is fundamentally sound. Cognitive scientists in the artificial intelligence (AI) tradition argue that it is sound, and that the task of cognitive science is to develop a theory that preserves the basic integrity of belief-desire explanation. On this view, explaining is a process of belief revision, and explanatory understanding is understood by reference to the set of beliefs that result from that process. Cognitive scientists in the neuroscience tradition, in contrast, argue that folk psychology is not explanatory at all: in its completed state all reference to beliefs and desires will be eliminated from the vocabulary of cognitive science in favor of a vocabulary that allows us to explain behavior by reference to models of neural activity. On this view explaining is a fundamentally neurological process, and explanatory understanding is understood by reference to activation patterns within a neural network.

One popular approach that incorporates aspects of both traditional AI and neuroscience makes use of the idea of a mental model (cf. Holland et al. [1986]) Mental models are internal representations that occur as a result of the activation of some part of a network of condition-action (or if-then) type rules. These rules are clustered in such a way that when a certain number of conditions becomes active, some action results. For example, here is a small cluster of rules that a simple cognitive system might use to distinguish different types of small furry mammals in a backyard environment.

(i) If [large, scurries, meows] then [cat].

(ii) If [small, scurries, squeaks] then [rat].

(iii) If [small, hops, chirps] then [squirrel].

(iv) If [squirrel or rat] then [flees].

(v) If [cat] then [approaches].

A mental model of a squirrel, then, can be described as an activation of rule (iii).

A key concept within the mental models framework is that of a default hierarchy. A set of rules such as those above, state a standard set of default conditions. When these are met, a set of expectations is generated. For example, the activation of rule (iii) generates expectations of type (iv). However, a viable representational system must be able to revise prior rule activations when expectations are contradicted by future experience. In the mental models framework, this is achieved by incorporating a hierarchy of rules below the default condition with more specific conditions at lower levels of the model whose actions will defeat default expectations. For example, default rule (iii) might be defeated by another rule as follows:

3. Level 1: If [small, hops, chirps] then [squirrel].

Level 2: If [flies] then [bird].

In other words, a system that identifies a small, hopping chirping animal as a squirrel generates a set of expectations about its future behavior. If these expectations are contradicted by, for example, the putative squirrel flying, then the system will descend to a lower level of the hierarchy thereby allowing the system to reclassify the object as a bird.

Although this is just a cursory characterization of the mental models framework it is enough to show how explanation can be handled within it. In this context it is natural to think of explanation as a process that is triggered by a predictive failure. Essentially, when the expectations activated at Level 1 of the default hierarchy fail, the system searches lower levels of the hierarchy to find out why. If the above example were formulated in explicitly propositional terms, we would say that the failure of Level 1 expectations generated the question: Why did the animal, which I previously identified as a squirrel, fly? The answer supplied at level 2 is: Because the animal is not a squirrel, but a bird. Of course, Level 2 rules produce their own set of expectations, which must themselves be corroborated with future experience or defeated by future explanations. Clearly, the above example is a rudimentary form of explanation. Any viable system must incorporate learning algorithms which allow it to modify both the content and structure of the default hierarchy when its expectations are repeatedly undermined by experience. This will necessarily involve the ability to generalize over past experiences and activate entirely new rules at every level of the default hierarchy.

One can reasonably doubt whether philosophical questions about the nature of explanation are addressed by defining and ultimately engineering systems capable of explanatory cognition. To the extent that these questions are understood in purely normative terms, they obviously arise in regard to systems built by humans with at least as much force as they arise for humans themselves. In defense of the cognitive science approach, however, one might assert that the simple philosophical question “What is explanation?” is not well-formed. If we accept some form of epistemic relativity, the proper form of such a question is always “What is explanation in cognitive system S?” Hence, doubts about the significance of explanatory cognition in some system S are best expressed as doubts about whether system S-type explanation models human cognition accurately enough to have any real significance for human beings.

e. Explanation, Naturalism and Scientific Realism

Historically, naturalism is associated with the inclination to reject any kind of explanation of natural phenomena that makes essential reference to unnatural phenomena. Insofar as this view is understood simply as the rejection of supernatural phenomena (for example the actions of gods, irreducibly spiritual substances, etc.) it is uncontroversial within the philosophy of science. However, when it is understood to entail the rejection of irreducibly non-natural properties, (that is, the normative properties of ‘rightness’ and ‘wrongness’ that we appeal to in making evaluative judgments about human thought and behavior), it is deeply problematic. The problem is just that the aim of the philosophy of science has always been to establish an a priori basis for making precisely these evaluative judgments about scientific inquiry itself. If they can not be made, then it follows that the goals of philosophical inquiry have been badly misconceived.

Most contemporary naturalists do not regard this as an insurmountable problem. Rather, they just reject the idea that philosophical inquiry can occur from a vantage point outside of science, and they deny that evaluative judgments we make about scientific reasoning and scientific concepts have any a priori status. Put differently, they think philosophical inquiry should be seen as a very abstract form of scientific inquiry, and they see the normative aspirations of philosophers as something that must be achieved by using the very tools and methods that philosophers have traditionally sought to justify.

The relevance of naturalism to the theory of explanation can be understood briefly as follows. Naturalism undermines the idea that knowledge is prior to understanding. If it is true that there will never be an inductive logic that can provide an a priori basis for calling an observed regularity a natural law, then there is, in fact, no independent way of establishing what is the case prior to understanding why it is the case. Because of this, some naturalists (for example, Sellars) have suggested a different way of thinking about the epistemic significance of explanation. The idea, basically, is that explanation is not something that occurs on the basis of pre-confirmed truths. Rather, successful explanation is actually part of the process of confirmation itself:

Our aim [is] to manipulate the three basic components of a world picture: (a) observed objects and events, (b) unobserved objects and events, (c) nomological connections, so as to achieve a maximum of “explanatory coherence.” In this reshuffle no item is sacred. (Sellars, 1962: p356)

Many naturalists have since embraced this idea of “inference to the best explanation” (IBE) as a fundamental principle of scientific reasoning. Moreover, they have put this principle to work as an argument for realism. Briefly, the idea is that if we treat the claim that unobservable entities exist as a scientific hypothesis, then it can be seen as providing an explanation of the success of theories that employ them: namely, the theories are successful because they are (approximately) true. Anti-realism, by contrast, can provide no such explanation; on this view theories that make reference to unobservables are not literally true and so the success of scientific theories remains mysterious. It should be noted here that scientific realism has a very different flavor from the more foundational form of realism discussed above. Traditional realists do not think of realism as a scientific hypothesis, but as an independent metaphysical thesis.

Although IBE has won many converts in recent years it is deeply problematic precisely because of the way it employs the concept of explanation. While most people find IBE to be intuitively plausible, the fact remains that no theory of explanation discussed above can make sense of the idea that we accept a claim on the basis of its explanatory power. Rather, every such view stipulates as a condition of having explanatory power at all that a statement must be true or well-confirmed. Moreover, van Fraassen has argued that even if we can make sense of IBE, it remains a highly dubious principle of inductive inference. The reason is that “inference to the best explanation” really can only mean “inference to the best explanation given to date.” We are unable to compare proposed explanations to others that no one has yet thought of, and for this reason the property of being the best explanation can not be an objective measure of the likelihood that it is true.

One way of responding to these criticisms is to observe that Sellars’ concept of explanatory coherence is based on a view about the nature of understanding that simply eludes the standard models of explanation. According to this view an explanation increases our understanding, not simply by being the correct answer to a particular question, but by increasing the coherence of our entire belief system. This view has been developed in the context of traditional epistemology (Harman, Lehrer) as well as the philosophy of science (Thagard, Kitcher). In the latter context, the terms “explanatory unification” and “consilience” have been introduced to promote the idea that good explanations necessarily tend to produce a more unified body of knowledge. Although traditionalists will insist that there is no a priori basis for thinking that a unified or coherent set of beliefs is more likely to be true, (counterexamples are, in fact, easy to produce) this misses the point that most naturalists reject the possibility of establishing IBE, or any other inductive principle, on purely a priori grounds.

For critiques of naturalism, see the Social Science article.

5. The Current State of the Theory of Explanation

This brief summary may leave the reader with the impression that philosophers are hopelessly divided on the nature of explanation, but this is not really the case. Most philosophers of science would agree that our understanding of explanation is far better now than it was in 1948 when Hempel and Oppenheim published “Studies in the Logic of Explanation.” While it serves expository purposes to represent the DN model and each of its successors as fatally flawed, this should not obscure the fact that these theories have brought real advances in understanding which succeeding models are required to preserve. At this point, fundamental disagreements on the nature of explanation fall into one of two categories. First, there are metaphysical disagreements. Realists and anti-realists continue to differ over what sort of ontological commitments one makes in accepting an explanation. Second, there are meta-philosophical disagreements. Naturalists and non-naturalists remain at odds concerning the relevance of scientific inquiry ( namely, inquiry into the way scientists, ordinary people and computers actually think) to a philosophical theory of explanation. These disputes are unlikely to be resolved anytime soon. Fortunately, however, the significance of further research into the logical and cognitive structure of explanation does not depend on their outcome.

6. References and Further Reading

  • Achinstein, Peter (1983) The Nature of Explanation. New York: Oxford University Press.
  • Belnap and Steele (1976) The Logic of Questions and Answers. New Haven: Yale University
  • Bromberger, Sylvain (1966) “Why-Questions,” In Baruch A. Brody, ed., Readings in the Philosophy of Science, 66-84. Englewood Cliffs: Prentice Hall, Inc..
  • Brody, Baruch A. (1970) Readings in the Philosophy of Science. Englewood Cliffs, N.J.: Prentice Hall
  • Duhem, Pierre (1962) The Aim and Structure of Physical Theory. New York:
  • Friedman, Michael (1974 ) “Explanation and Scientific Understanding.” Journal of Philosophy 71: 5-19.
  • Harman, Gilbert (1965) “The Inference to the Best Explanation.” Philosophical Review, 74: 88-95.
  • Hempel, Carl G. and Oppenheim, Paul (1948) “Studies in the Logic of Explanation.” In Brody p. 8-38.
  • Hempel, Carl G. (1965) Aspects of Scientific Explanation and other Essays in the Philosophy of Science. New York: Free Press.
  • Holland, John; Holyoak, Keith; Nisbett, Richard; Thagard, Paul (1986) Induction: Processes of Inference, Learning, and Discovery. Cambridge: MIT Press
  • Hume, David (1977) An Enquiry Concerning Human Understanding. Indianapolis: Hackett
  • Kitcher, Philip (1981) “Explanatory Unification.” Philosophy of Science 48:507-531.
  • Lehrer, Keith (1990) Theory of Knowledge. Boulder: West View Press.
  • Pitt, Joseph C. (1988) Theories of Explanation. Oxford: Oxford University Press.
  • Quine, W. V. (1969) “Epistemology Naturalized.” In Ontological Relativity and Other Essays. New York: Columbia University Press: 69-90.
  • Salmon, Wesley (1984) Scientific Explanation and the Causal Structure of the World. Princeton: Princeton University Press.
  • Salmon, Wesley (1990) Four Decades of Scientific Explanation. Minneapolis: University of Minnesota Press.
  • Scriven, M (1959) “Truisms as the Grounds for Historical Explanations.” In P. Gardiner (Ed.), Theories of History: Readings from Classical and Contemporary Sources, New York: Free Press, pp. 443-475.
  • Sellars, Wilfred (1962) Science, Perception, and Reality. New York: Humanities Press.
  • Stich, Stephen (1983) From Folk Psychology to Cognitive Science. Cambridge: The MIT Press.
  • Thagard, Paul (1988) Computational Philosophy of Science. Cambridge: MIT Press.
  • van Fraassen, Bas C. (1980) The Scientific Image. Oxford: Clarendon Press.
  • van Fraassen, Bas C. (1989) Laws and Symmetry. Oxford: Clarendon Press.

Author Information

G. Randolph Mayes
Email: mayesgr@csus.edu
California State University Sacramento
U. S. A.

Logical Problem of Evil

The existence of evil and suffering in our world seems to pose a serious challenge to belief in the existence of a perfect God. If God were all-knowing, it seems that God would know about all of the horrible things that happen in our world. If God were all-powerful, God would be able to do something about all of the evil and suffering. Furthermore, if God were morally perfect, then surely God would want to do something about it. And yet we find that our world is filled with countless instances of evil and suffering.  These facts about evil and suffering seem to conflict with the orthodox theist claim that there exists a perfectly good God. The challenge posed by this apparent conflict has come to be known as the problem of evil.

This article addresses one form of that problem that is prominent in recent philosophical discussions–that the conflict that exists between the claims of orthodox theism and the facts about evil and suffering in our world is a logical one. This is the “logical problem of evil.”

The article clarifies the nature of the logical problem of evil and considers various theistic responses to the problem. Special attention is given to the free will defense, which has been the most widely discussed theistic response to the logical problem of evil.

Table of Contents

  1. Introducing the Problem
  2. Logical Consistency
  3. Logical Consistency and the Logical Problem of Evil
  4. Plantinga’s Free Will Defense
  5. Divine Omnipotence and the Free Will Defense
  6. An Objection: Free Will and Natural Evil
  7. Evaluating the Free Will Defense
  8. Was Plantinga’s Victory Too Easy?
  9. Other Responses to the Logical Problem of Evil
  10. Problems with the Free Will Defense
  11. References and Further Reading
    1. References
    2. Further Reading

1. Introducing the Problem

Journalist and best-selling author Lee Strobel commissioned George Barna, the public-opinion pollster, to conduct a nationwide survey. The survey included the question “If you could ask God only one question and you knew he would give you an answer, what would you ask?” The most common response, offered by 17% of those who could think of a question was “Why is there pain and suffering in the world?” (Strobel 2000, p. 29). If God is all-powerful, all-knowing and perfectly good, why does he let so many bad things happen? This question raises what philosophers call “the problem of evil.”

It would be one thing if the only people who suffered debilitating diseases or tragic losses were the likes of Adolf Hitler, Joseph Stalin or Osama Bin Laden. As it is, however, thousands of good-hearted, innocent people experience the ravages of violent crime, terminal disease, and other evils. Michael Peterson (1998, p. 1) writes,

Something is dreadfully wrong with our world. An earthquake kills hundreds in Peru. A pancreatic cancer patient suffers prolonged, excruciating pain and dies. A pit bull attacks a two-year-old child, angrily ripping his flesh and killing him. Countless multitudes suffer the ravages of war in Somalia. A crazed cult leader pushes eighty-five people to their deaths in Waco, Texas. Millions starve and die in North Korea as famine ravages the land. Horrible things of all kinds happen in our world—and that has been the story since the dawn of civilization.

Peterson (1998, p. 9) claims that the problem of evil is a kind of “moral protest.” In asking “How could God let this happen?” people are often claiming “It’s not fair that God has let this happen.” Many atheists try to turn the existence of evil and suffering into an argument against the existence of God. They claim that, since there is something morally problematic about a morally perfect God allowing all of the evil and suffering we see, there must not be a morally perfect God after all. The popularity of this kind of argument has led Hans Küng (1976, p. 432) to call the problem of evil “the rock of atheism.” This essay examines one form the argument from evil has taken, which is known as “the logical problem of evil.”

In the second half of the twentieth century, atheologians (that is, persons who try to prove the non-existence of God) commonly claimed that the problem of evil was a problem of logical inconsistency. J. L. Mackie (1955, p. 200), for example, claimed,

Here it can be shown, not that religious beliefs lack rational support, but that they are positively irrational, that several parts of the essential theological doctrine are inconsistent with one another.

H. J. McCloskey (1960, p. 97) wrote,

Evil is a problem, for the theist, in that a contradiction is involved in the fact of evil on the one hand and belief in the omnipotence and omniscience of God on the other.

Mackie and McCloskey can be understood as claiming that it is impossible for all of the following statements to be true at the same time:

(1) God is omnipotent (that is, all-powerful).

(2) God is omniscient (that is, all-knowing).

(3) God is perfectly good.

(4) Evil exists.

Any two or three of them might be true at the same time; but there is no way that all of them could be true. In other words, (1) through (4) form a logically inconsistent set. What does it mean to say that something is logically inconsistent?

(5) A set of statements is logically inconsistent if and only if: (a) that set includes a direct contradiction of the form “p & not-p”; or (b) a direct contradiction can be deduced from that set.

None of the statements in (1) through (4) directly contradicts any other, so if the set is logically inconsistent, it must be because we can deduce a contradiction from it. This is precisely what atheologians claim to be able to do.

Atheologians claim that a contradiction can easily be deduced from (1) through (4) once we think through the implications of the divine attributes cited in (1) through (3). They reason as follows:

(6) If God is omnipotent, he would be able to prevent all of the evil and suffering in the world.

(7) If God is omniscient, he would know about all of the evil and suffering in the world and would know how to eliminate or prevent it.

(8) If God is perfectly good, he would want to prevent all of the evil and suffering in the world.

Statements (6) through (8) jointly imply that if the perfect God of theism really existed, there would not be any evil or suffering. However, as we all know, our world is filled with a staggering amount of evil and suffering. Atheologians claim that, if we reflect upon (6) through (8) in light of the fact of evil and suffering in our world, we should be led to the following conclusions:

(9) If God knows about all of the evil and suffering in the world, knows how to eliminate or prevent it, is powerful enough to prevent it, and yet does not prevent it, he must not be perfectly good.

(10) If God knows about all of the evil and suffering, knows how to eliminate or prevent it, wants to prevent it, and yet does not do so, he must not be all- powerful.

(11) If God is powerful enough to prevent all of the evil and suffering, wants to do so, and yet does not, he must not know about all of the suffering or know how to eliminate or prevent it—that is, he must not be all-knowing.

From (9) through (11) we can infer:

(12) If evil and suffering exist, then God is either not omnipotent, not omniscient, or not perfectly good.

Since evil and suffering obviously do exist, we get:

(13) God is either not omnipotent, not omniscient, or not perfectly good.

Putting the point more bluntly, this line of argument suggests that—in light of the evil and suffering we find in our world—if God exists, he is either impotent, ignorant or wicked. It should be obvious that (13) conflicts with (1) through (3) above. To make the conflict more clear, we can combine (1), (2) and (3) into the following single statement.

(14) God is omnipotent, omniscient and perfectly good.

There is no way that (13) and (14) could both be true at the same time. These statements are logically inconsistent or contradictory.

Statement (14) is simply the conjunction of (1) through (3) and expresses the central belief of classical theism. However, atheologians claim that statement ( 13) can also be derived from (1) through (3). [Statements (6) through (12) purport to show how this is done.] (13) and (14), however, are logically contradictory. Because a contradiction can be deduced from statements (1) through (4) and because all theists believe (1) through (4), atheologians claim that theists have logically inconsistent beliefs. They note that philosophers have always believed it is never rational to believe something contradictory. So, the existence of evil and suffering makes theists’ belief in the existence of a perfect God irrational.

Can the believer in God escape from this dilemma? In his best-selling book When Bad Things Happen to Good People, Rabbi Harold Kushner (1981) offers the following escape route for the theist: deny the truth of (1). According to this proposal, God is not ignoring your suffering when he doesn’t act to prevent it because—as an all-knowing God—he knows about all of your suffering. As a perfectly good God, he also feels your pain. The problem is that he can’t do anything about it because he’s not omnipotent. According to Kushner’s portrayal, God is something of a kind-hearted wimp. He’d like to help, but he doesn’t have the power to do anything about evil and suffering. Denying the truth of either (1), (2), (3) or ( 4) is certainly one way for the theist to escape from the logical problem of evil, but it would not be a very palatable option to many theists. In the remainder of this essay, we will examine some theistic responses to the logical problem of evil that do not require the abandonment of any central tenet of theism.

2. Logical Consistency

Theists who want to rebut the logical problem of evil need to find a way to show that (1) through (4)—perhaps despite initial appearances—are consistent after all. We said above that a set of statements is logically inconsistent if and only if that set includes a direct contradiction or a direct contradiction can be deduced from that set. That means that a set of statements is logically consistent if and only if that set does not include a direct contradiction and a direct contradiction cannot be deduced from that set. In other words,

(15) A set of statements is logically consistent if and only if it is possible for all of them to be true at the same time.

Notice that (15) does not say that consistent statements must actually be true at the same time. They may all be false or some may be true and others false. Consistency only requires that it be possible for all of the statements to be true (even if that possibility is never actualized). (15) also doesn’t say anything about plausibility. It does not require the joint of a consistent set of statements to be plausible. It may be exceedingly unlikely or improbable that a certain set of statements should all be true at the same time. But improbability is not the same thing as impossibility. As long as there is nothing contradictory about their conjunction, it will be possible (even if unlikely) for them all to be true at the same time.

This brief discussion allows us to see that the atheological claim that statements (1) through (4) are logically inconsistent is a rather strong one. The atheologian is maintaining that statements (1) through (4) couldn’t possibly all be true at the same time. In other words,

(16) It is not possible for God and evil to co-exist.

The logical problem of evil claims that God’s omnipotence, omniscience and supreme goodness would completely rule out the possibility of evil and that the existence of evil would do the same for the existence of a supreme being.

3. Logical Consistency and the Logical Problem of Evil

How might a theist go about demonstrating that (16) is false? Some theists suggest that perhaps God has a good reason for allowing the evil and suffering that he does. Not just any old reason can justify God’s allowing all of the evil and suffering we see. Mass murderers and serial killers typically have reasons for why they commit horrible crimes, but they do not have good reasons. It’s only when people have morally good reasons that we excuse or condone their behavior. Philosophers of religion have called the kind of reason that could morally justify God’s allowing evil and suffering a “morally sufficient reason.”

Consider the following statement.

(17) It is possible that God has a morally sufficient reason for allowing evil.

If God were to have a morally sufficient reason for allowing evil, would it be possible for God to be omnipotent, omniscient, perfectly good, and yet for there to be evil and suffering? Many theists answer “Yes.” If (17) were true, (9) through (12) would have to be modified to read:

(9′) If God knows about all of the evil and suffering in the world, knows how to eliminate or prevent it, is powerful enough to prevent it, and yet does not prevent it, he must not be perfectly good—unless he has a morally sufficient reason for allowing evil.

(10′) If God knows about all of the evil and suffering, knows how to eliminate or prevent it, wants to prevent it, and yet does not do so, he must not be all-powerful—unless he has a morally sufficient reason for allowing evil.

(11′) If God is powerful enough to prevent all of the evil and suffering, wants to do so, and yet does not, he must not know about all of the suffering or know how to eliminate or prevent it (that is, he must not be all-knowing)—unless he has a morally sufficient reason for allowing evil.

(12′) If evil and suffering exist, then either: a) God is not omnipotent, not omniscient, or not perfectly good; or b) God has a morally sufficient reason for allowing evil.

From (9′) through (12′), it is not possible to conclude that God does not exist. The most that can be concluded is that either God does not exist or God has a morally sufficient reason for allowing evil. So, some theists suggest that the real question behind the logical problem of evil is whether (17) is true.

If it is possible that God has a morally sufficient reason for allowing evil and suffering to occur, then the logical problem of evil fails to prove the non-existence of God. If, however, it is not possible that God has a morally sufficient reason for allowing evil, then it seems that (13) would be true: God is either not omnipotent, not omniscient, or not perfectly good.

An implicit assumption behind this part of the debate over the logical problem of evil is the following:

(18) It is not morally permissible for God to allow evil and suffering to occur unless he has a morally sufficient reason for doing so.

Is (18) correct? Many philosophers think so. It is difficult to see how a God who allowed bad things to happen just for the heck of it could be worthy of reverence, faith and worship. If God had no morally sufficient reason for allowing evil, then if we made it to the pearly gates some day and asked God why he allowed so many bad things to happen, he would simply have to shrug his shoulders and say “There was no reason or point to all of that suffering you endured. I just felt like letting it happen.” This callous image of God is difficult to reconcile with orthodox theism’s portrayal of God as a loving Father who cares deeply about his creation. (18), combined with the assumption that God does not have a morally sufficient reason for allowing evil, yields

(19) God is doing something morally inappropriate or blameworthy in allowing evil to occur,

and

(20) If God is doing something morally inappropriate or blameworthy, then God is not perfectly good.

If (19) and (20) are true, then the God of orthodox theism does not exist.

What would it look like for God to have a morally sufficient reason for allowing evil? Let’s first consider a down-to-earth example of a morally sufficient reason a human being might have before moving on to the case of God. Suppose a gossipy neighbor were to tell you that Mrs. Jones just allowed someone to inflict unwanted pain upon her child. Your first reaction to this news might be one of horror. But once you find out that the pain was caused by a shot that immunized Mrs. Jones’ infant daughter against polio, you would no longer view Mrs. Jones as a danger to society. Generally, we believe the following moral principle to be true.

(21) Parents should not inflict unwanted pain upon their children.

In the immunization case, Mrs. Jones has a morally sufficient reason for overriding or suspending this principle. A higher moral duty—namely, the duty of protecting the long-term health of her child—trumps the lesser duty expressed by (21). If God has a morally sufficient reason for allowing evil and suffering, theists claim, it will probably look something like Mrs. Jones’.

4. Plantinga’s Free Will Defense

What might God’s reason be for allowing evil and suffering to occur? Alvin Plantinga (1974, 1977) has offered the most famous contemporary philosophical response to this question. He suggests the following as a possible morally sufficient reason:

(MSR1) God’s creation of persons with morally significant free will is something of tremendous value. God could not eliminate much of the evil and suffering in this world without thereby eliminating the greater good of having created persons with free will with whom he could have relationships and who are able to love one another and do good deeds.

(MSR1) claims that God allows some evils to occur that are smaller in value than a greater good to which they are intimately connected. If God eliminated the evil, he would have to eliminate the greater good as well. God is pictured as being in a situation much like that of Mrs. Jones: she allowed a small evil (the pain of a needle) to be inflicted upon her child because that pain was necessary for bringing about a greater good (immunization against polio). Before we try to decide whether (MSR1) can justify God in allowing evil and suffering to occur, some of its key terms need to be explained.

To begin with, (MSR1) presupposes the view of free will known as “libertarianism”:

(22) Libertarianism=df the view that a person is free with respect to a given action if and only if that person is both free to perform that action and free to refrain from performing that action; in other words, that person is not determined to perform or refrain from that action by any prior causal forces.

Although the term “libertarianism” isn’t exactly a household name, the view it expresses is commonly taken to be the average person’s view of free will. It is the view that causal determinism is false, that—unlike robots or other machines—we can make choices that are genuinely free.

According to Plantinga, libertarian free will is a morally significant kind of free will. An action is morally significant just when it is appropriate to evaluate that action from a moral perspective (for example, by ascribing moral praise or blame). Persons have morally significant free will if they are able to perform actions that are morally significant. Imagine a possible world where God creates creatures with a very limited kind of freedom. Suppose that the persons in this world can only choose good options and are incapable of choosing bad options. So, if one of them were faced with three possible courses of action—two of which were morally good and one of which was morally bad—this person would not be free with respect to the morally bad option. That is, that person would not be able to choose any bad option even if they wanted to. Our hypothetical person does, however, have complete freedom to decide which of the two good courses of action to take. Plantinga would deny that any such person has morally significant free will. People in this world always perform morally good actions, but they deserve no credit for doing so. It is impossible for them to do wrong. So, when they do perform right actions, they should not be praised. It would be ridiculous to give moral praise to a robot for putting your soda can in the recycle bin rather than the trash can, if that is what it was programmed to do. Given the program running inside the robot and its exposure to an empty soda can, it’s going to take the can to the recycle bin. It has no choice about the matter. Similarly, the people in the possible world under consideration have no choice about being good. Since they are pre-programmed to be good, they deserve no praise for it.

According to Plantinga, people in the actual world are free in the most robust sense of that term. They are fully free and responsible for their actions and decisions. Because of this, when they do what is right, they can properly be praised. Moreover, when they do wrong, they can be rightly blamed or punished for their actions.

It is important to note that (MSR1) directly conflicts with a common assumption about what kind of world God could have created. Many atheologians believe that God could have created a world that was populated with free creatures and yet did not contain any evil or suffering. Since this is something that God could have done and since a world with free creatures and no evil is better than a world with free creatures and evil, this is something God should have done. Since he did not do so, God did something blameworthy by not preventing or eliminating evil and suffering (if indeed God exists at all). In response to this charge, Plantinga maintains that there are some worlds God cannot create. In particular, he cannot do the logically impossible. (MSR1) claims that God cannot get rid of much of the evil and suffering in the world without also getting rid of morally significant free will. (The question of whether God’s omnipotence is compatible with the claim that God cannot do the logically impossible will be addressed below.)

Consider the following descriptions of various worlds. We need to determine which ones describe worlds that are logically possible and which ones describe impossible worlds. The worlds described will be possible if the descriptions of those worlds are logically consistent. If the descriptions of those worlds are inconsistent or contradictory, the worlds in question will be impossible.

W1: (a) God creates persons with morally significant free will;
(b) God does not causally determine people in every situation to choose what is right and to avoid what is wrong; and
(c) There is evil and suffering in W1.
W2: (a) God does not create persons with morally significant free will;
(b) God causally determines people in every situation to choose what is right and to avoid what is wrong; and
(c) There is no evil or suffering in W2.
W3: (a) God creates persons with morally significant free will;
(b) God causally determines people in every situation to choose what is right and to avoid what is wrong; and
(c) There is no evil or suffering in W3.
W4: (a) God creates persons with morally significant free will;
(b) God does not causally determine people in every situation to choose what is right and to avoid what is wrong; and
(c) There is no evil or suffering in W4.

Let’s figure out which of these worlds are possible. Is W1 possible? Yes. In fact, on the assumption that God exists, it seems to describe the actual world. People have free will in this world and there is evil and suffering. God has obviously not causally determined people in every situation to choose what is right and to avoid what is wrong because there would be no evil or suffering if he had. So, W1 is clearly possible.

What about W2? Granting Plantinga’s assumption that human beings are genuinely free creatures, the first thing to notice about W2 is that you and I would not exist in such a world. We are creatures with morally significant free will. If you took away our free will, we would no longer be the kinds of creatures we are. We would not be human in that world. Returning to the main issue, there does not seem to be anything impossible about God causally determining people in every situation to choose what is right and to avoid what is wrong. It seems clearly possible that whatever creatures God were to make in such a world would not have morally significant free will and that there would be no evil or suffering. W2, then, is also possible.

Now let’s consider the philosophically more important world W3. Is W3 possible? Plantinga says, “No.” Parts (a) and (b) of the description of W3 are, he claims, logically inconsistent. In W3 God causally determines people in every situation to choose what is right and to avoid what is wrong. People in this world couldn’t do morally bad things if they wanted to. And yet part of what it means for creatures to have morally significant free will is that they can do morally bad things whenever they want to. Think about what it would be like to live in W3. If you wanted to tell a lie, you would not be able to do so. Causal forces beyond your control would make you tell the truth on every occasion. You would also be physically incapable of stealing your neighbor’s belongings. In fact, since W3 is a world without evil of any kind and since merely wanting to lie or steal is itself a bad thing, the people in W3 would not even be able to have morally bad thoughts or desires. If God is going to causally determine people in every situation to choose what is right and to avoid what is wrong in W3, there is no way that he could allow them to be free in a morally significant sense. Peterson (1998, p. 39) writes,

if a person is free with respect to an action A, then God does not bring it about or cause it to be the case that she does A or refrains from doing A. For if God brings it about or causes it to be the case in any manner whatsoever that the person either does A or does not do A, then that person is not really free.

God can’t have it both ways. He can create a world with free creatures or he can causally determine creatures to choose what is right and to avoid what is wrong every time; but he can’t do both. God can forcibly eliminate evil and suffering (as in W2) only at the cost of getting rid of free will.

The fact that W3 is impossible is centrally important to Plantinga’s Free Will Defense. Atheologians, as we saw above, claim that God is doing something morally blameworthy by allowing evil and suffering to exist in our world. They charge that a good God would and should eliminate all evil and suffering. The assumption behind this charge is that, in so doing, God could leave human free will untouched. Plantinga claims that when we think through what robust free will really amounts to, we can see that atheologians are (unbeknownst to themselves) asking God to do the logically impossible. Being upset that God has not done something that is logically impossible is, according to Plantinga, misguided. He might say, “Of course he hasn’t done that. It’s logically impossible!” As we will see in section V below, Plantinga maintains that divine omnipotence involves an ability to do anything that is logically possible, but it does not include the ability to do the logically impossible.

Consider W4. Is it possible? Yes! Most people are tempted to answer “No” when first exposed to this description, but think carefully about it. Although there is no evil and suffering in this world, it is not because God causally determines people in every situation to choose what is right and to avoid what is wrong. In this world God has given creatures morally significant free will without any strings attached. If there is nothing bad in this world, it can only be because the free creatures that inhabit this world have—by their own free will—always chosen to do the right thing. Is this kind of situation really possible? Yes. Something is logically possible just when it can be conceived without contradiction. There is nothing contradictory about supposing that there is a possible world where free creatures always make the right choices and never go wrong. Of course, it’s highly improbable, given what we know about human nature. But improbability and impossibility, as we said above, are two different things. In fact, according to the Judeo-Christian story of Adam and Eve, it was God’s will that significantly free human beings would live in the Garden of Eden and always obey God’s commands. If Adam and Eve had followed God’s plan, then W4 would have been the actual world.

It is important to note certain similarities between W1 and W4. Both worlds are populated by creatures with free will and in neither world does God causally determine people to always choose what is right and to avoid what is wrong. The only difference is that, in W1, the free creatures choose to do wrong at least some of the time, and in W4, the free creatures always make morally good decisions. In other words, whether there is immorality in either one of these worlds depends upon the persons living in these worlds—not upon God. According to Plantinga’s Free Will Defense, there is evil and suffering in this world because people do immoral things. People deserve the blame for the bad things that happen—not God. Plantinga (1974, p. 190) writes,

The essential point of the Free Will Defense is that the creation of a world containing moral good is a cooperative venture; it requires the uncoerced concurrence of significantly free creatures. But then the actualization of a world W containing moral good is not up to God alone; it also depends upon what the significantly free creatures of W would do.

Atheist philosophers such as Anthony Flew and J. L. Mackie have argued that an omnipotent God should be able to create a world containing moral good but no moral evil. As Flew (1955, p. 149) put it, “If there is no contradiction here then Omnipotence might have made a world inhabited by perfectly virtuous people.” Mackie (1955, p. 209) writes,

If God has made men such that in their free choices they sometimes prefer what is good and sometimes what is evil, why could he not have made men such that they always freely choose the good? If there is no logical impossibility in a man’s choosing the good on one, or on several occasions, there cannot be a logical impossibility in his freely choosing the good on every occasion. God was not, then, faced with a choice between making innocent automata and making beings who, in acting freely, would sometimes go wrong: there was open to him the obviously better possibility of making beings who would act freely but always go right. Clearly, his failure to avail himself of this possibility is inconsistent with his being both omnipotent and perfectly good.

According to Plantinga, Mackie is correct in thinking that there is nothing impossible about a world in which people always freely choose to do right. That’s W4. He is also correct in thinking that God’s only options were not “making innocent automata and making beings who, in acting freely, would sometimes go wrong.” In other words, worlds like W1 and W2 are not the only logically possible worlds. But Plantinga thinks he is mistaken in thinking that W3 is possible and in not recognizing important differences between W3 and W4. People can freely choose to do what is right only when their actions are not causally determined.

We might wonder why God would choose to risk populating his new creation with free creatures if he knew there was a chance that human immorality could foul the whole thing up. C. S. Lewis (1943, p. 52) offers the following answer to this question:

Why, then, did God give them free will? Because free will, though it makes evil possible, is also the only thing that makes possible any love or goodness or joy worth having. A world of automata—of creatures that worked like machines—would hardly be worth creating. The happiness which God designs for His higher creatures is the happiness of being freely, voluntarily united to Him and to each other…. And for that they must be free. Of course, God knew what would happen if they used their freedom the wrong way: apparently He thought it worth the risk.

Plantinga concurs. He writes,

A world containing creatures who are sometimes significantly free (and freely perform more good than evil actions) is more valuable, all else being equal, than a world containing no free creatures at all. Now God can create free creatures, but he cannot cause or determine them to do only what is right. For if he does so, then they are not significantly free after all; they do not do what is right freely. To create creatures capable of moral good, therefore, he must create creatures capable of moral evil; and he cannot leave these creatures free to perform evil and at the same time prevent them from doing so…. The fact that these free creatures sometimes go wrong, however, counts neither against God’s omnipotence nor against his goodness; for he could have forestalled the occurrence of moral evil only by excising the possibility of moral good. (Plantinga 1974, pp. 166-167)

According to his Free Will Defense, God could not eliminate the possibility of moral evil without at the same time eliminating some greater good.

5. Divine Omnipotence and the Free Will Defense

Some scholars maintain that Plantinga has rejected the idea of an omnipotent God because he claims there are some things God cannot do—namely, logically impossible things. Plantinga, however, doesn’t take God’s omnipotence to include the power to do the logically impossible. He reasons as follows. Can God create a round square? Can he make 2 + 2 = 5? Can he create a stick that is not as long as itself? Can he make contradictory statements true? Can he make a rock so big he can’t lift it? In response to each of these questions, Plantinga’s answer is “No.” Each of the scenarios depicted in these questions is impossible: the objects or events in question couldn’t possibly exist. Omnipotence, according to Plantinga, is the power to do anything that is logically possible. The fact that God cannot do the logically impossible is not, Plantinga claims, a genuine limitation of God’s power. He would urge those uncomfortable with the idea of limitations on God’s power to think carefully about the absurd implications of a God who can do the logically impossible. If you think God really can make a round square, Plantinga would like to know what such a shape would look like. If God can make 2 + 2 = 5, then what would 2 + 3 equal? If God can make a rock so big that he can’t lift it, exactly how big would that rock be? What Plantinga would really like to see is a stick that is not as long as itself. Each of these things seems to be absolutely, positively impossible.

Many theists maintain that it is a mistake to think that God’s omnipotence requires that the blank in the following sentence must never be filled in:

(23) God is not able to ______________.

According to orthodox theism, all of the following statements (and many more like them) are true.

(24) God is not able to lie.

(25) God is not able to cheat.

(26) God is not able to steal.

(27) God is not able to be unjust.

(28) God is not able to be envious.

(29) God is not able to fail to know what is right.

(30) God is not able to fail to do what he knows to be right.

(31) God is not able to have false beliefs about anything.

(32) God is not able to be ignorant.

(33) God is not able to be unwise.

(34) God is not able to cease to exist.

(35) God is not able to make a mistake of any kind.

According to classical theism, the fact that God cannot do any of these things is not a sign of weakness. On the contrary, theists claim, it is an indication of his supremacy and uniqueness. These facts reveal that God is, in St. Anselm’s (1033-1109 A.D.) words, “that being than which none greater can be conceived.” Plantinga adds the following two items to the list of things God cannot do.

(36) God is not able to contradict himself.

(37) God is not able to make significantly free creatures and to causally determine that they will always choose what is right and avoid what is wrong.

These inabilities follow not from God’s omnipotence alone but from his omnipotence in combination with his omniscience, moral perfection and the other divine perfections God possesses.

6. An Objection: Free Will and Natural Evil

At this point, someone might raise the following objection.

Plantinga can’t put all the blame for pain and suffering on human beings. Although much of the evil in this world results from the free choices people make, some of it does not. Cancer, AIDS, famines, earthquakes, tornadoes, and many other kinds of diseases and natural disasters are things that happen without anybody choosing to bring them about. Plantinga’s Free Will Defense, then, cannot serve as a morally sufficient reason for God’s allowing disease and natural disasters.

This objection leads us to draw a distinction between the following two kinds of evil and suffering:

(38) Moral evil =df evil or suffering that results from the immoral choices of free creatures.

(39) Natural evil =df evil or suffering that results from the operations of nature or nature gone awry.

According to Edward Madden and Peter Hare (1968, p. 6), natural evil includes

the terrible pain, suffering, and untimely death caused by events like fire, flood, landslide, hurricane, earthquake, tidal wave, and famine and by diseases like cancer, leprosy and tetanus—as well as crippling defects and deformities like blindness, deafness, dumbness, shriveled limbs, and insanity by which so many sentient beings are cheated of the full benefits of life.

Moral evil, they continue, includes

both moral wrong-doing such as lying, cheating, stealing, torturing, and murdering and character defects like greed, deceit, cruelty, wantonness, cowardice, and selfishness. (ibid.)

It seems that, although Plantinga’s Free Will Defense may be able to explain why God allows moral evil to occur, it cannot explain why he allows natural evil. If God is going to allow people to be free, it seems plausible to claim that they need to have the capacity to commit crimes and to be immoral. However, it is not clear that human freedom requires the existence of natural evils like deadly viruses and natural disasters. How would my free will be compromised if tomorrow God completely eliminated cancer from the face of the Earth? Do people really need to die from heart disease and flash floods in order for us to have morally significant free will? It is difficult to see that they do. So, the objection goes, even if Plantinga’s Free Will Defense explains why God allows moral evil, it does not explain why he allows natural evil.

Plantinga, however, thinks that his Free Will Defense can be used to solve the logical problem of evil as it pertains to natural evil. Here is a possible reason God might have for allowing natural evil:

(MSR2) God allowed natural evil to enter the world as part of Adam and Eve’s punishment for their sin in the Garden of Eden.

(Those familiar with Plantinga’s work will notice that this is not the same reason Plantinga offers for God’s allowing natural evil. They will also be able to guess why a different reason was chosen in this article.) The sin of Adam and Eve was a moral evil. (MSR2) claims that all natural evil followed as the result of the world’s first moral evil. So, if it is plausible to think that Plantinga’s Free Will Defense solves the logical problem of evil as it pertains to moral evil, the current suggestion is that it is plausible also to think that it solves the logical problem of evil as it pertains to natural evil because all of the worlds evils have their source in moral evil.

(MSR2) represents a common Jewish and Christian response to the challenge posed by natural evil. Death, disease, pain and even the tiresome labor involved in gleaning food from the soil came into the world as a direct result of Adam and Eve’s sin. The emotional pain of separation, shame and broken relationships are also consequences that first instance of moral evil. In fact, according to the first chapter of Genesis, animals in the Garden of Eden didn’t even kill each other for food before the Fall. In the description of the sixth day of creation God says to Adam and Eve,

I give you every seed-bearing plant on the face of the whole earth and every tree that has fruit with seed in it. They will be yours for food. And to all the beasts of the earth and all the birds of the air and all the creatures that move on the ground—everything that has the breath of life in it—I give every green plant for food. (Gen. 1:29-30, NIV)

In other words, the Garden of Eden is pictured as a peaceful, vegetarian commune until moral evil entered the world and brought natural evil with it. It seems, then, that the Free Will Defense might be adapted to rebut the logical problem of natural evil after all.

Some might think that (MSR2) is simply too far-fetched to be taken seriously. [If you think (MSR2) is far-fetched, see Plantinga’s (1974, pp. 191-193) own suggestions about who is responsible for natural evil.] Natural disasters, it will be said, bear no essential connection to human wrongdoing, so it is absurd to think that moral evil could somehow bring natural evil into the world. Moreover, (MSR2) would have us believe that there were real persons named Adam and Eve and that they actually performed the misdeeds attributed to them in the book of Genesis. (MSR2) seems to be asking us to believe things that only a certain kind of theist would believe. The implausibility of (MSR2) is taken by some to be a serious defect.

7. Evaluating the Free Will Defense

What should we make of Plantinga’s Free Will Defense? Does it succeed in solving the logical problem of evil as it pertains to either moral or natural evil? In order to answer these questions, let’s briefly consider what it would take for any response to the logical problem of evil to be successful. Recall that the logical problem of evil can be summarized as the following claim:

(16) It is not possible for God and evil to co-exist.

When someone claims

(40) Situation x is impossible,

what is the least that you would have to prove in order to show that (40) is false? If you could point to an actual instance of the type of situation in question, that would certainly prove that (40) is false. But you don’t even need to trouble yourself with finding an actual x. All you need is a possible x. The claim

(41) Situation x is possible

is the contradictory of (40). The two claims are logical opposites. If one is true, the other is false; if one is false, the other is true. If you can show that x is merely possible, you will have refuted (40).

How would you go about finding a logically possible x? Philosophers claim that you only need to use your imagination. If you can conceive of a state of affairs without there being anything contradictory about what you’re imagining, then that state of affairs must be possible. In a word, conceivability is your guide to possibility.

Since the logical problem of evil claims that it is logically impossible for God and evil to co-exist, all that Plantinga (or any other theist) needs to do to combat this claim is to describe a possible situation in which God and evil co-exist. That situation doesn’t need to be actual or even realistic. Plantinga doesn’t need to have a single shred of evidence supporting the truth of his suggestion. All he needs to do is give a logically consistent description of a way that God and evil can co-exist. Plantinga claims God and evil could co-exist if God had a morally sufficient reason for allowing evil. He suggests that God’s morally sufficient reason might have something to do with humans being granted morally significant free will and with the greater goods this freedom makes possible. All that Plantinga needs to claim on behalf of (MSR1) and (MSR2) is that they are logically possible (that is, not contradictory).

Does Plantinga’s Free Will Defense succeed in describing a possible state of affairs in which God has a morally sufficient reason for allowing evil? It certainly seems so. In fact, it appears that even the most hardened atheist must admit that (MSR1) and (MSR2) are possible reasons God might have for allowing moral and natural evil. They may not represent God’s actual reasons, but for the purpose of blocking the logical problem of evil, it is not necessary that Plantinga discover God’s actual reasons. In the last section we noted that many people will find (MSR2)’s explanation of natural evil extremely difficult to believe because it assumes the literal existence of Adam and Eve and the literal occurrence of the Fall. However, since (MSR2) deals with the logical problem of evil as it pertains to natural evil (which claims that it is logically impossible for God and natural evil to co-exist), it only needs to sketch a possible way for God and natural evil to co-exist. The fact that (MSR2) may be implausible does not keep it from being possible. Since the situation described by (MSR2) is clearly possible, it appears that it successfully rebuts the logical problem of evil as it pertains to natural evil.

Since (MSR1) and (MSR2) together seem to show contra the claims of the logical problem of evil how it is possible for God and (moral and natural) evil to co-exist, it seems that the Free Will Defense successfully defeats the logical problem of evil.

8. Was Plantinga’s Victory Too Easy?

Some philosophers feel that Plantinga’s apparent victory over the logical problem of evil was somehow too easy. His solution to the logical problem of evil leaves them feeling unsatisfied and suspicious that they have been taken in by some kind of sleight of hand. For example, J. L. Mackie one of the most prominent atheist philosophers of the mid-twentieth-century and a key exponent of the logical problem of evil has this to say about Plantinga’s Free Will Defense:

Since this defense is formally [that is, logically] possible, and its principle involves no real abandonment of our ordinary view of the opposition between good and evil, we can concede that the problem of evil does not, after all, show that the central doctrines of theism are logically inconsistent with one another. But whether this offers a real solution of the problem is another question. (Mackie 1982, p. 154)

Mackie admits that Plantinga’s defense shows how God and evil can co-exist, that is, it shows that “the central doctrines of theism” are logically consistent after all. However, Mackie is reluctant to attribute much significance to Plantinga’s accomplishment. He expresses doubt about whether Plantinga has adequately dealt with the problem of evil.

Part of Mackie’s dissatisfaction probably stems from the fact that Plantinga only gives a possible reason for why God might have for allowing evil and suffering and does not provide any evidence for his claims or in any way try to make them plausible. Although sketching out mere possibilities without giving them any evidential support is typically an unsatisfactory thing to do in philosophy, it is not clear that Mackie’s unhappiness with Plantinga is completely warranted. It was, after all, Mackie himself who characterized the problem of evil as one of logical inconsistency:

Here it can be shown, not that religious beliefs lack rational support, but that they are positively irrational, that several parts of the essential theological doctrine are inconsistent with one another. (Mackie 1955, p. 200)

In response to this formulation of the problem of evil, Plantinga showed that this charge of inconsistency was mistaken. Even Mackie admits that Plantinga solved the problem of evil, if that problem is understood as one of inconsistency. It is, therefore, difficult to see why Plantinga’s Free Will Defense should be found wanting if that defense is seen as a response to the logical problem of evil. As an attempt to rebut the logical problem of evil, it is strikingly successful.

The dissatisfaction many have felt with Plantinga’s solution may stem from a desire to see Plantinga’s Free Will Defense respond more generally to the problem of evil and not merely to a single formulation of the problem. As an all-around response to the problem of evil, the Free Will Defense does not offer us much in the way of explanation. It leaves several of the most important questions about God and evil unanswered. The desire to see a theistic response to the problem of evil go beyond merely undermining a particular atheological argument is understandable. However, we should keep in mind that all parties admit that Plantinga’s Free Will Defense successfully rebuts the logical problem of evil as it was formulated by atheists during the mid-twentieth-century.

If there is any blame that needs to go around, it may be that some of it should go to Mackie and other atheologians for claiming that the problem of evil was a problem of inconsistency. The ease with which Plantinga undermined that formulation of the problem suggests that the logical formulation did not adequately capture the difficult and perplexing issue concerning God and evil that has been so hotly debated by philosophers and theologians. In fact, this is precisely the message that many philosophers took away from the debate between Plantinga and the defenders of the logical problem of evil. They reasoned that there must be more to the problem of evil than what is captured in the logical formulation of the problem. It is now widely agreed that this intuition is correct. Current discussions of the problem focus on what is called “the probabilistic problem of evil” or “the evidential problem of evil.” According to this formulation of the problem, the evil and suffering (or, in some cases, the amounts, kinds and distributions of evil and suffering) that we find in the world count as evidence against the existence of God (or make it improbable that God exists). Responding to this formulation of the problem requires much more than simply describing a logically possible scenario in which God and evil co-exist.

9. Other Responses to the Logical Problem of Evil

Plantinga’s Free Will Defense has been the most famous theistic response to the logical problem of evil because he did more to clarify the issues surrounding the logical problem than anyone else. It has not, however, been the only such response. Other solutions to the problem include John Hick’s (1977) soul-making theodicy. Hick rejects the traditional view of the Fall, which pictures humans as being created in a finitely perfect and finished state from which they disastrously fell away. Instead, Hick claims that human beings are unfinished and in the midst of being made all that God intended them to be. The long evolutionary process made humans into a distinguishable species capable of reasoning and responsibility, but they must now (as individuals) go through a second process of “spiritualization” or “soul-making,” during which they become “children of God.” According to Hick, the suffering and travails of this life are part of the divine plan of soul-making. A world full of suffering, trials and temptations is more conducive to the process of soul-making than a world full of constant pleasure and the complete absence of pain. Hick (1977, pp. 255-256) writes,

The value-judgment that is implicitly being invoked here is that one who has attained to goodness by meeting and eventually mastering temptations, and thus by rightly making responsible choices in concrete situations, is good in a richer and more valuable sense than would be one created ab initio in a state either of innocence or of virtue…. I suggest, then, that it is an ethically reasonable judgment… that human goodness slowly built up through personal histories of moral effort has a value in the eyes of the Creator which justifies even the long travail of the soul-making process.

Unlike Plantinga’s response to the logical problem of evil, which is merely a “defense” (that is, a negative attempt to undermine a certain atheological argument without offering a positive account of why God allows evil and suffering), Hick’s response is a “theodicy” (that is, a more comprehensive attempt to account for why God is justified in allowing evil and suffering).

Eleonore Stump (1985) offers another response to the problem of evil that brings a range of distinctively Christian theological commitments to bear on the issue. She claims that a world full of evil and suffering is “conducive to bringing about both the initial human [receipt of God’s gift of salvation] and also the subsequent process of sanctification” (Stump 1985, p. 409). She writes,

Natural evil—the pain of disease, the intermittent and unpredictable destruction of natural disasters, the decay of old age, the imminence of death—takes away a person’s satisfaction with himself. It tends to humble him, show him his frailty, make him reflect on the transience of temporal goods, and turn his affections towards other-worldly things, away from the things of this world. No amount of moral or natural evil, of course, can guarantee that a man will [place his faith in God]…. But evil of this sort is the best hope, I think, and maybe the only effective means, for bringing men to such a state. (Stump 1985, p. 409)

Stump claims that, although the sin of Adam—and not any act of God—first brought moral and natural evil into this world, God providentially uses both kinds of evil in order to bring about the greatest good that a fallen, sinful human being can experience: a repaired will and eternal union with God.

The responses of both Hick and Stump are intended to cover not only the logical problem of evil but also any other formulation of the problem as well. Thus, some of those dissatisfied with Plantinga’s merely defensive response to the problem of evil may find these more constructive, alternative responses more attractive. Regardless of the details of these alternatives, the fact remains that all they need to do in order to rebut the logical problem of evil is to describe a logically possible way that God and evil can co-exist. A variety of morally sufficient reasons can be proposed as possible explanations of why a perfect God might allow evil and suffering to exist. Because the suggestions of Hick and Stump are clearly logically possible, they, too, succeed in undermining the logical problem of evil.

10. Problems with the Free Will Defense

A. Even though it is widely agreed that Plantinga’s Free Will Defense describes a state of affairs that is logically possible, some of the details of his defense seem to conflict with important theistic doctrines. One point of conflict concerns the possibility of human free will in heaven. Plantinga claims that if someone is incapable of doing evil, that person cannot have morally significant free will. He also maintains that part of what makes us the creatures we are is that we possess morally significant freedom. If that freedom were to be taken away, we might very well cease to be the creatures we are. However, consider the sort of freedom enjoyed by the redeemed in heaven. According to classical theism, believers in heaven will somehow be changed so that they will no longer commit any sins. It is not that they will contingently always do what is right and contingently always avoid what is wrong. They will somehow no longer be capable of doing wrong. In other words, their good behavior will be necessary rather than contingent.

This orthodox view of heaven poses the following significant challenges to Plantinga’s view:

(i) If heavenly dwellers do not possess morally significant free will and yet their existence is something of tremendous value, it is not clear that God was justified in creating persons here on Earth with the capacity for rape, murder, torture, sexual molestation, and nuclear war. It seems that God could have actualized whatever greater goods are made possible by the existence of persons without allowing horrible instances of evil and suffering to exist in this world.

(ii) If possessing morally significant free will is essential to human nature, it is not clear how the redeemed can lose their morally significant freedom when they get to heaven and still be the same people they were before.

(iii) If despite initial appearances heavenly dwellers do possess morally significant free will, then it seems that it is not impossible for God to create genuinely free creatures who always (of necessity) do what is right.

In other words, it appears that W3 isn’t impossible after all. If W3 is possible, an important plank in Plantinga’s Free Will Defense is removed. None of these challenges undermines the basic point established above that Plantinga’s Free Will Defense successfully rebuts the logical problem of evil. However, they reveal that some of the central claims of his defense conflict with other important theistic doctrines. Although Plantinga claimed that his Free Will Defense offered merely possible and not necessarily actual reasons God might have for allowing evil and suffering, it may be difficult for other theists to embrace his defense if it runs contrary to what theism says is actually the case in heaven.

B. Another problem facing Plantinga’s Free Will Defense concerns the question of God’s free will. God, it seems, is incapable of doing anything wrong. Thus, it does not appear that, with respect to any choice of morally good and morally bad options, God is free to choose a bad option. He seems constitutionally incapable of choosing (or even wanting) to do what is wrong. According to Plantinga’s description of morally significant free will, it does not seem that God would be significantly free. Plantinga suggests that morally significant freedom is necessary in order for one’s actions to be assessed as being morally good or bad. But then it seems that God’s actions could not carry any moral significance. They could never be praiseworthy. That certainly runs contrary to central doctrines of theism.

If, as theists must surely maintain, God does possess morally significant freedom, then perhaps this sort of freedom does not preclude an inability to choose what is wrong. But if it is possible for God to possess morally significant freedom and for him to be unable to do wrong, then W3 once again appears to be possible after all. Originally, Plantinga claimed that W3 is not a logically possible world because the description of that world is logically inconsistent. If W3 is possible, then the complaint lodged by Flew and Mackie above that God could (and therefore should) have created a world full of creatures who always did what is right is not answered.

There may be ways for Plantinga to resolve the difficulties sketched above, so that the Free Will Defense can be shown to be compatible with theistic doctrines about heaven and divine freedom. As it stands, however, some important challenges to the Free Will Defense remain unanswered. It is also important to note that, simply because Plantinga’s particular use of free will in fashioning a response to the problem of evil runs into certain difficulties, that does not mean that other theistic uses of free will in distinct kinds of defenses or theodicies would face the same difficulties.

11. References and Further Reading

a. References

  • Clark, Kelly James. 1990. Return to Reason: A Critique of Enlightenment Evidentialism and a Defense of Reason and Belief in God. Grand Rapids, MI: Eerdmans.
  • Flew, Anthony. 1955. “Divine Omnipotence and Human Freedom.” In Anthony Flew and Alasdair MacIntyre (eds.) New Essays in Philosophical Theology. New York: Macmillan.
  • Hick, John. 1977. Evil and the God of Love, revised ed. New York: Harper & Row.
  • Küng, Hans. 1976. On Being a Christian, trans. Edward Quinn. Garden City, New York: Doubleday.
  • Kushner, Harold S. 1981. When Bad Things Happen to Good People. New York: Schocken Books.
  • Lewis, C. S. 1943. Mere Christianity. New York: Macmillan.
  • Mackie, J. L. 1982. The Miracle of Theism. Oxford: Oxford University Press.
  • Mackie, J. L. 1955. “Evil and Omnipotence.” Mind 64: 200-212.
  • Madden, Edward and Peter Hare. 1968. Evil and the Concept of God. Springfield, IL: Charles C. Thomas.
  • McCloskey, H. J. 1960. “God and Evil.” Philosophical Quarterly 10: 97-114.
  • Peterson, Michael L. 1998. God and Evil: An Introduction to the Issues. Boulder, CO: Westview Press.
  • Plantinga, Alvin. 1974. The Nature of Necessary. Oxford: Oxford University Press.
  • Plantinga, Alvin. 1977. God, Freedom, and Evil. Grand Rapids, MI: Eerdmans.
  • Strobel, Lee. 2000. The Case for Faith: A Journalist Investigates the Toughest Objections to Christianity. Grand Rapids, MI: Zondervan.
  • Stump, Eleonore. 1985. “The Problem of Evil.” Faith and Philosophy 2: 392-423.

b. Further Reading

  • Adams, Robert Merrihew and Marilyn McCord Adams, eds. 1990. The Problem of Evil. Oxford: Oxford University Press.
  • Howard-Snyder, Daniel, ed. 1996. The Evidential Argument from Evil. Bloomington, IN: Indiana University Press.
  • Peterson, Michael L., ed. 1992. The Problem of Evil: Selected Readings. Notre Dame, IN: University of Notre Dame Press.

Author Information

James R. Beebe
Email: beebe “at” yahoo “dot” com
University at Buffalo
U. S. A.

Evolutionary Ethics

Evolutionary ethics tries to bridge the gap between philosophy and the natural sciences by arguing that natural selection has instilled human beings with a moral sense, a disposition to be good. If this were true, morality could be understood as a phenomenon that arises automatically during the evolution of sociable, intelligent beings and not, as theologians or philosophers might argue, as the result of divine revelation or the application of our rational faculties. Morality would be interpreted as a useful adaptation that increases the fitness of its holders by providing a selective advantage. This is certainly the view of Edward O. Wilson, the “father” of sociobiology, who believes that “scientists and humanists should consider together the possibility that the time has come for ethics to be removed temporarily from the hands of the philosophers and biologicized” (Wilson, 1975: 27). The challenge for evolutionary biologists such as Wilson is to define goodness with reference to evolutionary theory and then explain why human beings ought to be good.

Table of Contents

  1. Key Figures and Key Concepts
    1. Charles Darwin
    2. Herbert Spencer
    3. The Is-Ought Problem
    4. The Naturalistic Fallacy
    5. Sociobiology
  2. Placement in Contemporary Ethical Theory
  3. Challenges for Evolutionary Ethics
  4. References and Further Reading

1. Key Figures and Key Concepts

a. Charles Darwin

The biologization of ethics started with the publication of The Descent of Man by Charles Darwin (1809-1882) in 1871. In this follow-up to On the Origin of Species, Darwin applied his ideas about evolutionary development to human beings. He argued that humans must have descended from a less highly organized form–in fact, from a “hairy, tailed quadruped … inhabitant of the Old World” (Darwin, 1930: 231). The main difficulty Darwin saw with this explanation is the high standard of moral qualities apparent in humans. Faced with this puzzle, Darwin devoted a large chapter of the book to evolutionary explanations of the moral sense, which he argued must have evolved in two main steps.

First, the root for human morality lies in the social instincts (ibid. 232). Building on this claim by Darwin, today’s biologists would explain this as follows. Sociability is a trait whose phylogenetic origins can be traced back to the time when birds “invented” brooding, hatching, and caring for young offspring. To render beings able to fulfill parental responsibilities required social mechanisms unnecessary at earlier stages of evolutionary history. For example, neither amoebae (which reproduce by division) nor frogs (which leave their tadpole-offspring to fend for themselves) need the social instincts present in birds. At the same time as facilitating the raising of offspring, social instincts counterbalanced innate aggression. It became possible to distinguish between “them” and “us” and aim aggression towards individuals that did not belong to one’s group. This behavior is clearly adaptive in the sense of ensuring the survival of one’s family.

Second, with the development of intellectual faculties, human beings were able to reflect on past actions and their motives and thus approve or disapprove of others as well as themselves. This led to the development of a conscience which became “the supreme judge and monitor” of all actions (ibid. 235). Being influenced by utilitarianism, Darwin believed that the greatest-happiness principle will inevitably come to be regarded as a standard for right and wrong (ibid. 134) by social beings with highly evolved intellectual capacities and a conscience.

Based on these claims, can Darwin answer the two essential questions in ethics? First, how can we distinguish between good and evil? And second, why should we be good? If all his claims were true, they would indeed support answers to the above questions. Darwin’s distinction between good and evil is identical with the distinction made by hedonistic utilitarians. Darwin accepts the greatest-happiness principle as a standard of right and wrong. Hence, an action can be judged as good if it improves the greatest happiness of the greatest number, by either increasing pleasure or decreasing pain. And the second question–why we should be good–does not pose itself for Darwin with the same urgency as it did, for instance, for Plato (Thrasymachus famously asked Socrates in the Republic why the strong, who are not in need of aid, should accept the Golden Rule as a directive for action). Darwin would say that humans are biologically inclined to be sympathetic, altruistic, and moral as this proved to be an advantage in the struggle for existence (ibid. 141).

b. Herbert Spencer

The next important contribution to evolutionary ethics was by Herbert Spencer (1820-1903), the most fervent defender of that theory and the creator of the theory of Social Darwinism. Spencer’s theory can be summarized in three steps. As did Darwin, Spencer believed in the theory of hedonistic utilitarianism as proposed by Jeremy Bentham and John Stuart Mill. In his view, gaining pleasure and avoiding pain directs all human action. Hence, moral good can be equated with facilitating human pleasure. Second, pleasure can be achieved in two ways, first by satisfying self-regarding impulses and second by satisfying other-regarding impulses. This means that eating one’s favorite food and giving food to others are both pleasurable experiences for humans. Third, mutual cooperation between humans is required to coordinate self- and other-regarding impulses, which is why humans develop principles of equity to bring altruistic and egoistic traits into balance (Fieser, 2001, 214).

However, Spencer did not become known for his theory of mutual cooperation. On the contrary, his account of Social Darwinism is contentious to date because it is mostly understood as “an apology for some of the most vile social systems that humankind has ever known,” for instance German Nazism (Ruse, 1995: 228). In short, Spencer elevated alleged biological facts (struggle for existence, natural selection, survival of the fittest) to prescriptions for moral conduct (ibid. 225). For instance, he suggested that life is a struggle for human beings and that, in order for the best to survive, it is necessary to pursue a policy of non-aid for the weak: “to aid the bad in multiplying, is, in effect, the same as maliciously providing for our descendants a multitude of enemies” (Spencer, 1874: 346). Spencer’s philosophy was widely popular, particularly in North America in the 19th century, but declined significantly in the 20th century.

Which answers could he give to the two essential questions in ethics? How can we distinguish between good and evil and why should we be good? Spencer’s answer to question one is identical to Darwin’s (see above) as they both supported hedonistic utilitarianism. However, his answer to question two is interesting, if untenable. Spencer alleged that evolution equaled progress for the better (in the moral sense of the word) and that anything which supported evolutionary forces would therefore be good (Maxwell, 1984: 231). The reasoning behind this was that nature shows us what is good by moving towards it; and hence, “evolution is a process which, in itself, generates value” (Ruse, 1995: 231). If evolution advances the moral good, we ought to support it out of self-interest. Moral good was previously identified with universal human pleasure and happiness by Spencer. If the evolutionary process directs us towards this universal pleasure, we have an egoistic reason for being moral, namely that we want universal happiness. However, to equate development with moral progress for the better was a major value judgement which cannot be held without further evidence, and most evolutionary theorists have given up on the claim (Ruse, 1995: 233; Woolcock, 1999: 299). It also is subject to more conceptual objections, namely deriving “ought” from “is,” and committing the naturalistic fallacy.

c. The Is-Ought Problem

The first philosopher who persistently argued that normative rules cannot be derived from empirical facts was David Hume (1711-1776) (1978: 469):

In every system of morality, which I have hitherto met with, I have always remark’d, that the author proceeds for some time in the ordinary way of reasoning, and establishes the being of a God or makes observations concerning human affairs; when of a sudden I am surpriz’d to find, that instead of the usual copulations of propositions, is, and is not, I meet with no proposition that is not connected with an ought, or an ought not. This change is imperceptible; but is, however, of the last consequence.

It is this unexplained, imperceptible change from “is” to “ought” which Hume deplores in moral systems. To say what is the case and to say what ought to be the case are two unrelated matters, according to him. On the one hand, empirical facts do not contain normative statements, otherwise they would not be purely empirical. On the other hand, if there are no normative elements in the facts, they cannot suddenly surface in the conclusions because a conclusion is only deductively valid if all necessary information is present in the premises.

How do Darwin and Spencer derive “ought” from “is”? Let us look at Darwin first, using an example which he could have supported.

  1. Child A is dying from starvation.
  2. The parents of child A are not in a position to feed their child.
  3. The parents of child A are very unhappy that their child is dying from starvation.
  4. Therefore, fellow humans ought morally to provide food for child A.

Darwin (1930: 234) writes that “happiness is an essential part of the general good.” Therefore, those who want to be moral ought to promote happiness, and hence, in the above case, provide food. However, the imperceptible move from “is” to “ought” which Hume found in moral systems, is also present in this example. Thus, Darwin derives ought from is when he moves from the empirical fact of unhappiness to the normative claim of a duty to relieve unhappiness.

The same can be said for Spencer whose above argument about the survival of the fittest could be represented as follows:

  1. Natural selection will ensure the survival of the fittest.
  2. Person B is dying from starvation because he is ill, old, and poor.
  3. Therefore, fellow humans ought to morally avoid helping person B so that the survival of the fittest is guaranteed.

Even if both premises were shown to be true, it does not follow that we ought to morally support the survival of the fittest. An additional normative claim equating survival skills with moral goodness would be required to make the argument tenable. Again, this normative part of the argument is not included in the premises. Hence, Spencer also derives “ought” from “is.” Thomas Huxley (1906: 80) objects to evolutionary ethics on these grounds when he writes:

The thief and the murderer follow nature just as much as the philantropist. Cosmic evolution may teach us how the good and the evil tendencies of man may have come about; but, in itself, it is incompetent to furnish any better reason why what we call good is preferable to what we call evil than we had before.

d. The Naturalistic Fallacy

But evolutionary ethics was not only attacked by those who supported Hume’s claim that normative statements cannot be derived from empirical facts. A related argument against evolutionary ethics was voiced by British philosopher G.E. Moore (1873-1958). In 1903, he published a ground-breaking book, Principia Ethica, which created one of the most challenging problems for evolutionary ethics: the “naturalistic fallacy.” According to Michael Ruse (1995), when dealing with evolutionary ethics, “it has been enough for the student to murmur the magical phrase ‘naturalistic fallacy,’ and then he or she can move on to the next question, confident of having gained full marks thus far on the exam” (p. 223). So, what is the naturalistic fallacy and why does it pose a problem for evolutionary ethics?

Moore was interested in the definition of “good” and particularly in whether the property good is simple or complex. Simple properties, according to Moore, are indefinable as they cannot be described further using more basic properties. Complex properties, on the other hand, can be defined by outlining their basic properties. Hence, “yellow” cannot be defined in terms of its constituent parts, whereas “colored” can be explained further as it consists of several individual colors.

“Good,” according to Moore, is a simple property which cannot be described using more basic properties. Committing the naturalistic fallacy is attempting to define “good” with reference to other natural, i.e. empirically verifiable, properties. This understanding of “good” creates serious problems for both Darwin and Spencer. Following Bentham and Mill, both identify moral goodness with “pleasure.” This means they commit the naturalistic fallacy as good and pleasant are not identical. In addition, Spencer identifies goodness with “highly evolved,” committing the naturalistic fallacy again. (Both Moore’s claim in itself as well as his criticism of evolutionary ethics can be attacked, but this would fall outside the scope of this entry.)

e. Sociobiology

Despite the continuing challenge of the naturalistic fallacy, evolutionary ethics has moved on with the advent of sociobiology. In 1948, at a conference in New York, scientists decided to initiate new interdisciplinary research between zoologists and sociologists. “Sociobiology” was the name given to the new discipline aiming to find universally valid regularities in the social behavior of animals and humans. Emphasis was put on the study of biological, i.e. non-cultural, behavior. The field did, however, not get off the ground until Edward Wilson published his Sociobiology: The New Synthesis in 1975. According to Wilson (1975: 4), “sociobiology is defined as the systematic study of the biological basis of all social behavior.”

In Wilson’s view, sociobiology makes philosophers, at least temporarily, redundant, when it comes to questions of ethics (see quote in introduction). He believes that ethics can be explained biologically when he writes (ibid. 3, emphasis added):

The hypothalamus and limbic system … flood our consciousness with all the emotions – hate, love, guilt, fear, and others – that are consulted by ethical philosophers who wish to intuit the standards of good and evil. What, we are then compelled to ask, made the hypothalamus and the limbic system? They evolved by natural selection. That simple biological statement must be pursued to explain ethics.

Ethics, following this understanding, evolved under the pressure of natural selection. Sociability, altruism, cooperation, mutual aid, etc. are all explicable in terms of the biological roots of human social behavior. Moral conduct aided the long-term survival of the morally inclined species of humans. According to Wilson (ibid. 175), the prevalence of egoistic individuals will make a community vulnerable and ultimately lead to the extinction of the whole group. Mary Midgley agrees. In her view, egoism pays very badly in genetic terms, and a “consistently egoistic species would be either solitary or extinct” (Midgley, 1980: 94).

Wilson avoids the naturalistic fallacy in Sociobiology by not equating goodness with another natural property such as pleasantness, as Darwin did. This means that he does not give an answer to our first essential question in ethics. What is good? However, like Darwin he gives an answer to question two. Why should we be moral? Because we are genetically inclined to be moral. It is a heritage of earlier times when less morally inclined and more morally inclined species came under pressure from natural selection. Hence, we do not need divine revelation or strong will to be good; we are simply genetically wired to be good. The emphasis in this answer is not on the should, as it is not our free will which makes us decide to be good but our genetic heritage.

One of the main problems evolutionary ethics faces is that ethics is not a single field with a single quest. Instead, it can be separated into various areas, and evolutionary ethics might not be able to contribute to all of them. Let us therefore look at a possible classification for evolutionary ethics, which maps it on the field of traditional ethics, before concluding with possible criticisms.

2. Placement in Contemporary Ethical Theory

For philosophy students, ethics is usually divided into three areas: metaethics, normative ethical theory, and applied ethics. Metaethics looks for possible foundations of ethics. Are there any moral facts out there from which we can deduce our moral theories? Normative ethical theories suggest principles or sets of principles to distinguish morally good from morally bad actions. Applied ethics looks at particular moral issues, such as euthanasia or bribery.

However, this classification is not adequate to accommodate evolutionary ethics in its entirety. Instead, a different three-fold distinction of ethics seems appropriate: descriptive ethics, normative ethics, and metaethics. Descriptive ethics outlines ethical beliefs as held by various people and tries to explain why they are held. For instance, almost all human cultures believe that incest is morally wrong. This belief developed, it could be argued, because it provides a survival advantage to the group that entertains it. Normative ethical theories develop standards to judge which actions are good and which actions are bad. The standard as defended by evolutionary ethics would be something like “Actions that increase the long-term capacity of survival in evolutionary terms are good and actions that decrease this capacity are bad.” However, the field has not yet established itself credibly in normative ethics. Consequentialism, deontology, virtue ethics, and social contracts still dominate debates. This is partly due to the excesses of Social Darwinism but also due to the unintuitive nature of the above or similar standards. Evolutionary ethics has been more successful in providing interesting answers in metaethics. Michael Ruse (1995: 250), for instance, argues that morality is a “collective illusion of the genes, bringing us all in…. We need to believe in morality, and so, thanks to our biology, we do believe in morality. There is no foundation “out there” beyond human nature.”

Descriptive ethics seems, as yet, the most interesting area for evolutionary ethics, a topic particularly suitable for anthropological and sociological research. Which ethical beliefs do people hold and why? But in all three areas, challenges are to be faced.

3. Challenges for Evolutionary Ethics

The following are some lingering challenges for evolutionary ethics:

  • How can a trait that was developed under the pressure of natural selection explain moral actions that go far beyond reciprocal altruism or enlightened self-interest? How can, for instance, the action of Maximilian Kolbe be explained from a biological point of view? (Kolbe was a Polish priest who starved himself to death in a concentration camp to rescue a fellow prisoner.)
  • Could not human beings have moved beyond their biological roots and transcended their evolutionary origins, in which case they would be able to formulate goals in the pursuit of goodness, beauty, and truth that “have nothing to do directly with survival, and which may at times militate against survival?” (O’Hear, 1997: 203).
  • Morality is universal, whereas biologically useful altruism is particular favoring the family or the group over others. “Do not kill” does not only refer to one’s own son, but also to the son of strangers. How can evolutionary ethics cope with universality?
  • Normative ethics aims to be action-guiding. How could humans ever judge an action to be ensuring long-term survival? (This is a practical rather than conceptual problem for evolutionary ethics.)
  • Hume’s “is-ought” problem still remains a challenge for evolutionary ethics. How can one move from “is” (findings from the natural sciences, including biology and sociobiology) to “ought”?
  • Similarly, despite the length of time that has passed since the publication of Principia Ethica, the challenge of the “naturalistic fallacy” remains.

Evolutionary ethics is, on a philosopher’s time-scale, a very new approach to ethics. Though interdisciplinary approaches between scientists and philosophers have the potential to generate important new ideas, evolutionary ethics still has a long way to go.

4. References and Further Reading

  • Darwin, Charles (1871, 1930) The Descent of Man, Watts & Co., London.
  • Fieser, James (2001) Moral Philosophy through the Ages, Mayfield Publishing Company, Mountain View California), Chapter 12 “Evolutionary Ethics.”
  • Hume, David (1740, 1978) A Treatise of Human Nature, Clarendon Press, Oxford.
  • Maxwell, Mary (1984) Human Evolution: A Philosophical Anthropology, Croom Helm, London.
  • Midgley, Mary (1980) Beast and Man: The Roots of Human Nature, Methuen, London.
  • O’Hear, Anthony (1997) Beyond Evolution: Human Nature and the Limits of Evolutionary Explanation, Clarendon Press, Oxford.
  • Ruse, Michael (1995) Evolutionary Naturalism, Routledge, London.
  • Spencer, Herbert (1874) The Study of Sociology, Williams & Norgate, London.
  • Wilson, Edward O. (1975) Sociobiology: The New Synthesis, Harvard University Press, Cambridge, Massachusetts.
  • Woolcock, Peter G. (1999) “The Case Against Evolutionary Ethics Today,” in: Maienschein, Jane and Ruse, Michael (eds) Biology and the Foundation of Ethics, Cambridge University Press, Cambridge, pp. 276-306.

Author Information

Doris Schroeder
Lancaster University, United Kingdom

Gilles Deleuze (1925–1995)

DeleuzeDeleuze is a key figure in postmodern French philosophy. Considering himself an empiricist and a vitalist, his body of work, which rests upon concepts such as multiplicity, constructivism, difference, and desire, stands at a substantial remove from the main traditions of 20th century Continental thought. His thought locates him as an influential figure in present-day considerations of society, creativity and subjectivity.  Notably, within his metaphysics he favored a Spinozian concept of a plane of immanence with everything a mode of one substance, and thus on the same level of existence.  He argued, then, that there is no good and evil, but rather only relationships which are beneficial or harmful to the particular individuals.  This ethics influences his approach to society and politics, especially as he was so politically active in struggles for rights and freedoms.  Later in his career he wrote some of the more infamous texts of the period, in particular, Anti-Oedipus and A Thousand Plateaus. These texts are collaborative works with the radical psychoanalyst Félix Guattari, and they exhibit Deleuze’s social and political commitment.

Gilles Deleuze began his career with a number of idiosyncratic yet rigorous historical studies of figures outside of the Continental tradition in vogue at the time. His first book, Empirisism and Subjectivity, isa study of Hume, interpreted by Deleuze to be a radical subjectivist. Deleuze became known for writing about other philosophers with new insights and different readings, interested as he was in liberating philosophical history from the hegemony of one perspective. He wrote on Spinoza, Nietzche, Kant, Leibniz and others, including literary authors and works, cinema, and art.   Deleuze claimed that he did not write “about” art, literature, or cinema, but, rather, undertook philosophical “encounters” that led him to new concepts.  As a constructivist, he was adamant that philosophers are creators, and that each reading of philosophy, or each philosophical encounter, ought to inspire new concepts. Additionally, according to Deleuze and his concepts of difference, there is no identity, and in repetition, nothing is ever the same.  Rather, there is only difference: copies are something new, everything is constantly changing, and reality is a becoming, not a being.

Table of Contents

  1. Biography
  2. The History Of Philosophy
    1. Two Examples: Kant and Leibniz
  3. A New Empiricism
    1. Hume
    2. Spinoza
    3. Nietzsche
    4. Deleuze’s Central Empiricist Concepts
  4. Difference And Repetition
    1. Difference-in-itself
    2. Contra-Hegel
    3. Repetition and Time
    4. The Image of Thought
  5. Capitalism And Schizophrenia – Deleuze And Guattari
  6. Literature, Cinema, Painting
    1. Literature
      1. Marcel Proust
      2. Leopold von Sacher-masoch
      3. Franz Kafka
    2. Cinema
    3. Painting
  7. What Is Philosophy?
    1. Early Reflections – Naturalism
    2. “What is Philosophy?” – Constructivism
  8. References and Further Reading
    1. Main texts
    2. Secondary texts
      1. Books and Collections of Essays
      2. Additional Uncollected Articles

1. Biography

Gilles Deleuze was born in the 17th arrondisment of Paris, a district that, excepting periods in his youth, he lived in for the whole of his life. He was the son of an conservative, anti-Semitic engineer, a veteran of World War I. Deleuze’s brother was arrested by Germans during the Nazi occupation of France for alleged resistance activities, and died on the way to Auschwitz.

Due to his families’ lack of money, Deleuze was schooled at a public school before the war. When the Germans invaded France, Deleuze was on vacation in Normandy and spent a year being schooled there. In Normandy, he was inspired by a teacher, under whose influence he read Gide, Baudelaire and others, becoming for the first time interested in his studies. In a late interview, he states that after this experience, he never had any trouble academically. After returning to Paris and finishing his high school education, Deleuze attended the Lycée Henri IV, where he did his kâgne, an intensive year of study for students of promise, in 1945, and then studied philosophy at the Sorbonne with figures such as Jean Hippolyte and Georges Canguilheim. He passed his agrégation in 1948, necessary for entry into the teaching profession, and taught in a number of high schools until 1956. In this year, he also married Denise Paul “Fanny” Grandjouan, a French translator of D.H. Lawrence. His first book, Empiricism and Subjectivity, on David Hume, was published in 1953, when he was 28.

Over the next ten years, Deleuze held a number of assistant teaching positions in French universities, publishing his important text on Nietzsche (Nietzsche and Philosophy) in 1962. It was also around this time that he met Michel Foucault, with whom he had a long and important friendship. When Foucault died, Deleuze dedicated a book-length study to his work (Foucault 1986). In 1968, Deleuze’s doctoral thesis, comprising of Difference and Repetition and Expressionism in Philosophy: Spinoza were published. This was also the period of the first major incidence of pulmonary illness that would plague Deleuze for the rest of his life.

In 1969, Deleuze took up a teaching post at the ‘experimental’ University of Paris VII, where he taught until his retirement in 1987. In the same year, he met Félix Guattari, with whom he wrote a number of influential texts, notably the two volumes of Capitalism and Schizophrenia, Anti-Oedipus (1972) and A Thousand Plateaus (1980). These texts were considered by many (including Deleuze) to be an expression in part of the political ferment in France during May 1968. During the seventies, Deleuze was politically active in a number of causes, including membership in the Groupe d’information sur les prisons (formed, with others, by Michel Foucault), and had an engaged concern with homosexual rights and the Palestinian liberation movement.

In the eighties, Deleuze wrote a number of books on cinema (the influential studies The Movement-Image (1983) and The Time-Image (1985)) and on painting (Francis Bacon (1981)). Deleuze’s final collaboration with Guattari, What is Philosophy?, was published in 1991 (Guattari died in 1992).

Deleuze’s last book, a collection of essays on literature and related philosophical questions, Essays Critical and Clinical, was published in 1993. Deleuze’s pulmonary illness, by 1993, had confined him quite severely, even making it difficult for him to write. He took his own life on November 4th, 1995.

2. The History Of Philosophy

Deleuze’s whole intellectual trajectory can be traced by his shifting relationship to the history of philosophy. While in later years, he became quite critical of both the style of thought implied in narrow reproductions of past thinkers and the institutional pressures to think on this basis, Deleuze never lost any enthusiasm for writing books about other philosophers, if in a new way. Most of his publications contain the name of another philosopher as part of the title: Hume, Kant, Spinoza, Nietzsche, Bergson, Leibniz, Foucault.

Deleuze expresses two main problems with the traditional style and institutional location of the history of philosophy. The first concerns a politics of the tradition:

The history of philosophy has always been the agent of power in philosophy, and even in thought. It has played the repressors role: how can you think without having read Plato, Descartes, Kant and Heidegger, and so-and-so’s book about them? A formidable school of intimidation which manufactures specialists in thought – but which also makes those who stay outside conform all the more to this specialism which they despise. An image of thought called philosophy has been formed historically and it effectively stops people from thinking. (D 13)

This hegemony of thought recurrently comes under attack later in Deleuze’s career, notably in What is Philosophy? This criticism also sits well with a general theme throughout his writings, which is the immediate politicisation of all thought. Philosophy and its history is not separated from the fortunes of the wider world, for Deleuze, but intimately linked to it, and to the forces at work there.

The second criticism directed at the traditional style of history of philosophy, the construction of specialists and expertise, leads directly to the foremost positive aspect of Deleuze’s particular method: “What we should in fact do, is stop allowing philosophers to reflect ‘on’ things. The philosopher creates, he doesn’t reflect.” (N122) And this creation, with regard to other writers, takes the form of a portrait:

The history of philosophy isn’t a particularly reflective discipline. It’s rather like portraiture in painting. Producing mental, conceptual portraits. As in painting, you have to create a likeness, but in a different material: the likeness is something you have to produce, rather than a way of reproducing anything (which comes down to just repeating what a philosopher says). (N 136)

Perhaps such a method does not seem extremely creative, or perhaps only in a relatively passive sense. For Deleuze, however, the history of philosophy also embraces a much more active, constructive sense. Each reading of a philosopher, an artist, a writer should be undertaken, Deleuze tells us, in order to provide an impetus for creating new concepts that do not pre-exist (DR vii).

Thus the works that Deleuze studies are seen by him as inspirational, but also as a resource, from which the philosopher can gather the concepts that seem the most useful and give them a new life, along with the force to develop new, non-preexistent concepts.

In an important sense, Deleuze’s whole modus operandi is based in this revaluation of the role of other thinkers, and the means by which one can use them: each of his books either centers around one philosopher, or derives much of its texture from references to others. In any case, new concepts are derived from others’ works, or old ones are recreated or ‘awakened’, and put to a new service.

a. Two examples: Kant and Leibniz

Deleuze’s book on Kant, his third publication (1963) in general conforms with the standards of an academic philosophical study. Aside from its surprising breadth, covering as it does all three of Kant’s Critiques in a slender volume, it focuses on a problem that is clearly of concern to both Kant himself and the traditional reading of his work, that of the relationship between the faculties. Deleuze himself, later reflecting on Kant’s Critical Philosophy, distinguishes it from the other, more constructivist historical studies:

My book on Kant’s different; I like it, I did it as a book about an enemy that tries to show how his system works, its various cogs – the tribunal of Reason, the legitimate exercises of the faculties. (N 6)

There are, however, some distinctively creative elements even to this apparently sober study, which reflect Deleuze’s general interests, two in particular. In this text on Kant, these reveal themselves by way of emphasis, rather than out-and-out creation.

The first of these is his emphasis on Kant’s rejections of transcendentality at key points in the Critiques, in favour of a generalised pragmatism of reason. While Deleuze himself locates in Kant the development of the concept of the transcendental at the root of modern philosophy (DR 135), he is quick to insist that, even as transcendental faculties in Kant, understanding, reason and imagination act only in an immanent fashion to achieve their own ends:

. . . the so-called transcendental method is always the determination of an immanent employment of reason, conforming to one of its interests. The Critique of Pure Reason thus condemns the transcendent employment of a speculative reason which claims to legislate by itself; the Critique of Practical Reason condemns the transcendent employment of practical reason which, instead of legislating by itself, lets itself be empirically conditioned. (KCP 36-7; cf. KCP 24-5; NP 91)

Deleuze, then, insists on the critical activity of Kant’s philosophy as not only a critique of reason used wrongly, but specifies this critique in pragmatic and empiricist terms.

The second Deleuzian feature of Kant’s Critical Philosophy is its insistence on the creative and affirmative nature of the Critique of Judgement. This runs counter not just to a number of Kant scholars, who suggest that the third Critique is a defected work as a result of Kant’s age and decaying mental abilities when he wrote it, but also other prominent French philosophers of Deleuze’s generation, notably Jean-Francois Lyotard and Jacques Derrida, who both consider this text primarily in terms of its aporetic nature.

Deleuze, to the contrary, insists on its central importance to Kant’s philosophy. He argues not only that there are conflicts between the activity of the faculties, and thus between the first two Critiques, a moot point in reading Kant, but that the Critique of Judgement solves this problem (already a controversial perspective) by positing a genesis of free accord between the faculties deeper than their conflicts. Not only are the struggles between the faculties not insoluble: there is in fact an affirmative creation of a resolution that does not rely upon any transcendental faculty.

When we turn to consider a much later text, The Fold: Leibniz and the Baroque, we find Deleuze’s constructivist practice of the history of philosophy developed to its fullest. This text is not only a “portrait” of Leibniz’s thought, but uses concepts drawn from it, along with new concepts based in a philosophical ‘take’ on mathematics, art, and music, to characterise the Baroque period, and indeed vice versa. Leibniz, Deleuze argues, is the philosopher whose point of view can be best used to understand the Baroque period, and Baroque architecture, music and art give us a unique and illuminating vantage point for reading Leibniz. In fact, one of the more astonishing claims that Deleuze makes is that the one cannot be understood properly without the other:

It is impossible to understand the Leibnizian monad, and its light-mirror-point of view-interior decoration system, if we do not come to terms with these elements in Baroque architecture. (FLB 39; translation altered)

How is such a statement to be demonstrated? Instead of claiming that in fact there is an a priori link between Leibniz and the Baroque, Deleuze creates a new concept, and reads both of them through it: this is the concept of the fold. In keeping with Leibniz’s theory of the monad, that the whole universe is contained within each being, like the Baroque church, Deleuze argues that the process of folding constitutes the basic unit of existence. While there are elements of the fold already in Leibniz and the architecture and art of the period, as Deleuze points out (N 157), it gains a new consistency and significance when used as a creative term in this manner. Throughout the book, and later, in Foucault, Deleuze uses the concept of the fold to describe the nature of the human subject as the outside folded in: an immanently political, social, embedded subject.

In addition, in The Fold, we see a remarkable cross-section of Deleuze’s whole work, expressed in a new way through the material that he analyses. Chapters 4 and 6 give a succinct formulation of the relationship between the event and the subject (one of Deleuze’s perennial interests), which leads to a new formulation of the nature of sufficient reason in line with Deleuze’s concept of the virtual. We also see a return to the question of the body that he examines with Guattari in Capitalism and Schizophrenia. (FLB sec III: ‘Having a body’), which reinstates the work of Leibniz on the level of the material, rather than in the realm of idealism.

Deleuze thus provides a reading of Leibniz that strikes the reader as eccentric and certainly at odds with the traditional approach, and yet which holds to both the text (in all his historical studies, Deleuze cites quite exhaustively), and to the new direction that he is working in.

3. A New Empiricism

In the English preface to the Dialogues, Deleuze writes the following:

I have always felt that I am an empiricist . . . [My empiricism] is derived from the two characteristics by which Whitehead defined empiricism: the abstract does not explain, but must itself be explained; and the aim is not to rediscover the eternal or the universal, but to find the conditions under which something new is produced (creativeness). (D vii; cf. N 88; WP 7)

One can see that such a definition of empiricism differs sharply, at least apparently, from the traditional understanding canonised by Anglo-American histories of philosophy. Such a history would have us believe that empiricism is above all the doctrine that whatever knowledge that we possess is derived from the senses and the senses alone – the well-known rejection of innate ideas. Modern views of science embrace such a doctrine, and apply it as a tool to derive facts about the physical world.

Deleuze’s empiricism is both an extreme radicalisation and rejection of this sense-data model: “Empiricism is by no means . . . a simple appeal to lived experience.” (DR xx; cf. PI 35). Rather, it takes a standpoint regarding the transcendental in general. Writing of Hume, he states that, We can now see the special ground of empiricism: . . . nothing is ever transcendental.” (ES 24) To claim that knowledge is derived from the senses alone and not from ideas which exist in the mind prior to experience (as is argued in a long tradition from Plato to Descartes and beyond, lingering in the discourse of modern science) is indeed a rejection of a certain transcendentality of the mind, but for Deleuze, this is only the very first moment of a radical displacement of all transcendentals that is central in all of his work: questioning the supremacy of reason as the a priori privileged way of relating to the world, questioning the link between freedom and will, attempting to abolish dualisms from ontology, reinstating politics prior to Being.

To return to the citation from the Dialogues, there are two aspects of Deleuze’s empiricist philosophy. The first is the rejection of all transcendentals, but the second is an active element: for Deleuze, empiricism is always about creating. In terms of philosophy, the creation par excellence is the creation of concepts: “Empiricism is by no means a reaction against concepts . . . On the contrary, it undertakes the most insane creation of concepts ever.” (DR xx) This idea of philosophy as an empiricist creation of concepts, or constructivism, is taken up again in What is Philosophy?, and is present, as noted above, in all of his historical studies of philosophers.

These two facets of empiricism are throughout Deleuze’s work, and it is in this sense that his claim about being such a philosopher is clearly true. Deleuze primarily developed this point of view through the texts he wrote prior to 1968, and particularly through three other philosophers, who he reads as empiricists in the sense mentioned: Hume, Spinoza and Nietzsche.

a. Hume

Deleuze’s first publication, Empiricism and Subjectivity (1953) is a book about David Hume, who is generally considered the foremost and most rigorous British empiricist, according to the general ‘sense-data’ model described above. Deleuze, however, takes Hume to be far more radical than he is normally considered to be. While this text very carefully reads Hume’s works, especially the Treatise of Human Nature, the portrait that emerges is quite strikingly idiosyncratic.

On Deleuze’s account, Hume is above all a philosopher of subjectivity. His central concern is to establish the basis upon which the subject is formed. All the well-known arguments about habit, causation and miracles reveal a more profound question: if there is nothing transcendental, how are we to understand the self-aware, creative self who seems to govern the nature that he somehow has sprung up from? Deleuze argues then that the relation between human nature and nature is Hume’s central concern (ES 109).

Deleuze develops this argument by asserting precisely the opposite of the traditional reading of Hume:

According to Hume, and also Kant, the principles of knowledge are not derived from experience. But in the case of Hume, nothing is transcendental, because these principles are simply principles of our nature . . . (ES 111-2)

Kant proposed transcendental operations of categories in order to make experience possible, criticising Hume for thinking that we could have unified knowledge of an empirical flux that we only passively receive. On Deleuze’s reading, however, Hume did not suppose that there were no unifying processes at work, on the contrary. The difference is that for Hume, these principles are natural; they do not rely upon the postulation of a priori structures of experience.

The question of the subject is resolved by Hume, according to Deleuze, by the creation of a number of key concepts: association, belief, and the externality of relations. Association is the principle of nature which operates by establishing a relation between two things. The imagination is affected by this principle to create a new unity, which can in turn be used later on to come to conclusions about other ideas that this unity resembles, is closely related to, or seems to cause. If we consider the traditional example of the balls on a pool table, the process of association allows a subject to form a relation of causality between one ball and the next, so that the next time one ball comes into contact with another, an expectation that the second ball will move is created.

Thus Hume, for Deleuze, considers the mind to be a system of associations alone, a network of tendencies (ES 25): “We are habits, nothing but habits – the habit of saying ‘I’. Perhaps there is no more striking answer to the problem of the Self.” (ES x.) The mind, affected by the natural principle of association, becomes human nature, from the ground up:

Empirical subjectivity is constituted in the mind under the influence of the principles affecting it; the mind therefore does not have the characteristics of a preexisting subject. (ES 29)

These associations account not only for experience in the basic sense, but up to the highest level of social and cultural life: this is the basis for Hume’s rejection of a social contract model of society (such as Hobbes’), in favour of convention alone. Morals, feelings, bodily comportment, all of these elements of subjectivity are explained, not by transcendental structures, such as Kant will propose, but the immanent activity of association.

Once this habitual structure of the self is in place, Deleuze suggests, the Humean concept of belief comes into play, which is resolutely a central part of human nature. It describes the particularly human way of going beyond the given. When we expect the sun to come up tomorrow, we do not do so because we know that it will, but because of a belief based on a habit. This in turn reverses the hierarchy of knowledge and belief, and results, for Deleuze, in a, “great conversion of theory to practice.” (PI 36) Every act of belief is a practical application of habit, without any reference to an a priori ability to judge. Not only is the human being thus habitual, on Deleuze’s reading, but also creative, even in the most mundane moments of life.

Finally, Deleuze insists that one of Hume’s greatest contributions to modern philosophy is his insistence that all relations are external to their terms: this is the essence of Hume’s anti-transcendental stance. Human nature cannot unite itself, there is no ‘I’ which stands before experience, but only moments of experience themselves, unattached and meaningless without any necessary relation to each other. A flash of red, a movement, a gust of wind, these elements must be externally related to each other to create the sensation of a tree in autumn. In the social world, this externality attests to the always-already interested nature of life: no relation is necessary, or governed by neutral laws, so every relation has a localised and passional motive. The ways in which habits are formed attests to the desires at the heart of our social milieu.

Subjectivity, as Deleuze describes it through his reading of Hume, is a practical, passional, empiricist concept, immediately located at the heart of the conventional, which is to say the social.

b. Spinoza

While Hume may not be a contentious name to link with a deepened empiricism, Benedict de Spinoza certainly is. Generally considered the arch-rationalist par excellence, Spinoza is most well known for the first main thesis proposed in his Ethics: that there is one substance, God or Nature, and that everything that exists is merely a modulation of this substance. His style of writing, known as the ‘geometric method’, is composed by propositions, proofs, and axioms. Such a point of view hardly seems consistent with a radical construction of concepts, and an essential pragmatism: and yet this is what Deleuze’s interpretation of Spinoza, which has been very influential (as recent texts such as those by Geneveive Lloyd and Moira Gatens demonstrate), argues.

Spinoza is without a doubt the philosopher most praised and referred to by Deleuze, often with words that are rarely a part of philosophical writing. For example:

Spinoza is, for me, the ‘prince’ of philosophers. (EPS 11)

Spinoza is the Christ of philosophers, and the greatest philosophers are hardly more than apostles who distance themselves from or draw near to this mystery. (WP 60)

Spinoza: the absolute philosopher, whose Ethics is the foremost book on concepts. (N 140)

Spinoza’s greatness for Deleuze comes precisely from his development of a philosophy based on the two features of empiricism discussed above. Indeed, for Deleuze, Spinoza combines the two things into one movement: a rejection of the transcendental in the action of creating a plane of absolute immanence upon which all that exists situate themselves. In more Spinozist language, we can refer to the thesis of a single substance instead of a plane of immanence; all bodies (beings) are modal expressions of the one substance (SPP 122).

But not only is The Ethics for Deleuze the creation of a plane of immanence, it is the creation of a whole regime of new concepts that revolve around the rejection of the transcendental in all spheres of life. The unity of the ontological and the ethical is crucial, for Deleuze, in understanding Spinoza, that is:

Spinoza didn’t entitle his book Ontology, he’s too shrewd for that, he entitles it Ethics. Which is a way of saying that, whatever the importance of my speculative propositions may be, you can only judge them at the level of the ethics that they envelope or imply [impliquer].

In short, as the title of one of Deleuze’s books, Spinoza: Practical Philosophy, indicates, the Ethics is only understood when it is seen, at one and the same time, to be theoretical and practical. Deleuze considers there to be three primary theoretico-practical points in the Ethics:

The great theories of the Ethics . . . cannot be treated apart from the three practical theses concerning consciousness, values and the sad passions (SPP 28)

First of all, the illusion of consciousness. Spinoza argues that we are not the cause of our thoughts and actions, but only assume that we are based on their affects upon us. This leads to dualisms of substance (such as Descartes’ mind/body split). Deleuze insists on this point because he sees Spinoza bypassing an important illusion of subjectivity: we suppose that we are causes and not effects.

The illusion of consciousness, for Spinoza a result of inadequate knowledge and sad affects, allows us to posit a transcendental consciousness supposedly free from the interventions of the world (as in Descartes). This is in fact a blind-spot which precludes us from knowing ourselves as caused, the practical meaning of which is that we deny our own ‘sociality’, as one mode amongst others, and the significance of the relations that we enter into, which actually determine our power to act, and our ability to experience active joy.

The second is the critique of morality. Spinoza’s Ethics, for Deleuze, constitutes a rejection of the transcendent Good/Evil distinction in favour of a merely functional opposition between good and bad. Good and Evil, for Spinoza as for Lucretius and Nietzsche, are the illusions of a moralistic world-view that does nothing but reduce our power to act and encourages the experience of the sad passions (SPP 25; LS 275-8). The Ethics is for Deleuze rather an incitement to consider encounters between bodies on the basis of their relative ‘goodness’ for those modes that are relating. The shark enters into a good relation with salt water, which increases its power to act, but for fresh water fish, or for a rose bush, salt water only degrades the characteristic relations between the parts of the bush and threatens to destroy its existence.

So actions have no transcendental scale to be measured upon (the theological illusion), but only relative and perspectival good and bad assessments, based on specific bodies. Thus the Ethics is, for Deleuze, an ‘ethology’, that is, a guide to obtaining the best relations possible for bodies.

Finally, Deleuze sees in Spinoza the rejection of the sad passions. This point is linked to the last, and again closely related to Nietzsche’s critique of ressentiment and slave morality. Sad passions are for Spinoza all those forces which disparage life. For Deleuze, Spinoza,

denounces all the falsifications of life, all the values in the name of which we disparage life. We do not live, we only lead a semblance of life; we can only think of how to keep from dying, and our whole life is a death worship. (SPP 26)

The hinge that this practical reading of Spinoza turns on is Deleuze’s angle of approach to the Ethics. Rather than emphasising the great theoretical structures found in the first few sections, Deleuze emphasises the later part of the book (particularly part V), which consists in arguments from the point of view of individual modes. This approach puts the importance on the reality of individuals rather than form, and on the practical rather than the theoretical. In the preface to the English translation of Expressionism in Philosophy, he writes:

What interested me most in Spinoza wasn’t his Substance, but the composition of finite modes . . . That is: the hope of making substance turn on finite modes, or at least of seeing in substance a plane of immanence in which finite modes operate . . .” (EPS 11)

Deleuze’s reading of Spinoza has clear and profound relations with all that he wrote after 1968, especially the two volumes of Capitalism and Schizophrenia.

c. Nietzsche

Aside from Spinoza, Nietzsche is the most important philosopher for Deleuze. His name, and central concepts that he created appear almost without exception in all of Deleuze’s books. It would also be accurate to say that he reads both Spinoza and Nietzsche together, one through the other, and thus highlights the profound continuity of their thought.

The most significant work that Deleuze did with Nietzsche was his highly influential study Nietzsche and Philosophy, the first book in France to systematically defend and explicate Nietzsche’s work, still suspected of fascism, after the second World War. This text was and is extremely well regarded by other philosophers, including Jacques Derrida (Derrida 2001), and Pierre Klossowski, who wrote the other key French study on Nietzsche in the second half of last century (Nietzsche and the Vicious Circle, which is dedicated to Deleuze).

While Nietzsche and Philosophy does deal with Nietzsche’s polemical targets, its originality and strength lies in its systematic exposition of the diagnostic elements of his thought. Indeed, one critique of this text is that it oversystematises a thinker and writer whose style of writing overtly resists such a summary approach. For Deleuze, however, it has been one of the hallmarks of bad readings of Nietzsche that they have relied upon a non-philosophical reading, either seeing him as a writer who attempts to assert other models of thought over philosopher, or, more commonly, as an obscurantist or (proto-) madman whose books have no coherence or value.

Nietzsche, for Deleuze, develops a symptomatology based on an analysis of forces that is elaborate, rigorous and systematic. He argues that Nietzsche’s ontology is monist, a monism of force: “There is no quantity of reality, all reality is already a quantity of force.” (NP 40) This force, in turn, is solely a force of affirmation, since it expresses only itself and itself to its fullest; that is, force says ‘yes’ to itself (NP 186). Deleuze’s reading of Nietzsche starts from this point, and accounts for the whole of Nietzsche’s critical typology of negation, sadness, reactive forces and ressentiment on this basis. The polemical basis of Nietzsche’s work, for Deleuze, is directed at all that would separate force from acting on its own basis, that is, from affirming itself.

There is not one force, but many, the play and interaction of which forms the basis of existence. Deleuze argues that the many antagonistic metaphors in Nietzsche’s writing should be interpreted in light of his pluralist ontology, and not as indications of some sort of psychological agressivity.

Nietzsche’s ontology, then, retains the suppleness and reliance on difference while remaining monist. Thus he, for Deleuze, is characterised as an anti-transcendental thinker.

Deleuze’s reading of Nietzsche demonstrates the extent to which he rejected the traditional, or dogmatic image of thought (see (4)(d) below), which relies upon a natural harmony between thinker, truth and the activity of thought. Thought does not naturally relate to truth at all, but is rather a creative act (NP xiv), an act of affect, of force on other forces: “As Nietzsche succeeded in making us understand, thought is creation, not will to truth.” (WP 54) There is no room for seeing truth as abstract generality (NP 103) in Deleuze’s account of Nietzsche, but rather to see truth itself as a part of regimes of force, as a matter of value, to be assessed and judged, rather than as an innate disposition (NP 108).

Once again, in Nietzsche, we are confronted with the problem of considering a philosopher who is generally considered to be quite foreign to the tradition of empiricist thought, as an empiricist. As with Spinoza, however, Deleuze’s reading of Nietzsche, as he himself indicates, relies upon his characterisation of empiricist thought: as the rejection of the transcendental, both in ontology and thought, and the consequent affirmation of thought as creativity.

d. Deleuze’s Central Empiricist Concepts

While Deleuze often refers to the central concepts of empiricism as classically formulated by Hume in the Treatise (association, habituation, convention etc.) (ES; LS 305-7; DR 70-3; WP 201-2), he also develops, throughout his work, a number of other key concepts which should be considered as empiricist. The most prominent of these are immanence, constructivism, and excess.

The key word throughout Deleuze’s writings, as we have seen, to be found in almost all of his main texts without fail, is immanence. This term refers to a philosophy based around the empirical real, the flux of existence which has no transcendental level or inherent seperation. His last text, published a few months before his death, bore the title, “Immanence: a life . . .” (PI 25-33). Deleuze repeatedly insists that philosophy can only be done well if it approaches the immanent conditions of that which it is trying to think; this is to say that all thought, in order to have any real force, must not work by setting up trancendentals, but by creating movement and consequences:

If you’re talking about establishing new forms of transcendence, new universals, restoring a reflective subject as the bearer of rights, or setting up a communicative intersubjectivity, then it’s not much of a philosophical advance. People want to produce ‘consensus’, but consensus is an ideal that guides opinion, and has nothing to do with philosophy. (N 152; cf. 145; WP chapter 2)

Deleuze’s insistence on the concept of the immanent also has an ontological sense, as we have seen in his studies of Spinoza and Nietzsche, and which returns later in works such as Difference and Repetition and Capitalism and Schizophrenia: there is only one substance, and therefore everything which exists must be considered on the same plane, the same level, and analysed by way of their relations, rather than by their essence.

Constructivism is the title that Deleuze uses to characterise the movement of thought in philosophy. This has two senses. Firstly, empiricism, immanent thought, must create movement, create concepts if it is to be philosophy and not just opinion or consensus. Deleuze and Guattari cite Nietzsche on this point: “[Philosophers] must no longer accept concepts as a gift, nor merely purify or polish them, but first make and create them, present them and make them convincing.” (WP 5)

Secondly, in relation to other philosophy, Deleuze maintains that we do not just repeat what they have already said (see (2) above): “Empiricism . . . [analyses] the states of things, in such a way that non-pre-existent concepts can be extracted from them.” (D vii) This constructivism, for Deleuze, holds weight in all areas of research, as he demonstrates in his studies of literature, cinema and art (see (6) below).

Constructivism, moreover, does not proceed along any predetermined lines. There is nothing that is necessary to create, for Deleuze: thought does not have a pre-given orientation (see (4)(b) below). Empiricist thought is thus always in some sense strategic (LS 17).

The concept of excess takes the place in Deleuze’s thought of the transcendent. Instead of an object, a table for example, being determined and given its essence by a transcendental concept or Idea (Plato) which is directly applicable to it, or the application of a transcendental category or schema (Kant), everything that exists is exceeded by the forces which constitute it. The table does not have a for-itself, but has existence within a field or territory, which are beyond its meaning or control. Thus a table exists in a kitchen, which is part of a three-bedroom family home, which is part of a capitalist society. In addition, the table is used to eat on, linking itself with the human body, and another produced, consumable item, a hamburger. For Deleuze, one can always analyse interminably in any direction these relations of force, which always move beyond the horizon of the object in question.

For Deleuze, however, nothing is exceeded more than subjectivity. This is not a statement of ontological priority, but bears on the extreme privilege the conscious-to-self subject has had in the history of Western thought, it is certainly here that Deleuze makes his most significant use of the concept of excess. Consider, for example: “Subjectivity is determined as an effect.” (ES 26). “There are no fewer things in the mind that exceed our consciousness than there are things in the body that exceed our knowledge.” (SPP 18)

The point is that human forces aren’t on their own enough to establish a dominant form in which man can install himself. Human forces (having an understanding, a will, an imagination and so on) have to combine with other forces: an overall form arises from this combination, but everything depends on the nature of other forces with which the human forces become linked. (N 117; cf. especially DR 254; 257-61)

While Deleuze protests that he never made a big deal out of rejecting traditional postulates like the subject (N 88), he frequently writes about the notion of the exceeded subject, from his first book on Hume and throughout his work. This in some sense locates him in the landscape of what is known as postmodern thought, along with other figures such as Jacques Derrida, Jean-Francois Lyotard and Michel Foucault.

4. Difference And Repetition

Difference and Repetition (1968) is without doubt Deleuze’s most significant book in a traditional academic style, and proposes the most central of his disruptions to the canonical traditions of philosophy. However, precisely for this reason, it is also one of his most difficult books, dealing as it does with two age-old, overdetermined philosophical topics, identity and time, and with the nature of thought itself.

a. Difference-in-itself

Deleuze’s main aim in Difference and Repetition is a creative elaboration of these two concepts, but it essentially precedes by way of a critique of Western philosophy. His central thesis is,

That identity not be first, that it exist as a principle but as a second principle, as a principle become; that it revolve around the Different: such would be the nature of a Copernican revolution which opens up the possibility of difference having its own concept, rather than being maintained under the domination of a concept in general already understood as identical. (DR 41)

From Plato (DR 59-63) to Heidegger (DR 64-6), Deleuze argues, difference has not been accepted on its own, but only after being understood with reference to self-identical objects, which makes difference a difference between. He attempts in this book to reverse this situation, and to understand difference-in-itself.

We can understand Deleuze’s argument by way of reference to his analysis of Plato’s three-tiered system of idea, copy and simulacrum (cf. LS 253-65). In order to define something such as courage, we can have reference in the end only to the Idea of Courage, an identical-to-itself, this idea containing nothing else (DR 127). Courageous acts and people can be thus judged by analogy with this Idea. There are also, however, those who only imitate courageous acts, people who use courage as a front for personal gain, for example. These acts are not copies of the courageous ideal, but rather fakes, distortions of the idea. They are not related to the Idea by way of analogy, but by changing the idea itself, making it slip. Plato frequently makes arguments based on this system, Deleuze tells us, from the Statesman (God-shepherd, King-shepherd, charlatan) to the Sophist (wisdom, philosopher, sophist) (DR 60-1; 126-8).

The philosophical tradition, beginning with Plato (although Deleuze detects some ambiguity here (eg. DR 59; TP 361)) and Aristotle, has sided with the model and the copy, and resolutely fought to exclude the simulacra from consideration, either by rejecting it as an external error (Descartes (DR 148)), or by assimilating it into a higher form, via the operation of a dialectic (Hegel (DR 263)).

While difference is subordinated to the model/copy scheme, it can only be a consideration between elements, which gives to difference a wholly negative determination, as a not-this. However, Deleuze suggests, if we turn our attention to the simulacra, the reign of the identical and of analogy is destabilised. The simulacra exists in and of itself, without grounding in or reference to a model: its existence is “unmediated” (DR 29), it is itself unmediated difference. It is for this reason that Deleuze makes his well-known claim that a true philosophy of difference must be “inverted-” or “anti-Platonism” (DR 127-8): the being of simulacra is the being of difference itself; each simulacra is its own model.

We might well ask here: what provides the unity of the different? How can we talk about the being of something that is difference itself? Deleuze’s answer is that precisely there is no intrinsic ontological unity. He takes up here Nietzsche’s idea that being is becoming: there is an internal self-differing within the different itself, the different differs from itself in each case. Everything that exists only becomes and never is.

Unity, Deleuze tells us, must be understood as a secondary operation (DR 41) under which difference is pressed into forms. The prominent philosophical notion he offers for such unity is time (see (4)(c) below), but later, in Anti-Oedipus, Deleuze and Guattari offer a political ontology that shows how this process of becoming is fixed into unitary formulations.

b. Contra-Hegel

Deleuze’s arch-enemy in Difference and Repetition is Hegel. While this critical stance is already clearly evident in Nietzsche and Philosophy and from there throughout his work, Deleuze’s revaluation of difference itself takes as its most essential form the rejection of the Hegelian dialectic, which represents the most extreme development of the logic of the identical.

The dialectic, Deleuze tells us, seems to operate with extreme differences alone, even so far as acknowledging them as the motor of history. Formed of two opposite terms, such as being and non-being, the dialectic operates by synthesising them into a new third term that preserves and overcomes the earlier opposition. Deleuze argues that this is a dead end which makes,

identity the sufficient condition for difference to exist and be thought. It is only in relation to the identical, as a function of the identical, that contradiction is the greatest difference. The intoxication and giddiness are feigned, the obscure is already clarified from the outset. Nothing shows this more than the insipid monocentrality of the circles in the Hegelian dialectic. (DR 263)

While offering a philosophical tool that sees difference at the heart of being, the process of the dialectic removes this affirmation as its most essential step.

The further consequence of this for Deleuze relates to the place of negation in Hegel’s system. The dialectic, in its general movement, takes specific differences, differences-in-themselves, and negates their individual being, on the way to a “superior” unity. Deleuze argues in Difference and Repetition that this step of Hegel’s mistakes ontology, history and ethics.

“Beneath the platitude of the negative lies the world of ‘disparateness'” (DR 267). There is no resolution of the differences-in-themselves into a higher unity that does not fundamentally misunderstand difference. Here Deleuze is clearly recalling his Spinozist and Nietzschean ontology of a single substance that is expressed in a multiplicity of ways (cf. DR 35-42; 269): In a famous sentence, he writes: “A single voice raises the clamour of being.” (DR 35)

Hegel is famous for asserting that the negating dialectic is the motor of history, proceeding towards the often-caricatured end of history and the realisation of absolute spirit. For Deleuze, history does not have a teleological element, a direction of realisation; this is only an illusion of consciousness (cf. SPP 17-22):

History progresses not by negation and the negation of negation, but by deciding problems and affirming differences. It is no less bloody and cruel as a result. Only the shadows of history live by negation . . . (DR 268)

Finally, regarding ethics, Deleuze argues that an ontology based on the negative makes of ethical affirmation a secondary, derived possibility: “The false genesis of affirmation . . .: if the truth be told, none of this would amount to much if it was not for the moral presuppositions and practical implications of such a distortion.” (DR 268)

c. Repetition and Time

For Deleuze, the central stake in the consideration of repetition is time. As with difference, repetition has been subjected to the law of the identical, but also to a prior model of time: to repeat a sentence means, traditionally, to say the same thing twice, at different moments. These different moments must be themselves equal and unbiased, as if time were a flat, featureless expanse. So repetition has essentially been considered as the traditional idea of difference over time understood in a common-sense way, as a succession of moments. Deleuze asks if, given a renovated understanding of difference as in-itself, we are able to reconsider repetition also. But there is also an imperative here, since, if we are to consider difference-in-itself over time, based in the traditional logic of repetition, we once again reach the point of identity. As such, Deleuze’s critique of identity must revaluate the question of time.

Deleuze’s argument proceeds through three models of time, and relates the concept of repetition to each of them.

The first is time as a circle. Circular time is mythical and seasonal time, the repetition of the same after time has passed through its cardinal points. These points may be simple natural repetitions, like the sun rising daily, the movement of summer to spring, or the elements of tragedy, which Deleuze suggests operate cyclically. There is a sense of both destiny and theology in the concept of time as a circle, as a succession of instants which are governed by an external law.

When time is considered in this fashion, Deleuze argues (DR 70-9), repetition is solely concerned with habit. The subject experiences the passing of moments cyclically (the sun will come up every morning), and contracts habits which make sense of time as a continually living present. Habit is thus the passive synthesis of moments that creates a subject.

The second model of time is linked by Deleuze to Kant (KCP vii-viii), and it constitutes one of the central ruptures that the Kantian philosophy creates in thought, for Deleuze: this is time as a straight line. In the Critique of Pure Reason, Kant liberates time from the circular model by proposing it as a form that is imposed upon sensory experience. For Deleuze, this reverses the earlier situation by placing events into time (as a line), rather than seeing the chain of events constituting time by the passing of present moments.

Habit can thus no longer have any power, since in this model of time, nothing returns. In order for sense to be made of what has occurred, there must be an active process of synthesis, which makes of the past instances a meaning (DR 81). Deleuze calls this second synthesis memory. Unlike habit, memory does not relate to a present, but to a past which has never been present, since it synthesises from passing moments a form in-itself of things which never existed before the operation. The novels of Marcel Proust are for Deleuze the most profound development of memory as the pure past, or in Proust’s terminology, as time regained. (DR 122; PS passim)

In this second model of time, repetition thus has an active sense in line with the synthesis, since it repeats something, in the memory, that did not exist before – this does not save it, however, from being an operation of identity, nonetheless. These two moments, the active constitution of a pure past, and the disparate experience of a present yet to be synthesised produces a further consequence for Deleuze: as in Kant, a radical splitting of the subject into two elements, the I of memory, which is only a process of synthesis, and a self of experience, an ego which undergoes experience. (DR 85-7; KCP viii-ix)

Deleuze insists that both of these models of time press repetition into the service of the identical, and make it a secondary process with regards to time. The final model of time that Deleuze proposes attempts to make repetition itself the form of time.

In order to do this, Deleuze relates the concepts of difference and repetition to each other. If difference is the essence of that which exists, constituting beings as disparates, then neither of the first two models of time does justice to them, insisting as they do on the possibility and even necessity of synthesising differences into identities. It is only when beings are repeated as something other that their disparateness is revealed. Consequently, repetition cannot be understood as a repetition of the same, and becomes liberated from subjugation under the demands of traditional philosophy.

To give body to the conception of repetition as the pure form of time, Deleuze turns to the Nietzschean concept of the eternal return. This difficult concept is always given a forceful and careful qualification by Deleuze whenever he writes about it (eg. DR 6;41; 242; PI 88-9; NP 94-100): that it must not be considered as the movement of a cycle, as the return of the identical. As a form of time, the eternal return is not the circle of habit, even on the cosmic level. This would only allow the return of something that already existed, of the same, and would result again in the suppression of difference through an inadequate concept of repetition.

While habit returned the same in each instance, and memory dealt with the creation of identity in order to allow experience to be remembered, the eternal return is, for Deleuze, only the repetition of that which differs-from-itself, or, in Nietzsche’s terminology, only the repetition of those beings whose being is becoming: “The subject of the eternal return is not the same but the different, not the similar but the dissimilar, not the one but the many . . .” (DR 126)

As such, Deleuze tells us, repetition as the third meaning of time takes the form of the eternal return. Everything that exists as a unity will not return, only that which differs-from-itself. “Difference inhabits repetition.” (DR 76). So, while habit was the time of the present, and memory the being of the past, repetition as the eternal return is the time of the future.

The superiority of this third understanding of repetition as time has two main impetuses in Deleuze’s argument. The first is obviously that it keeps difference intact in its movement of differing-from-itself. The second is as significant, if for different reasons. If only what differs returns, then the eternal return operates selectively (DR 126; PI 88-9), and this selection is an affirmation of difference, rather than an activity of representation and unification based on the negative, as in Hegel.

d. The Image of Thought

Chapter three of Difference and Repetition provides a novel approach to an important question in philosophy, the problem of presuppositions. Deleuze pursues this topic again later in A Thousand Plateaus (374-80), and when he writes about conceptual personae in What is Philosophy? (ch. 3); he had already written on images of thought in Nietzsche and Philosophy (103-10) and Proust and Signs (94-102).

An example is Descartes’ celebrated phrase at the beginning of the Discourse on the Method:

Good sense is the most evenly shared thing in the world . . the capacity to judge correctly and to distinguish the true from the false, which is properly what one calls common sense or reason, is naturally equal in all men . .

For Descartes, thought has a natural orientation towards truth, just as for Plato, the intellect is naturally drawn towards reason and recollects the true nature of that which exists. This, for Deleuze, is an image of thought.

Although images of thought take the common form of an ‘Everybody knows . . .’ (DR 130), they are not essentially conscious. Rather, they operate on the level of the social and the unconscious, and function, “all the more effectively in silence.” (DR 167)

Deleuze undertakes a thorough analysis of the traditional philosophical image of thought, and lists eight features which, in all aspects of philosophical pursuit, imply a subordination of thought to externally imposed directives. He includes the good nature of thought, the priority of the model or recognition as the means of thought, the sovereignty of representation over supposed elements in nature and thought, and the subordination of culture to method (or learning to knowledge). These all imply an a priori nature of thought, a telos, a meaning and a logic of practice. These features,

crush thought under an image which is that of the Same and the Similar in representation, but profoundly betrays what it means to think and alienates the two powers of difference and repetition, of philosophical commencement and recommencement. (DR167)

It is this element, in Difference and Repetition, that founds Deleuze’s most serious criticism of the traditional image of thought: that it fails to come to terms with the true nature of difference and repetition. As a result, it is fair to say that this moment of the book is essential for understanding the way in which Deleuze both wants to base his assessment of traditional philosophies of identity and time, and how he wishes to exceed them: his reformulation of difference and repetition is made possible by this critique (cf. N 149).

The other critical angle Deleuze supplies here is related to the first, and derives from Nietzsche’s critique of Western thought:

When Nietzsche questions the most general presuppositions of philosophy, he says that these are essentially moral, since Morality alone is capable of convincing us that thought has a good nature and the thinker a good will, and that only the good can ground the supposed affinity between thought and the True. (DR132; cf. LS 3)

As we saw above regarding Hegel, the real point of concern is that this image of thought is in the service of practical, political and moral forces, it is not simply a matter of philosophy, in segregation from the rest of the world.

To the question ‘why do we have this image of thought?’ Deleuze, along with Nietzsche, that it is a moral image, and is in the service of power, but there is also a more intrinsic problem with thinking itself, that is only fully developed in the Conclusion to What is Philosophy?, and this is that thought itself is dangerous.

In contradistinction to the natural goodness of thought in the traditional image, Deleuze argues for thought as an encounter: “Something in the world forces us to think.” (DR 139) These encounters confront us with the impotence of thought itself (DR 147), and evoke the need of thought to create in order to cope with the violence and force of these encounters. The traditional image of thought has developed, just as Nietzsche argues about the development of morality in The Genealogy of Morals, as a reaction to the threat that these encounters offer. We can consider the traditional image of thought, then, precisely as a symptom of the repression of this violence.

As a result, the relationship of philosophy to thought must have two correlative aspects, Deleuze argues:

an attack on the traditional moral image of thought, but also a movement towards understanding thought as self-engendering, an act of creation, not just of what is thought, but of thought itself, within thought (DR 147).

This is true, dangerous thought, but the sole thought capable of approaching difference-in-itself and complex repetition: thought without an image. .

The thought which is born in thought, the act of thinking which is neither given by innateness nor presupposed by reminiscence but engendered in its genitality, is a thought without image. But what is such a thought, and how does it operate in the world? (DR 167; cf. 132)

This final question directs us towards the central aim of the two texts of Capitalism and Schizophrenia.

5. Capitalism And Schizophrenia – Deleuze And Guattari

The collaborative texts of Deleuze and Felix Guattari, particularly the two volumes of Capitalism and Schizophrenia, are outside of the scope of the current article (see the Deleuze and Guattari entry in this encyclopaedia, forthcoming). However, two brief points are important to note.

First, that despite the wide notoriety of these works as obscurantist and non-philosophical, they bear a profound relation to Deleuze’s philosophical enterprise in general, and develop in new ways many of his concerns: a commitment to an immanent ontology, the importance of the social and the political to the very heart of being, and the affirmation of difference over the transcendental hierarchy in every aspect of this work.

Secondly, the manner in which these texts are written by the two writers, between the two and not seperately, means that many new elements emerge that cannot be drawn from their work individually. As such, regarding Deleuze, many of the central ideas cited above do undergo an interesting and novel transformation into a new direction: the very type of relationship characterised in Capitalism and Schizophrenia as a becoming.

6. Literature, Cinema, Painting

Deleuze’s work on the arts, he never ceases to remind the reader, are not to be understood as literary criticism, film or art theory. Talking of the 1980’s, during which he wrote almost exclusively on the arts, he states the following:

let’s suppose that there’s a third period when I worked on painting and cinema: images on the face of it. But I was writing philosophy. (N 137)

This accords with the aims of Deleuze’s empiricism (see (3) above), to understand philosophy as an encounter (with a work, philosophical or artistic, an object, a person) out of which “non-pre-existent concepts,” (DR vii) can be created. Regarding his books on cinema, he is even more explicit:

Film criticism faces twin dangers: it shouldn’t just describe films but nor should it apply to them concepts taken from outside film. The job of criticism is to form concepts that aren’t of course ‘given’ in films but nonetheless relate specifically to cinema, and to some specific genre of film, to some specific film or other. Concepts specific to cinema, but which can only be formed philosophically. (N 58; C2 280)

All of Deleuze’s work on artists can be assembled under the rubric of the creation of new philosophical concepts that relate specifically to the work at hand, yet which also link these works with others more generally. Not a philosophy of the arts per se, but a philosophical encounter with specific artistic works and forms.

One feature that the artistic works also contain, distinct from many of Deleuze’s other books, is a concern with a taxonomy of signs. In Proust and Signs, Francis Bacon, and the Cinema books, Deleuze attempts to develop a systematic approach of classifying different signs. These signs are not linguistic (C1 ix), since they are not themselves elements of a system, but rather are types of emissions from a work. Proust, for example, on Deleuze’s account, understands experience itself as a reception of signs by a proto-subject which must be understood properly, just as the large variety of images discussed in Cinema 1 and 2 are categorised by Deleuze on the basis of C.S. Peirce’s semiotics.

Deleuze often comes to consider the questions ‘what is the nature of the artist, and of art?’ Aside from his specific elaborations of these questions in What is Philosophy?, he is concerned to emphasise the radically active creative nature of art and artists in his work in general. This characterisation goes far beyond the general consideration of artists as ‘creative people’, and highlights the manner in which art is itself a creation of movement, not of representations: that is, something radically new, an affect, a movement of force or desire (cf. PS xi.,187 n1).

While the dominant Western tradition, from Plato to Heidegger, places art in a relationship to truth, Deleuze insists in every case on a Nietzschean argument (NP 102-3), that the work of art only has relations with forces, and that truth is a derivative, secondary formation: art is active.

In another register, Deleuze suggests that artists are themselves created, within thought, and must be cultured and afflicted by forces which exceed them to develop to the point of creativity (NP 103-9; cf. (4)(d) above). These forces, in turn, account for the frequent frailty of artists and thinkers. While the work of art sets to work forces of life, the artist themselves has experienced “too much”, and this wearies and sickens them (D 18; C2 189).

Deleuze’s insistences that the artist is above all someone who creates new ways of being and perceiving increases in frequency and strength throughout the course of his texts on art and artists.

a. Literature

Deleuze wrote extensively on literature throughout his career. Aside from dedicating whole works to Proust (Proust and Signs 1964), Leopold von Sacher-Masoch (“Coldness and Cruelty”1969), and Kafka (Kafka: Towards a Minor Literature 1975), and a large portion of The Logic of Sense to Lewis Carroll, he also dealt in some detail with a wide range of figures such as F. Scott Fizgerald, Herman Melville, Samuel Beckett, Antonin Artaud, Heinrich von Kleist, and Fyodor Dostoyevsky.

i. Marcel Proust

It is quite easy, if one wishes to attach a philosophical point of view to Marcel Proust’s work, to see it as a phenomenology of memory and perception, in which his famous text In Search of Lost Time would be oriented towards an understanding of what underlies and gives substance to experience and memory.

In essence, Deleuze proposes the opposite of the phenomenological method. He reads Proust’s work as an anti-logos, that supposes, rather than a transcendental ego which is the necessary feature of all experience, a passive, receptive subject at the mercy of the signs and symptoms of the world.

For what does in fact take place in In Search of Lost Time, one and the same story with infinite variations? It is clear that the narrator sees nothing, hears nothing . . like a spider poised in its web, observing nothing, but responding to the slightest sign . . . (AO 68)

Rather than memory, the central question of the Search, being based within the subject, and as the product of certain transcendental operations, it is a creation of something which did not exist before by way of an original, each-time unique, style of interpretation for experiences (PS 101). Deleuze uses the term ‘anti-logos’ on the grounds that Proust, as he argues, refuses the representational model of experience central to Western philosophy:

Everywhere Proust contrasts the world of signs and symptoms with the world of attributes, the world of hieroglyphs and ideograms with the world of analytic expression, phonetic writing, and rational thought. What is constantly impugned are the great themes inherited from the Greeks: philos, sophia, dialogue, logos, phone. (PS 108)

In contrast, Deleuze characterises the Search as a recasting of thought: thought is creative and not reminiscent (Platonic and phenomenological).

ii. Leopold von Sacher-masoch

Masoch features in a few of Deleuze’s books (K 66-7; D 119-23), but most significantly in his long study “Coldness and Cruelty”. This early text is a critique of the unity of the clinical and aesthetic notion “sado-masochism”.

Deleuze argues here that this clinical concept fails to account for the actual writings of the Maquis de Sade and Sacher-masoch, along with making an unjustified unity from a two quite distinct groups of symptoms.

Masoch is considered by Deleuze to be an important writer of unusual power, and a master of suspense, the key literary element of masochism. However, while de Sade has become well-known, and his writings analysed, Deleuze suggests that our poor understanding of Masoch’s texts is one of the main culprits in making the confused unity that is sadomasochism. In fact, according to Deleuze, he offers us a new way of understanding existence by displacing sexuality into the world of power (M 12). Thus, Deleuze tells us, Masoch was in fact, “a great anthropologist.” (M 16)

Point by point, Deleuze develops a reading of the two writers, Masoch in particular, that shows their profound disparity. Alongside this is an analysis of the psychiatric categories of sadism and masochism that reveals the same lack of common ground.

Sadomasochism is one of these misbegotten names, a semiological howler. We found in every case that what appeared to be a common ‘sign’ linking the two perversions together turned out on investigation to be in the nature of a mere syndrome which could be further broken down into irreducibly specific symptoms of the one or the other perversion. (M 134)

In “Coldness and Cruelty”, Deleuze also elaborates a critique of Freud that points in the direction of Anti-Oedipus, although clearly more limited in scope.

iii. Franz Kafka

Kafka: towards a minor literature can be distinguished from Deleuze’s other texts on literature in that it was written with Guattari, and it strongly bears the stamp of Anti-Oedipus, published just three years earlier, and the concepts utilised there. In many ways, it can be read as a development of the same themes in regard to Kafka’s work.

This text is a marked departure from all of the dominant interpretations of Kafka’s writing, which is generally considered either psychoanalytically (as a projection of interior guilt onto the world through writing) or mythically, that is, as a reserve of symbols and closely related to negative theology and Jewish mysticism. Deleuze and Guattari consider Kafka as a proponent of a joyful science, of writing as a way of creating a line of flight or freedom from the forms of domination. They write:

The three worst themes in many interpretations of Kafka are the transcendence of the law, the interiority of guilt, the subjectivity of enunciation. (K 45)

In contrast, Deleuze and Guattari read Kafka as a proponent of the immanence of desire. The law is no more than a secondary configuration that traps desire into certain formations: bureaucracy, of course, is the main example in Kafka’s work, where offices, secretaries, lawyers and bankers present figures of entrapment.

They also see Kafka as directly targeting the Oedipus complex, the triangle of “daddy-mommy-me”:

the too-well formed family triangle is really only a conduit for investments of an entirely different sort that the child endlessly discovers underneath his father, inside his mother, in himself. The judges, commissioners, bureaucrats, and so on, are not substitutes for the father; rather, it is the father who is a condensation of all these forces that he submits to and that he tries to get his son to submit to. (K 11-2)

Thus, for Kafka, according to Deleuze and Guattari, the family are a socially derived unit that works by trapping the flow of desire. The interiority of guilt is replaced by the exteriority of subjugation. This is best demonstrated in the analysis of Kafka’s famous short story, The Metamorphosis (K 14-5).

They also wish to read Kafka, not as a writer of genius, who expresses the superior insight of his inner sight, but as a writer of minor literature. This is the key concept of Deleuze and Guattari’s reading of Kafka. Minor literature is a writing that takes a dominant language (German, in Kafka’s case, French in Beckett’s, and so forth), and pushes it until it becomes a language of force, and not of signification (K 19). In turn, this connects immediately with the situation of minorities, minority groups in the first instance, but also the attempts that everyone makes to create a line of flight outside of majoritarian or molar social formations.

As such, minor literature is an immediately political writing (K 17), which connects the text immediately to (micro-) political struggle. Thus the third substitution is the collective, that is, political, nature of enunciation, for the traditional model of the subjective intent behind the author’s words. Kafka, for Deleuze and Guattari, writes as a node in a field of forces, rather than a Cartesian cogito, sovereign in the castle of consciousness. “The superiority of Anglo-american literature”

One clear feature of Deleuze’s relationship to literature is his outspoken appreciation for what he calls Anglo-American literature, and its superiority over the literature of Europe.

What we find in great English and American novelists is a gift, rare among the French, for intensities, flows, machine-books, tool-books, schizo-books. (N 23)

The great European tradition in literature is analogous for Deleuze to traditional philosophy: it always revolves around a relationship to truth, the preservation of some kind of social status quo, the sovereignty of the author over the text; as Deleuze states, “everybody says “cogito” in the French novel.”

The strength of Anglo-american literature for Deleuze is rather that it rejects the idea of the book as a representation of reality, and all of the adjacent problems with the dogmatic image of literature, and presents the book as a machine, as something which does things, rather than signifying.

b. Cinema

Part of the reason for the impact of Deleuze’s writings on cinema is simply that he is the first important philosopher to have devoted such detailed attention to it. Of course, many philosophers have written about movies, but Deleuze offers an analysis of the cinema itself as an artistic form, and develops a number of connections between it and other philosophical work.

Deleuze’s first book is entitled Cinema 1: The Movement-Image. It deals with cinema from its development through to the second World War. For Deleuze, the cinema as an art form is quite unique, and deals with its subject matter in ways that no other form of art is capable of, particularly as a way of relating to the experience of space and time.

Deleuze’s analysis begins by coming to new understandings of the concepts of the image and movement. The image, above all, is not a representation of something, that is, a linguistic sign. This definition relies upon the age-old Platonic distinction between form and matter, in its modern Saussurean form of signifier-signified. Rather, Deleuze wants to collapse these two orders into one, and the image thus becomes expressive and affective: not an image of a body, but the body as image (C1 58).

This collapse comes about with reference to two philosophers, Henri Bergson and Charles Sanders Peirce. Deleuze dedicated a book-length study to the former entitled Bergsonism (1968), and his use of his notions of movement and time in the Cinema texts is already presaged by this text. Movement for Bergson, Deleuze argues, is not separable from the object which moves: they are literally the same thing. Thus, no representative relationship can be established without artificially halting the flow of movement and thus misconstruing the frozen ‘element’ as self-sufficient. There is only the flow of movement which expresses itself in different ways. Among other things, this is one of Deleuze’s critiques of phenomenology (C1 56, 60). Thus the early cinema is characterised for Deleuze by the reign of what he calls the sensory-motor schema. This schema is the unity of the viewed and the eye that views in dynamic movement.

This model of the movement-image is precisely the nature of cinema, for Deleuze. It does not falsify movement by extracting segments and stringing them together in a representative fashion, but creates a wide range of expressive images. It is in order to come to terms with the varieties of movement-images that Deleuze turns to Peirce, who developed, “the most extraordinary classifications of images and signs . . .” (C2 30). The main part of Cinema 1 is thus devoted to using, with some alterations, Peirce’s semiotic classifications to describe the use of movement-images in cinema, and their centrality before the second World War.

The movement from the first text to Cinema 2: The Time-Image has a significance closely related to Kant’s so-called Copernican revolution in philosophy. Up until Kant, time was subject to the events that took place within it, time was a time of seasons and habitual repetition (see (3)(c) above); it was not able to be considered on its own, but as a measure of movement (C2 34-5; KCP iv.). One element of Kant’s achievement for Deleuze, as we have seen, is his reversal of the time-movement relationship: he establishes time itself as an element to which movement must be subordinated, a pure time.

In the cinema, Deleuze argues, a similar reversal takes place. The historico-cultural reason behind this reversal is the event of World War two itself. With the great truths of Western culture put so deeply in question by the before unimaginable methods employed and their forthcoming results, the sensory-motor apparatus of the movement-image are made to tremble before the unbearable, the too-much of life’s possibilities, the potential of the present (C2 35). No longer could the dogmatic truths that had guided society, and cinema to an extent, allow the apparently ‘natural’ movement from one thing to the next in an habitual fashion: ‘natural’ links precisely lost their efficacy. And with the use of unnatural or false links, which do not follow the sequence or narrative affect of the movement-image, time itself, the time-image, is manifested in cinema (Deleuze considers Orson Welles to be the first auteur to make use of the time-image (C2 137)). Rather than finding time as an, “indirect representation,” (C2 35-6), the viewer experiences the movement of time itself, which images, scenes, plots and characters presuppose or manifest in order to gain any sort of movement whatsoever.

Along with this ‘external’ reason, there is also for Deleuze a motivation within cinema itself to go from the movement-image to the time-image. The movement image has the tendency, thanks to the habitual experience of movement as normal and centered, to justify itself in relation to truth: as Deleuze argues with regard to the dogmatic image of thought (see (3)(d) above), there is the presupposition that thought naturally moves towards truth. Of course, Deleuze suggests, cinema, when truly creative, never relied upon this presupposition, and yet, “the movement-image, in its very essence, is answerable to the effect of truth which it invokes while movement preserves its centres.” (C2 142). In questioning its own presuppositions, Deleuze argues, cinema moved towards a new, different, way of understanding movement itself, as subordinate to time.

This in turn leads Deleuze to abandon Peirce’s semiotics to a large degree, since it has no room for the time-image (C2 33-4ff.), and replaces him with Nietzsche. As we have seen in our consideration of time in Difference and Repetition (see (3)(c) above), Nietzsche is the philosopher who Deleuze considers to have made the crucial move with regard to time, surpassing even Kant.

One of the central consequences for cinema that this move from movement-image to time-image makes again highlights one of Deleuze’s central concerns, to establish an ontology and a semiology of force: “What remains? There remain bodies, which are forces, nothing but forces.” (C2 139) Since the cinema of the time-image is concerned to liberate images from carrying or implying time in order to form narrative (no less than liberating time itself from narrative), images are themselves free now to express forces, “shocks of force,” (C2 139). Scenes, movements and language become expressive rather than representative.

c. Painting

Deleuze’s central work in the visual arts is his monograph Francis Bacon: logique de la sensation (the logic of sensation), but he also engages with a large number of other figures in various texts (eg. TP 492-500; WP ch.7), such as Turner (AO 132), Van Gogh, Klee, Kandinsky and Cezanne.

Deleuze’s book on Francis Bacon, as the title suggests, is an attempt to construct a logic of sensations from the artist’s work (FB 7). This task is largely a taxonomic one. Deleuze develops, throughout the book, a number of key categorial notions and new concepts that allow him to move away from the standard representational view of painting, towards a painting of force, that presents force and creates affects (sensations) rather than representing or describing a scene. Three central ideas are at work.

The first is an elaboration of the concept of Figure. For Deleuze, while the idea of figuration in painting has largely been representational, he sees Bacon, and to some extent Cezanne before him (FB 40, 76), collapsing the Figure into the world of forces, placing it in a new relation to force. Thus Bacon’s cries, for which he is famous, place the figure in the presence of force: “. . . painting will place the visible cry, the mouth which cries, into a relation with force.” (FB 41). For Deleuze the cry expresses an extreme moment of life, rather than suffering or horror. As with Kafka, Deleuze takes Bacon’s artistic work, is commonly considered very dark and nihilistic, and considers it as a true sign of life, and of struggle with death.

The second, a refrain familiar from all of his work, relates to a notion of force that makes it ontologically and artistically fundamental rather than politically oppressive, much as desire is reconfigured in Capitalism and Schizophrenia. It is in fact this move that allows Deleuze’s general ‘positivism’ towards Bacon, as we have just seen: “Everything . . . is in relation with forces, everything is force.” (FB 40) In Francis Bacon, Deleuze thus creates the notion of ‘color-force’, in order to understand how color can be expressive of force rather than representative (FB 94-7).

Finally, Deleuze draws on the difference between Western, representational models of vision, and the haptic style of Egyptian art, in which he sees a development of a mode of writing/drawing which resists being hypostased into the content/form duality common to philosophical understandings of art.

7. What Is Philosophy?

We have already seen the significance of empiricism for Deleuze’s philosophy ((3) above). Throughout his work, however, Deleuze gives a number of further formulations concerning the aim and nature of philosophy. These can be understood in two phases, an early critical naturalism and a later vitalist constructivism.

a. Early reflections – Naturalism

In his early works in the history of philosophy, culminating with The Logic of Sense, Deleuze expresses an essentially critical model of philosophy. In his book on Nietzsche, he writes:

When someone asks ‘what’s the use of philosophy?’ the reply must be aggressive, since the question tries to be ironic and caustic. Philosophy does not serve the State or the Church, who have other concerns. It serves no established power. The use of philosophy is to sadden. A philosophy which saddens no one, that annoys no one, is not a philosophy. It is useful for harming stupidity, for turning stupidity into something shameful. Its only use is the exposure of all forms of baseness of thought. . . . Philosophy is at its most positive as a critique, as an enterprise of demystification. (NP 106)

It seems that this is the sole moment in Deleuze’s published work where he uses the term ‘sadden’ in a positive manner, as something desirable, and this is an indication of the strength by which he considers philosophy, in this early sense, as an exercise in naturalism in the sense that Lucretius uses this term, that is, as an attack on all forms of mystification. Commenting on Lucretius, Deleuze makes the following, extremely similar, remark:

The speculative object and the practical object of philosophy as Naturalism, science and pleasure, coincide on this point: it is always a matter of denouncing the illusion, the false infinite, the infinity of religion and all of the theologico-erotic-oneiric myths in which it is expressed. To the question ‘what is the use of philosophy?’ the answer must be: what other object would have an interest in holding forth the image of a free man, and in denouncing all of the forces which need myth and troubled spirit in order to establish their power? (LS 278)

Deleuze’s philosophical naturalism is thus critical, Spinozist and Nietzschean: it sets as the aim of philosophy the attack of all that belittles life: the sad passions of Spinoza, the passive and reactive forces of Nietzsche, and mythology, in Lucretian terms. Naturalism must not here be understood as opposed to a cosmopolitanism, or constructivism, Deleuze tells us. Rather, “Naturalism . . . directs its attack against the prestige of the negative; it deprives the negative of all of its power; it refuses the spirit of the negative the right to speak in the name of philosophy.” (LS 279)

Mythology, in the sense of these texts, is the eternal danger for the operation of thought. Deleuze summarises this immanent threat within thought (cf. (4)(d) above) as the threat of stupidity:

Philosophy could have taken up the problem with its own means and with the necessary modesty, by considering the fact that stupidity is never that of others but the object of a properly transcendental question: how is stupidity […] possible? (DR 151)

b. “What is Philosophy?” – constructivism

From Difference and Repetition onwards, Deleuze, while maintaining this critical aspect for philosophy, develops a thorough-going constructivist view which manifests itself in the final collaboration between Deleuze and Guattari, What is Philosophy? This text involves arguments about three central notions: the creation of concepts, the presuppositions of philosophy, and the relations between philosophy, science and art.

As we have seen, a certain doctrine of empiricist constructivism runs through Deleuze’s work from the beginning, and on a number of levels. In What is Philosophy? this becomes the central and explicit theme: “philosophy is the art of forming, inventing, and fabricating concepts”. (WP 2)

The philosopher’s only business is concepts, Deleuze and Guattari tell us, and the concept belongs only to philosophy (WP 34). This is already clear when we consider Deleuze’s writings on the arts, which he considers to be philosophical (see (6) above).

The fortunes of the concept, due to lack of attention by philosophers, have fallen, to the point at which even marketing has taken hold of it, in, “the general movement that replaced Critique with sales promotion.” (WP 10) However, Deleuze and Guattari insist, philosophy still only has meaning vis a vis the concept.

A concept is distinctly featured. It is a multiplicity, not in itself a single thing, but an assemblage of components which must retain coherence with the others for the concept to remain itself (in this sense, it closely resembles the Spinozist body). These components are singularities: “‘a’ possible world, ‘a’ face, ‘some’ words . . .” (WP 20), and yet become indiscernible when a part of a concept. Each concept also has a relationship to other concepts by way of the similar problems that they address, and by having similar component elements, and Deleuze and Guattari describe their relations by the use of the term vibration (WP 23).

Above all, however, the concept must not be confused with the proposition, as in logic (WP 135 ff.), which is to say that it is agrammatical. There is no necessary relation between concepts, nor is there any given way of relating. The logical functions of either/or, both/and and so forth, do not do justice to the each-time created nature of conceptual relations. Neither does the concept have a reference, in the way that a proposition does. Rather, it is intensive and expresses the virtual existence of an event in thought: consider Descartes’ famous cogito, which expresses the virtual individual in relation to themselves and the world.

Finally, a concept has no relationship to truth, which is an external determination, or presupposition, that places thought at the service of the dogmatic image of thought: “The concept is a form or a force” (WP 144). As such, concepts act, they are affective, rather than significatory, or expressive of the contents of ideas.

The question of presuppositions, already dealt with via the concept of the image of thought (see (4)(d) above), is examined in much greater depth by Deleuze and Guattari in What is Philosophy? Indeed, their answer involves two new concepts, the conceptual personae, and the plane of immanence.

Conceptual personae (WP ch. 3) are the figures of thought that give concepts their specific force, their raison d’être. They are to be confused with neither psycho-social types (WP 67), nor with the philosophers themselves (WP 64), but are like concepts created. Deleuze and Guattari argue that conceptual personae, while often only implicit in philosophy, are decisive for understanding the significance of concepts. To take again Descartes’ cogito, the implicit conceptual persona is the idiot, the regular person, uneducated, untrained in philosophy, potentially betrayed by their senses at every turn, and yet, able to have perfectly clear and distinct knowledge of themselves, through the certainty of the ‘I think, therefore I am’. Also mentioned are Nietzsche’s famous personae, both sympathetic and anti-pathetic: Zarathustra, the last man, Dionysus, the Crucified, Socrates, and so forth. (WP 64)

Conceptual personae are, for Deleuze and Guattari, internal, non-philosophical preconditions for the practice of creating concepts. These personae, in turn, are related to the plane of immanence. This concept has clear and significant resonances with other important elements of Deleuze’s thought, above all with his monist ontology of forces, and with his practical emphasis on Nietzsche and Spinoza’s ethics as non-transcendental.

The plane of immanence (WP ch. 2) in thought is opposed to the transcendent in traditional philosophy. Each time that a transcendent is raised (Descartes’ cogito, Plato’s ideas, Kant’s categories), thought is arrested, and philosophy is placed at the service of dominant ideas. For Deleuze and Guattari, all of these instances of the transcendental stem from the same problem: insisting that immanence be immanent to “something”. (WP 44-5)

For thought to exist, for concepts to be formed and then given body through conceptual personae, they must operate immanently, without the rule of a “Something” that organises or stratifies the plane of immanence. Concepts exist on the plane of immanence, and each philosopher, Deleuze and Guattari tell us, must create such a plane.

The other main concern of What is Philosophy? is to come to an understanding of the relations between philosophy, art and science respectively. Deleuze and Guattari argue that each discipline involves the activity of thought, and that in each case it is a matter of creation. What differs is the sphere of creation and the manner in which it is populated.

Art is concerned with the creation of percepts and affects (WP 164), which are together sensation. Percepts are not perceptions, in that they do not refer to a perceiver, and neither are affects the feelings or affections of someone. Just as we saw with concepts, affects and percepts are independent beings which exist outside of the experience of a thinker, and have no reference to a state of affairs. Deleuze and Guattari write: “The work of art is a being of sensation and nothing else: it exists in itself.” (WP 164) The correlate of the conceptual persona in art is the figure (which is investigated in great depth in Deleuze’s text on Bacon, see (6)(c) above), and for the plane of immanence, art is created on the plane of composition, which is likewise immanent only to itself, and populated with the pure forces of percepts and affects (WP 196).

The situation with science is similar. Science is the activity of thought that creates functions. These functions, in contrast to concepts, are propositional (WP 117), and form the fragments from which science is able to piece together a kind of makeshift language, one which however, does not have any prior relation to truth, any more than philosophy does. Functions have meaning in creating a referential point of view, for Deleuze and Guattari, that is, in creating a basis from which things can be measured. As such, the first great functions are those such as absolute zero Kelvin, the speed of light etc., in relation to which a plane of reference is assumed. The plane of reference, again immanent to the functions that populate it, gains consistency through the strength and effectiveness of its functions. Also presupposed by science, in What is Philosophy?, are partial observers, the scientific counterpart of conceptual personae and artistic figures.

The figure of the partial observer in science, as in philosophy, is frequently implicit, and exists to give direction to functions: we could consider Gallileo as an example, whose functions regarding cosmology relate to a plane of reference that gives a greater consistency to the functions that the previous planes, which often relied upon a religious transcendental structure that damaged and made scientific thinking difficult by imposing a moral image of thought. The partial observer in this case would be a figure that makes certain functions in particular take shape and gain force regarding a certain phenomena, such as the relation of the sun to the moon: the heliocentrist.

8. References and Further Reading

a. Main texts

Below is a list of Deleuze’s main works, in order of their original publication in French. Francis Bacon: logique de la sensation is currently the only major work without a complete English translation, although one is currently being completed, and should be expected shortly. Indicated in parentheses after the original publication date are the initials by which each text is referred to above. In addition to the following, another resources seem particularly useful to those not familiar with Deleuze: a long three-part interview conducted with Claire Parnet, L’Abécédaire de Gilles Deleuze. Parnet suggests a topic for each letter of the alphabet, and Deleuze’s answers, in most cases, are both substantial and revealing. The video set is available to purchase in French.

  • Empiricism and Subjectivity (1953 ES) trans. Constanine Boundas (1991: Columbia University Press, New York)
  • Nietzsche and Philosophy (1962 NP) trans. Hugh Tomlinson (1983: Althone Press, London)
  • Kant’s Critical Philosophy (1963 KCP) trans. Hugh Tomlinson and Barbara Habberjam (1983: Althone Press, London)
  • Proust and Signs (1964 PS) trans. Richard Howard (2000: University of Minnesota Press, Minneapolis)
  • “Coldness and Cruelty” in Masochism (1967 M) trans. Charles Stivale (1989: Zone Books, New York)
  • Bergsonism (1968 B) trans. Hugh Tomlinson and Barbera Habberjam (1988: Zone Books, New York)
  • Difference and Repetition (1968 DR) trans. Paul Patton (1994: Colombia University Press, New York)
  • Expressionism in Philosophy: Spinoza (1968 EPS) trans. Martin Joughin (1990: Zone Books, New York)
  • The Logic of Sense (1969 LS) trans. Mark Lester and Charles Stivale (1990: Columbia University Press, New York)
  • Spinoza: Practical Philosophy (1970 SPP) trans. Robert Hurley (1988: City Light Books, San Francisco)
  • (with Guattari) Anti-Oedipus – Capitalism and Schizophrenia (1972 AO) trans. Robert Hurley, Mark Seem, and Helen Lane (1977: Viking Press, New York)
  • (with Guattari) Kafka: Towards a Minor Literature (1975 K) trans. Dana Polan (1986: University of Minnesota Press, Minnesota)
  • (with Claire Parnet) Dialogues (1977 D) trans. Hugh Tomlinson and Barbera Habberjam (1987: Althone Press, London)
  • (with Guattari) A Thousand Plateaus – Capitalism and Schizophrenia (1980 TP) trans. Brian Massumi (1987: University of Minnesota Press, Minneapolis)
  • Francis Bacon: logique de la sensation (1981 FB: Éditions de la différence, Paris)
  • Cinema: The Movement Image (1983 C1) trans. Hugh Tomlinson and Barbera Habberjam (1989: University of Minnesota Press, Minnesota)
  • The Time Image (1985 C2) trans. Hugh Tomlinson and Robert Galeta (1989: University of Minnesota Press, Minnesota)
  • Foucault (1986 F) trans. Sean Hand (1988: University of Minnesota Press, Minneapolis)
  • The Fold: Leibniz and the Baroque (1988 FLB) trans. Tom Conley (1993: University of Minnesota Press, Minneapolis)
  • Negotiations (1990 N) trans. Martin Joughin (1995: Columbia University Press, New York)
  • (with Guattari) What is Philosophy? (1991 WP) trans. Hugh Tomlinson and Graham Burchell (1994: Columbia University Press, New York)
  • Essays Critical and Clinical (1993) trans. Smith and Greco (1997: University of Minnesota Press, Minneapolis)
  • Pure Immanence: Essays on a life ed. John Rajchman trans. Anne Boymen (2001 PI: Zone Books, New York)

b. Secondary texts

A good text that deals systematically with the whole body of Deleuze’s work, that is also quite easy to read, is the Rajchman volume. Regarding Capitalism and Schizophrenia, there are a number of commentaries available; the Massumi text is perhaps the best known and most consistent, although the general level of all secondary texts in this area is very difficult. The Clamour of Being, by Alain Baidou is a controversial interpretation of Deleuze’s work, particularly his ontology, from the perspective of another important French philosopher who knew Deleuze. Michel Foucault’s 1977 article, “Theatricum Philosophicum,” is also a significant and well-known interpretation of Difference and Repetition and The Logic of Sense.

i. Books and Collections of Essays

  • Ansell-Pearson ed., Deleuze and Philosophy: the difference engineer (1997: Routledge, New York) – chapters 2-5, 6, 7 and 13 especially
  • Badiou, Alain Deleuze: the Clamour of Being trans. Louise Burchill (2000: University of Minnesota Press, Minneapolis)
  • Boundas and Olkowski eds., Gilles Deleuze and the Theatre of Philosophy (1994: Routledge, New York)
  • Buchanan and Colebrook eds., Deleuze and Feminist Theory (2000: Edinburgh University Press, Edinburgh)
  • Hardt, Michael Gilles Deleuze: an apprenticeship in philosophy (1993: University of Minnesota Press, Minneapolis)
  • Lecercle, J. Philosophy through the Looking-Glass: Language, Nonsense, Desire (1985: Hutchinson Press, London)
  • Marks, John Gilles Deleuze: Vitalism and Multiplicity (1998: Pluto Press, London)
  • Massumi, Brian A User’s Guide to Capitalism and Schizophrenia – deviations from Deleuze and Guattari (1992: MIT Press, Cambridge)
  • Patton, Paul Deleuze and the Political (2000: Routledge, New York)
  • Rajchman, John The Deleuze Connections (2000: MIT Press, Cambridge)

ii. Additional Uncollected Articles

  • Braidotti, Rosi “Embodiment, Sexual Difference, and the Nomadic Subject” in Hypatia vol 8, no. 1, pp. 1-13 (Winter 1993)
  • Derrida, Jacques “I’m going to have to wander all alone” in Brault and Nass eds., The Work of Mourning pp. 192-5 (2001: University of Chicago Press, Chicago)
  • Eribon, Didier “Sickness unto life – the life and works of Gilles Deleuze” Artforum, v34. no. 7 (March 1996)
  • Foucault, Michel “Theatrum Philosophicum” in Language, Counter-memory, Practice trans. Donald Bouchard and Sherry Simon pp 165-198 (1977: Cornell University Press, Ithaca)
  • Goulimari, Pelagia “A minoritarian feminism? Things to do with Deleuze and Guattari” Hypatia v14 i2 pp. 97-9 (Spring 1999)
  • Neil, David “The Uses of Anachronism: Deleuze’s History of the Subject” Philosophy Today 4: 42 Winter pp. 418-31 (1998)

Author Information

The author of this article is anonymous. The IEP is actively seeking an author who will write a replacement article.

Ethics and Phenomenology

Phenomenology is, generally speaking, a discipline that examines questions of metaphysics and epistemology. Insofar as ethics is usually seen as a topic apart from metaphysics and epistemology, it is thus not typically addressed by philosophers in the phenomenological tradition. However, there are important areas of overlap between ethics, metaphysics and epistemology, which may be fruitful points of departure for exploring a phenomenologically-oriented notion of ethics. In particular, metaphysics and epistemology seek to consider the validity of, among other ideas, analysis and wonder. An exploration of analysis and wonder can reveal the importance of ethics in this context. Once we have seen what follows from this standpoint, further consideration of ethics in terms of engineering will show how this standpoint can inform upon the world of praxis.

Table of Contents

  1. Theoretical Concerns
    1. Ethics Underlies Wonder and Analysis
    2. War
    3. Hospitals
    4. Ethics of Integration
    5. People
  2. Tying Phenomenological Ethics to the World
    1. Overview
    2. Human Factors Engineering
    3. Phenomenology: Brentano
    4. Phenomenology: Edmund Husserl
    5. Phenomenology and Ergonomics: Parallels
    6. Phenomenology and Ergonomics: Enter Ethics
    7. Ethics as Homological
  3. References and Further Reading
    1. Theory
    2. Tying Phenomenological Ethics to the World

1. Theoretical Concerns

a. Ethics Underlies Wonder and Analysis

Ethics can be seen as the foundation of wonder and analytic thought. First, existentialists accept wonder and deemphasize analysis, though phenomenologists tend to be more open to wonder and analytic thinking. Logical positivists and linguistic analysts see wonder as reducible to logic. Existentialists and phenomenologists are comfortable with ethics associated with wonder and analysis. Positivists and analysts deny ethics as an irreducible field of study. Ethicists would look at wonder to see if people need drugs in order to achieve states of euphoria or peace. Additionally, ethicists would take the same view about computers and analytic method.

In both instances, the question of ethics enters concerning more than the validity of wonder and analysis in the traditional philosophical sense (Kazanjian, 80; Buber, p. 11). Traditionally, existentialists and phenomenologists see wonder as revealing what “is.” Analysis has almost no place in much of existentialism, and varying degrees of validity in phenomenology. Traditionally, linguistic analysts and logical positivists see nothing to be gained with wonder. Reality is language, and is to be analyzed, never something about which to wonder.

Ethics brings in a deeper issue in both instances. Even if wonder alone is valid, ought people use drugs to feel a sense of awe? Even if analysis alone can give access to reality, ought people simply resot to computers, the higher the speed the better, to understand what is?

Existential and phenomenological thinkers tell us that awe or wonder is the basis of analysis, or as pure wonder, may stand alone without cognition. Ethicists may argue that awe or wonder is a human trait and ought not require or involve drugs and surgical stimulation of the brain to induce a sense of wonder (Campbell, p. 163). Awe is basically the social, intersubjective reality of living in the world. Phenomenology calls the world the lived world instead of just the material, quantifiable world. This wonder is consciousness in the unaltered state. In this unaltered state, wonder is part of normal, lived, reality or existence.

Ethicists would say that linguistic analysis or logical positivism changes or distorts reality. Drugs and brain stimulation are not lived reality. They develop a state of artificial awe or wonder. If the unaltered mind uses logic alone to access reality, it may mean altering reality from what ought be to what artificially exists. If the person uses mind altering drugs to achieve awe or wonder, then the awe or wonder itself is altered, artificial, and unlived. We then see not the lived world, but the artificial world.

Phenomenology says we should not excarnate or take analysis out of the lived world. Phenomenological ethicists would say we should not excarnate wonder itself from the lived world. Thus, phenomenologists and existentialists would be medically, pharmaceutically, or biologically excarnating wonder or awe from the lived world, even if they refute positivism and analytics’ portrayal of awe or wonder as wrong and insist on wonder or awe as revealing reality. The ethical position becomes a sociological view (Bryant, p. 1).

Paul Ricoeur (p. 217) looks at Cartesian dualism and says that we must overcome its excarnating of objectivity from the body. Non-biochemically, Ricoeur is criticizing Cartesian dualism for ignoring the embodiment of the objective. He is insisting that objectification must be done within the context of the lived world. We analyze the lived world or reduce it to quantities within the general framework of awe or wonder. Ricoeur’s approach suggests that even logical positivism and linguistic analysis needs to look at the problem of excarnation. These movements are in the same category as Cartesian dualism when they consider analysis or reduction as without wonder, or devoid of the lived world.

The difference between logical positivism and analytic philosophy on the one hand, and Cartesian dualism on the other, rests with their views of reality. Dualism sees mind and body, or objectivity and subjectivity, as both real and valid. The problem is how to relate them. Positivism and analytic thinking argue that the lived world, subjectivity, wonder, awe, and so on do not exist as irreducible reality. They are totally reducible to the simples of fact.

Ricoeurian thinking contrasts with Cartesian dualism and with positivism and analytic philosophy by saying all three movements should see themselves as having wrongly excarnated object from the lived world. An ethics approach to wonder, however, goes deeper than Ricoeur. The ethicist would insist that we cannot justify wonder for the sake of wonder. We need to look at how we approach wonder or awe. Saying that the lived world and wonder are important is not sufficient. Arguing against positivist and analytic reductionism of wonder to facts is only partly correct. How we define the biochemical context of wonder is critical.

In ethics, we may wonder by being conscious and not taking drugs to alter the brain. People look around them, or they inquire, or meditate, and feel it crucial to feel a sense of wonder that beings “are.” We wonder by ourselves, without bio-physiological intervention. Indeed, we do not need to take an aspirin or other legal medication to feel as sense of relaxation, calm, or rest. Beyond this, ethics says we ought not feel it important or in any way justified to take any illegal drugs that might induce a “high.” The biochemical high or awe is indeed a biochemical reduction or analytic approach to wonder. This approach would assume that the state of wonder is primarily, perhaps exclusively, a chemical reaction within the brain, and has little to do with normal, non-biochemical experiences of the lived world. In other words, the biochemical approach to wonder suggests that we wonder not through existing, but primarily through changing the chemistry of the brain.

Ethics might call the biochemical approach to wonder as biochemical, pharmaceutical, or otherwise physiological positivism or analysis. Ironically and unfortunately, this becomes serious to the point where no real inquiry, not even traditional logical positivism and analytic thinking is possible. An ethicist might ask us to look at a piece of analytic literature or philosophy. We see symbols, diagrams, and virtually mathematical methods for attempting to determine resolutions to questions and problems. The analytic thinker, the positivist, would argue that they are coming near to solving issues, and that these solutions or clarifications reveal a reality devoid of wonder.

The ethics approach notes that these analytic and positivist thinkers are consciously engaging in intellectually work. They converse with each other, perhaps argumentatively with existentialists and phenomenologists, but always are participating in some kind of control over what they are doing. Their brains are functioning without medication or alteration. Now, the ethicists will point out, consider the biochemically activated phenomenologist or existentialist. In other words, we no longer just speaking of the positivist and analytic thinker inquiring without drugs. We are no longer speaking of positivists and analytic thinkers trying to totally reduce wonder to facts in terms of normal, not medicated activity. What the ethicist criticizes is the phenomenologist or existentialist who is defending wonder through druges. This person is criticizing positivism and analysis for trying to totally non-biochemically reduce wonder or awe to atomism. Yet, the phenomenologist and existentialist is defending irreducibility by feeling wonder, perhaps even attempting writing if that is possible, by consuming biochemicals which will induce the sense of oneness or awe (Eliade, p. 31).

In effect, the phenomenologist or existentialist has become a de facto positivist or analytic thinker. The phenomenologist or existentialist becomes a biochemical phenomenologist or existentialist, totally reducing the chemistry of the brain, body, and lived world to atoms and chemical reactions. If it is possible, the ethicist calls this positivistic or analytic phenomenology or existentialism. On the other hand, for clarification, the ethicist might use another term: biochemical phenomenology or existentialism.

b. War

What of the analytic thinker or positivist using computers for their approaches? Ethics would point to the efforts by analytic thinkers during World War II to crack Hitler’s Enigma Machine code. The machine worked strictly through symbols. Codes are symbols. During WWII the codes were relatively complex, but speed was crucial in breaking them. Today, and in the future, with cryptology becoming increasingly sophisticated, codes become more complex, and the speed required to break them more crucial.

Positivists and analysts would insist that their philosophy requires respect, and faster computers. Ethicists would argue that we need a better world where criminals and dictators are minimized, and their powers decapitated. Having the computer capabilities of speedier problem-solving does not “solve” the problem in its widest sense. The problem in its widest sense is that people, usually the leaders, go bad and make evil things happen in the world. When governments ignore the rise of evil, they usually invite international catastrophes such as the Second World War. As the war occurs, and as the innocent attempt to now fight and defeat the enemy, many on the side of the innocent take pride in their technical efforts.

Technical abilities helped our side win against Hitler in his efforts to communicate through codes. None of this would have had to occur if we had kept him from rising to power in the first place. His rise to power, and the unethical ways we ignored his ascension were key to the disaster of the Second World War. We ignored his actions against Jews and non-Jews. This ignorance was unethical. We sat back and did nothing.

Toward the end, we began panicking and wondered how to solve problems to end the war. One major answer was to break his coding abilities. Fortunately, we broke his code, and this helped us win the war.

Today, intelligence agencies are increasingly positivistic in their coding/decoding efforts. Computers are the foundations of coding/decoding. Speed is paramount. We spend money, lots of it, in developing ways of surreptitiously monitoring telecommunications to determine what potential terrorists are saying. Technology is advancing rapidly in our endeavors to translate foreign and English conversations to determine whether speakers are planning attacks.

Forgotten in all this rush to technologize existence, society ignores the ethical grounds of analysis and computers (Stine, 141). We forget that analysis is embodied in wonder, and that thinking and wonder involve the ethical orientation. Are we ignoring the poor, the economically and socially deprived, the underprivileged? We no doubt are ignoring the impoverished. Then, in the event that the impoverished seek ways of retaliating, we suddenly seeks technical ways of speedier discovery of the terrorists’ plots.

Even when terrorists are wealthy, we seek to look the other way instead of considering their moral deviancy and their ongoing hatred of humanity, especially of the West. We let this hatred grow, assuming that we do not initially deny it. As their hatred grows, it can mushroom into attacks against the West or even people in other cultures. Only then, in post 9/11 fashion, do we react and seek the speediest computers to analyze terrorist activities and conversations.

Ethics is derived from ethos or people. Any human activity must be seen within the social context. Thinking and wonder are among the fundamental human activities. Relegating cognition to the sum total of data becomes anti-human; similarly, relegating wonder to the realm of intravenous or other methods of drug intake is no longer a human activity. The ethos orientation of cognition means that thought, contrary to what Descartes said, is embodied and of social perspective. Cognition is never disembodied. To disembody cognition is to commit two wrongs.

One wrong is to seek cognition as devoid of awe. This makes thought sterile and dehumanizing. The second wrong is to see disembodied cognition as part of a technology where speed is the only way to resolve problems and answer questions.

Awe or wonder is the pre-cognitive requisite of the cognitive. Yet, ethics notes that we cannot stop there. Wonder cannot be an end in itself. If wonder is derived from a natural, non-drug induced sequence whereby we simply wonder that things “are,” then we are practicing true awe. Once we take drugs or otherwise stimulate the brain to induce wonder, than the wonder is unethical. It is mechanical rather than emerging from ethos.

c. Hospitals

Take the example of a hospital’s intensive care unit. Patients are put on a respirator to help them breathe. They may also be put on intravenous feeding so that the body can be “fed” nutrients mechanically instead of taking in food through the mouth. In time, however, society believes that such patients may be retained on such mechanical devices only if their physical conditions warrant such technologization. The purpose of life is for the patient to be helped toward normalcy. In this case, the patient must be helped to leave the hospital and eat and breathe, and so on, on their own.

The objective of life, of the hospital, is never to merely have the patients remain in intensive care, or even in the hospital. People need to be active in daily life, eating, breathing, and so on on their own. To eat and breathe on their own means dining and respiring as part of society, with one’s own bodily abilities. Food is irreducible to nutrients. Breathing is irreducible to oxygen intake. Food and respiration emerge from the ethos, from the ethical. As biological as eating and breathing, they are not merely physical processes.

For example, the nervous person, the seriously emotionally troubled individual, will have difficulty eating and breathing. Human activity such as eating and breathing are as much part of the ethos or ethical, as they are physical, neurochemical, and so on. Indeed, eating disorders such as those resulting in being overweight, imply reducing food to merely physical entities being “put into the mouth.” Eating does not mean simply stuffing the mouth, eating quickly, or any other physical process. Dining is a cultural, ethical process.

Similarly, we do not just respire by hyperventilating. We breathe by inhaling and exhaling normally, often unconsciously. Perons inhaling too fast may be suffering from an emotional problem, or perhaps physical difficulty. Persons inhaling and exhaling too fast are behaving unethically, anti-ethos or different from normal human activity.

We can say the same about wonder and analysis. Wonder is something we sense under normal human conditions without mechanical assistance. Drugs ought not play part of wonder.

Analysis is an activity in which we participate without the aid of computers, and hopefully within the context of wonder. To think analytically is to take apart. But to spend our time only taking apart means that we are simply assuming that words, pictures, behavior, and so on are only to be taken apart and never appreciated as products of the ethos or community. Taking apart ought mean that something was initially a whole. That wholeness cannot be violated. If we emphasize the taking apart aspect of existence, and reject or ignore the synthetic and the wonderful, we have relegated existence to a form of hospitalization, to a form of the intensive care unit.

Existence is not meant to be only analyzed, and it is not meant to be only wondered. Ethos means that analysis and wonder go hand in hand. Analysis and wonder are not mutually exclusive. We never merely analyze without some wonder, and never wonder by merely mechanical means. Both analysis and wonder reflect an ethical, social, cultural dimension.

Feminism can be helpful here. Feminists argue that nothing written is ever totally objective, and devoid of the cultural. Look at books. Their authors are not just “authorities,” but traditionally have been white males. Their subject matter, too, have typically ignored injustices toward women. Sexism means that we have looked at women simply as reducible to anatomy, and never as human beings. Ethics means that women are human beings, irreducible to physical characteristics.

Racial theory can also help. Racism has meant that authorities writing books have been white males. But the ethical thrust of the women’s’ movement and racial justice has attempted to bring about a better, ethos oriented vision. We now have books and articles written by women, and by nonwhite males. Authors are not just authors. They are a racial-gender-human continuum. No author is the sum total of racial, religious, biological, and other parts. Every author is first of all a human being.

Wonder and analysis, then, are irreducible to mechanical identification. Persons need to be able to wonder with only their mind and body, in awe of the universe or of any particular event. They need only to analyze within the context of this natural wonder, and with computers only on a limited scale.

Ethics does not demand the exclusion of computers from society. The ethos orientation requires only that computing, speed, technology, and other quantification occur within the context of a healthy environment. The idea of proactivity or prevention is important here.

Proactivity means we need to prevent rather than react to bad events. Before illness strikes, we need to monitor physical and other conditions resulting in disease. Ethics means we ought not ignore health dangers, and then react medically, physically, surgically, to “solve” unhealthy situations. Drugs, whether over the counter or prescription, do not need to take the place of a healthy lifestyle and diet. People might need to depend on drugs as they age and their body deteriorates. Even then, they must take drugs only by doctor’s orders, and never simply because the drugs are there.

The preventative, proactive approach to health includes habits of proper diet, exercise, monitoring stress, wearing clothes appropriate to the season, air conditioning during the summer and heat during the winter. These measures and lifestyles help insure that people will not get ill to the extent that they can have some reasonable control over life. Illness can and will come under many circumstances. Viruses, bacteria, many forms of sickness will emerge regardless of what we do to prevent illness.

When illness does come, we need to take a look at the best ways of curing what we have, and returning to a relative healthy state. Physicians may often examine patients and tell them than rest, proper diet, the drinking of fluids, and so on, will probably help bring the patients back to health. Not all diseases require medication. Additionally not all diseases require surgery. Even broken bones may not require cutting the patient. In time, many bones will heal correctly if their break is not in a physical position to cause deformity when healed.

Medicine, then, often seeks to prevent illness through a healthy lifestyle. When medical treatment is needed, pills are often preferable to surgery. Similar approaches are sought by ethicists for awe and analysis.

Wonder and analytic thinking are never mutually exclusive. Existence does not consist of wonder devoid of analysis, or analysis and rational-sensory approaches lacking awe. Most importantly, phenomenological ethics means that wonder and analysis are not to be merely the ends in themselves. We cannot say that because we are analyzing within the context of wonder, we are therefore being ethical, appropriately intellectual and properly in awe.

The states of awe and analysis are human states. They are irreducible to mechanical, physical, neurophysiological methods. Before we consider being in awe as a context for being analytical, we need to realize the need for being ethical, social, humane. Ethics is more than doing right and avoiding wrong in daily activity, business ventures, and the professions. Ethical behavior is basic to cognitive efforts to understand reality. The drug culture of the 1960s assumed that achieving a “high” was very important, but could not be reached until persons smoked pot or did hard drugs to alter the mind.

Similarly, people who believe in the rational approach to existence frequently misinterpret rationalism, logic, calculation, and speed. They too often assume that the logical or rational sequences are only sequences depending on speed. Their view is that speed is fundamental, and therefore the faster a sequence the better. From that view, the quicker we gather and understand greater numbers of variables or parts of the problem, the better our solution.

An unethical view of problem solving involves quick technical solutions to a given problem. A problem can be small or large. Instead of asking ourselves whether the problem is real or not, we frequently tell ourselves that speedy solutions are the answer. For example, take urban crime. We see robbers, burglars, car thieves. We hear of homicides and arsonists. Our typical approach is to assume that crime is crime, and its solution is a nonsocial, purely professional response from the police. The more police the better. The faster our calls are answered, and the quicker the police arrive at the scene, the better we feel that the problem of criminality is being solved.

This unethical view says that more crime we have, the more and faster police response we need. That view also suggests that the faster we get fingerprints and identify the wrongdoer, the more our society is progressing. Our emphasis is on speed, imprisonment or worse, technology, and other mechanical forms of reaction.

The ethical approach is fundamentally different. We would give opportunities to young people in order to attract them to productive lives outside crime. Families need strengthening, discipline must be practiced and taught, neighborhoods aware of wrongdoing, parental responsibility required. Our social institutions must be upheld. Churches, social groups, schools, governmental organizations, hospitals, and all businesses will need to work together. The police are there, but cannot be the only people combating crime. Technology ought be there, but only within the context of the social structures.

Society ought not ignore the social conditions and then go after the criminals arising as a result of deteriorating cultural situations. Culture is the not only contributor to crime. Some people simply may be born trouble makers. A weak social structure lets them do as they please until it is too late. Simply waiting for people to become criminals, then going after them, arresting, taking them to trail, and locking them up are the mechanical ways of recidivism.

The ethical approach attempt to return the criminal to society through rehabilitation when initial parenting or habilitation has failed. We cannot just let young people grow up doing as they please, and then throw the book at them when they go wrong. Society seems to like the mechanical approach to most things. In medicine and health, we increase emergency rooms. In law enforcement, we want more and faster police. Education becomes a mechanical method of learning from computers. Transportation develops into a way of speedier, aircraft, and automobiles even if we need to build bigger airports, and destroy ecology with more highways. Information becomes merely a commodity where we transmit data and receive it with greater efficiency. In more and areas, technology and rapidity of getting something or someone from here to there becomes paramount. Ethically, medicine must involve better health habits, law enforcement better homes, love, and discipline, learning a matter of student teacher interaction, travel a matter of bicycles and trains, and information an issue of understanding and social empathy.

d. Ethics of Integration

Wonder and analysis are good when they are integrated. We cannot have just wonder, or only analysis. Yet, integrated or not, wonder must come from within and never as a result of drugs and electrical stimulation of the brain. Analysis must be within the social context and never merely a computerized battle toward solutions. Phenomenological ethics shows awe to be the view that things are fundamentally one, and culturally uplifting. Basic to all is our wonder that reality is a beautiful, awesome, non-problematic existence.

Existence is more than just a problem to be solved, a difficulty to be overcome. Existing ought mean appreciating life, people, God, culture, and all plants and animals. We cannot just look at the world as an ongoing defect to be repaired. Life may have evil in it, but is not essentially evil. It is a wondrous reality. This view is available to us not just through drugs, but our very natural feeling of awe. Again, good parenting and better social structure can contribute to or take away from this feeling.

Albert Einstein displayed ethics when he told his fellow scholars at Princeton to stop by an say hello from time to time. Most scholars were shocked. They felt that Princeton was a place for intellectual discourse instead of chit chat and normal conversation. They felt even more strongly that Einstein’s work was so critical that they did not wish to interfere in his studies with what they consider small talk or any conversation irrelevant to scientific work.

We think of Einstein as a scientist. He was clearly displaying what phenomenology calls intersubjectivity and wonder as the basis of any scientific work. Einstein believed that normal human beings, even those in intensive scholarly research, needed and should engage in the wonder of interpersonal, face to face community that this the social foundations of any verbal communications. Community is the basis of communications. We cannot communicate or convey information from person to person unless we first establish of acknowledge what phenomenology calls the “given” community or lived world.

e. People

In phenomenological ethics, we are first, last, and always in the community of people, in intersubjectivity, wonder, awe, or the non-cognitive. We are one with vegetation, with nature, with spiritual powers or religious dimensions. The term “people like us” is not to be taken as meaning individuals of our race, creed, color, or gender. It is to be interpreted as meaning that all human beings in the world are like each other. People are the same, regardless of race, creed, and so on.

Wonder means that all things are essentially related with each other. We do not first sense races, creeds, religions, and genders, and then arrive, step by step, to our humanity. The first thing we sense is that all individuals are alike. Races, religions, and so on are differentiations that we tend to make in distinguishing each other. Wonder makes it clear that whatever else we have as differences, human beings are, at bottom, the same.

Only within the context of fundamental awe of the unity of all things, do we then take apart or analyze people from each other, animals, nature, and so on. Analysis, done within awe, is benign. Analysis done outside the framework of wonder becomes mere taking apart of the essentially unified. In this sense, analysis becomes mere destruction.

Wonder and analysis in the ethical perspective comprise our intersubjective, sensory, rational unity. This occurs only when awe and analytic thinking occur within the context of the ethic or ethos: culture. Human beings are meant to awe that they are in the unified world of people, animals, vegetation and nature. Nothing is or ought be totally objectified. We are meant also to differentiate or analyze carefully in order to understand and intellectually cope with the existing world. Within awe, we objectify in order to develop an intellectual stance about why things are as they are.

Intersubjectivity and objectivity go hand in hand. Intersubjectivity or wonder devoid of objectivity becomes dangerously anti-technology. Objectivity alone becomes anti-human. Ethics tells us that this integration is complete when we appreciate intersubjectivity through normal human activity and not through drugs. We need also appreciate objectivity through normal intellectual activity and never through seeing speed, technology, or quantification as an end in itself.

The awe of our being together as a basis for any technique in analyzing that intersubjectivity can be seen MIT’s OpenCourseWare. Classroom learning with face to face interaction is fundamental to any distance learning. Wonder occurs not through mechanical activity but the social interaction found in the classroom; analysis is then found not through sophisticated telecourses, but computers existing and operating in the service and context of face-to-face interaction.

Alfred North Whitehead (p. 232) says that philosophy begins in wonder, and that wonder continues after philosophers have analyzed reality. Judith Boss says ethics begins in wonder. Philosophy can say that wonder and analysis begin with ethics, and that ethics continues as the context or orientation for analysis and wonder, and all activity.

2. Tying Phenomenological Ethics to the World

a. Overview

A key model that represents the way to tie phenomenological ethics to the world is by examining ethics, philosophy, and engineering. Scholars in the field of ethics would say that their field provides basic ideas unifying engineering and philosophy. Those thinkers who are ethicists would indicate that engineering and philosophy share a common ground in ethics. Engineering and philosophy are specific manifestation of ethics. The ethicist’s position sees engineering and philosophy as fields where human beings and values orient technology, objectivity, reason, and logic.

Ethicists (Kazanjian, 1998, Chapter 2) would view ethics as unifying engineering and philosophy. Scholars in ethics would view their field as underlying the humanistic thinking in philosophy, and the scientific views of engineering. Those who study ethics would see ethical ideas as necessary in courses in virtually all disciplines and professions. These scholars see ethics as an interdisciplinary foundation to the arts and sciences. For ethicists, business ethics, legal ethics, medical and biomedical ethics, engineering ethics, are all integral parts of business, law, medicine, and the other disciplines. Those who are ethics scholars would say business ought engage in ethical instead of unethical practices. These ethicists would also see lawyers, physicians, biomedical researchers, engineers, and others as competent when their curriculum teaches them values and morals as well as technical expertise. Ethicists would say that values and morals orient technique. The ethical perspective sees the mechanics of a given field as ethically oriented. Ethics scholars would view any disciplinarian as a professional concerned with human beings instead of merely a cognitive or technical, non-ethical expert. Scholars from the field of ethics see their work as interdisciplinarity, among their tasks being the disclosure of the ethical basis of engineering and philosophy. As such, ethicists see their discipline as basic to liberal arts and sciences, and interdisciplinarity at any level.

b. Human Factors Engineering

Human factors engineering, also known as ergonomics or ergonomic engineering, is that kind of engineering which designs physical environments including machines and processes to match human limits and abilities, and train people to use those environments (Chapanis, p.534; Kantowicz and Sorkin, p. 20). These engineers work with mathematics, physics, chemistry, and often computers. Beyond these scientific and technical fields, ergonomics engineers deal with human beings. These engineers are concerned not only with how to design an environment, but how to design it to be safe for the user.

The ergonomics position sees safety as meaning that engineers ought design the environments to be user friendly and ought avoid both user unfriendly and user too friendly designs (Adams, p. 256). A design that is user unfriendly ignores the user. To be user unfriendly means is a design whereby the machine or process is dangerous or offensive for the user. The other design is user too friendly, whereby the machine or process is so safe as to be rendered unfunctional. Designing something as user friendly means that users are able to work with an environment which takes into account the users’ limits and abilities. Such limits and abilities mean people have arms, legs, eyes, ears, and torsos with certain anatomic and sensory measurements. Arms bend in certain ways and are of certain lengths. The same with legs. Ears hear best at certain sound levels. We see best at certain distances.

Ergonomics is saying that human beings see, hear, and move within certain physical parameters. People do not merely perceive, sense, move, and so on. Any machine or process ought be designed such that it allows the user to use it comfortably, without undue stress or tension. Designing user friendly machines or processes is right. Designing an environment that forces people to merely sense or move is wrong. At the other extreme, designing an environment so safe that users need not make any effort to learn or use it is also wrong. The system could become nonfunctional.

The typical human factors engineering text looks like a combination engineering, psychology, and biology book. Ergonomics engineers say that any physical environment is as much social and psychological as it is mathematical, physical, or chemical. No user friendly design is totally reducible to the sum of nuts and bolts. Human factors argues that objects and people comprise an interface: both are interrelated to each other. Machines/processes and human beings ought not be seen as mutually exclusive, but inherently human-oriented. Al Gini (p. 3) argues that work is vital to our identity, but it must be a humanizing career and never just meaningless, dehumanizing sum of tasks.

Human factors also rejects overemphasizing the user. If machines/processes are to take into account the user’s abilities and limits, they are not to simply make things so safe and user-friendly that the machine/procedure becomes unfunctional or unable to perform its technical task.

c. Phenomenology: Brentano

Phenomenology is the philosophical movement somewhere between existentialism and logical positivism. Existentialists would see human beings or any aspect of reality almost totally irreducible to numbers or rational explanation, while the logical positivist position would view people and any reality as totally reducible to number and reason. The existential position views our social and cultural embodiment or existence is almost completely irreducible to number and reason, whereas logical positivism and linguistic analysis see our existence as basically, perhaps totally, rational and numeric. Brentano is considered the founder of phenomenology. He (Stewart and Mickunas, p. 8) initiated the idea of intentionality. Intentionality means that consciousness or embodiment inherently relates to objects. Consciousness is consciousness of objects. Brentano attempted to overcome the logical positivist notion that objects and sensation are real, and consciousness is totally reducible to objectivity.

Brentano would see the thinking mind and the body mutually interrelated . He believed Cartesian dualism is wrong in stating that thinking and the body are two different entities. In speaking about the mind-body unity, Brentano set the stage for Husserl to develop phenomenology. Brentano spoke of the mind-body continuum and rejected total objectivity. Thinking is continuous or interrelated with the body. But Husserl more fully developed the continuum and rejecting two extremes: thinking alone or objectivism, and mere embodiment or subjectivism.

d. Phenomenology: Edmund Husserl

Edmund Husserl moved beyond Brentano (Stewart and Mickunas, p. 8). Husserl sees a development of the mind-body continuum. Objectivity or mind is never value-free or disembodied, according to Husserl. All objectivity is value-laden or occurs as worldly, social, cultural. This view contrasts with the logical positivist notion that objectivity is the sole reality, and value-free.

Husserl’s position would say objectivity ought be seen as reflecting or matching subjectivity or values. From the perspective of phenomenology, we must consider all phenomena as real that appear to consciousness or our thoughts. Where logical positivists and linguistic analysts, and all emotional terms such as God as poetry and not cognitively meaningful, phenomenologists believe all objectivity reflects subjectivity, culture, values, and ethics.

The phenomenological position sees the mind-body issue in the manner that people ought look at physical environments as continuous with subjectivity, and emotions and noncognitive ideas as the social milieu generating the meaning of physical environments. Phenomenologically, objects, cognition, and cultural artifacts are real: products of human or subjective intentions. Mathematics, physics, chemistry, computers, and all the arts and sciences must be seen as part of life. But these cognitive realities emerge from a social, subjective realm and are not to be divorced from human experience. Cognition is never reducible to numbers, symbols, sense perception, and other non-emotive reality. Words reflect human experiences as a whole.

The position of phenomenology is that objectivity to be value-laden and ought avoid two extremes. One extreme is value-free cognition. This is cognition whereby cognition or any object is seen as free of any emotive or cultural values or spirituality. The other extreme means extreme existentialism that rejects any reducibility. Here, science, technology and any cognitive effort is considered almost anti-human. Phenomenology sees cognition and physical environments as things that take into account our values and any other noncognitive being. People have cognitive and analytical abilities and ought use them in certain ways. Knowing is not a simple matter of sense perception and analysis. The blanket denial of the reality of noncognitive ideas such as God and values suggests too simplistic a means of getting at reality.

Husserl also rejects subjectivism or solipsism. In saying that everything appearing to consciousness is real, critics argues that he was dangerous near, if not in fact, advocating solipsism. However, Husserl reject both logical positivism’s cold objectivism, which says people are objects and values unreal, and extreme existentialism and subjectivism’s solipsism, which maintains that the self is the only reality.

Phenomenology: Alfred Schutz (p. 140) comes from the perspective of applied phenomenology. Specifically, his viewpoint is sociology. He considers sociology as the study of “lived history,” or human institutions within which we find chronological or day to day history. He points out that human beings see, hear, and move within value parameters. Social structures comprise “lived history,” and are the context within which “chronological history” makes sense. Schutz ideas are similar to those of Kenneth Boulding. Boulding, while not technically a phenomenologist, notes that perception and action occur within our images of wholes, and never as the sensing of raw data or merely mechanical anatomic movement. People do not merely perceive, sense, move, and so on.

In phenomenology, consciousness intends or is consciousness of objects, thus revealing a subject-object continuum. Objectivity, perception and movement, in turn, are colored by our values and lived world. Objectivity is continuous with subjectivity. Subjectivity is never the reality of just one person, but intersubjective or social. Thus, phenomenology rejects the existential notion of extreme individuality or the virtually solipsistic ego.

Reality, in phenomenology, is the subject-object continuum or duality. Phenomenologists say we ought avoid Cartesian dualism of the mutually exclusive mind and body. Consciousness is always of the object, and the object is always embodied. Ricoeur (p. 217) argues that phenomenology overcomes Cartesian dualism by reintroducing the excarnate mind into the carnate or body. His efforts enable phenomenology to resolve dualism, as well as the objectivism of positivism, and subjectivism of existentialism.

The mind-body continuum means that subjectivity and objectivity are both real, but comprise a systematic reality instead of parts being real in themselves. Human beings exist in a world of physical reality. We sense this as we consider the lived world of culture giving meaning to material objects and generating ideas. Subjectivity does not exist alone; it requires a object. Likewise, objectivity is not merely “out there;” it is always perceived within cultural, lived orientations.

The phenomenological view is that subjectivity is never devoid of objectivity, while the solipsistic position entails subjectivity as devoid of objectivity. We need the world, for people are part of physical reality. Interpreting objectivity as devoid of subjectivity is similarly wrong. It becomes a dehumanized objectivity disregarding human beings and consciousness. Along these lines and seemingly less serious a problem, dualism is just as wrong, according to phenomenology. Objects and subjects are irreducible to mutual distinct, inherently unrelated entities. We do not just take discreet objectivity and subjectivity and externally juxtapose them. We would be unable to bridge the subject-object gap if it were intrinsically discontinuous or unbridged.

e. Phenomenology and Ergonomics: Parallels

Human factors engineering and phenomenology appear to be mutually distinct fields. One is engineering and quantitative, the other a philosophical movement rejecting total quantification. As such, engineering and phenomenology would seem to be irreconcilable disciplines: engineering being strictly hard culture, phenomenology fundamentally soft culture. But our brief statements above show something else.

A glance at human factors engineering and phenomenology reveals parallels. Human factors believes that all physical environment interface with people. Objects ought be designed as continuous with human operators. The entire system is a machine-person interface or continuum, instead of the machine being something totally objective and non-personal. Phenomenology says that mind or objectification is continuous with the social dimension. Phenomenologists speak of the mind-body continuum. Human factors could speak of the machine-user continuum, phenomenology of the mind-body interface. Human factors would be saying machines are continuous with the user, phenomenology would be indicating that the mind interrelates with the body. In ergonomics, seeing designs or actual machines means seeing the operator or subjectivity. In phenomenology, seeing words on paper must mean seeing human values and other intangibles. For human factors engineers, machines/processes ought be acknowledged as intrinsically continuous or interfacing with people’s physical, social, and psychological limits. In phenomenology, the written word ought be recognized as inherently continuous with values and other cultural themes underlying the empirical.

Human factors says machines/processes ought be user-friendly, and ought not be user-unfriendly. Phenomenology maintains that objectivity ought be seen as value-laden, and never value-free. By user friendly, human factors means buttons, numbers, levers, lights, and other physical apparatus the operations and reasons of which the user can learn relatively easily, and the use of which will not harm the person. The human being need not be the proverbial rocket scientist to understand these operations; training would not require the typical user to earn a Ph.D., or even take one course from MIT. The user also need not be made of steel or physically qualify for Navy SEAL commando work to use the environment. The user friendly environment is designed for the typical person’s intellectual and physical abilities. By value-laden, phenomenology means any word ultimately reflects human values. No word is or can be value-free, as the philosophical movements logical positivism and .linguistic analysis tend to maintain. Positivists and analytic thinkers argue that words such as God, love, and religion do not belong in intellectual discourse because they reflect values and emotion. Words such as chair, table, atom and other words are value-free and non-emotive. However, chair reflects the English language, can imply the electric chair, can mean a department head at a college or university, and appears to be nonsexist relative to the apparently sexist term chairman. Phenomenologists would maintain that no word is value-free, that every term is a sociology of that term. Every word emerges from and reflects the social and cultural framework that produces it.

A user unfriendly environment is totally objective, ignoring human limits and abilities and forcing people to mere push, pull, and perceive. Al Gini (p. 120) notes that work offering no hope and becoming unethical is wrong, and means roughly what ergonomics means by user unfriendly work. Value-free language would mean a totally objective set of words over which there is no debate. However, every math, computer, physics and other science book or piece of literature reflects a human author and the author’s perspective, slant, or view. Feminism and civil rights thinkers have shown that such books (any book) are value-laden whether we like it or not. Each is written by a white male, black male, Latino woman, or person of a particular religious, ethnic, or sexual orientation. An author lacking ethnic, gender, and similar human qualities is impossible.

Human factors could say machines ought be user-laden, while phenomenologists might indicate that objectivity ought be seen as subject-friendly. The human factors term “user” is synonymous with phenomenology’s term “subject.” User and subject mean the human being and the cultural context from which the human being emerges.

Both ergonomics and phenomenology look at human-made environments as reflecting culture and not as just cognitive, scientific, or merely objective fields of study and work. Moreover, both ergonomics and phenomenology consider the human as part of the object. Thus, ergonomics notes that we ought avoid simply catering to the person’s every desire and want, and phenomenology rejects solipsism’s view that the individual is the sole reality.

f. Phenomenology and Ergonomics: Enter Ethics

The previous section notes the technical parallels between ergonomics and phenomenology. Readers will see the term “ought” throughout the paragraphs.

Phenomenology and human factors have fundamental parallels, as indicated in the previous section. These are intellectual or technical similarities. They indicate that both see a unity of objects and people.

In doing so, they are ethical in the general sense. Both machines and rational thought emerge from the social context. Ergonomics argues that machines reflect the social and cultural milieu, and are not totally reducible to nuts and bolts. Phenomenologists (Stewart and Mikunas, p. 10) note that God, love, anger, desire, and other intangibles are real because they appear to consciousness. Secular phenomenologists consider nonreligious themes as real. Religious phenomenologists believe that theological and spiritual notions such as God are real.

Both human factors experts and phenomenologists deny that sensation is our only way of knowing and experiencing. Ergonomics engineers would say it is wrong or unethical to design a machine or process that has operators simply “look,” “hear,” or otherwise sense a control panel or other part of a machine. Phenomenologists argue that we would be outside the ethos or culture if we considers human behavior or reality as strictly sensory phenomena.

Engineers abide by and study professional ethics, and the Occupational Safety and Health Administration monitors dangerous in the workplace according to federal law. Phenomenology, however, does not become part of a professional ethics issue except in the case of the ethics of teaching. It may seem that in phenomenology, the subject-object discontinuity or dichotomy is only an academic rather than a technically ethical matter as in engineering. To say that objects are disconnected from and do not reflect subjectivity is not an ethical matter.

Phenomenology is concerned with ethics in the broad sense of ethos or culture. Totally reducing knowledge or reality to the empirical means excarnating or taking sensation out of the social realm comprising ethos. In applied phenomenology, reducing people to computerized forms, numbers, and related paper work may be seen an unethical or socially undesirable.

In acknowledging the social and psychological as well as physical side of people, both human factors engineering and phenomenology are rooted in the sociology of human-made products. A sociology of work suggests that people do not just “do.” They do and know within social, ethos, and thereby ethical constraints.

Both human factors engineering and phenomenology share the view that the person or subject is not alone. In ergonomics, machines ought take the user into account, but this does not mean that the design reflect everything about the user. Physical environments should not be so designed as to satisfy every want, desire, and whim of the operator. Operators need to be trained, and put forth effort to realize that the environment requires change on the users’ part. Additionally, operators are continuous with their surroundings. They are not Luddites, working or existing alone, without the use of physical environments. Phenomenology says that subjectivity is not the same as subjectivism. In subjectivism, the self is considered to be alone, devoid of objectivity.

Phenomenology seems not to fall into the same ethics category of including punishments for unethical behavior as does human factors engineering. However, the culture that supports a totally dehumanized attitude toward people, such as allowing computerization to go wild and reduce everyone to numbers in every instance, is manifesting an anti phenomenological view. The positivism attitude is that we merely know and are excarnated from feelings and emotions. No ethical ruling can be made against positivism as an intellectual movement Yet positivism reflects the culture view that we can and ought ignore feeling and other intangibles.

The lived world is phenomenology’s notion that people live, work, and play in a social context where not everything is totally reducible to numbers or is effable. Paul Ricouer tells us that Cartesian dualism is the effort to see the world and the mind as two different substances. The Cartesian world-view means that cognition is excarnate, discontinuous with the body. Positivism argues that the cognitive is all there exists. Ricoeur would want us to reintroduce the cognitive into the lived world, and to see cognition as incarnate or embodied.

Broadly speaking, the embodied viewpoint is the ethos-oriented viewpoint whereby cognitive activity emerges from the parameters of culture. People ought not just think. Basically, they never just think. Thus, no individual ought take the stand that we are simply thinking substances, whether this substance is somehow related to the body in dualistic terms, or stands by itself in positivistic notions. On the other hand, the cognitive is part of life. We ought not consider the reductive or cognitive as unwarranted, as in much existentialism. We certainly ought not take the view that the cognitive does not have a reality, that the self is alone, that each of us is isolated.

The ethical view posits a holistic perspective. Objectification ought be seen as interfacing or being continuous with the subject or intersubjectivity. Neither objectification devoid of subjectivity, nor subjectivity without objectivity, is the ought.

Human factors speaks of groups of users, not just a user, as reference for designing machines. Phenomenology speaks of intersubjectivity, not just of one subject, a reference for seeing the cognitive. Both ergonomics and phenomenology look at individuals as social, and their limits and abilities are pertaining to groups rather than to one or two people.

Phenomenological thinkers take the position that could be interpreted as the philosophical version of ergonomics. In ergonomics, we do not hear of linguistic analysis, logical positivism , or existentialism. Yet, Ergonomics reveals or deals with language in the broadest sense. When ergonomics speaks of people seeing, hearing, touching, pulling, they are using language. In saying that a person is something that simply sees, hears, etc., we are being positivistic and reducing the individual to an object. If we agree that users are human beings who see, hear, and otherwise sense and move within emotive, cultural, and physical contexts, we are then thinking or using language from a phenomenological viewpoint.

Traditional linguistic analysis tends to imply that philosophers in that vein are only thinkers and not fundamentally akin the engineering. An interdisciplinary attitude with a broad vision of language sees things differently. Language analysts in philosophy work with symbolic logic and not technical mathematics. Human factors engineers work with mathematics, but are suggesting that people are indeed at least partly physical, sensory, and material. Ergonomics may be called human factors, but it can also be called subjectivity factors: we need to take the subjective and cultural into account for engineering processes.

As a corollary, the phenomenological position would be that human factors considers users as not mere objects, but that any characteristic of the person that appears to consciousness is a valid reality. Thus, engineers who are only nuts and bolts people traditionally say we are only skin, neurons, senses, and bones. This is very positivistic language. Phenomenologically, users are also values, emotions, spirituality, and ethos as a whole. Human factors and phenomenology are looking at operators as fundamentally human beings with dignity and essentially irreducible qualities.

Logical positivists might argue that their members helped win World War II by cracking Hitler’s Enigma Machine code. This is true. On the more fundamental side, Hitler would not have risen to the powerful level that we allowed to him to do so had we been phenomenological and cultural. As he was rising and accumulating power, a cultural view would have told us to stop him in his tracks. Had we done so, war would have been unnecessary, the Normandy invasion would not have had to occur, and Hitlers codes would not have had time to develop to be used against us.

Ethics tells us that human factors and phenomenology speak the same language, though ergonomics is the trained engineer designing machines, and phenomenologists are philosophers trained in inquiry and argument instead of the design of physical environments. Physical environments are but a form of language. Ergonomics and phenomenology speak the same language in terms of acknowledging that objectivity is subject- or value-oriented. Al Gini speaks of work in terms of business ethics: work must be ethical and never unethical.

They speak the same language in saying that human beings are essential social instead of standing alone. The physical, written, and motor environments are never totally reducible to objects “out there.” But as reflections of human beings, these environments mirror “our” and not “my” world. Any human value represents the share world-view of numerous individuals comprising a group. Language ought never be either completely symbolic as in the totally logical methods of linguistic analysis, nor ought it be simply one person’s language which no other person can understand.

Two people, one a human factors engineer, the other a phenomenologist, can look at a machine or consider a procedure. These two individuals can communicate with each other if they understand their shared viewpoint. Both are coming from the ethical perspective. The engineer is saying that the numbers, words, and motions, which is to say, the language, of a system, ought reflect human beings in light of culture. A phenomenologist is saying that the writings in a human factors text ought reflect the social, psychological and related value-oriented words and meanings we see in culture.

Both the ergonomics and phenomenological philosopher would agree that the human values comprise a share enterprised that reflects the objective world continuous with the cultural milieu. No person is an island, no person is reducible to flesh and bones. Somewhere between extreme individualism and mere objectivism, the subject-object continuum or machine-person interface comprises a reality including the validity of external and internal worlds.

Ethics means objects are the externalizing of human ideas and the validity of the outside world. As ethos, we are neither extra-ethos nor merely ethos. The extra-ethos or extra-ethical suggests that people are sensations and motions; the merely ethos or ethical can mean we are only a commune, only a community doing little or nothing. Pushed to the extreme, the commune leads to the individual member as possibly believing that he or she stands alone.

In both human factors and phenomenology, language as our fundamental nature is seen as an object-subjective reality. Positivism sees language as symbols and sensory activity; traditional engineering involving merely nuts and bolts sees machines, and therefore language, as the sum total of physical parts. Human factors and phenomenology, rooted in ethos, consider language as a holistic reality whereby being serves to objectify itself through beings.

g. Ethics as Homological

We typically think of ethics as a course of study, as in professional or philosophical ethics. In that way, ethics is no more fundamental than any other discipline. The above pages show that ethics is isomorphic or homological. Isomorphic is derived from iso meaning the same, and morphic meaning shape. Ethics is the same shape or principle that underlies ergonomics and phenomenology. Homological is derived from homo means same, and logic meaning word or structure. Ethics is the same structure from which ergonomics and phenomenology are derived. Learning ethics is basic to human factors engineering and phenomenology. As we consider ethics, we find it necessary to objectify within the parameters of culture, values, and perhaps spirituality. From the engineering perspective, ethics becomes a method of developing physical structures for human use. From the philosophical view, ethics can be interpreted as the intellectual inquiry into knowledge and reality.

As an isomorphic or homological root to human factors and phenomenology, ethics becomes the foundations for a liberal arts. Whatever we know and do, we are inherently facing the opportunity to know and do what is humane, and what is not. This opportunity means intellectual and engineering approaches are basically ethical. They emerge from culture or ethos. To deny values would be to reject our cultural foundations; to seek only values would be unrealistic.

Interdisciplinary research has gone in two directions. One is interdisciplinarity in the sense of team teaching and putting together courses and topics in some sort of seamless or minimally seamed fabric. Ethics plays an equity role here. It is one of the disciplines or ideas relevant to knowledge. The other direction (Kazanjian, 2002, p. 30) is more fundamental. This is the isomorphic direction. Isomorphic or homological ethics means that we must study ethics as a cultural, ethos framework within which we find the roots for all other professions.

Ethics as the homological root of numerous disciplines can thereby show us how to understand human factors engineering and phenomenology. Take ethics away from ergonomics and we essentially eliminate human factors engineering. The very term “human factor” implies that ethos is basic to engineering. Take ethics away from phenomenology and we basically have logical positivism. The subjective orientations of objectivity refer to the ethos from which emerges the objective.

Contemporary interest in professional ethics implies that ethical and non-ethical thinking and doing is something new. Indeed, our admission is new. The existence of the ethical perspective is as old as humanity. Mircea Eliade (p. 31) has taken pains to elucidate the validity of ethics in primitive cultures. In every society we have dos and don’ts. Without that view, any person in any culture will simply do or know, and the result could hurt that person or others.

Eliade’s point concerns comparative religion. Ancient societies did everything by repeating the anatomic gestures as performed in Primordial Time by the gods. Primordial Time is the time before the gods created the world and our idea of calendar time. No member of any society simply “did” something. Today, we imply that we merely do or know. Even Eliade suggests that contemporary society is totally secularized. Yet, Clifton Bryant’s research in the sociology of work (p. 1) catalogues the social and thus ethical directions of knowledge and technique.

Ethics, then, is not just another topic (Kazanjian, p. 3). It is the ongoing insight that ethos or culture provides us with the framework for survival and etiquette. Human factors and phenomenology are two specific manifestation of that insight.

3. References and Further Reading

a. Theory

  • Clifton D. Bryant ed. The Social Dimensions of Work Englewood Cliffs, NJ.: Prentice-Hall; 1972
  • Martin Buber I and Thou New York: Charles Scribner’s Sons; 1970.
  • Jeremy Campbell The Improbable Machine New York: Simon and Schuster; 1989,
  • Mircea Eliade Patterns in Comparative Religion Cleveland: The World Publishing Company; 1958.
  • Michael M. Kazanjian Learning Values Lifelong The Netherlands: Rodopi; 2002.
  • Paul Ricoeur Freedom and Nature: The Voluntary and the Involuntary Evanston, IL: NorthwesternUniversity Press; 1968.
  • David Stewart and Algis Mackunas Exploring Phenomenology Athens, OH: Ohio University Press; 1990.
  • G. Harry Stine The Hopeful Future New York: Macmillan;1983.
  • Alfred North Whitehead Modes of Thought New York: The Macmillan Company; 1958.

b. Tying Phenomenological Ethics to the World

  • Jack A. Adams Human Factors Engineering. New York: Macmillan; 1989.
  • Mircea Eliade Patterns in Comparative Religion. Cleveland, OH: World Publishing; 1963.
  • Clifton D. Bryant ed. The Sociology of Work. Englewood Cliffs, New Jersey: Prentice Hall; 1972.
  • Alphonse Chapanis, “Human Engineering,” in Operations Research and Systems Engineering ed. Charles D. Flagle, William H. Huggins, and Robert R. Roy, Baltimore: The Johns Hopkins University Press; 1960.
  • Al Gini My Job, My Self. New York: Routledge; 2001.
  • Edmund Husserl Ideas Pertaining to a Pure Phenomenology and to PhenomenologicalPhilosophy The Netherlands: Kluwer; 1967..
  • Barry H. Kantowicz and Robert D. Sorkin. Human Factors. New York: John Wiley; 1983.
  • Michael M. Kazanjian Phenomenology and Education The Netherlands: Rodopi: 1998.
    • Especially chapters one and two comparing ethics, human factors, and phenomenology.
  • Michael M. Kazanjian Learning Values Lifelong The Netherlands: Rodopi; 2002.
  • Algis Mikunas and David Stewart Exploring Phenomenology. Athens, OH: Ohio University Press; 1990.
  • Paul Ricoeur Freedom and Nature: The Voluntary and the Involuntary. Evanston: Northwestern University Press; 1966.
  • Alfred Schutz The Phenomenology of the Social World. Evanston: Northwestern University Press;1967.

Author Information

Michael M. Kazanjian
Email: mkazanji@triton.edu
U. S. A.

Epsilon Calculi

Epsilon Calculi are extended forms of the predicate calculus that incorporate epsilon terms. Epsilon terms are individual terms of the form ‘εxFx’, being defined for all predicates in the language. The epsilon term ‘εxFx’ denotes a chosen F, if there are any F’s, and has an arbitrary reference otherwise. Epsilon calculi were originally developed to study certain forms of arithmetic, and set theory; also to prove some important meta-theorems about the predicate calculus. Later formal developments have included a variety of intensional epsilon calculi, of use in the study of necessity, and more general intensional notions, like belief. An epsilon term such as ‘εxFx’ was originally read as ‘the first F’, and in arithmetical contexts as ‘the least F’. More generally it can be read as the demonstrative description ‘that F’, when arising either deictically, that is, in a pragmatic context where some F is being pointed at, or in linguistic cross-reference situations, as with, for example, ‘There is a red-haired man in the room. That red-haired man is Caucasian’. The application of epsilon terms to natural language shares some features with the use of iota terms within the theory of descriptions given by Bertrand Russell, but differs in formalising aspects of a slightly different theory of reference, first given by Keith Donnellan. More recently, epsilon terms have been used by a number of writers to formalise cross-sentential anaphora, which would arise if ‘that red-haired man’ in the linguistic case above was replaced with a pronoun such as ‘he’. There is then also the similar application in intensional cases, like ‘There is a red-haired man in the room. Celia believed he was a woman.’

Table of Contents

  1. Introduction
  2. Descriptions and Identity
  3. Rigid Epsilon Terms
  4. The Epsilon Calculus’ Problematic
  5. The Formal Semantics of Epsilon Terms
  6. Some Metatheory
  7. References and Further Reading

1. Introduction

Epsilon terms were introduced by the german mathematician David Hilbert, in Hilbert 1923, 1925, to provide explicit definitions of the existential and universal quantifiers, and resolve some problems in infinitistic mathematics. But it is not just the related formal results, and structures which are of interest. In Hilbert’s major book Grundlagen der Mathematik, which he wrote with his collaborator Paul Bernays, epsilon terms were presented as formalising certain natural language constructions, like definite descriptions. And they in fact have a considerably larger range of such applications, for instance in the symbolisation of certain cross-sentential anaphora. Hilbert and Bernays also used their epsilon calculus to prove two important meta-theorems about the predicate calculus. One theorem subsequently led, for instance, to the development of semantic tableaux: it is called the First Epsilon Theorem, and its content and proof will be given later, in section 6 below. A second theorem that Hilbert and Bernays proved, which we shall also look at then, establishes that epsilon calculi are conservative extensions of the predicate calculus, that is, that no more theorems expressible just in the quantificational language of the predicate calculus can be proved in epsilon calculi than can be proved in the predicate calculus itself. But while epsilon calculi do have these further important formal functions, we will not only be concerned to explore them, for we shall also first discuss the natural language structures upon which epsilon calculi have a considerable bearing.

The growing awareness of the larger meaning and significance of epsilon calculi has only come in stages. Hilbert and Bernays introduced epsilon terms for several meta-mathematical purposes, as above, but the extended presentation of an epsilon calculus, as a formal logic of interest in its own right, in fact only first appeared in Bourbaki’s Éléments de Mathématique (although see also Ackermann 1937-8). Bourbaki’s epsilon calculus with identity (Bourbaki, 1954, Book 1) is axiomatic, with Modus Ponens as the only primitive inference or derivation rule. Thus, in effect, we get:

(X ∨ X) → X,
X → (X ∨ Y),
(X ∨ Y) → (Y ∨ X),
(X ∨ Y) → ((Z ∨ X) → (Z ∨ Y)),
Fy → FεxFx,
x = y → (Fx ↔ Fy),
(x)(Fx ↔ Gx) → εxFx = εxGx.

This adds to a basis for the propositional calculus an epsilon axiom schema, then Leibniz’ Law, and a second epsilon axiom schema, which is a further law of identity. Bourbaki, though, used the Greek letter tau rather than epsilon to form what are now called ‘epsilon terms’; nevertheless, he defined the quantifiers in terms of his tau symbol in the manner of Hilbert and Bernays, namely:

(∃x)Fx ↔ FεxFx,
(x)Fx ↔ Fεx¬Fx;

and note that, in his system the other usual law of identity, ‘x = x’, is derivable.

The principle purpose Bourbaki found for his system of logic was in his theory of sets, although through that, in the modern manner, it thereby came to be the foundation for the rest of mathematics. Bourbaki’s theory of sets discriminates amongst predicates those which determine sets: thus some, but only some, predicates determine sets, i.e. are ‘collectivisantes’. All the main axioms of classical Set Theory are incorporated in his theory, but he does not have an Axiom of Choice as a separate axiom, since its functions are taken over by his tau symbol. The same point holds in Bernays’ epsilon version of his set theory (Bernays 1958, Ch VIII).

Epsilon calculi, during this period, were developed without any semantics, but a semantic interpretation was produced by Gunter Asser in 1957, and subsequently published in a book by A.C. Leisenring, in 1969. Even then, readings of epsilon terms in ordinary language were still uncommon. A natural language reading of epsilon terms, however, was present in Hilbert and Bernays’ work. In fact the last chapter of book 1 of the Grundlagen is a presentation of a theory of definite descriptions, and epsilon terms relate closely to this. In the more well known theory of definite descriptions by Bertrand Russell (Russell 1905) there are three clauses: with

The king of France is bald

we get, on Russell’s theory, first

there is a king of France,

second

there is only one king of France,

and third

anyone who is king of France is bald.

Russell uses the Greek letter iota to formalise the definite description, writing the whole

BιxKx,

but he recognises the iota term is not a proper individual symbol. He calls it an ‘incomplete symbol’, since, because of the three parts, the whole proposition is taken to have the quantificational analysis,

(∃x)(Kx & (y)(Ky → y = x) & (y)(Ky → By)),

which is equivalent to

(∃x)(Kx & (y)(Ky→ y = x) & Bx).

And that means that it does not have the form ‘Bx’. Russell believed that, in addition to his iota terms, there was another class of individual terms, which he called ‘logically proper names’. These would simply fit into the ‘x’ place in ‘Bx’. He believed that ‘this’ and ‘that’ were in this class, but gave no symbolic characterisation of them.

Hilbert and Bernays, by contrast, produced what is called a ‘pre-suppositional theory’ of definite descriptions. The first two clauses of Russell’s definition were not taken to be part of the meaning of ‘The King of France is bald’: they were merely conditions under which they took it to be permitted to introduce a complete individual term for ‘the King of France’, which then satisfies

Kx & (y)(Ky → y = x).

Hilbert and Bernays continued to use the Greek letter iota in their individual term, although it has a quite different grammar from Russell’s iota term, since, when Hilbert and Bernays’ term can be introduced, it is provably equivalent to the corresponding epsilon term (Kneebone 1963, p102). In fact it was later suggested by many that epsilon terms are not only complete symbols, but can be seen as playing the same role as the ‘logically proper names’ Russell discussed.

It is at the start of book 2 of the Grundlagen that we find the definition of epsilon terms. There, Hilbert and Bernays first construct a theory of indefinite descriptions in a similar manner to their theory of definite descriptions. They allow, now, an eta term to be introduced as long as just the first of Russell’s conditions is met. That is to say, given

(∃x)Fx,

one can introduce the term ‘ηxFx’, and say

FηxFx.

But the condition for the introduction of the eta term can be established logically, for certain predicates, since

(∃x)((∃y)Fy → Fx),

is a predicate calculus theorem (Copi 1973, p110). It is the eta term this theorem allows us to introduce which is otherwise called an epsilon term, and its logical basis enables entirely formal theories to be constructed, since such individual terms are invariably defined. Thus we may invariably introduce ‘ηx((∃y)Fy → Fx)’, and this is commonly written ‘εxFx’, about which we can therefore say

(∃y)Fy → FεxFx.

Since it is that F which exists if anything is F, Hilbert read the epsilon term in this case ‘the first F’. For instance, in arithmetic, ‘the first’ may be taken to be the least number operator. However, while if there are F’s then the first F is clearly some chosen one of them, if there are no F’s then ‘the first F’ must be a misnomer. And that form of speech only came to be fully understood in the theories of reference which appeared much later, when reference and denotation came to be more clearly separated from description and attribution. Donnellan (Donnellan 1966) used the example ‘the man with martini in his glass’, and pointed out that, in certain uses, this can refer to someone without martini in his glass. In the terminology Donnellan made popular, ‘the first F’, in the second case above works similarly: it cannot be attributive, and so, while it refers to something, it must refer arbitrarily, from a semantic point of view.

With reference in this way separated from attribution it becomes possible to symbolise the anaphoric cross-reference between, for instance, ‘There is one and only one king of France’ and ‘He is bald’. For, independently of whether the former is true, the ‘he’ in the latter is a pronoun for the epsilon term in the former — by a simple extension of the epsilon definition of the existential quantifier. Thus the pair of remarks may be symbolised

(∃x)(Kx & (y)(Ky → y = x)) & Bεx(Kx & (y)(Ky → y = x)).

Furthermore such cross-reference may occur in connection with intensional constructions of a kind Russell also considered, such as

George IV wondered whether the author of Waverley was Scott.

Thus we can say ‘There is an author of Waverley, and George IV wondered whether he was Scott’. But the epsilon analysis of these cases puts intensional epsilon calculi at odds with Russellian views of such constructions, as we shall see later. The Russellian approach, by not having complete symbols for individuals, tends to confuse cases in which assertions are made about individuals and cases in which assertions are made about identifying properties. As we shall see, epsilon terms enable us to make the discrimination between, for instance,

s = εx(y)(Ay ↔ y = x),

(i.e. ‘Scott is the author of Waverley’), and

(y)(Ay ↔ y = s),

(that is, ‘there is one and only one author of Waverley and he is Scott’), and so it enables us to locate more exactly the object of George IV’s thought.

2. Descriptions and Identity

When one starts to ask about the natural language meaning of epsilon terms, it is interesting that Leisenring just mentions the ‘formal superiority’ of the epsilon calculus (Leisenring 1969, p63, see also Routley 1969, Hazen 1987). Leisenring took the epsilon calculus to be a better logic than the predicate calculus, but merely because of the Second Epsilon Theorem. Its main virtue, to Leisenring, was that it could prove all that seemingly needed to be proved, but in a more elegant way. Epsilon terms were just neater at calculating which were the valid theorems of the predicate calculus.

Remembering Hilbert and Bernays’ discussion of definite and indefinite descriptions, clearly there is more to the epsilon calculus than this. And there are, in fact, two specific theorems provable within the epsilon calculus, though not the predicate calculus, which will start to indicate the epsilon calculus’ more general range of application. They concern individuals, since the epsilon calculus is distinctive in providing an appropriate, and systematic means of reference to them.

The need to have complete symbols for individuals became evident some years after Russell’s promotion of incomplete symbols for them. The first major book to allow for this was Rosser’s Logic for Mathematicians, in 1953, although there were precursors. For the classical difficulty with providing complete terms for individuals concerns what to do with ‘non-denoting’ terms, and Quine, for instance, following Frege, often gave them an arbitrary, though specific referent (Marciszewski 1981, p113). This idea is also present in Kalish and Montague (Kalish and Montague 1964, pp242-243), who gave the two rules:

(∃x)(y)(Fy ↔ y = x) ├ FιxFx,
¬(∃x)(y)(Fy ↔ y = x) ├ιxFx = ιx¬(x = x),

where ‘ιxFx’ is what otherwise might be written ‘εx(y)(Fy ↔ y = x)’. Kalish and Montague believed, however, that the second rule ‘has no intuitive counterpart, simply because ordinary language shuns improper definite descriptions’ (Kalish and Montague 1964, p244). And, at that time, what Donnellan was to publish in Donnellan 1966, about improper definite descriptions, was certainly not well known. In fact ordinary speech does not shun improper definite descriptions, although their referents are not as fixed as the above second rule requires. Indeed the very fact that the descriptions are improper means that their referents are not determined semantically: instead they are just a practical, pragmatic choice.

Stalnaker and Thomason recognised the need to be more liberal when they defined their referential terms, which also had to refer, in the contexts they were concerned with, in more than one possible world (Thomason and Stalnaker 1968, p363):

In contrast with the Russellian analysis, definite descriptions are treated as genuine singular terms; but in general they will not be substance terms [rigid designators]. An expression like ιxPx is assigned a referent which may vary from world to world. If in a given world there is a unique existing individual which has the property corresponding to P, this individual is the referent of ιxPx; otherwise, ιxPx refers to an arbitrarily chosen individual which does not exist in that world.

Stalnaker and Thomason appreciated that ‘A substance term is much like what Russell called a logically proper name’, but they said that an individual constant might or might not be a substance term, depending on whether it was more like ‘Socrates’ or ‘Miss America’ (Thomason and Stalnaker 1968, p362). A more complete investigation of identity and descriptions, in modal and general intensional contexts, was provided in Routley, Meyer and Goddard 1974, and Routley 1977, see also Hughes and Cresswell 1968, Ch 11. And with these writers we get the explicit rendering of definite descriptions in epsilon terms, as in Goddard and Routley 1973, p558, Routley 1980, p277, c.f. Hughes and Cresswell 1968, p203.

Certain specific theorems in the epsilon calculus, as was said before, support these kinds of identification. One theorem demonstrates directly the relation between Russell’s attributive, and some of Donnellan’s referential ideas. For

(∃x)(Fx & (y)(Fy → y = x) & Gx)

is logically equivalent to

(∃x)(Fx & (y)(Fy → y = x)) & Ga,

where a = εx(Fx & (y)(Fy → y = x)). This arises because the latter is equivalent to

Fa & (y)(Fy → y = a) & Ga,

which entails the former. But the former is

Fb & (y)(Fy → y = b) & Gb,

with b = εx(Fx & (y)(Fy → y = x) & Gx), and so entails

(∃x)(Fx & (y)(Fy → y = x)),

and

Fa & (y)(Fy → y = a).

But that means that, from the uniqueness clause,

a = b,

and so

Ga,

meaning the former entails the latter, and therefore the former is equivalent to the latter.

The former, of course, gives Russell’s Theory of Descriptions, in the case of ‘The F is G’; it explicitly asserts the first two clauses, to do with the existence and uniqueness of an F. A presuppositional theory, such as we saw in Hilbert and Bernays, would not explicitly assert these two clauses: on such an account they are a precondition before the term ‘the F’ can be introduced. But neither of these theories accommodate improper definite descriptions. Since Donnellan it is more common to allow that we can always use ‘the F’: if the description is improper then the referent of this term is simply found in the term’s practical use.

One detail of Donnellan’s historical account, however, must be treated with some care, at this point. Donnellan was himself concerned with definite descriptions which were improper in the sense that they did not uniquely describe what the speaker took to be their referent. So the description might still be ‘proper’ in the above sense — if there still was something to which it uniquely applied, on account of its semantic content. Thus Donnellan allowed ‘the man with martini in his glass’ to identify someone without martini in his glass irrespective of whether there was some sole man with martini in his glass. But if one talks about ‘the man with martini in his glass’ one can be correctly taken to be talking about who this describes, if it does in fact correctly describe someone — as Devitt and Bertolet pointed out in criticism of Donnellan (Devitt 1974, Bertolet 1980). It is this aspect of our language which the epsilon account matches, for an epsilon account allows definite descriptions to refer without attribution of their semantic character, but only if nothing uniquely has that semantic character. Thus it is not the whole of the first statement above , but only the third part of the second statement which makes the remark ‘The F is G’.

The difficulty with Russell’s account becomes more plain if we read the two equivalent statements using relative and personal pronouns. They then become

There is one and only one F, which is G,
There is one and only one F; it is G.

But using just the logic derived from Frege, Russell could formalise the ‘which’, but could not separate out the last clause, ‘it is G’. In that clause ‘it’ is an anaphor for ‘the (one and only) F’, and it still has this linguistic meaning if there is no such thing, since that is just a matter of grammar. But the uniqueness clause is needed for the two statements to be equivalent — without uniqueness there is no equivalence, as we shall see – so ‘which’ is not itself equivalent to ‘it’. Russell, however, because he could not separate out the ‘it’, had to take the whole of the first expression as the analysis of ‘The F is G’ — he could not formulate the needed ‘logically proper name’.

But how can something be the one and only F ‘if there is no such thing’? That is where another important theorem provable in the epsilon calculus is illuminating, namely:

(Fa & (y)(Fy → y = a)) → a = εx(Fx & (y)(Fy → y = x)).

The important thing is that there is a difference between the left hand side and the right hand side, i.e. between something being alone F, and that thing being the one and only F. For the left-right implication cannot be reversed. We get from the left to the right when we see that the left as a whole entails

(∃x)(Fx & (y)(Fy → y = x)),

and so also its epsilon equivalent

Fεx(Fx & (y)(Fy → y = x)) & (z)(Fz → z = εx(Fx & (y)(Fy → y = x))).

Given Fa, then from the second clause here we get the right hand side of our original implication. But if we substitute ‘εx(Fx & (y)(Fy → y = x))’ for ‘a’ in that implication then on the right we have something which is necessarily true. But the left hand side is then the same as

(∃x)(Fx & (y)(Fy → y = x)),

and that is in general contingent. Hence the implication cannot generally be reversed. Having the property of being alone F is here contingent, but possessing the identity of the one and only F is necessary.

The distinction is not made in Russell’s logic, since possession of the relevant property is the only thing which can be formally expressed there. In Russell’s theory of descriptions, a’s possession of the property of being alone a king of France is expressed as a quasi identity

a = ιxKx,

and that has the consequence that such identities are contingent. Indeed, in counterpart theories of objects in other possible worlds the idea is pervasive that an entity may be defined in terms of its contingent properties in a given world. Hughes and Cresswell, however, differentiated between contingent identities and necessary identities in the following way (Hughes and Cresswell 1968, p191):

Now it is contingent that the man who is in fact the man who lives next door is the man who lives next door, for he might have lived somewhere else; that is living next door is a property which belongs contingently, not necessarily, to the man to whom it does belong. And similarly, it is contingent that the man who is in fact the mayor is the mayor; for someone else might have been elected instead. But if we understand [The man who lives next door is the mayor] to mean that the object which (as a matter of contingent fact) possesses the property of being the man who lives next door is identical with the object which (as a matter of contingent fact) possesses the property of being the mayor, then we are understanding it to assert that a certain object (variously described) is identical with itself, and this we need have no qualms about regarding as a necessary truth. This would give us a way of construing identity statements which makes [(x = y) → L(x = y)] perfectly acceptable: for whenever x = y is true we can take it as expressing the necessary truth that a certain object is identical with itself.

There are more consequences of this matter, however, than Hughes and Cresswell drew out. For now that we have proper referring terms for individuals to go into such expressions as ‘x = y’, we first see better where the contingency of the properties of such individuals comes from — simply the linguistic facility of using improper definite descriptions. But we also see, because identities between such terms are necessary, that proper referring terms must be rigid, i.e. have the same reference in all possible worlds.

This is not how Stalnaker and Thomason saw the matter. Stalnaker and Thomason, it will be remembered, said that there were two kinds of individual constants: ones like ‘Socrates’ which can take the place of individual variables, and others like ‘Miss America’ which cannot. The latter, as a result, they took to be non-rigid. But it is strictly ‘Miss America in year t’ which is meant in the second case, and that is not a constant expression, even though such functions can take the place of individual variables. It was Routley, Meyer and Goddard who most seriously considered the resultant possibility that all properly individual terms are rigid. At least, they worked out many of the implications of this position, even though Routley was not entirely content with it.

Routley described several rigid intensional semantics (Routley 1977, pp185-186). One of these, for instance, just took the first epsilon axiom to hold in any interpretation, and made the value of an epsilon term itself. On such a basis Routley, Meyer and Goddard derived what may be called ‘Routley’s Formula’, i.e.

L(∃x)Fx → (∃x)LFx.

In fact, on their understanding, this formula holds for any operator and any predicate, but they had in mind principally the case of necessity illustrated here, with ‘Fx’ taken as ‘x numbers the planets’, making ‘εxFx’ ‘the number of the planets’. The formula is derived quite simply, in the following way: from

L(∃x)Fx,

we can get

LFεxFx,

by the epsilon definition of the existential quantifier, and so

(∃x)LFx,

by existential generalisation over the rigid term (Routley, Meyer and Goddard 1974, p308, see also Hughes and Cresswell 1968, pp197, 204). Routley, however, was still inclined to think that a rigid semantics was philosophically objectionable (Routley 1977, p186):

Rigid semantics tend to clutter up the semantics for enriched systems with ad hoc modelling conditions. More important, rigid semantics, whether substitutional or objectual, are philosophically objectionable. For one thing, they make Vulcan and Hephaestus everywhere indistinguishable though there are intensional claims that hold of one but not of the other. The standard escape from this sort of problem, that of taking proper names like ‘Vulcan’ as disguised descriptions we have already found wanting… Flexible semantics, which satisfactorily avoid these objections, impose a more objectual interpretation, since, even if [the domain] is construed as the domain of terms, [the value of a term in a world] has to be permitted, in some cases at least, to vary from world to world.

As a result, while Routley, Meyer and Goddard were still prepared to defend the formula, and say, for instance, that there was a number which necessarily numbers the planets, namely the number of the planets (np), they thought that this was only in fact the same as 9, so that one still could not argue correctly that as L(np numbers the planets), so L(9 numbers the planets). ‘For extensional identity does not warrant intersubstitutivity in intensional frames’ (Routley, Meyer and Goddard 1974, p309). They held, in other words that the number of the planets was only contingently 9.

This means that they denied ‘(x = y) → L(x = y)’, but, as we shall see in more detail later, there are ways to hold onto this principle, i.e. maintain the invariable necessity of identity.

3. Rigid Epsilon Terms

There is some further work which has helped us to understand how reference in modal and general intensional contexts must be rigid. But it involves some different ideas in semantics, and starts, even, outside our main area of interest, namely predicate logic, in the semantics of propositional logic.

When one thinks of ‘semantics’ one maybe thinks of the valuation of formulas. Since the 1920s a meta-study of this kind was certainly added to the previous logical interest in proof theory. Traditional proof theory is commonly associated with axiomatic procedures, but, from a modern perspective, its distinction is that it is to do with ‘object languages’. Tarski’s theory of truth relies crucially on the distinction between object languages and meta-languages, and so semantics generally seems to be necessarily a meta-discipline. In fact Tarski believed that such an elevation of our interest was forced upon us by the threat of semantic paradoxes like The Liar. If there was, by contrast, ‘semantic closure’, i.e. if truth and other semantic notions were definable at the object level, then there would be contradictions galore (c.f. Priest 1984). In this way truth may seem to be necessarily a predicate of (object-level) sentences.

But there is another way of looking at the matter which is explicitly non-Tarskian, and which others have followed (see Prior 1971, Ch 7, Sayward 1987). This involves seeing ‘it is true that’ as not a predicate, but an object-level operator, with the truth tabulations in Truth Tables, for instance, being just another form of proof procedure. Operators indeed include ‘it is provable that’, and this is distinct from Gödel’s provability predicate, as Gödel himself pointed out (Gödel 1969). Operators are intensional expressions, as in the often discussed ‘it is necessary that’ and ‘it is believed that’, and trying to see such forms of indirect discourse as metalinguistic predicates was very common in the middle of the last century. It was pervasive, for instance, in Quine’s many discussions of modality and intensionality. Wouldn’t someone be believing that the Morning Star is in the sky, but the Evening Star is not, if, respectively, they assented to the sentence ‘the Morning Star is in the sky’, and dissented from ‘the Evening Star is in the sky’? Anyone saying ‘yes’ is still following the Quinean tradition, but after Montague’s and Thomason’s work on operators (e.g. Montague 1963, Thomason 1977, 1980) many logicians are more persuaded that indirect discourse is not quotational. It is open to doubt, that is to say, whether we should see the mind in terms of the direct words which the subject would use.

The alternative involves seeing the words ‘the Morning Star is in the sky’ in such an indirect speech locution as ‘Quine believes that the Morning Star is in the sky’ as words merely used by the reporter, which need not directly reflect what the subject actually says. That is indeed central to reported speech — putting something into the reporter’s own words rather than just parroting them from another source. Thus a reporter may say

Celia believed that the man in the room was a woman,

but clearly that does not mean that Celia would use ‘the man in the room’ for who she was thinking about. So referential terms in the subordinate proposition are only certainly in the mouth of the reporter, and as a result only certainly refer to what the reporter means by them. It is a short step from this thought to seeing

There was a man in the room, but Celia believed that he was a woman,

as involving a transparent intensional locution, with the same object, as one might say, ‘inside’ the belief as ‘outside’ in the room. So it is here where rigid constant epsilon terms are needed, to symbolise the cross-sentential anaphor ‘he’, as in:

(∃x)(Mx & Rx) & BcWεx(Mx & Rx).

To understand the matter fully, however, we must make the shift from meta- to object language we saw at the propositional level above with truth. Routley, Meyer and Goddard realised that a rigid semantics required treating such expressions as ‘BcWx’ as simple predicates, and we must now see what this implies. They derived, as we saw before, ‘Routley’s Formula’

L(∃x)Fx → (∃x)LFx,

but we can now start to spell out how this is to be understood, if we hold to the necessity of identities, i.e. if we use ‘=’ so that

x = y → L(x = y).

Again a clear illustration of the validity of Routley’s Formula is provided by the number of the planets, but now we may respect the fact that some things may lack a number, and also the fact that referential, and attributive senses of terms may be distinguished. Thus if we write ‘(nx)Px’ for ‘there are n P’s’, then εn(ny)Py will be the number of P’s, and it is what numbers them (i.e. ([εn(ny)Py]x)Px) if they have a number (i.e. if (∃n)(nx)Px) — by the epsilon definition of the existential quantifier. Then, with ‘Fx’ as the proper (necessary) identity ‘x = εn(ny)Py’ Routley’s Formula holds because the number in question exists eternally, making both sides of the formula true. But if ‘Fn’ is simply the attributive ‘(ny)Py’ then this is not necessary, since it is contingent even, in the first place, that there is a number of P’s, instead of just some P, making both sides of the formula false.

Hughes and Cresswell argue against the principle saying (Hughes and Cresswell 1968, p144):

…let [Fx] be ‘x is the number of the planets’. Then the antecedent is true, for there must be some number which is the number of the planets (even if there were no planets at all there would still be such a number, namely 0): but the consequent is false, for since it is a contingent matter how many planets there are, there is no number which must be the number of the planets.

But this forgets continuous quantities, where there are no discrete items before the nomination of a unit. The number associated with some planetary material, for instance, numbers only arbitrary units of that material, and not the material itself. So the antecedent of Routley’s Formula is not necessarily true.

Quine also used the number of the planets in his central argument against quantification into modal contexts. He said (Quine 1960, pp195-197):

If for the sake of argument we accept the term ‘analytic’ as predicable of sentences (hence as attachable predicatively to quotations or other singular terms designating sentences), then ‘necessarily’ amounts to ‘is analytic’ plus an antecedent pair of quotation marks. For example, the sentence:

(1) Necessarily 9 > 4

is explained thus:

(2) ‘9 > 4’ is analytic…

So suppose (1) explained as in (2). Why, one may ask, should we preserve the operatorial form as of (1), and therewith modal logic, instead of just leaving matters as in (2)? An apparent advantage is the possibility of quantifying into modal positions; for we know we cannot quantify into quotation, and (2) uses quotation…

But is it more legitimate to quantify into modal positions than into quotation? For consider (1) even without regard to (2); surely, on any plausible interpretation, (1) is true and this is false:

(3) Necessarily the number of major planets > 4.

Since 9 = the number of major planets, we can conclude that the position of ‘9’ in (1) is not purely referential and hence that the necessity operator is opaque.

But here Quine does not separate out the referential ‘the number of the major planets is greater than 4’, i.e. ‘εn(ny)Py > 4’, from the attributive ‘There are more than 4 major planets’, i.e. ‘(∃n)((ny)Py & n > 4)’. If 9 = εn(ny)Py, then it follows that εn(ny)Py > 4, but it does not follow that (∃n)((ny)Py & n > 4). Substitution of identicals in (1), therefore, does yield (3), even though it is not necessary that there are more than 4 major planets.

We can now go into some details of how one gets the ‘x’ in such a form as ‘LFx’ to be open for quantification. For, what one finds in traditional modal semantics (see Hughes and Cresswell 1968, passim) are formulas in the meta-linguistic style, like

V(Fx, i) = 1,

which say that the valuation put on ‘Fx’ is 1, in world i. There should be quotation marks around the ‘Fx’ in such a formula, to make it meta-linguistic, but by convention they are generally omitted. To effect the change to the non-meta-linguistic point of view, we must simply read this formula as it literally is, so that the ‘Fx’ is in indirect speech rather than direct speech, and the whole becomes the operator form ‘it would be true in world i that Fx’. In this way, the term ‘x’ gets into the language of the reporter, and the meta/object distinction is not relevant. Any variable inside the subordinate proposition can now be quantified over, just like a variable outside it, which means there is ‘quantifying in’, and indeed all the normal predicate logic operations apply, since all individual terms are rigid.

A example illustrating this rigidity involves the actual top card in a pack, and the cards which might have been top card in other circumstances (see Slater 1988a). If the actual top card is the Ace of Spades, and it is supposed that the top card is the Queen of Hearts, then clearly what would have to be true for those circumstances to obtain would be for the Ace of Spades to be the Queen of Hearts. The Ace of Spades is not in fact the Queen of Hearts, but that does not mean they cannot be identical in other worlds (c.f. Hughes and Cresswell, 1968, p190). Certainly if there were several cards people variously thought were on top, those cards in the various supposed circumstances would not provide a constant c such that Fc is true in all worlds. But that is because those cards are functions of the imagined worlds — the card a believes is top (εxBaFx) need not be the card b believes is top (εxBbFx), etc. It still remains that there is a constant, c, such that Fc is true in all worlds. Moreover, that c is not an ‘intensional object’, for the given Ace of Spades is a plain and solid extensional object, the actual top card (εxFx).

Routley, Meyer and Goddard did not accept the latter point, wanting a rigid semantics in terms of ‘intensional objects’ (Goddard and Routley, 1973, p561, Routley, Meyer and Goddard, 1974, p309, see also Hughes and Cresswell 1968, p197). Stalnaker and Thomason accepted that certain referential terms could be functional, when discriminating ‘Socrates’ from ‘Miss America’ — although the functionality of ‘Miss America in year t’ is significantly different from that of ‘the top card in y’s belief’. For if this year’s Miss America is last year’s Miss America, still it is only one thing which is identical with itself, unlike with the two cards. Also, there is nothing which can force this year’s Miss America to be last year’s different Miss America, in the way that the counterfactuality of the situation with the playing cards forces two non-identical things in the actual world to be the same thing in the other possible world. Other possible worlds are thus significantly different from other times, and so, arguably, other possible worlds should not be seen from the Realist perspective appropriate for other times — or other spaces.

4. The Epsilon Calculus’ Problematic

It might be said that Realism has delayed a proper logical understanding of many of these things. If you look ‘realistically’ at picturesque remarks like that made before, namely ‘the same object is ‘inside’ the belief as ‘outside’ in the room’, then it is easy for inappropriate views about the mind to start to interfere, and make it seem that the same object cannot be in these two places at once. But if the mind were something like another space or time, then counterfactuality could get no proper purchase — no one could be ‘wrong’, since they would only be talking about elements in their ‘world’, not any objective, common world. But really, all that is going on when one says, for instance,

There was a man in the room, but Celia believed he was a woman,

is that the same term — or one term and a pronominal surrogate for it — appears at two linguistic places in some discourse, with the same reference. Hence there is no grammatical difference between the cross reference in such an intensional case and the cross reference in a non-intensional case, such as

There was a man in the room. He was hungry.

i.e.

(∃x)Mx & HεxMx.

What has been difficult has merely been getting a symbolisation of the cross-reference in this more elementary kind of case. But it just involves extending the epsilon definition of existential statements, using a reiteration of the substituted epsilon term, as we can see.

It is now widely recognised how the epsilon calculus allows us to do this (Purdy 1994, Egli and von Heusinger 1995, Meyer Viol 1995, Ch 6), the theoretical starting point being the theorem about the Russellian theory of definite descriptions proved before, which breaks up what otherwise would be a single sentence into a sequential piece of discourse, enabling the existence and uniqueness clauses to be put in one sentence while the characterising remark is in another. The relationship starts to matter when, in fact, there is no obvious way to formulate a combination of anaphoric remarks in the predicate calculus, as in, for instance,

There is a king of France. He is bald,

where there is no uniqueness clause. This difficulty became a major problem when logicians started to consider anaphoric reference in the 1960s.

Geach, for instance, in Geach 1962, even believed there could not be a syllogism of the following kind (Geach 1962, p126):

A man has just drunk a pint of sulphuric acid.
Nobody who drinks a pint of sulphuric acid lives through the day.
So, he won’t live through the day.

He said, one could only draw the conclusion:

Some man who has just drunk a pint of sulphuric acid won’t live through the day.

Certainly one can only derive

(∃x)(Mx & Dx & ¬Lx)

from

(∃x)(Mx & Dx),

and

(x)(Dx → ¬Lx),

within predicate logic. But one can still derive

¬Lεx(Mx & Dx),

within the epsilon calculus.

Geach likewise was foxed later when he produced his famous case (numbered 3 in Geach 1967):

Hob thinks a witch has blighted Bob’s mare, and Nob wonders whether she (the same witch) killed Cob’s sow,

which is, in epsilon terms

Th(∃x)(Wx & Bxb) & OnKεx(Wx & Bxb)c.

For Geach saw that this could not be (4)

(∃x)(Wx & ThBxb & OnKxc),

or (5)

(∃x)(Th(Wx & Bxb)& OnKxc).

But also a reading of the second clause as (c.f. 18)

Nob wonders whether the witch who blighted Bob’s mare killed Cob’s sow,

in which ‘the witch who blighted Bob’s mare killed Cob’s sow’ is analysed in the Russellian manner, i.e. as (20)

just one witch blighted Bob’s mare and she killed Cob’s sow,

Geach realised does not catch the specific cross-reference — amongst other things because of the uniqueness condition which is then introduced.

This difficulty with the uniqueness clause in Russellian analyses has been widely commented on, although a recent theorist, Neale, has said that Russell’s theory only needs to be modestly modified: Neale’s main idea is that, in general, definite descriptions should just be localised to the context. His resolution of Geach’s troubling cases thus involves suggesting that ‘she’, in the above, might simply be ‘the witch we have been hearing about’ (Neale 1990, p221). Neale might here have said ‘that witch who blighted Bob’s mare’, showing that an Hilbertian account of demonstrative descriptions would have a parallel effect.

A good deal of the ground breaking work on these matters, however, was done by someone again much influenced by Russell: Evans. But Evans significantly broke with Russell over uniqueness (Evans 1977, pp516-517):

One does not want to be committed, by this way of telling the story, to the existence of a day on which just one man and boy walked along a road. It was with this possibility in mind that I stated the requirement for the appropriate use of an E-type pronoun in terms of having answered, or being prepared to answer upon demand, the question ‘He? Who?’ or ‘It? Which?’ In order to effect this liberalisation we should allow the reference of the E-type pronoun to be fixed not only by predicative material explicitly in the antecedent clause, but also by material which the speaker supplies upon demand. This ruling has the effect of making the truth conditions of such remarks somewhat indeterminate; a determinate proposition will have been put forward only when the demand has been made and the material supplied.

It was Evans who gave us the title ‘E-type pronoun’ for the ‘he’ in such expressions as

A Cambridge philosopher smoked a pipe, and he drank a lot of whisky,

i.e., in epsilon terms,

(∃x)(Cx & Px) & Dεx(Cx & Px).

He also insisted (Evans 1977, p516) that what was unique about such pronouns was that this conjunction of statements was not equivalent to

A Cambridge philosopher, who smoked a pipe, drank a lot of whisky,

i.e.

(∃x)(Cx & Px & Dx).

Clearly the epsilon account is entirely in line with this, since it illustrates the point made before about cases without a uniqueness clause. Only the second expression, which contains a relative pronoun, is formalisable in the predicate calculus. To formalise the first expression, which contains a personal pronoun, one at least needs something with the expressive capabilities of the epsilon calculus.

5. The Formal Semantics of Epsilon Terms

The semantics of epsilon terms is nowadays more general, but the first interpretations of epsilon terms were restricted to arithmetical cases, and specifically took epsilon to be the least number operator. Hilbert and Bernays developed Arithmetic using the epsilon calculus, using the further epsilon axiom schema (Hilbert and Bernays 1970, Book 2, p85f, c.f. Leisenring 1969, p92) :

(εxAx = st) → ¬At,

where ‘s’ is intended to be the successor function, and ‘t’ is any numeral. This constrains the interpretation of the epsilon symbol, but the least number interpretation is not strictly forced, since the axiom only ensures that no number having the property A immediately precedes εxAx.

The new axiom, however, is sufficient to prove mathematical induction, in the form:

(A0 & (x)(Ax → Asx)) → (x)Ax.

For assume the reverse, namely

A0 & (x)(Ax → Asx) & ¬(x)Ax,

and consider what happens when the term ‘εx¬Ax’ is substituted in

t = 0 ∨ t = sn,

which is derivable from the other axioms of number theory which Hilbert and Bernays are using. If we had

εx¬Ax = 0,

then, since it is given that A0, then we would have Aεx¬Ax. But since, by the definition of the universal quantifier,

Aεx¬Ax ↔ (x)Ax,

we know, because ¬(x)Ax is also given, that ¬Aεx¬Ax, which means we cannot have εx¬Ax = 0. Hence we must have the other alternative, i.e.

εx¬Ax = sn,

for some n. But from the new axiom

(εx¬Ax = sn) → An,

hence we must have An, although we must also have

An → Asn,

because (x)(Ax → Asx). All together that requires Aεx¬Ax again, which is impossible. Hence the further epsilon axiom is sufficient to establish the given principle of induction.

The more general link between epsilon terms and choice functions was first set out by Asser, although Asser’s semantics for an elementary epsilon calculus without the second epsilon axiom makes epsilon terms denote rather complex choice functions. Wilfrid Meyer Viol, calling an epsilon calculus without the second axiom an ‘intensional’ epsilon calculus, makes the epsilon terms in such a calculus instead name Skolem functions. Skolem functions are also called Herbrand functions, although they arise in a different way, namely in Skolem’s Theorem. Skolem’s Theorem states that, if a formula in prenex normal form is provable in the predicate calculus, then a certain corresponding formula, with the existential quantifiers removed, is provable in a predicate calculus enriched with function symbols. The functions symbolised are called Skolem functions, although, in another context, they would be Herbrand functions.

Skolem’s Theorem is a meta-logical theorem, about the relation between two logical calculi, but a non-metalogical version is in fact provable in the epsilon calculus from which Skolem’s actual theorem follows, since, for example, we can get, by the epsilon definition, now of the existential quantifier

(x)(∃y)Fxy ↔ (x)FxεyFxy.

As a result, if the left hand side of such an equivalence is provable in an epsilon calculus the right hand side is provable there. But the left hand side is provable in an epsilon calculus if it is provable in the predicate calculus, by the Second Epsilon Theorem; and if the right hand side is provable in an epsilon calculus it is provable in a predicate calculus enriched with certain function symbols — epsilon terms, like ‘εyFxy’. So, by generalisation, we get Skolem’s original result.

When we add to an intensional epsilon calculus the second epsilon axiom

(x)(Fx ↔ Gx) →εxFx = εxGx,

the interpretation of epsilon terms is commonly extensional, i.e. in terms of sets, since two predicates ‘F’ and ‘G’ satisfying the antecedent of this second axiom will determine the same set — if they determine sets at all, that is. For that requires the predicates to be collectivisantes, in Bourbaki’s terms, as with explicit set membership statements, like ‘x ∈ y’. In such a case the epsilon term ‘εx(x ∈ y)’ designates a choice function, i.e. a function which selects one from a given set (c.f. Leisenring 1969, p19, Meyer Viol 1995, p42). In the case where there are no members of the set the selection is arbitrary, although for all empty sets it is invariably the same. Thus the second axiom validates, for example, Kalish and Montague’s rule for this case, which they put in the form

εxFx = εx¬(x = x).

Kalish and Montague in fact prove a version of the second epsilon axiom in their system (Kalish and Montague 1964, see T407, p256). The second axiom also holds in Hermes’ system (Hermes 1965), although there one in addition finds a third epsilon axiom,

εx¬(x = x) = εx(x = x),

for which there would seem to be no real justification.

But the second epsilon axiom itself is curious. One questionable thing about it is that both Leisenring and Meyer Viol do not state that the predicates in question must determine sets before their choice function semantics can apply. That the predicates are collectivisantes is merely presumed in their theories, since ‘εxBx’ is invariably modelled by means of a choice from the presumed set of things which in the model are B. Certainly there is a special clause dealing with the empty set; but there is no consideration of the case where some things are B although those things are not discrete, as with the things which are red, for instance. If the predicate in question is not a count noun then there is no set of things involved, since with mass terms, and continuous quantities there are no given elements to be counted (c.f. Bunt 1985, pp262-263 in particular). Of course numbers can still be associated with them, but only given an arbitrary unit. With the cows in a field, for instance, we can associate a determinate number, but with the beef there we cannot, unless we consider, say, the number of pounds of it.

The point, as we saw before, has a formalisation in epsilon terms. Thus if we write ‘(nx)Fx’, for ‘there are n F’s’, then εn(ny)Fy will be the number of F’s, and it is what numbers them if they have a number. But in the reverse case the previously mentioned arbitrariness of the epsilon term comes in. For if ¬(∃n)(nx)Fx, then ¬([εn(ny)Fy]x)Fx, and so, although an arbitrary number exists, it does not number the F’s. In that case, in other words, we do not have a number of F’s, merely some F.

In fact, even when there is a set of things, the second epsilon axiom, as stated above, does not apply in general, since there are intensional differences between properties to consider, as in, for instance ‘There is a red-haired man, and a Caucasian in the room, and they are different’. Here, if there were only red-haired Caucasians in the room, then with the above second axiom, we could not find epsilon substitutions to differentiate the two individuals involved. This may remind us that it is necessary co-extensionality, and not just contingent co-extensionality which is the normal criterion for the identity of properties (c.f. Hughes and Cresswell 1968, pp209-210). So it leads us to see the appropriateness of a modalised second axiom, which uses just an intensional version of the antecedent of the previous second epsilon axiom, in which ‘L’ means ‘it is necessary that’, namely:

L(x)(Fx ↔ Gx) →εxFx = εxGx.

For with this axiom only the co-extensionalities which are necessary will produce identities between the associated epsilon terms. We can only get, for instance,

εxPx = εx(Px ∨ Px),

and

εxFx = εyFy,

and all other identities derivable in a similar way.

However, the original second epsilon axiom is then provable, in the special case where the predicates express set membership. For if necessarily

(x)(x ∈ y ↔ x ∈ z) ↔ y = z,

while necessarily

y = z ↔ L(y = z),

(see Hughes and Cresswell, 1968, p190) then

L(x)(x ∈ y ↔ x ∈ z) ↔ (x)(x ∈ y ↔ x ∈ z),

and so, from the modalised second axiom we can get

(x)(x ∈ y ↔ x ∈ z) →εx(x ∈ y) = εx(x ∈ z).

Note, however, that if one only has contingently

(x)(Fx ↔ x ∈ z),

then one cannot get, on this basis,

εxFx = εx(x ∈ z).

But this is something which is desirable, as well. For we have seen that it is contingent that the number of the planets does number the planets — because it is not necessary that ([εn(ny)Py]x)Px. This makes ‘(9x)Px’ contingent, even though the identity ‘9 = εn(nx)Px’ remains necessary. But also it is contingent that there is the set of planets, p, which there is, since while, say,

(x)(x ∈ p ↔ Px),

where

εn(nx)(x ∈ p) = εn(nx)Px = 9,

it is still possible that, in some other possible world,

(x)(x ∈ p’ ↔ Px),

with p’ the set of planets there, and

¬(εn(nx)(x ∈ p’) = 9).

We could not have this further contingency, however, if the original second epsilon axiom held universally.

It is on this fuller basis that we can continue to hold ‘x = y → L(x = y)’, i.e. the invariable necessity of identity — one merely distinguishes ‘(9x)Px’ from ‘9 = εx(nx)Px’, and from ‘9 = εx(nx)(x ∈ p)’, as above.

Adding the original second epsilon axiom to an intensional epsilon calculus is therefore acceptable only if all the predicates are about set membership. This is not an uncommon assumption, indeed it is pervasive in the usually given semantics for predicate logic, for instance. But if, by contrast, we want to allow for the fact that not all predicates are collectivisantes then we should take just the first epsilon axiom with merely a modalised version of the second epsilon axiom. The interpretation of epsilon terms is then always in terms of Skolem functions, although if we are dealing with the membership of sets, those Skolem functions naturally are choice functions.

6. Some Metatheory

To finish we shall briefly look, as promised, at some meta-theory.

The epsilon calculi that were first described were not very convenient to use, and Hilbert and Bernays’ proofs of the First and Second Epsilon Theorems were very complex. This was because the presentation was axiomatic, however, and with the development of other means of presenting the same logics we get more readily available meta-logical results. I will indicate some of the early difficulties before showing how these theorems can be proved, nowadays, much more simply.

The problem with proving the Second Epsilon Theorem, on an axiomatic basis, is that complex, and non-constant epsilon terms may enter a proof in the epsilon calculus by means of substitutions into the axioms. What has to be proved is that an epsilon calculus proof of an epsilon-free theorem (i.e. one which can be expressed just in predicate calculus language) can be replaced by a predicate calculus proof. So some analysis of complex epsilon terms is required, to show that they can be eliminated in the relevant cases, leaving only constant epsilon terms, which are sufficiently similar to the individual symbols in standard predicate logic. Hilbert and Bernays (Hilbert and Bernays 1970, Book 2, p23f) say that one epsilon term ‘εxFx’ is subordinate to another ‘εyGy’ if and only if ‘G’ contains ‘εxFx’, and a free occurrence of the variable ‘y’ lies within ‘εxFx’. For instance ‘εxRxy’ is a complex, and non-constant epsilon term, which is subordinate to ‘εySyεxRyx’. Hilbert and Bernays then define the rank of an epsilon term to be 1 if there are no epsilon terms subordinate to it, and otherwise to be one greater than the maximal rank of the epsilon terms which are subordinate to it. Using the same general ideas, Leisenring proves two theorems (Leisenring 1969, p72f). First he proves a rank reduction theorem, which shows that epsilon proofs of epsilon-free formulas in which the second epsilon axiom is not used, but in which every term is of rank less than or equal to r, may be replaced by epsilon proofs in which every term is of rank less than or equal to r – 1. Then he proves the eliminability of the second epsilon axiom in proofs of epsilon-free formulas. Together, these two theorems show that if there is an epsilon proof of an epsilon-free formula, then there is such a proof not using the second epsilon axiom, and in which all epsilon terms have rank just 1. Even though such epsilon terms might still contain free variables, if one replaces those that do with a fixed symbol ‘a’ (starting with those of maximal length) that reduces the proof to one in what is called the ‘epsilon star’ system, in which there are only constant epsilon terms (Leisenring 1969, p66f). Leisenring shows that proofs in the epsilon star system can be turned into proofs in the predicate calculus, by replacing the epsilon terms by individual symbols.

But, as was said before, there is now available a much shorter proof of the Second Epsilon Theorem. In fact there are several, but I shall just indicate one, which arises simply by modifying the predicate calculus truth trees, as found in, for instance, Jeffrey (see Jeffrey 1967). Jeffrey uses the standard propositional truth tree rules, together with the rules of quantifier interchange, which remain unaffected, and which are not material to the present purpose. He also has, however, a rule of existential quantifier elimination,

(∃x)Fx ├ Fa,

in which ‘a’ must be new, and a rule of universal quantifier elimination

(x)Fx ├ Fb,

in which ‘b’ must be old — unless no other individual terms are available. By reducing closed formulas of the form ‘P & ¬C’ to absurdity Jeffrey can then prove ‘P → C’, and validate ‘P ├ C’ in his calculus. But clearly, upon adding epsilon terms to the language, the first of these rules must be changed to

(∃x)Fx ├ FεxFx,

while also the second rule can be replaced by the pair

(x)Fx ├ Fεx¬Fx,
Fεx¬Fx ├ Fa,

(where ‘a’ is old) to produce an appropriate proof procedure. Steen reads ‘εx¬Fx’ as ‘the most un-F-like thing’ (Steen 1972, p162), which explains why Fεx¬Fx entails Fa, since if the most un-F-like thing is in fact F, then the most plausible counter-example to the generalisation is in fact not so, making the generalisation exceptionless. But there is a more important reason why the rule of universal quantifier elimination is best broken up into two parts.

For Jeffrey’s rules only allow him ‘limited upward correctness’ (Jeffrey 1967, p167), since Jeffrey has to say, with respect to his universal quantifier elimination rule, that the range of the quantification there be limited merely to the universe of discourse of the path below. This is because, if an initial sentence is false in a valuation so also must be one of its conclusions. But the first epsilon rule which replaces Jeffrey’s rule ensures, instead, that there is ‘total upwards correctness’. For if it is false that everything is F then, without any special interpretation of the quantifier, one of the given consequences of the universal statement is false, namely the immediate one — since Fεx¬Fx is in fact equivalent to (x)Fx. A similar improvement also arises with the existential quantifier elimination rule. For Jeffrey can only get ‘limited downwards correctness’, with his existential quantifier elimination rule (Jeffrey 1967, p165), since it is not an entailment. In fact, in order to show that if an initial sentence is true in a valuation so is one of its conclusions, in this case, Jeffrey has to stretch his notion of ‘truth’ to being true either in the given valuation, or some nominal variant of it.

The epsilon rule which replaces Jeffrey’s overcomes this difficulty by not employing names, only demonstrative descriptions, and by being, as a result, totally downward correct. For if there is an F then that F is F, whatever name is used to refer to it. The epsilon calculus terminology thus precedes any naming: it gets hold of the more primitive, demonstrative way we have of referring to objects, using phrases like ‘that F’. Thus in explication of the predicate calculus rule we might well have said

suppose there is an F, well, call that F ‘a’, then Fa,

but that requires we understand ‘that F’ before we come to use ‘a’.

So how does the Second Epsilon Theorem follow? This theorem, as before, states that an epsilon calculus proof of an epsilon-free theorem may be replaced by a predicate calculus proof of the same formula. But the transformation required in the present setting is now evident: simply change to new names all epsilon terms introduced in the epsilon calculus quantifier elimination rules. This covers both the new names in Jeffrey’s first rule, but also the odd case where there are no old names in Jeffrey’s second rule. The epsilon calculus proofs invariably use constant epsilon terms, and are thus effectively in Leisenring’s epsilon star system.

Epsilon terms which are non-constant, however, crucially enter the proof of the First Epsilon Theorem. The First Epsilon Theorem states that if C is a provable predicate calculus formula, in prenex normal form, i.e. with all quantifiers at the front, then a finite disjunction of instances of C’s matrix is provable in the epsilon calculus. The crucial fact is that the epsilon calculus gives us access to Herbrand functions, which arise when universal quantifiers are eliminated from formulas using their epsilon definition. Thus

(∃y)(x)¬Fyx,

for instance, is equivalent to

(∃y)¬Fyεx¬¬Fyx,

and so

(∃y)¬FyεxFyx,

and the resulting epsilon term ‘εxFyx’ is a Herbrand function.

Using such reductions, all universal quantifiers can evidently be removed from formulas in prenex normal form, and the additional fact that, in a certain specific way, the remaining existential quantifiers are disjunctions makes all predicate calculus formulas equivalent to disjunctions. Remember that a formula is provable if its negation is reducible to absurdity, which means that its truth tree must close. But, by König’s Lemma, if there is no open path through a truth tree then there is some finite stage at which there is no open path, so, in the case above, for instance, if no valuation makes the last formula’s negation true, then the tree of the instances of that negative statement must close in a finite length. But the negative statement is the universal formula

(y)FyεxFyx,

by the rules of quantifier interchange, so a finite conjunction of instances of the matrix of this universal formula, namely Fyx, must reduce to absurdity. For the rules of universal quantifier elimination only produce consequences with the form of this matrix. By de Morgan’s Laws, that makes necessary a finite disjunction of instances of ¬Fyx. By generalisation we thus get the First Epsilon Theorem.

The epsilon calculus, however, can take us further than the First Epsilon Theorem. Indeed, one has to take care with the impression this theorem may give that existential statements are just equivalent to disjunctions. If that were the case, then existential statements would be unlike individual statements, saying not that one specified thing has a certain property, but merely that one of a certain group of things has a certain property. The group in question is normally called the ‘domain’ of the quantification, and this, it seems, has to be specified when setting out the semantics of quantifiers. But study of the epsilon calculus shows that there is no need for such ‘domains’, or indeed for such semantics. This is because the example above, for instance, is also equivalent to

¬FaεzFaz,

where a = εy¬FεxFyx. So the previous disjunction of instances of ¬Fyx is in fact only true because this specific disjunct is true. The First Epsilon Theorem, it must be remembered, does not prove that an existential statement is equivalent to a certain disjunction; it shows merely that an existential statement is provable if and only if a certain disjunction is provable. And what is also provable, in such a case, is a statement merely about one object. Indeed the existential statement is provably equivalent to it. It is this fact which supports the epsilon definition of the quantifiers; and it is what permits anaphoric reference to the same object by means of the same epsilon term. An existential statement is thus just another statement about an individual — merely a nameless one.

The reverse point goes for the universal quantifier: a universal statement is not the conjunction of its instances, even though it implies them. A generalisation is simply equivalent to one of its instances — to the one involving the prime putative exception to it, as we have seen. Not being able to specify that prime putative exception leaves Jeffrey saying that if a generalisation is false then one of its instances is false without any way of ensuring that that instance has been drawn as a conclusion below it in the truth tree except by limiting the interpretation of the generalisation just to the universe of discourse of the path. It thus seems necessary, within the predicate calculus, that there be a ‘model’ for the quantifiers which restricts them to a certain ‘domain’, which means that they do not necessarily range over everything. But in the epsilon calculus the quantifiers do, invariably, range over everything, and so there is no need to specify their range.

7. References and Further Reading

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  • Asser, G. 1957, ‘Theorie der Logischen Auswahlfunktionen’, Zeitschrift für Mathematische Logik und Grundlagen der Mathematik, 3, 30-68.
  • Bernays, P. 1958, Axiomatic Set Theory, North Holland, Dordrecht.
  • Bertolet, R. 1980, ‘The Semantic Significance of Donnellan’s Distinction’, Philosophical Studies, 37, 281-288.
  • Bourbaki, N. 1954, Éléments de Mathématique, Hermann, Paris.
  • Bunt, H.C. 1985, Mass Terms and Model-Theoretic Semantics, C.U.P., Cambridge.
  • Church, A. 1940, ‘A Formulation of the Simple Theory of Types’, Journal of Symbolic Logic, 5, 56-68.
  • Copi, I. 1973, Symbolic Logic, 4th ed. Macmillan, New York.
  • Devitt, M. 1974, ‘Singular Terms’, The Journal of Philosophy, 71, 183-205.
  • Donnellan, K. 1966, ‘Reference and Definite Descriptions’, Philosophical Review, 75, 281-304.
  • Egli, U. and von Heusinger, K. 1995, ‘The Epsilon Operator and E-Type Pronouns’ in U. Egli et al. (eds.), Lexical Knowledge in the Organisation of Language, Benjamins, Amsterdam.
  • Evans, G. 1977, ‘Pronouns, Quantifiers and Relative Clauses’, Canadian Journal of Philosophy, 7, 467-536.
  • Geach, P.T. 1962, Reference and Generality, Cornell University Press, Ithaca.
  • Geach, P.T. 1967, ‘Intentional Identity’, The Journal of Philosophy, 64, 627-632.
  • Goddard, L. and Routley, R. 1973, The Logic of Significance and Context, Scottish Academic Press, Aberdeen.
  • Gödel, K. 1969, ‘An Interpretation of the Intuitionistic Sentential Calculus’, in J. Hintikka (ed.), The Philosophy of Mathematics, O.U.P. Oxford.
  • Hazen, A. 1987, ‘Natural Deduction and Hilbert’s ε-operator’, Journal of Philosophical Logic, 16, 411-421.
  • Hermes, H. 1965, Eine Termlogik mit Auswahloperator, Springer Verlag, Berlin.
  • Hilbert, D. 1923, ‘Die Logischen Grundlagen der Mathematik’, Mathematische Annalen, 88, 151-165.
  • Hilbert, D. 1925, ‘On the Infinite’ in J. van Heijenhoort (ed.), From Frege to Gödel, Harvard University Press, Cambridge MA.
  • Hilbert, D. and Bernays, P. 1970, Grundlagen der Mathematik, 2nd ed., Springer, Berlin.
  • Hughes, G.E. and Cresswell, M.J. 1968, An Introduction to Modal Logic, Methuen, London.
  • Jeffrey, R. 1967, Formal Logic: Its Scope and Limits, 1st Ed. McGraw-Hill, New York.
  • Kalish, D. and Montague, R. 1964, Logic: Techniques of Formal Reasoning, Harcourt, Brace and World, Inc, New York.
  • Kneebone, G.T. 1963, Mathematical Logic and the Foundations of Mathematics, Van Nostrand, Dordrecht.
  • Leisenring, A.C. 1969, Mathematical Logic and Hilbert’s ε-symbol, Macdonald, London.
  • Marciszewski, W. 1981, Dictionary of Logic, Martinus Nijhoff, The Hague.
  • Meyer Viol, W.P.M. 1995, Instantial Logic, ILLC Dissertation Series 1995-11, Amsterdam.
  • Montague, R. 1963, ‘Syntactical Treatments of Modality, with Corollaries on Reflection Principles and Finite Axiomatisability’, Acta Philosophica Fennica, 16, 155-167.
  • Neale, S. 1990, Descriptions, MIT Press, Cambridge MA.
  • Priest, G.G. 1984, ‘Semantic Closure’, Studia Logica, XLIII 1/2, 117-129.
  • Prior, A.N., 1971, Objects of Thought, O.U.P. Oxford.
  • Purdy, W.C. 1994, ‘A Variable-Free Logic for Anaphora’ in P. Humphreys (ed.) Patrick Suppes: Scientific Philosopher, Vol 3, Kluwer, Dordrecht, 41-70.
  • Quine, W.V.O. 1960, Word and Object, Wiley, New York.
  • Rasiowa, H. 1956, ‘On the ε-theorems’, Fundamenta Mathematicae, 43, 156-165.
  • Rosser, J. B. 1953, Logic for Mathematicians, McGraw-Hill, New York.
  • Routley, R. 1969, ‘A Simple Natural Deduction System’, Logique et Analyse, 12, 129-152.
  • Routley, R. 1977, ‘Choice and Descriptions in Enriched Intensional Languages II, and III’, in E. Morscher, J. Czermak, and P. Weingartner (eds), Problems in Logic and Ontology, Akademische Druck und Velagsanstalt, Graz.
  • Routley, R. 1980, Exploring Meinong’s Jungle, Departmental Monograph #3, Philosophy Department, R.S.S.S., A.N.U. Canberra.
  • Routley, R., Meyer, R. and Goddard, L. 1974, ‘Choice and Descriptions in Enriched Intensional Languages I’, Journal of Philosophical Logic, 3, 291-316.
  • Russell, B. 1905, ‘On Denoting’ Mind, 14, 479-493.
  • Sayward, C. 1987, ‘Prior’s Theory of Truth’ Analysis, 47, 83-87.
  • Slater, B.H. 1986(a), ‘E-type Pronouns and ε-terms’, Canadian Journal of Philosophy, 16, 27-38.
  • Slater, B.H. 1986(b), ‘Prior’s Analytic’, Analysis, 46, 76-81.
  • Slater, B.H. 1988(a), ‘Intensional Identities’, Logique et Analyse, 121-2, 93-107.
  • Slater, B.H. 1988(b), ‘Hilbertian Reference’, Noûs, 22, 283-97.
  • Slater, B.H. 1989(a), ‘Modal Semantics’, Logique et Analyse, 127-8, 195-209.
  • Slater, B.H. 1990, ‘Using Hilbert’s Calculus’, Logique et Analyse, 129-130, 45-67.
  • Slater, B.H. 1992(a), ‘Routley’s Formulation of Transparency’, History and Philosophy of Logic, 13, 215-24.
  • Slater, B.H. 1994(a), ‘The Epsilon Calculus’ Problematic’, Philosophical Papers, XXIII, 217-42.
  • Steen, S.W.P. 1972, Mathematical Logic, C.U.P. Cambridge.
  • Thomason, R. 1977, ‘Indirect Discourse is not Quotational’, Monist, 60, 340-354.
  • Thomason, R. 1980, ‘A Note on Syntactical Treatments of Modality’, Synthese, 44, 391-395.
  • Thomason, R.H. and Stalnaker, R.C. 1968, ‘Modality and Reference’, Noûs, 2, 359-372.

Author Information

Barry Hartley Slater
Email: slaterbh@cyllene.uwa.edu.au
University of Western Australia
Australia

Epicurus (341—271 B.C.E.)

epicurus2Epicurus is one of the major philosophers in the Hellenistic period, the three centuries following the death of Alexander the Great in 323 B.C.E. (and of Aristotle in 322 B.C.E.). Epicurus developed an unsparingly materialistic metaphysics, empiricist epistemology, and hedonistic ethics. Epicurus taught that the basic constituents of the world are atoms, uncuttable bits of matter, flying through empty space, and he tried to explain all natural phenomena in atomic terms. Epicurus rejected the existence of Platonic forms and an immaterial soul, and he said that the gods have no influence on our lives. Epicurus also thought skepticism was untenable, and that we could gain knowledge of the world relying upon the senses. He taught that the point of all one’s actions was to attain pleasure (conceived of as tranquility) for oneself, and that this could be done by limiting one’s desires and by banishing the fear of the gods and of death. Epicurus’ gospel of freedom from fear proved to be quite popular, and communities of Epicureans flourished for centuries after his death.

Table of Contents

  1. Life
  2. Sources
  3. Metaphysics
    1. Arguments for the Existence of Atoms and Void
    2. Properties of Atoms, Limitlessness of the Universe
    3. Differences from Democritus
      1. Weight
      2. The Swerve
      3. Sensible Qualities
    4. Mechanistic Explanations of Natural Phenomena
    5. The Gods
    6. Philosophy of Mind
    7. Perception
  4. Epistemology
    1. The Canon: Sensations, Preconceptions, and Feelings
    2. Anti-skeptical Arguments
      1. The “Lazy Argument”
      2. The Self-refutation Argument
      3. The Argument from Concept-formation
  5. Ethics
    1. Hedonism, Psychological and Ethical
    2. Types of Pleasure
    3. Types of Desire
    4. The Virtues
    5. Justice
    6. Friendship
    7. Death
      1. The No Subject of Harm Argument
      2. The Symmetry Argument
  6. References and Further Reading
    1. Collections of Primary Sources
    2. Recent Books on Particular Areas of Epicurus’ Philosophy

1. Life

Epicurus was born around 341 B.C.E., seven years after Plato’s death, and grew up in the Athenian colony of Samos, an island in the Mediterranean Sea. He was about 19 when Aristotle died, and he studied philosophy under followers of Democritus and Plato. Epicurus founded his first philosophical schools in Mytilene and Lampsacus, before moving to Athens around 306 B.C.E. There Epicurus founded the Garden, a combination of philosophical community and school. The residents of the Garden put Epicurus’ teachings into practice. Epicurus died from kidney stones around 271 or 270 B.C.E.

After Epicurus’ death, Epicureanism continued to flourish as a philosophical movement. Communities of Epicureans sprang up throughout the Hellenistic world; along with Stoicism, it was one of the major philosophical schools competing for people’s allegiances. Epicureanism went into decline with the rise of Christianity. Certain aspects of Epicurus’ thought were revived during the Renaissance and early modern periods, when reaction against scholastic neo-Aristotelianism led thinkers to turn to mechanistic explanations of natural phenomena.

2. Sources

Epicurus was a voluminous writer, but almost none of his own work survives. A likely reason for this is that Christian authorities found his ideas ungodly. Diogenes Laertius, who probably lived in the third century CE , wrote a 10-book Lives of the Philosophers, which includes three of Epicurus’ letters in its recounting of the life and teachings of Epicurus. These three letters are brief summaries of major areas of Epicurus’ philosophy: the Letter to Herodotus, which summarizes his metaphysics, the Letter to Pythocles, which gives atomic explanations for meteorological phenomena, and the Letter to Menoeceus, which summarizes his ethics. It also includes the Principal Doctrines, 40 sayings which deal mainly with ethical matters.

Because of the absence of Epicurus’ own writings, we have to rely on later writers to reconstruct Epicurus’ thought. Two of our most important sources are the Roman poet Lucretius (c. 94-55 B.C.E.) and the Roman politician Cicero (106-43 B.C.E.). Lucretius was an Epicurean who wrote De Rerum Natura (On the Nature of Things), a six-book poem expounding Epicurus’ metaphysics. Cicero was an adherent of the skeptical academy, who wrote a series of works setting forth the major philosophical systems of his day, including Epicureanism. Another major source is the essayist Plutarch (c. 50-120 CE), a Platonist. However, both Cicero and Plutarch were very hostile toward Epicureanism, so they must be used with care, since they often are less than charitable toward Epicurus, and may skew his views to serve their own purposes.

Although the major outlines of Epicurus’ thought are clear enough, the lack of sources means many of the details of his philosophy are still open to dispute.

3. Metaphysics

Epicurus believes that the basic constituents of the world are atoms (which are uncuttable, microscopic bits of matter) moving in the void (which is simply empty space). Ordinary objects are conglomerations of atoms. Furthermore, the properties of macroscopic bodies and all of the events we see occurring can be explained in terms of the collisions, reboundings, and entanglements of atoms.

a. Arguments for the Existence of Atoms and Void

Epicurus’ metaphysics starts from two simple points: (1) we see that there are bodies in motion, and (2) nothing comes into existence from what does not exist. Epicurus takes the first point to be simply a datum of experience. The second point is a commonplace of ancient Greek philosophy, derived from the Principle of Sufficient Reason (the principle that for everything which occurs there is a reason or explanation for why it occurs, and why this way rather than that).

First, because bodies move, there must be empty space for them to move in, and Epicurus calls this empty space ‘void.’ Second, the ordinary bodies that we see are compound bodies–that is, bodies which are made up of further bodies, which is shown by the fact that they can be broken down into smaller pieces. However, Epicurus thinks that this process of division cannot go on indefinitely, because otherwise bodies would dissolve away into nothing. Also, there must be basic and unchangeable building blocks of matter in order to explain the regularities in nature. These non-compound bodies are atoms–literally, ‘uncuttables.’ Only bodies and void exist per se, that is, exist without depending for their existence on something else. Other things–such as colors, time, and justice–are ultimately explicable as attributes of bodies.

b. Properties of Atoms, Limitlessness of the Universe

Because Epicurus believes that nothing comes into existence from nothing, he thinks that the universe has no beginning, but has always existed, and will always exist. Atoms, too, as the basic building blocks of all else, cannot come into existence, but have always existed. Our particular cosmos, however, is only a temporary agglomeration of atoms, and it is only one of an infinite number of such cosmoi, which come into existence and then dissolve away. Against Aristotle, Epicurus argues that the universe is unlimited in size. If the universe were limited in size, says Epicurus, you could go to the end of it, stick your fist out, and where your fist was located would be the new ‘limit’ of the universe. Of course, this process could be reiterated an endless number of times. Since the universe is unlimited in size, there must also be an unlimited number of atoms and an infinite amount of void. If the number of atoms were limited, then the ‘density’ of atoms in any region would effectively be zero, and there would be no macroscopic bodies, as there evidently are. And there must be an unlimited amount of void, since without a limitless amount of void, the infinite number of atoms would be unable to move.

c. Differences from Democritus

Up to this point, Epicurus is largely following the thought of Democritus, a pre-Socratic philosopher and one of the inventors of atomism. However, he modifies Democritus’ atomism in at least three important ways.

i. Weight

The first is that Epicurus thinks that atoms have weight. Like Democritus, Epicurus believes that atoms have the properties of size, shape, and resistance. Democritus explains all atomic motion as the result of previous atomic collisions, plus the inertia of atoms. Aristotle, however, criticizes Democritus on this point, saying that Democritus has not explained why it is that atoms move at all, rather than simply standing still. Epicurus seems to be answering this criticism when he says that atoms do have a natural motion of direction–‘downward’–even though there is no bottom to the universe. This natural motion is supposed to give an explanation for why atoms move in the first place. Also, Epicurus thinks that it is evident that bodies do tend to travel down, all else being equal, and he thinks that positing weight as an atomic property accounts for this better than thinking all atomic motion is the result of past collisions and inertia.

ii. The Swerve

The second modification of Democritus’ views is the addition of the ‘swerve.’ In addition to the regular tendency of atoms to move downward, Epicurus thinks that occasionally, and at random times, the atoms swerve to the side. One reason for this swerve is that it is needed to explain why there are atomic collisions. The natural tendency of atoms is to fall straight downward, at uniform velocity. If this were the only natural atomic motion, the atoms never would have collided with one another, forming macroscopic bodies. As Lucretius puts it, they would ‘fall downward, like drops of rain, through the deep void.’ The second reason for thinking that atoms swerve is that a random atomic motion is needed to preserve human freedom and ‘break the bonds of fate,’ as Lucretius says. If the laws of atomic motion are deterministic, then the past positions of the atoms in the universe, plus these laws, determine everything that will occur, including human action. Cicero reports that Epicurus worries that, if it has been true from eternity that, e.g., “Milo will wrestle tomorrow,” then presently deliberating about whether to make it true or false would be idle.

iii. Sensible Qualities

The third difference between Epicurus and Democritus has to do with their attitudes toward the reality of sensible properties. Democritus thinks that, in reality, only atoms and the void exist, and that sensible qualities such as sweetness, whiteness, and the like exist only ‘by convention.’ It is controversial exactly how to understand Democritus’ position, but most likely he is asserting that atoms themselves have no sensible qualities–they are simply extended bits of stuff. The sensible qualities that we think bodies have, like sweetness, are not really in the object at all, but are simply subjective states of the percipient’s awareness produced by the interaction of bodies with our sense-organs. This is shown, thinks Democritus, by the fact that the same body appears differently to different percipients depending on their bodily constitution, e.g., that a ‘white’ body appears yellow to somebody with jaundice, or that honey tastes bitter to an ill person. From this, Democritus derives skeptical conclusions. He is pessimistic about our ability to gain any knowledge about the world on the basis of our senses, since they systematically deceive us about the way the world is.

Epicurus wants to resist these pessimistic conclusions. He argues that properties like sweetness, whiteness, and such do not exist at the atomic level–individual atoms are not sweet or white–but that these properties are nonetheless real. These are properties of macroscopic bodies, but the possession of these properties by macroscopic bodies are explicable in terms of the properties of and relations amongst the individual atoms that make up bodies. Epicurus thinks that bodies have the capability to cause us to have certain types of experiences because of their atomic structure, and that such capabilities are real properties of the bodies. Similar considerations apply for properties like “being healthy,” “being deadly,” and “being enslaved.” They are real, but can only apply to groups of atoms (like people), not individual atoms. And these sorts of properties are also relational properties, not intrinsic ones. For example, cyanide is deadly–not deadly per se, but deadly for human beings (and perhaps for other types of organisms). Nonetheless, its deadliness for us is still a real property of the cyanide, albeit a relational one.

d. Mechanistic Explanations of Natural Phenomena

One important aspect of Epicurus’ philosophy is his desire to replace teleological (goal-based) explanations of natural phenomena with mechanistic ones. His main target is mythological explanations of meteorological occurrences and the like in terms of the will of the gods. Because Epicurus wishes to banish the fear of the gods, he insists that occurrences like earthquakes and lightning can be explained entirely in atomic terms and are not due to the will of the gods. Epicurus is also against the intrinsic teleology of philosophers like Aristotle. Teeth appear to be well-designed for the purpose of chewing. Aristotle thinks that this apparent purposiveness in nature cannot be eliminated, and that the functioning of the parts of organisms must be explained by appealing to how they contribute to the functioning of the organism as a whole. Other philosophers, such as the Stoics, took this apparent design as evidence for the intelligence and benevolence of God. Epicurus, however, following Empedocles, tries to explain away this apparent purposiveness in nature in a proto-Darwinian way, as the result of a process of natural selection.

e. The Gods

Because of its denial of divine providence, Epicureanism was often charged in antiquity with being a godless philosophy, although Epicurus and his followers denied the charge. The main upshot of Epicurean theology is certainly negative, however. Epicurus’ mechanistic explanations of natural phenomena are supposed to displace explanations that appeal to the will of the gods. In addition, Epicurus is one of the earliest philosophers we know of to have raised the Problem of Evil, arguing against the notion that the world is under the providential care of a loving deity by pointing out the manifold suffering in the world.

Despite this, Epicurus says that there are gods, but these gods are quite different from the popular conception of gods. We have a conception of the gods, says Epicurus, as supremely blessed and happy beings. Troubling oneself about the miseries of the world, or trying to administer the world, would be inconsistent with a life of tranquility, says Epicurus, so the gods have no concern for us. In fact, they are unaware of our existence, and live eternally in the intermundia, the space between the cosmoi. For Epicurus, the gods function mainly as ethical ideals, whose lives we can strive to emulate, but whose wrath we need not fear.

Ancient critics thought the Epicurean gods were a thin smoke-screen to hide Epicurus’ atheism, and difficulties with a literal interpretation of Epicurus’ sayings on the nature of the gods (for instance, it appears inconsistent with Epicurus’ atomic theory to hold that any compound body, even a god, could be immortal) have led some scholars to conjecture that Epicurus’ ‘gods’ are thought-constructs, and exist only in human minds as idealizations, i.e., the gods exist, but only as projections of what the most blessed life would be.

f. Philosophy of Mind

Epicurus is one of the first philosophers to put forward an Identity Theory of Mind. In modern versions of the identity theory, the mind is identified with the brain, and mental processes are identified with neural processes. Epicurus’ physiology is quite different; the mind is identified as an organ that resides in the chest, since the common Greek view was that the chest, not the head, is the seat of the emotions. However, the underlying idea is quite similar. (Note: not all commentators accept that Epicurus’ theory is actually an Identity Theory.)

The main point that Epicurus wants to establish is that the mind is something bodily. The mind must be a body, thinks Epicurus, because of its ability to interact with the body. The mind is affected by the body, as vision, drunkenness, and disease show. Likewise, the mind affects the body, as our ability to move our limbs when we want to and the physiological effects of emotional states show. Only bodies can interact with other bodies, so the mind must be a body. Epicurus says that the mind cannot be something incorporeal, as Plato thinks, since the only thing that is not a body is void, which is simply empty space and cannot act or be acted upon.

The mind, then, is an organ in the body, and mental processes are identified with atomic processes. The mind is composed of four different types of particles–fire, air, wind, and the “nameless element,” which surpasses the other particles in its fineness. Although Epicurus is reticent about the details, some features of the mind are accounted for in terms of the features of these atoms–for instance, the mind is able to be moved a great deal by the impact of an image (which is something quite flimsy), because of the smallness of the particles that make up the mind. The mind proper, which is primarily responsible for sensation and thought, is located in the chest, but Epicurus thinks that there is also a ‘spirit,’ spread throughout the rest of the body, which allows the mind to communicate with it. The mind and spirit play roles very similar to those of the central and peripheral nervous systems in modern theory.

One important result of Epicurus’ philosophy of mind is that death is annihilation. The mind is able to engage in the motions of sensation and thought only when it is housed in the body and the atoms that make it up are properly arranged. Upon death, says Epicurus, the container of the body shatters, and the atoms disperse in the air. The atoms are eternal, but the mind made up of these atoms is not, just as other compound bodies cease to exist when the atoms that make them up disperse.

g. Perception

Epicurus explains perception in terms of the interaction of atoms with the sense-organs. Objects continually throw off one-atom-thick layers, like the skin peeling off of an onion. These images, or “eidola,” fly through the air and bang into one’s eyes, from which one learns about the properties of the objects that threw off these eidola. This explains vision. Other senses are analyzed in similar terms; e.g., the soothing action of smooth atoms on the tongue causes the sensation of sweetness. As noted above, Epicurus maintains that such sensible qualities are real qualities of bodies.

4. Epistemology

a. The Canon: Sensations, Preconceptions, and Feelings

Epicurus’ epistemology is resolutely empiricist and anti-skeptical. All of our knowledge ultimately comes from the senses, thinks Epicurus, and we can trust the senses, when properly used. Epicurus’ epistemology was contained in his work the ‘Canon,’ or ‘measuring stick,’ which is lost, so many of the details of his views are unavailable to us.

Epicurus says that there are three criteria of truth: sensations, ‘preconceptions,’ and feelings. Sensations give us information about the external world, and we can test the judgments based upon sensations against further sensations; e.g., a provisional judgment that a tower is round, based upon sensation, can be tested against later sensations to be corroborated or disproved. Epicurus says that all sensations give us information about the world, but that sensation itself is never in error, since sensation is a purely passive, mechanical reception of images and the like by sense-organs, and the senses themselves do not make judgments ‘that’ the world is this way or that. Instead, error enters in when we make judgments about the world based upon the information received through the senses.

Epicurus thinks that, in order to make judgments about the world, or even to start any inquiry whatsoever, we must already be in possession of certain basic concepts, which stand in need of no further proof or definition, on pain of entering into an infinite regress. This concern is similar to the Paradox of Inquiry explored by Plato in the Meno, that one must already know about something in order to be able to inquire about it. However, instead of postulating that our immaterial souls had acquaintance with transcendent Forms in a pre-natal existence, as Plato does, Epicurus thinks that we have certain ‘preconceptions’–concepts such as ‘body,’ ‘person,’ ‘usefulness,’ and ‘truth’–which are formed in our (material) minds as the result of repeated sense-experiences of similar objects. Further ideas are formed by processes of analogy or similarity or by compounding these basic concepts. Thus, all ideas are ultimately formed on the basis of sense-experience.

Feelings of pleasure and pain form the basic criteria for what is to be sought and avoided.

b. Anti-skeptical Arguments

Epicurus is concerned to refute the skeptical tendencies of Democritus, whose metaphysics and theory of perception were similar to Epicurus’. At least three separate anti-skeptical arguments are given by Epicureans:

i. The “Lazy Argument”

Epicurus says that it is impossible to live as a skeptic. If a person really were to believe that he knows nothing, then he would have no reason to engage in one course of action instead of another. Thus, the consistent skeptic would engage in no action whatsoever, and would die.

ii. The Self-refutation Argument

If a skeptic claims that nothing can be known, then one should ask whether he knows that nothing can be known. If he says ‘yes,’ then he is contradicting himself. If he doesn’t say yes, then he isn’t making a claim, and we don’t need to listen to him.

iii. The Argument from Concept-formation

If the skeptic says that nothing can be known, or that we cannot know the truth, we can ask him where he gets his knowledge of concepts such as ‘knowledge’ and ‘truth.’ If the senses cannot be relied on, as the skeptic claims, then he is not entitled to use concepts such as ‘knowledge’ and ‘truth’ in formulating his thesis, since such concepts derive from the senses.

5. Ethics

Epicurus’ ethics is a form of egoistic hedonism; i.e., he says that the only thing that is intrinsically valuable is one’s own pleasure; anything else that has value is valuable merely as a means to securing pleasure for oneself. However, Epicurus has a sophisticated and idiosyncratic view of the nature of pleasure, which leads him to recommend a virtuous, moderately ascetic life as the best means to securing pleasure. This contrasts Epicurus strongly with the Cyrenaics, a group of ancient hedonists who better fit the stereotype of hedonists as recommending a policy of “eat, drink, and be merry.”

a. Hedonism, Psychological and Ethical

Epicurus’ ethics starts from the Aristotelian commonplace that the highest good is what is valued for its own sake, and not for the sake of anything else, and Epicurus agrees with Aristotle that happiness is the highest good. However, he disagrees with Aristotle by identifying happiness with pleasure. Epicurus gives two reasons for this. The main reason is that pleasure is the only thing that people do, as a matter of fact, value for its own sake; that is, Epicurus’ ethical hedonism is based upon his psychological hedonism. Everything we do, claims Epicurus, we do for the sake ultimately of gaining pleasure for ourselves. This is supposedly confirmed by observing the behavior of infants, who, it is claimed, instinctively pursue pleasure and shun pain. This is also true of adults, thinks Epicurus, but in adults it is more difficult to see that this is true, since adults have much more complicated beliefs about what will bring them pleasure. But the Epicureans did spend a great deal of energy trying to make plausible the contention that all activity, even apparently self-sacrificing activity or activity done solely for the sake of virtue or what is noble, is in fact directed toward obtaining pleasure for oneself.

The second proof, which fits in well with Epicurus’ empiricism, supposedly lies in one’s introspective experience. One immediately perceives that pleasure is good and that pain is bad, in the same way that one immediately perceives that fire is hot; no further argument is needed to show the goodness of pleasure or the badness of pain. (Of course, this does not establish Epicurus’ further contention that only pleasure is intrinsically valuable and only pain is intrinsically bad.)

Although all pleasures are good and all pains evil, Epicurus says that not all pleasures are choiceworthy or all pains to be avoided. Instead, one should calculate what is in one’s long-term self-interest, and forgo what will bring pleasure in the short-term if doing so will ultimately lead to greater pleasure in the long-term.

b. Types of Pleasure

For Epicurus, pleasure is tied closely to satisfying one’s desires. He distinguishes between two different types of pleasure: ‘moving’ pleasures and ‘static’ pleasures. ‘Moving’ pleasures occur when one is in the process of satisfying a desire, e.g., eating a hamburger when one is hungry. These pleasures involve an active titillation of the senses, and these feelings are what most people call ‘pleasure.’ However, Epicurus says that after one’s desires have been satisfied, (e.g., when one is full after eating), the state of satiety, of no longer being in need or want, is itself pleasurable. Epicurus calls this a ‘static’ pleasure, and says that these static pleasures are the best pleasures.

Because of this, Epicurus denies that there is any intermediate state between pleasure and pain. When one has unfulfilled desires, this is painful, and when one no longer has unfulfilled desires, this steady state is the most pleasurable of all, not merely some intermediate state between pleasure and pain.

Epicurus also distinguishes between physical and mental pleasures and pains. Physical pleasures and pains concern only the present, whereas mental pleasures and pains also encompass the past (fond memories of past pleasure or regret over past pain or mistakes) and the future (confidence or fear about what will occur). The greatest destroyer of happiness, thinks Epicurus, is anxiety about the future, especially fear of the gods and fear of death. If one can banish fear about the future, and face the future with confidence that one’s desires will be satisfied, then one will attain tranquility (ataraxia), the most exalted state. In fact, given Epicurus’ conception of pleasure, it might be less misleading to call him a ‘tranquillist’ instead of a ‘hedonist.’

c. Types of Desire

Because of the close connection of pleasure with desire-satisfaction, Epicurus devotes a considerable part of his ethics to analyzing different kinds of desires. If pleasure results from getting what you want (desire-satisfaction) and pain from not getting what you want (desire-frustration), then there are two strategies you can pursue with respect to any given desire: you can either strive to fulfill the desire, or you can try to eliminate the desire. For the most part Epicurus advocates the second strategy, that of paring your desires down to a minimum core, which are then easily satisfied.

Epicurus distinguishes between three types of desires: natural and necessary desires, natural but non-necessary desires, and “vain and empty” desires. Examples of natural and necessary desires include the desires for food, shelter, and the like. Epicurus thinks that these desires are easy to satisfy, difficult to eliminate (they are ‘hard-wired’ into human beings naturally), and bring great pleasure when satisfied. Furthermore, they are necessary for life, and they are naturally limited: that is, if one is hungry, it only takes a limited amount of food to fill the stomach, after which the desire is satisfied. Epicurus says that one should try to fulfill these desires.

Vain desires include desires for power, wealth, fame, and the like. They are difficult to satisfy, in part because they have no natural limit. If one desires wealth or power, no matter how much one gets, it is always possible to get more, and the more one gets, the more one wants. These desires are not natural to human beings, but inculcated by society and by false beliefs about what we need; e.g., believing that having power will bring us security from others. Epicurus thinks that these desires should be eliminated.

An example of a natural but non-necessary desire is the desire for luxury food. Although food is needed for survival, one does not need a particular type of food to survive. Thus, despite his hedonism, Epicurus advocates a surprisingly ascetic way of life. Although one shouldn’t spurn extravagant foods if they happen to be available, becoming dependent on such goods ultimately leads to unhappiness. As Epicurus puts it, “If you wish to make Pythocles wealthy, don’t give him more money; rather, reduce his desires.” By eliminating the pain caused by unfulfilled desires, and the anxiety that occurs because of the fear that one’s desires will not be fulfilled in the future, the wise Epicurean attains tranquility, and thus happiness.

d. The Virtues

Epicurus’ hedonism was widely denounced in the ancient world as undermining traditional morality. Epicurus, however, insists that courage, moderation, and the other virtues are needed in order to attain happiness. However, the virtues for Epicurus are all purely instrumental goods–that is, they are valuable solely for the sake of the happiness that they can bring oneself, not for their own sake. Epicurus says that all of the virtues are ultimately forms of prudence, of calculating what is in one’s own best interest. In this, Epicurus goes against the majority of Greek ethical theorists, such as the Stoics, who identify happiness with virtue, and Aristotle, who identifies happiness with a life of virtuous activity. Epicurus thinks that natural science and philosophy itself also are instrumental goods. Natural science is needed in order to give mechanistic explanations of natural phenomena and thus dispel the fear of the gods, while philosophy helps to show us the natural limits of our desires and to dispel the fear of death.

e. Justice

Epicurus is one of the first philosophers to give a well-developed contractarian theory of justice. Epicurus says that justice is an agreement “neither to harm nor be harmed,” and that we have a preconception of justice as “what is useful in mutual associations.” People enter into communities in order to gain protection from the dangers of the wild, and agreements concerning the behavior of the members of the community are needed in order for these communities to function, e.g., prohibitions of murder, regulations concerning the killing and eating of animals, and so on. Justice exists only where there are such agreements.

Like the virtues, justice is valued entirely on instrumental grounds, because of its utility for each of the members of society. Epicurus says that the main reason not to be unjust is that one will be punished if one gets caught, and that even if one does not get caught, the fear of being caught will still cause pain. However, he adds that the fear of punishment is needed mainly to keep fools in line, who otherwise would kill, steal, etc. The Epicurean wise man recognizes the usefulness of the laws, and since he does not desire great wealth, luxury goods, political power, or the like, he sees that he has no reason to engage in the conduct prohibited by the laws in any case.

Although justice only exists where there is an agreement about how to behave, that does not make justice entirely ‘conventional,’ if by ‘conventional’ we mean that any behavior dictated by the laws of a particular society is thereby just, and that the laws of a particular society are just for that society. Since the ‘justice contract’ is entered into for the purpose of securing what is useful for the members of the society, only laws that are actually useful are just. Thus, a prohibition of murder would be just, but antimiscegenation laws would not. Since what is useful can vary from place to place and time to time, what laws are just can likewise vary.

f. Friendship

Epicurus values friendship highly and praises it in quite extravagant terms. He says that friendship “dances around the world” telling us that we must “wake to blessedness.” He also says that the wise man is sometimes willing to die for a friend. Because of this, some scholars have thought that in this area, at least, Epicurus abandons his egoistic hedonism and advocates altruism toward friends. This is not clear, however. Epicurus consistently maintains that friendship is valuable because it is one of the greatest means of attaining pleasure. Friends, he says, are able to provide one another the greatest security, whereas a life without friends is solitary and beset with perils. In order for there to be friendship, Epicurus says, there must be trust between friends, and friends have to treat each other as well as they treat themselves. The communities of Epicureans can be seen as embodying these ideals, and these are ideals that ultimately promote ataraxia.

g. Death

One of the greatest fears that Epicurus tries to combat is the fear of death. Epicurus thinks that this fear is often based upon anxiety about having an unpleasant afterlife; this anxiety, he thinks, should be dispelled once one realizes that death is annihilation, because the mind is a group of atoms that disperses upon death.

i. The No Subject of Harm Argument

If death is annihilation, says Epicurus, then it is ‘nothing to us.’ Epicurus’ main argument for why death is not bad is contained in the Letter to Menoeceus and can be dubbed the ‘no subject of harm’ argument. If death is bad, for whom is it bad? Not for the living, since they’re not dead, and not for the dead, since they don’t exist. His argument can be set out as follows:

  1. Death is annihilation.
  2. The living have not yet been annihilated (otherwise they wouldn’t be alive).
  3. Death does not affect the living. (from 1 and 2)
  4. So, death is not bad for the living. (from 3)
  5. For something to be bad for somebody, that person has to exist, at least.
  6. The dead do not exist. (from 1)
  7. Therefore, death is not bad for the dead. (from 5 and 6)
  8. Therefore death is bad for neither the living nor the dead. (from 4 and 7)

Epicurus adds that if death causes you no pain when you’re dead, it’s foolish to allow the fear of it to cause you pain now.

ii. The Symmetry Argument

A second Epicurean argument against the fear of death, the so-called ‘symmetry argument,’ is recorded by the Epicurean poet Lucretius. He says that anyone who fears death should consider the time before he was born. The past infinity of pre-natal non-existence is like the future infinity of post-mortem non-existence; it is as though nature has put up a mirror to let us see what our future non-existence will be like. But we do not consider not having existed for an eternity before our births to be a terrible thing; therefore, neither should we think not existing for an eternity after our deaths to be evil.

6. References and Further Reading

This is not meant as comprehensive bibliography; rather, it’s a selection of further texts to read for those who want to learn more about Epicurus and Epicureanism. Most of the books listed below have extensive bibliographies for those looking for more specialized and scholarly publications.

a. Collections of Primary Source

  • The Epicurus Reader, translated and edited by Brad Inwood and L.P. Gerson, Hackett Publishing.
    • This inexpensive collection has most of the major extant writings of Epicurus, in addition to other ancient sources such as Cicero and Plutarch who wrote about Epicureanism. (Lucretius is not included much.) However, there is little commentary or explication of the material, and some of the primary sources are fairly opaque.
  • The Hellenistic philosophers, Volume 1: translations of the principal sources, with philosophical commentary, by A.A. Long and D.N. Sedley, Cambridge University Press.
    • This excellent book organizes the texts into sections topically, (e.g., “Atoms,” “Soul,” “Language,” “Death,”) and follows each selection of texts with commentary and explication. Vol. 2, which contains the original Greek and Latin texts, has a fine, if somewhat dated (1987) bibliography at the end.Lucretius, De Rerum Natura

There are many different editions of Lucretius’ masterpiece, an extended exposition of Epicurus’ metaphysics, philosophy of mind, and natural science. I personally like the translation by Rolfe Humphries: Lucretius: The Way Things Are. The De Rerum Natura of Titus Lucretius Carus, Indiana University Press. Humphries translates Lucretius’ poem as a poem, not as prose, yet the translation is still very clear and readable.

b. Recent Books on Particular Areas of Epicurus’ Philosophy

The books below are all well-written and influential. They deal in-depth with problems of interpreting particular areas of Epicurus’ philosophy, while still remaining, for the most part, accessible to well-educated general readers. They also have extensive bibliographies. However, do not assume that the interpretations of Epicurus in these books are always widely accepted.

  • Hellenistic Philosophy of Mind, by Julia Annas, University of California Press.
    • This book deals with Epicurean and Stoic theories of what the mind is.
  • Epicurus’ Ethical Theory : The Pleasures of Invulnerability, by Phillip Mitsis, Cornell University Press.
    • This book is concerned with all of the major areas of Epicurean ethics, from pleasure, to friendship, justice, and human freedom. Mitsis is especially good at showing how Epicurus’ conception of pleasure differs from that of the utilitarians.
  • The Morality of Happiness, by Julia Annas, Oxford University Press.
    • This book focuses deals with all major ancient theorists from Aristotle on, but is still a good source of information on Epicurean ethics, especially if one wants to put Epicurean ethics in the context of other ancient ethical theories.
  • Epicurus’ Scientific Method, by Elizabeth Asmis, Cornell University Press.
    • The best book-length treatment of Epicurus’ epistemology available. A little more technical than the books above, but still fairly accessible.

Author Information

Tim O’Keefe
Email: see web page
Georgia State University
U. S. A.

Epictetus (55–135 C.E.)

epictetusEpictetus (pronounced Epic-TEE-tus) was an exponent of Stoicism who flourished in the early second century C.E. about four hundred years after the Stoic school of Zeno of Citium was established in Athens. He lived and worked, first as a student in Rome, and then as a teacher with his own school in Nicopolis in Greece. Our knowledge of his philosophy and his method as a teacher comes to us via two works composed by his student Arrian, the Discourses and the Handbook. Although Epictetus based his teaching on the works of the early Stoics (none of which survives) which dealt with the three branches of Stoic thought, logic, physics and ethics, the Discourses and the Handbook concentrate almost exclusively on ethics. The role of the Stoic teacher was to encourage his students to live the philosophic life, whose end was eudaimonia (‘happiness’ or ‘flourishing’), to be secured by living the life of reason, which – for Stoics – meant living virtuously and living ‘according to nature’. The eudaimonia (‘happiness’) of those who attain this ideal consists of ataraxia (imperturbability), apatheia (freedom from passion), eupatheiai (‘good feelings’), and an awareness of, and capacity to attain, what counts as living as a rational being should. The key to transforming oneself into the Stoic sophos (wise person) is to learn what is ‘in one’s power’, and this is ‘the correct use of impressions’ (phantasiai), which in outline involves not judging as good or bad anything that appears to one. For the only thing that is good is acting virtuously (that is, motivated by virtue), and the only thing that is bad is the opposite, acting viciously (that is, motivated by vice). Someone who seeks to make progress as a Stoic (a prokoptôn) understands that their power of rationality is a fragment of God whose material body – a sort of rarefied fiery air – blends with the whole of creation, intelligently forming and directing undifferentiated matter to make the world as we experience it. The task of the prokoptôn, therefore, is to ‘live according to nature’, which means (a) pursuing a course through life intelligently responding to one’s own needs and duties as a sociable human being, but also (b) wholly accepting one’s fate and the fate of the world as coming directly from the divine intelligence which makes the world the best that is possible.

Table of Contents

  1. Life
  2. Writings
    1. The Discourses
    2. The Handbook
  3. Epictetus’ Stoicism
  4. Key Concepts
    1. The Promise of Philosophy
    2. What is Really Good
    3. What is in our Power
    4. Making Proper Use of Impressions
    5. The Three Topoi
      1. The Discipline of Desire
      2. The Discipline of Action
      3. The Discipline of Assent
    6. God
    7. On Living in Accord with Nature
    8. Metaphors for Life
    9. Making Progress
  5. Glossary of Terms
  6. References and Further Reading
    1. Translations of Epictetus
    2. Translations of Hellenistic Philosophers, including the Stoics
    3. Items that Address Epictetus Specifically
    4. Items Addressing Stoic Philosophy and/or Hellenistic Ethics Generally
    5. Other Items on Hellenistic Philosophy Generally

1. Life

It is possible to draw only a basic sketch of Epictetus’ life. Resources at our disposal include just a handful of references in the ancient texts, to which we can add the few allusions that Epictetus makes to his own life in the Discourses.

Epictetus was born in about 55 C.E. in Hierapolis in Phrygia (modern-day Pamukkale, in south-western Turkey). As a boy he somehow came to Rome as a slave of Epaphroditus who was a rich and powerful freedman, having himself been a slave of the Emperor Nero (he had been an administrative secretary). Whilst still a slave, Epictetus studied with the Stoic teacher Musonius Rufus.

There is a story told by the author Celsus (probably a younger contemporary of Epictetus) – quoted by the early Christian Origen (c.185–254) at Contra Celsum 7.53 – that when still a slave, Epictetus was tortured by his master who twisted his leg. Enduring the pain with complete composure, Epictetus warned Epaphroditus that his leg would break, and when it did break, he said, ‘There, did I not tell you that it would break?’ And from that time Epictetus was lame. The Suda (tenth century), however, although confirming that Epictetus was lame, attributes his affliction to rheumatism.

At some point Epictetus was manumitted, and in about 89, along with other philosophers then in Rome, was banished by the Emperor Domitian. He went to Nicopolis in Epirus (in north-western Greece) where he opened his own school which acquired a good reputation, attracting many upper-class Romans. One such student was Flavius Arrian (c.86–160) who would compose the Discourses and the Handbook, and who later served in public office under the Emperor Hadrian and made his mark as a respected historian (much of his writings survive). Origen (Contra Celsum 6.2) reports that Epictetus had been more popular in his day than had Plato in his. Aulus Gellius (c.125–c.165) reports that one of Marcus Aurelius’ teachers, Herodes Atticus (c.101–177), considered Epictetus to be ‘the greatest of Stoics’ (Attic Nights 1.2.6).

Our sources report that Epictetus did not marry, had no children, and lived to an old age. With respect to marriage and children we may note the story from Lucian (Demonax 55) about the Cynic philosopher Demonax who had been a pupil of Epictetus. On hearing Epictetus exhort his students to marry and have children (for it was a philosopher’s duty to provide a substitute ready for the time when they would die), he sarcastically asked Epictetus whether he could marry one of his daughters.

2. Writings

It appears that Epictetus wrote nothing himself. The works we have that present his philosophy were written by his student, Flavius Arrian. We may conjecture that the Discourses and the Handbook were written some time around the years 104–107, at the time when Arrian (born c.86) was most likely to have been a student.

Dobbin (1998), though, holds the view that the Discourses and the Handbook were actually written by Epictetus himself; the Suda does say, after all, that Epictetus ‘wrote a great deal’. Dobbin is not entirely convinced by Arrian’s claim in his dedicatory preface that he wrote down Epictetus’ words verbatim; firstly, stenographic techniques at this time were primitive, and anyway were the preserve of civil servants; secondly, most of the discourses are too polished, and look too much like carefully crafted prose to be the product of impromptu discussions; and thirdly, some of the discourses (notably 1.29, 3.22 and 4.1) are too long for extempore conversations.

There is no way to resolve this question with certainty. Whether the texts we have do indeed represent a serious attempt to record Epictetus at work verbatim, whether draft texts were later edited and rewritten (as seems wholly likely), possibly by Epictetus, or whether Epictetus did in fact write the texts himself, drawing on his recollections as a lecturer with only occasional attempts at strictly verbatim accuracy, we shall never know. But what we can be certain of, regardless of who actually wrote the words onto the papyrus to make the first draft of the text as we have it today, is that those words were intended to present Stoic moral philosophy in the terms and the style that Epictetus employed as a teacher intent on bringing his students to philosophic enlightenment as the Stoics had understood this enterprise.

a. Discourses

Written in Koine Greek, the everyday contemporary form of the language, Epictetus’ Discourses appear to record the exchanges between Epictetus and his students after formal teaching had concluded for the day. Internal textual evidence confirms that the works of the early Stoic philosophers (Zeno, Cleanthes and Chrysippus) were read and discussed in Epictetus’ classes, but this aspect of Epictetus’ teaching is not recorded by Arrian. What we have, then, are intimate, though earnest, discussions in which Epictetus aims to make his students consider carefully what the philosophic life – for a Stoic – consists in, and how to live it oneself. He discusses a wide range of topics, from friendship to illness, from fear to poverty, on how to acquire and maintain tranquillity, and why we should not be angry with other people.

Not all of the Discourses appear to have survived, as the ancient Byzantine scholar Photius (c.810–c.893) reports that the complete text originally comprised eight books, whereas all we have today are four books. Because the text, chapter by chapter, jumps to different topics and shows no orderly development, it is not readily apparent that anything is missing, and indeed, the reference to eight books may be mistaken (though another author, Aulus Gellius, at Attic Nights 19.1.14, refers to the fifth book of the Discourses). The range of topics is sufficiently broad for us to be reasonably confident that, even if some of the text has been lost, what we lack by and large repeats and revisits the material that we have in the book as it has come down to us.

b. The Handbook

This little book appears to be an abstract of the Discourses, focusing on key themes in Epictetus’ teaching of Stoic ethics. Some of the text is taken from the Discourses, and the fact that not all of it can be correlated with passages in the larger work supports the view that some of the Discourses has indeed been lost.

3. Epictetus’ Stoicism

The writings of the early Stoics, of Zeno (335–263 B.C.E.) the founder of the school, of Chrysippus (c.290–207 B.C.E.) the extremely influential third head of the Stoa, and of others, survive only as quoted fragments found in later works. The question arises as to what extent Epictetus preserved the original doctrines of the Stoic school, and to what extent, if any, he branched out with new emphases and innovations of his own. The nineteenth-century Epictetan scholar Adolf Bonhöffer (1998, 3) remarks: ‘[Epictetus] is completely free of the eclecticism of Seneca and Marcus Aurelius; and, compared with his teacher Musonius Rufus … his work reveals a considerably closer connection to Stoic doctrine and terminology as developed mainly by Chrysippus.’ Evidence internal to the Discourses indicates that Epictetus was indeed faithful to the early Stoics. At 1.4.28–31, Epictetus praises Chrysippus in the highest terms, saying of him, ‘How great the benefactor who shows the way! … who has discovered, and brought to light, and communicated, the truth to all, not merely of living, but of living well’ (trans. Hard). It would be inconsistent, if not wholly ridiculous, to laud Chrysippus in such terms and then proceed to depart oneself from the great man’s teaching. At 1.20.15, Epictetus quotes Zeno, and at 2.6.9–10 he quotes Chrysippus, to support his arguments. Aulus Gellius (Attic Nights 19.1.14) says that Epictetus’ Discourses ‘undoubtedly agree with the writings of Zeno and Chrysippus’.

Scholars are agreed that the ‘doctrine of the three topics (topoi)’ (fields of study) which we find in the Discourses originates with Epictetus (see Bonhöffer 1996, 32; Dobbin 1998, xvii; Hadot 1998, 83; More 1923, 107). Oldfather (1925, xxi, n. 1), in the introduction to his translation of the Discourses, remarks that ‘this triple division … is the only notable original element … found in Epictetus, and it is rather a pedagogical device for lucid presentation than an innovation in thought’. Our enthusiasm for this division being wholly original to Epictetus should be tempered with a reading of extracts from Seneca’s Moral Letters (75.8–18 and 89.14–15) where we also find a threefold division of ethics which, although not exactly similar to Epictetus’ scheme, suggests the possibility that both Seneca and Epictetus drew on work by their predecessors that, alas, has not survived. Suffice it so say, what Epictetus teaches by means of his threefold division is wholly in accord with the principles of the early Stoics, but how he does this is uniquely his own method. The programme of study and exercises that Epictetus’ students adhered to was in consequence different from the programme that was taught by his predecessors, but the end result, consisting in the special Stoic outlook on oneself and the world at large and the ability to ‘live the philosophic life’, was the same.

4. Key Concepts

a. The Promise of Philosophy

Epictetus, along with all other philosophers of the Hellenistic period, saw moral philosophy as having the practical purpose of guiding people towards leading better lives. The aim was to live well, to secure for oneself eudaimonia (‘happiness’ or ‘a flourishing life’), and the different schools and philosophers of the period offered differing solutions as to how the eudaimôn life was to be won.

No less true of us today than it was for the ancients, few people are content with life (let alone wholly content), and what contributes to any contentment that may be enjoyed is almost certainly short-lived and transient.

The task for the Stoic teacher commences with the understanding that (probably) everyone is not eudaimôn for much, or even all, of the time; that there is a reason for this being the case and, most importantly, that there are solutions that can remedy this sorry state of affairs.

Indeed, Epictetus metaphorically speaks of his school as being a hospital to which students would come seeking treatments for their ills (Discourses 3.23.30). Each of us, in consequence merely of being human and living in society, is well aware of what comprise these ills. In the course of daily life we are beset by frustrations and setbacks of every conceivable type. Our cherished enterprises are hindered and thwarted, we have to deal with hostile and offensive people, and we have to cope with the difficulties and anxieties occasioned by the setbacks and illnesses visited upon our friends and relations. Sometimes we are ill ourselves, and even those who have the good fortune to enjoy sound health have to face the fact of their own mortality. In the midst of all this, only the rare few are blessed with lasting and rewarding relationships, and even these relationships, along with everything that constitutes a human life, are wholly transient.

But what is philosophy? Does it not mean making preparation to meet the things that come upon us? (Discourses 3.10.6, trans. Oldfather)

The ills we suffer, says Epictetus, result from mistaken beliefs about what is truly good. We have invested our hope in the wrong things, or at least invested it in the wrong way. Our capacity to flourish and be happy (to attain eudaimonia) is entirely dependent upon our own characters, how we dispose ourselves to ourselves, to others, and to events generally. What qualities our characters come to have is completely up to us. Therefore, how well we flourish is also entirely up to us.

b. What is Really Good

The central claim of Stoic ethics is that only the virtues and virtuous activities are good, and that the only evil is vice and actions motivated by vice (see Discourses 2.9.15 and 2.19.13). When someone pursues pleasure or wealth, say, believing these things to be good, the Stoics hold that this person has made a mistake with respect to the nature of the things pursued and the nature of their own being, for the Stoics deny that advantages such as pleasure and health (wealth and status, and so forth) are good, because they do not benefit those who possess them in all circumstances. Virtue, on the other hand, conceived as the capacity to use such advantages wisely, being the only candidate for that which is always beneficial, is held to be the only good thing (see Plato, Euthydemus 278e–281e and Meno 87c–89a).

Thus, the Stoics identify the eudaimôn (‘happy’) life as one that is motivated by virtue. The term we translate as ‘virtue’ (from the Latin virtus) is aretê, and means ‘excellence’. To progress towards excellence as a human being, for Epictetus, means understanding the true nature of one’s being and keeping one’s prohairesis (moral character) in the right condition. Epictetus uses the term aretê only occasionally, and whereas the early Stoics spoke of striving for excellence as what was proper for a rational creature and required for eudaimonia (‘happiness’ or well-being), Epictetus speaks of striving to maintain one’s prohairesis in proper order (see Discourses 1.4.18 and 1.29.1).

Although things such as material comfort, for instance, will be pursued by the Stoic student who seeks eudaimonia, they will do this in a different way from those not living the ‘philosophic life’ – for Stoics claim that everything apart from virtue (what is good) and vice (what is bad) is indifferent, that is, ‘indifferent’ with regard to being good or bad. It is how one makes use of indifferent things that establishes how well one is making progress towards aretê (moral excellence) and a eudaimôn (‘happy’) life.

Indifferent things are either ‘preferred’ or ‘dispreferred’. Preferred are health and wealth, friends and family, and pretty much all those things that most people pursue as desirable for leading a flourishing life. Dispreferred are their opposites: sickness and poverty, social exclusion, and pretty much all those things that people seek to avoid as being detrimental for a flourishing life. Thus, the preferred indifferents have value for a Stoic, but not in terms of their being good: they have an instrumental value with respect to their capacities to contribute to a flourishing life as the objects upon which our virtuous actions are directed (see Discourses 1.29.2). The Stoic does not lament their absence, for their presence is not constitutive of eudaimonia. What is good is the virtuous use one makes of such preferred things should they be to hand, but no less good are one’s virtuous dispositions in living as well as one may, even when they are lacking.

c. What is in our Power

To maintain our prohairesis (moral character) in the proper condition – the successful accomplishment of this being necessary and sufficient for eudaimonia (‘happiness’) – we must understand what is eph’ hêmin (‘in our power’ or ‘up to us’; see Discourses 1.22.9–16). If we do not do this, our prohairesis will remain in a faulty condition, for we will remain convinced that things such as wealth and status are good when they are really indifferent, troubled by frustrations and anxieties, subject to disturbing emotions we do not want and cannot control, all of which make life unpleasant and unrewarding, sometimes overwhelmingly so. This is why Epictetus remarks: ‘This is the proper goal, to practise how to remove from one’s life sorrows and laments, and cries of “Alas” and “Poor me”, and misfortune and disappointment’ (Discourses 1.4.23, trans. Dobbin).

No one is master of another’s prohairesis [moral character], and in this alone lies good and evil. No one, therefore, can secure the good for me, or involve me in evil, but I alone have authority over myself in these matters. (Discourses 4.12.7–8, trans. Dobbin)

What is in our power, then, is the ‘authority over ourselves’ that we have regarding our capacity to judge what is good and what is evil. Outside our power are ‘external things’, which are ‘indifferent’ with respect to being good or evil. These indifferents, as we saw in the previous section, number those things that are conventionally deemed to be good and those that are conventionally deemed to be bad. Roughly, they are things that ‘just happen’, and they are not in our power in the sense that we do not have absolute control to make them occur just as we wish, or to make them have exactly the outcomes that we desire. Thus, for example, sickness is not in our power because it is not wholly up to us whether we get sick, and how often, nor whether we will recover quickly or indeed at all. Now, it makes sense to visit a doctor when we feel ill, but the competence of the doctor is not in our power, and neither is the effectiveness of any treatment that we might be offered. So generally, it makes sense to manage our affairs carefully and responsibly, but the ultimate outcome of any affair is, actually, not in our power.

What is in our power is the capacity to adapt ourselves to all that comes about, to judge anything that is ‘dispreferred’ not as bad, but as indifferent and not strong enough to overwhelm our strength of character.

The Handbook of Epictetus begins with these words:

Some things are up to us [eph’ hêmin] and some things are not up to us. Our opinions are up to us, and our impulses, desires, aversions–in short, whatever is our own doing. Our bodies are not up to us, nor are our possessions, our reputations, or our public offices, or, that is, whatever is not our own doing. (Handbook 1.1, trans. White)

That is, we have power over our own minds. The opinions we hold of things, the intentions we form, what we value and what we are averse to are all wholly up to us. Although we may take precautions, whether our possessions are carried off by a thief is not up us (but the intention to steal, that of course is in the power of the thief), and our reputations, in whatever quarter, must be decided by what other people think of us, and what they do think is up to them. Remaining calm in the face of adversity and controlling our emotions no matter what the provocation (qualities of character that to this day are referred to as ‘being stoical’), are accomplished in the full Stoic sense, for Epictetus, by making proper use of impressions.

d. Making Proper Use of Impressions

To have an impression is to be aware of something in the world. For example, I may look out of my window and have the impression of an airship floating over the houses in the distance. Whether there is really an airship there, half a mile off, or whether there is just a little helium-filled model tied to my garden gate by a bit of string, is a separate question. ‘Making proper use of impressions’ concerns how we move from the first thing, being aware of something or other, to the second thing, making a judgement that something or other is the case. The Stoic stands in sharp contrast to the non-Stoic, for when the latter faces some disaster, say (let us imagine that their briefcase has burst open and their papers are scattered by the wind all along the station platform and onto the track), they will judge this a terrible misfortune and have the appropriate emotional response to match. Epictetus would declare that this person has made the wrong use of their impression.

In the first place, do not allow yourself to be carried away by [the] intensity [of your impression]: but say, ‘Impression, wait for me a little. Let me see what you are, and what you represent. Let me test you.’ Then, afterwards, do not allow it to draw you on by picturing what may come next, for if you do, it will lead you wherever it pleases. But rather, you should introduce some fair and noble impression to replace it, and banish this base and sordid one. (Discourses 2.18.24–5, trans. Hard)

Few non-Stoics, ignorant of Epictetus’ teaching, would do other than rush around after their papers, descending deeper and deeper into a panic, imagining their boss at work giving them a dressing down for losing the papers, making them work extra hours to make good the loss, and perhaps even dismissing them from their job. The Stoic, by contrast, tests their impression to see what the best interpretation should be: losing the papers is a dispreferred indifferent, to be sure, but having an accident of this sort is bound to happen once in a while, and is nothing to be troubled about. They will quietly gather up the papers they can, and instead of panicking with respect to facing their boss, they will rehearse a little speech about having had an accident and what it means to have lost the papers. If their boss erupts in a temper, well, that is a concern for the boss.

Our attaining the eudaimôn (‘happy’) life requires that we judge things in the right way, for ‘what disturbs men’s minds is not events but their judgements on events’ (Handbook 5, trans. Matheson).

Remember that foul words or blows in themselves are no outrage, but your judgement that they are so. So when any one makes you angry, know that it is your own thought that has angered you. Wherefore make it your endeavour not to let your impressions carry you away. For if once you gain time and delay, you will find it easier to control yourself. (Handbook 20, trans. Matheson)

e. The Three Topoi

The three topoi (fields of study) establish activities in which the prokoptôn (Stoic student) applies their Stoic principles; they are practical exercises or disciplines that when successfully followed are constitutive of the eudaimôn (‘happy’) life which all rational beings are capable of attaining.

There are three areas of study, in which a person who is going to be good and noble must be trained. That concerning desires and aversions, so that he may never fail to get what he desires nor fall into what he would avoid. That concerning the impulse to act and not to act, and, in general, appropriate behaviour; so that he may act in an orderly manner and after due consideration, and not carelessly. The third is concerned with freedom from deception and hasty judgement, and, in general, whatever is connected with assent. (Discourses 3.2.1–2, trans. Hard)

Our capacity to employ these disciplines in the course of daily life is eph’ hêmin (‘in our power’ or ‘up to us’) because they depend on our opinions, judgements, intentions and desires which concern the way we regard things over which our prohairesis (moral character) has complete control.

i. The Discipline of Desire

The first discipline concerns what someone striving for excellence as a rational being should truly believe is worthy of desire, which for the Stoics is that which is truly good, virtue and action motivated by virtue.

Of these [three areas of study], the principle, and most urgent, is that which has to do with the passions; for these are produced in no other way than by the disappointment of our desires, and the incurring of our aversions. It is this that introduces disturbances, tumults, misfortunes, and calamities; and causes sorrow, lamentation and envy; and renders us envious and jealous, and thus incapable of listening to reason. (Discourses 3.2.3, trans. Hard)

Epictetus remarks: ‘When I see a man anxious, I say, What does this man want? If he did not want some thing which is not in his power, how could he be anxious?’ (Discourses 2.13.1, trans. Long). Those things that most of us, most of the time, seek after as being desirable, what we consider will make our lives go well, are things that are not in our power, and thus the hope we have for securing these things is placed in the hands of others or in the hands of fate. And when we are thwarted in our efforts to gain what we desire we become frustrated (or depressed or envious or angry, or all of these things). To be afflicted with such ‘passions’, says Epictetus, is the only real source of misery for human beings. Instead of trying to relieve ourselves of these unpleasant emotions by pressing all the harder to secure what we desire, we should rather place our hope not in ‘external’ things that are not in our power, but in our own dispositions and moral character. In short, we should limit our desire to virtue and to becoming (to the best of our capacities) examples of ‘excellence’. If we do not do this, the inevitable result is that we will continue to desire what we may fail to obtain or lose once we have it, and in consequence suffer the unhappiness of emotional disquiet (or worse). And as is the common experience of all people at some time or other, when we are in the grip of such emotions we run the risk of becoming blind to the best course of action, even when construed in terms of pursuing ‘external’ things.

The Stoic prokoptôn, in contrast, sets their hopes on excellence, recognising that this is where their power over things lies. They will still pursue those ‘preferred indifferent external’ things that are needed for fulfilling those functions and projects that they deem appropriate for them as individuals, and those they have obligations to meet. But they will not be distressed at setbacks or failure, nor at obstructive people, nor at other difficulties (illness, for instance), for none of these things is entirely up to them, and they engage in their affairs in full consciousness of this fact. It is in maintaining this consciousness of what is truly good (virtue), and awareness that the indifferent things are beyond their power, that makes this a discipline for the Stoic prokoptôn.

ii. The Discipline of Action

The second discipline concerns our ‘impulses to act and not to act’, that is, our motivations, and answers the question as to what we each should do as an individual in our own unique set of circumstances to successfully fulfil the role of a rational, sociable being who is striving for excellence.

The outcome of our actions is not wholly in our power, but our inclination to act one way rather than another, to pursue one set of objectives rather than others, this is in our power. The Stoics use the analogy of the archer shooting at a target to explain this notion. The ideal, of course, is to hit the centre of the target, though accomplishing this is not entirely in the archer’s power, for she cannot be certain how the wind will deflect the arrow from its path, nor whether her fingers will slip, nor whether (for it is within the bounds of possibility) the bow will break. The excellent archer does all within her power to shoot well, and she recognises that doing her best is the best she can do. The Stoic archer strives to shoot excellently, and will not be disappointed if she shoots well but fails to hit the centre of the target. And so it is in life generally. The non-Stoic views their success in terms of hitting the target, whereas the Stoic views their success in terms of having shot well (see Cicero, On Ends 3.22).

The [second area of study] has to do with appropriate action. For I should not be unfeeling like a statue, but should preserve my natural and acquired relations as a man who honours the gods, as a son, as a brother, as a father, as a citizen. (Discourses 3.2.4, trans. Hard)

Appropriate acts are in general measured by the relations they are concerned with. ‘He is your father.’ This means that you are called upon to take care of him, give way to him in all things, bear with him if he reviles or strikes you.
‘But he is a bad father.’
Well, have you any natural claim to a good father? No, only to a father.
‘My brother wrongs me.’
Be careful then to maintain the relation you hold to him, and do not consider what he does, but what you must do if your purpose is to keep in accord with nature. (Handbook 30, trans. Matheson)

The actions we undertake, Epictetus says, should be motivated by the specific obligations that we have in virtue of who we are, our natural relations to others, and what roles we have adopted in our dealings with the wider community (see Discourses 2.10.7–13). Put simply, our interest to live well as rational beings obliges us to act virtuously, to be patient, considerate, gentle, just, self-disciplined, even-tempered, dispassionate, unperturbed, and when necessary, courageous. This returns us to the central Stoic notion that the eudaimôn (‘happy’) life is realised by those who are motivated by virtue. The Discipline of Action points out to the prokoptôn how this should be applied in our practical affairs.

Epictetus sums up the first two disciplines:

We must have these principles ready to hand. Without them we must do nothing. We must set our mind on this object: pursue nothing that is outside us, nothing that is not our own, even as He that is mighty has ordained: pursuing what lies within our will [prohairetika], and all else [i.e., indifferent things] only so far as it is given to us. Further, we must remember who we are, and by what name we are called, and must try to direct our acts [kathêkonta] to fit each situation and its possibilities.
We must consider what is the time for singing, what the time for play, and in whose presence: what will be unsuited to the occasion; whether our companions are to despise us, or we to despise ourselves: when to jest, and whom to mock at: in a word, how one ought to maintain one’s character in society. Wherever you swerve from any of these principles, you suffer loss at once; not loss from without, but issuing from the very act itself. (Discourses 4.12.15–18, trans. Matheson)

The loss here is of course loss of eudaimonia.

Failing to ‘remember who we are’ will result in our failing to pursue those actions appropriate to our individual circumstances and commitments. Epictetus says that this happens because we forget what ‘name’ we have (son, brother, councillor, etc.), ‘for each of these names, if rightly considered, always points to the acts appropriate to it’ (Discourses 2.10.11, trans. Hard). To progress in the Discipline of Action, then, the prokoptôn must be conscious, moment by moment, of (a) which particular social role they are playing, and (b) which actions are required or appropriate for fulfilling that role to the highest standard.

iii. The Discipline of Assent

This exercise focuses on ‘assenting to impressions’, and continues the discussion already introduced in the section above on making proper use of impressions. ‘Assent’ translates the Greek sunkatathesis, which means ‘approve’, ‘agree’, or ‘go along with’. Thus, when we assent to an impression (phantasia) we are committing ourselves to it as a correct representation of how things are, and are saying, ‘Yes, this is how it is.’ The Discipline of Assent, then, is an exercise applied to our impressions in which we interpret and judge them in order to move from having the impression of something or other, to a declaration that such-and-such is the case.

The third area of study has to do with assent, and what is plausible and attractive. For, just as Socrates used to say that we are not to lead an unexamined life [see Plato, Apology 38a], so neither are we to accept an unexamined impression, but to say, ‘Stop, let me see what you are, and where you come from’, just as the night-watch say, ‘Show me your token.’ (Discourses 3.12.14–15, trans. Hard)

Make it your study then to confront every harsh impression with the words, ‘You are but an impression, and not at all what you seem to be’. Then test it by those rules that you possess; and first by this–the chief test of all–’Is it concerned with what is in our power or with what is not in our power?’ And if it is concerned with what is not in our power, be ready with the answer that it is nothing to you. (Handbook 1.5, trans. Matheson)

And we should do this with a view to avoiding falling prey to subjective (and false) evaluations so that we can be free from deception and from making rash judgements about how to proceed in the first two disciplines. For if we make faulty evaluations we will end up (with respect to the first discipline) having desires for the wrong things (namely, ‘indifferents’), and (with respect to the second discipline) acting inappropriately with regard to our duties and obligations. This is why Epictetus remarks that the third topic ‘concerns the security of the other two’ (Discourses 3.2.5, trans. Long).

Epictetus runs through a number of imaginary situations to show how we should be alert to the dangers of assenting to poorly evaluated impressions:

… We ought … to exercise ourselves daily to meet the impressions of our senses …. So-and-so’s son is dead. Answer, ‘That lies outside the sphere of the moral purpose, it is not an evil.’ His father has disinherited So-and-so; what do you think of it? ‘That lies outside the sphere of the moral purpose, it is not an evil.’ Caesar has condemned him. ‘That lies outside the sphere of the moral purpose, it is not an evil.’ He was grieved at all this. ‘That lies within the sphere of the moral purpose, it is an evil.’ He has borne up under it manfully. ‘That lies within the sphere of the moral purpose, it is a good.’ Now, if we acquire this habit, we shall make progress; for we shall never give our assent to anything but that of which we get a convincing sense-impression. His son is dead. What happened? His son is dead. Nothing else? Not a thing. His ship is lost. What happened? His ship is lost. He was carried off to prison. What happened? He was carried off to prison. But the observation: ‘He has fared ill,’ is an addition that each man makes on his own responsibility. (Discourses 3.8.1–5, trans. Oldfather)

What we must avoid, then, is adding to our impressions immediately and without proper evaluation any notion that something good or bad is at hand. For the only thing that is good is moral virtue, and the only harm that anyone can come to is to engage in affairs motivated by vice. Thus, to see the loss of a ship as a catastrophe would count as assenting to the wrong impression, for the impression that we have is that of just a ship being lost. To take the extra step of declaring that this is a misfortune and harmful would be to assent to an impression that is not in fact present, and would be a mistake. The loss of a ship, for a Stoic, is nothing more than a dispreferred indifferent, and does not constitute a harm.

f. God

For Epictetus, the terms ‘God’, ‘the gods’, and ‘Zeus’ are used interchangeably, and they appear frequently in the Discourses. In the Handbook, God is discussed as the ‘captain’ who calls us back on board ship, the subsequent voyage being a metaphor for our departure from life (see Handbook 7). God is also portrayed as ‘the Giver’ to whom we should return all those things we have enjoyed on loan when we lose close relatives or friends who die, and when we lose our possessions through misfortune (see Discourses 4.10.16 and Handbook 11).

If the Stoic making progress (the prokoptôn) understands God, the universe, and themselves in the right way, they ‘will never blame the gods, nor find fault with them’ (Handbook 31.1, trans. Oldfather):

Will you be angry and discontented with the ordinances of Zeus, which he, with the Fates who spun in his presence the thread of your destiny at the time of your birth, ordained and appointed? (Discourses 1.12.25, trans. Hard)

Indeed, they will pray to God to lead them to the fate that He has assigned them:

Lead me, Zeus, and you too, Destiny,
Wherever I am assigned by you;
I’ll follow and not hesitate,
But even if I do not wish to,
Because I’m bad, I’ll follow anyway.
(Handbook 53, trans. White = extract from Cleanthes’ Hymn to Zeus)

[For] God has stationed us to a certain place and way of life. (Discourses 1.9.24, trans. Dobbin)

Epictetus presents orthodox Stoic views on God. His justification for believing in God is expressed essentially along the lines of what we recognise as an argument from design. The order and harmony that we can perceive in the natural world (from astronomical events to the way plants grow and fruit in season) is attributed to a divine providence that orders and controls the entire cosmos intelligently and rationally (see Discourses 1.6.1–11, 1.14.1–6, 1.16.7–8 and 2.14.11/25–7). The Stoics were materialists, and God is conceived of as a type of fiery breath that blends perfectly with all other matter in the universe. In doing this, God transforms matter from undifferentiated ‘stuff’ into the varied forms that we see around us. This process is continuous, and God makes the world as it is, doing what it does, moment by moment. Just as the soul of a person is understood to bring alive and animate what would otherwise be dead and inert matter, so God is thought of as the ‘soul of the world’, and the universe is thought of as a sort of animal.

Stoics hold that the mind of each person is quite literally a fragment (apospasma) of God (see Discourses 2.8.11), and that the rationality that we each possess is in fact a fragment of God’s rationality; and this Epictetus primarily identifies as the capacity we have to make proper use of impressions (see Discourses 1.1.12). Epictetus expresses this in terms of what God has ‘given us’; He is conceived of as having constructed the universe in such a way that we have in our possession all that is within the compass of our own character or moral choice and nothing else, but this is no reason for complaint:

What has He given me for my own and subject to my authority, and what has He left for Himself? Everything within the sphere of the moral purpose He has given me, subjected them to my control, unhampered and unhindered. My body that is made of clay, how could He make that unhindered? Accordingly He has made it subject to the revolution of the universe–[along with] my property, my furniture, my house, my children, my wife. … But how should I keep them? In accordance with the terms upon which they have been given, and for as long as they can be given. But He who gave also takes away. …
And so, when you have received everything, and your very self, from Another [i.e., God], do you yet complain and blame the Giver, if He take something away from you? (Discourses 4.1.100–3, with omissions, trans. Oldfather)

The capacity that the prokoptôn has for understanding, accepting, and embracing this state of affairs, that this is indeed the nature of things, is another of the main foundation stones of Stoic ethics.

g. On Living in Accord with Nature

The outlook adopted and the activities performed by the Stoic student in pursuit of excellence, as detailed in the sections above, are frequently referred to collectively by Epictetus (following the Stoic tradition) as ‘following nature’ or ‘living in harmony with nature’. The Stoic prokoptôn maintains his ‘harmony with nature’ by being aware of why he acts as he does in terms of both (a) what his appropriate actions are, and (b) accepting what fate brings. If, for example, the prokoptôn is berated unfairly by his brother, he will not respond with angry indignation, for this would be ‘contrary to nature’, for nature has determined how brothers should rightly act towards each other (see Discourses 3.10.19–20). The task the Stoic student shoulders is to pursue actions appropriate to him as a brother, despite all and any provocation to act otherwise (see Handbook 30). This, for Epictetus, is a major component of what it means to keep one’s prohairesis (moral character) in harmony with nature (see Discourses 1.6.15, 3.1.25 and 3.16.15).

Keeping ourselves in harmony with nature requires that we focus on two things. Firstly, we must pay attention to our own actions so that we respond appropriately, and secondly we must pay attention to the world in which our actions take effect and which prompts those actions in the first place.

When you are about to undertake some action, remind yourself what sort of action it is. If you are going out for a bath, put before your mind what commonly happens at the baths: some people splashing you, some people jostling, others being abusive, and others stealing. So you will undertake this action more securely if you say to yourself, ‘I want to have a bath and also to keep my choice [prohairesis] in harmony with nature.’ And do likewise in everything you undertake. So, if anything gets in your way when you are having your bath, you will be ready to say, ‘I wanted not only to have a bath but also to keep my choice [prohairesis] in harmony with nature; and I shall not keep it so if I get angry at what happens.’ (Handbook 4, trans. Hard)

In this extract about going to the baths, Epictetus focuses more on accepting what fate brings, saying that we should anticipate the sorts of things that can happen, so that when they do we will not be surprised and will not be angry. In other situations, anticipation of trouble or misfortune is impossible, but all the same, the Stoic will accept their fate as what God has ordained for them, and this for Epictetus is the very essence of keeping in harmony with nature (see Discourses 1.4.18–21).

It is circumstances (difficulties) which show what men are. Therefore when a difficulty falls upon you, remember that God, like a trainer of wrestlers, has matched you with a rough young man. For what purpose? you may say. Why, that you may become an Olympic conqueror; but it is not accomplished without sweat. In my opinion no man has had a more profitable difficulty than you have had, if you choose to make use of it as an athlete would deal with a young antagonist. (Discourses 1.24.1–2, trans. Long)

Every problem we face in life should be understood as a new opportunity to strengthen our moral character, just as every new bout for the wrestler provides an opportunity for them to train their skill in wrestling.

To be instructed is this, to learn to wish that every thing may happen as it does. And how do things happen? As the disposer [i.e., God] has disposed them. And he has appointed summer and winter, and abundance and scarcity, and virtue and vice, and all such opposites for the harmony of the whole; and to each of us he has given a body, and parts of the body, and possessions, and companions.
Remembering then this disposition of things, we ought to go to be instructed, not that we may change the constitution of things, – for we have not the power to do it, nor is it better that we should have the power, – but in order that, as the things around us are what they are and by nature exist, we may maintain our minds in harmony with the things which happen. (Discourses 1.12.15–17, trans. Long)

The wise and good man … submits his own mind to him who administers the whole [i.e., God], as good citizens do to the law of the state. He who is receiving instruction ought to come to be instructed with this intention, How shall I follow the gods in all things, how shall I be contented with the divine administration, and how can I become free? For he is free to whom every thing happens according to his will [prohairesis], and whom no man can hinder. (Discourses 1.12.7–9, trans. Long)

In this last extract we see Epictetus refer to the ideal Stoic practice as that of ‘following the gods’. This means essentially the same as ‘following nature’, for God, who is immanent in the world (as the Stoics understand it) is identified with the way the world manifests, so if one follows nature, one must also be following God (see Discourses 1.20.15, 1.30.4, 4.7.20 and 4.10.14).

h. Metaphors for Life

Epictetus employs a number of metaphors to illustrate what the Stoic attitude to life should be.

Life as a festival

In this metaphor, Epictetus encourages us to think of life as a festival, arranged for our benefit by God, as something that we can live through joyously, able to put up with any hardships that befall us because we have our eye on the larger spectacle that is taking place. He asks his students:

Who are you, and for what purpose have you come? Was it not he [i.e., God] who brought you here? … And as what did he bring you here? Was it not as a mortal? Was it not as one who would live, with a little portion of flesh, upon this earth, and behold his governance and take part with him, for a short time, in his pageant and his festival? (Discourses 4.1.104, trans. Hard)

The whole thrust of Stoic ethics aims to persuade us that we should ourselves contribute to the festival by living as well as we may and fulfilling our duties as sociable citizens of God’s ‘great city of the universe’ (Discourses 3.22.4, trans. Hard). (See also Discourses 1.12.21, 2.14.23 and 4.4.24–7/46.)

Life as a game

At Discourses 2.5.2, in encouraging his students to appreciate that external things are indifferent (being neither good nor bad), Epictetus says that we should imitate those who play dice, for neither the dice nor the counters have any real value; what matters, and what is either good or bad, is the way we play the game. Similarly at 2.5.15–20, where Epictetus discusses the example of playing a ball game, no one considers for a moment whether the ball itself is good or bad, but only whether they can throw and catch it with the appropriate skill. What matters are the faculties of dexterity, speed and good judgement exhibited by the players, for it is in deploying these faculties effectively that any player is deemed to have played well. (See also Discourses 4.7.5/19/30–1.) Epictetus also uses the metaphor of playing games when discussing suicide, for just as someone stops playing a game when they are no longer amused by it, so it should be in life generally: if life should become unbearable, no one can force us to keep living it.

To summarize: remember that the door is open. Do not be more cowardly than children, but just as they say, when the game no longer pleases them, ‘I will play no more,’ you too, when things seem that way to you, should merely say, ‘I will play no more,’ and so depart; but if you stay, stop moaning. (Discourses 1.24.20, trans. Hard; see also 1.25.7–21 and 2.16.37)

Life as weaving

In this metaphor, the wool that the weaver uses to make cloth takes the place of the ball in the game; that is, whatever material comes our way, it is our duty to make proper use of it, and if possible make it into the best thing of its kind as we can (see Discourses 2.5.21–2).

Life as a play

We have already seen, when discussing the Discipline of Action, that Epictetus urges us to ‘remember who we are’ and what ‘name’ we have, because what role we play in life will determine which actions are appropriate for us. Obviously, the metaphor of life as a play expands on this idea, but also brings in the notion of our having to accept our fate, whatever that may be, since we do not ourselves chose the role we must play (for although we may aim for one role rather than another, we must recognise that our attaining it is not, in fact, ‘in our power’).

Remember that you are an actor in a play, which is as the author [i.e., God] wants it to be: short, if he wants it to be short; long, if he wants it to be long. If he wants you to act a poor man, a cripple, a public official, or a private person, see that you act it with skill. For it is your job to act well the part that is assigned to you; but to choose it is another’s. (Handbook 17, trans. Hard)

Life as an athletic contest

This metaphor invites us to see an analogy between one’s training in Stoic ethics as preparatory for living the philosophic life and someone’s training in athletics as preparatory for entering the contest in the arena. Epictetus addresses someone who has become distressed at not having enough leisure to study their philosophy books, saying:

For is not reading a kind of preparation for living, but living itself made up of things other than books? It is as if an athlete, when he enters the stadium, should break down and weep because he is not exercising outside. This is what you were exercising for; this is what the jumping-weights, and the sand and your young partners were all for. So are you now seeking for these, when it is the time for action? That is just as if, in the sphere of assent, when we are presented with impressions, some of which are evidently true and others not, instead of distinguishing between them, we should want to read a treatise On Direct Apprehension. (Discourses 4.4.11–13, trans. Hard)

Training to live a life that befits someone who strives for the Stoic ideal is directly compared to athletic training. Such training is difficult, demanding, and unpleasant; there is little point in showing eagerness for any endeavour if we have not properly assessed the demands that will be placed upon us, and in inevitably losing our original enthusiasm we will look foolish. This applies to philosophic training no less than to training as a wrestler in preparation for competing in the Olympic games (see Discourses 3.15.1–13 = Handbook 29). Elsewhere, Epictetus declares that delay is no longer possible, that we must meet the challenges that life throws at us:

Therefore take the decision right now that you must live as a full-grown man, as a man who is making progress; and all that appears to be best must be to you a law that cannot be transgressed. And if you are confronted with a hard task or with something pleasant, or with something held in high repute or no repute, remember that the contest is now, and that the Olympic games are now, and that it is no longer possible to delay the match, and that progress is lost and saved as a result of one defeat and even one moment of giving in. (Handbook 51.2, trans. Boter; see also Discourses 1.4.13–17, 1.18.21–3, 1.24.1–2 and 3.25.3)

Life as military service

This metaphor returns us to the Stoic idea that the universe is governed by God, and that, like it or not, we are all in service to God. The Stoic prokoptôn (student making progress) should understand that they should live life attempting to discharge this service to the highest standards. Epictetus addresses the person who is upset that they are obliged to travel abroad, causing their mother to be distressed at their absence.

Do you not know that life is a soldier’s service? One man must keep guard, another go out to reconnoitre, another take the field. It is not possible for all to stay where they are, nor is it better so. But you neglect to fulfil the orders of the general and complain, when some severe order is laid upon you; you do not understand to what a pitiful state you are bringing the army so far as in you lies; you do not see that if all follow your example there will be no one to dig a trench, or raise a palisade, no one to keep night watch or fight in the field, but every one will seem an unserviceable soldier.
… So too it is in the world; each man’s life is a campaign, and a long and varied one. It is for you to play the soldier’s part–do everything at the General’s bidding, divining his wishes, if it be possible. (Discourses 3.24.31–5, trans. Matheson; see also 1.9.24 and 1.16.20–1)

i. Making Progress

In making progress, the Stoic prokoptôn will pay a price. In standing to God, the world, society, herself and her undertakings in this new way (by accepting the Stoic notions of what is truly good, what is truly up to her, where her proper duties lie, and in considering her life to be one of service to God), the prokoptôn separates herself from the rest of society in fairly marked, if not profound, ways. For example, Epictetus wants his students to enjoy and participate in the ‘festival of life’, yet at the public games (for instance) they must not support any one individual, but must wish the winner to be he who actually wins; they must refrain entirely from shouting or laughing, and must not get carried away by the spectacle of the contest (Handbook 33.10). So whilst the prokoptôn’s friends immerse themselves fully in the games, cheering on their man and jeering at his opponent, the Stoic stands aloof and detached. Deliberately separating herself from the crowd is the price she pays for well-being (eudaimonia), dispassion (apatheia), tranquillity and imperturbability (ataraxia), along with the conviction that she is living as God intends.

But having declared her hand, the prokoptôn will pay in other ways also, for those around her will rebuke and ridicule her (Handbook 22), for in abandoning the values and practices common to the wider community, she will provoke hostility and suspicion. Yet there remains the hope that some at least will see the prokoptôn as someone whose wisdom has value for the community at large, as someone who serves as an example of how one may get along in the world without being overwhelmed by it, as someone with specific skills to offer, such as mediating family disputes and suchlike (see Discourses 1.15.5).

Epictetus characterises the differences between the non-philosopher and someone making progress in these terms:

This is the position and character of a layman: He never looks for either help or harm from himself, but only from externals. This is the position and character of the philosopher: He looks for all his help or harm from himself.
Signs of one who is making progress are: He censures no one, praises no one, blames no one, finds fault with no one, says nothing about himself as though he were somebody or knew something. When he is hampered or prevented, he blames himself. And if anyone compliments him, he smiles to himself at the person complimenting; while if anyone censures him, he makes no defence. He goes about like an invalid, being careful not to disturb, before it has grown firm, any part which is getting well. He has put away from himself every desire, and has transferred his aversion to those things only, of what is under our control [eph’ hêmin], which are contrary to nature. He exercises no pronounced choice in regard to anything. If he gives the appearance of being foolish or ignorant he does not care. In a word, he keeps guard against himself as though he were his own enemy lying in wait. (Handbook 48.1–3, trans. Oldfather)

Epictetus’ life as a Stoic teacher can perhaps be regarded as a personal quest to awaken to true philosophic enlightenment that person who will stand up proudly when his teacher pleads:

Pray, let somebody show me a person who is in such a good way that he can say, ‘I concern myself only with what is my own, with what is free from hindrance, and is by nature free. That is what is truly good, and this I have. But let all else be as god may grant; it makes no difference to me.’ (Discourses 4.13.24, trans. Hard)

For having attained such enlightenment himself (for surely this we must suppose), Epictetus devoted his life to raising up others from the crowd of humanity who could stand beside him and share in a perception of the universe and a way of life that any rational being is obliged to adopt in virtue of the nature of things.

5. Glossary of Terms

adiaphora

‘indifferent’; any of those things that are neither good or bad, everything, in fact, that does not fall under the headings ‘virtue’ or ‘vice’. The indifferents are what those lacking Stoic wisdom frequently take to have value (either positive or negative), and hence take to be desirable or undesirable. Pursuing them, or trying to avoid them, can lead to disturbing emotions that undermine one’s capacity to lead a eudaimôn life.

apatheia

freedom from passion, a constituent of the eudaimôn life.

aphormê

aversion; the opposite of hormê.

apoproêgmena

any ‘dispreferred’ indifferent, including such things as sickness, poverty, social exclusion, and so forth (conventionally ‘bad’ things). Suffering any of the dispreferred indifferents does not detract from the eudaimôn life enjoyed by the Stoic sophos. See proêgmena.

appropriate action

see kathêkon.

aretê

‘excellence’ or virtue; in the context of Stoic ethics the possession of ‘moral excellence’ will secure eudaimonia. For Epictetus, one acquires this by learning the correct use of impressions, following God, and following nature.

askesis

training or exercise undertaken by the Stoic prokoptôn striving to become a Stoic sophos.

assent

see sunkatathesis and phantasiai (impressions).

ataraxia

imperturbability, literally ‘without trouble’, sometimes translated as ‘tranquillity’; a state of mind that is a constituent of the eudaimôn life.

duty

see kathêkon.

ekklisis

avoidance; opposite of orexis.

ektos

‘external’; any of those things that fall outside the preserve of one’s prohairesis, including health, wealth, sickness, life, death, pain – what Epictetus calls aprohaireta, which are not in our power, the ‘indifferent‘ things.

emotion

see pathos.

end

see telos.

eph’ hêmin

what is in our power, or ‘up to us’ – namely, the correct use of impressions.

eudaimonia

‘happiness’ or ‘flourishing’ or ‘living well’. One achieves this end by learning the correct use of impressions following God, and following nature.

eupatheiai

‘good feelings’, possessed by the Stoic wise person (sophos) who experiences these special sorts of emotions, but does not experience irrational and disturbing passions.

excellence

see aretê.

external thing

see ektos.

God

see theos.

hêgemonikon

‘commanding faculty’ of the soul (psuchê); the centre of consciousness, the seat of all mental states, thought by the Stoics (and other ancients) to be located in the heart. It manifests four mental powers: the capacity to receive impressions, to assent to them, form intentions to act in response to them, and to do these things rationally. The Discourses talk of keeping the prohairesis in the right condition, and also of keeping the hêgemonikon in the right condition, and for Epictetus these notions are essentially interchangeable.

hormê

impulse to act; that which motivates an action.

impressions

see phantasiai.

indifferents

see adiaphora.

kathêkon

any ‘appropriate action’, ‘proper function’, or ‘duty’ undertaken by someone aiming to do what befits them as a responsible, sociable person. The appropriate actions are the subject of the second of the three topoi.

katorthôma

a ‘right action’ or ‘perfect action’ undertaken by the Stoic sophos, constituted by an appropriate action performed virtuously.

orexis

‘desire’ properly directed only at virtue.

passion

see pathos.

pathos

any of the disturbing emotions or ‘passions’ experienced by those who lack Stoic wisdom and believe that externals really are good or bad, when in fact they are ‘indifferent‘. A pathos according to the Stoics is a false judgement based on a misunderstanding of what is truly good and bad.

phantasiai

‘impressions’, what we are aware of in virtue of having experiences. Whereas non-rational animals respond to their impressions automatically (thus ‘using’ them), over and above using our impressions, human beings, being rational, can ‘attend to their use’ and, with practice, assent or not assent to them as we deem appropriate. The capacity to do this is what Epictetus strives to teach his students.

phusis

nature. To acquire eudaimonia one must ‘follow nature’, which means accepting our own fate and the fate of the world, as well as understanding what it means to be a rational being and strive for virtue. See aretê and God.

proêgmena

any ‘preferred’ indifferent, conventionally taken to be good, including such things as health and wealth, taking pleasure in the company of others, and so forth. Enjoying any of the preferred indifferents is not in itself constitutive of the eudaimôn life sought by the Stoic prokoptôn. See apoproêgmena.

prohairesis

‘moral character’, the capacity that rational beings have for making choices and intending the outcomes of their actions, sometimes translated as will, volition, intention, choice, moral choice, moral purpose. This faculty is understood by Stoics to be essentially rational. It is the faculty we use to ‘attend to impressions‘ and to give (or withhold) assent to impressions.

prokoptôn

one who is making progress (prokopê) in living as a Stoic, which for Epictetus means above all learning the correct use of impressions.

proper function

see kathêkon.

right action

see katorthôma.

sophos

the Stoic wise person who values only aretê and enjoys a eudaimôn life. The sophos enjoys a way of engaging in life that the prokoptôn strives to emulate and attain.

sunkatathesis

assent; a capacity of the prohairesis to judge the significance of impressions.

tarachê

disturbance, trouble; what one avoids when one enjoys ataraxia.

telos

end; that which we should pursue for its own sake and not for the sake of any other thing. For the Stoic, this is virtue. Epictetus formulates the end in several different but closely related ways. He says that the end is to maintain one’s prohairesis in proper order, to follow God, and to follow nature, all of which count as maintaining a eudaimôn life. The means by which this is to be accomplished is to apply oneself to the ‘three disciplines‘ assiduously.

theos

God, who is material, is a sort of fiery breath that blends with undifferentiated matter to create the forms that we find in the world around us. He is supremely rational, and despite our feelings to the contrary, makes the best world that it is possible to make. Epictetus says that we should ‘follow God’, that is, accept the fate that He bestows on us and on the world. Stoics understand that the rationality enjoyed by every human being (and any other rational beings, should there be any) is literally a fragment of God.

topoi

‘topics’. The ‘three topics’ or ‘fields of study’ which we find elucidated in the Discourses is an original feature of Epictetus’ educational programme. The three fields of study are: (1) The Discipline of Desire, concerned with desire and avoidance (orexis and ekklisis), and what is really good and desirable (virtue, using impressions properly, following God, and following nature); (2) The Discipline of Action, concerned with impulse and aversion (hormê and aphormê), and our ‘appropriate actions‘ or ‘duties’ with respect to living in our communities in ways that befit a rational being; and (3) The Discipline of Assent, concerned with how we should judge our impressions so as not to be carried away by them into anxiety or disturbing emotions with the likelihood of failing in the first two Disciplines.

virtue

from the Latin virtus which translates the Greek aretê, ‘excellence’.

Zeus

the name for God; Epictetus uses the terms ‘Zeus’, ‘God’, and ‘the gods’ interchangeably.

6. References and Further Reading

a. Translations of Epictetus

(Note: ‘Enchiridion‘, ‘Encheiridion‘, ‘Handbook‘, and ‘Manual‘ all refer to the same work. Items in print and currently available are indicated with an asterisk*.)

  • *Boter, Gerard. 1999. The Encheiridion of Epictetus & its Three Christian Adaptations: Transmission & Critical Editions. Leiden: Brill.
  • *Dobbin, Robert. 1998. Epictetus: Discourses Book 1. Oxford: Clarendon.
    • Includes commentary.
  • *Hard, Robin. 1995. The Discourses of Epictetus. ed. with introduction and notes by Christopher Gill. London: Everyman/Dent.
    • Includes the complete Discourses, The Handbook, and Fragments.
  • Higginson, Thomas Wentworth. 1890. The Works of Epictetus Consisting of His Discourses, in Four Books, The Enchiridion, and Fragments. Boston: Little, Brown, & Company.
  • Higginson, Thomas Wentworth. 1944. Epictetus: Discourses and Enchiridion. Roslyn, NY: Walter J. Black.
    • Reprint of the nineteenth-century translation with minor editorial alterations.
  • *Higginson, Thomas Wentworth. 1948. The Enchiridion. Upper Saddle River, NJ: Prentice Hall.
    • Reprint of nineteenth-century translation.
  • *Lobell, Sharon. 1995. Epictetus: The Art of Living. The Classic Manual on Virtue, Happiness, and Effectiveness: A New Interpretation. San Francisco: HarperSanFrancisco.
    • A free paraphrase of the Handbook.
  • Long, George. 1890. The Discourses of Epictetus with the Encheiridion and Fragments. London: George Bell.
    • First published 1848.
  • *Long, George. 1991. Enchiridion. Amherst, NY: Prometheus.
    • Reprint of nineteenth-century translation.
  • Matheson, P. E. 1916. Epictetus: The Discourses and Manual. 2 vols. Oxford: Clarendon Press.
  • *Matson, Wallace I. 1998. Epictetus: Encheiridion. in Louis P. Pojman. ed. Classics of Philosophy: Volume 1, Ancient and Medieval. New York: Oxford University Press.
  • *Oldfather, W. A. 1925, 1928. Epictetus: The Discourses as Reported by Arrian, The Manual, and Fragments. 2 vols. Cambridge, MA: Loeb Classical Library, Harvard University Press.
    • With original Greek text facing English translation.
  • *Saunders, Jason L. ed. 1996. Greek and Roman Philosophy after Aristotle. New York: Free Press.
    • Readings from Epicureanism, Stoicism, Scepticism, Philo, Plotinus, and early Christian thought. Includes P. E. Matheson’s translation of the Manual of Epictetus.
  • *White, Nicholas. 1983. Handbook of Epictetus. Indianapolis: Hackett.
    • A very competent and readable translation, with notes and a helpful, clear introduction.

b. Translations of Hellenistic Philosophers, including the Stoics

  • Inwood, Brad and L. P. Gerson. 1997. Hellenistic Philosophy: Introductory Readings. 2nd edition. Indianapolis: Hackett.
    • Readings from the main schools: Epicureanism, Stoicism and Scepticism.
  • Long, A. A. and D. N. Sedley. 1987. The Hellenistic Philosophers, Volume 1. Cambridge: Cambridge University Press.
    • Readings from the main schools: Epicureanism, Stoicism, Scepticism, and the Academics. Includes commentaries on the readings. This is the standard primary source text. Volume 2 contains the original Greek and Latin.

c. Items that Address Epictetus Specifically

  • Bonhöffer, Adolf Friedrich. 1996. The Ethics of the Stoic Epictetus. trans. William O. Stephens. New York: Peter Lang.
    • A very nicely done translation of this significant nineteenth-century work first published in 1894.
  • Hijmans, B. L. 1959. Askesis: Notes on Epictetus’ Educational System. Assen: Van Gorcum.
  • Long, A. A. 2002. Epictetus: A Stoic and Socratic Guide to Life. Oxford: Oxford University Press.
  • Stephens, William O. 1996. Epictetus on How the Stoic Sage Loves. Oxford Studies in Ancient Philosophy 14: 193–210.
    • A very clear, scholarly survey of Epictetus’ ethics.
  • Stockdale, James Bond. 1993. Courage Under Fire: Testing Epictetus’s Doctrines in a Laboratory of Human Behavior. Stanford: Hoover Institution/Stanford University.
    • An account of how the author used the principles of Stoic ethics to survive the rigors of a Vietnamese prisoner of war camp.
  • Xenakis, Jason. 1969. Epictetus: Philosopher–Therapist. The Hague: Martinus Nijhoff.

d. Items Addressing Stoic Philosophy and/or Hellenistic Ethics Generally

  • Annas, Julia. 1995. The Morality of Happiness. New York: Oxford University Press.
  • Gould, Josiah B. 1970. The Philosophy of Chrysippus. Albany, NY: State University of New York Press.
  • Hadot, Pierre. 1995. Philosophy as a Way of Life. Oxford: Blackwell.
    • Engaging essays on the notion of philosophy as a way of life, with focus on Stoic practice.
  • Hadot, Pierre. 1998. The Inner Citadel: The Mediations of Marcus Aurelius. Cambridge, MA: Harvard University Press.
    • Contains a very helpful chapter on Epictetus.
  • Inwood, Brad. 1985. Ethics and Human Action in Early Stoicism. Oxford: Clarendon Press.
  • Lesses, Glen. 1989. Virtue and the Goods of Fortune in Stoic Moral Theory. Oxford Studies in Ancient Philosophy 7: 95–127.
  • Lesses, Glen. 1993. Austere Friends: The Stoics and Friendship. Apeiron 26: 57–75.
  • Long, A. A. 1986. Hellenistic Philosophy: Stoics, Epicureans, Sceptics. 2nd ed. Berkeley and Los Angeles: University of California Press.
  • More, Paul Elmer. 1923. Hellenistic Philosophies. Princeton, NJ: Princeton University Press.
  • Nussbaum, Martha C. 1994. The Therapy of Desire: Theory and Practice in Hellenistic Ethics. Princeton, NJ: Princeton University Press.
    • Contains very helpful chapters on Stoic ethics from the view point of philosophy as therapy, as the ancients conceived it.
  • Reale, Giovanni. 1990. A History of Ancient Philosophy: 4. The Schools of the Imperial Age. ed. & trans. John R. Catan. Albany, NY: State University of New York Press.
  • Sandbach, F. H. 1989. The Stoics. London: Duckworth and Indianapolis: Hackett.
  • Sharples, R. W. 1996. Stoics, Epicureans, and Sceptics: An Introduction to Hellenistic Philosophy. London: Routledge.
  • Striker, Gisela. 1990. Ataraxia: Happiness as Tranquillity. The Monist 73–1: 97–110. also in Striker 1996
  • Striker, Gisela. 1991. Following Nature: A Study in Stoic Ethics. Oxford Studies in Ancient Philosophy 9: 1–73. also in Striker 1996.
  • Striker, Gisela. 1996. Essays on Hellenistic Epistemology and Ethics. Cambridge: Cambridge University Press.

e. Other items on Hellenistic philosophy generally

  • Algra, Keimpe, et al. eds. 1999. The Cambridge History of Hellenistic Philosophy. Cambridge: Cambridge University Press.
  • Annas, Julia. 1992. Hellenistic Philosophy of Mind. Berkeley and Los Angeles: University of California Press.

Author Information

Keith H. Seddon
Email: k.h.s@btinternet.com
Warnborough College
Ireland

Empedocles (c. 492—432 B.C.E.)

empedoclesEmpedocles (of Acagras in Sicily) was a philosopher and poet: one of the most important of the philosophers working before Socrates (the Presocratics), and a poet of outstanding ability and of great influence upon later poets such as Lucretius. His works On Nature and Purifications (whether they are two poems or only one – see below) exist in more than 150 fragments. He has been regarded variously as a materialist physicist, a shamanic magician, a mystical theologian, a healer, a democratic politician, a living god, and a fraud. To him is attributed the invention of the four-element theory of matter (earth, air, fire, and water), one of the earliest theories of particle physics, put forward seemingly to rescue the phenomenal world from the static monism of Parmenides. Empedocles’ world-view is of a cosmic cycle of eternal change, growth and decay, in which two personified cosmic forces, Love and Strife, engage in an eternal battle for supremacy. In psychology and ethics Empedocles was a follower of Pythagoras, hence a believer in the transmigration of souls, and hence also a vegetarian. He claims to be a daimôn, a divine or potentially divine being, who, having been banished from the immortals gods for ‘three times countless years’ for committing the sin of meat-eating and forced to suffer successive reincarnations in an purificatory journey through the different orders of nature and elements of the cosmos, has now achieved the most perfect of human states and will be reborn as an immortal. He also claims seemingly magical powers including the ability to revive the dead and to control the winds and rains.

Table of Contents

  1. Life
  2. Works
  3. Physics and Cosmology
    1. Physics
    2. Cosmology
  4. Biology
    1. Origin of Species
    2. Embryology
    3. Perception and Thought
  5. Ethics and the Journey of the Soul
    1. The Daimôns and Transmigration of Souls
    2. Meat-Eating and Sin
    3. Theology
    4. Physics and Theology
  6. References and Further Reading
    1. Texts and Commentaries
    2. Studies

1. Life

The most detailed source for Empedocles’ life is Diogenes Laertius’ Lives of the Eminent Philosophers 8.51-75. Perhaps because of his claims to divine status and magical powers a remarkable number of apocryphal stories gathered around the life of Empedocles in antiquity. His death in particular attracted attention and is reported to have occurred in several, clearly bathetic, ways: that he fell overboard from a ship and drowned; that he fell from his carriage, broke his leg and died; that he hanged himself; or the most famous account that, when he felt he was shortly to die and because he wished to appear to have been apotheosized, he leapt into the crater of Etna. In this story the ruse was unfortunately discovered when one of his trademark bronze sandals was thrown up by the volcano.

From more reliable sources it seems that he was born at Acragas in Sicily around 492 B.C.E. and died at the age of sixty. He was the son of a certain Meton, and was from an important and wealthy local aristocratic family: his grandfather, also called Empedocles, is reported to have been victorious in horse-racing at the Olympic Games in 496 B.C.E. It is not known where or with whom he studied philosophy, but various teachers are assigned to him by ancient sources, among them Parmenides, Pythagoras, Xenophanes, Anaxagoras and Anaximander (from whom he is said to have inherited his extravagant mode of dress). Whether or not he was his pupil, Empedocles was certainly very familiar with the work of Parmenides from whom he took the inspiration to write in hexameter verse, and whose physical system he adopts in part, and partly seeks to rectify.

He is reported to have been wealthy and to have kept a train of boy attendants and also to have provided dowries for many girls of Acragas. In dress he affected a purple robe with a golden girdle, bronze sandals, and a Delphic laurel-wreath, and in his manner he was grave and cultivated a regal public persona. These attributes contrast with his political outlook which is uniformly reported to have been actively pro-democratic. He began his political career with the prosecution of two state officials for their arrogant behaviour towards foreign guests which was seen as a sign of incipient tyrannical tendencies. He is also credited with activities against other anti-democratic citizens, and even with putting down an oligarchy and instituting a democracy at Acragas by use of his powers of rhetorical persuasion. Two speeches of his in favour of equality are also mentioned. His surviving poetry certainly shows considerable rhetorical skills, and indeed he is credited by Aristotle with the invention of rhetoric itself. Another report is of his breaking up a shadowy aristocratic political organisation called the ‘Thousand’. As a whole the tradition presents a picture of Empedocles as a popular politician, rhetorician, and champion of democracy and equality. This appears to fit in with the known history of Acragas where after the death of the popular and enlightened tyrant Theron in 473 B.C.E. his son Thrasydaeus proved to be a violent despot. After his forcible removal a democracy was established despite continuing political tensions.

As well as a being a philosopher, poet and politician, Empedocles was famous for his medical skills and healing powers. In his works he presents himself as a wandering healer offering to thousands of eager followers ‘prophecies’ and ‘words of healing for all kinds of illnesses’ (fr. 112 (Fragment numbers are those of Diels-Kranz)). He also promises his addressee Pausanias ‘you will learn remedies (pharmaka) for ills and help against old age’ and even ‘you will lead from Hades the life-force of a dead man’. To what degree this represents the real Empedocles is not known, but a tradition grew up of him as both a renowned physician and a practitioner of more magical cures, or as a charlatan. These stories however, may well derive from Empedocles’ own words in his poetry. On the other hand his work does show considerable interest in biology and especially in embryology and he was eminent enough as a writer on medicine to be attack ed by the writer of the Hippocratic treatise On Ancient Medicine who attempts to separate medicine from philosophy and rejects Empedocles’ work along with all philosophical medical works as irrelevant. The stories of his wonder-working such as curing entire plagues, reviving the dead and controlling the elements are clearly exaggerated at least, but it is becoming clearer, especially since the discovery of the Strasbourg fragments (see below), that, contrary to many former interpretations, Empedocles did not make a clear separation between his philosophy of nature and the more mystical, theological aspects of his philosophy, and so may well have seen no great difference in kind between healing ills through empirical understanding of human physiognomy and healing by means of sacred incantations and ritual purifications. His public as well may have made no great distinction between ‘scientific’ and sacred medicine as is suggested by the account of Empedocles curing a plague by restoring a fresh water-supply, after which he was venerated as a god.

2. Works

Empedocles work survives only in fragments, but luckily in a far greater number than any of the other Presocratics. These fragments are mostly quotations found in other authors such as Aristotle and Plutarch. Although many works, including tragedies and a medical treatise, are attributed to Empedocles by ancient sources no fragments of these have survived, and the extant fragments all come from a work of hexameter poetry traditionally entitled On Nature (Peri Phuseôs) or Physics (Phusika) and some from a possibly separate work called Purifications (Katharmoi). Of these two titles On Nature is by far the better attested and nearly all the fragments which are cited by ancient authors along with the title of the work they came from are attributed to On Nature, while only two are attributed to the Purifications. Because the fragments contain both material that clearly refers to physics and cosmology – the four elements, the cosmic cycle etc. – and also material concerning the fate of the soul, sin and purification, traditionally the former were placed in reconstructions of On Nature, and the latter in the Purifications. Indeed Empedocles’ writings contain ideas and themes that may seem quite incompatible with one another. On Natureas usually reconstructed seemed the work of a mechanist physicist which seeks to replace the traditional gods with four lifeless impersonal elements and two cosmic forces of attraction and repulsion, Love and Strife. The Purifications on the other hand seemed the work of a deeply religious Pythagorean mystic: it was often thought that Empedocles either wrote the Purifications as a move away from the mechanistic materialist position in On Nature, or that the Purifications were an addendum to On Nature, looking at the world from quite a different perspective.

However there have long been doubts about whether there were really two poems or only one poem (perhaps called On Nature and Purifications or with On Nature and Purifications as alternative titles for the same work) which contained both physical and religious material. First, although we may think of a poem called Physics as restricting itself to physical concerns alone, this may well be an anachronistic retrojection of modern rationalistic ideas of a gulf between physics and religion. Further, ancient book titles tend to be generic and there is a long tradition of works called either On Nature (Peri Phuseôs) or Physics (Physika) by various authors, with the earliest attested title for such works being On the Nature of the Universe (Peri Phuseôs tôn Ontôn ‘On the Nature of Things that Exist’), and so neither title may be Empedocles’ own and the two may perhaps be interchangeable different titles for the same work. Although there is still argument on this subject the Strasbourg fragments now suggest strongly that both physical and religious material was originally together in On Nature.

In 1990 the first ancient papyrus fragments of Empedocles were rediscovered at the University of Strasbourg and were published in 1999. Since these were also the first papyrus fragments of any of the Presocratics their discovery caused considerable excitement. Among other important new information they give about Empedocles’ philosophy, with great good fortune fr. a, the longest of the new fragments, was found to be a continuation of the longest of the previously known fragments (fr. 17) and thus now the two together form a continuous text of 69 lines. Fr. 17 is cited by Simplicius as being from book one of On Nature, and again very fortunately Strasbourg fr. a(ii) contains a marginal note by the manuscript copyist identifying line 30 of fr. a(ii) as line 300 of book one of On Nature. Since the Strasbourg fragments seem to have come from a single piece of papyrus, and they also overlap with a formerly known religious fragment usually placed in the Purifications (fr. 1 39) it now seems very likely that Empedocles introduced the themes of sin and purification early on in the physical poem. In fact it can now be argued that all of the fragments of the Purifications can be accommodated in the early part of book one of On Nature.

3. Physics and Cosmology

a. Physics

The foundations of Empedocles’ physics lie in the assumption that there are four ‘elements’ of matter, or ‘roots’ as he calls them, using a botanical metaphor that stresses their creative potential: earth, air, fire and water. These are able to create all things, including all living creatures, by being ‘mixed’ in different combinations and proportions. Each of the elements however, retains its own characteristics in the mixture, and each is eternal and unchanging. The positing of these four roots of matter forms part of a tradition of opposite material creative principles in Presocratic philosophy, but it also has its origins in an attempt to counter the theories of Parmenides who had argued that the world is single and unchanging since nothing can come from nothing and nothing can be destroyed into nothing: the theory known as Eleatic monism. Empedocles’ response was to appropriate Parmenides’ ideas and to use them against themselves. Nothing can come from nothing nor be destroyed into nothing (fr. 12), and therefore, in order to rescue the reality of the phenomenal world, there must be assumed to exist something eternal and unchanging beneath the constant change, growth and decay of the visible world. Empedocles then, transfers the changelessness that Parmenides attributes to the entire world to his four elements, and replaces the static singularity Parmenides’ world with a dynamic plurality. The four elements correspond closely to their expression at the macroscopic level of nature, with the traditional quadripartite division of the cosmos into earth, sea, air, and the fiery aether of the heavenly bodies: these four naturally occurring ‘elements’ of the cosmos clearly represent a fundamental natural division of matter at the largest scale. This division at the macroscopic level of reality is applied reductively at the microscopic level to produce a parallelism between the constituents of matter and the fundamental constituents of the cosmos, but the reduction of the world into four types of material particles does not deny the reality of the world we see, but instead validates it. Empedocles stresses this parallel between the elements at the different levels of reality by using the terms ‘sun’ ‘sea’ and ‘Earth’ interchangeably with ‘fire’, ‘water’ and ‘earth’. Of the four elements, although Empedocles stresses their equality of powers, fire is also granted a special role both in its hardening effect on mixtures of the other elements and also as the fundamental principle of living things.

b. Cosmology

Empedocles also posits two cosmic forces which work upon the elements in both creative and destructive ways. These he personifies as Love (Philia) – a force of attraction and combination – and Strife (Neikos) – a force of repulsion and separation. Whether these cosmic forces are to be envisaged in simply mechanistic terms as descriptions of the way things happen, or as expressions of internal properties of the elements, or as external forces that act upon the elements, is not clear. It is also unclear whether the two forces are to be seen as impersonal mechanistic physical forces or as intelligent divinities that act in purposive ways in creation and destruction. Evidence can be found for all these interpretations. What is clear is that these two forces are engaged in an eternal battle for domination of the cosmos and that they each prevail in turn in an endless cosmic cycle. The details of this cosmic cycle are also difficult to establish, but the most widely accepted interpretation is represented in the following diagram:

EmpGraph

Beginning from the top of the diagram and proceeding clockwise, when Love is completely dominant she draws all the elements fully together into a Sphere in which, although the elements are not fused together into a single mass, each is indistinguishable from the others. The Sphere then, is an a-cosmic state during which no matter can exist, and no life is possible. Then as Love’s power gradually weakens and Strife begins to grow in power, he gradually separates out the elements from the Sphere until there is enough separation for matter to come into existence, for the world to be created and for all life to be born. When Strife has achieved total domination we again get an a-cosmic state in which the elements are separated completely and the world and all life is destroyed in a Whirl. Then Love begins to increase in power and to draw the elements together again, and as she does so the world is again created and life is again born. When Love has achieved full dominan ce we return once more to the sphere. As Empedocles puts it in fr. 17.1-8:

A twofold tale I shall tell: at one time it grew to be one only from many, and at another again it divided to be many from one. There is a double birth of what is mortal, and a double passing away; for the uniting of all things brings one generation into being and destroys it, and the other is reared and scattered as they are again being divided. And these things never cease their continuous exchange of position, at one time all coming together into one through Love, at another again being borne away from each other by Strife’s repulsion.

The cosmos exists in a state of constant flux then, beneath which there is a certain sort of stability in the eternity of the elements. The world is in a constant state of organic evolution, and there appear to be two different creations and two different worlds which have no direct link between them. According the most widely accepted interpretation Empedocles considered that we ourselves inhabit the world under the increasing power of Strife.

4. Biology

Empedocles’ physics have a particularly biological focus as is indicated by his choice of the botanical metaphor of ‘roots’ for what were later called ‘elements’. The term ‘roots’ stresses the creative potential of the roots rather than illustrating the way they create things by being mixed in different combinations: ‘elements’ (stoicheia in Greek, elementa in Latin) is the word for the letters of the alphabet, and is a metaphor that stresses the ability of the elements of matter to form different types of matter by interchange of position just as a limited number of letters are able to form all sorts of different words on the page. To illustrate this aspect of the creative abilities of his roots Empedocles uses an analogy with the way painters can use a limited number of colours to create all sorts of different colours and represent all the different productions of nature.
Fr. 23:

As painters, men well taught by wisdom in the practice of their art, decorate temple offerings when they take in their hands pigments of various colours, and after fitting them in close combination – more of some and less of others – they produce from them shapes resembling all things, creating trees and men and women, animals and birds and water-nourished fish, and long-lived gods too, highest in honor; so let not error convince you in your mind that there is any other source for the countless perishables that are seen, but know this clearly, since the account you have heard is divinely revealed.

Among other aspects, this analogy exhibits Empedocles’ tendency to think about the creative abilities of the elements in terms of their biological products, here a characteristically Empedoclean list of creatures representing the different orders of nature: plants, humans, land animals, birds, and fish, as well as gods. If painters use a mixture of a small number of pigments to produce copies of the works of nature, then the same process is productive of those works of nature. In other ways as well in his presentation of the cosmic cycle and the endless combination and separation of the elements he tends to elide the distinction between the elements and the life-forms they produce. Just as in the parallel he draws between the elements of the cosmos on both microscopic and macroscopic levels, so a close parallel is drawn between living creatures and their constituent elements.

a. Origin of Species

Empedocles presents us with the earliest extant attempt at producing a detailed rational mechanism for the origin of species. Greek traditions include the aetiological myths of the origin of a particular species of animal by transformation from a human being (many of these ancient mythological aetiologies are collected by Ovid in the Metamorphoses). The origins of humans, or of particular heroes, founders of cities or of races is frequently explained by what I term a botanical analogy: they originally emerged autochthonously from the ground just as plants do today, and this is also standard in ancient scientific theories as well: the original spontaneous generation of life from the earth, with all creatures emerging in their present species. Empedocles attempts to provide a comprehensive mechanism for the origins not simply of humans or of a particular animal but of all animal life, including humans, and a rational mechanism that would seem to do away with the need for any design in creatures or any external agency to order them and separate them into their individual species.

In Strasbourg fr. a(ii) 23-30 we now find the following lines in which Empedocles seemingly introduces his account of zoogony:

I will show you to your eyes too, where they find a larger body: first the coming together and the unfolding of birth, and as many as are now remaining of this generation. This [is to be seen] among the wilder species of mountain-roaming beasts; this [is to be seen] in the twofold offspring of men, this [is to be seen] in the produce of the root-bearing fields and of the cluster of grapes mounting on the vine. From these convey to your mind unerring proofs of my account: for you will see the coming together and unfolding of birth.

Empedocles promises an exposition of zoogony and the origin of species which, from the examples he gives – wild animals, humans and plants – is clearly intended to encompass all animal and plant life, including humans. He appeals to present day species as proofs of his theories: we can see both the products of this process of zoogony around us in nature today and also, it seems, we can see the same processes still going on today. That the theory refers to present day species rather than creatures in some counter world is underlined by the stress Empedocles puts on ‘as many as are now remaining of this generation’. So the theory is intended to explain the origin and development of all life and refers specifically to the animals and plants around us today, both as examples of and as proofs of the theory he will propose. This process of generation he describes by the repeated ‘the coming together and the unfolding of birth’. This seems to posit two processes which work, either together or separately, to produce the life we see around us today: a process of coming together and also a process of unfolding or perhaps more strictly ‘unleafing’ since the metaphor originates from the leaves of plants. So the second part of this process of zoogony involves a botanical metaphor: just as in the traditional botanical analogy of the myths of autochthony, an appeal to the development and growth of plants is used to describe the process of the development of all life.

According to fragments B57, B59, B60, and B61, first of all individual limbs and organs were produced from the earth. These wandered separately at first and then under the combining power of Love they came together in all sorts of wild and seemingly random hybrid combinations, producing double fronted creatures, hermaphrodites, ox-faced man creatures and man-faced ox-creatures. This weird picture is explained by Aristotle in the Physics and later in more detail by Simplicius in his commentary on the Physics as a theory of the origin of species in which, as we would put it, a certain form of natural selection is operative. The creatures assembled wrongly from parts of disparate animals will die out, either immediately, or by being unable to breed, and only the creatures by chance put together from homogeneous limbs will survive and so go on to found the species that we see today. The production of species and their ordering then is explained by a mechanistic process long recognised as a forerunner of Darwin’s theory of natural selection. Unlike in Darwin’s theory however, there would seem to be no gradual evolution of one species into another, and all of the variety of nature is produced in a great burst of birth in the beginning and is then whittled down by extinctions into the creatures we see today. That this theory intends to account for the origins of both humans and animals is ensured by the component parts of the ox-headed man-creatures and man-headed ox-creatures. There will clearly also be created by this system man-headed man-creatures and ox-headed ox-creatures, that is to say normal oxen and normal humans, although they are not mentioned. Further evidence that this zoogony relates to present day creatures is given by Aristotle and Simplicius who tell us that this process is still going on today.

However, Empedocles also adds to this theory another explanation of the origins of humans very much along the lines of traditional myths of autochthony. In fr. B62 and Strasbourg fr. d he describes the ‘shoots’ of men and women arising from the earth, drawn up by fire as it separates out from the other elements during the creation under the power of increasing Strife. As his choice of the word ‘shoots’ indicates these are not yet fully articulated people with distinct limbs but ‘whole-nature forms’ that ‘did not as yet show the lovely shape of limbs, or voice or language native to man’. We may assume that as Strife increases in power these ‘shoots’ will, just as plant buds do, gradually become fully articulated with distinct limbs and features. So human origins are accounted for by a botanical analogy, with humans as biological productions of the earth itself. This theory is also intended to account for modern-day as humans, as Strasbourg fr. d tells us ‘even now daylight beholds their remains’. So both the creation under Love and the creation under Strife refer to the origins of modern plants, animals, and humans. This is problematic since according to the picture of the cosmic cycle given above the world created by Strife is quite separate from that created by Love, and two quite different explanations are given by Empedocles for each creation of life. Various attempts have been made to account for this, including a radical revision of the cosmic cycle in order to allow both creations of life to take place within the same world, and also seeing the two different worlds of the cosmic cycle as more useful devices for examining different aspects of creation separately than absolutely chronologically separate phases of a cycle: the work of Love in combining creatures and the work of Strife in articulating them would then actually take place at the same time, but are simply described as operative in chronologically separate phases.

b. Embryology

Empedocles is an exponent of the pangenetic theory of embryology. In this theory inheritance of characteristics from both mother and father is explained by each of the two parents’ limbs and organs creating tiny copies of themselves. These miniature limbs and organs then flow together in the generative seed and when the two seeds combine in the womb the father’s seed may provide the model for the nose, while the mother’s seed the model for the eyes and so on. This is an elegant way of accounting for inheritance of characteristics, but this is unlikely to be the whole story. As Aristotle points out there are strong conceptual similarities between Empedocles’ embryology and the creation under Love in which we see the coming together of pre-formed limbs creating life. So Empedocles thinks of the original formation of animals as a process analogous to the present day formation of the embryo in the womb. From his description in Strasbourg fr. a (ii) 23-30 ‘the coming together and unfolding of birth’ we seem to have two processes that are at work in the formation of both present day creatures and the original creation of life. The ‘coming together’ describes both the original coming together of the limbs of the first creatures and also the coming together of the tiny limbs in conception. The other side of the creative process, the ‘unfolding’ is illustrated by the creation under Strife of the ‘shoots of men and pitiable women’ whose limbs are at first not fully articulated or defined: they will undergo a process of ‘unfolding’ just like plant buds and become fully developed humans. This ‘unfolding’ is clearly paralleled in embryology by the gradual development and growth of the embryo in the womb. Therefore it may be best to think of the tiny limbs and organs contained in the generative seed not as fully developed limbs and organs, but as the genetic material that contains the potential for the development of limbs and organs. This is so mewhat speculative, but would provide Empedocles with a much more nearly truly evolutionary theory of the origin of species than had previously been ascribed to him. Certainly the differentiation into the two sexes is described in terms of potential: the warmth of the womb determines whether the embryo will be male or female, cf. fr B 65: ‘They were poured in pure places; some met with cold and became women’, fr. B 67: ‘For the male was warmer . . . this is the reason why men are dark, more powerfully built, and hairier’. It may be that other characteristics are also determined or informed by environmental factors as well.

c. Perception and Thought

Empedocles seems to have been the first philosopher to give a detailed explanation of the mechanism by which we perceive things. His theory, criticised by Aristotle and Theophrastus, is that all things give off effluences and that these enter pores in the sense organs. The pores and the effluences will be of varying shapes and sizes and so only certain effluences enter certain sense-organs if they meet pores of the correct size and shape to admit them. Further, perception is achieved by the attraction of similars: we perceive light colours with fire in the eye, dark colours with water, smell is achieved by the presence of breath in the nostrils etc.

As Theophrastus complains, perception is closely linked to thought by Empedocles, cf. fr. B109:

With earth, we perceive earth, with water water, with air divine fire, with fire destructive fire, with love love, and strife with baneful strife.

fr. B 107:

All things are fitted together and constructed out of these, and by means of them they think and feel pleasure and pain.

In B 109 Empedocles moves from perception of physical elements to ethical perceptions using the same theory of perception by similars, while in B 107 we can see the theory used to account more directly for thought itself. Hence for Empedocles there is a close link between what we perceive and what we think. Further our thoughts will also be affected by our own physical constitutions (B 108). This process of the attraction of like to like is operative from the most fundamental level with the parts of the roots of matter being attracted to their like, right up to the highest level of the purest mixture which is the highest form of thought. Hence it seems that everything in nature has a share in perception and intelligence, cf. fr. 110.10: ‘know that all things have intelligence and a share of thought’.

5. Ethics and the Journey of the Soul

a. The Daimôns and Transmigration of Souls

Plutarch cites the following fragment as coming from ‘the beginning of Empedocles’ philosophy’, fr. B 115:

There is a decree of necessity, ratified long ago by gods, eternal and sealed by broad oaths, that whenever one in error, from fear, defiles his own limbs, having by his error made false the oath he swore – daimôns to whom life long-lasting is apportioned – he wanders from the blessed ones for three-times countless years, being born throughout the time as all kinds of mortal forms, exchanging one hard way of life for another. For the force of air pursues him into the sea, and sea spits him out onto earth’s surface, earth casts him in the rays of blazing sun, and sun into the eddies of air; one takes him from another, and all abhor him. I too am now one of these, an exile from the gods and a wanderer, having put my trust in raving Strife.

Traditionally Plutarch’s seeming attribution of this fragment to On Naturewas assumed to be incorrect and it was placed in the Purifications instead. However from the evidence of the Strasbourg fragments it seems that it may well be that Plutarch was correct, since they contain a description of the details of the sin Empedocles accuses himself of in fr. 115, cf. Strasbourg fr. d lines 5-6:

‘Alas that merciless day did not destroy me sooner, before I devised with my claws terrible deeds for the sake of food’

In fr. 115 Empedocles describes himself as a ‘daimôn’, a being to whom long life has been granted, but who has committed the sin of meat-eating and bloodshed and consequently is punished by banishment from the company of the immortal gods. The banishment lasts three myriads of years, either ‘three-times countless years’ or thirty thousand years. In either case he must atone for his sin by being repeatedly reincarnated into all the different living forms of the different orders of nature. Elsewhere he says: ‘For before now I have been at some time boy and girl, bush, bird, and a mute fish in the sea’ (fr. B 117). Empedocles then, has already suffered this nearly endless cycle of reincarnations having been seemingly hurled down to the lowest rung of the scale of nature but has worked his way up, has been purified at last and, as he tells us in fr. B. 112, is himself now an immortal god. There are others too numbered among the daimôns, those who ‘at the end … come among men on earth as prophets, minstrels, physicians and leaders, and from these they arise as gods, highest in honour.’ (fr. 146). It is not entirely clear whether we are meant to imagine the daimôns as an entirely separate class of blessed being with a different creation and a different fate from ourselves, the ordinary mortals, or as people who began as ordinary mortals but who, having purified themselves and having achieved perfection, are now approaching divine status. The latter reading would perhaps make more sense in terms of Empedocles’ didactic ethical mission: if we are all potentially perfectable, then his purificatory teaching becomes much more crucial. Empedocles himself, as his life shows, has achieved all four of the states that qualify the daimôns for immortality, he is a prophet, a minstrel, a physician and a leader, and can now pass on his wisdom to those on earth whom he is about to leave behind when he rejoins the company of the immortals. As can be seen from the description above, there are strong similarities between Empedocles and the teachings of Pythagoras on the transmigration of souls. Empedocles is clearly a follower of Pythagoras, in his ethics and psychology at least, and shares his vegetarianism and pacifism.

b. Meat-Eating and Sin

Slaughter and meat-eating are the most terrible of sins, indeed for him animal slaughter is murder and meat-eating is cannibalism, as shown by fr. 137:

The father will lift up his dear son in changed form, and blind fool, as he prays he will slay him, and those who take part in the sacrifice bring the victim as he pleads. But the father, deaf to his cries, slays him in his house and prepares an evil feast. In the same way son seizes father, and children their mother, and having bereaved them of life devour the flesh of those they love.

Here, in terms reminiscent of Hesiod’s description of the coming horrors of the Iron Age in Works and Days, we see the appalling consequences of meat-eating: murder, cannibalism, the destruction of whole families and, by extrapolation, of entire societies. This is a radical position in both political and religious terms. Plato’s Protagoras in the eponymous dialogue can simply assume that all men agree that warfare is ‘a fine and noble thing’. For Empedocles warfare, one fundamental plank of the Greek city state, is the most appalling of all evils and is punished by the immortals by hurling the perpetrators not only out of their society, but out of human society and even down to the level of the lowest forms of nature.

c. Theology

In religious terms as well traditional animal sacrifice, another fundamental basis of Greek society, becomes the grossest impiety of all. A probably apocryphal tale reports that Empedocles sacrificed an ox made of honey and meal at Olympia, the religious heart of Greece: a pointed act of criticism of traditional religion. Further evidence for his radical theology lies in his appropriation of the names of the Olympian gods for his roots of matter and his cosmic forces. Implicitly he argues that the Olympian gods came into being as misinterpretations of the natural world: the real ‘gods’ are the elements of nature and the cosmic forces that direct their endless evolutionary cycle. His religious and ethical teachings then are of purification of the soul in an attempt to achieve perfection and unity with perfect Love. He pictures a time in the past, a sort of golden age, when this universal harmony existed, fr. B 128:

They did not have Ares as god or Kydoimos, nor king Zeus, nor Kronos, nor Poseidon but queen Kypris [Love]. Her they propitiated with holy images and painted animal figures, with perfumes of subtle fragrance and offerings of distilled myrrh and sweet-smelling frankincense, and pouring on the earth libations of golden honey. Their altar was not drenched by the unspeakable slaughter of bulls, but this was the greatest defilement among men – to bereave of life and eat noble limbs.

fr. B 130:

All creatures, both animals and birds, were tame and gentle to men, and bright was the flame of their friendship.

Originally people worshipped only one god, Love, and this resulted in universal harmony, even between humans and animals. Implicitly the argument runs that the worship of the Olympian gods he mentions, Ares, Zeus and Poseidon, and the sacrifices they demand have destroyed this harmony, resulting in worship also of Kydoimos, the personification of the noise of battle. Traditional religion with their sacrificial slaughter and meat-eating have had a degrading effect on society.

d. Physics and Theology

As I say above it now seems very likely that Empedocles discussed purificatory topics early on in his poem On Nature. Unlike for modern rationalists then, it seems that for Empedocles there was no fundamental divide between physics and religion. Indeed as can be seen from fr. B 115 above the sin of the daimôn results in an expiatory journey of the soul not only through the different orders of living creatures but through the physical elements of the cosmos. Empedocles draws a close analogy between the cycle of the soul and the cycle of the cosmos itself. This is a hallmark of his work: frequently he uses the same language whether describing the journey of the soul or the cycle of the elements. Sometimes in the Strasbourg fragments the description of the elements coming together under the power of Love is rendered as ‘we are coming together’. His sin, in fr. 115, he describes as resulting from having put his trust in raving Strife, one of his cosmic forces, and conversely in fr. 130 we see the people of the golden age worshipping the other cosmic force, Love. Clearly there is more than a little cross-over between physics and ethics for Empedocles. How this works in detail is hard to pin down but perhaps the best reading we can give of On Natureis that it represents the detailed expression of the cycle of the soul at the level of the entire cosmos. The endless evolutionary cycling of the elements is in fact part of the cycle of the soul.

(Note: all translations are by M. R. Wright except those of the Strasbourg fragments which are by O. Primavesi and A. Martin.)

6. References and Further Reading

a. Texts and Commentaries

  • Bollack, J. Empédocle, (Paris, 1965-9), 4 vols. With Greek text, French translation, and commentary.
  • Diels, H. and W. Kranz, Die Fragmente der Vorsokratiker (Berlin, 1952), vol. 1, ch. 31, 276-375. Greek text of both fragments (B) and testimonia (A) with German translation.
  • Wright, M. R. (2nd edn.), Empedocles the Extant Fragments (London, 1995). With Greek text, English translation, introduction and commentary.
  • Inwood, B. The Poem of Empedocles (Toronto, 1992). With Greek text, facing English translation and introduction.
  • Martin, A. and O. Primavesi, L’Empédocle de Strasbourg: (P. Strasb. gr. Inv. 1665-1666) (Berlin/Strasbourg, 1998). With Greek text, French and English translations, introduction, commentary, and English summary.

b. Studies

  • Gemelli Marciano, L. “Le ‘demonologie’ empedoclee: problemi di metodo e altro”, Aevum Antiquum 1 (2003), 205-35
  • Gemelli Marciano, L. Le metamorfosi della tradizione: mutamenti de significato e neologismi nel Peri physeos di Empedocle (Bari, 1999).
  • Guthrie, W.K.C. A History of Greek Philosophy vol. 2 (Cambridge 1969), ch. 3
  • Kingsley, P. Ancient Philosophy, Mystery and Magic: Empedocles and Pythagorean Tradition (Oxford, 1995)
  • Kirk, G. S. and J.E. Raven, M. Schofield, (2nd edn.), The Presocratic Philosophers (Cambridge 1983), ch. 10.
  • O’Brien, D. Empedocles’ Cosmic Cycle (Cambridge, 1969)
  • Osborne, C. ‘Empedocles recycled’, Classical Quarterly NS 37 (1987), 24-50
  • Osbourne, C. ‘Rummaging in the recycling bins of Upper Egypt: a discussion of A. Martin and O. Primavesi, ZL’ Empédocle de Strasbourg’, Oxford Studies in Ancient Philosophy 18 (Oxford, 2000), 329-56.
  • Sedley, D. N. ‘Empedocles’ life cycles’, in Proceedings of the Symposium Tertium Mykonense (forthcoming, 2004)
  • Solmsen, F. ‘Love and Strife in Empedocles’ cosmology’, Phronesis 10 (1965), 123-45; repr. in R.E. Allen and D.J. Furley (eds), Studies in Presocratic Philosophy, (London, 1975), vol. 2, 221-64.
  • Trépanier, S. ‘Empedocles on the ultimate symmetry of the world’, Oxford Studies in Ancient Philosophy 24 (2003), 1-57
  • Trépanier, S. Empedocles: An Interpretation (London, 2004)

Author Information

Gordon Campbell
Email: gordon.l.campbell@may.ie
National University of Ireland, Maynooth
Ireland

Ralph Waldo Emerson (1803—1882)

emersonIn his lifetime, Ralph Waldo Emerson became the most widely known man of letters in America, establishing himself as a prolific poet, essayist, popular lecturer, and an advocate of social reforms who was nevertheless suspicious of reform and reformers. Emerson achieved some reputation with his verse, corresponded with many of the leading intellectual and artistic figures of his day, and during an off and on again career as a Unitarian minister, delivered and later published a number of controversial sermons. Emerson’s enduring reputation, however, is as a philosopher, an aphoristic writer (like Friedrich Nietzsche) and a quintessentially American thinker whose championing of the American Transcendental movement and influence on Walt Whitman, Henry David Thoreau, William James, and others would alone secure him a prominent place in American cultural history. Transcendentalism in America, of which Emerson was the leading figure, resembled British Romanticism in its precept that a fundamental continuity exists between man, nature, and God, or the divine. What is beyond nature is revealed through nature; nature is itself a symbol, or an indication of a deeper reality, in Emerson’s philosophy. Matter and spirit are not opposed but reflect a critical unity of experience. Emerson is often characterized as an idealist philosopher and indeed used the term himself of his philosophy, explaining it simply as a recognition that plan always precedes action. For Emerson, all things exist in a ceaseless flow of change, and “being” is the subject of constant metamorphosis. Later developments in his thinking shifted the emphasis from unity to the balance of opposites: power and form, identity and variety, intellect and fate. Emerson remained throughout his lifetime the champion of the individual and a believer in the primacy of the individual’s experience. In the individual can be discovered all truths, all experience. For the individual, the religious experience must be direct and unmediated by texts, traditions, or personality. Central to defining Emerson’s contribution to American thought is his emphasis on non-conformity that had so profound an effect on Thoreau. Self-reliance and independence of thought are fundamental to Emerson’s perspective in that they are the practical expressions of the central relation between the self and the infinite. To trust oneself and follow our inner promptings corresponds to the highest degree of consciousness.

Emerson concurred with the German poet and philosopher Johann Wolfgang von Goethe that originality was essentially a matter of reassembling elements drawn from other sources. Not surprisingly, some of Emerson’s key ideas are popularizations of both European as well as Eastern thought. From Goethe, Emerson also drew the notion of “bildung,” or development, calling it the central purpose of human existence. From the English Romantic poet and critic Samuel Taylor Coleridge, Emerson borrowed his conception of “Reason,” which consists of acts of perception, insight, recognition, and cognition. The concepts of “unity” and “flux” that are critical to his early thought and never fully depart from his philosophy are basic to Buddhism: indeed, Emerson said, perhaps ironically, that “the Buddhist . . . is a Transcendentalist.” From his friend the social philosopher Margaret Fuller, Emerson acquired the perspective that ideas are in fact ideas of particular persons, an observation he would expand into his more general—and more famous—contention that history is biography.

On the other hand, Emerson’s work possesses deep original strains that influenced other major philosophers of the nineteenth and twentieth centuries. The German philosopher Friedrich Nietzsche read Emerson in German translations and his developing philosophy of the great man is clearly influenced and confirmed by the contact. Writing about the Greek philosopher Plato, Emerson asserted that “Every book is a quotation . . . and every man is a quotation,” a perspective that foreshadows the work of French Structuralist philosopher Roland Barthes. Emerson also anticipates the key Poststructuralist concept of différance found in the work of Jacques Derrida and Jacques Lacan—“It is the same among men and women, as among the silent trees; always a referred existence, an absence, never a presence and satisfaction.” While not progressive on the subject of race by modern standards, Emerson observed that the differences among a particular race are greater than the differences between the races, a view compatible with the social constructivist theory of race found in the work of contemporary philosophers like Kwame Appiah.

Table of Contents

  1. Biography
  2. Major Works
  3. Legacy
  4. References and Further Reading

1. Biography

Ralph Waldo Emerson was born on May 25, 1803, in Boston to Ruth Haskins Emerson and William Emerson, pastor of Boston’s First Church. The cultural milieu of Boston at the turn of the nineteenth century would increasingly be marked by the conflict between its older conservative values and the radical reform movements and social idealists that emerged in the decades leading up through the 1840s. Emerson was one of five surviving sons who formed a supportive brotherhood, the financial and emotional leadership of which he was increasingly forced to assume over the years. “Waldo,” as Emerson was called, entered Harvard at age fourteen, taught in the summer, waited tables, and with his brother Edward, wrote papers for other students to pay his expenses. Graduating in the middle of his class, Emerson taught in his brother William’s school until 1825 when he entered the Divinity School at Harvard. The pattern of Emerson’s intellectual life was shaped in these early years by the range and depth of his extracurricular reading in history, literature, philosophy, and religion, the extent of which took a severe toll on his eyesight and health. Equally important to his intellectual development was the influence of his paternal aunt Mary Moody Emerson. Though she wrote primarily on religious subjects, Mary Moody Emerson set an example for Emerson and his brothers with her wide reading in every branch of knowledge and her stubborn insistence that they form opinions on all of the issues of the day. Mary Moody Emerson was at the same time passionately orthodox in religion and a lover of controversy, an original thinker tending to a mysticism that was a precursor to her nephew’s more radical beliefs. His aunt’s influence waned as he developed away from her strict orthodoxy, but her relentless intellectual energy and combative individualism left a permanent stamp on Emerson as a thinker.

In 1829, he accepted a call to serve as junior pastor at Boston’s Second Church, serving only until 1832 when he resigned at least in part over his objections to the validity of the Lord’s Supper. Emerson would in 1835 refuse a call as minister to East Lexington Church but did preach there regularly until 1839. In 1830, Emerson married Ellen Tucker who died the following year of tuberculosis. Emerson married again in 1835 to Lydia Jackson. Together they had four children, the eldest of whom, Waldo, died at the age of five, an event that left deep scars on the couple and altered Emerson’s outlook on the redemptive value of suffering. Emerson’s first book Nature was published anonymously in 1836 and at Emerson’s own expense. In 1837 Emerson delivered his famous “American Scholar” lecture as the Phi Beta Kappa address at Harvard, but his controversial Harvard Divinity School address, delivered in 1838, was the occasion of a twenty-nine year breach with the university and signaled his divergence from even the liberal theological currents of Cambridge. Compelled by financial necessity to undertake a career on the lecture circuit, Emerson began lecturing in earnest in 1839 and kept a demanding public schedule until 1872. While providing Emerson’s growing family and array of dependents with a steady income, the lecture tours heightened public awareness of Emerson’s ideas and work. From 1840-1844, Emerson edited The Dial with Margaret Fuller. Essays: First Series was published in 1841, followed by Essays: Second Series in 1844, the two volumes most responsible for Emerson’s reputation as a philosopher. In 1844, Emerson also purchased the land on the shore of Walden Pond where he was to allow the naturalist and philosopher Henry David Thoreau to build a cabin the following year. While sympathetic to the experimental collective at Brook Farm, Emerson declined urgent appeals to join the group and maintained his own household in Concord with Lydia and their growing family. Emerson attempted to create his own community of kindred spirits, however, assembling in the neighborhood of Concord a group of writers including Thoreau, Nathaniel Hawthorne, the social thinker Margaret Fuller, the reformer Bronson Alcott, and the poet Ellery Channing. English Traits was inspired by a trip to Britain during 1847-1848. By the 1850s, Emerson was an outspoken advocate of abolition in lectures across New England and the Midwest and continued lecturing widely on a number of different topics—eighty lectures in 1867 alone. Emerson spent the final years of his life peacefully but without full use of his faculties. He died of pneumonia in 1882 at his home in Concord.

2. Major Works

As a philosopher, Emerson primarily makes use of two forms, the essay and the public address or lecture. His career began, however, with a short book, Nature, published anonymously in 1836. Nature touches on many of the ideas to which he would return to again and again over his lifetime, most significantly the perspective that nature serves as an intermediary between human experience and what lies beyond nature. Emerson expresses a similar idea in his claim that spirit puts forth nature through us, exemplary of which is the famous “transparent eye-ball” passage, in which he writes that on a particular evening, while “crossing a bare common . . . the currents of Universal Being circulate through me.” On the strength this passage alone, Nature has been widely viewed as a defining text of Transcendentalism, praised and satirized for the same qualities. Emerson invokes the “transparent eye-ball” to describe the loss of individuation in the experience of nature, where there is no seer, only seeing: “I am nothing; I see all.” This immersion in nature compensates us in our most difficult adversity and provides a sanctification of experience profoundly religious —the direct religious experience that Emerson was to call for all his life. While Emerson characterizes traversing the common with mystical language, it is also importantly a matter of knowledge. The fundamental knowledge of nature that circulates through him is the basis of all human knowledge but cannot be distinguished, in Emerson’s thought, from divine understanding.

The unity of nature is the unity of variety, and “each particle is a microcosm.” There is, Emerson writes “a universal soul” that, influenced by Coleridge, he named “reason.” Nature is by turns exhortative and pessimistic, like the work of the English Romantics, portraying man as a creature fallen away from a primordial connection with nature. Man ought to live in a original relation to the universe, an assault on convention he repeats in various formulas throughout his life; however, “man is the dwarf of himself . . . is disunited with himself . . . is a god in ruins.” Nature concludes with a version of Emerson’s permanent program, the admonition to conform your life to the “pure idea in your mind,” a prescription for living he never abandons.

“The American Scholar” and “The Divinity School Address” are generally held to be representative statements of Emerson’s early period. “The American Scholar,” delivered as the Phi Beta Kappa oration at Harvard in 1837, repeats a call for a distinctively American scholarly life and a break with European influences and models—a not original appeal in the 1830s. Emerson begins with a familiar critique of American and particularly New England culture by asserting that Americans were “a people too busy to give to letters any more.” What must have surprised the audience was his anti-scholarly theme, that “Books are for the scholar’s idle times,” an idea that aligns the prodigiously learned and widely read Emerson with the critique of excessive bookishness found in Wordsworth and English Romanticism. Continuing in this theme, Emerson argues against book knowledge entirely and in favor of lived experience: “Only so much do I know, as I have lived.” Nature is the most important influence on the mind, he told his listeners, and it is the same mind, one mind, that writes and reads. Emerson calls for both creative writing and “creative reading,” individual development being essential for the encounter with mind found in books. The object of scholarly culture is not the bookworm but “Man Thinking,” Emerson’s figure for an active, self-reliant intellectual life that thus puts mind in touch with Mind and the “Divine Soul.” Through this approach to the study of letters, Emerson predicts that in America “A nation of men will for the first time exist.”

“The Divinity School Address,” also delivered at Harvard in 1838, was considerably more controversial and marked in earnest the beginning of Emerson’s opposition to the climate of organized religion in his day, even the relatively liberal theology of Cambridge and the Unitarian Church. Emerson set out defiantly to insist on the divinity of all men rather than one single historical personage, a position at odds with Christian orthodoxy but one central to his entire system of thought. The original relation to nature Emerson insisted upon ensures an original relation to the divine, not copied from the religious experience of others, even Jesus of Nazareth. Emerson observes that in the universe there is a “justice” operative in the form of compensation: “He who does a good deed is instantly ennobled.” This theme he would develop powerfully into a full essay, “Compensation” (1841). Whether Emerson characterized it as compensation, retribution, balance, or unity, the principle of an automatic response to all human action, good or ill, was a permanent fixture of his thought. “Good is positive,” he argued to the vexation of many in the audience, “evil merely privative, not absolute.” Emerson concludes his address with a subversive call to rely on one’s self, to “go alone; to refuse the good models.”

Two of Emerson’s first non-occasional public lectures from this early period contain especially important expressions of his thought. Always suspicious of reform and reformers, Emerson was yet an advocate of reform causes. In “Man the Reformer” (1841), Emerson expresses this ambivalence by speculating that if we were to “Let our affection flow out to our fellows; it would operate in a day the greatest of all revolutions.” In an early and partial formulation of his theory that all people, times, and places are essentially alike, he writes in “Lecture on the Times” (1841) that “The Times . . . have their root in an invisible spiritual reality;” then more fully in “The Transcendentalist” (1842): “new views . . . are not new, but the very oldest of thoughts cast into the mould of these new times.” Such ideas, while quintessential Emerson, are nevertheless positions that he would qualify and complicate over the next twenty years.

Emerson brought out his Essays: First Series, in 1841, which contain perhaps his single most influential work, “Self-Reliance.” Emerson’s style as an essayist, not unlike the form of his public lectures, operates best at the level of the individual sentence. His essays are bound together neither by their stated theme nor the progression of argument, but instead by the systematic coherence of his thought alone. Indeed, the various titles of Emerson’s do not limit the subject matter of the essays but repeatedly bear out the abiding concerns of his philosophy. Another feature of his rhetorical style involves exploring the contrary poles of a particular idea, similar to a poetic antithesis. As a philosopher-poet, Emerson employs a highly figurative style, while his poetry is remarkable as a poetry of ideas. The language of the essays is sufficiently poetical that Thoreau felt compelled to say critically of the essays—”they were not written exactly at the right crisis [to be poetry] though inconceivably near it.” In “History” Emerson attempts to demonstrate the unity of experience of men of all ages: “What Plato has thought, he may think; what a saint has felt, he may feel; what at any time has befallen any man, he may understand.” Interestingly, for an idealist philosopher, he describes man as “a bundle of relations.” The experience of the individual self is of such importance in Emerson’s conception of history that it comes to stand for history: “there is properly no history; only biography.” Working back from this thought, Emerson connects his understanding of this essential unity to his fundamental premise about the relation of man and nature: “the mind is one, and that nature is correlative.” By correlative, Emerson means that mind and nature are themselves representative, symbolic, and consequently correlate to spiritual facts. In the wide-ranging style of his essays, he returns to the subject of nature, suggesting that nature is itself a repetition of a very few laws, and thus implying that history repeats itself consistently with a few recognizable situations. Like the Danish philosopher Soren Kierkegaard, Emerson disavowed nineteenth century notions of progress, arguing in the next essay of the book, “Society never advances . . . For everything that is given, something is taken.”

“Self-Reliance” is justly famous as a statement of Emerson’s credo, found in the title and perhaps uniquely among his essays, consistently and without serious digression throughout the work. The emphasis on the unity of experience is the same: “what is true for you in your private heart is true for all men.” Emerson rests his abiding faith in the individual—”Trust thyself”—on the fundamental link between each man and the divine reality, or nature, that works through him. Emerson wove this explicit theme of self-trust throughout his work, writing in “Heroism” (1841), “Self-trust is the essence of heroism.” The apostle of self-reliance perceived that the impulses that move us may not be benign, that advocacy of self-trust carried certain social risks. No less a friend of Emerson’s than Herman Melville parodied excessive faith in the individual through the portrait of Captain Ahab in his classic American novel, Moby-Dick. Nevertheless, Emerson argued that if our promptings are bad they come from our inmost being. If we are made thus we have little choice in any case but to be what we are. Translating this precept into the social realm, Emerson famously declares, “Whoso would be a man must be a nonconformist”—a point of view developed at length in both the life and work of Thoreau. Equally memorable and influential on Walt Whitman is Emerson’s idea that “a foolish consistency is the hobgoblin of small minds, adored by little statesmen and philosophers and divines.” In Leaves of Grass, Whitman made of his contradictions a virtue by claiming for himself a vastness of character that encompassed the vastness of the American experience. Emerson opposes on principle the reliance on social structures (civil, religious) precisely because through them the individual approaches the divine second hand, mediated by the once original experience of a genius from another age: “An institution,” as he explains, “is the lengthened shadow of one man.” To achieve this original relation one must “Insist on one’s self; never imitate” for if the relationship is secondary the connection is lost. “Nothing,” Emerson concludes, “can bring you peace but the triumph of principles,” a statement that both in tone and content illustrates the vocational drive of the former minister to speak directly to a wide audience and preach a practical philosophy of living.

Three years later in 1844 Emerson published his Essays: Second Series, eight essays and one public lecture, the titles indicating the range of his interests: “The Poet,” “Experience,” “Character,” “Manners,” “Gifts,” “Nature,” “Politics,” “Nominalist and Realist,” and “New England Reformers.” “The Poet” contains the most comprehensive statement on Emerson’s aesthetics and art. This philosophy of art has its premise in the Transcendental notion that the power of nature operates through all being, that it is being: “For we are not pans and barrows . . . but children of the fire, made of it, and only the same divinity transmuted.” Art and the products of art of every kind—poetry, sculpture, painting, and architecture—flow from the same unity at the root of all human experience. Emerson’s aesthetics stress not the object of art but the force that creates the art object, or as he characterizes this process in relation to poetry: “it is not metres, but a metre-making argument that makes a poem.” “The Poet” repeats anew the Emersonian dictum that nature is itself a symbol, and thus nature admits of being used symbolically in art. While Emerson does not accept in principle social progress as such, his philosophy emphasizes the progress of spirit, particularly when understood as development. This process he allies with the process of art: “Nature has a higher end . . . ascension, or the passage of the soul into higher forms.” The realm of art, ultimately for Emerson, is only an intermediary function, not an end itself: “Art is the path of the creator to his work.” On this and every subject, Emerson reveals the humanism at the core of his philosophy, his human centric perspective that posits the creative principle above the created thing. “There is a higher work for Art than the arts,” he argues in the essay “Art,” and that work is the full creative expression of human being. Nature too has this “humanism,” to speak figuratively, in its creative process, as he writes in “The Method of Nature:” “The universe does not attract us until housed in an individual.” Most notable in “The Poet” is Emerson’s call for an expressly American poetry and poet to do justice to the fact that “America is a poem in our eyes.” What is required is a “genius . . . with tyrannous eye, which knew the value of our incomparable materials” and can make use of the “barbarism and materialism of the times.” Emerson would not meet Whitman for another decade, only after Whitman had sent him anonymously a copy of the first edition of Leaves of Grass, in which—indicative of Emerson’s influence—Whitman self-consciously assumes the role of the required poet of America and asserts, like his unacknowledged mentor, that America herself is indeed a poem.

“Experience” remains one of Emerson’s best-known and often-anthologized essays. It is also an essay written out of the devastating grief that struck the Emerson household after the death of their five-year-old son, Waldo. He wrote, whether out of conviction or helplessness, “I grieve that grief can teach me nothing.” Emerson goes on, rocking back and forth between resignation and affirmation, establishing along the way a number of key points. In “Experience” he defines “spirit” as “matter reduced to an extreme thinness.” In keeping with the gradual shift in his philosophy from an emphasis on the explanatory model of “unity” to images suggesting balance, he describes “human life” as consisting of “two elements, power and form, and the proportion must be invariably kept.” Among his more quotable aphorisms is “The years teach us much which the days never know,” a memorable argument for the idea that experience cannot be reduced to the smallest observable events, then added back up again to constitute a life; that there is, on the contrary, an irreducible whole present in a life and at work through us. “Experience” concludes with Emerson’s hallmark optimism, a faith in human events grounded in his sense of the total penetration of the divine in all matter. “Every day,” he writes, and “every act betrays the ill-concealed deity,” a determined expression of his lifelong principle that the divine radiates through all being.

The early 1850s saw the publication of a number of distinctively American texts: Nathaniel Hawthorne’s The Scarlet Letter (1850); Melville’s Moby-Dick (1851); Harriet Beecher Stowe’s Uncle Tom’s Cabin (1852); and Whitman’s Leaves of Grass (1855). Emerson’s Representative Men (1850) failed to anticipate this flowering of a uniquely American literature in at least one respect: none of his representative characters were American—nevertheless, each biography yields an insight into some aspect of Emerson’s thought he finds in the man or in his work, so that Representative Men reads as the history of Emerson’s precursors in other times and places. Emerson structures the book around portraits of Plato, the Swedish mystic Emmanuel Swedenborg, the French essayist Montaigne, the poet William Shakespeare, the statesman Napoleon Bonaparte, and the writer Johann Wolfgang von Goethe. Each man stands in for a type, for example, Montaigne represents the “skeptic,” Napoleon the “man of the world.” Humanity, for Emerson, consisted of recognizable but overlapping personality types, types discoverable in every age and nation, but all sharing in a common humanity that has its source in divine being. Each portrait balances the particular feature of the representative man that illustrates the general laws inhabiting humanity along with an assessment of the great man’s shortcomings. Like Nietzsche, Emerson did not believe that great men were ends in themselves but served particular functions, notably for Emerson their capacity to “clear our eyes of egotism, and enable us to see other people in their works.” Emerson’s representative men are “great,” but “exist that there may be greater men.” As a gesture toward self-criticism about an entire book on great men by the champion of American individualism, Emerson concedes, “there are no common men,” and his biographical sketches ultimately balance both the limitations of each man with his—to use an oxymoron—distinctive universality, or in other words, the impact he has had on Emerson’s thought. While Plato receives credit for establishing the “cardinal facts . . . the one and the two.—1. Unity, or Identity; and, 2. Variety,” Emerson concedes that through Plato we have had no success in “explaining existence.” It was Swedenborg, according to Emerson, who discovered that the smallest particles in nature are merely replicated and repeated in larger organizations, and that the physical world is symbolic of the spiritual. But although he approves of the religion Swedenborg urged, a spirituality of each and every moment, Emerson complains the mystic lacks the “liberality of universal wisdom.” Instead, we are “always in a church.” From Montaigne, Emerson gained a heightened sense of the universal mind as he read the French philosophers’ Essays, for “It seemed to me as if I had myself written the book”—as well as an enduring imperative of style: “Cut these words, and they would bleed.” The “skeptic” Montaigne, however, lacks belief, which “consists in accepting the affirmations of the soul.” From Shakespeare, Emerson received confirmation that originality was a reassembly of existing ideas. The English poet possessed the rare capacity of greatness in that he allowed the spirit of his age to achieve representation through him. Nevertheless the world waits on “a poet-priest” who can see, speak, and act, with equal inspiration.” Reflection on Napoleon’s life teaches the value of concentration, one of Emerson’s chief virtues. In The Conduct of Life, Emerson describes “concentration,” or bringing to bear all of one’s powers on a single object, as the “chief prudence.” Likewise, Napoleon’s shrewdness consisted in allowing events to take their natural course and become representative of the forces of his time. The defect of the “man of the world” was that he possessed “the powers of intellect without conscience” and was doomed to fail. Emerson’s moral summary of Napoleon’s sounds a great deal like Whitman: “Only that good profits, which we can taste with all doors open, and which serves all men.” Goethe, “the writer,” like Napoleon, represents the countervailing force of nature against Emerson’s lifelong opponent, what he called “the morgue of convention.” Goethe is also exemplary of the man of culture whose sphere of knowledge, as Emerson himself tried to emulate with his wide and systematic reading, knows no limits or categorical boundaries. Yet, “the lawgiver of art is not an artist,” and repeating a call for an original relation to the infinite, foregoing even the venerable authority of Goethe, Emerson concludes, “We too must write Bibles.”

English Traits was published in 1856 but represented almost a decade of reflections on an invited lecture tour Emerson made in 1847-48 to Great Britain. English Traits presents an unusually conservative set of perspectives on a rather limited subject, that of a single nation and “race,” in place of human civilization and humanity as a whole. English Traits contains an advanced understanding of race, namely, that the differences among the members of a race are greater than the differences between races, but in general introduces few new ideas. The work is highly “occasional,” shaped by his travels and visits, and bore evidence of what seemed to be an erosion of energy and originality in his thought.

The Conduct of Life (1860), however, proved to be a work of startling vigor and insight and is Emerson’s last important work published in his lifetime. “Fate” is arguably the central essay in the book. The subject of fate, which Emerson defines as “An expense of means to end,” along with the relation of fate to freedom and the primacy of man’s vocation, come to be the chief subjects of the final years of his career. Some of Emerson’s finest poetry can be found in his essays. In “Fate” he writes: “A man’s power is hooped in by a necessity, which, by many experiments, he touches on every side, until he learns its arc.” Fate is balanced in the essay by intellect: “So far as a man thinks, he is free.” Emerson’s advice for the conduct of life is to learn to swim with the tide, to “trim your bark” (that is, sails) to catch the prevailing wind. He refines and redefines his conception of history as the interaction between “Nature and thought.” Emerson further refines his conception of the great man by describing him as the “impressionable” man, or the man who most perfectly captures the spirit of his time in his thought and action. Varying a biblical proverb to his own thought, Emerson argues that what we seek we will find because it is our fate to seek what is our own. Always a moderating voice in politics, Emerson writes in “Power” that the “evils of popular government appear greater than they are”—at best a lukewarm recommendation of democracy. On the subject of politics, Emerson consistently posited a faith in balance, the tendencies toward chaos and order, change and conservation always correcting each other. His late aesthetics reinforce this political stance as he veers in “Beauty” onto the subject of women’s suffrage: “Thus the circumstances may be easily imagined, in which woman may speak, vote, argue causes, legislate, and drive a coach, and all the most naturally in the world, if only it come by degrees.”

In his early work, Emerson emphasized the operation of nature through the individual man. The Conduct of Life uncovers the same consideration only now understood in terms of work or vocation. Emerson argued with increasing regularity throughout his career that each man is made for some work, and to ally himself with that is to render himself immune from harm: “the conviction that his work is dear to God and cannot be spared, defends him.” One step above simple concentration of force in Emerson’s scale of values we find his sense of dedication: “Nothing is beneath you, if it is in the direction of your life.” While in favor of many of the social and political reform movements of his time, Emerson never ventured far into a critique of laissez-faire economics. In “Wealth” we find the balanced perspective, one might say contradiction, to be found in all the late work. Emerson argues that to be a “whole man” one must be able to find a “blameless living,” and yet this same essay acknowledges an unsentimental definition of wealth: “He is the richest man who knows how to draw a benefit from the labors of the greatest numbers of men.” In the final essay of the book, “Illusions,” Emerson uses a metaphor—“the sun borrows his beams”—to reassert his pervasive humanism, the idea that we endow nature with its beauty, and that man is at the center of creation. Man is at the center, and the center will hold: “There is no chance, and no anarchy, in the universe.”

3. Legacy

Emerson remains the major American philosopher of the nineteenth century and in some respects the central figure of American thought since the colonial period. Perhaps due to his highly quotable style, Emerson wields a celebrity unknown to subsequent American philosophers. The general reading public knows Emerson’s work primarily through his aphorisms, which appear throughout popular culture on calendars and poster, on boxes of tea and breath mints, and of course through his individual essays. Generations of readers continue to encounter the more famous essays under the rubric of “literature” as well as philosophy, and indeed the essays, less so his poetry, stand undiminished as major works in the American literary tradition. Emerson’s emphasis on self-reliance and nonconformity, his championing of an authentic American literature, his insistence on each individual’s original relation to God, and finally his relentless optimism, that “life is a boundless privilege,” remain his chief legacies.

4. References and Further Reading

  • Baker, Carlos. Emerson Among the Eccentrics: A Group Portrait. New York: Penguin, 1997.
  • Emerson, Ralph Waldo: Essays and Lectures. Ed. Joel Porte. New York: Library of America, 1983.
  • Essays and Poems. Ed. Joel Porte et al. New York: Library of American, 1996.
  • The Complete Sermons of Ralph Waldo Emerson. Vol. 4. Ed Wesley T. Mott et al. Columbia, MO: University of Missouri Press, 1992.
  • The Selected Letters of Ralph Waldo Emerson. Ed. Joel Myerson. New York: Columbia, 1997.
  • The Heart of Emerson’s Journals. Ed. Bliss Perry. Minneola, NY: Dover Press, 1995.
  • Field, Peter. S. Ralph Waldo Emerson: The Making of a Democratic Intellectual. Lanham, MD: Rowman and Littlefield, 2002.
  • Porte, Joel. Representative Man: Ralph Waldo Emerson in His Time. New York: Columbia University Press, 1988.
  • Porte, Joel and Morris, Saundra. The Cambridge Companion to Ralph Waldo Emerson. Cambridge: Cambridge University Press, 1999.
  • Richardson, Robert D. Jr. Emerson: The Mind on Fire. Berkeley: University of California Press, 1995

Author Information

Vince Brewton
Email: vjbrewton@una.edu
University of North Alabama
U. S. A.

Gnosticism

Gnosticism (after gnôsis, the Greek word for “knowledge” or “insight”) is the name given to a loosely organized religious and philosophical movement that flourished in the first and second centuries CE. The exact origin(s) of this school of thought cannot be traced, although it is possible to locate influences or sources as far back as the second and first centuries BCE, such as the early treatises of the Corpus Hermeticum, the Jewish Apocalyptic writings, and especially Platonic philosophy and the Hebrew Scriptures themselves.

In spite of the diverse nature of the various Gnostic sects and teachers, certain fundamental elements serve to bind these groups together under the loose heading of “Gnosticism” or “Gnosis.” Chief among these elements is a certain manner of “anti-cosmic world rejection” that has often been mistaken for mere dualism. According to the Gnostics, this world, the material cosmos, is the result of a primordial error on the part of a supra-cosmic, supremely divine being, usually called Sophia (Wisdom) or simply the Logos. This being is described as the final emanation of a divine hierarchy, called the Plêrôma or “Fullness,” at the head of which resides the supreme God, the One beyond Being. The error of Sophia, which is usually identified as a reckless desire to know the transcendent God, leads to the hypostatization of her desire in the form of a semi-divine and essentially ignorant creature known as the Demiurge (Greek: dêmiourgos, “craftsman”), or Ialdabaoth, who is responsible for the formation of the material cosmos. This act of craftsmanship is actually an imitation of the realm of the Pleroma, but the Demiurge is ignorant of this, and hubristically declares himself the only existing God. At this point, the Gnostic revisionary critique of the Hebrew Scriptures begins, as well as the general rejection of this world as a product of error and ignorance, and the positing of a higher world, to which the human soul will eventually return. However, when all is said and done, one finds that the error of Sophia and the begetting of the inferior cosmos are occurrences that follow a certain law of necessity, and that the so-called “dualism” of the divine and the earthly is really a reflection and expression of the defining tension that constitutes the being of humanity—the human being.

Table of Contents

  1. The Philosophical Character of Gnosticism
    1. Psychology
    2. Existentialism
    3. Hermeneutics
      1. Reception and Revelation
  2. The Gnostic Mytho-Logos
    1. The Myth of Sophia
    2. Christian Gnosticism
      1. Basilides
      2. Marcion
      3. Valentinus and the Valentinian School
        1. The System of Ptolemy
    3. Mani and Manichaeism
  3. Platonism and Gnosticism
    1. Numenius of Apamea and Neo-Platonism
  4. Concluding Summary
  5. References and Further Reading
    1. Sources
    2. Suggestions for Further Reading

1. The Philosophical Character of Gnosticism

Gnosticism, as an intellectual product, is grounded firmly in the general human act of reflecting upon existence. The Gnostics were concerned with the basic questions of existence or “being-in-the-world” (Dasein)—that is: who we are (as human beings), where we have come from, and where we are heading, historically and spiritually (cf. Hans Jonas, The Gnostic Religion 1958, p. 334). These questions lie at the very root of philosophical thinking; but the answers provided by the Gnostics go beyond philosophical speculation toward the realm of religious doctrine and mysticism. However, it is impossible to understand fully the meaning of Gnosticism without beginning at the philosophical level, and orienting oneself accordingly. Since any orientation toward an ancient phenomenon must always proceed by way of contemporary ideas and habits of mind, an interpretative discussion of Gnostic thinking as it applies to Psychology, Existentialism, and Hermeneutics, is not amiss here. Once we have understood, to the extent of our ability, the philosophical import of Gnostic ideas, and how they relate to contemporary philosophical issues, then we may enter into the historical milieu of the Gnostics with some degree of confidence—a confidence devoid, to the extent that this is possible, of tainting exegetical presuppositions.

a. Psychology

Who are we? The answer to this question involves an account (logos) of the nature of the soul (psukhê or psyche); and the attempt to provide an answer has accordingly been dubbed the science or practice of “psychology”—an account of the soul or mind (psukhê, in ancient Greek, denoted both soul, as the principle of life, and mind, as the principle of intellect). Carl Jung, drawing upon Gnostic mythical schemas, identified the objectively oriented consciousness with the material or “fleshly” part of humankind—that is, with the part of the human being that is, according to the Gnostics, bound up in the cosmic cycle of generation and decay, and subject to the bonds of fate and time (cf. Apocryphon of John [Codex II] 28:30). The human being who identifies him/herself with the objectively existing world comes to construct a personality, a sense of self, that is, at base, fully dependent upon the ever-changing structures of temporal existence. The resulting lack of any sense of permanence, of autonomy, leads such an individual to experience anxieties of all kinds, and eventually to shun the mysterious and collectively meaningful patterns of human existence in favor of a private and stifling subjective context, in the confines of which life plays itself out in the absence of any reference to a greater plan or scheme. Hopelessness, atheism, despair, are the results of such an existence. This is not the natural end of the human being, though; for, according to Jung (and the Gnostics) the temporally constructed self is not the true self. The true self is the supreme consciousness existing and persisting beyond all space and time. Jung calls this the pure consciousness or Self, in contradistinction to the “ego consciousness” which is the temporally constructed and maintained form of a discrete existent (cf. C.G. Jung, “Gnostic Symbols of the Self,” in The Gnostic Jung 1992, pp. 55-92). This latter form of “worldly” consciousness the Gnostics identified with soul (psukhê), while the pure or true Self they identified with spirit (pneuma)—that is, mind relieved of its temporal contacts and context. This distinction had an important career in Gnostic thought, and was adopted by St. Paul, most notably in his doctrine of the spiritual resurrection (1 Corinthians 15:44). The psychological or empirical basis of this view, which soon turns into a metaphysical or onto-theological attitude, is the recognized inability of the human mind to achieve its grandest designs while remaining subject to the rigid law and order of a disinterested and aloof cosmos. The spirit-soul distinction (which of course translates into, or perhaps presupposes, the more fundamental mind-body distinction) marks the beginning of a transcendentalist and soteriological attitude toward the cosmos and temporal existence in general.

b. Existentialism

The basic experience of existence, described by the philosophy that has become known as “Existentialism,” involves a general feeling of loneliness or abandonment (Geworfenheit, “having been thrown”) in/to a world that is not amenable to the primordial desires of the human being (cf. Jonas, p. 336). The recognition that the first or primal desire of the human being is for the actualization or positing of a concrete self or “I” (an autonomous and discrete individual existing and persisting amidst the flux and flow of temporal and external “reality”) leads to the disturbing realization that this world is not akin to the human being; for this world (so it seems) follows it own course, a course already mapped out and set in motion long before the advent of human consciousness. Furthermore, that the essential activity of the human being—that is, to actualize an autonomous self within the world—is carried out in opposition to a power or “will” (the force of nature) that always seems to thwart or subvert this supremely human endeavor, leads to the acknowledgment of an anti-human and therefore anti-intellectual power; and this power, since it seems to act, must also exist. However, the fact that its act does not manifest itself as a communication between humanity and nature (or pure objectivity), but rather as a mechanical process of blind necessity occurring apart from the human endeavor, places the human being in a superior position. For even though the force of nature may arbitrarily wipe out an individual human existent, just as easily as it brings one into existence, this natural force is not conscious of its activity. The human mind, on the other hand, is. And so a gap or fissure—a product of reflection—is set up, by which the human being may come to orient him/herself with and toward the world in which s/he exists and persists, for a brief moment. Martin Heidegger has described this brief moment of orientation with/in (toward) the world as “care” (Sorge), which is always a care or concern for the “moment” (Augenblick) within which all existence occurs; this “care” is understood as the product of humankind’s recognition of their unavoidable being-toward-death. But this orientation is never completed, since the human soul finds that it cannot achieve its purpose or complete actualization within the confines set by nature.

While the thwarting necessity of nature is, for the Existentialist, a simple, unquestioned fact; for the Gnostics it is the result of the malignant designs of an inferior god, the Demiurge, carried out through and by this ignorant deity’s own law. In other words, nature is, for modern Existentialism, merely indifferent, while for the Gnostics it was actively hostile toward the human endeavor. “[C]osmic law, once worshipped as the expression of a reason with which man’s reason can communicate in the act of cognition, is now seen only in its aspect of compulsion which thwarts man’s freedom” (Jonas, p. 328). Time and history come to be understood as the provenance of the human mind, over-against futile idealistic constructions like law and order, nomos and cosmos. Knowledge, at this point, becomes a concrete endeavor—a self-salvific task for the human race.

Becoming aware of itself, the self also discovers that it is not really its own, but is rather the involuntary executor of cosmic designs. Knowledge, gnosis, may liberate man from this servitude; but since the cosmos is contrary to life and to spirit, the saving knowledge cannot aim at integration into the cosmic whole and at compliance with its laws. For the Gnostics … man’s alienation from the world is to be deepened and brought to a head, for the extrication of the inner self which only thus can gain itself (Jonas, p. 329).

The obvious question, then—Where did we come from? — only becomes intelligible alongside and within the more dynamic question of Where are we heading?

c. Hermeneutics

In the context of ancient Greek thinking, hermêneia was usually associated with tekhnê, giving us the tekhnê hermêneutikê or “art of interpretation” discussed by Aristotle in his treatise De Interpretatione [Peri Hermêneias]. Interpretation or hermeneutics, according to Aristotle, does not bring us to a direct knowledge of the meaning of things, but only to an understanding of how things come to appear before us, and thereby to provide us with an avenue toward empirical knowledge, as it were.

Moreover, discourse is hermêneia because a discursive statement is a grasp of the real by meaningful expression, not a selection of so-called impressions coming from the things themselves (Paul Ricoeur, The Conflict of Interpretations 1974, p. 4).

In this sense, we may say that the “art of interpretation” is a distinctly historical method of understanding or coming to terms with reality. In other words, since our “expression” is always an ex-position, a going-out from the given forms or patterns of reality toward a living use of these forms with/in Life, then we, as human beings persisting in a realm of becoming, are responsible, in the last analysis, not for any eternal truths or “things in themselves,” but only for the forms these things take on within the context of a living and thinking existence. Knowledge or understanding, then, is not of immutable and eternal things in themselves, but rather of the process by which things—that is, ideas, objects, events, persons, etc.—become revealed within the existential or ontological process of coming-to-know. The attention to process and the emergence of meaning occurs on the most immediate experiential level of human existence, and therefore contains about it nothing of the metaphysical. However, the birth of metaphysics may be located within this primordial or phenomenal structure of basic “brute” experience; for it is the natural tendency of the human mind to order and arrange its data according to rational principles.

The question will inevitably arise, though, as to whence these rational principles derive: are they a derivative product of the phenomenal realm of experience? or are they somehow endemic to the human mind as such, and hence eternal? If we take the first question as an answer, we are led to phenomenology, which “discovers, in place of an idealist subject locked within [a] system of meanings, a living being which from all time has, as the horizon of all its intentions, a world, the world” (Ricoeur, p. 9). According to the general contemporary or “post-modern” formulation, such a “living being” is directed, intentionally, always and only toward a multiplicitous world or realm in which human activity itself becomes the sole object of knowledge, apart from any “transcendent” metaphysical ideals or schemas. For the Gnostics, on the other hand, who worked within and upon the latter question, giving it a positive, if somewhat mytho-poetical answer, rational principles, which seem to be culled from a mere contact with sensible reality, are held to be reminders of a unified existence that is an eternal possibility, open to anyone capable of transcending and, indeed, transgressing this realm of experience and process —that is, of history. This “transgression” consists in the act of balancing oneself with/in, and orienting oneself toward, history as an interplay of past and present, in which the individual is poised for a decision—either to succumb to the flux and flow of an essentially decentered cosmic existence, or to strive for a re-integration into a godhead that is only barely recollected, and more obscure than the immediate perceptions of reality.

i. Reception and Revelation

Where are we heading? This question is at the very heart of Gnostic exegesis, and indeed colors and directs all attempts at coming to terms, not only with the Hebrew Scriptures, which served as the main text of Gnostic interpretation, but with existence in general.

The standard hermeneutical approach, both in our own era, and in Late Hellenistic times, is the receptive approach—that is, an engagement with texts of the past governed by the belief, on the part of the interpreter, that these texts have something to teach us. Whether we struggle to overcome our own “prejudices” or presuppositions, which are the inevitable result of our belonging to a particular tradition by way of the hermeneutical act (Gadamer), or allow our prejudices to shape our reading of a text, in an act of “creative misprision” (Bloom) we are still acknowledging, in some way, our debt to or dependence upon the text with which we are engaged. The Gnostics, in their reading of Scripture, acknowledged no such debt; for they believed that the Hebrew Bible was the written revelation of an inferior creator god (dêmiourgos), filled with lies intended to cloud the minds and judgment of the spiritual human beings (pneumatikoi) whom this Demiurge was intent on enslaving in his material cosmos.

Indeed, while the receptive hermeneutical method implies that we have something to learn from a text, the method employed by the Gnostics, which we may call the “revelatory” method, was founded upon the idea that they (the Gnostics) had received a supra-cosmic revelation, either in the form of a “call,” or a vision, or even, perhaps, through the exercise of philosophical dialectic. This “revelation” was the knowledge (gnôsis) that humankind is alien to this realm, and possesses a “home on high” within the plêrôma, the “Fullness,” where all the rational desires of the human mind come to full and perfect fruition. On this belief, all knowledge belonged to these Gnostics, and any interpretation of the biblical text would be for the purpose of explaining the true nature of things by elucidating the errors and distortions of the Demiurge. This approach treated the past as something already overcome yet still “present,” insofar as certain members of the human race were still laboring under the old law—that is, were still reading the Scriptures in the receptive manner. The Gnostic, insofar as he still remained within the world, as an existing being, was, on the other hand, both present and future. That is to say, the Gnostic embodied within himself the salvific dynamism of a history that had broken from the constraint of a tyrannical past, and found the freedom to invent itself anew. The Gnostic understood himself to be at once at the center and at the end or culmination of this history, and this idea or ideal was reflected most powerfully in ancient Gnostic exegesis. We must now turn to a discussion of the concrete results of this hermeneutical method.

2. The Gnostic Mytho-Logos

The Gnostic Idea or Notion was not informed by a philosophical world-view or procedure. Rather, the Gnostic vision of the world was based upon the intuition of a radical and seemingly irreparable rupture between the realm of experience (pathos) and the realm of true Being—that is, existence in its positive, creative, or authentic aspect.

The problem faced by the Gnostics was how to explain such a radical, pre-philosophical intuition. This intuition is “pre-philosophical” because the brute experience of existing in a world that is alien to humankind’s aspirations may submit itself to a variety of interpretations. And the attempt at an interpretation may take on the form of either muthos or logos—either a merely descriptive rendering of the experience, or a rationally ordered account of such an experience, including an explanation of its origins. The ancient Greek explanation of this experience was to call it a primal “awe” or “wonder” felt by the human being as he faces the world that stands so radically apart from him, and to posit this experience as the beginning of philosophy (cf. Aristotle, Metaphysics 982b 10-25 and Plato, Theaetetus 155d). But the Gnostics recognized this “awe” as the product of a radical disruption of the harmony of a realm persisting beyond becoming—that is, beyond “becoming” in the sense of pathos, or “that which is undergone.” The muthos always corresponds to the “first-hand” account rendered by one who has undergone, immediately, the effect of a certain event. The myth is always an explanation of something already known, and therefore carries its truth-claim along with it, just as the immediacy of an event forbids any doubt or questioning on the part of the one undergoing it. The logos, on the other hand, is the product of a careful reflection (dianoia), and refers, for its truth-value, not to the immediate moment of “grasping” a phenomenon (prolêpsis), but to the moment of reflection during which one attains a conceptual knowledge of the phenomenon, and first comes to “know” it as such—this is gnôsis: insight. The direct result of this gnôsis is the emergence from the sense of existence as pathos, to the actuality of being as aisthêsis—that is, reception and judgment of experience by way of purely rational or divine criteria. Such criteria proceeds directly from the logos, or divine “ordering principle,” to which the Gnostics believed themselves to be related, by way of a divine genealogy. Although Gnostic onto-theology proceeds by way of an elaborate myth, it is a myth informed always by the logos, and is, in this sense, a true mythology—that is, a rendering, in the immediacy of language, of that which is ever-present (to the Gnostic) as a product of privileged reflection.

a. The Myth of Sophia

According to Gnostic mythology (in general) We, humanity, are existing in this realm because a member of the transcendent godhead, Sophia (Wisdom), desired to actualize her innate potential for creativity without the approval of her partner or divine consort. Her hubris, in this regard, stood forth as raw materiality, and her desire, which was for the mysterious ineffable Father, manifested itself as Ialdabaoth, the Demiurge, that renegade principle of generation and corruption which, by its unalterable necessity, brings all beings to life, for a brief moment, and then to death for eternity. However, since even the Pleroma itself is not, according to the Gnostics, exempt from desire or passion, there must come into play a salvific event or savior—that is, Christ, the Logos, the “messenger,” etc.—who descends to the material realm for the purpose of negating all passion, and raising the innocent human “sparks” (which fell from Sophia) back up to the Pleroma (cf. Apocryphon of John [Codex II] 9:25-25:14 ff.).

This process of re-integration with/in the godhead is one of the basic features of the Gnostic myth. The purpose of this re-integration (implicitly) is to establish a series of existents that are ontologically posterior to Sophia, and are the concrete embodiment of her “disruptive” desire—within the unified arena of the Pleroma. Indeed, if the Pleroma is really the Fullness, containing all things, it must contain the manifold principles of Wisdom’s longing. In this sense, we must not view Gnostic salvation as a simply one-sided affair. The divine “sparks” that fell from Sophia, during her “passion,” are un-integrated aspects of the godhead. We may say, then, that in the Hegelian sense the Gnostic Supreme God is seeking, eternally, His own actualization by way of full self-consciousness (cf. G.W.F. Hegel, History of Philosophy vol. 2, pp. 396-399).

But it is not really this simple. The Supreme God of the Gnostics effortlessly generates the Pleroma, and yet (or for this very reason!) this Pleroma comes to act independently of the Father. This is because all members of the Pleroma (known as Aeons) are themselves “roots and springs and fathers” (Tripartite Tractate 68:10) carrying Time within themselves, as a condition of their Being. When the disruption, brought about by the desire of Sophia, disturbed the Pleroma, this was not understood as a disturbance of an already established unity, but rather as the disturbance of an insupportable stasis that had come to be observed as divine. Indeed, when the Greeks first looked to the sky and admired the regularity of the rotations of the stars and planets, what they were admiring, according to the Gnostics, was not the image of divinity, but the image or representation of a “divine” stagnancy, a law and order that stifled freedom, which is the root of desire (cf. Jonas, pp. 260-261). The passion of Sophia—her production of the Demiurge, his enslavement of the human “sparks” in the material cosmos, and the subsequent redemption and restoration—are but one episode in the infinite, unfolding drama of spiritual existence. We, as human beings, just happen to be the unwitting victims of this particular drama. But if, as the Gnostics hold, our salvation consists in our becoming gods (Poimandres 26) or “lord[s] over creation and all corruption” (Valentinus, Fragment F, Layton) then how are we to be confident that, in ages to come, one of us will not give birth to another damned cosmos, just as Sophia had done?

b. Christian Gnosticism

The Christian idea that God has sent his only “Son” (the Logos) to suffer and die for the sins of all humankind, and so make possible the salvation of all, had a deep impact on Gnostic thought. In the extensive and important collection of Gnostic writings discovered at Nag Hammadi, Egypt in 1945, only a handful present the possibility of having originated in a pre-Christian, mostly Hellenistic Jewish milieu. The majority of these texts are Christian Gnostic writings from the early second to late third centuries CE, and perhaps a bit later. When we consider the notion of salvation and its meaning for the early Gnostics, who stressed the creative aspect of our post-salvific existence, we are struck by the bold assertion that our need for salvation arose, in the first place, from an error committed by a divine being, Sophia (Wisdom), during the course of her own creative act (cf. Apocryphon of John [Codex II] 9:25-10:6). Since this is the case, how, we are led to ask, will our post-salvation existence be any less prone to error or ignorance, even evil? The radical message of early Christianity provided the answer to this problematical question; and so the Gnostics took up the Christian idea and transformed it, by the power of their singular mytho-logical technique, into a philosophically and theologically complex speculative schema.

i. Basilides

The Christian philosopher Basilides of Alexandria (fl. 132-135 CE) developed a cosmology and cosmogony quite distinct from the Sophia myth of classical Gnosticism, and also reinterpreted key Christian concepts by way of the popular Stoic philosophy of the era. Basilides began his system with a “primal octet” consisting of the “unengendered parent” or Father; Intellect (nous); the “ordering principle” or “Word” (logos); “prudence” (phronêsis); Wisdom (sophia); Power (dunamis) (Irenaeus, Against Heresies 1.24.3, in Layton, The Gnostic Scriptures 1987) and “justice” and “peace” (Basilides, Fragment A, Layton). Through the union of Wisdom and Power, a group of angelic rulers came into existence, and from these rulers a total of 365 heavens or aeons were generated (Irenaeus 1.24.3). Each heaven had its own chief ruler (arkhôn), and numerous lesser angels. The final heaven, which Basilides claimed is the realm of matter in which we all dwell, was said by him to be ruled by “the god of the Jews,” who favored the Jewish nation over all others, and so caused all manner of strife for the nations that came into contact with them—as well as for the Jewish people themselves. This behavior caused the rulers of the other 364 heavens to oppose the god of the Jews, and to send a savior, Jesus Christ, from the highest realm of the Father, to rescue the human beings who are struggling under the yoke of this jealous god (Irenaeus 1.24.4). Since the realm of matter is the sole provenance of this spiteful god, Basilides finds nothing of value in it, and states that “[s]alvation belongs only to the soul; the body is by nature corruptible” (Irenaeus 1.24.5). He even goes so far as to declare, contra Christian orthodoxy, that Christ’s death on the cross was only apparent, and did not actually occur “in the flesh” (Irenaeus 1.24.4)—this doctrine came to be called docetism.

The notion that material existence is the product of a jealous and corrupt creator god, who favors one race over all others, is really the “mythical” expression of a deeply rooted ethical belief that the source of all evil is material or bodily existence. Indeed, Basilides goes so far as to assert that sin is the direct outcome of bodily existence, and that human suffering is the punishment either for actual sins committed, or even just for the general inclination to sin, which arises from the bodily impulses (cf. Fragments F and G). In an adaptation of Stoic ethical categories, Basilides declares that faith (pistis) “is not the rational assent of a soul possessing free will” (Fragment C); rather, faith is the natural mode of existence, and consequently, anyone living in accordance with the “law of nature” (pronoia), which Basilides calls the “kingdom,” will remain free from the bodily impulses, and exist in a state of “salvation” (Fragment C). However, Basilides goes beyond simple Stoic doctrine in his belief that the “elect,” that is, those who exist by faith, “are alien to the world, as if they were transcendent by nature” (Fragment E); for unlike the Stoics, who believed in a single, material cosmos, Basilides held the view, as we have seen, that the cosmos is composed of numerous heavens, with the material realm as the final heaven, and consequently corrupt. Since this final heaven represents the “last gasp” of divine emanation, as it were, and is by no means a perfect image of true divinity, adherence to its laws can lead to no good. Further, since the body is the means by which the ruler of this material cosmos enforces his law, freedom can only be attained by abandoning or “becoming indifferent to” all bodily impulses and desires. This indifference (adiaphoria) to bodily impulses, however, does not lead to a simple stagnant asceticism. Basilides does not call upon his hearers to abandon the material realm only to dissolve into negativity; instead, he offers them a new life, by appealing to the grand hierarchy of rulers persisting above the material realm (cf. Fragment D). When one turns to the greater hierarchy of Being, there results a “creation of good things” (Fragment C, translation modified). Love and personal creation—the begetting of the Good—are the final result of Basilides’ vaguely dialectical system, and for this reason it is one of the most important early expressions of a truly Christian, if not “orthodox,” philosophy.

ii. Marcion

Marcion of Sinope, in Pontus, was a contemporary of Basilides. According to Tertullian, he started his career as an orthodox Christian—whatever that meant at such an early stage of development of Christian doctrine—but soon formulated the remarkable and radical doctrine that was to lead to his excommunication from the Roman Church in July 144 CE, the traditional date of the founding of the Marcionite Church (Tertullian, Against Marcion 1.1; cf. Kurt Rudolph, Gnosis 1984, p. 314). The teaching of Marcion is elegantly simple: “the God proclaimed by the law and the prophets is not the Father of Our Lord Jesus Christ. The God (of the Old Testament) is known, but the latter (the Father of Jesus Christ) is unknown. The one is just, but the other is good” (Irenaeus 1.27.1). Marcion believed that this cosmos in which we live bears witness to the existence of an inflexible, legalistic, and sometimes spiteful and vengeful God. This view arose from a quite literal reading of the Old Testament, which does contain several passages describing God in terms not quite conducive to divinity—or at least to the idea of the divine that was current in the Hellenistic era. Marcion then, following Paul (in Romans 1:20) declared that God is knowable through His creation; however, unlike Paul, Marcion did not take this “natural revelation” as evidence of God’s singularity and goodness. Quite the contrary, Marcion believed that he knew the God of this realm all too well, and that He was not worthy of the devotion and obedience that He demanded. Therefore, Marcion rejected the teaching of the orthodox Christian Church of his era, that Yahweh (or Jehovah) is the Father of Christ, and, through a creative excision of what he termed “Judaistic interpolations” in Luke and ten Pauline Epistles, Marcion simultaneously put forth his notion of the “alien God” and His act of salvation, and established the first Canon of Scripture used in a “Christian” Church (Jonas, pp. 145-146).

Marcion was not a philosopher in the sense that term has come to imply. He never developed, as far as we can tell from the surviving evidence, a systematic metaphysical, cosmological, or anthropological theory in the manner of a Basilides or a Valentinus (whom we shall discuss below), nor did he appeal to history as a witness for his doctrines. This latter point is the most important. Unlike the majority of Gnostics, who elaborated some sort of divine genealogy (e.g., the Sophia myth) to account for the presence of corruption and strife in the world, Marcion simply posited two opposed and irreducible Gods: the biblical god, and the unknown or “alien” God, who is the Father of Christ. According to Marcion, the god who controls this realm is a being who is intent on preserving his autonomy and power even at the expense of the (human) beings whom he created. The “alien” God, who is the Supremely Good, is a “god of injection,” for he enters this realm from outside, in order to gratuitously adopt the pitiful human beings who remain under the sway of the inferior god as His own children. This act is the origin of and reason for the Incarnation of Christ, according to Marcion.

In spite of the absence of any solid philosophical or theological foundation for this rather simple formulation, Marcion’s idea nevertheless expresses, in a somewhat crude and immediate form, a basic truth of human existence: that the desires of the Mind are incommensurable with the nature of material existence (cf. Irenaeus 1.27.2-3). Yet, if we follow Marcion’s argument to its logical (or perhaps “anti-logical”) conclusion, we discover an existential expression (not a philosophy) of the primal feeling of “abandonment” (Geworfenheit). This expression plays upon the subtle yet poignant opposition of “love of wisdom” (philosophia) and “complete wisdom” (plêrosophia). We are alone in a world that does not lend itself to our quest for unalterable truth, and so we befriend wisdom, which is the way of or manner in which we attain this intuited truth. According to Marcion, this truth is not to be found in this world—all that is to be found is the desire for this truth, which arises amongst human beings. However, since this desire, on the part of human beings, only produces various philosophies, none of which can hold claim to the absolute truth, Marcion concludes that the noetic beings (humans) of this realm are capable of nothing more than a shadow of wisdom. It is only by way of the guidance and grace of an alien and purely good God that humankind will rise to the level of plêrosophia or complete wisdom (cf. Colossians 2:2 ff.). Moreover, instead of attempting to discover the historical connection between the revelation of Christ and the teachings of the Old Testament, Marcion simply rejected the latter in favor of the former, on the belief that only the Gospel (thoughtfully edited by Marcion himself) points us toward complete wisdom (Irenaeus 1.27.2-3; Tertullian, Against Marcion 4.3).

While other Christian thinkers of the era were busy allegorizing the Old Testament in order to bring it into line with New Testament teaching, Marcion allowed the New Testament (albeit in his own special version) to speak to him as a singular voice of authority—and he formulated his doctrine accordingly. This doctrine emphasized not only humankind’s radical alienation from the realm of their birth, but also their lack of any genealogical relation to the God who sacrificed His own Son to save them—in other words, Marcion painted a picture of humanity as a race displaced, with no true home at all (cf. Giovanni Filoramo, A History of Gnosticism 1992, p. 164). The hope of searching for a lost home, or of returning to a home from which one has been turned out, was absent in the doctrine of Marcion. Like Pico della Mirandola, Marcion declared the nature of humankind to be that of an eternally intermediate entity, poised precariously between heaven and earth (cp. Pico della Mirandola, Oration on the Dignity of Man, 3). However, unlike Pico, Marcion called for a radical displacement of humankind—a “rupture”—in which humanity would awaken to its full (if not innate) possibilities.

iii. Valentinus and the Valentinian School

The great Christian teacher and philosopher Valentinus (ca. 100-175 CE) spent his formative years in Alexandria, where he probably came into contact with Basilides. Valentinus later went to Rome, where he began his public teaching career, which was so successful that he actually had a serious chance of being elected Bishop of Rome. He lost the election, however, and with it Gnosticism lost the chance of becoming synonymous with Christianity, and hence a world religion. This is not to say that Valentinus failed to influence the development of Christian theology—he most certainly did, as we shall see below. It was through Valentinus, perhaps more than any other Christian thinker of his time, that Platonic philosophy, rhetorical elegance, and a deep, interpretive knowledge of scripture became introduced together into the realm of Christian theology. The achievement of Valentinus remained unmatched for nearly a century, until the incomparable Origen came on the scene. Yet even then, it may not be amiss to suggest that Origen never would have “happened” had it not been for the example of Valentinus.

The cosmology of Valentinus began, not with a unity, but with a primal duality, a dyad, composed of two entities called “the Ineffable” and “Silence.” From these initial beings a second dyad of “Parent” and “Truth” was generated. These beings finally engendered a quaternity of “Word” (logos), “Life” (zôê), “Human Being” (anthropos), and “Church” (ekklêsia). Valentinus refers to this divine collectivity as the “first octet” (Irenaeus 1.11.1). This octet produced several other beings, one of which revolted or “turned away,” as Irenaeus tells us, and set in motion the divine drama that would eventually produce the cosmos. According to Irenaeus, who was writing only about five years after the death of Valentinus, and in whose treatise Against Heresies the outline of Valentinus’ cosmology is preserved, the entity responsible for initiating the drama is referred to simply as “the mother,” by which is probably meant Sophia (Wisdom). From this “mother” both matter (hulê) and the savior, Christ, were generated. The realm of matter is described as a “shadow,” produced from the “mother,” and from which Christ distanced himself and “hastened up into the fullness” (Irenaeus 1.11.1; cp. Poimandres 5). At this point the “mother” produced another “child,” the “craftsman” (dêmiourgos) responsible for the creation of the cosmos. In the account preserved by Irenaeus, we are told nothing of any cosmic drama in which “divine sparks” are trapped in fleshly bodies through the designs of the Demiurge. However, it is to be assumed that Valentinus did expound an anthropology similar to that of the classical Sophia myth (as represented, for example, in the Apocryphon of John; cf. also The Hypostasis of the Archons, and the Apocalypse of Adam), especially since his school, as represented most significantly by his star pupil Ptolemy (see below), came to develop a highly complex anthropological myth that must have grown out of a simpler model provided by Valentinus himself. The account preserved in Irenaeus ends with a description of a somewhat confused doctrine of a heavenly and an earthly Christ, and a brief passage on the role of the Holy Spirit (Irenaeus 1.11.1). From this one gets the idea that Valentinus was flirting with a primitive doctrine of the Trinity. Indeed, according to the fourth century theologian Marcellus of Ancyra, Valentinus was “the first to devise the notion of three subsistent entities (hypostases), in a work that he entitled On the Three Natures” (Valentinus, Fragment B, Layton).

Valentinus was certainly the most overtly Christian of the Gnostic philosophers of his era. We have seen how the thought of Basilides was pervaded by a Stoicizing tendency, and how Marcion felt the need to go beyond scripture to posit an “alien” redeemer God. Valentinus, on the other hand, seems to have been informed, in his speculations, primarily by Jewish and Christian scripture and exegesis, and only secondarily by “pagan” philosophy, particularly Platonism. This is most pronounced in his particular version of the familiar theological notion of “election” or “pre-destination,” in which it is declared (following Paul in Romans 8:29) that God chose certain individuals, before the beginning of time, for salvation. Valentinus writes, in what is probably a remnant of a sermon:

From the beginning you [the “elect” or Gnostic Christians] have been immortal, and you are children of eternal life. And you wanted death to be allocated to yourselves so that you might spend it and use it up, and that death might die in you and through you. For when you nullify the world and are not yourselves annihilated, you are lord over creation and all corruption (Valentinus, Fragment F).

This seems to be Valentinus’ response to the dilemma of the permanence of salvation: since Sophia or the divine “mother,” a member of the Pleroma, had fallen into error, how can we be sure that we will not make the same or a similar mistake after we have reached the fullness? By declaring that it is the role and task of the “elect” or Gnostic Christian to use up death and nullify the world, Valentinus is making clear his position that these elite souls are fellow saviors of the world, along with Jesus, who was the first to take on the sin and corruption inherent in the material realm (cf. Irenaeus 1.11.1; and Layton p. 240). Therefore, since “the wages of sin is death” (Romans 6:23), any being who is capable of destroying death must be incapable of sin. For Valentinus, then, the individual who is predestined for salvation is also predestined for a sort of divine stewardship that involves an active hand in history, and not a mere repose with God, or even a blissful existence of loving creation, as Basilides held. Like Paul, Valentinus demanded that his hearers recognize their createdness. However, unlike Paul, they recognized their creator as the “Ineffable Parent,” and not as the God of the Hebrew Scriptures. The task of Christian hermeneutics after Valentinus was to prove the continuity of the Old and New Testament. In this regard, as well as in the general spirituality of his teaching—not to mention his primitive trinitarian doctrine—Valentinus had an incalculable impact on the development of Christianity.

1) The System of Ptolemy

Ptolemy (or Ptolemaeus, fl. 140 CE) was described by St. Irenaeus as “the blossom of Valentinus’ school” (Layton, p. 276). We know next to nothing about his life, except the two writings that have come down to us: the elaborate Valentinian philosophical myth preserved in Irenaeus, and Ptolemy’s Epistle to Flora, preserved verbatim by St. Epiphanius. In the former we are met with a grand elaboration, by Ptolemy, of Valentinus’ own system, which contains a complex anthropological myth centering around the passion of Sophia. We also find, in both the myth and the Epistle, Ptolemy making an attempt to bring Hebrew Scripture into line with Gnostic teaching and New Testament allegorization in a manner heretofore unprecedented among the Gnostics.

In the system of Ptolemy we are explicitly told that the cause of Sophia’s fall was her desire to know the ineffable Father. Since the purpose of the Father’s generating of the Aeons (of which Sophia was the last) was to “elevate all of them into thought” (Irenaeus 1.2.1) it was not permitted for any Aeon to attain a full knowledge of the Father. The purpose of the Pleroma was to exist as a living, collective expression of the intellectual magnitude of the Father, and if any single being within the Pleroma were to attain to the Father, all life would cease. This idea is based on an essentially positive attitude toward existence—that is, existence understood in the sense of striving, not for a reposeful end, but for an ever-increasing degree of creative or “constitutive” insight. The goal, on this view, is to produce through wisdom, and not simply to attain wisdom as an object or end in itself. Such an existence is not characterized by desire for an object, but rather by desire for the ability to persist in creative, constitutive engagement with/in one’s own “circumstance” (circumscribed stance or individual arena). When Sophia desired to know the Father, then, what she was desiring was her own dissolution in favor of an envelopment in that which made her existence possible in the first place. This amounted to a rejection of the gift of the Father—that is, of the gift of individual existence and life. It is for this reason that Sophia was not permitted to know the Father, but was turned back by the “boundary” (horos) that separates the Pleroma from the “ineffable magnitude” of the Father (Irenaeus 1.2.2).

The remainder of Ptolemy’s account is concerned with the production of the material cosmos out of the hypostatized “passions” of Sophia, and the activity of the Savior (Jesus Christ) in arranging these initially chaotic passions into a structured hierarchy of existents (Irenaeus 1.4.5 ff., and cp. Colossians 1:16). Three classes of human beings come into existence through this arrangement: the “material” (hulikos), the “animate” (psukhikos), and the “spiritual” (pneumatikos). The “material” humans are those who have not attained to intellectual life, and so place their hopes only upon that which is perishable—for these there is no hope of salvation. The “animate” are those who have only a half-formed conception of the true God, and so must live a life devoted to holy works, and persistence in faith; according to Ptolemy, these are the “ordinary” Christians. Finally, there are the “spiritual” humans, the Gnostics, who need no faith, since they have actual knowledge (gnôsis) of intellectual reality, and are thus saved by nature (Irenaeus 1.6.2, 1.6.4). The Valentinian-Ptolemaic notion of salvation rests on the idea that the cosmos is the concrete manifestation or hypostatization of the desire of Sophia for knowledge of the Father, and the “passions” her failure produced. The history of salvation, then, for human beings, has the character of an external manifestation of the threefold process of Sophia’s own redemption: recognition of her passion; her consequent “turning back” (epistrophê); and finally, her act of spiritual production, whence arose Gnostic humanity (cf. Irenaeus 1.5.1). Salvation, then, in its final form, must imply a sort of spiritual creation on the part of the Gnostics who attain the Pleroma. The “animate” humans, however, who are composed partly of corruptible matter and partly of the spiritual essence, must remain content with a simple restful existence with the craftsman of the cosmos, since no material element can enter the Pleroma (Irenaeus 1.7.1).

In his Epistle to Flora (in Epiphanius 33.3.1-33.7.10), which is an attempt to convert an “ordinary” Christian woman to his brand of Valentinian Christianity, Ptolemy clearly formulates his doctrine of the relation between the God of the Hebrew Scriptures, who is merely “just,” and the Ineffable Father, who is the Supreme Good. Rather than simply declaring these two gods to be unrelated, as did Marcion, Ptolemy develops a complex, allegorical reading of the Hebrew Scriptures in relation to the New Testament in order to establish a genealogy connecting the Pleroma, Sophia and her “passion,” the Demiurge, and the salvific activity of Jesus Christ. The scope and rigor of Ptolemy’s work, and the influence it came to exercise on emerging Christian orthodoxy, qualifies him as one of the most important of the early Christian theologians, both proto-orthodox and “heretical.”

c. Mani and Manichaeism

The world religion founded by Mani (216-276 CE) and known to history as Manichaeism has its roots in the East, borrowing elements from Persian dualistic religion (Zoroastrianism), Jewish Christianity, Buddhism, and even Mithraism. The system developed by Mani was self-consciously syncretistic, which was a natural outgrowth of his desire to see his religion reach the ends of the earth. This desire was fulfilled, and until the late Middle Ages, Manichaeism remained a world religion, stretching from China to Western Europe. It is now completely extinct. The religion began when its founder experienced a series of visions, in which the Holy Spirit supposedly appeared to him, ordering him to preach the revelation of Light to the ends of the earth. Mani came to view himself as the last in a series of great prophets including Buddha, Zoroaster, Jesus, and Paul (Rudolph, p. 339). His highly complex myth of the origin of the cosmos and of humankind drew on various elements culled from these several traditions and teachings. The doctrine of Mani is not “philosophical,” in the manner of Basilides, Valentinus or Ptolemy; for Mani’s teaching was not the product of a more or less rational or systematic speculation about the godhead, resulting in Gnosis, but the wholly creative product of what he felt to be a revelation from the divinity itself. It is for this reason that Mani’s followers revered him as the redeemer and holy teacher of humankind (Rudolph, p. 339). Since Manichaeism belongs more to the history of religion than to philosophy proper (or even the fringes of philosophy, as does Western Gnosticism), it will suffice to say only a few words about the system, if for no other reason than that the great Christian philosopher Augustine of Hippo had followed the Manichaen religion for several years, before converting to Christianity (cf. Augustine, Confessions III.10).

The main point of distinction between the doctrine of Mani and the Western branch of Gnosticism (Basilides, Valentinus, etc.), is that in Manichaeism the “cosmology is subservient to the soteriology” (Rudolph, p. 336). This means, essentially, that Mani began with a fundamental belief about the nature of humanity and its place in the cosmos, and concocted a myth to explain the situation of humankind, and the dynamics of humanity’s eventual salvation. The details of the cosmology were apparently not important, their sole purpose being to illustrate, poetically, the dangers facing the souls dwelling in this “realm of darkness” as well as the manner of their redemption from this place. The Manichaean cosmology began with two opposed first principles, as in Zoroastrianism: the God of Light, and the Ruler of Darkness. This Darkness, being of a chaotic nature, assails the “Kingdom of Light” in an attempt to overthrow or perhaps assimilate it. The “King of the Paradise of Light,” then, goes on the defensive, as it were, and brings forth Wisdom, who in her turn gives birth to the Primal Man, also called Ohrmazd (or Ahura-Mazda). This Primal Man possesses a pentadic soul, consisting of fire, water, wind, light, and ether. Armored with this soul, the Primal Man descends into the Realm of Darkness to battle with its Ruler. Surprisingly, the Primal Man is defeated, and his soul scattered throughout the Realm of Darkness. However, the Manichaeans understood this as a plan on the part of the Ruler of Light to sow the seeds of resistance within the Darkness, making possible the eventual overthrow of the chaotic realm. To this end, a second “Living Spirit” is brought forth, who was also called Mithra. This being, and his partner, “Light-Adamas,” set in motion the history of salvation by putting forth the “call” within the realm of darkness, which recalls the scattered particles of light (from the vanquished soul of Ohrmazd). These scattered particles “answer” Mithra, and the result is the formation of the heavens and earth, the stars and planets, and finally, the establishment of the twelve signs of the zodiac and the ordered revolution of the cosmic sphere, through which, by a gradual process, the scattered particles of light will eventually be returned to the Realm of Light. The Manichaeans believed that these particles ascend to the moon, and that when the moon is full, it empties these particles into the sun, from whence they ascend to the “new Aeon,” also identified with Mithra, the “Living Spirit” (Rudolph, pp. 336-337). This process will continue throughout the ages of the world, until all the particles eventually reach their proper home and the salvation of the godhead is complete.

It should be clear from this brief exposition that humanity as such does not hold the prime place in the salvific drama of Manichaeism, but rather a part of the godhead itself—that is, the scattered soul of Ohrmazd. The purpose of humanity in this scheme is to aid the particles of light in their ascent to the godhead. Of course, these particles dwell within every living thing, and so the salvation of these particles is the salvation of humanity, but only by default, as it were; humanity does not hold a privileged position in Manichaeism, as it does in the Western or strictly Christian Gnostic schools. This belief led the Manichaeans to establish strict dietary and purity laws, and even to require selected members of their church to provide meals for the “Elect,” so that the latter would not become defiled by harming anything containing light particles. All of this, however, is a long way from philosophy. Hans Jonas was right to describe Manichaeism as representing “a more archaic level of gnostic thought” (Jonas, p. 206). Now that we have examined one of the non-philosophical directions taken by Gnostic thought, let us proceed to discuss its role in the philosophical development of the era.

3. Platonism and Gnosticism

Long before the advent of Gnosticism, Plato had posited two contrary World Souls: one “which does good” and one “which has the opposite capacity” (Plato, Laws X. 896e, tr. Saunders). For Plato, this did not imply that the cosmos is under the control of a corrupt or ignorant god, as it did for the Gnostics, but simply that this cosmos, like the human soul, possesses a rational and an irrational part, and that it is the task of the rational part to govern the irrational. The question arose, however, among Platonists, regarding Plato’s true position on this matter. Was he declaring that a part of the cosmos is evil? or that the divine Demiurge (who, in the highly influential Timaeus account, is said to have crafted the cosmos) actually produced an evil soul? Both of these conjectures flew in the face of everything that the ancient thinkers believed about the cosmos—that is, that it was divine, orderly, and perfect. A common solution, among both Platonists and Pythagoreans, was to interpret the second or “evil” Soul as Matter, that is, the material or generative principle, which is the opposite of the truly divine and unchanging Forms. The purpose of the Intellectual principle, or the “good” Soul, is to bring this disorderly principle under the control of reason, and thereby maintain an everlasting but not eternal cosmos (cf. Timaeus 37d). Since the cosmos, according to Plato in the Timaeus, cannot be as perfect as the eternal image upon which it is founded, a generative principle is necessary to maintain the “living creature” (which is precisely how the cosmos is described), and therefore not really “evil,” even though it possesses the “opposite capacity” (generation, and hence, corruption) from that of the Good or Rational Soul.

a. Numenius of Apamea and Neo-Platonism

Several centuries after Plato, around the time when the great Gnostic thinkers like Valentinus and Ptolemy were developing their systems, we encounter the Platonic philosopher Numenius of Apamea (fl. 150 CE). The main ideas of Numenius’ philosophy, preserved in the fragments of his writings that survive, bear clear traces of Gnostic influence. His cosmology describes, in language strikingly similar to that of the Gnostics, the degradation of the divine dêmiourgos upon his contact with pre-existent Matter (hulê, or the “indefinite” principle):

[I]n the process of coming into contact with Matter, which is the Dyad, [the Demiurge] gives unity to it, but is Himself divided by it, since Matter has a character prone to desire [epithumêtikon êthos] and is in flux. So in virtue of not being in contact with the Intelligible (which would mean being turned in upon Himself), by reason of looking towards Matter and taking thought for it, He becomes unregarding (aperioptos) of Himself. And he seizes upon the sense realm and ministers to it and yet draws it up to His own character, as a result of this yearning towards Matter [eporexamenos tês hulês] (Numenius, Fragment 11, in Dillon 1977, The Middle Platonists, pp. 367-368).

In this fragment, Numenius is transferring a basic Gnostic anthropological idea into the realm of cosmology. It is a common feature of Gnostic systems to describe the individual human soul’s contact with the material realm as resulting in a forgetting of the soul’s true origin. Platonism, also, warned against the soul’s becoming too attached to the realm of the senses, since this realm is changing and illusory, and does not accurately reflect the divinity. However, neither Platonism nor Gnosticism described such a danger as affecting, in any way, the Demiurge; for the Gnostics declared the Demiurge to be just as much a part of the cosmos as he was its ruler, and the orthodox Platonists located the Demiurge outside the cosmos, declaring the cosmos to be self-sufficient (following Timaeus 34b). Numenius, however, went further and bridged the gap between the sensible cosmos and the Intelligible Realm by linking the Demiurge to the latter by way of contemplation, and to the former by way of his “desire” (orexis) for matter. In Fragment 18, Numenius tells us that the Demiurge derives his “critical faculty” (kritikon) from his contemplation of the Good, and his “impulsive faculty” (hormêtikon) from his attachment to Matter (Dillon, p. 370). This idea seems to foreshadow Plotinus’ doctrine that the individual soul will always take on certain characteristics of Matter, and that these characteristics manifest themselves in the form of sense perceptions that must be brought under the controlling influence of rational judgment (cf. Enneads I.8.9 and I.1.7). Unlike Plotinus, however, who leaves the World-Soul or active part of the Demiurge safely beyond the affective cosmic realm, Numenius posits a Demiurge that is both transcendent and immanent, and arrives at a doctrine of a cosmos that, even on the highest level—the level of the celestial bodies—is not devoid of evil influence, since even the Demiurge, the highest cosmic deity, is infected by the tainting influence of Matter. “This importation of evil into the celestial realm is surely more Gnostic than Platonist, and did not comment itself to such successors as Plotinus or Porphyry, though it does seem to be accepted by Iamblichus” (Dillon, p. 374).

Plotinus, during the height of his teaching career at Rome (ca. 255 CE), composed a treatise “Against Those Who Declare the Creator of This World, and the World Itself, to be Evil,” also known, simply, as “Against the Gnostics” (Ennead II.9) in which he argues for the divinity and goodness of the cosmos, and upholds the ancient Greek belief in the divinity of the stars and planets, declaring them to be our “noble brethren,” and responsible only for the good things that befall humankind. Porphyry, in his Life of Plotinus, tells us that Plotinus commissioned him, along with his fellow student Amelius, to write more treatises attacking the Gnostics on points that Plotinus skipped over (Porphyry, Life of Plotinus 16). Porphyry also mentions by name two Gnostic treatises that were discovered in Egypt in 1945, and are now readily available to scholars: Zostrianos, and Allogenes, in the Nag Hammadi Collection of Codices. These texts, as well as the Tripartite Tractate (also in the Nag Hammadi Collection) show how tightly Platonism and Gnosticism were intertwined in the early centuries of our era.

4. Concluding Summary

Gnosticism began with the same basic, pre-philosophical intuition that guided the development of Greek philosophy—that there is a dichotomy between the realm of true, unchanging Being, and ever-changing Becoming. However, unlike the Greeks, who strived to find the connection between and overall unity of these two “realms,” the Gnostics amplified the differences, and developed a mytho-logical doctrine of humankind’s origin in the realm of Being, and eventual fall into the realm of darkness or matter, that is, Becoming. This general Gnostic myth came to exercise an influence on emerging Christianity, as well as upon Platonic philosophy, and even, in the East, developed into a world religion (Manichaeism) that spread across the known world, surviving until the late Middle Ages. In the twentieth century, there began a renewed interest in Gnostic ideas, particularly in the pioneering work of Hans Jonas, the Existentialist philosopher and student of Martin Heidegger. The psychologist Carl Jung, as well, drew upon Gnostic motifs in his theoretical work, and the increasing emphasis on Hermeneutics in late twentieth century thought owes something to the analyses of Gnostic myth and exegesis done by Harold Bloom, Paul Ricoeur, and others.

More than any of these accomplishments, however, it was the discovery in 1945, in Egypt, of a large collection of Coptic Gnostic codices, now known as the Nag Hammadi Collection, or the Nag Hammadi Library. This collection contains works of the Valentinian School, as well as of many earlier and contemporaneous sects, and sheds much needed light on the nature and structure of what to this day is still called, with some reservations, the Gnostic Religion. The study of this library has led certain scholars to question the existence of any unified movement called “Gnosticism” or the “Gnostic Religion.” Michael Allen Williams, in 1996, published a book entitled Rethinking “Gnosticism”: An Argument For Dismantling A Dubious Category (Princeton University Press 1996). Through a detailed study of numerous texts of the Nag Hammadi Collection, Williams attempts to show that the extreme diversity underlying the texts that many scholars have lumped together under the catch-all phrase of “Gnosticism,” casts doubt on the existence of anything like a Gnostic religion. Moreover, he argues, such a wholesale consignment of these texts to what is, in fact, a modern designation, blinds us to the deeper meaning of these diverse intellectual monuments. It should be noted, however, that the early Church Fathers, like Clement of Alexandria, Irenaeus, Origen, Hippolytus, Epiphanius, and even “pagan” philosophers like Plotinus and Porphyry, who have preserved for us accounts and occasionally some original documents of philosophers and theologians whom they term “Gnostic,” were also contemporaries or near contemporaries of many of the figures and schools that they criticize and interpret. The insights of these writers, then, who were living and working side by side, and almost always in conflict with, members of the Gnostic sects, should be given priority over any modern attempts to revise our understanding of what Gnosticism is.

5. References and Further Reading

a. Sources

  • Dillon, John (1977). “Numenius of Apamea” in The Middle Platonists (Cornell University Press).
  • Filoramo, Giovanni. A History of Gnosticism, tr. Anthony Alcock (Oxford: Blackwell Publishers 1990, 1992).
  • Hegel, G.W.F. “The Gnostics” in Lectures on the History of Philosophy, vol 2. “Plato and the Platonists,” tr. E.S. Haldane and Frances H. Simson (University of Nebraska Press; Bison Books Edition 1995).
  • Jonas, Hans (1958, 2001). The Gnostic Religion: The Message of the Alien God and the Beginnings of Christianity (Boston: Beacon Press).
  • Layton, Bentley (1987). The Gnostic Scriptures (Doubleday: The Anchor Bible Reference Library).
  • Plato. Laws, tr. Trevor J. Saunders, in Plato: Complete Works, ed. John M. Cooper (Indianapolis: Hackett Publishing 1997).
  • Plato. Timaeus, tr. Donald J. Zeyl, in Plato: Complete Works.
  • Plotinus. The Enneads, tr. A.H. Armstrong, in 7 volumes (Harvard: Loeb Classical Library 1966).
  • Ricoeur, Paul. The Conflict of Interpretations (Northwestern University Press 1974).
  • Rudolph, Kurt. Gnosis: The Nature and History of Gnosticism, tr. Robert McLachlan Wilson (Edinburgh: T. and T. Clark Ltd. 1984).
  • Segal, Robert A. (ed.) The Gnostic Jung (Princeton University Press 1992).

b. Suggestions for Further Reading

  • Barnstone, Willis (1984 ed.) The Other Bible (Harper San Francisco).
  • Bultmann, Rudolph (1956). Primitive Christianity in its Contemporary Setting (New York: Meridian Books).
  • Fideler, David (1993). Jesus Christ, Sun of God: Ancient Cosmology and Early Christian Symbolism (Wheaton, Illinois: Quest Books).
  • Pagels, Elaine (1975). The Gnostic Paul: Gnostic Exegesis of the Pauline Letters (Philadelphia: Trinity Press).
  • Williams, Michael Allen. Rethinking “Gnosticism”: An Argument For Dismantling A Dubious Category (Princeton University Press 1996).

Author Information

Edward Moore
Email: emoore@theandros.com
St. Elias School of Orthodox Theology
U. s. A.

The Garden of Epicurus

A garden near the city of Athens, owned and used by the philosopher Epicurus and his followers. It became a symbol of Epicurean philosophy.

Table of Contents

  1. Location and Use
  2. References and Further Reading

1. Location and Use

In 307/306 BCE the Athenian philosopher Epicurus bought a house with a garden just outside Athens along the road from the Dipylon gate to the Academy (CiceroDe Finibus 5.1.3). Other great founders of philosophical schools had chosen public areas for their teaching: Plato established his school near the Academy, Isocrates and Aristotle taught in the Lyceum, Zeno often met his students in the Stoa Poecile. In contrast, Epicurus’ hedonistic and materialistic philosophy flourished and grew amidst the privately owned groves of his Garden. The Garden itself – apart from the city, a private space, and pleasurable – became a symbol for the detachment and hedonism of the Epicurean school. Nothing of the Garden’s layout is known, but its closeness to the canalized Eridanus River must have provided plentiful water for irrigation of its trees and plants. After Epicurus’ death the Garden was passed down to his followers (Diogenes Laertius, 10.10 and 10.17). We may imagine that Epicureans seeking relief from the disturbances of the city gathered in the Garden’s groves for many centuries.

2. References and Further Reading

  • Furley, David John. “Epicurus” in the Oxford Classical Dictionary. Third Edition. Oxford 1996.
  • Wycherley, R.E. The Stones of Athens. Princeton 197

Author Information

William Morison
Email: morisonw@gvsu.edu
Grand Valley State University

Ge Hong (Ko Hung, 283—343 C.E.)

Ge_HongGe Hong was an eclectic philosopher who dedicated his life to searching for physical immortality, which he thought was attainable through alchemy. He lived during China’s tumultuous Period of Disunity (220-589 C.E.), a time in which alien conqueror regimes ruled northern China, the cradle of Chinese civilization, while a series of weak, transplanted Chinese states occupied recently colonized southern China. These political conditions, along with the social chaos they engendered, no doubt gave rise to Ge Hong’s ardent desire to establish order and permanency in both his spiritual and secular worlds. His most important contribution to Chinese philosophy was his attempt to reconcile an immortality-centered Daoism with Confucianism. Equally important, to establish political order, he also tried to reconcile Legalism with Confucianism. His penetrating insight was that the teachings of no one school could solve the problems that his world faced – only a combination of the best methods of each could do so.

Table of Contents

  1. The Life of Ge Hong
  2. Immortality
  3. Reconciliation of Daoism and Confucianism
  4. Confucianism and Legalism
  5. The Importance of Broad Knowledge
  6. Conclusion
  7. References and Further Reading

1. The Life of Ge Hong

In 283 C.E., Ge Hong was born into a southern magnate family whose native place was the Jurong district in Danyang prefecture, which was near Nanjing, in the southwest corner of present day Jiangsu province. Both his grandfather and father had reputations for broad learning and served as high ministers for the Wu state, which ruled over southeastern China from 220-280. Ge’s father continued to hold a number of middle level positions under the Western Jin dynasty (265-317) that briefly reunited China. Upon his father’s death in 296, Ge endured a period of relative poverty and lost his family’s extensive library due to civil strife. To educate himself, from this time on, he started copying books and reading voraciously. He began with the Confucian classics, but soon turned his attention to the various philosophical writings. Under the tutelage of Zheng Yin, who was both a Confucian classicist and a Daoist adept, Ge began his studies of the immortality arts. Zheng Yin himself was a disciple of Ge’s uncle, Ge Xuan (164-244), a Daoist adept who was reputed to have become an immortal.

Like other southern gentry, Ge Hong’s early career was spent in military positions. He had an extensive knowledge of martial affairs and was trained in the use of arms. In 303, at the age of twenty, he was called upon to organize and lead a militia in his native place against a rebel army, which he handily defeated. In a rare admission of violence for a Chinese literatus, he even relates that, with bow and arrow, two men and a horse died at his hands. In 305, after being promoted to the rank of a General Who Makes the Waves Submit, Ge tried to make his way to Luoyang, the capital. Although his autobiography tells us he did so “to look for unusual books,” he was probably also hoping to obtain a promotion. However, due to the Rebellion of the Eight Princes that was being fought throughout northern China, he never made it; instead, he wandered throughout southern China. To escape from the turmoil that was embroiling the rest of China, he finally accepted a position as a military councilor under his friend who was appointed to be the governor of Guangzhou (Canton), a port city in the far south.

After his patron was killed enroute to assuming the governorship, Ge refused many other military appointments and remained in Guangzhou for the next eight years, living the life of a recluse at nearby Mount Luofu. In 314, he returned to his native place of Jurong. There, he studied under another Daoist adept named Bao Qing (260-330), the former governor of Nanhai prefecture, who was so impressed that he gave Ge his eldest daughter in marriage. It was during this long period of reclusion that Ge wrote his two part magnum opus whose title bore his sobriquet: the Inner Chapters of the Master Who Embraces Simplicity and the Outer Chapters of the Master Who Embraces Simplicity. Ge used the Daoist Inner Chapters to substantiate the reality of immortality and convey the methods for realizing it, while the Confucian Outer Chapters describe the problems afflicting the secular world and his proposed solutions. In fact, until the fourteenth century, the Inner Chapters and Outer Chapters circulated independently from each other. With these two works, Ge aspired to establish his own school of philosophy. Also at this time, illustrative of his aspirations, Ge compiled hagiographical works entitled Biographies of Divine Transcedents and Biographies of Recluses.

With the establishment of the Eastern Jin dynasty in southern China in 317, the transplanted throne was eager to gain the allegiance of powerful southern gentry families; thus, men such as Ge Hong were showered with official appointments, which were usually more honorary than substantive in nature. In recognition of his past military successes, Ge himself was given the title of Marquis of the Region Within the Pass. Finally, in 326, Wang Dao (276-339), the prime minister, appointed him to a series of positions, ending with that of military advisor. By 332, due to his advanced age (he was 50) and desire to find ingredients for immortality elixirs, he begged to be given a post in northern part of present-day Vietnam. On his way there, the governor of Guangzhou, Deng Yue, detained him there indefinitely. He thus took up residence at nearby Mount Luofu where he engaged in immortality practices until his death in 343.

By his own admission, Ge Hong was a man that was out of sorts with his age. He was a southerner in an age where only northern émigrés were given posts of substance. Due to his lack of verbal eloquence, he could never obtain social prestige in the salons where men were prized for their ability to engage in “Pure Talk” – abstract philosophical discussions. Nor did his strong Confucian sense of morality sit well with the libertine tendencies of that prevailed among the northern émigrés. The outlet of his frustrations became his writings, in which he attacked the fashions and trends of his day and proposed his own vision of how people should obtain stability in an instable world.

2. Immortality

Ge Hong wholeheartedly believed that anyone, through unrelenting effort and study, could obtain immortality. One does not have to be either rich or powerful to do so; in fact, wealth and position are harmful because they inhibit one from attaining the necessary moral and physical serenity. Moreover, it is not up to the arbitrary decisions of deities to extend our lives – they are merely divine administrators who keep track of our sins and good deeds; consequently, sacrifices and prayers to them for this purpose are useless. Thus, whether one can obtain immortality is entirely based on his or her own diligence and determination. It was precisely for those educated people who wanted and were willing to work towards obtaining immortality that Ge wrote his Inner Chapters. The overriding importance that he attached to obtaining eternal life is evident in that the inner, and thereby his most important, chapters of his magnum opus were dedicated to the topic.

Ge Hong firmly believed that physical immortality was possible. This is because all things are permeated by the metaphysical oneness, xuan (the mystery), which creates and animates all things. Significantly, for Ge, xuan is synonymous with the words dao (the way, the ultimate reality) and yi (the one, the unity). In this light, he describes xuan in the following manner: it “carries within it the embryo of the Original One, it forms and shapes the two Principles (Yin and Yang); it exhales and absorbs the great Genesis, it inspires and transforms the multitude of species, it makes constellations go round, it shaped the primordial Darkness, it guides the wonderful mainspring of the universe, it exhales the four seasons … if one adds to it, it does not increase. If one takes away from it, it does not grow less. If something is given to it, it is not increased in glory. If something is taken from it, it does not suffer. Where the Mystery is present, joy is infinite; where the Mystery has departed, efficacy is exhausted and the spirit disappears” (Robinet, 82-83). In other words, the key to immortality is maintaining this everlasting oneness within oneself – if one cannot do so, he or she will soon die. The reason why people lose it is that they become attached through their desires to the outside world, thereby forgetting the jewel that resides within. As Ge put it, “The way of xuan is obtained within oneself, but is lost due to things outside oneself. Those who employ xuan are gods; those who forget it are merely [empty] vessels.”

How does one maintain the unity within oneself? For Ge Hong it had much to do with preserving, enhancing, and refining one’s qi, which for him embodied the metaphysical mystery. Qi, which originally meant “breath” or “vapor,” came to designate the vital energy that exists within and animates all things. As Ge Hong relates, “people reside within qi and qi resides within people. From heaven and earth down to the ten thousand things, each one requires qi to live. As for those who excel at circulating their qi, internally they are able to nourish their body; externally, they are able to repel illnesses.” Since each person receives a finite amount of qi at birth, he recommends various methods to retain and enhance it, which include breathing exercises, sexual techniques, calisthenics, dietary restrictions, and the ingestion of herbal medicines. Since none of these methods is infallible, he recommends that an adept should practice a number of them in combination with each other. By doing so, one protects oneself from manifold disasters, such as illnesses, demons, savage beasts and weapons, while also lessening desires, transforming the body, and extending one’s lifespan. These methods could even give their practitioners supernatural powers, such as curing illnesses, raising the dead, seeing the future, commanding gods and ghosts, forgoing food for years, and the ability to disappear.

Nevertheless, none of these techniques could permanently keep xuan within oneself. To do that, nothing was comparable with taking alchemically created medicines. Ge thus informs us that, “Even if one performs breathing exercises and calisthenics, as well as ingests herbal medicines, this can only extend the years of your lifespan, but it will not save you from death. Ingesting divine cinnabar will make your lifespan inexhaustible. You will last as long as heaven and earth, be able to travel on clouds and ride dragons, and ascend at will to the Heaven of Highest Clarity.” Alchemically derived medicines, the best of which contained either liquefied gold or reverted cinnabar, were able to have this marvelous effect because the substances from which they were made had shown themselves, through repeated firings in the alchemist’s stove, to be impervious to decay or dissolution. According to Ge, “As for forging of gold and cinnabar, the longer one burns them, the more marvelous their transformations. When gold enters the flames, even after one hundred firings, it will not disappear. If you bury it forever, it will never decay. If one ingests these two substances, they will refine that person’s body, and make it so that he or she will neither age nor die.” In other words, one makes one’s own body imperishable by ingesting imperishable things. Mechanically what happens is that, upon ingestion, these substances seep into one’s blood and qi, thereby making them stronger. Ge Hong calls this using an outside substance to fortify one’s self. The reason why herbs are inferior to gold and cinnabar is that they are perishable; thus, they lack the capacity to make the body imperishable. Unfortunately though, the ingredients for making these mineral medicines are difficult to obtain, the process of smelting them is arduous, and the ritual circumstances under which they must be made are elaborate; as a result, Ge Hong several times admits that he has never had enough resources to attempt to produce these superb formulas.

3.Reconciliation of Daoism and Confucianism

It is often said of premodern Chinese literati that they were Daoist at home while Confucian in the office. Ge Hong was in fact probably one of the first Chinese thinkers to consciously try to reconcile Confucianism and Daoism. As the division of his major work into inner and outer chapters indicates, he did so by asserting that Confucianism and Daoism addressed different aspects of life. Confucianism addressed the external world and provided means by which to ameliorate its many problems; Daoism concerned the inner world and provided means by which to attain immortality. As Ge succinctly put it, “For an extraordinarily talented person, what difficulty could there be in practicing both (Confucianism and Daoism) at the same time? Inwardly, such people treasure the way of nourishing life; outwardly, they exhibit their brilliance in the world. If they regulate their persons, their persons then will be cultivated for a prolonged time; if they rule the country, the country will achieve the state of great peace.” Cultivating one’s spirit for immortality thereby automatically enables one to rule a country well. Thus, if one becomes a terrestrial immortal, Ge Hong sees no reason why such a person cannot hold office and contribute to the welfare of his generation.

Nevertheless, even though both were important, Daoism was even more so. That is because in the far past the sage kings followed the Dao “the oneness” or “the natural order of things,” as a result, the people’s conduct was flawless and natural processes transpired smoothly without disruption or disaster. Later kings, however, no longer followed the Dao; consequently, natural disasters occurred frequently and people became evil and unruly. It was only at this point that Confucianism was introduced in an attempt to rectify this situation. Thus, Daoism is superior because it kept the world from becoming chaotic; Confucianim, on the other hand, only appeared when the world declined into disorder and its practitioners have often become entangled in the resulting mess. Thus, Daoists, like Confucians, provide the world with moral order, but they do so without becoming soiled in the process. As Ge Hong put it, “In regard to the Daoists, their making consists of excelling in cultivating the self to complete their duties; their repose consists in excelling in doing away with the impurities of people; their governance consists of excelling in cutting off misfortune before it occurs; their giving consists in excelling at saving things, but not considering it virtuous; their activity consist in excelling at using their heart-mind to urge the people [to do good]; their quiescence consists in excelling at being cautious and without rancor. These characteristics are why Daoism is the ruler and leader of the hundred schools of philosophy and why it is the ancestor of [Confucian] righteous and benevolence.” Nevertheless, since only a few people are able to correctly pursue Daoism and present times are disordered, Confucianism is necessary to maintain the social order that is embodied in the family and the state. Very much in a Confucian vein, he evaluates both philosophies through a moral lenses.

One of the ways in which Ge Hong connected Confucianism and Daoism is by stating that one needed to perfect oneself ethically to pursue immortality. In his Inner Chapters, Ge Hong makes it clear that none of the methods for prolonging one’s life will work unless one is morally pure, which can only happen by realizing Confucian virtues. Ge explicitly states that, “those who seek to become immortals must regard loyalty, filiality, peacefulness, obedience, benevolence and trustworthiness as fundamental. If one does not cultivate his or her moral behavior, and merely instead devotes oneself to esoteric methods, he or she will never obtain an extended lifespan.” Since these virtues, particularly that of benevolence (ren), emphasize putting the interests of others before one’s own, they cultivated a sense of selflessness and detachment that Ge viewed as essential for maintaining the mysterious oneness within oneself.

His strong emphasis on morality led him to systematize and quantify earlier ideas about how spirits punished immoral behavior. Ge Hong maintained that for each minor moral transgression one committed, the Director of Fates would subtract three days from his or her lifespan; for each major transgression, three hundred days would be deducted. To guide people’s behavior, he even listed sixty-four possible sins. Very few of these prohibitions are religious in nature – the overwhelming majority concern secular life and many are Confucian inspired. Furthermore, he posited that, to achieve spiritual benefits, one had to continuously accumulate good deeds: 300 were needed to become an earthbound immortal and 1200 to become a celestial immortal. One mishap and the balance would be canceled. Ge Hong even transformed the three corpses, evil entities within the body who endeavor to destroy it to earn their freedom, into ethical agents that try to decimate their host’s health by disclosing his sins to the celestial authorities. This system of measuring good and bad deeds would later giver rise to the Ledgers of Merit and Demerit, popular books that let people keep track of their moral progress by assigning numerical scores to virtuous and immoral behavior.

Ge Hong also attempted to reconcile Daoism with Confucianism by both emphasizing the importance and naturalness of hierarchy and attacking Daoism’s equalitarian tendencies. Although Laozi and Zhuangzi always assumed that kings would exist, their utopian vision of society was a small village society whose inhabitants never leave their hamlets, do not use contrivances, and have few material goods. In order to attack this line of thinking in his Outer Chapters, Ge Hong puts forth the views of a man named Bao Jingyan who extended the Daoist arguments to their logical conclusion. Bao maintains that the simple agrarian utopias in which people lived simply and equally were lost due to the creation of hierarchy, which was based on the strong oppressing the weak and the smart deceiving the foolish. With the lord/subject tie came a host of evils such as weapons, armies, rebellions, greed, thievery, deceit, extravagance, and crime. Thus, Bao advocated the abolishment of rulers as the key to securing peace and happiness. Incidentally, Bao is the earliest known Chinese advocate of anarchy. Ge Hong, on the contrary, thinks that in a state of nature people think only of their own desires, hence they vie with each other like beasts for scarce resources. Hierarchy was thus established to put an end to the strong oppressing the weak. Moreover, hierarchy is natural: as the oneness unfolds into the ten thousand things, it divides itself into high and low; hence, heaven is above and earth is below. Thus, it is only natural that some people are more important than others. This is true to the extent that even immortals are hierarchically organized: freshly minted immortals must occupy the lower rungs of the celestial bureaucracy and serve their superiors, while terrestrial immortals are inferior to their celestial counterparts. Ge also recognized that civilization could not be undone and that hierarchy had brought about material progress, as the following passage indicates: “Now, [would you be at ease] if I made you reside in the cramped quarters of a nest or cave? [Would you be at ease] if upon your death, your body was abandoned in the fields? [Would you be at ease] if upon being impeded by a river, you had to swim to cross it? [Would you be at ease] if upon traveling through the mountains, you had to walk and shoulder luggage? [Would you be at ease] if your cooking implements were cast away and you had to make do with raw and smelly food? [Would you be at ease] if you no longer had stone needles for acupuncture and had to merely rely on nature to [cure] your illness? [Would you be at ease] if nakedness was your only ornament and you had no clothes? [Would you be at ease] if you came across a female and made her your mate without an intermediary? You and I would both likely say, ‘to do these things would be impossible.’ How much less could we do without a lord!” In other words, progress and hierarchy are realities, and beneficial ones at that, which can neither be ignored nor abandoned.

4. Confucianism and Legalism

Since Ge Hong recognized that this world cannot be ignored, he believed that one must find a way to improve it. Given the corruption and chaos that ruled his age, like many of his contemporaries, he looked for answers beyond Confucianism to its arch nemesis, Legalism. His reform program was thus a synthesis of both Confucian and Legalist political ideas. First of all, even though he believed that the ruler, like a good Confucian sovereign, should cultivate his person, lead the people through his own moral example, and take their welfare as his overriding concern, he admitted that this was not sufficient to guide society. To govern well, one had to have clear laws to punish miscreants. He warns us that, “It is not that governing with benevolence is not wonderful, it is just that the black-haired masses can be crafty and deceitful. They hanker after profit and forget righteousness. If one does not order them with one’s authority and correct them with punishments, if one only admires the ways of Fuxi and Shennong (Confucian cultural heroes), then chaos cannot be avoided and the resulting calamities will be numerous. [Yet] to use killing to stop killing, how could anyone find joy in that?” In short, although leading through one’s moral example is preferable, it is not realistic: it is sometimes necessary to use the harsher methods. Since Confucian moral example was not enough, the ruler must turn to the law and mete out punishments. Following Legalist ideas, Ge argues that the laws must be clear, explicit, and fair; i.e., they must be applicable to everyone. Moreover, the punishments for misbehavior must be severe. It is precisely generous rewards and harsh punishments that will keep the strong from oppressing the weak. Regimes are weak because their laws are neither severe nor enforced. In line with this thinking, Ge was in favor of reviving punishments that mutilated the guilty. Convicts suffering from such punishments would be constant reminders to the people of the terrible price to be paid for violating the law. Lest the modern reader judge Ge harshly for supporting such draconian measures, since the death penalty largely replaced the mutilation punishments, Ge thought the latter was more humane, since at least the criminal would escape with his or her life.

Another way in which Ge Hong tried to reconcile Confucianism and Legalism was through the type of training officials should receive. Under the Legalist Qin dynasty (221-207 BCE), which unified China for the first time, officials were largely men who excelled in legal and administrative matters. During the Han dynasty (206 BCE – 220 CE), particularly during its latter half, Confucianism gradually became the dominant ideology, hence the education and knowledge of officials became more centered on the Confucian classics. Men who primarily specialized in legal matters were slighted and only given clerical positions. Due to this situation, Ge complained that officials, no matter what their level, no longer understood the laws, hence they often issued incorrect judgments and were deceived by their more legally savvy underlings. Consequently, he thought that aspirants to officialdom should be tested not only on the Confucian classics, but also on the law.

5. The Importance of Broad Knowledge

That officials should be knowledgeable in both the classics and the law highlights one of his most consistent teachings: a person must be broadly educated and that deep study leads to the mastery of all things. For Ge Hong, through the diligent acquisition of knowledge, anything was possible, whether it be ruling a country or attaining immortality. In this vein, he said, “When one peels away dark clouds, one exposes the sun; as a result, the ten thousand things cannot hide their shapes. By unrolling bamboo and silk (that is, by reading books) and investigating the past and present, heaven and earth thereby hide none of their facts. How much less so gods and demons? And how much less so the affairs of people?” Nevertheless, one could not just specialize in one kind of learning, but had to learn the teachings of many different schools. Likewise, in seeking immortality, one should study many techniques and never merely practice one exclusively. Similarly, in terms of book learning, one should not merely confine oneself to learning the classics because all written works had something of worth. Indeed, he propounded the revolutionary sentiment that the elaborate writings of his day were superior to the simplistic classics. The more widely one read, and the more techniques one acquired, the more one would be likely to excel in both the spiritual and secular worlds. Study was also a means of self-cultivation – through it one could eliminate desires by becoming indifferent to his or her physical circumstances.

According to Ge Hong, one of the primary reasons governance of his time was so inept and ineffective was that officials were not selected on the basis of their intelligence, but only due to their connections, bribery, or their ability to speak eloquently. Ge thought the solution to this problem would be to use examinations to select men on the basis of their knowledge of the classics and administrative matters. The examinations should be held in the palace, supervised by high officials, and their contents should be kept in the utmost secrecy. By this means, there would be little opportunity to pass the examinations through deceit or bribery. Moreover, when the only way to become an official is through examinations, everyone will value study. Although he admitted that passing the examinations would not guarantee that that person would be a good official, he thought that the ability to do so was a fair indicator of talent. In other words, Ge Hong was one of the earliest proponents of selecting officials through a vigorous and fair examination system, one of the hallmarks of Chinese civilization.

6. Conclusion

In sum, Ge Hong was a philosopher who, due to the topsy-turvy world in which he lived, was willing to look for solutions in the wisdom of any philosopher, regardless of his sectarian background. With Ge’s overriding sense of the importance of morality and his overwhelming urge for permanency in the form of immortality, he reconciled Confucian and Daoism by saying that both were trying to improve the condition of mankind and that practicing Confucian virtues was necessary for attaining immortality. Likewise, this search for concrete, no-nonsense answers also led him to reconcile his Confucian leanings with the real politick teachings of Legalism. Thus, although he maintained that the ruler must endeavor to mold his people’s behavior through his own example, generous rewards and severe punishments were even more important in regulating the affairs of the troublesome masses. In order to manifest both these philosophies, Ge advocated that officials be both experts in the classics and legal matters. Thus, Ge helped fashion the values that allowed latter Chinese to unproblematically simultaneously use Daoist, Confucian, and Legalist assumptions in both their public and private lives.

7. References and Further Reading

  • Balazs, Etienne. Chinese Civilization and Bureaucracy. New Haven: Yale University Press, 1964.
    • Besides giving a valuable introduction to the tumultuous intellectual and social milieu in which Ge Hong lived, this work also translates part of the chapter from his Outer Chapters in which Ge Hong critiques the anarchist Bao Jingyan.
  • Campany, Robert Ford. To Live as Long as Heaven and Earth: A Translation and Study of Ge Hong’s Traditions of Divine Transcendents. Berkeley: University of California Press, 2002.
    • This fine translation of Ge Hong’s biographies of immortals has an introduction that insightfully describes his religious ideas.
  • Lai Chi-Tim, “Ko Hung’s Discourse of Hsien-Immortality: A Daoist Configuration of an Alternate Ideal Self-Identity,” Numen 45 (1998): 183-220.
    • Although somewhat turgid, this article successfully delineates the novel aspects of Ge Hong’s views on immortality and situates his religious beliefs within the social and political context in which they were formed.
  • Robinet, Isabelle. Daoism: Growth of a Religion, translated by Phyllis Brooks. Stanford: Stanford University Press, 1997.
    • Robinet devotes an entire chapter of this work to Ge Hong and masterfully contextualizes his thought within the Daoist religious tradition.
  • Sailey, Jay. The Master Who Embraces Simplicity: A Study of the Philosopher Ko Hung, A.D. 283-343. San Francisco: Chinese Materials Center, Inc., 1978.
    • The author translates twenty-one chapters of Ge Hong’s Outer Chapters. He also deftly summarizes Ge Hong’s ideas as seen in this work.
  • Sivin, Nathan. “On the Pao P’u Tzu Nei Pien and the Life of Ko Hong (283-343),” Isis 60 (1976): 388-391.
    • In this short article, Sivin makes some important points about the circulation of his works and the length of his life.
  • Sivin, Nathan. “On the Word ‘Daoist’ as a Source of Perplexity.” History of Religions 17 (1978): 303-330.
    • This intellectually penetrating article challenges the idea that Ge Hong was a Daoist at all, in the sense that he was not at all connected with organized Daoist religion.
  • Ware, James R. Alchemy, Medicine & Religion in the China of A.D. 320: The Nei P’ien of Ko Hung. Rpt; New York: Dover Publications, Inc., 1981.
    • Originally published in 1966, this work is a complete translation of Ge Hong’s The Inner Chapters. The reader must beware, though, since the text is inaccurately translated through Judeo-Christian lenses.
  • Yu, David C. History of Chinese Daoism: Volume 1. Lanham: University Press of America, 2000.
    • This overview of the history of Daoism devotes a lengthy chapter to Ge Hong with extensive quotations to his views on immortality.

Author Information

Keith Knapp
Email: keith.knapp@citadel.edu
The Citadel
U. S. A.

Galen (130—200 C.E.)

galen-200x220

Galen was one of the most prominent ancient physicians as well as a philosopher (though most of his philosophical writings are lost). Nonetheless, his philosophical interests are quite evident in his practice of biological science. Galen made some key anatomical observations (though most of these were on other primates).  However, this inclination toward observation moved his theory into the class of critical empiricism.

Galen was also a well-read scholar who combined extensive erudition with ‘cutting edge’ observational practice to completely change the understanding and teaching of medicine. He frequently integrates his observational practice with the natural philosophy of Plato and Aristotle.  His position as the leading authority in medical theory extended for at least fourteen hundred years.

Galen correctly saw that there is a methodological difference between taking account of the patient in front of you in all of the patient’s particularity and, instead, understanding the patient in front of you as representing an instance of a general rule of biomedical science. The way that Galen sought to insert himself into this debate makes his conclusions relevant to medicine today.

 

Table of Contents

  1. Life
  2. Hellenistic Schools of Medicine
  3. Method
  4. Galen’s Critical Empiricism
  5. References and Further Reading

1. Life

Galen of Pergamum was a physician who was born in Pergamum was a bustling and vibrant city at the time and was particularly famous for its statue of Asclepius, a god of healing. Throughout Galen’s life, he avowed a devotion to Asclepius. The city also had a library that almost rivaled Alexandria’s in its size. Galen’s father, Nicon, was a prosperous architect. This allowed Galen the leisure to get an education and choose a path of life unencumbered by the need to earn money. However, this affluence did not mean that Galen was brought up “soft” (as per Plato’s discussion in the Republic 544b-570e in which he discusses the devolution of political systems due to the decay of personal arête). Galen’s education was broad and directed by his father. Galen studied in mathematics (a particular favorite of his father), grammar, logic, and philosophy–that included inquiry into the four major schools of the time: the Platonists, the Peripatetics, the Stoics, and the Epicureans. This pluralistic sensibility influenced the philosophical/scientific method of Galen. According to pluralism, one should look at all the prevalent theories and then make up one’s own mind choosing either one of the theories or perhaps a new mixture of those presented according to their strengths.

Galen began his study of medicine around the age of sixteen when his father had a dream suggesting this direction. Galen traveled to Smyrna and Corinth to study with both a Rationalist and with an Empiricist. When Galen’s father died, Galen traveled to Egypt (Alexandria) where he lived for perhaps five years (152-157). What Galen might have studied in Alexandria is highly speculative. However, Galen, himself, later declares that students should “look at the human skeleton with your own eyes. This is very easy in Alexandria, so that the physicians of that area instruct their pupils with the aid of autopsy” (Kühn II, 220, translation L. Edelstein). This quotation points to the practice of autopsy (dissection of cadavers) in Alexandria. Whether Galen also studied anatomy this way is unclear. It is clear that Galen (at least) engaged in comparative anatomy by dissecting monkeys.

In 157 Galen returned to his hometown to become a surgeon to the gladiators. When civil unrest broke out in 162, Galen left for Rome. The medical community in Rome was competitive and corrupt. In Rome, Galen’s ambition got the best of him with the result that his high profile created powerful enemies who caused him to depart secretly in 166. After a couple of years in obscurity, Galen was recalled by the Roman Emperors Marcus Aurelius and Lucius Verus to serve the army in their war against the Germans. When the plague hit Rome, Galen was made personal physician to Marcus Aurelius and Aurelius’ son, Commodus. For many years it has been held that Galen remained in Roman society until his death around 199-200 (based upon the Suda Lexicon written around 1000); however, new research by Vivian Nutton has persuasively set the date of Galen’s death much later. Nutton proposes that Galen may have lived into his eighties (possibly as old as 87). The source for this new information comes from Byzantine and Arab scholars from the sixth century onwards. On the basis of this, it seems that Galen died around 216, give or take several years, in the reign of Caracalla.

A great many of Galen’s works have survived. The Kühn edition of Galen (Greek with a Latin translation) runs over 20,000 pages. There are other Galenic works that only exist in Arabic translations. However, many of Galen’s works are lost, e.g., many of his treatises on philosophy (logic, physics, and ethics) perished in a fire that consumed the Temple of Peace in 191.

2. Hellenistic Schools of Medicine

During the end of the fourth century BCE and throughout the third century BCE there were enormous advances in medicine revolving around the principal practitioners: Diocles, Praxagoras, Herophilus, and Erasistratus. During this period the debate about the relative roles of theory and observation were central to these writers (Kühn X, 107). It is, in fact, a perennial question in the philosophy of science. What is at issue is when does one impose a theoretical structure on the world? Part of the answer concerns the origins of the theoretical structure. From whence did it arise? In part, this is a struggle for a logic of induction that might assist the practitioner. Without such a theory of inductive logic, it is unclear whether nature is revealing her nature to the careful observer or whether the observer is imposing his own ideas upon nature. Aristotle discusses some of these issues in Posterior Analytics II.19 and in The Parts of Animals I. However, this is not the end of the question. Some of this tension can be seen in the biomedical writers in the Hippocratic era. However, it is also true that in the construction of scientific theories there must, of necessity, be a tension between those who embrace theoretical structures and those who are skeptical of them. The latter group generally bases their misgivings upon a possible tendency among theorists to create an a priori science. What makes a priori science troublesome is that it breaks contact with the empirical world. It suggests that ratiocination about natural causes is sufficient for the production of scientific theories. For most natural philosophers such a stance is entirely unacceptable. Setting the proper balance between theory and observation was (and continues to me) an important question in the philosophy of science.

One group that added to the debate on the role of observation were the Empiricists. The origins of the Empiricist School might be found in Acron of Akragas, a fifth century BCE follower of Empedocles. This conjecture is based merely upon the testimony of later writers. It could certainly be the case that there was no real medical empiricism, as such, before Serapion, a third century BCE doctor .

Another interesting speculation on the origins of the empiricist physicians comes from Michael Frede. Frede has suggested that from a reference in Plato’s Laws 720a-c; 857c-d that there was a two-tired medical system with physicians for the wealthy (who employed theoretical principles) and physicians for the slaves (who relied merely upon trial-and-error experience). If this speculation is correct, then the burden of proof for the empiricists is to show that the theoretical “book learning” of upper class doctors could be reduced to mere experience. In other words, experience, itself, could generate competence. The result would be an elevation of the second-level physician. If Frede is correct on this, then perhaps social situation is partially responsible for the rise of the medical empiricists.

Sextus Empiricus (circa 160-210) set out a loosely woven doctrine of “consideration” or skepsis. Sextus is a key source of our knowledge of Pyrrhonism and is also said to have been a physician (though his writings on medicine have not survived). It is not clear whether Sextus was an original thinker or merely a reflection of his era. However, at the very least, one can garner background information of what might have influenced the empiricists through the doctrine of skepsis. Under this doctrine the theoretical structures of the philosophers (Dogmatists) would be held in abeyance (neither accepted nor rejected). What would rule the day would be the case before the physician right now. The case and the physician’s experience would dictate the treatment.

Against the Empiricists, on the other hand, were the philosophers (Dogmatists). In one important way the Dogmatists are not a “school” as such. They are often depicted by their detractors, such as the Empiricists, rather than being self-identifying. This may relate to the social class dynamics noted earlier. Thus, one should keep in mind that the group is not so much a school of practitioners but a depiction of a group by objectors to those who profess a foundation in medical theory. Perhaps the best way to characterize the Dogmatists would be on the issue of aetiology. The Empiricists attacked the Dogmatists for asserting that there might be hidden causes of disease, and that these hidden causes might be grasped via ratiocination. This was because (under this characterization) the Dogmatists were advocating reasoning and conjecture over experience. To the Empiricists, this was akin to creating a priori science.

The Dogmatists (even in this quasi-class depiction) were identified with one of the four prominent philosophical schools (Platonists, Aristotelians/Peripatetics, Stoics, and Epicureans). Detractors said that the Dogmatists honored theory over observation and experience. Of course, from the point of view of the philosophical schools, rational theories create a critical structure that aid in the interpretation and explanation of nature. The sense of explanation here harkens back to Aristotle, who distinguished knowing the fact (hoti) and the reasoned fact (dioti, APo II, i). It may not be enough to know that if I (as a physician) do x, then y will result (anecdotal correlation of two events). That sort of hoti (or merely event + consequence unit) is insufficient. The reason for this is that when circumstances alter slightly, how is the practitioner to know whether this alteration is significant unless he also has an appreciation of the mechanism that underlies the process? For example, anecdotal correlation might (in a non-medical modern example) suggest that every time I wash my car, it will rain. My personal experience may be almost perfect, but that does not mean that such a causal connection actually exists. The reluctance to embrace a non-observable causal mechanism leaves this dilemma to those who profess an aversion to theory in favor of experience.

Somewhat in the middle of these two schools were the Methodists. Aside from Soranus there are no surviving texts of the Methodists. Therefore most of what we have comes from the descriptions of Galen and pseudo-Galen on these writers. The following are cited as being Methodists: Thessalos, Themison, Proklos, Reginos, Antipatros, Eudemos, Mnaseas, Philon, Dionysios, Menemachos, Olympikos, Apollonides, Soranus, Julianus (Kühn X, 52-53, XIV, 684). There is some controversy about the characterization and origins of this school but many relate it to Themison of Laodicea a pupil of Asclepiades of Bithynia. However this attribution is disputed by Celsus and Soranus who state that Themison is not the first but merely a representative of Methodism. At any rate, the Methodists paid attention (in contrast to the Dogmatists and Empiricists) to the disease alone as opposed to the situation of the individual patient, that is, his medical history and personal situation. The disease alone dictates treatment (Kühn III, 14-20). Thus, the physician does not have to have anatomical or physiological knowledge of the body. Instead, he observes the body in a holistic manner (koinotetes). The three principle conditions of a body viewed in this way are: (a) the body’s dryness, (b) the body’s fluidity, and (c) the mixture of the two. The “method” to be followed was to follow the phenomena. Underlying this assumption was the notion about the status of pores in the mechanism of the body’s common balance. The body’s pores allowed atoms to enter and exit the body. When the atoms came and went freely health was the result. When there was a disruption, then sickness was the result. When the pores were either too small (constriction) or too large (dilatation) then an imbalance occurred in the normal atomic flow. Atoms are invisible to the naked eye. Pores are visible, but their subtle alterations are often not visibly detectable. Thus, on the face of it, the Methodists seem to be contra-Empiricist. However, the atomist tradition (upon which this theory rests) was taken to be Empiricist. (In principle, one could view an entirely physical event-if it were possible to witness it.) Thus, the Methodists seem to have affinities to both. This is evident in Themison (first century, BCE) and Thessalus (first century, AD). Disease was depicted as a community of constriction or dilatation (or some combination of the two) that, in principle, was observable even though, in practice, it couldn’t be observed except through its effects, namely, the disease. Thus, though the intent of the Methodists was probably to lean toward the Empiricists, the actual practice put them more in-between.

Galen often characterizes himself as an eclectic belonging to no school. It is true that Galen was an innovator in observation, for example he gave the first depiction of the four-chambered human heart. But his epistemology was grounded in his philosophical training. Over and over Galen relies on an over-arching medical theory to drive his aetiology (Kühn X, 123, 159, 246). In this way his practice is closest to Aristotelian critical empiricism that requires careful observation and a comprehensive theory that will make those observations meaningful.

3. Method

Because of Galen’s pluralistic method, it is appropriate that (for the most part) his own method draws upon his predecessors with additions and corrections. For example, Galen employed the four-element theory (earth, air, fire, and water) as well as the theories of the contraries (hot, cold, wet, and dry). Though Aristotle interrelated these two descriptive accounts in his work Generation and Corruption, it is Galen who attempts to create a more gradated form by making quasi-quantitative categories of the contraries to describe the material composition of the mixtures (On Mixtures). From the perspective of modern science, this is an advancement upon Aristotle. This work on mixtures is also used to account for the properties of drugs (On Simples). Drugs were supposed to counteract the disposition of the body. Thus, if a patient were suffering from cold and wet (upper respiratory infection), then the appropriate drug would be one that is hot and dry (such as certain molds and fungi-does this remind you of penicillin?). The use of broad-reaching natural principles enhanced the explanatory power of Galen’s theory of biological science.

Galen speaks at length about the philosophers Plato (from whom he accepts the tri-partite soul) and Aristotle (whose biological works are well known to him). In medicine, he is also greatly influenced by historical figures such as Hippocrates (who he describes as a single individual opposed to our modern understanding of a group of writers-even though Galen was aware of the Hippocratic Question), Herophilus, and especially Erasistratus. In his avowed work on biological theory, On the Natural Faculties, Galen goes to great lengths to refute the principles of Erasistratus and his followers.

Contemporary figures are also discussed such as Aclepiades, and the Methodists Themison and Thessalus. This thorough use of the context of medicine allows Galen to consider, for example, Eristrates’ theory of mechanical digestion via a vacuum principle and to supplant it with his own theory of attraction (holke). Galen’s theory of attraction may have had its roots in the theory of natural place that always lacked a material force to implement it. At any rate, when the mechanisms are inscrutable, it was important for Galen to offer an account that fits into other parts of his theory (such as the mixture of the contraries in the composition of the elements).

One of the most influential aspects of Galenic practice was his implementation of (or invention of-as per Wesley Smith) the Hippocratic theory of the four humours (phlegm, blood, black bile, and yellow bile). These points of focus relate to a theory of health as balance. Each of these four humours is related to the three principal points of the body: head (phlegm), heart (blood), black bile (liver) and yellow bile (the liver’s complement, the gall bladder). The three principal points of the body are also loosely linked to the Platonic tripartite soul: head (sophia, reason), heart (thumos, emotion or spiritedness), liver (epithumos, desire). Thus, the sort of just balance of the soul that Plato argues for in the Republic is also the ground of natural health. When one part of the soul/body is out of balance, then the individual becomes ill. The physician’s job is to assist the patient in maintaining balance. If a person is too full of uncontrollable emotion or spiritedness, for example, then he is suffering from too much blood. The obvious answer is to engage in bloodletting (guaranteed to calm a person down). As in the case of pharmacology and the contraries, the four humours provide a comprehensive account of what it means to obtain and maintain health via the balancing of various primary principles.

4. Galen’s Critical Empiricism

One of the striking features of ancient medicine is the extent that very limited observations had to be interpreted in order to explain natural function. For example, given that blood was considered to be nourishment, trophe, it seemed reasonable (following Aristotle) that the blood would be entirely consumed by the body’s tissue. Thus, the blood would be manufactured in the liver and heart and then would flow to the rest of the body and be consumed. The flow of blood went one-way. However, there was a problem: there were two sorts of blood vessels (veins and arteries). These were structurally distinct. This was known through dissection of primates. Then it is assumed that Nature does nothing in vain (discussed at length in On the Use of the Parts as a key biomedical explanatory principle). This means that the veins and arteries have different functions. But they cannot be too disparate. The answer to this dilemma for Galen is that the arteries carry blood mixed with aer or pneuma that acts as a vital force whereas the venous blood is ordinary-though Galen held (correctly) that the two systems were connected by tiny almost invisible vessels (capillaries).

Thus Galen began with a problem and a number of observations and sought to make sense of the seeming anomalies via his overarching biomedical principles. In this way, Galen was acting according to the mathematical training from his father and a desire to create a unified (quasi-axiomatic) explanatory system. Without observation, this could have led to a priori or “armchair” science. But when combined with careful observation, it leads to critical empiricism.

Another example of this mixture of observation and inference is in the area of conception theory. Galen says in his treatise, On Seed,

These things have been said by me because of some of the philosophers who call themselves Aristotelians and Peripatetics. I, at least, would not address these men so, they being so greatly ignorant of the opinion of Aristotle that they think it is pleasing to him that the sperm of the male being cast into the uterus of the female places the principle of motion in the katamenia (the female seed) and, after this is expelled, the principle of motion in the katamenia and, after it is expelled, does not any part become the corporeal substance of the fetus. They have been deceived by the first book of the Generation of Animals that alone of the five they seem to have read. These things are written there, “As we said, of the generation of the principles we may say that chiefly there are the male principle and the female principle. The male offers the motive principle and the efficient cause of generation while the female offers the material principle” [Galen quoting Aristotle, G.A. 716a 5].

These are not far after the beginning: in still later parts of the tract he writes as well, “But this may be well concluded that the male provides the form and the principle of motion and the female provides the body and the matter just as the example of curding milk. Here the body is the milk and the fig juice contains the principle that makes it curdle” [Galen quoting Aristotle, G.A. 729a 10; Kühn IV, 516-517, my tr.].

The biological accounts of human reproduction in the ancient world offer excellent examples of the interaction between observation and inference. There are a number of issues involved in this issue that pre-dates even the Hippocratic writers. The one that is mentioned here is the issue of whether there is one seed (the male’s only) or two (the male’s and the female’s). In the above example Galen seems to be saying that the first reading of Aristotle in which the male provides the efficient cause and the female provides the material cause, simpliciter, is a misreading of Aristotle. Instead, the event (conception) is depicted as a more involved process in which principles of both parents come into play. These principles revolve around the empirically observable facts that children as often as not resemble the mother as much as the father. The “one seed” theory in which the father’s seed, alone, fashions the child can only account for such an outcome by calling it a sort of mutation (agone, para physin). But regularity counts for something. It is odd when an event that may approach or exceed 50% is called a mutation. This turns the entire idea of mutation (a statistical anomaly) on its head.

Galen approaches the issue with a balanced approach beginning with anatomical observations. Galen did some of the most extensive work in the ancient world on the study of the female anatomy (albeit mostly upon apes, On Anatomical Procedures, I.2). Galen’s observation of a fluid in the horns of the uterus (Kühn IV, 594, 600-601) were the basis of his (mistaken) view that he had discovered female seed. However, in the midst of this mistake he was on the right track in viewing the ovaries as analogous to the male testes.

The point in this second example is that Galen wanted to combine his observations gained in dissections of apes to his pronouncements vis-à-vis the debate concerning “one seed conception” vs. “two seed conception.” This commitment to integrating observation and theory contributed to making Galen a towering figure in medicine and the philosophy of science.

5. Select Bibliography

Primary Texts

  • Galeni Opera Omnia. Basel: Par’Andrea to Kratandro, 1538.Kühn, C.G. Galeni Opera Omnia. Leipzig: C. Cnobloch, 1821-1833, rpt. Hildesheim, 1965.
    • This is still the standard edition though it is very gradually being supplanted by the Corpus Medicorum Graecorum Leipzig, 1914-present.

Key Texts in Translation

  • Abhandlung darüber, dass der vorzügliche Arzt Philosoph sein muss. [Quod optimus medicus sit idem philosophus] translated by Peter Bachmann. Göttingen: Vanderhoeck & Ruprecht, 1996.L’Áme et ses passions: Les passions et les erreurs de l’áme. Translated and notes by Vincent Barras. Paris: Les Belle Lettres, 1995.
  • Galen on Antecedent Causes. Edited and translated with introduction and commentary by R.J. Hankinson. Cambridge: Cambridge University Press, 1998.
  • Galen on Bloodletting. Translated by Peter Brain. Cambridge: Cambridge University Press, 1986.
  • Galen on Food and Diet. Translated and notes by Mark Grant. London: Routledge, 2000.
  • Galen’s Institutio logica. Translated with commentary by John Spangler Kieffer. Baltimore: Johns Hopkins University Press, 1964.
  • Galen on Language and Ambiguity (De captionibus). Translated with commentary by Robert Blair Edlow. Leiden: Brill, 1977.
  • Galen on the Natural Faculties. Translated by Arthur John Brock. London: Heineiman, Ltd., 1952. Loeb series.
  • Galen on the Usefulness of the Parts of the Body {De usu partium). Translated with commentary by Margaret Tallmadge May. Ithaca, NY: Cornell University Press, 1968.
  • Galen, The Therapeutic Method: Books 1 & 2 (De methodo medendi). Edited and translated by R.J. Hankinson. Oxford: Clarendon Press, 1991.

Selected Secondary Sources

  • Barnes, Jonathan. “A Third Sort of Syllogism: Galen and the Logic of Relations” in Modern Thinkers and Ancient Thinkers. R. W. Sharples, ed. Boulder, CO: Westview Press, 1993.Boylan, Michael. “Galen’s Conception Theory” Journal of the History of Biology 19.1 (1986): 44-77.
  • Boudon-Millot, ed, fr. tr. Introduction génerale; sur ses propres livres que l’excellent médecin devienne philosophe. Paris: Les Belles Lettres, 2007.
  • Boudon-Millot, And Alessia Guardasole, and Caroline Magdelaine, eds. La science médicale antique: nouveaux regards: etudes reunites en l’honneur de Jacques Jouanna. Paris: Beauchesne, 2007.
  • Boylan, Michael. “Galen on the Blood, Pulse, and Arteries” Journal of the History of Biology 40.2 (2007): 207-230.
  • Boylan, Michael. “The Hippocratic and Galenic Challenges to Aristotle’s Conception Theory” Journal of the History of Biology 15.1 (1984): 83-112.
  • Connell, Sophia. “Aristotle and Galen on Sex Difference and Reproduction: A New Approach to an Ancient Rivalry.” Studies in History and the Philosophy of Science. 31-a.3(2000):405-427.
  • Cosans, Christopher E. “The Experimental Foundations of Galen’s Teleology” Studies in History and Philosophy of Science. 29A.1 (1998): 63-90.
  • Crombie, A. C. Augustine to Galileo. Vol. 1. London: Heinemann, 1961.
  • DeLacy, Philip. “Galen’s Platonism” American Journal of Philology. 93 (1972): 27-39.
  • Durling, Richard. A Dictionary of Medical Terms. Leiden: Brill, 1993.
  • Edelstein, Ludwig. Ancient Medicine. Baltimore, MD: Johns Hopkins University Press, 1967.
  • Farrington, B. Greek Science: Theophrastus to Galen. Baltimore, MD: Penguin, 1953.
  • Fischer, Klaus-Dietrich ed., Text and Tradition: Studies in Ancient Greek Medicine and its Transmission: Presented to Jutta Kollesch Leiden: Brill, 1998.
  • Frede, Michael. “The Empiricist Attitude toward Reason and Theory” Apeiron. 21 (1988): 79-97.
  • Freudiger, Jurg. “Methodus resolutiva: Antikes und Neuzeitliches in Jacopo Acontios Methodenschrift” Freiburger Zeitschrift für Philosophie und Theologie. 45.3 (1998): 407-446.
  • Gill, Christopher. “Galen vs. Chrysippus on the Tripartite Psyche in ‘Timaeus’ 69-72” in Interpreting the ‘Timaeus-Critias. Tomas Calvo ed. Sankt Augustin: Academia: 1997.
  • Gill, Christopher. “Did Chrysippus Understand Medea?” Phronesis. 28.2 (1983): 136-149.
  • Hankinson, R. J. “Actions and Passions” in Passions and Perceptions. Martha Nussbaum, ed. Cambridge: Cambridge University Press, 1993.
  • Hankinson, R.J. The Cambridge Companion to Galen. Cambridge: Cambridge University Press, 2008.
  • Hankinson, R. J. “Galen’s Anatomy of the Soul” Phronesis 36.3 (1991): 197-233.
  • Hankinson, R. J. “A Purely Verbal Dispute? Galen on Stoic and Academic Epistemology” Revue Internationale de Philosophie. 45.178 (1991): 267-300.
  • Hankinson, R. J. “Evidence, Externality and Antecendence: Inquiries Into Later Greek Causal Concepts.” Phronesis 32.1 (1987): 80-100.
  • Hankinson, R. J. “Causes and Empiricism: A Problem in the Interpretation of Later Greek Medical Method.” Phronesis 32.4 (1987): 329-348.
  • Kagan, Jerome, Nancy Snidman, Doreen Ardus, J. Steven Rezinck. Galen’s Prophecy: Temperament in Human Nature. NY: Basic Books, 1994.
  • Kember, O. “Right and Left in the Sexual Theories of Parmenides” Journal of Hellenic Studies. 91 (1971): 70-79.
  • Kidd, I. G. “Posidonius on Emotions” in Problems in Stoicism. A. A. Long, ed. London: Athlone, 1971.
  • Kollesch, Jutta. Galen über das Riechorgan. Berlin: Akademie-Verlag, 1964.
  • Kollesch, Jutta and Diethard Nickel, eds. Galen und das hellenistische Erbe. Stuttgart: Franz Steiner, 1993.
  • Kudlien, Fridolf and Richard J. Durling. Galen’s Method of Healing. Leiden: E.J. Brill, 1991.
  • Lloyd, G.E.R. Methods and Problems in Greek Science. Cambridge: Cambridge University Press, 1991.
  • Lloyd, G.E.R. Greek Science After Aristotle. New York: Norton, 1973.
  • Lloyd, G.E.R. “Parmenides’ Sexual Theories: A Reply to MER Kember” Journal of Hellenic Studies. 92 (1972): 178-179.
  • Lumpe, Adolf. “Der logische Grundgedanke der vierten Schlussfigur.” Prima Philosophia. 11.4 (1998): 397-404.
  • Lumpe, Adolf. “Zur Anordnung der Pramissen des kategorischen Syllogismus bei Albinos, Galenus und Pseudo-Apuleius” Prima Philosophia 8.2 (1995): 115-124.
  • Mansfield, Jaap. “The Idea of the Will in Chrysippus, Posidonius, and Galen” Proceedings of the Boston Area Colloquium in Ancient Philosophy 7 (1991): 107-145.
  • Manuli, Paola. “Galien et le Stoicisme” Revue de Mataphysique et de Morale 97.3 (1992): 365-375.
  • Mowry, Bryan. “From Galen’s Theory to William Harvey’s Theory: A Case Study in the Rationality of Scientific Theory Change” Studies in History and the Philosophy of Science 16 (1985): 49-82.
  • Nutton, Vivian. Ancient Medicine. London: Routledge, 2004.
  • Nutton, Vivian. “The Chronology of Galen’s Early Career” Classical Quarterly 23 (1973): 158-171.
  • Nutton, Vivian. (ed.) Galen: Problems and Prospects. London: Wellcome Institute, 1981.
  • Nutton, Vivian. “Galen ad multos annos” Dynamis 15 (1995): 25-39.
  • Rescher, Nicholas. Galen and the Syllogism: An Examination of the Thesis that Galen Originated the Fourth Figure of the Syllogism in Light of New Data from the Arabic. Pittsburgh, PA: University of Pittsburgh Press, 1996.
  • Sarton, George. Galen of Pergamon. Lawrence, KS: University of Kansas Press, 1954.
  • Siegel, Rudolph. Galen’s System of Physiology and Medicine. Basel: Karger, 1968.
  • Smith, Wesley. The Hippocratic Tradition. Ithaca, NY: Cornell University Press, 1979.
  • Temkin, Owsei. Galenism: The Rise and Decline of a Medical Philosophy. Ithaca, NY: Cornell University Press, 1973.
  • Tieleman, Teun. “Plotinus on the Seat of the Soul: Reverberations of Galen and Alexander in Enn. IV, 3 27ESS, 23.” Phronesis. 43.4 (1998): 306-325.

Select Proceedings of Conferences on Galen

1981 English

  • Nutton, Vivian, Galen : Problems and Prospects. London: Wellcome Institute for the History of Medicine, 1981.

1982 English

  • Kudlien, F., & Durling, R. J. Galen’s method of healing : Proceedings of the 1982 Galen Symposium. Paper presented at the Galen Symposium (1982 : Christian-Albrechts Universität); Studies in Ancient Medicine,; v. 1, 205. Leiden: Brill, 1991.

1986 3rd Italian

  • Manuli, P., & Vegretti, M. (1988). Le Opere Psicologiche di Galeno : Atti del terzo Colloquio Galenico Internazionale, Pavia, 10-12 Settembre 1986. Paper presented at the Colloqio Galenico Internazionale (3d : 1986 : Pavia, Italy); Elenchos (Bibliopolis (Firm)) 13,

1989 4th German

  • Kollesch, J., Nickel, D., Humboldt-Universität zu Berlin, & Institut für Geschichte der Medizin. (1993). Galen und das Hellenistische Erbe : Verhandlungen des IV. Internationalen Galen-Symposiums veranstaltet vom Institut für Geschichte der Medizin am Bereich Medizin (charité) der Humboldt-Universität zu Berlin 18.-20. September 1989. Paper presented at the Galen Symposium (4th : 1989 : Humboldt-Universität Zu Berlin); Sudhoffs Archiv.; Beihefte,; Heft 32,

1995 5th English

  • Debru, A. (1997). Galen on Pharmacology : Philosophy, history, and medicine : Proceedings of the Vth International Galen Colloquium, Lille, 16-18 March 1995. Paper presented at the International Galen Colloquium (5th : 1995 : Lille, France); Studies in Ancient Medicine,; v. 16, 336. Leiden: Brill, 2007.

1988 Spanish

  • López Férez, J. A. (1991). Galeno, obra, pensamiento e influencia : Coloquio internacional celebrado en Madrid, 22-25 de marzo de 1988. Madrid : Universidad Nacional de Educación a Distancia, 1991.

2002 Italian

  • Garofalo, I., Roselli, A., Fischer, K., Galen, On the therapeutic method, & Book III. (2003). Galenismo e Medicina Tardoantica : Fonti greche, latine e arabe : Atti del Seminario Internazionale di Siena, Certosa di Pontignano, 9 e 10 Settembre 2002. Paper presented at the Annali Dell’Istituto Universitario Orientale Di Napoli.; Sezione Filologico-Letteraria.; Quaderni,; 7,

2002 English

  • Nutton, Vivian. The Unknown Galen. London : Institute of Classical Studies, School of Advanced Study, University of London, 2002.

Author Information

Michael Boylan
Email: michael.boylan@marymount.edu
Marymount University
U. S. A.

Gottlob Frege (1848—1925)

FregeGottlob Frege was a German logician, mathematician and philosopher who played a crucial role in the emergence of modern logic and analytic philosophy. Frege’s logical works were revolutionary, and are often taken to represent the fundamental break between contemporary approaches and the older, Aristotelian tradition. He invented modern quantificational logic, and created the first fully axiomatic system for logic, which was complete in its treatment of propositional and first-order logic, and also represented the first treatment of higher-order logic. In the philosophy of mathematics, he was one of the most ardent proponents of logicism, the thesis that mathematical truths are logical truths, and presented influential criticisms of rival views such as psychologism and formalism. His theory of meaning, especially his distinction between the sense and reference of linguistic expressions, was groundbreaking in semantics and the philosophy of language. He had a profound and direct influence on such thinkers as Russell, Carnap and Wittgenstein. Frege is often called the founder of modern logic, and he is sometimes even heralded as the founder of analytic philosophy.

Table of Contents

  1. Life and Works
  2. Contributions to Logic
  3. Contributions to the Philosophy of Mathematics
  4. The Theory of Sense and Reference
  5. References and Further Reading
    1. Frege’s Own Works
    2. Important Secondary Works

1. Life and Works

Frege was born on November 8, 1848 in the coastal city of Wismar in Northern Germany. His full christened name was Friedrich Ludwig Gottlob Frege. Little is known about his youth. His father, Karl Alexander Frege, and his mother, Auguste (Bialloblotzsky) Frege, both worked at a girl’s private school founded in part by Karl. Both were also principals of the school at various points: Karl held the position until his death 1866, when Auguste took over until her death in 1878. The German writer Arnold Frege, born in Wismar in 1852, may have been Frege’s younger brother, but this has not been confirmed. Frege probably lived in Wismar until 1869; in the years from 1864-1869 he is known to have studied at the Gymnasium in Wismar.

In Spring 1869, Frege began studies at the University of Jena. There, he studied chemistry, philosophy and mathematics, and must have solidly impressed Ernst Abbe in mathematics, who later become of Frege’s benefactors. After four semesters, Frege transferred to the University of Göttingen, where he studied mathematics and physics, as well as philosophy of religion under Hermann Lotze. (Lotze is sometimes thought to have had a profound impact on Frege’s philosophical views.) In late 1873, Frege finished his doctoral dissertation, under the guidance of Ernst Schering, entitled Über eine geometrische Darstellung der imaginären Gebilde in der Ebene (“On a Geometrical Representation of Imaginary Figures in a Plane”), and received his Ph.D.

In 1874, with the recommendation of Ernst Abbe, Frege received a lectureship at the University of Jena, where he stayed the rest of his intellectual life. His position was unsalaried during his first five years, and he was supported by his mother. Frege’s Habilitationsschrift, entitled Rechnungsmethoden, die auf eine Erweiterung des Grössenbegriffes gründen (“Methods of Calculation Based upon An Amplification of the Concept of Magnitude,”), was included with the material submitted to obtain the position. It involves the theory of complex mathematical functions, and contains seeds of Frege’s advances in logic and the philosophy of mathematics.

Frege had a heavy teaching load during his first few years at Jena. However, he still had time to work on his first major work in logic, which was published in 1879 under the title Begriffsschrift, eine der arithmetischen nachgebildete Formelsprache des reinen Denkens (“Concept-Script: A Formula Language for Pure Thought Modeled on That of Arithmetic”). Therein, Frege presented for the first time his invention of a new method for the construction of a logical language. Upon the publication of the Begriffsschrift, he was promoted to ausserordentlicher Professor, his first salaried position. However, the book was not well-reviewed by Frege’s contemporaries, who apparently found its two-dimensional logical notation difficult to comprehend, and failed to see its advantages over previous approaches, such as that of Boole.

Sometime after the publication of the Begriffsschrift, Frege was married to Margaret Lieseburg (1856-1905). They had at least two children, who unfortunately died young. Years later they adopted a son, Alfred. However, little else is known about Frege’s family life.

Frege had aimed to use the logical language of the Begriffsschrift to carry out his logicist program of attempting to show that all of the basic truths of arithmetic could be derived from purely logical axioms. However, on the advice of Carl Stumpf, and given the poor reception of the Begriffsschrift, Frege decided to write a work in which he would describe his logicist views informally in ordinary language, and argue against rival views. The result was his Die Grundlagen der Arithmetik (“The Foundations of Arithmetic”), published in 1884. However, this work seems to have been virtually ignored by most of Frege’s contemporaries.

Soon thereafter, Frege began working on his attempt to derive the basic laws of arithmetic within his logical language. However, his work was interrupted by changes to his views. In the late 1880s and early 1890s Frege developed new and interesting theories regarding the nature of language, functions and concepts, and philosophical logic, including a novel theory of meaning based on the distinction between sense and reference. These views were published in influential articles such as “Funktion und Begriff” (“Function and Concept”, 1891), “Über Sinn und Bedeutung” (“On Sense and Reference”, 1892) and “Über Begriff und Gegenstand” (“On Concept and Object”, 1892). This maturation of Frege’s semantic and philosophical views led to changes in his logical language, forcing him to abandon an almost completed draft of his work in logic and the foundations of mathematics. However, in 1893, Frege finally finished a revised volume, employing a slightly revised logical system. This was his magnum opus, Grundgesetze der Arithmetik (“Basic Laws of Arithmetic”), volume I. In the first volume, Frege presented his new logical language, and proceeded to use it to define the natural numbers and their properties. His aim was to make this the first of a three volume work; in the second and third, he would move on to the definition of real numbers, and the demonstration of their properties.

Again, however, Frege’s work was unfavorably reviewed by his contemporaries. Nevertheless, he was promoted once again in 1894, now to the position of Honorary Ordinary Professor. It is likely that Frege was offered a position as full Professor, but turned it down to avoid taking on additional administrative duties. His new position was unsalaried, but he was able to support himself and his family with a stipend from the Carl Zeiss Stiftung, a foundation that gave money to the University of Jena, and with which Ernst Abbe was intimately involved.

Because of the unfavorable reception of his earlier works, Frege was forced to arrange to have volume II of the Grundgesetze published at his own expense. It was not until 1902 that Frege was able to make such arrangements. However, while the volume was already in the publication process, Frege received a letter from Bertrand Russell, informing him that it was possible to prove a contradiction in the logical system of the first volume of the Grundgesetze, which included a naive calculus for classes. For more information, see the article on “Russell’s Paradox“. Frege was, in his own words, “thunderstruck”. He was forced to quickly prepare an appendix in response. For the next couple years, he continued to do important work. A series of articles entitled “Über die Grundlagen der Geometrie,” (“On the Foundations of Geometry”) was published between 1903 and 1906, representing Frege’s side of a debate with David Hilbert over the nature of geometry and the proper construction and understanding of axiomatic systems within mathematics.

However, around 1906, probably due to some combination of poor health, the early loss of his wife in 1905, frustration with his failure to find an adequate solution to Russell’s paradox, and disappointment over the continued poor reception of his work, Frege seems to have lost his intellectual steam. He produced very little work between 1906 and his retirement in 1918. However, he continued to influence others during this period. Russell had included an appendix on Frege in his 1903 Principles of Mathematics. It is from this that Frege came be to be a bit wider known, including to an Austrian student studying engineering in Manchester, England, named Ludwig Wittgenstein. Wittgenstein studied the work of Frege and Russell closely, and in 1911, he wrote to both of them concerning his own solution to Russell’s paradox. Frege invited him to Jena to discuss his views. Wittgenstein did so in late 1911. The two engaged in a philosophical debate, and while Wittgenstein reported that Frege “wiped the floor” with him, Frege was sufficiently impressed with Wittgenstein that he suggested that he go to Cambridge to study with Russell–a suggestion that had profound importance for the history of philosophy. Moreover, Rudolf Carnap was one of Frege’s students from 1910 to 1913, and doubtlessly Frege had significant influence on Carnap’s interest in logic and semantics and his subsequent intellectual development and successes.

After his retirement in 1918, Frege moved to Bad Kleinen, near Wismar, and managed to publish a number of important articles, “Der Gedanke” (“The Thought”, 1918), “Der Verneinung” (“Negation”, 1918), and “Gedankengefüge” (“Compound Thoughts”, 1923). However, these were not wholly new works, but later drafts of works he had initiated in the 1890s. In 1924, a year before his death, Frege finally returned to the attempt to understand the foundations of arithmetic. However, by this time, he had completely given up on his logicism, concluding that the paradoxes of class or set theory made it impossible. He instead attempted to develop a new theory of the nature of arithmetic based on Kantian pure intuitions of space. However, he was not able to write much or publish anything about his new theory. Frege died on July 26, 1925 at the age of 76.

At the time of his death, Frege’s own works were still not very widely known. He did not live to see the profound impact he would have on the emergence of analytic philosophy, nor to see his brand of logic–due to the championship of Russell–virtually wholly supersede earlier forms of logic. However, in bequeathing his unpublished work to his adopted son, Alfred, he wrote prophetically, “I believe there are things here which will one day be prized much more highly than they are now. Take care that nothing gets lost.” Alfred later gave Frege’s papers to Heinrich Scholz of the University of Münster for safekeeping. Unfortunately, however, they were destroyed in an Allied bombing raid on March 25, 1945. Although Scholz had made copies of some of the more important pieces, a good portion of Frege’s unpublished works were lost.

Although he was a fierce, sometimes even satirical, polemicist, Frege himself was a quiet, reserved man. He was right-wing in his political views, and like many conservatives of his generation in Germany, he is known to have been distrustful of foreigners and rather anti-semitic. Himself Lutheran, Frege seems to have wanted to see all Jews expelled from Germany, or at least deprived of certain political rights. This distasteful feature of Frege’s personality has gravely disappointed some of Frege’s intellectual progeny.

2. Contributions to Logic

Trained as a mathematician, Frege’s interests in logic grew out of his interests in the foundations of arithmetic. Early in his career, Frege became convinced that the truths of arithmetic are logical, analytic truths, agreeing with Leibniz, and disagreeing with Kant, who thought that arithmetical knowledge was grounded in “pure intuition”, as well as more empiricist thinkers such as J. S. Mill, who thought that arithmetic was grounded in observation. In other words, Frege subscribed to logicism. His logicism was modest in one sense, but very ambitious in others. Frege’s logicism was limited to arithmetic; unlike other important historical logicists, such as Russell, Frege did not think that geometry was a branch of logic. However, Frege’s logicism was very ambitious in another regard, as he believed that one could prove all of the truths of arithmetic deductively from a limited number of logical axioms. Indeed, Frege himself set out to demonstrate all of the basic laws of arithmetic within his own system of logic.

Frege concurred with Leibniz that natural language was unsuited to such a task. Thus, Frege sought to create a language that would combine the tasks of what Leibniz called a “calculus ratiocinator” and “lingua characterica“, that is, a logically perspicuous language in which logical relations and possible inferences would be clear and unambiguous. Frege’s own term for such a language, “Begriffsschrift” was likely borrowed from a paper on Leibniz’s ideas written by Adolf Trendelenburg. Although there had been attempts to fashion at least the core of such a language made by Boole and others working in the Leibnizian tradition, Frege found their work unsuitable for a number of reasons. Boole’s logic used some of the same signs used in mathematics, except with different logical meanings. Frege found this unacceptable for a language which was to be used to demonstrate mathematical truths, because the signs would be ambiguous. Boole’s logic, though innovative in some respects, was weak in others. It was divided into a “primary logic” and “secondary logic”, bifurcating its propositional and categorical elements, and could not deal adequately with multiple generalities. It analyzed propositions in terms of subject and predicate concepts, which Frege found to be imprecise and antiquated.

Frege saw the formulae of mathematics as the paradigm of clear, unambiguous writing. Frege’s brand of logical language was modeled upon the international language of arithmetic, and it replaced the subject/predicate style of logical analysis with the notions of function and argument. In mathematics, an equation such as “f(x) = x2 + 1″ states that f is a function that takes x as argument and yields as value the result of multiplying x by itself and adding one. In order to make his logical language suitable for purposes other than arithmetic, Frege expanded the notion of function to allow arguments and values other than numbers. He defined a concept (Begriff) as a function that has a truth-value, either of the abstract objects the True or the False, as its value for any object as argument. See below for more on Frege’s understanding of concepts, functions and objects. The concept being human is understood as a function that has the True as value for any argument that is human, and the False as value for anything else. Suppose that “H( )” stands for this concept, and “a” is a constant for Aristotle, and “b” is a constant for the city of Boston. Then “H(a)” stands for the True, while “H(b)” stands for the False. In Frege’s terminology, an object for which a concept has the True as value is said to “fall under” the concept.

The values of such concepts could then be used as arguments to other functions. In his own logical systems, Frege introduced signs standing for the negation and conditional functions. His own logical notation was two-dimensional. However, let us instead replace Frege’s own notation with more contemporary notation. For Frege, the conditional function, “→” is understood as a function the value of which is the False if its first argument is the True and the second argument is anything other than the True, and is the True otherwise. Therefore, “H(b) → H(a)” stands for the True, while “H(a) → H(b)” stands for the False. The negation sign “~” stands for a function whose value is the True for every argument except the True, for which its value is the False. Conjunction and disjunction signs could then be defined from the negation and conditional signs. Frege also introduced an identity sign, standing for a function whose value is the True if the two arguments are the same object, and the False otherwise, and a sign, which he called “the horizontal,” namely “—”, that stands for a function that has the True as value for the True as argument, and has the False as value for any other argument.

Variables and quantifiers are used to express generalities. Frege understands quantifiers as “second-level concepts”. The distinction between levels of functions involves what kind of arguments the functions take. In Frege’s view, unlike objects, all functions are “unsaturated” insofar as they require arguments to yield values. But different sorts of functions require different sorts of arguments. Functions that take objects as argument, such as those referred to by “( ) + ( )” or “H( )”, are called first-level functions. Functions that take first-level functions as argument are called second-level functions. The quantifier, “∀x(…x…)”, is understood as standing for a function that takes a first-level function as argument, and yields the True as value if the argument-function has the True as value for all values of x, and has the False as value otherwise. Thus, “∀xH(x)” stands for the False, since the concept H( ) does not have the True as value for all arguments. However, “∀x[H(x) → H(x)]” stands for True, since the complex concept H( ) → H( ) does have the True as value for all arguments. The existential quantifier, now written “∃x(…x…)” is defined as “~∀x~(…x…)”.

Those familiar with modern predicate logic will recognize the parallels between it and Frege’s logic. Frege is often credited with having founded predicate logic. However, Frege’s logic is in some ways different from modern predicate logic. As we have seen, a sign such as “H( )” is a sign for a function in the strictest sense, as are the conditional and negation connectives. Frege’s conditional is not, like the modern connective, something that flanks statements to form a statement. Rather, it flanks terms for truth-values to form a term for a truth-value. Frege’s “H(b) → H(a)” is simply a name for the True, by itself it does not assert anything. Therefore, Frege introduces a sign he called the “judgment stroke”, ⊢, used to assert that what follows it stands for the True. Thus, while “H(b) → H(a)” is simply a term for a truth-value, “⊢ H(b) → H(a)” asserts that this truth-value is the True, or in this case, that if Boston is human, then Aristotle is human. Moreover, Frege’s logical system was second-order. In addition to quantifiers ranging over objects, it also contained quantifiers ranging over first-level functions. Thus, “⊢∀xF[F(x)]” asserts that every object falls under at least one concept.

Frege’s logic took the form of an axiomatic system. In fact, Frege was the first to take a fully axiomatic approach to logic, and the first even to suggest that inference rules ought to be explicitly formulated and distinguished from axioms. He began with a limited number of fixed axioms, introduced explicit inference rules, and aimed to derive all other logical truths (including, for him, the truths of arithmetic) from them. Frege’s first logical system, that of the 1879 Begriffsschrift, had nine axioms (one of which was not independent), one explicit inference rule, and also employed a second and third inference rule implicitly. It represented the first axiomatization of logic, and was complete in its treatment of both propositional logic and first-order quantified logic. Unlike Frege’s later system, the system of the Begriffsschrift was fully consistent. (It has since been proven impossible to devise a system for higher-order logic with a finite number of axioms that is both complete and consistent.)

In order to make deduction easier, in the 1893 logical system of the Grundgesetze, Frege used fewer axioms and more inference rules: seven and twelve, respectively, this time leaving nothing implicit. The Grundgesetze also expanded upon the system of the Begriffsschrift by adding axioms governing what Frege called the “value-ranges” (Werthverlaüfe) of functions, understood as objects corresponding to the complete argument-value mappings generated by functions. In the case of concepts, their value-ranges were identified with their extensions. While Frege did sometimes also refer to the extensions of concepts as “classes“, he did not conceive of such classes as aggregates or collections. They were simply understood as objects corresponding to the complete argument-value mappings generated by concepts considered as functions. Frege then introduced two axioms dealing with these value-ranges. Most infamous was his Basic Law V, which asserts that the truth-value of the value-range of function F being identical to the value-range of function G is the same as the truth-value of F and G having the same value for every argument. If one conceives of value-ranges as argument-value mappings, then this certainly seems to be a plausible hypothesis. However, from it, it is possible to prove a strong theorem of class membership: that for any object x, that object is in the extension of concept F if and only if the value of F for x as argument is the True. Given that value-ranges themselves are taken to be objects, if the concept in question is that of being a extension of a concept not included in itself, one can conclude that the extension of this concept is in itself just in case it is not. Therefore, the logical system of the Grundgesetze was inconsistent due to Russell’s Paradox. See the entry on Russell’s Paradox for more details. However, the core of the system of the Grundgesetze, that is, the system minus the axioms governing value-ranges, is consistent and, like the system of the Begriffsschrift, is complete in its treatment of propositional logic and first-order predicate logic.

Given the extent to which it is taken granted today, it can be difficult to fully appreciate the truly innovative and radical approach Frege took to logic. Frege was the first to attempt to transcribe the old statements of categorical logic in a language employing variables, quantifiers and truth-functions. Frege was the first to understand a statement such as “all students are hardworking” as saying roughly the same as, “for all values of x, if x is a student, then x is hardworking”. This made it possible to capture the logical connection between statements such as “either all students are hardworking or all students are intelligent” and “all students are either hardworking or intelligent” (for example, that the first implies the second). In earlier logical systems such as that of Boole, in which the propositional and quantificational elements were bifurcated, the connection was wholly lost. Moreover, Frege’s logical system was the first to be able to capture statements of multiple generality, such as “every person loves some city” by using multiple quantifiers in the same logical formula. This too was impossible in all earlier logical systems. Indeed, Frege’s “firsts” in logic are almost too numerous to list. We have seen here that he invented modern quantification theory, presented the first complete axiomatization of propositional and first-order “predicate” logic (the latter of which he invented outright), attempted the first formulation of higher-order logic, presented the first coherent and full analysis of variables and functions, first showed it possible to reduce all truth-functions to negation and the conditional, and made the first clear distinction between axioms and inference rules in a formal system. As we shall see, he also made advances in the logic of mathematics. It is small wonder that he is often heralded as the founder of modern logic.

On Frege’s “philosophy of logic”, logic is made true by a realm of logical entities. Logical functions, value-ranges, and the truth-values the True and the False, are thought to be objectively real entities, existing apart from the material and mental worlds. (As we shall see below, Frege was also committed to other logical entities such as senses and thoughts.) Logical axioms are true because they express true thoughts about these entities. Thus, Frege denied the popular view that logic is without content and without metaphysical commitment. Frege was also a harsh critic of psychologism in logic: the view that logical truths are truths about psychology. While Frege believed that logic might prescribe laws about how people should think, logic is not the science of how people do think. Logical truths would remain true even if no one believed them nor used them in their reasoning. If humans were genetically designed to use regularly the so-called “inference rule” of affirming the consequent, etc., this would not make it logically valid. What is true or false, valid of invalid, does not depend on anyone’s psychology or anyone’s beliefs. To think otherwise is to confuse something’s being true with something’s being-taken-to-be-true.

3. Contributions to the Philosophy of Mathematics

Frege was an ardent proponent of logicism, the view that the truths of arithmetic are logical truths. Perhaps his most important contributions to the philosophy of mathematics were his arguments for this view. He also presented significant criticisms against rival views. We have seen that Frege was a harsh critic of psychologism in logic. He thought similarly about psychologism in mathematics. Numbers cannot be equated with anyone’s mental images, nor truths of mathematics with psychological truths. Mathematical truths are objective, not subjective. Frege was also a critic of Mill’s view that arithmetical truths are empirical truths, based on observation. Frege pointed out that it is not just observable things that can be counted, and that mathematical truths seem to apply also to these things. On Mill’s view, numbers must be taken to be conglomerations of objects. Frege rejects this view for a number of reasons. Firstly, is one conglomeration of two things the same as a different conglomeration of two things, and if not, in what sense are they equal? Secondly, a conglomeration can be seen as made up of a different number of things, depending on how the parts are counted. One deck of cards contains fifty two cards, but each card consists of a multitude of atoms. There is no one uniquely determined “number” of the whole conglomeration. He also reiterated the arguments of others: that mathematical truths seem apodictic and knowable a priori. He also argued against the Kantian view that arithmetic truths are based on the pure intuition of the succession of time. His main argument against this view, however, was simply his own work in which he showed that truths about the nature of succession and sequence can be proven purely from the axioms of logic.

Frege was also an opponent of formalism, the view that arithmetic can be understood as the study of uninterpreted formal systems. While Frege’s logical language represented a kind of formal system, he insisted that his formal system was important only because of what its signs represent and its propositions mean. The signs themselves, independently of what they mean, are unimportant. To suggest that mathematics is the study simply of the formal system, is, in Frege’s eyes, to confuse the sign and thing signified. To suggest that arithmetic is the study of formal systems also suggests, absurdly, that the formula “5 + 7 = 12”, written in Arabic numerals, is not the same truth as the formula, “V + VII = XII”, written in Roman numerals. Frege suggests also that this confusion would have the absurd result that numbers simply are the numerals, the signs on the page, and that we should be able to study their properties with a microscope.

Frege suggests that rival views are often the result of attempting to understand the meaning of number terms in the wrong way, for example, in attempting to understand their meaning independently of the contexts in which they appear in sentences. If we are simply asked to consider what “two” means independently of the context of a sentence, we are likely to simply imagine the numeral “2”, or perhaps some conglomeration of two things. Thus, in the Grundlagen, Frege espouses his famous context principle, to “never ask for the meaning of a word in isolation, but only in the context of a proposition.” The Grundlagen is an earlier work, written before Frege had made the distinction between sense and reference (see below). It is an active matter of debate and discussion to what extent and how this principle coheres with Frege’s later theory of meaning, but what is clear is that it plays an important role in his own philosophy of mathematics as described in the Grundlagen.

According to Frege, if we look at the contexts in which number words usually occur in a proposition, they appear as part of a sentence about a concept, specifically, as part of an expression that tells us how many times a certain concept is instantiated. Consider, for example, “I have six cards in my hand” or “There are 11 members of congress from Wisconsin.” These propositions seem to tell us how many times the concepts of being a card in my hand and being a member of congress from Wisconsin are instantiated. Thus, Frege concludes that statements about numbers are statements about concepts. This insight was very important for Frege’s case for logicism, as Frege was able to show that it is possible to define what it means for a concept to be instantiated a certain number of times purely logically by making use of quantifiers and identity. To say that the concept F is instantiated zero times is to say that there are no objects that instantiate F, or, equivalently, that everything does not instantiate F. To say that F is instantiated one time is to say there is an object x that instantiates F, and that for all objects y, either y does not instantiate F or y is x. To say that F is instantiated twice is to say that there are two objects, x and y, each of which instantiates F, but which are not the same as each other, and for all z, either z does not instantiate F, or z is x or z is y. One could then consider numbers as “second-level concepts”, or concepts of concepts, which can be defined in purely logical terms. (For more on the distinction of levels of concepts, see above.)

Frege, however, does not leave his analysis of numbers there. Understanding number-claims as involving second-level concepts does give us some insight into the nature of numbers, but it cannot be left at this. Mathematics requires that numbers be treated as objects, and that we be able to provide a definition of the number “two” simpliciter, without having to speak of two Fs. For this purpose, Frege appeals to his theory of the value-ranges of concepts. On the notion of a value-range, see above. We saw above that we can gain some understanding of number claims as involving second-level concepts, or concepts of concepts. In order to find a definition of numbers as objects, Frege treats them instead as value-ranges of value-ranges. Exactly, however, are they to be understood?

Frege notes that we have an understanding of what it means to say that there are the same number of Fs as there are Gs. It is to say that there is a one-one mapping between the objects that instantiate F and the objects instantiating G, i.e. that there is some function f from entities that instantiate F onto entities that instantiate G such that there is a different F for every G, and a different G for every F, with none left over. (In this, Frege’s views on the nature of cardinality were in part anticipated by Georg Cantor.) However, we must bear in mind that the propositions:

(1) There are equally many Fs as there are Gs.
(2) The number of Fs = the number of Gs

must obviously have the same truth-value, as they seem to express the same fact. We must, therefore, look for a way of understanding the phrase “the number of Fs” that occurs in (2) that makes clear how and why the whole proposition will be true or false for the same reason as (1) is true or false. Frege’s suggestion is that “the number of Fs” means the same as “the value-range of the concept being a value-range of a concept instantiated equally many times as F.” This means that the number of Fs is a certain value-range, containing value-ranges, and in particular, all those value-ranges that have as many members as there are Fs. Then (2) is understood as saying the same as “the value-range of the concept being a value-range of a concept instantiated equally many times as F = the value-range of the concept being a value-range of a concept instantiated equally many times as G“, which will be true if and only if there are equally many Fs as Gs, i.e. if every value-range of a concept instantiated equally many times as F is also a value-range of a concept instantiated equally many times as G.

To give some examples, if there are zero Fs, then the number of Fs, i.e. zero, is the value-range consisting of all value-ranges with no members. Recall that for Frege, classes are identified with value-ranges of concepts. (See above.) To rephrase the same point in terms of classes, zero is the class of all classes with no members. Since there is only one such class, zero is the class containing only the empty class. If there is one F, then the number of Fs, i.e. one, is the class consisting of all classes with one member (the extensions of concepts instantiated once). Here we can see the connection with the understanding of number expressions as being statements about concepts. Rather than understanding zero as the concept a concept has just in case it is not instantiated, zero is understood as the value-range consisting of value-ranges of concepts that are not instantiated. Rather than understanding one as the concept a concept has just in case it is instantiated by a unique object, it is understood as the value-range consisting of value-ranges of concepts instantiated by unique objects. This allows us to understand numbers as abstract objects, and provide a clear definition of the meaning of number signs in arithmetic such as “1”, “2”, “3”, etc.

Some of Frege’s most brilliant work came in providing definitions of the natural numbers in his logical language, and in proving some of their properties therein. After laying out the basic laws of logic, and defining axioms governing the truth-functions and value-ranges, etc., Frege begins by defining a relation that holds between two value-ranges just in case they are the value-ranges of concepts instantiated equally many times. This relation holds between value-ranges just in case they are the same size, i.e. just in case there is one-one correspondence between the entities that fall under their concepts. Using this, he then defines a function that takes a value-range as argument and yields as value the value-range consisting of all value-ranges the same size as it. The number zero is then defined as the value-range consisting of all value-ranges the same size as the value-range of the concept being non-self-identical. Since this concept is not instantiated, zero is defined as the value-range of all value-ranges with no members, as described above. There is only one such number zero. Since this is true, then the concept of being identical to zero is instantiated once. Frege then uses this to define one. One is defined as the value-range of all value-ranges equal in size to the value-range of the concept being identical to zero. Having defined one is this way, Frege is able to define two. He has already defined one and zero; they are each unique, but different from each other. Therefore, two can be defined as the value-range of all value-ranges equal in size to the value-range of the concept being identical to zero or identical to one. Frege is able to define all natural numbers in this way, and indeed, prove that there are infinitely many of them. Each natural number can be defined in terms of the previous one: for each natural number n, its successor (n + 1) can be defined as the value-range of all value-ranges equal in size to the value-range of the concept of being identical to one of the numbers between zero and n.

In the Begriffsschrift, Frege had already been able to prove certain results regarding series and sequences, and was able to define the ancestral of a relation. To understand the ancestral of a relation, consider the example of the relation of being the child of. A person x bears this relation to y just in case x is y‘s child. However, x falls in the ancestral of this relation with respect to y just in case x is the child of y, or is the child of y‘s child, or is the child of y‘s child’s child, etc. Frege was able to define the ancestral of relations logically even in his early work. He put this to use in the Grundgesetze to define the natural numbers. We have seen how the notion of successorship can be defined for Frege, i.e. the relation n + 1 bears to n. The natural numbers can be defined as the value-range of all value-ranges that fall under the ancestral of the successor relation with respect to zero. The natural numbers then consist of zero, the successor of zero (one), the successor of the successor of zero (two), and so on ad infinitum. Frege was then able to use this definition of the natural numbers to provide a logical analysis of mathematical induction, and prove that mathematical induction can be used validly to demonstrate the properties of the natural numbers, an extremely important result for making good on his logicist ambitions. Frege could then use mathematical induction to prove some of the basic laws of the natural numbers. Frege next turned his logicist method to an analysis of integers (including negative numbers) and then to the real numbers, defining them using the natural numbers and certain relations holding between them. We need not dwell on the details of this work here.

Frege’s approach to providing a logical analysis of cardinality, the natural numbers, infinity and mathematical induction were groundbreaking, and have had a lasting importance within mathematical logic. Indeed, prior to 1902, it must have seemed to him that he had been completely successful in showing that the basic laws of arithmetic could be understood purely as logical truths. However, as we have seen, Frege’s definition of numbers heavily involves the notion of classes or value-ranges, but his logical treatment of them is shown to be impossible due to Russell’s paradox. This presents a serious problem for Frege’s logicist approach. Another heavy blow came after Frege’s death. In 1931, Kurt Gödel discovered his famous incompleteness proof to the effect that there can be no consistent formal system with a finite number of axioms in which it is possible to derive all of the truths of arithmetic. This presents a serious blow to more ambitious forms of logicism, such as Frege’s, which aimed to provide precisely the sort of system Gödel showed impossible. Nevertheless, it cannot be denied that Frege’s work in the philosophy of mathematics was important and insightful.

4. The Theory of Sense and Reference

Frege’s influential theory of meaning, the theory of sense (Sinn) and reference (Bedeutung) was first outlined, albeit briefly, in his article, “Funktion und Begriff” of 1891, and was expanded and explained in greater detail in perhaps his most famous work, “Über Sinn und Bedeutung” of 1892. In “Funktion und Begriff”, the distinction between the sense and reference of signs in language is first made in regard to mathematical equations. During Frege’s time, there was a widespread dispute among mathematicians as to how the sign, “=”, should be understood. If we consider an equation such as, “4 x 2 = 11 – 3″, a number of Frege’s contemporaries, for a variety of reasons, were wary of viewing this as an expression of an identity, or, in this case, as the claim that 4 x 2 and 11 – 3 are one and the same thing. Instead, they posited some weaker form of “equality” such that the numbers 4 x 2 and 11 – 3 would be said to be equal in number or equal in magnitude without thereby constituting one and the same thing. In opposition to the view that “=” signifies identity, such thinkers would point out that 4 x 2 and 11 – 3 cannot in all ways be thought to be the same. The former is a product, the latter a difference, etc.

In his mature period, however, Frege was an ardent opponent of this view, and argued in favor of understanding “=” as identity proper, accusing rival views of confusing form and content. He argues instead that expressions such as “4 x 2″ and “11 – 3” can be understood as standing for one and the same thing, the number eight, but that this single entity is determined or presented differently by the two expressions. Thus, he makes a distinction between the actual number a mathematical expression such as “4 x 2″ stands for, and the way in which that number is determined or picked out. The former he called the reference (Bedeutung) of the expression, and the latter was called the sense (Sinn) of the expression. In Fregean terminology, an expression is said to express its sense, and denote or refer to its reference.

The distinction between reference and sense was expanded, primarily in “Über Sinn und Bedeutung” as holding not only for mathematical expressions, but for all linguistic expressions (whether the language in question is natural language or a formal language). One of his primary examples therein involves the expressions “the morning star” and “the evening star”. Both of these expressions refer to the planet Venus, yet they obviously denote Venus in virtue of different properties that it has. Thus, Frege claims that these two expressions have the same reference but different senses. The reference of an expression is the actual thing corresponding to it, in the case of “the morning star”, the reference is the planet Venus itself. The sense of an expression, however, is the “mode of presentation” or cognitive content associated with the expression in virtue of which the reference is picked out.

Frege puts the distinction to work in solving a puzzle concerning identity claims. If we consider the two claims:

(1) the morning star = the morning star

(2) the morning star = the evening star

The first appears to be a trivial case of the law of self-identity, knowable a priori, while the second seems to be something that was discovered a posteriori by astronomers. However, if “the morning star” means the same thing as “the evening star”, then the two statements themselves would also seem to have the same meaning, both involving a thing’s relation of identity to itself. However, it then becomes to difficult to explain why (2) seems informative while (1) does not. Frege’s response to this puzzle, given the distinction between sense and reference, should be apparent. Because the reference of “the evening star” and “the morning star” is the same, both statements are true in virtue of the same object’s relation of identity to itself. However, because the senses of these expressions are different–in (1) the object is presented the same way twice, and in (2) it is presented in two different ways–it is informative to learn of (2). While the truth of an identity statement involves only the references of the component expressions, the informativity of such statements involves additionally the way in which those references are determined, i.e. the senses of the component expressions.

So far we have only considered the distinction as it applies to expressions that name some object (including abstract objects, such as numbers). For Frege, the distinction applies also to other sorts of expressions and even whole sentences or propositions. If the sense/reference distinction can be applied to whole propositions, it stands to reason that the reference of the whole proposition depends on the references of the parts and the sense of the proposition depends of the senses of the parts. (At some points, Frege even suggests that the sense of a whole proposition is composed of the senses of the component expressions.) In the example considered in the previous paragraph, it was seen that the truth-value of the identity claim depends on the references of the component expressions, while the informativity of what was understood by the identity claim depends on the senses. For this and other reasons, Frege concluded that the reference of an entire proposition is its truth-value, either the True or the False. The sense of a complete proposition is what it is we understand when we understand a proposition, which Frege calls “a thought” (Gedanke). Just as the sense of a name of an object determines how that object is presented, the sense of a proposition determines a method of determination for a truth-value. The propositions, “2 + 4 = 6” and “the Earth rotates”, both have the True as their references, though this is in virtue of very different conditions holding in the two cases, just as “the morning star” and “the evening star” refer to Venus in virtue of different properties.

In “Über Sinn und Bedeutung”, Frege limits his discussion of the sense/reference distinction to “complete expressions” such as names purporting to pick out some object and whole propositions. However, in other works, Frege makes it quite clear that the distinction can also be applied to “incomplete expressions”, which include functional expressions and grammatical predicates. These expressions are incomplete in the sense that they contain an “empty space”, which, when filled, yields either a complex name referring to an object, or a complete proposition. Thus, the incomplete expression “the square root of ( )” contains a blank spot, which, when completed by an expression referring to a number, yields a complex expression also referring to a number, e.g., “the square root of sixteen”. The incomplete expression, “( ) is a planet” contains an empty place, which, when filled with a name, yields a complete proposition. According to Frege, the references of these incomplete expressions are not objects but functions. Objects (Gegenstände), in Frege’s terminology, are self-standing, complete entities, while functions are essentially incomplete, or as Frege says, “unsaturated” (ungesättigt) in that they must take something else as argument in order to yield a value. The reference of the expression “square root of ( )” is thus a function, which takes numbers as arguments and yields numbers as values. The situation may appear somewhat different in the case of grammatical predicates. However, because Frege holds that complete propositions, like names, have objects as their references, and in particular, the truth-values the True or the False, he is able to treat predicates also as having functions as their references. In particular, they are functions mapping objects onto truth-values. The expression, “( ) is a planet” has as its reference a function that yields as value the True when saturated by an object such as Saturn or Venus, but the False when saturated by a person or the number three. Frege calls such a function of one argument place that yields the True or False for every possible argument a “concept” (Begriff), and calls similar functions of more than one argument place (such as that denoted by “( ) > ( )”, which is doubly in need of saturation), “relations”.

It is clear that functions are to be understood as the references of incomplete expressions, but what of the senses of such expressions? Here, Frege tells us relatively little save that they exist. There is some amount of controversy among interpreters of Frege as to how they should be understood. It suffices here to note that just as the same object (e.g. the planet Venus), can be presented in different ways, so also can a function be presented in different ways. While “identity”, as Frege uses the term, is a relation holding only between objects, Frege believes that there is a relation similar to identity that holds between functions just in case they always share the same value for every argument. Since all and only those things that have hearts have kidneys, strictly speaking, the concepts denoted by the expressions “( ) has a heart”, and “( ) has a kidney” are one and the same. Clearly, however, these expressions do not present that concept in the same way. For Frege, these expressions would have different senses but the same reference. Frege also tells us that it is the incomplete nature of these senses that provides the “glue” holding together the thoughts of which they form a part.

Frege also uses the distinction to solve what appears to be a difficulty with Leibniz’s law with regard to identity. This law was stated by Leibniz as, “those things are the same of which one can be substituted for another without loss of truth,” a sentiment with which Frege was in full agreement. As Frege understands this, it means that if two expressions have the same reference, they should be able to replace each other within any proposition without changing the truth-value of that proposition. Normally, this poses no problem. The inference from:

(3) The morning star is a planet.

to the conclusion:

(4) The evening star is a planet.

in virtue of (2) above and Leibniz’s law is unproblematically valid. However, there seem to be some serious counterexamples to this principle. We know for example that “the morning star” and “the evening star” have the same customary reference. However, it is not always true that they can replace one another without changing the truth of a sentence. For example, if we consider the propositions:

(5) Gottlob believes that the morning star is a planet.

(6) Gottlob believes that the evening star is a planet.

If we assume that Gottlob does not know that the morning star is the same heavenly body as the evening star, (5) may be true while (6) false or vice versa.

Frege meets this challenge to Leibniz’s law by making a distinction between what he calls the primary and secondary references of expressions. Frege suggests that when expressions appear in certain unusual contexts, they have as their references what is customarily their senses. In such cases, the expressions are said to have their secondary references. Typically, such cases involve what Frege calls “indirect speech” or “oratio obliqua“, as in the case of statements of beliefs, thoughts, desires and other so-called “propositional attitudes”, such as the examples of (5) and (6). However, expressions also have their secondary references (for reasons which should already be apparent) in contexts such as “it is informative that…” or “… is analytically true”.

Let us consider the examples of (5) and (6) more closely. To Frege’s mind, these statements do not deal directly with the morning star and the evening star itself. Rather, they involve a relation between a believer and a thought believed. Thoughts, as we have seen, are the senses of complete propositions. Beliefs depend for their make-up on how certain objects and concepts are presented, not only on the objects and concepts themselves. The truth of belief claims, therefore, will depend not on the customary references of the component expressions of the stated belief, but their senses. Since the truth-value of the whole belief claim is the reference of that belief claim, and the reference of any proposition, for Frege, depends on the references of its component expressions, we are led to the conclusion that the typical senses of expressions that appear in oratio obliqua are in fact the references of those expressions when they appear in that context. Such contexts can be referred to as “oblique contexts”, contexts in which the reference of an expression is shifted from its customary reference to its customary sense.

In this way, Frege is able to actually retain his commitment in Leibniz’s law. The expressions “the morning star” and “the evening star” have the same primary reference, and in any non-oblique context, they can replace each other without changing the truth-value of the proposition. However, since the senses of these expressions are not the same, they cannot replace each other in oblique contexts, because in such contexts, their references are non-identical.

Frege ascribes to senses and thoughts objective existence. In his mind, they are objects every bit as real as tables and chairs. Their existence is not dependent on language or the mind. Instead, they are said to exist in a timeless “third realm” of sense, existing apart from both the mental and the physical. Frege concludes this because, although senses are obviously not physical entities, their existence likewise does not depend on any one person’s psychology. A thought, for example, has a truth-value regardless of whether or not anyone believes it and even whether or not anyone has grasped it at all. Moreover, senses are interpersonal. Different people are able to grasp the same senses and same thoughts and communicate them, and it is even possible for expressions in different languages to express the same sense or thought. Frege concludes that they are abstract objects, incapable of full causal interaction with the physical world. They are actual only in the very limited sense that they can have an effect on those who grasp them, but are themselves incapable of being changed or acted upon. They are neither created by our uses of language or acts of thinking, nor destroyed by their cessation.

Unfortunately, Frege does not tell us very much about exactly how these abstract objects pick out or present their references. Exactly what is it that makes a sense a “way of determining” or “mode of presenting” a reference? In the wake of Russell’s theory of descriptions, a Fregean sense is often interpreted as a set of descriptive information or criteria that picks out its reference in virtue of the reference alone satisfying or fitting that descriptive information. In giving examples, Frege implies that a person might attach to the name “Aristotle” the sense the pupil of Plato and teacher of Alexander the Great. This sense picks out Aristotle the person because he alone matches this description. Here, care must be taken to avoid misunderstanding. The sense of the name “Aristotle” is not the words “the pupil of Plato and teacher of Alexander the Great”; to repeat, senses are not linguistic items. It is rather that the sense consists in some set of descriptive information, and this information is best described by a descriptive phrase of this form. The property of being the pupil of Plato and teacher of Alexander is unique to Aristotle, and thus, it may be in virtue of associating this information with the name “Aristotle” that this name may be used to refer to Aristotle. As certain commentators have noted, it is not even necessary that the sense of the name be expressible by some descriptive phrase, because the descriptive information or properties in virtue of which the reference is determined may not be directly nameable in any natural language.

From this standpoint, it is easy to understand how there might be senses that do not pick out any reference. Names such as “Romulus” or “Odysseus”, and phrases such as “the least rapidly converging series” or “the present King of France” express senses, insofar as they lay out criteria that things would have to satisfy if they were to be the references of these expressions. However, there are no things which do in fact satisfy these criteria. Therefore, these expressions are meaningful, but do not have references. Because the sense of a whole proposition is determined by the senses of the parts, and the reference of a whole proposition is determined by the parts, Frege claims that propositions in which such expressions appear are able to express thoughts, but are neither true nor false, because no references are determined for them.

This interpretation of the nature of senses makes Frege a forerunner to what has since been come to be known as the “descriptivist” theory of meaning and reference in the philosophy of language. The view that the sense of a proper name such as “Aristotle” could be descriptive information as simple as the pupil of Plato and teacher of Alexander the Great, however, has been harshly criticized by many philosophers, and perhaps most notably by Saul Kripke. Kripke points out that this would make a claim such as “Aristotle taught Alexander” seem to be a necessary and analytic truth, which it does not appear to be. Moreover, he claims that many of us seem to be able to use a name to refer to an individual even if we are unaware of any properties uniquely held by that individual. For example, many of us don’t know enough about the physicist Richard Feynman to be able to identify a property differentiating him from other prominent physicists such as Murray Gell-Mann, but we still seem to be able to refer to Feynman with the name “Feynman”. John Searle, Michael Dummett and others, however, have proposed ways of expanding or altering Frege’s notion of a sense to circumvent Kripke’s worries. This has led to a very important debate in the philosophy of language, which, unfortunately, we cannot fully discuss here.

5. References and Further Reading

a. Frege’s Own Works

  • “Antwort auf die Ferienplauderei des Herrn Thomae.” Jahresbericht der Deutschen Mathematiker-Vereinigung 15 (1906): 586-90. Translated as “Reply to Thomae’s Holiday Causerie.” In Collected Papers on Mathematics, Logic and Philosophy [CP], 341-5. Translated by M. Black, V. Dudman, P. Geach, H. Kaal, E.-H. W. Kluge, B. McGuinness and R. H. Stoothoff. New York: Basil Blackwell, 1984.
  • “Über Begriff und Gegenstand.” Vierteljahrsschrift für wissenschaftliche Philosophie 16 (1892): 192-205. Translated as “On Concept and Object.” In >CP 182-94. Also in The Frege Reader [FR], 181-93. Edited by Michael Beaney. Oxford: Blackwell, 1997. And In Translations from the Philosophical Writings of Gottlob Frege [TPW], 42-55. 3d ed. Edited by Peter Geach and Max Black. Oxford: Blackwell, 1980.
  • Begriffsschrift, eine der arithmetischen nachgebildete Formelsprache des reinen Denkens. Halle: L. Nebert, 1879. Translated as Begriffsschrift, a Formula Language, Modeled upon that of Arithmetic, for Pure Thought. In From Frege to Gödel, edited by Jean van Heijenoort. Cambridge, MA: Harvard University Press, 1967. Also as Conceptual Notation and Related Articles. Edited and translated by Terrell W. Bynum. London: Oxford University Press, 1972.
  • “Über die Begriffsschrift des Herrn Peano und meine eigene.” Verhandlungen der Königlich Sächsischen Gesellschaft der Wissenschaften zu Leipzig 48 (1897): 362-8. Translated as “On Mr. Peano’s Conceptual Notation and My Own.” In CP 234-48.
  • “Über formale Theorien der Arithmetik.” Sitzungsberichte der Jenaischen Gesellschaft für Medizin und Naturwissenschaft 19 (1885): 94-104. Translated as “On Formal Theories of Arithmetic.” In CP 112-21.
  • Funktion und Begriff. Jena: Hermann Pohle, 1891. Translated as “Function and Concept.” In CP 137-56, TPW 21-41 and FR 130-48.
  • “Der Gedanke.” Beträge zur Philosophie des deutschen Idealismus 1 (1918-9): 58-77. Translated as “Thoughts.” In CP 351-72. Also as part I of Logical Investigations [LI], edited by P. T. Geach. Oxford: Blackwell, 1977. And as “Thought.” In FR 325-45.
  • “Gedankengefüge.” Beträge zur Philosophie des deutschen Idealismus 3 (1923): 36-51. Translated as “Compound Thoughts.” In CP 390-406, and as part III of LI.
  • Über eine geometrische Darstellung der imaginären Gebilde in der Ebene. Ph. D. Dissertation: University of Göttingen, 1873. Translated as “On a Geometrical Representation of Imaginary Forms in the Plane.” In CP 1-55.
  • Grundgesetze der Arithmetik. 2 vols. Jena: Hermann Pohle, 1893-1903. Translated in part as The Basic Laws of Arithmetic: Exposition of the System. Edited and translated by Montgomery Furth. Berkeley: University of California Press, 1964.
  • “Über die Grundlagen der Geometrie.” Jahresbericht der Deutschen Mathematiker-Vereinigung 12 (1903): 319-24, 368-75, 15 (1906): 293-309, 377-403, 423-30. Translated as “On the Foundations of Geometry.” In CP 273-340. Also as On the Foundations of Geometry and Formal Theories of Arithmetic. Translated by Eike-Henner W. Kluge. New York: Yale University Press, 1971.
  • Die Grundlagen der Arithmetik, eine logisch mathematische Untersuchung über den Begriff der Zahl. Breslau: W. Koebner, 1884. Translated as The Foundations of Arithmetic: A Logico-Mathematical Enquiry into the Concept of Number. 2d ed. Translated by J. L. Austin. Oxford: Blackwell, 1953.
  • “Kritische Beleuchtung einiger Punkte in E. Schröders Vorlesungen über die Algebra der Logik.Archiv für systematsche Philosophie 1 (1895): 433-56. Translated as “A Critical Elucidation of Some Points in E. Schröder, Vorlesungen über die Algebra der Logik.” In CP 210-28, and TPW 86-106.
  • Nachgelassene Schriften. Hamburg: Felix Meiner, 1969. Translated as Posthumous Writings. Translated by Peter Long and Roger White. Chicago: University of Chicago Press, 1979.
  • “Le nombre entier.” Revue de Métaphysique et de Morale 3 (1895): 73-8. Translated as “Whole Numbers.” In CP 229-33.
  • Rechnungsmethoden, die auf eine Erweiterung des Grössenbegriffes gründen. Habilitationsschrift: University of Jena, 1874. Translated as “Methods of Calculation based on an Extension of the Concept of Quantity.” In CP 56-92.
  • Review of Zur Lehre vom Transfiniten, by Georg Cantor. Zeitschrift für Philosophie und philosophische Kritik 100 (1892): 269-72. Translated in CP 178-181.
  • Review of Philosophie der Arithmetik, by Edmund Husserl. Zeitschrift für Philosophie und philosophische Kritik 103 (1894): 313-32. Translated in CP 195-209.
  • “Über Sinn und Bedeutung.” Zeitschrift für Philosophie und philosophische Kritik 100 (1892): 25-50. Translated as “On Sense and Meaning.” In CP 157-77. As “On Sinn and Bedeutung.” In FR 151-71. And as “On Sense and Reference.” In TPW 56-78.
  • “Über das Trägheitsgesetz.” Zeitschrift für Philosophie und philosophische Kritik 98 (1891): 145-61. Translated as “On the Law of Inertia.” In CP 123-36.
  • “Die Unmöglichkeit der Thomaeschen formalen Arithmetik aus Neue nachgewiesen.” Jahresbericht der Deutschen Mathematiker-Vereinigung 17 (1908): 52-5. Translated as “Renewed Proof of the Impossibility of Mr. Thomae’s Formal Arithmetic.” In CP 346-50.
  • “Der Verneinung.” Beträge zur Philosophie des deutschen Idealismus 1 (1918-9): 143-57. Translated as “Negation.” In CP 373-89, part II of LI, and FR 346-61.
  • “Was ist ein Funktion?” In Festschrift Ludwig Boltzmann gewidmet zum sechzigsten Geburtstage, 656-66. Leipzig: Amrosius Barth, 1904. Translated as “What is a Function?” In CP 285-92, and TPW 285-92.
  • Wissenschaftlicher Briefwechsel. Hamburg: Felix Meiner, 1976. Translated as Philosophical and Mathematical Correspondence. Translated by Hans Kaal. Chicago: University of Chicago Press, 1980.
  • Über die Zahlen des Herrn H. Schubert. Jena: Hermann Pohle, 1899. Translated as “On Mr. H. Schubert’s Numbers.” In CP 249-72.

b. Important Secondary Works

  • Angelelli, Ignacio. Studies on Gottlob Frege and Traditional Philosophy. Dordrecht: D. Reidel, 1967.
  • Baker, G. P. and P. M. S. Hacker. Frege: Logical Excavations. New York: Oxford University Press, 1984.
  • Beaney, Michael. Frege: Making Sense. London: Duckworth, 1996.
  • Beaney, Michael. Introduction to The Frege Reader, by Gottlob Frege. Oxford: Blackwell, 1997.
  • Bell, David. Frege’s Theory of Judgment. New York: Oxford University Press, 1979.
  • Bynum, Terrell W. “On the Life and Work of Gottlob Frege. ” Introduction to Conceptual Notation and Related Articles, by Gottlob Frege. London: Oxford University Press, 1972.
  • Carl, Wolfgang. Frege’s Theory of Sense and Reference. Cambridge: Cambridge University Press, 1994.
  • Carnap, Rudolph. Meaning and Necessity. 2d ed. Chicago: University of Chicago Press, 1956.
  • Church, Alonzo. “A Formulation of the Logic of Sense and Denotation.” In Structure, Method and Meaning: Essays in Honor of Henry M. Sheffer, edited by P. Henle, H. Kallen and S. Langer, 3- 24. New York: Liberal Arts Press, 1951.
  • Currie, Gregory. Frege: An Introduction to His Philosophy. Totowa, NJ: Barnes and Noble, 1982.
  • Dummett, Michael. Frege: Philosophy of Language. 2d ed. Cambridge, MA: Harvard University Press, 1981.
  • Dummett, Michael. Frege: Philosophy of Mathematics. Cambridge, MA: Harvard University Press, 1991.
  • Dummett, Michael. Frege and Other Philosophers. Oxford: Oxford University Press, 1991.
  • Dummett, Michael. The Interpretation of Frege’s Philosophy. Cambridge, MA: Harvard University Press, 1981.
  • Geach, Peter T. “Frege.” In Three Philosophers, edited by G. E. M. Anscombe and P. T. Geach, 127-62. Oxford: Oxford University Press, 1961.
  • Gödel, Kurt. “On Formally Undecidable Propositions of Principia Mathematica and Related Systems I.” In From Frege to Gödel, edited by Jan van Heijenoort, 596-616. Cambridge, MA: Harvard University Press, 1967. Originally published as “Über formal unentscheidbare Sätze der Principia Mathematica und verwandter Systeme I.” Monatshefte für Mathematik und Physik 38 (1931): 173-98.
  • Grossmann, Reinhardt. Reflections on Frege’s Philosophy. Evanston: Northwestern University Press, 1969.
  • Haaparanta, Leila and Jaakko Hintikka, eds. Frege Synthesized. Boston: D. Reidel, 1986.
  • Kaplan, David. “Quantifying In.” Synthese 19 (1968): 178-214.
  • Klemke, E. D., ed. Essays on Frege. Urbana: University of Illinois Press, 1968.
  • Kluge, Eike-Henner W. The Metaphysics of Gottlob Frege. Boston: Martinus Nijhoff, Boston, 1980.
  • Kneale, William and Martha Kneale. The Development of Logic. London: Oxford University Press, 1962.
  • Kripke, Saul. Naming and Necessity. Cambridge, MA: Harvard University Press, 1980. First published in Semantics of Natural Languages. Edited by Donald Davidson and Gilbert Harman. Dordrecht: D. Reidel, 1972.
  • Linsky, Leonard. Oblique Contexts. Chicago: University of Chicago Press, 1983.
  • Resnik, Michael D. Frege and the Philosophy of Mathematics. Ithaca: Cornell University Press, 1980.
  • Ricketts, Thomas G., ed. The Cambridge Companion to Frege. Cambridge: Cambridge University Press, forthcoming.
  • Russell, Bertrand. “The Logical and Arithmetical Doctrines of Frege.” In The Principles of Mathematics, Appendix A. 1903. 2d. ed. Reprint, New York: W. W. Norton & Company, 1996.
  • Russell, Bertrand. “On Denoting.” Mind 14 (1905): 479-93.
  • Salmon, Nathan. Frege’s Puzzle. Cambridge: MIT Press, 1986.
  • Schirn. Matthias, ed. Logik und Mathematik: Frege Kolloquium 1993. Hawthorne: de Gruyter, 1995.
  • Schirn. Matthias, ed. Studien zu Frege. 3 vols. Stuttgart-Bad Cannstatt: Verlag-Holzboog, 1976.
  • Searle, John R. Intentionality: An Essay in the Philosophy of Mind. Cambridge: Cambridge University Press, 1983.
  • Sluga, Hans. “Frege and the Rise of Analytic Philosophy.” Inquiry 18 (1975): 471-87.
  • Sluga, Hans. Gottlob Frege. Boston: Routledge & Kegan Paul, 1980.
  • Sluga, Hans. The Philosophy of Frege. 4 vols. New York: Garland Publishing, 1993.
  • Sternfeld, Robert. Frege’s Logical Theory. Carbondale: Southern Illinois University Press, 1966.
  • Thiel, Christian. Sense and Reference in Frege’s Logic. Translated by T. J. Blakeley. Dordrecht: D. Reidel, 1968.
  • Tichý, Pavel. The Foundations of Frege’s Logic. New York: Walter de Gruyter, 1988.
  • Walker, Jeremy D. B. A Study of Frege. London: Oxford University Press, 1965.
  • Weiner, Joan. Frege in Perspective. Ithaca: Cornell University Press, 1990.
  • Wright, Crispin. Frege’s Conception of Numbers as Objects. Aberdeen: Aberdeen University Press, 1983.
  • Wright, Crispin. Frege: Tradition and Influence. Oxford: Blackwell, 1984.

Author Information

Kevin C. Klement
Email: klement@philos.umass.edu
University of Massachusetts, Amherst
U. S. A.

Michel Foucault: Feminism

Michel FoucaultPoststructuralism and contemporary feminism have emerged as two of the most influential political and cultural movements of the late twentieth century. The recent alliance between them has been marked by an especially lively engagement with the work of French philosopher Michel Foucault. Although Foucault makes few references to women or to the issue of gender in his writings, his treatment of the relations between power, the body and sexuality has stimulated extensive feminist interest. Foucault’s idea that the body and sexuality are cultural constructs rather than natural phenomena has made a significant contribution to the feminist critique of essentialism. While feminists have found Foucault’s analysis of the relations between power and the body illuminating, they have also drawn attention to its limitations. From the perspective of a feminist politics that aims to promote women’s autonomy, the tendency of a Foucauldian account of power to reduce social agents to docile bodies seems problematic. Although many feminist theorists remain critical of Foucault’s questioning of the categories of the subject and agency on the grounds that such questioning undermines the emancipatory aims of feminism, others have argued that in his late work he develops a more robust account of subjectivity and resistance which, while not without its problems from a feminist perspective, nevertheless has a lot to offer a feminist politics. The affinities and tensions between Foucault’s thought and contemporary feminism are discussed below.

Table of Contents

  1. Background: Foucault’s Genealogy of Power, Knowledge and the Subject
  2. Between Foucault and Feminism: Convergence and Critique
  3. Power, the Body and Sexuality
  4. Subjectivity, Identity and Resistance
  5. Freedom, Power and Politics
  6. References and Further Reading

1. Background: Foucault’s Genealogy of Power, Knowledge and the Subject

In the works of his middle years – Discipline and Punish and The History of Sexuality, Vol. 1 – Foucault traces the emergence of some of the practices, concepts, forms of knowledge, social institutions and techniques of government which have contributed to shaping modern European culture. He calls the method of historical analysis he employs ‘genealogical’. Genealogy is a form of critical history in the sense that it attempts a diagnosis of ‘the present time, and of what we are, in this very moment’ in order ‘to question … what is postulated as self-evident … to dissipate what is familiar and accepted’ (Foucault 1988a: 265). What distinguishes genealogical analysis from traditional historiography is that it is ‘a form of history which can account for the constitution of knowledges, discourses, domains of objects etc. without having to make reference to a subject which is either transcendental in relation to the field of events or runs in its empty sameness throughout history’ (Foucault 1980: 149). Rather than assuming that the movement of history can be explained by the intentions and aims of individual actors, genealogy investigates the complex and shifting network of relations between power, knowledge and the body which produce historically specific forms of subjectivity. Foucault links his genealogical studies to a modality of social critique which he describes as a ‘critical ontology of the present’. In a late paper, he explains that an ontology of the present involves ‘an analysis of the historical limits that are imposed on us’ in order to create the space for ‘an experiment with the possibility of going beyond them’ (Foucault 1984: 50). Thus, genealogy is a form of social critique that seeks to determine possibilities for social change and ethical transformation of ourselves.

One of the central threads of Foucault’s genealogy of the present is an analysis of the transformations in the nature and functioning of power which mark the transition to modern society. Foucault’s genealogy of modern power challenges the commonly held assumption that power is an essentially negative, repressive force that operates purely through the mechanisms of law, taboo and censorship. According to Foucault, this ‘juridico-discursive’ conception of power (Foucault 1978: 82) has its origins in the practices of power characteristic of pre-modern societies. In such societies, he claims, power was centralized and coordinated by a sovereign authority who exercised absolute control over the population through the threat or open display of violence. From the seventeenth century onwards, however, as the growth and care of populations increasingly became the primary concerns of the state, new mechanisms of power emerged which centered around the administration and management of ‘life’. In the complex story that Foucault tells, this new form of ‘bio-power’ coalesced around two poles. One pole is concerned with the efficient government of the population as a whole and focuses on the management of the life processes of the social body. It involves the regulation of phenomena such as birth, death, sickness, disease, health, sexual relations and so on. The other pole, which Foucault labels ‘disciplinary power’, targets the human body as an object to be manipulated and trained. In Discipline and Punish Foucault studies the practices of discipline and training associated with disciplinary power. He suggests that these practices were first cultivated in isolated institutional settings such as prisons, military establishments, hospitals, factories and schools but were gradually applied more broadly as techniques of social regulation and control. The key feature of disciplinary power is that it is exercised directly on the body. Disciplinary practices subject bodily activities to a process of constant surveillance and examination that enables a continuous and pervasive control of individual conduct. The aim of these practices is to simultaneously optimize the body’s capacities, skills and productivity and to foster its usefulness and docility: ‘What was then being formed was a policy of coercions that act on the body, a calculated manipulation of its elements, its gestures, its behavior. The human body was entering a machinery of power that explores it, breaks it down and rearranges it…Thus, discipline produces subjected and practiced bodies, “docile” bodies’ (Foucault 1977: 138-9). It is not, however, only the body that disciplinary techniques target. Foucault presents disciplinary power as productive of certain types of subject as well. In Discipline and Punish he describes the way in which the central technique of disciplinary power – constant surveillance – which is initially directed toward disciplining the body, takes hold of the mind as well to induce a psychological state of ‘conscious and permanent visibility’ (Foucault 1977: 201). In other words, perpetual surveillance is internalized by individuals to produce the kind of self-awareness that defines the modern subject. With the idea that modern power operates to produce the phenomena it targets Foucault challenges the juridical notion of power as law which assumes that power is simply the constraint or repression of something that is already constituted. On Foucault’s account the transition to modernity entails the replacement of the law by the norm as the primary instrument of social control. Foucault links the importance assumed by norms in modern society to the development of the human or social sciences. In the first volume of The History of Sexuality he describes how, in the eighteenth and nineteenth centuries, sex and sexuality became crucial political issues in a society concerned with managing and directing the life of individuals and of populations. On Foucault’s account, the spread of bio-power is intimately connected to the social science discourses on sex and sexuality which proliferated during this period. These discourses, he claims, tended to understand sex as an instinctual biological and psychic drive with deep links to identity and, thus, with potentially far-reaching effects on the sexual and social behavior of individuals. The idea that the sexual drive could function in a normal, healthy manner or could be warped and perverted into pathological forms led to a project of classification of behavior along a scale of normalization and pathologization of the sexual instinct (Dreyfus & Rabinow 1982: 173). Once the social (and sexual) science categories of normalcy and deviancy were established, various political technologies aimed at treating and reforming ‘deviant’ behavior could be sanctioned as in the interests of both the individual and society. Thus, Foucault suggests that in modern society the behavior of individuals and groups is increasingly pervasively controlled through standards of normality which are disseminated by a range of assessing, diagnostic, prognostic and normative knowledges such as criminology, medicine, psychology and psychiatry. Modern individuals, moreover, become the agents of their own ‘normalization’ to the extent that they are subjected to, and become invested in, the categories, classifications and norms propagated by scientific and administrative discourses which purport to reveal the ‘truth’ of their identities. Modern disciplinary society can, therefore, dispense with direct forms of repression and constraint because social control is achieved by means of subtler strategies of normalization, strategies which produce self-regulating, ‘normalized’ individuals. It is Foucault’s insight into the productivity of the practices and technologies characteristic of normalizing bio-power that underpins his general conclusion that power in modern societies is a fundamentally creative rather than repressive force (Foucault 1977: 194). Above all, Foucault claims that modern regimes of power operate to produce us as subjects who are both the objects and vehicles of power. He explains that: ‘The individual is not to be conceived as a sort of elementary nucleus, a primitive atom, a multiple and inert material on which power comes to fasten or against which it happens to strike, and in so doing subdues or crushes individuals. In fact, it is already one of the prime effects of power that certain bodies, certain gestures, certain discourses, certain desires, come to be identified and constituted as individuals. The individual, that is, is not the vis-à-vis of power; it is … one of its prime effects.’ (Foucault 1980: 98). Foucault’s analysis of productive bio-power points to a complex interaction between modern forms of power and knowledge: ‘the exercise of power perpetually creates knowledge and, conversely, knowledge constantly induces effects of power’ (Foucault 1980: 52). For Foucault, power can be said to create knowledge in two related senses. Firstly, in the sense that particular institutions of power make certain forms of knowledge historically possible. In the case of the social sciences, for example, it is the refinement of disciplinary techniques for observing and analyzing the body in various institutional settings that facilitates the expansion of new areas of social research. Power can also be said to create knowledge in the sense that institutions of power determine the conditions under which scientific statements come to be counted as true or false (Hacking 1986). According to Foucault, then, ‘truth is a thing of this world: it is produced only by virtue of multiple forms of constraint. And it induces regular effects of power’ (Foucault 1980: 131). This description suggests that the production of ‘truth’ is never entirely separable from technologies of power. On the other hand, Foucault maintains that knowledge induces effects of power in so far as it constitutes new objects of inquiry – ‘objects’ like ‘the delinquent’, ‘the homosexual’ or ‘the criminal type’ – which then become available for manipulation and control (Rouse 1994: 97). For example, he claims that it is the knowledge generated by the human sciences which enables modern power to circulate through finer channels, ‘gaining access to individuals themselves, to their bodies, their gestures, and all their daily actions’ (Foucault 1980: 151). It is in order to signal the mutually conditioning operations of power and knowledge that Foucault speaks of regimes of ‘power/knowledge’ or ‘discourses’; that is, structured ways of knowing and exercising power.

2. Between Foucault and Feminism: Convergence and Critique

From the perspective of contemporary social and political theory, the originality of Foucault’s genealogies of power/knowledge resides in the challenge they pose to traditional ways of thinking about power. It is this challenge that has made Foucault’s work both a significant resource for feminist theory and generated heated debate amongst feminist social and political theorists. While there is broad agreement that Foucault’s redefinition of how we think about power in contemporary societies contains important insights for feminism, feminists remain divided over the implications of this redefinition for feminist theory and practice.

An analysis of power relations is central to the feminist project of understanding the nature and causes of women’s subordination. Drawing on the traditional model of power as repression, many types of feminist theory have assumed that the oppression of women can be explained by patriarchal social structures which secure the power of men over women. Increasingly, however, this assumption is being called into question by other feminists who are concerned to counter what they regard as the oversimplified conception of power relations this view entails, as well as its problematic implication that women are simply the passive, powerless victims of male power. In the context of this debate, Foucault’s work on power has been used by some feminists to develop a more complex analysis of the relations between gender and power which avoids the assumption that the oppression of women is caused in any simple way by men’s possession of power. On the basis of Foucault’s understanding of power as exercised rather than possessed, as circulating throughout the social body rather than emanating from the top down, and as productive rather than repressive (Sawicki 1988: 164), feminists have sought to challenge accounts of gender relations which emphasize domination and victimization so as to move towards a more textured understanding of the role of power in women’s lives. Foucault’s redefinition of power has made a significant and varied contribution to this project. Foucault’s notion that power is constitutive of that upon which it acts has enabled feminists to explore the often complicated ways in which women’s experiences, self-understandings, comportment and capacities are constructed in and by the power relations which they are seeking to transform. The idea that modern power is involved in producing rather than simply repressing individuals has also played a part in a controversial move within feminism away from traditional liberationist political orientations. Eschewing a liberationist political program which aims for total emancipation from power, Foucauldian-influenced feminism concentrates on exposing the localized forms that gender power relations take at the micro-political level in order to determine concrete possibilities for resistance and social change. In pursuing this project, feminist scholars have drawn on Foucault’s analysis of the productive dimension of disciplinary power which is exercised outside of the narrowly defined political realm in order to examine the workings of power in women’s everyday lives. Some feminists have also found Foucault’s contention that the body is the principal site of power in modern society useful in their explorations of the social control of women through their bodies and sexuality. Finally, feminists have taken up Foucault’s analytic of power/knowledge, with its emphasis on the criteria by which claims to knowledge are legitimated, in order to develop a theory which avoids generalizing from the experiences of Western, white, heterosexual, middle-class feminisms. Drawing on Foucault’s questioning of fixed essences and his relativist notion of truth, feminists have sought to create a theoretical space for the articulation of hitherto marginalized subject positions, political perspectives and interests. While there is considerable overlap between Foucault’s analytic of power/knowledge and feminist concerns, his work has also been subject to strong criticism by feminists. This more critical body of work takes issue with precisely those aspects of Foucault’s conception of power that Foucauldian feminists have found useful. The most commonly cited feminist objections center around two issues: his view of subjectivity as constructed by power and his failure to outline the norms which inform his critical enterprise. Nancy Fraser argues that the problem with Foucault’s claim that forms of subjectivity are constituted by relations of power is that it leaves no room for resistance to power. If individuals are simply the effects of power, mere ‘docile bodies’ shaped by power, then it becomes difficult to explain who resists power. Thus, Fraser finds Foucault’s assertion that power always generates resistance incoherent. She argues, moreover, that Foucault’s refusal to articulate independently justified norms which would enable him to distinguish acceptable from unacceptable forms of power means that he cannot answer crucial questions about why domination ought to be resisted. According to Fraser, ‘only with the introduction of normative notions could he begin to tell us what is wrong with the modern power/knowledge regime and why we ought to oppose it’ (Fraser 1989: 29). In Fraser’s view, Foucault’s normatively neutral stance on power limits the value of his work for feminism because it fails to provide the normative resources required to criticize structures of domination and to guide programs for social change. Echoing and extending Fraser’s criticisms, Nancy Hartsock contends that Foucault’s questioning of the categories of subjectivity and agency should be treated with suspicion by feminists. She asks: ‘Why is it that just at the moment when so many of us who have been silenced begin to demand the right to name ourselves, to act as subjects rather than objects of history, that just then the concept of subjecthood becomes problematic?’ (Hartsock 1990: 164). Like Fraser, Hartsock finds Foucault’s conception of modern power problematic in so far as it reduces individuals to ‘docile bodies’ rather than subjects with the capacity to resist power. She claims that Foucault’s understanding of the subject as an effect of power threatens the viability of a feminist politics because it denies the liberatory subject and, thus, condemns women to perpetual oppression. Hartsock argues, moreover, that Foucault’s rejection of the Enlightenment belief that truth is intrinsically opposed to power (and, therefore, inevitably plays a liberating role) undermines the emancipatory political aims of feminism. By insisting on the mutually conditioning operations of knowledge and power, Hartsock contends that Foucault denies the possibility of liberatory knowledge; that is, he denies the possibility that increased and better knowledge of patriarchal power can lead to liberation from oppression. For this reason she believes that his work is incompatible with the fundamentally emancipatory political orientation of feminism. These criticisms of Foucault are directed at the conception of the subject and power developed in his middle years. Some feminists have argued, however, that in his late work Foucault modifies his theoretical perspective in ways that make it more useful to the project of articulating a coherent feminist ethics and politics. Feminist responses to Foucault’s late work are discussed in the final section.

3. Power, the Body and Sexuality

There are a number of aspects of Foucault’s analysis of the relations between power, the body and sexuality that have stimulated feminist interest. Firstly, Foucault’s analyses of the productive dimensions of disciplinary powers which is exercised outside the narrowly defined political domain overlap with the feminist project of exploring the micropolitics of personal life and exposing the mechanics of patriarchal power at the most intimate levels of women’s experience. Secondly, Foucault’s treatment of power and its relation to the body and sexuality has provided feminist social and political theorists with some useful conceptual tools for the analysis of the social construction of gender and sexuality and contributed to the critique of essentialism within feminism. Finally, Foucault’s identification of the body as the principal target of power has been used by feminists to analyze contemporary forms of social control over women’s bodies and minds.

Rather than focusing on the centralized sources of societal power in agencies such as the economy or the state, Foucault’s analysis of power emphasizes micro level power relations. Foucault argues that, since modern power operates in a capillary fashion throughout the social body, it is best grasped in its concrete and local effects and in the everyday practices which sustain and reproduce power relations. This emphasis on the everyday practices through which power relations are reproduced has converged with the feminist project of analyzing the politics of personal relations and altering gendered power relations at the most intimate levels of experience ‘in the institutions of marriage, motherhood and compulsory heterosexuality, in the ‘private’ relations between the sexes and in the everyday rituals and regimens that govern women’s relationships to themselves and their bodies (Sawicki 1998: 93). Nancy Fraser notes that Foucault’s work gives renewed impetus to what is often referred to as ‘the politics of everyday life’ in so far as it provides ‘the empirical and conceptual basis for treating phenomena such as sexuality, the school, psychiatry, medicine and social science as political phenomena.’ She argues that because Foucault’s approach to the analysis of power sanctions the treatment of problems in these areas as political problems it ‘widens the arena within which people may collectively confront, understand and try to change the character of their lives’ (Fraser 1989: 26). One of Foucault’s most fertile insight into the workings of power at the micro-political level is his identification of the body and sexuality as the direct locus of social control. Foucault insists on the historical specificity of the body. It is this emphasis on the body as directly targeted and formed by historically variable regimes of bio-power that has made Foucault’s version of poststructuralist theory the most attractive to feminist social and political theorists. The problem of how to conceive of the body without reducing its materiality to a fixed biological essence has been one of the key issues for feminist theory. At a fundamental level, a notion of the body is central to the feminist analysis of the oppression of women because biological differences between the sexes are the foundation that has served to ground and legitimize gender inequality. By means of an appeal to ahistorical biological characteristics, the idea that women are inferior to men is naturalized and legitimized. This involves two related conceptual moves. Firstly, women’s bodies are judged inferior with reference to norms and ideals based on men’s physical capacities and, secondly, biological functions are collapsed into social characteristics. While traditionally men have been thought to be capable of transcending the level of the biological through the use of their rational faculties, women have tended to be defined entirely it terms of their physical capacities for reproduction and motherhood. In an effort to avoid this conflation of the social category of woman with biological functions (essentialism), earlier forms of feminism developed a theory of social construction based on the distinction between sex and gender. The sex/gender distinction represents an attempt by feminists to sever the connection between the biological category of sex and the social category of gender. According to this view of social construction, gender is the cultural meaning that comes to be contingently attached to the sexed body. Once gender is understood as culturally constructed it is possible to avoid the essentialist idea that gender derives from the natural body in any one way. However, while the distinction between ahistorical biological sexes and culturally constructed gender roles challenges the notion that a woman’s biological makeup is her social destiny, it entails a problematic dissociation of culturally constructed genders from sexed bodies. The effect of this dissociation is that the sexed body comes to be seen as irrelevant to an individual’s gendered cultural identity. It is this disconcerting consequence of drawing a distinction between sex and gender that has led some feminists to appropriate Foucault’s theory of the body and sexuality. In the first volume of The History of Sexuality, Foucault develops an anti-essentialist account of the sexual body, which, however, doesn’t deny its materiality. At the heart of Foucault’s history of sexuality is an analysis of the production of the category of sex and its function in regimes of power aimed at controlling the sexual body. Foucault argues that the construct of a supposedly ‘natural’ sex functions to disguise the productive operation of power in relation to sexuality: ‘The notion of sex brought about a fundamental reversal; it made it possible to invert the representation of the relationships of power to sexuality, causing the latter to appear, not in its essential and positive relation to power, but as being rooted in a specific and irreducible urgency which power tries as best it can to dominate’ (Foucault 1978: 155). Foucault’s claim here is that the relationship between power and sexuality is misrepresented when sexuality is viewed as an unruly natural force that power simply opposes, represses or constrains. Rather, the phenomenon of sexuality should be understood as constructed through the exercise of power relations. Drawing on Foucault’s account of the historical construction of sexuality and the part played by the category of sex in this construction, feminists have been able to rethink gender, not as the cultural meanings that are attached to a pregiven sex, but, in Judith Butler’s formulation, ‘as the … cultural means by which “sexed nature” or “a natural sex” is produced and established as…prior to culture’ (Butler 1990: 7). Following Foucault, Butler argues that the notion of a ‘natural’ sex that is prior to culture and socialization is implicated in the production and maintenance of gendered power relations because it naturalizes the regulatory idea of a supposedly natural heterosexuality and, thus, reinforces the reproductive constraints on sexuality. In addition to his anti-essentialist view of the body and sexuality, Foucault insists on the corporeal reality of bodies. He argues that this rich and complex reality is oversimplified by the biological category of sex which groups together in an ‘artificial unity’ a range of disparate and unrelated biological functions and bodily pleasures. Thus, in The History of Sexuality, Foucault explains that: ‘The purpose of the present study is in fact to show how deployments of power are directly connected to the body – to bodies, functions, physiological processes, sensations, and pleasures; far from the body having to be effaced, what is needed is to make it visible through an analysis in which the biological and the historical are not consecutive to one another … but are bound together in an increasingly complex fashion in accordance with the development of the modern technologies of power that take life as their objective. Hence I do not envisage a “history of mentalities” that would take account of bodies only through the manner in which they have been perceived and given meaning and value; but a “history of bodies” and the manner in which what is most material and most vital in them has been invested’ (Foucault 1978: 151-2). Because Foucault’s anti-essentialist account of the body is nevertheless attentive to the materiality of bodies it has been attractive to feminists concerned to expose the processes through which the female body is transformed into a feminine body. Thus, in claiming that the body is directly targeted and ‘produced’ by power and, thus, unknowable outside of its cultural significations, Foucault breaks down the distinction between a natural sex and a culturally constructed gender. Elizabeth Grosz argues that, unlike some other versions of poststructuralist theory which analyze the representation of bodies without due regard for their materiality, Foucault’s insistence on the corporeal reality of the body which is directly molded by social and historical forces avoids the traditional gendered opposition between the body and culture. For this reason, she believes that, while Foucault fails to consider the issue of sexual difference, his thought may contribute to the feminist project of exploring the relation between social power and the production of sexually differentiated bodies (Grosz 1994). Not all feminists, however, are comfortable with Foucault’s anti-naturalistic rhetoric. Kate Soper argues that by jettisoning the idea of a natural body, Foucault’s anti-essentialism might ‘lend itself to the forces of reaction in so far as it offers itself as a pre-emptive warning against any politics which aims at the removal of the constraining and distorting effects of cultural stereotyping’ (Soper 1993: 33). Here Soper articulates a common feminist concern about the potentially conservative political consequences of Foucault’s version of social constructivism. By contrast, Lois McNay argues that although Foucault’s model of the relation between the body and power precludes the view that the body and sexuality might be liberated from power, it leaves room for the possibility that existing forms of sexuality and gendered power relations might be transformed. According to McNay, Foucault’s history of sexuality ‘exposes the contingent and socially determined nature of sexuality and, thereby, frees the body from the regulatory fiction of heterosexuality and opens up new realms in which bodily pleasures can be explored’ (McNay 1992: 30). In another fruitful engagement with Foucault’s work on the body and power, feminist scholars have embraced the notion of normalizing-disciplinary power for its potential to shed light on the social control of women in a contemporary context. For example, Sandra Bartky’s appropriation of Foucault takes the form of a detailed examination of the subjection of the female body to disciplinary practices such as dieting, exercise and beauty regimens that produce a form of embodiment which conforms to prevailing norms of feminine beauty and attractiveness. On her account these disciplinary practices subjugate women, not by taking power away from them, but by generating skills and competencies that depend on the maintenance of a stereotypical form of feminine identity. Bartky suggests that women’s seemingly willing acceptance of the various norms and practices that promote their larger disempowerment is due to the fact that challenging ‘the patriarchal construction of the female body… may call into question that aspect of personal identity that is tied to the development of a sense of competence’ (Bartky 1988: 77; Sawicki 1994: 293). In a similar vein, Susan Bordo brings Foucauldian insights to bear in her analysis of predominantly female eating disorders such as anorexia nervosa and bulimia (Bordo 1988). Following Foucault, she argues that these disorders might be understood as disciplinary technologies of the body. The anorexic woman takes to an extreme the practices to which women subject themselves in their efforts to conform to cultural norms of an ideal feminine form. In the figure of the anorexic Bordo sees an association of power and self-control with the achievement of a potentially fatal slenderness. For Bordo, this association is a stark illustration of the way in which disciplinary power is linked to the social control of women. Disciplinary technologies are particularly effective forms of social control because they take hold of individuals at the level of their bodies, gestures, desires and habits to create individuals who are attached to and, thus, the unwitting agents of their own subjection. In other words, disciplinary power fashions individuals who ‘voluntarily’ subject themselves to self-surveillance and self-normalization. Thus, like Bartky, Bordo finds Foucault’s work useful to explain women’s collusion with patriarchal standards of femininity.

4. Subjectivity, Identity and Resistance

Although the use that Bartky and Bordo make of Foucault’s insights into the operation of normalizing disciplinary power is a corrective to his failure to recognize the gendered nature of disciplinary techniques, some feminists have argued that their work reproduces a problematic dimension of Foucault’s account of modern disciplinary power. Jana Sawicki explains that the problem faced by this kind of feminist appropriation of Foucault is its inability to account for effective resistance to disciplinary practices. Like Foucault, Bartky and Bordo envisage modern disciplinary power as ubiquitous and inescapable. Foucauldian power reduces individuals to docile and subjected bodies and thus seems to deny the possibility of freedom and resistance. According to Sawicki, ‘Bartky and Bordo have portrayed forms of patriarchal power that insinuate themselves within subjects so profoundly that it is difficult to imagine how they (we) might escape. They describe our complicity in patriarchal practices of victimization without providing suggestions about how we might resist it’ (Sawicki 1988: 293).

Feminist critics of Foucault like Nancy Hartsock argue that his failure to develop an adequate notion of resistance is a consequence of his reduction of individuals to effects of power relations. Hartsock echoes a widespread feminist concern that Foucault’s understanding of power reduces individuals to docile bodies, to victims of disciplinary technologies or objects of power rather than subjects with the capacity to resist (Hartsock 1990: 171-2). The problem for Hartsock and others is that without the assumption of a subject or individual that pre-exists its construction by technologies of power, it becomes difficult to explain who resists power? If there are no ready-made individuals with interests that are defined prior to their construction by power, then what is the source of our resistance? Some feminists have responded to these concerns by claiming that, although Foucault rejects the idea that resistance can be grounded in a subject or self who pre-exists its construction by power, he does not deny the possibility of resistance to power. In his later work Foucault explains that his theory of power implies both the possibility and existence of forms of resistance. According to Foucault: ‘there are no relations of power without resistances; the latter are all the more real and effective because they are formed right at the point where relations of power are exercised’ (Foucault 1980: 142). Foucauldian resistance neither predates the power it opposes nor issues from a site external to power. Rather it relies upon and grows out of the situation against which it struggles. Foucault’s understanding of resistance as internal to power refuses the utopian dream of achieving total emancipation from power. In the place of total liberation Foucault envisages more specific, local struggles against forms of subjection aimed at loosening the constraints on possibilities for action. He suggests that a key struggle in the present is against the tendency of normalizing-disciplinary power to tie individuals to their identities in constraining ways. It is, Foucault contends, because disciplinary practices limit the possibilities of what we can be by fixing our identities that the object of resistance must be ‘to refuse what we are’ – that is, to fracture the limitations imposed on us by normalizing identity categories. Foucault’s notion of resistance as consisting, at least in the first instance, in a refusal of fixed, stable or naturalized identity has been met with some suspicion by feminists. Many feminists are reluctant to abandon a commitment ‘to some essential, liberatory subject rooted in “women’s experience” (or nature), as the starting point for emancipatory theory’ (Sawicki 1994: 289). For Hartsock, Foucault’s perspective functions to preclude the possibility of feminist politics which, she claims, is necessarily an identity-based politics grounded in a conception of the identity, needs and interests of women. Some of the most exciting feminist appropriations of Foucault converge around this issue of identity and its role in politics. Judith Butler argues that Foucault’s work provides feminists with the resources to think beyond the strictures of identity politics. According to Butler, feminists should be wary of the idea that politics needs to be based on a fixed idea of women’s nature and interests. She argues that: ‘The premature insistence on a stable subject of feminism, understood as a seamless category of women, inevitably generates multiple refusals to accept the category. These domains of exclusion reveal the coercive and regulatory consequences of that construction, even when the construction has been elaborated for emancipatory purposes. Indeed, the fragmentation within feminism and the paradoxical opposition to feminism from “women” whom feminism claims to represent suggest the necessary limits of identity politics’ (Butler 1990: 4). Butler discerns at least two problems in the attempt to ground politics in an essential, naturalized female identity. She argues that the assertion of the category ‘woman’ as the ground for political action excludes, marginalizes and inevitably misrepresents those who do not recognize themselves within the terms of that identity. For Butler the appeal to identity both overlooks the differences in power and resources between, for example, third world and Western women, and tends to make these differences a source of conflict rather than a source of strength. She claims, moreover, that a feminist identity politics that appeals to a fixed ‘feminist subject,’ ‘presumes, fixes and constrains the very ‘subjects’ that it hopes to represent and liberate’ (Butler 1990: 148). In Foucault’s presentation of identity as an effect Butler sees new possibilities for feminist political practice, possibilities that are precluded by positions that take identity to be fixed or foundational. One of the distinct advantages of Foucault’s understanding of the constituted character of identity is, in Butler’s view, that it enables feminism to politicize the processes through which stereotypical forms of masculine and feminine identity are produced. Butler’s own work represents an attempt to explore these processes for the purposes of loosening the heterosexual restrictions on identity formation. In pursuing this project she argues that Foucault’s characterization of identity as constructed does not mean that it is completely determined or artificial and arbitrary. Rather, a Foucauldian approach to identity production demonstrates the role played by cultural norms in regulating how we embody or perform our gender identities. According to Butler, gender identity is simply ‘a set of repeated acts within a highly rigid regulatory frame that congeal over time to produce the appearance of substance, of a natural sort of being’ (Butler 1990: 33). The regulatory power of the norms that govern our performances of gender is both disguised and strengthened by the assumption that gendered identities are natural and essential. Thus, for Butler, one of the most important feminist aims should be to challenge dominant gender norms by exposing the contingent acts that produce the appearance of an underlying ‘natural’ gender identity. Against the claim that feminist politics is necessarily an identity politics, Butler suggests that: ‘If identities were no longer fixed as the premises of a political syllogism, and politics no longer understood as a set of practices derived from the alleged interests that belong to a set of ready-made subjects, a new configuration of politics would surely emerge from the ruins of the old’ (Butler 1990: 149). Butler envisages this new configuration of politics as an anti-foundational coalition politics that would accept the need to act within the tensions produced by contradiction, fragmentation and diversity. While Butler’s political vision emphasises strategies for resisting and subverting identity, Wendy Brown argues that contemporary feminism should be wary of both identity politics and the ‘politics of resistance’ associated with the work of Foucault and Butler. Brown argues that identity politics entails a commitment to the authenticity of women’s experiences which functions to secure political authority. At the same time, however, most feminists wish to acknowledge that feminine identity and experience are constructed under patriarchal conditions. Brown suggests that this inconsistency in feminist political thought – acknowledging social construction on the one hand and attempting to preserve a realm of authentic experience free from construction on the other – might be explained by the fact that feminists are reluctant to give up the claim to moral authority that the appeal to the truth and innocence of woman’s experience secures. By appealing to the silenced truth of women’s experience, feminists have been able to condemn the repressive effects of patriarchal power. For Brown the attempt to establish moral authority by asserting the hidden truth of women’s experience and identity represents a rejection of politics. She argues that this kind of move in feminism: ‘… betrays a preference for extrapolitical terms and practices: for Truth (unchanging and incontestable) over politics (flux, contest, instability); for certainty and security (safety; immutability, privacy) over freedom (vulnerability, publicity); for discoveries (science) over decisions (judgments); for separable subjects armed with established rights over unwieldy and shifting pluralities adjudicating for themselves and their future on the basis of nothing more than their own habits and arguments’ (Brown 1995: 37). Brown finds a similar failure to meet the challenges confronting contemporary politics in the ‘politics of resistance’ inspired by Foucault. As she sees it, the problem with resistance-as-politics is that it does not ‘contain a critique, a vision, or grounds for organized collective efforts to enact either… [resistance] goes nowhere in particular, has no inherent attachments and hails no particular vision’ (Brown 1995: 49). In light of these inadequacies, Brown calls for the politics of resistance to be supplemented by a political practices aimed at cultivating ‘political spaces for posing and questioning political norms [and] for discussing the nature of “the good” for women’ (Brown 1995: 49). The creation of such democratic spaces for discussion will, Brown argues, contribute to teaching us how to have public conversations with each other and enable us to argue from our diverse perspectives about a vision of the common good (“what I want for us”) rather than from some assumed common identity (“who I am”).

5. Freedom, Power and Politics

The key problems identified by feminist critics as preventing too close a convergence between Foucault’s work and feminism – his reduction of social agents to docile bodies and the lack of normative guidance in his model of power and resistance – are indirectly addressed by Foucault in his late work on ethics. Whereas in his earlier genealogies Foucault emphasized the processes through which individuals were subjected to power, in his later writings he turned his attention to practices of self-constitution or ‘practices of freedom’ which he called ethics.

The idea of practicing freedom is central to Foucault’s exploration and analysis of the ethical practices of Antiquity. It refers to the ways in which individuals in Antiquity were led to exercise power over themselves in the attempt to constitute or transform their identity and behavior in the light of specific goals. What interests Foucault about these ethical practices and ancient ‘arts of existence’ is the kind of freedom they presuppose. He suggests that the freedom entailed in practicing the art of self-fashioning consists neither in resisting power nor in seeking to liberate the self from regulation. Rather, it entails the active and conscious arrogation of the power of regulation by individuals for the purposes of ethical and aesthetic self-transformation. In her reflections on Foucault’s positive account of freedom, Sawicki notes that it offers a more affirmative alternative to his earlier emphasis on the reactive strategy of resistance to normalization (Sawicki 1998: 104). For the late Foucault, individuals are still understood to be shaped by their embeddedness in power relations, which means that their capacities for freedom and autonomous action are necessarily limited. However, he suggests that by actively deploying the techniques and models of self-formation that are ‘proposed, suggested, imposed’ upon them by society (Foucault 1988b: 291), individuals may creatively transform themselves and in the process supplant the normalization operating in pernicious modern technologies of the self (Sawicki 1998: 105). Sawicki sees a link between Foucault’s notion of practices of freedom and Donna Haraway’s call for a cyborg politics that emphasizes the conscious creation of marginalized subjects capable of resisting domination. In a more critical vein, feminists like Jean Grimshaw and McNay argue that Foucault’s promising turn to a more active model of subjectivity still leaves crucial issues unresolved. In Grimshaws formulation, Foucault evades the vital question of ‘when forms of self-discipline or self-surveillance can … be seen as exercises of autonomy or self-creation, or when they should be seen, rather, as forms of discipline to which the self is subjected, and by which autonomy is constrained’ (Grimshaw 1993: 66; McNay 1992: 74). In response to this criticism, Moya Lloyd suggests that it is Foucault’s earlier notion of genealogy as critique which allows us to distinguish between autonomous practices of the self and technologies of normalization. For Lloyd, the Foucauldian practice of critique – a practice which involves the effort to recognize, decipher and problematize the ways in which the self is produced – generates possibilities for alternative practices of the self and, thus, for more autonomous experiments in self-formation. Lloyd explains that ‘it is not the activity of self-fashioning in itself that is crucial. It is the way in which that self-fashioning, when allied to critique, can produce sites of contestation over the meanings and contours of identity, and over the ways in which certain practices are mobilized’ (Lloyd: 1988: 250). With the introduction of a notion of freedom in his late work, Foucault also clarifies the normative grounds for his opposition to certain forms of power. In his discussion of ethics, Foucault suggests that individuals are not limited to reacting against power, but may alter power relationships in ways that expand their possibilities for action. Thus, Foucault’s work on ethics can be linked to his concern to counter domination, that is, forms of power that limit the possibilities for the autonomous development of the self’s capacities. By distinguishing power relations that are mutable, flexible and reversible, from situations of domination in which resistance is foreclosed, Foucault seeks to encourage practices of liberty ‘that will allow us to play … games of power with as little domination as possible’ (Foucault 1988b: 298). Sawicki argues that Foucault’s notion of practices of freedom has the potential to broaden our understanding of what it is to engage in emancipatory politics. In Foucault’s conception of freedom as a practice aimed at minimizing domination, Sawicki discerns an implicit critique of traditional emancipatory politics which tends to conceive of liberty as a state free from every conceivable social constraint. Following Foucault, Sawicki argues that the problem with this notion of emancipation is that it does not go far enough: ‘Reversing power positions without altering relations of power is rarely liberating. Neither is it a sufficient condition of liberation to throw off the yoke of domination’ (Sawicki 1998: 102). If, as Foucault suggests, freedom exists only in being exercised and is, thus, a permanent struggle against what will otherwise be done to and for individuals, it is dangerous to imagine it as a state of being that can be guaranteed by laws and institutions. By insisting that liberation from domination is not enough to guarantee freedom, Foucault points to the importance of establishing new patterns of behaviour, attitudes and cultural forms that work to empower the vulnerable and, in this way, to ensure that mutable relations of power do not congeal into states of domination. Thus, for Sawicki, the value of Foucault’s late work for feminism consists in the conceptual tools that it provides to think beyond traditional emancipatory theories and practices.

6. References and Further Reading

  • Bartky, S., ‘Foucault, femininity and the modernization of patriarchal power’ in I. Diamond & L. Quinby (eds), Feminism and Foucault: Reflections on Resistance, Boston: Northeastern University Press, 1988.
  • Bordo, S., ‘Anorexia Nervosa: Psychopathology as the Crystallization of Culture’ in I. Diamond & L. Quinby (eds) Feminism and Foucault: Reflections on Resistance, Boston: Northeastern University Press, 1988.
  • Brown, W., ‘Postmodern Exposures, Feminist Hesitations’ in States of Injury: power and freedom in late modernity, Princeton, N.J.: Princeton University Press, 1995.
  • Butler, J., Gender Trouble: Feminism and the Subversion of Identity, NY: Routledge, 1990.
  • Butler, J., Bodies that Matter: On the Discursive Limits of “Sex”, NY: Routledge, 1993.
  • Diamond, I. & Quinby, L., (eds.) Feminism and Foucault: Reflections on Resistance, Boston: Northeastern University Press, 1988.
  • Dreyfus, H. and Rabinow, P., Michel Foucault: Beyond Structuralism and Hermeneutics, Sussex: The Harvester Press, 1982.
  • Foucault, M., Discipline and Punish: The Birth of the Prison, trans. A. Sheridan, Harmondsworth: Peregrine, 1977.
  • Foucault, M., The History of Sexuality, translated by R. Hurley, Penguin Books, 1978.
  • Foucault, M., ‘Body/Power’ and ‘Truth and Power’ in C. Gordon (ed.) Michel Foucault: Power/Knowledge, U.K.: Harvester, 1980.
  • Foucault, M., ‘The subject and power’ in H. Dreyfus and P. Rabinow, Michel Foucault: Beyond Structuralism and Hermeneutics, Chicago: Chicago University Press, 1982.
  • Foucault, M., ‘What is Enlightenment?’ in The Foucault Reader, P. Rabinow (ed.) NY: Pantheon, 1984a.
  • Foucault, M., ‘On the genealogy of ethics: an overview of work in progress’ in The Foucault Reader, P. Rabinow (ed.) NY: Pantheon, 1984b.
  • Foucault, M., Politics, Philosophy, Culture: Interviews and Other Writings, 1977-1984, L. Kritzman (ed.), London: Routledge, 1988a.
  • Foucault, M., ‘The ethic of care for the self as a practice of freedom’ in J. Bernhauer and D. Rasmussen (eds), The Final Foucault, Cambridge: Mass.: MIT Press, 1988b.
  • Fraser, N., Unruly Practices: power, discourse and gender in contemporary social theory, Cambridge: Polity Press, 1989.
  • Grimshaw, J., ‘Practices of Freedom’ in Up Against Foucault, C. Ramazanoglu (ed.), London and NY: Routledge, 1993.
  • Grosz, E., Volatile Bodies: Toward a Corporeal Feminism, Bloomington: Indiana University Press, 1994.
  • Gutting, G., (ed.) The Cambridge Companion to Foucault, Cambridge: Cambridge University Press, 1994.
  • Hacking, I., ‘The Archaeology of Knowledge’ in D. Couzens Hoy (ed.), Foucault: a critical reader, NY: Basil Blackwell, 1986.
  • Hartsock, N., ‘Foucault on power: a theory for women?’ in L. Nicholson (ed.), Feminism/Postmodernism, London & NY: Routledge, 1990.
  • Hekman, S. (ed.) Feminist Interpretations of Michel Foucault, Pennsylvania: Pennsylvania University Press, 1996.
  • Lloyd, M., ‘A Feminist Mapping of Foucauldian Politics’ in Feminism and Foucault: Reflections on Resistance, I. Diamond & L. Quinby (eds), Boston: Northeastern University Press, 1988.
  • McNay, L., Foucault: a critical introduction, Cambridge: Polity Press, 1994.
  • McNay, L., Foucault and Feminism: Power, Gender and the Self, Polity Press, 1992.
  • Ramazanoglu, C., Up Against Foucault: Explorations of Some Tensions Between Foucault and Feminism, London & NY: Routledge, 1993.
  • Rouse, J., ‘Power/Knowledge’ in Gary Gutting (ed) The Cambridge Companion to Foucault, Cambridge: Cambridge University Press, 1994.
  • Sawicki, J., ‘Feminism and the Power of Discourse’ in J. Arac (ed.) After Foucault: Humanistic Knowledge, Postmodern Challenges, New Brunswick and London: Rutgers University Press, 1988, pp. 161-178.
  • Sawicki, J., ‘Foucault, feminism, and questions of identity’ in ed. G. Gutting, The Cambridge Companion to Foucault, Cambridge: Cambridge University Press, 1994.
  • Sawicki, J., ‘Feminism, Foucault and “Subjects” of Power and Freedom’ in The Later Foucault: politics and philosophy, J. Moss (ed.), London; Thousand Oaks: Sage Publications, 1998.
  • Soper, K., ‘Productive contradictions’, Up Against Foucault: Explorations of Some Tensions Between Foucault and Feminism, London & NY: Routledge, 1993.

Author Information

Aurelia Armstrong
Email: a.armstrong@uq.edu.au
University of Queensland
Australia

Nikolai Fedorovich Fedorov (1829—1903)

FedorovFedorov’s thoughts have been variously described as bold, culminating, curious, easily-misunderstood, extreme, hazy, idealist, naive, of-value, scientifico-magical, special, unexpected, unique, and utopian. Many of the small number of philosophers familiar with Fedorov admit his originality, his independence, his human concern, perhaps even his logic — up to a point. But his resurrection project is viewed with understandable skepticism and often dismissed as an impossible fantasy. Interestingly, the harshest criticism has come from Christian thinkers such as Florovsky and Ustryalov whose objections bear religious overtones; some materialists such as Muravyov and Setnitsky have been quite benign and favorable by comparison. Perhaps all would agree, however, on Fedorov’s single-mindedness. Looked at positively, this is simply another term for purity-of-heart, a quality of saintliness. With his strong emphasis on kinship and brotherhood demanding, ultimately, a world in which all must mutually benefit, Fedorov perhaps anticipates Rawls who says: “Thus what we are doing is to combine into one conception the totality of conditions that we are ready upon due reflection to recognize as reasonable in our conduct with regard to one another. … all persons … even … persons who are not contemporaries but who belong to many generations. Thus to see our place in society from the perspective of this position is … to regard the human situation not only from all social but also from all temporal points of view. The perspective of eternity is not a perspective from a certain place beyond the world, nor the point of view of a transcendent being; rather it is a certain form of thought and feeling that rational persons can adopt within the world. … Purity of heart, if one could attain it, would be to see clearly and to act with grace and self-command from this point of view.” Fedorov wrote: “By refusing to grant ourselves the right to set ourselves apart … we are kept from setting any goal for ourselves that is not the common task of all.” But Fedorov’s thought soars beyond the present world to a world of its own, in his insistence that we can become immortal and godlike through rational efforts, and that our moral obligation is to create a heaven to be shared by all who ever lived.

Table of Contents

  1. Life
  2. Philosophy
  3. Further Reading

1. Life

Russian philosopher, teacher, and librarian Nikolai Fedorovich Fedorov was born June 9, 1829, and died December 28, 1903. He was founder of an immortalist (anti-death) philosophy emphasizing “the common task” of resurrecting the dead through scientific means. Since the end of the Cold War, his thought has received renewed interest and advocacy in Russia and elsewhere — for example, in connection with cryonics (cryonic hibernation) and prolongevity. Nikolai Fedorovich Fedorov (alternative romanized spellings are possible — for example: Nicholas Fyodorovich Fyodorov) advocated the ethical priority of a research and development project he called “the common task,” by which he meant the universal physical resurrection of the dead by future advances in science and technology. He was highly praised by such people as Fyodor Dostoevsky and Leo Tolstoy (literature), Afanasi Fet (poetry), and Konstantin Tsiolkowsky (astronautics), yet he is not well known in the West, despite some limited interest. The illegitimate son of Prince Pavel Ivanovich Gagarin and Elisaveta Ivanova, a woman of lower-class nobility, Nikolai (with his mother and her other children) had to leave his father’s home at age four, due to the prince’s death. The family continued to be well cared for, however. Beginning in 1868, he worked for 25 years as a librarian with the Rumiantsev Museum (now the Russian State Library), Moscow; during this period, he was teacher-mentor of the young Konstantin Tsiolkowsky. After retiring, and until his death, he worked in the Archives of the Ministry of Foreign Affairs. His works, published posthumously, were available (in accordance with the Christian spirit of Fedorov’s philosophy) only free of charge from the publisher, who renounced all rights.

2. Philosophy

Due to his Christian perspective, Fedorov found the widespread lack of love among people appalling. He divided these non-loving relations into two kinds. One is alienation among people: “non-kindred relations of people among themselves.” The other is isolation of the living from the dead: “nature’s non-kindred relation to men.” “[O]ne should live not for oneself nor for others but with all and for all” (Filosofiya Obshchago Dela vol. I, 118, n. 5, as quoted in Zakydalsky, 55). Fedorov is referring to all people of all time (past, present, future). He is speaking of a project to unite humankind, the colonization (“spiritualization”) of the universe, the quest for the Kingdom of God, the creation of cosmos from chaos, the death of death, even resurrection of the dead. Fedorov believed, and passionately felt, that resignation in the face of death and separation of knowledge from action was false Christianity. He cautioned against being fooled into worshipping the blind forces of Satan. Rather, one should actively participate in changing what is into what ought to be.

The division between the learned and the unlearned was, in Fedorov’s view, worse than the separation of the rich and the poor. The unlearned are more concerned with work than thought. The learned (philosophers and scientists) are less concerned with work than thought. The learned seem unaware that ideas “are not subjective, nor are they objective; they are projective.” Philosophers and scientists, because they have separated ideas from moral action, are simply slaves to the imperfect present order. It is a root dogma of the learned that paradise is not possible. The unlearned should demand that the learned (because only they have the necessary knowledge) become a temporary task force for the Kingdom of God. The learned, however, will attempt to persuade us that problems like crop failures, disease, and death are not general questions but matters for a narrow discipline, questions for only a very small (or nonexistent) minority of the learned. Separation of the learned from the masses turns them into a seemingly permanent class, producing non-lovers of humankind. The “transformation of the blind course of nature into one that is rational … is bound to appear to the learned as a disruption of order, although this order of theirs brings only disorder among men, striking them down with famine, plague, and death.”

A citizen, a comrade, or a team-member can be replaced by another. However a person loved, one’s kin, is irreplaceable. Moreover, memory of one’s dead kin is not the same as the real person. Pride in one’s forefathers is a vice, a form of egotism. On the other hand, love of one’s forefathers means sadness in their death, requiring the literal raising of the dead. Politics must be replaced by physics. The politics of egoism and altruism must be replaced by Christianity which “knows only all men.” Pride is a Tower of Babel that separates us from one another. Love is a “fusion as opposed to a confusion.” For Fedorov, “complete and universal salvation” is preferable to “incomplete or non-universal salvation in which some men — the sinners — are condemned to eternal torments and others — the righteous — to an eternal contemplation of these torments.” That is to say, Fedorov’s bold science project, “the common task,” is not the only possible route to salvation. “Salvation may also occur without the participation of men … if they do not unite in the common task”; “if we do not unite to accomplish our salvation, if we do not accept the Gospel message,” then a “purely transcendent resurrection will save only the elect; for the rest it will be an expression of God’s wrath,” “eternal punishment.” “I believe this literally.” “Christianity has not fully saved the world, because it has not been fully assimilated.” Christianity “is not simply a doctrine of redemption, but the very task of redemption.”

Fedorov’s thoughts have been variously described as bold, culminating, curious, easily-misunderstood, extreme, hazy, idealist, naive, of-value, scientifico-magical, special, unexpected, unique, and utopian. Many of the small number of philosophers familiar with Fedorov admit his originality, his independence, his human concern, perhaps even his logic — up to a point. But his resurrection project is viewed with understandable skepticism and often dismissed as an impossible fantasy. Interestingly, the harshest criticism has come from Christian thinkers such as Florovsky and Ustryalov whose objections bear religious overtones; some materialists such as Muravyov and Setnitsky have been quite benign and favorable by comparison. Perhaps all would agree, however, on Fedorov’s single-mindedness. Looked at positively, this is simply another term for purity-of-heart, a quality of saintliness. With his strong emphasis on kinship and brotherhood demanding, ultimately, a world in which all must mutually benefit, Fedorov perhaps anticipates Rawls who says: “Thus what we are doing is to combine into one conception the totality of conditions that we are ready upon due reflection to recognize as reasonable in our conduct with regard to one another. … all persons … even … persons who are not contemporaries but who belong to many generations. Thus to see our place in society from the perspective of this position is … to regard the human situation not only from all social but also from all temporal points of view. The perspective of eternity is not a perspective from a certain place beyond the world, nor the point of view of a transcendent being; rather it is a certain form of thought and feeling that rational persons can adopt within the world. … Purity of heart, if one could attain it, would be to see clearly and to act with grace and self-command from this point of view.” Fedorov wrote: “By refusing to grant ourselves the right to set ourselves apart … we are kept from setting any goal for ourselves that is not the common task of all.” But Fedorov’s thought soars beyond the present world to a world of its own, in his insistence that we can become immortal and godlike through rational efforts, and that our moral obligation is to create a heaven to be shared by all who ever lived. “[D]eath is merely the result or manifestation of our infantilism, lack of independence and self-reliance, and of our incapacity for mutual support and the restoration of life. People are still minors, half-beings, whereas the fullness of personal existence, personal perfection, is possible. However, it is possible only within general perfection. Coming of age will bring perfect health and immortality, but for the living [living contemporaries of Fedorov] immortality is impossible without the resurrection of the dead”(What Was Man Created For?, 76).

3. Further Reading

(Collected Works in Russian)

  • Fedorov, N. F. Filosofiya Obshchago Dela: Stat’i, Mysli, i Pis’ma Nikolaia Fedorovicha Fedorova, ed. V. A. Kozhevnikov and N. P. Peterson, 2 vols. originally published by Fedorov’s friends and followers after his death, 1906, 1913; reprint London: Gregg Press, 1970.
  • Fedorov, N. F. Sobranie Sochineniy, 4 vols. + supp. Moscow: Traditsiya, 2000.

(Works in English)

  • Berdyaev, N. A. “N. F. Fyodorov.” The Russian Review 9 (1950) 124-130.
    • Fedorov’s thought was not without influence on Berdyaev’s existentialism.
  • Berdyaev, N. A. The Russian Idea. New York: Macmillan Co., 1948.
    • Fedorov and other original Russian thinkers are discussed.
  • Fedorov, N. F. “The Question of Brotherhood or Kinship, of the Reasons for the Unbrotherly, Unkindred, or Unpeaceful State of the World, and of the Means for the Restoration of Kinship” in Edie, J. M.; Scanlan, J. P.; Zeldin, M.; and Kline, G. L., eds. Russian Philosophy. Chicago: Quadrangle Books, 1965. 16-54.
    • This is one place to begin if you want to read Fedorov directly (in English translation).
  • Fedorov, N. F. What Was Man Created For? The Philosophy of the Common Task: Selected Works. Koutiassov, E.; and Minto, M., eds. Lausanne, Switzerland: Honeyglen/L’Age d’Homme, 1990.
    • A good source of Fedorov in English translation; includes a list of Russian language works in the bibliography.
  • Lossky, N. O. History of Russian Philosophy. New York: International Universities Press, 1951.
    • Fedorov is included in this history.
  • Lukashevich, S. N. F. Fedorov (1828-1903): A Study in Russian Eupsychian and Utopian Thought. Newark: University of Delaware Press, 1977.
    • The methodology used in this study may not insure full appreciation of Fedorov’s thought, but it does demonstrate that his thought was indeed a detailed, coherent philosophy in which the various pieces fit together.
  • Schmemann, A., ed. Ultimate Questions: An Anthology of Modern Russian Religious Thought. New York: Holt, Rinehart and Winston, 1965; reprint Crestwood, NY: St. Vladimir’s Seminary Press, 1977.
    • Selections (translations) from Russian religious thinkers, including Fedorov, concerned with eschatology or other “ultimate” questions. The Fedorov material is from vol. 1 of Filosofiya Obshchago Dela and deals with “the restoration of kinship among mankind.”
  • Soloviov, M. “The ‘Russian Trace’ in the History of Cryonics,” Cryonics 16:4 (4th Quarter, 1995) 20-23.
    • Closing paragraph describes author’s then-current (post-cold-war) and perhaps unprecedented efforts promoting cryonics and immortalism in the former Soviet Union; the article itself acknowledges a debt to Fedorov.
  • Young, G. M. Nikolai F. Fedorov: An Introduction. Belmont, Mass.: Nordland Publishing Co., 1979.
    • Not only an excellent introduction, but a mine of references and information inviting further Fedorovian research, including Russian language works, many of which are not yet translated (or not fully translated) into English.
  • Zakydalsky, T. D. N. F. Fyodorov’s Philosophy of Physical Resurrection. Ann Arbor, Mich.: UMI, 1976.
    • A Ph.D. dissertation (Bryn Mawr) of 531 pages. Bibliography has a list of Russian language works.
  • Zenkovsky, V. V. A History of Russian Philosophy. New York: Columbia University Press, 1953.
    • Fedorov is included in this history.

Author Information

Charles Tandy
Email: cetandy@gmail.com
Ria University
U. S. A.

R. Michael Perry
Email: mike@alcor.org
U. S. A.

Ignacio Ellacuría (1930—1989)

EllacuriaIgnacio Ellacuría, a naturalized citizen of El Salvador, was born in Spain in 1930. He joined the Jesuits in 1947 and was quickly sent to El Salvador, where he lived and worked for the next forty-two years, except for periods when he was pursuing his education in Ecuador, Spain, and West Germany. He developed an important and novel contribution to Latin American Liberation Philosophy. The body of thought known as Liberation Philosophy developed in Latin America in the second half of the Twentieth Century. It grew out of the works of philosophers working in Peru (A. Salazar Bondy) and Mexico (Leopoldo Zea), and quickly spread throughout Latin America. It resulted from efforts by these philosophers to create a Latin American philosophy by looking at how the discipline could help to make sense of Latin American reality. That reality, as distinct from the European (and later North American) context in which the modern Western philosophical tradition developed, is one of dependence on economic and political (and to some extent cultural) factors that are beyond one’s control. In thematizing dependency, Latin American philosophy developed a liberation philosophy that focused on the social and personal imperative to overcome dependency as the path toward the fullness of one’s humanity, given the conditions of dependency. There are at least five different schools within Latin American liberation philosophy (see Cerutti in the Bibliography below), but all are grounded in the attempt to use philosophy to understand the Latin American reality of dependency and the need to overcome it.

Table of Contents

  1. Life
  2. Ellacuría’s Philosophy of Liberation
  3. References and Further Reading

1. Life

Ellacuría’s initial training in philosophy was in the Neo-Scholasticism required at that time of all Jesuits. Later he studied Ortega, Bergson, Heidegger, phenomenology, and the existentialists. All of these influenced him, but the key influences in the make up of his mature philosophical thought were Hegel, Marx, and the Basque philosopher Xavier Zubiri (1898-1983). Ellacuría worked on his doctorate under Zubiri from 1962 to 1965, writing a dissertation that reached some 1100 pages on the concept of essence in Zubiri’s thought. He also studied theology with the great Heideggerian Jesuit, Karl Rahner, and had finished all the requirements for a second PhD, but did not write the dissertation (which he was also going to write under Zubiri). For the next 18 years, until Zubiri’s death in 1983, they were close collaborators, with Ellacuría returning to Spain from El Salvador for a few months each year to facilitate their work. The two worked together on most of Zubiri’s texts and talks, eventually reaching the point where Zubiri would not publish something, or even present a lecture, without first showing the material to Ellacuría.

Zubiri is a major figure in 20th century Spanish philosophy and has had a lot of influence in Latin America, largely through the efforts of Ellacuría, but his work is not well known in the countries more traditionally associated with Continental Philosophy (France and Germany) or in the Anglo-American tradition. By the age of 23, Zubiri had finished both a PhD in theology at the Gregorian University and a PhD in philosophy at the University of Madrid. At 28 he was named to the prestigious chair in the history of philosophy at the University of Madrid, and for the next few years he traveled widely in Europe to study with experts in many different fields: philosophy with Husserl and Heidegger, physics with Schrödinger and De Broglie, as well as biology and mathematics with luminaries of the day. Zubiri also taught in Paris at the Institut Catholique and at the University of Barcelona, but in 1942 he left formal academia and for the rest of his life conducted seminars on his own.

From among a large number of very important publications, his two most important are On Essence (1963) and the three-volume work, Sentient Intelligence (1980-83). Ellacuría, who knew all of Zubiri’s work, was particularly familiar with these two works: his doctoral dissertation was on the former, and he worked very closely with Zubiri to bring the latter to publication before Zubiri’s death.

Zubiri created a systematic philosophy grounded in a re-configuring and overcoming of the distinction between epistemology and metaphysics, between the knower and the known (for more, see the section below on Ellacuría’s philosophy). There are now various interpretations of Zubiri’s work (among others, phenomenological, Nietzschean, praxical) with Ellacuría heading up the historical/metaphysical interpretation. Although there is no agreement among Zubirian scholars as to which among these is the better interpretation, the fact that Zubiri adopted Ellacuría as his closest collaborator for the last 20 years of his life has to lend some weight to Ellacuría’s interpretation

Ellacuría was murdered in 1989 – along with five other Jesuits with whom he lived, their housekeeper and her daughter – at the hands of an elite, US-trained squadron of the Salvadoran army. The murders came towards the end of El Salvador’s long civil war (1980-1992) between a right-wing government and leftist guerillas. At the time of his death, Ellacuría was president of the country’s prestigious Jesuit university, the University of Central America (UCA), as well as chair of its philosophy department and editor of many of its scholarly publications. In his quarter century with the UCA, the last ten years as its president, he had played a principle role in molding it into a university whose full institutional power – that is, through its research, teaching and publications – was directed towards uncovering the causes of poverty and oppression in El Salvador. In addition, he spoke out frequently on these topics as a regular contributor to the country’s newspapers, radio and television programs. He also addressed these topics frequently in his scholarly publications on philosophy and theology. These were the reasons behind his murder.

During his lifetime Ellacuría was known, primarily, as one of the principle contributors to Latin American liberation theology. However, he also spent the last two decades of his life elaborating a liberation philosophy. The latter work was left, at the time of his murder, unfinished, unpublished, and scattered across many different writings. In the years since his death, a number of scholars have pieced together his philosophical thought, and it is now possible to argue that Ellacuría had a well-developed philosophy that represents an important contribution to Latin American liberation philosophy.

2. Ellacuría’s Philosophy of Liberation

Ellacuría argued that philosophy, in order to remain true to itself, must be a philosophy of liberation. He begins with the assertion that it is the responsibility of philosophy to help us in figuring out what reality is and in situating ourselves within reality. For Ellacuría, human reality is historical and social: the range of possibilities in which the freedom of any given individual’s life must be exercised is the result of both past human actions and the society in which the individual lives. Human actions accrete as history, and within this reality individuals and societies are able to realize some of the possibilities handed over by the past, in the process creating new possibilities to hand over to future generations. There is progress in reality, from the physical to the biological to the praxical, each of these representing a further unfolding of an ever more complex reality. In the realm of praxis (his word for human action to change reality), human beings act to realize a wider range of possibility: praxis seeks to realize a fuller praxis. Thus, praxis realizes a gradual increase in liberty: praxis gradually liberates liberty.

Human beings, as praxical beings, are responsible for the further unfolding of reality, i.e., for the realization of a reality in which all praxical beings can fully realize themselves as such. Ellacuría argues that the vantage point from which one can see most clearly what reality unfolding as history has and has not delivered, is the perspective of the marginalized. Thus, the philosophy of history must make a preferential option for the marginalized, i.e., it must be a philosophy of liberation.

Ellacuría’s liberation philosophy begins with a critique grounded in a Zubirian metaphysics that is radically critical of all forms of idealism, including most of what has passed for realism in the history of Western philosophy. This critique argues that the Western tradition made a fundamental error, from Parmenides on, in separating sensation and the intellect, an error which distorted all subsequent philosophy. This error resulted in the “logification of intelligence” and the “entification of reality.” By the former, Zubiri means that the full powers of the intellect have been reduced to a predicative logos, i.e., a logos whose function is to determine what things are, in themselves and in relation to other things. Zubiri argues that while this is a vital part of intelligence, it is not the only part and not the most fundamental part, but Western philosophy reduced intelligence to this predicative logos. In doing so, the object of logos, i.e., the being of entities, became the sum total of reality: reality became entified. These two distortions (the logification of intelligence and entification of reality) can only be overcome by the recognition that sensation and intellection are not separate, that they are two aspects of a single faculty. Zubiri called this faculty the sentient intellect. By this term he meant that, for human beings, the intellect is always sentient and sensation is always intelligent. The two faculties of sensation and intelligence are, for human beings, one and the same faculty. This new, human faculty, the “sentient intellect,” is Zubiri’s candidate for the specific difference of human beings as a species: a new type of sensation that is essentially different from the sense faculty of other animals, different by the addition of intelligence.

In what way is human sensation essentially different than the sensation of other animals? For Zubiri, part of every human sensation, but absent in animal sensation, is the awareness that the object sensed is real, i.e., that it is has the property of being something in and of itself, independent from me, that it is not a willful extension of me. This recognition of the real as real is the fundamental act of the intelligence; it is the intellectual act that is part and parcel, structurally, inextricably, of every act of human sensation. Thus, through the unitary faculty of the sentient intellect we apprehend reality as real. The consequence of this is that we are always already installed in reality. There is no question about how the mind reaches what is real, no need to build a bridge between the mind and reality.

The intellect, like the rest of the body, evolved as a response to challenges posed by the environment. Animals respond to stimuli while humans are confronted with possible realities. Animals are faced with a predetermined cast of responses to a given stimuli. But human beings in any given situation have an open spectrum of options from among which we must choose. We are, in effect, faced with the possibilities of many different realities, and our choices contribute to the determination of reality as it is realized; thus the name that Zubiri gives to human beings: the “reality animal.” The openness of the options facing us is the structural basis of our freedom. Freedom is not something mysterious but a result of the evolutionary pressures that lead to the emergence of a sentient intelligence. The evolutionary niche occupied by human beings is one in which the cast of responses to a stimulus grew to the point where there was no longer anything automatic about which possible response would be enacted. Our niche is the one where the huge number of possible responses opened up different potential realities, allowing us more fully to exploit reality’s possibilities. In other words, our niche is precisely the freedom to choose from among the huge number of possible responses, i.e., from among the huge number of possible realities. To manage this operation of choosing, animal sensation evolved into the sentient intellect.

So, according to Zubirian metaphysics, human beings are always already installed in reality as the part of reality whose actions determine future reality: humans are the part of reality that now unfolds further reality. In previous eras, the unfolding of reality took place by physical and biological forces, but now it is human forces (praxis) that unfolds reality. This is not to say that physical and biological forces are no longer present. They are present, and continue to form the foundation of praxis, but praxis outstrips them. An authentic praxis, however, must recognize its foundation in biology and physics – that is why the physical and biological needs of human beings must be met in order for the fullness of human praxis to be realizable. Thus, an authentic praxis must strive for a reality in which the physical and biological needs of all humans are met.

Ellacuría concludes from all of this that the primary question facing human beings – metaphysical and ethical at once – is: given that we are always already in reality, what is the proper way to engage it? Ellacuría characterizes Zubiri’s intellectual motto as “to come as close as possible, intellectually, to the reality of things.” Western philosophy “had not found an adequate way to shoulder responsibility for reality [hacerse cargo de la realidad].” The search for the right way to engage reality was the motivation for Ellacuría’s work. For Ellacuría, humans are now shouldered with responsibility for reality in the sense of being charged with the task of figuring out what is the proper way of exercising the fundamental freedom opened up by the advent, within evolution, of the sentient intellect. In this sense, human beings are the responsible part of reality, i.e., the part of reality whose task it is to figure out how to respond to reality thereby creating a new reality unfolded out of the previous reality. In order for humans to properly exercise this responsibility, we must discern the direction in which reality needs to be taken.

The sentient intellect evolved to enable us to act more effectively in insuring our own survival. This is not selfish, as it may at first sound, given the element of responsibility that comes along with the sentient intellect. As the reality animal, our actions decide between various possible future realities. Thus, as the responsible part of reality, we are now charged with assisting in the further realization of reality. Ellacuría gives the special name of “praxis” to this action that determines reality.

If we look at the development of reality, we can discern a progression from matter, to life, to human life. This progression has been under the control of, first, physical forces, then biological forces, and now, with the evolution of the being with sentient intelligence, the progressive unfolding of reality is subject to the force of praxis. Thus there is a gradual liberation of more developed forces. Subsequent forces do not erase the earlier ones, but rather subsume them dialectically. Thus, human praxis cannot ignore the physical and biological needs of reality: these are the imperatives that must be satisfied on the way to the full realization of praxis itself. Reality has delivered, liberated, successively more developed forces, each layered over the previous: the biological on top of the physical, and the praxical on top of the biological. The direction of this process can be seen: praxis is the most advanced force reality has developed, and praxis must now take its place as the force that most drives the further unfolding of reality (just as physical and biological forces had, successively, taken that place previously). Since the essence of praxis is freedom, human beings must now exercise our freedom such that we further the proper development of reality. To remain true to our essence, and true to the essence of reality, we must act so as to further the development, the spread, of praxis. Thus, the direction of this process of liberation is the liberation of liberty itself, a process for which the reality animal, the praxical being, is responsible. Thus the full realization of reality entails this: praxical beings acting to bring about the realization of the reality in which all praxical beings (that is, all human beings) can realize the fullness of their praxical essence. In other words, physical and biological forces brought about human beings; but the nature of human beings is such that we are now responsible for the further and fuller realization of reality, which realization is precisely the liberation of all human beings such that they can realize the fullness of their essence. Thus Ellacuría is able to argue that the metaphysics of reality demands a liberatory praxis from us: liberation, because of the essence of human beings and the nature of reality, is a metaphysical imperative.

We can begin to see the prescriptions that emerge from the foregoing analysis. Ellacuría’s liberation philosophy allows him to argue that the essence of being human demands that society be structured in such a way as to meet the physical and biological needs of human beings at an adequate level, i.e., a level that frees us to pursue our essence as praxical beings. Further, his analysis suggests that it is the duty of those of us who enjoy a wider exercise of freedom to dedicate our talents and efforts towards the construction of such a society: our essence as the leading edge of reality that is now responsible for the further unfolding of reality demands that we assist in the establishment of a reality in which praxis is more fully realized, i.e., a reality in which more people (ultimately, all people) are freed from basic wants (inflicted on them by poverty) so that they can exercise their praxis. In other words, the full self-realization of the privileged lies in their enlisting themselves in the struggles of the oppressed. This does not mean that the privileged have to become oppressed. Rather, it means that they should use the education and power delivered to them by their socially and historically conditioned privilege to further the struggles of the oppressed. Note that this is not paternalistic. The struggles of the oppressed represent the leading edge of reality’s further development. The endeavors of the privileged apart from these struggles represent dead-end dilly-dallying (no matter how important they seem to those engaged in them) that does not further the humanization of reality and, thus, will not become an enduring part of human history. Far from paternalism, what saves the privileged from the meaningless pursuits with which they are wont to fill their time, and thus from a meaningless life, is the decision to lend their efforts to further the cause of the oppressed.

Thus, with Zubirian realism and in creative dialogue with Marx, Ellacuría undertook, from the perspective of the poor of the Third World, the project of forging a philosophy that recognized the material nature of being human – and thus the need to take into account the structures of poverty and oppression – while holding open the possibility of a transcendent realm, a realm one and the same with the material realm (actually part of the material realm) in which can exist human freedom and perhaps even God. Ellacuría was constructing a liberation philosophy in the service of the concrete needs of the Latin American people and of the Third World in general. It is a project in the service of which Ellacuría took great strides, but which remained unfinished at his death.

3. References and Further Reading

There still remain a number of unpublished pieces that are important to Ellacuría’s liberation philosophy. These consist primarily of extensive notes he took for the courses he taught at the UCA. These, and all of Ellacuría’s published and unpublished writings, are located in the Ignacio Ellacuría Archives at the Universidad Centroamericana (UCA) in San Salvador, El Salvador.

  • Burke, Kevin (2000). The Ground Beneath the Cross: The Theology of Ignacio Ellacuría, Washington, DC: Georgetown University Press.
    • In English, this book contains good chapters (chs. 2-4) on the philosophical foundation of Ellacuría’s theological thought.
  • Cerutti, Horacio (1992). La Filosofia de la Liberación Latinoamericana, Mexico City: FCE.
    • The best overview of Latin American liberation philosophy, though the book was written before Ellacuría’s contributions to the topic were widely known. Thus, Cerutti charts four main currents of Latin American liberation philosophy. Ellacuría’s contributions represent a fifth current.
  • Ellacuría, Ignacio (2000-2002). Escritos Teológicos [ET], four volumes, San Salvador: UCA Editores.
    • Some philosophically important pieces are also collected here.
  • Ellacuría, Ignacio (1996-2001). Escritos Filosóficos [EF], three volumes, San Salvador: UCA Editores.
    • His scores of important philosophical essays have been collected here.
  • Ellacuría, Ignacio (1999). Escritos Universitarios [EU], San Salvador: UCA Editores.
    • Some philosophically important pieces are also collected here.
  • Ellacuría, Ignacio (1993). Veinte Años de Historia en El Salvador: Escritos Políticos [VA], three volumes, second edition, San Salvador: UCA Editores.
    • Some philosophically important pieces are also collected here.
  • Ellacuría, Ignacio (1990). Filosofía de la Realidad Histórica, San Salvador: UCA Editores.
    • Ellacuría’s main philosophical work. This 600-page book was written and revised a couple of times in the early 1970s. It was never finished (there are indications in his notes that he intended to write more chapters) but it is fairly polished and the best indication of the scope and force of his argument for liberation philosophy.
  • Hassett, John & Hugh Lacey, eds. (1991). Towards a Society that Serves Its People: The Intellectual Contribution of El Salvador’s Murdered Jesuits [TSSP], Washington, DC: Georgetown University Press.
    • English translations of eight of his essays (philosophical, theological and political).
  • Samour, Héctor (2002). Voluntad de Liberación: El Pensamiento Filosófico de Ignacio Ellacuría, San Salvador: UCA Editores.
    • The most thorough presentation of Ellacuría’s philosophical thought. Samour is the scholar who has done the most to pull together, from the thousands of pages of unpublished and published material, Ellacuría’s liberation philosophy and this comprehensive book is the result of his labors.
  • Whitfield, Teresa (1995). Paying the Price: Ignacio Ellacuría and the Murdered Jesuits of El Salvador, Philadelphia: Temple University Press.
    • The best intellectual biography on Ellacuría.

From among all of the collected essays, the most important for understanding Ellacuría’s liberation philosophy are the following:

  • “Filosofía y Política” [1972], VA-1, pp. 47-62.
  • “Liberación: Misión y Carisma de la Iglesia” [1973], ET-2, pp. 553-584.
  • “Diez Años Después: ¿Es Posible una Universidad Distinta?” [1975], EU, pp. 49-92 (an English translation is available in TSSP, pp. 177-207).
  • “Hacia una Fundamentación del Método Teológico Latinoamericana” [1975], ET-1, pp. 187-218.
  • “Filosofía, ¿Para Qué?” [1976], EF-3, pp. 115-132.
  • “Fundamentación Biológica de la Ética” [1979], EF-3, pp, 251-269.
  • “Universidad y Política” [1980], VA-1, pp. 17-46.
  • “El Objeto de la Filosofía” [1981], VA-1, pp. 63-92.
  • “Función Liberadora de la Filosofía” [1985], VA-1, pp. 93-122.
  • “La Superación del Reduccionismo Idealista en Zubiri” [1988], EF-3, pp. 403-430.
  • “El Desafío de las Mayorías Populares” (1989), EU, pp. 297-306 (an English translation is available in TSSP, pp. 171-176).
  • “En Torno al Concepto y a la Idea de Liberación” [1989], ET-1, pp. 629-657.
  • “Utopía y Profetismo en América Latina” [1989], ET-2, pp. 233-294 (an English translation is available in TSSP, pp. 44-88).

Author Information

David I. Gandolfo
Email: david.gandolfo@furman.edu
Furman University
U. S. A.

Embodied Cognition

Embodied Cognition is a growing research program in cognitive science that emphasizes the formative role the environment plays in the development of cognitive processes. The general theory contends that cognitive processes develop when a tightly coupled system emerges from real-time, goal-directed interactions between organisms and their environment; the nature of these interactions influences the formation and further specifies the nature of the developing cognitive capacities. Since embodied accounts of cognition have been formulated in a variety of different ways in each of the sub-fields comprising cognitive science (that is, developmental psychology, artificial life/robotics, linguistics, and philosophy of mind), a rich interdisciplinary research program continues to emerge. Yet, all of these different conceptions do maintain that one necessary condition for cognition is embodiment, where the basic notion of embodiment is broadly understood as the unique way an organism’s sensorimotor capacities enable it to successfully interact with its environmental niche. In addition, all of the different formulations of the general embodied cognition thesis share a common goal of developing cognitive explanations that capture the manner in which mind, body, and world mutually interact and influence one another to promote an organism’s adaptive success.

Table of Contents

  1. Motivation for the Movement
  2. General Characteristics of Embodied Cognition
    1. Primacy of Goal-Directed Actions Occurring In Real-Time
      1. Developmental Psychology
      2. Robotics/Artificial Life
    2. Form of Embodiment Constrains Kinds of Cognitive Processes
    3. Cognition is Constructive
  3. Embodied Cognition vs. Classicism/Cognitivism
  4. Philosophical Implications of the Embodied Cognition Research Program
    1. The Compatibilist Approach
    2. The Purist Approach
  5. References and Further Reading

1. Motivation for the Movement

Although ideas applied in the embodied cognition research program can be traced back to the seminal works of Heidegger, Piaget, Vygotsky, Merleau-Ponty, and Dewey, the current thesis can be seen as a direct response and, in some cases, a proposed alternative to the cognitivist/classicist view of the mind, which conceptualizes cognitive functions in terms of a computer metaphor. The cognitivist/classicist research program can be defined as a rule-based, information-processing model of cognition that 1) characterizes problem-solving in terms of inputs and outputs, 2) assumes the existence of symbolic, encoded representations which enable the system to devise a solution by means of computation, and 3) maintains that cognition can be understood by focusing primarily on an organism’s internal cognitive processes (that is, specifically those involving computation and representation). Although this research program is still prevalent, a number of problems have been raised about its viability, including the symbol-grounding problem (Searle 1980, Harnad 1990), the frame problem, the common-sense problem (Horgan and Tienson 1989), and the rule-described/expertise problem (Dreyfus 1992).

Embodied cognition theorists view cognitivist/classicist accounts as problematic for many reasons, but they are especially concerned that these accounts result in an isolationist assumption that attempts to understand cognition by focusing almost exclusively on an organism’s internal cognitive processes. Specifically, the concern is that if an isolationist assumption rests at the heart of the cognitivist/classicist research program, then the resulting explanations are inaccurate because they either underplay or completely overlook environmental factors that are essential to the formation of an accurate explanation of cognitive development. Consequently, this isolationist assumption is perceived to result in decreased explanatory power since it de-emphasizes two crucial factors that are needed to understand cognitive development: 1) the exact way organisms are embodied, and 2) the manner in which this embodied form simultaneously constrains and prescribes certain interactions within the environment. In its place, embodied cognition theorists favor a relational analysis that views the organism, the action it performs, and the environment in which it performs it as inextricably linked. Yet, before one can fully appreciate why embodied cognition theorists favor a relational over an isolationist analysis, it is necessary to discuss the theoretical assumptions that comprise the general embodied cognition framework.

2. General Characteristics of Embodied Cognition

Since the present embodied cognition research program is in its early stages, the general approach does not yet have hard and fast tenets that are agreed upon by all embodied cognition theorists. Consequently, this program is rather fluid, in that even the central researchers are striving to understand further exactly what is meant by embodied cognition. Yet, this should not prevent the characterization of the common assumptions found in most embodied cognition theories. The goal of this section is to highlight some of the most common theoretical assumptions shared by embodied accounts of cognition. The viewing of these assumptions together will provide a clearer picture of what embodied cognition roughly entails as a research program.

Once again, the central claim of embodied cognition is that an organism’s sensorimotor capacities, body and environment not only play an important role in cognition, but the manner in which these elements interact enables particular cognitive capacities to develop and determines the precise nature of those capacities. Developmental psychologist Esther Thelen (2001) further clarifies the central claim of this research program in the following passage:

To say that cognition is embodied means that it arises from bodily interactions with the world. From this point of view, cognition depends on the kinds of experiences that come from having a body with particular perceptual and motor capacities that are inseparably linked and that together form the matrix within which memory, emotion, language, and all other aspects of life are meshed. The contemporary notion of embodied cognition stands in contrast to the prevailing cognitivist stance which sees the mind as a device to manipulate symbols and is thus concerned with the formal rules and processes by which the symbols appropriately represent the world (xx).

Although embodied cognition accounts vary significantly across disciplines in terms of the specific ways in which they attempt to apply the general theory, a few common theoretical assumptions can be found in just about any embodied view one examines. These further theoretical assumptions help to flesh out the central thesis, and include 1) the primacy of goal-directed actions occurring in real-time; 2) the belief that the form of embodiment determines the type of cognition; and 3) the view that cognition is constructive. Each theoretical assumption will be explained by considering the work of a theorist whose research exemplifies the particular theoretical assumption under investigation. The first theoretical assumption, the primacy of goal-directed actions occurring in real time, is explained by considering research in robotics/artificial life and developmental psychology.

a. Primacy of Goal-Directed Actions Occurring In Real-Time

Embodied cognition theorists contend that thought results from an organism’s ability to act in its environment. More precisely, what this means is that as an organism learns to control its own movements and perform certain actions, it develops an understanding of its own basic perceptual and motor-based abilities, which serve as an essential first step toward acquiring more complex cognitive processes, such as language. Thus, goal-directed actions are described as primary for embodied theorists because these theorists argue that thought and language would not occur without the initial performance of these actions. In essence these low-level actions and movements are viewed as necessary for higher cognitive capacities to develop. In order to consider evidence in support of this initial theoretical assumption, one need only turn to the research of developmental psychologists Esther Thelen and Linda Smith (Thelen and Smith 1994, Thelen 1995). By briefly summarizing one of their numerous experiments on infant development, we can consider why many embodied cognition theorists characterize Thelen and Smith’s research as some of the most influential and convincing developmental evidence in support of this assumption that “thought grows from action and that activity is the engine of change” (Thelen 1995: 69). This discussion will highlight why the primacy of actions unfolding in real time is one of the defining theoretical assumptions of embodied accounts of cognition.

i. Developmental Psychology

In order to understand how infants learn to reach, Thelen and Smith (1994) examined four different infants from the time the babies were 3 weeks old until they were 1 year old. What Thelen and Smith conclude is that each of the four infants faced unique problems in learning to reach based on their individual energy level, body mass and the different ways in which they initially tried to reach (that is, their pre-reaching behaviors). Given these different pre-reaching movements, each of the infants had to learn a different set of strategies for controlling their arms so that the ultimate solution was specifically tailored to address the unique problem the particular infant was encountering. Thus, each infant was eventually able to overcome these developmental obstacles and learn to reach the toys, but the specific ways in which they learned this behavior varied depending upon the specific problem they were encountering. To understand how these different reaching problems translated into unique reaching solutions, let’s consider two of the infants whose reaching approaches varied considerably: Gabriel and Hannah.

Thelen and Smith describe Gabriel as an extremely active infant who was initially unable to successfully reach the toy because he would excitedly flap his arms, in seemingly random movements that were not focused enough to enable him to obtain the toy. Consequently, he had to learn to control these energetic movements so that this energy would become more focused. By learning to control these excited movements, he would then be able to produce a more controlled reaching-action that would propel his hand to the desired location. Gabriel eventually learned to reach toys after multiple unsuccessful attempts; however, these unsuccessful reaching attempts were instrumental in helping him realize how to adjust his muscle patterns so that a successful reaching pattern finally emerged that enabled him to focus his energy in the direction of the toy.

In contrast to Gabriel’s need to control wildly energetic movements, Hannah encountered quite the opposite problem. Unlike Gabriel, Hannah is described as “a quiet, contemplative infant who was visually alert and socially responsive, but motorically less active” (Thelen and Smith 1994: 259). Consequently, she did not encounter control problems, but suffered from the inability to generate enough force to overcome gravitational forces and propel her arm forward. Like Gabriel, Hannah learned to exert the proper amount of force needed to successfully reach an object through trial and error. However, her initial reaches were closer to an adult pattern than Gabriel’s because her slow movements enabled her to have more control over where her hand would encounter the toy. Thelen and Smith (1994) conclude that:

Hannah’s problem was different from Gabriel’s, but it was also the same. She, like Gabriel, had to adjust the energy of forces moving her arm—in her case to make her arm sufficiently stiff or forceful to lift it off her lap. What Gabriel and Hannah had in common, therefore, was the ability to modulate the forces they delivered to the arms to change their ongoing, but non-functional patterns to movements that brought their hands close enough to the toys for them to make contact. Their solutions were discovered in relation to their own situations, carved out of their individual landscapes, and not pre-figured by a synergy known ahead by the brain or the genes (260).

The importance of Thelen and Smith’s research becomes clear when we contrast their conclusions with the manner in which change is explained in other leading developmental theories. Thelen notes that in other theories change is explained by appealing to “some deus ex machina—’the genes,’ ‘maturation of the brain,’ ‘a shift into a new stage,’ or ‘an increase in information-processing capacity’” (Thelen 1995: 91). Such moves are problematic, Thelen argues since they merely push the level of explanation back a step so that in order to fully understand how change occurs this new theoretical mechanism must also be explained. Moreover, Thelen notes that the unique problems encountered and solved by individual infants make it extremely unlikely that the solutions were innate, since no internal mechanism could know in advance the specific “energy parameters of the system” (Thelen 1995: 90).

In contrast to these ungrounded attempts at explanation, Thelen and Smith claim to provide a theoretically-grounded, emergent conception of change by explaining change in terms of a dynamical systems framework, in which the challenge is “to understand how the system can generate its own change, through its own activity, and within its own continuing dynamics, be it the spring-like attractors of the limbs or the neural dynamics of the brain” (Thelen 1995: 91).

One advantage of a dynamic systems analysis is that it can account for how different infants must learn unique pre-reaching strategies based on their specific energy level, body mass and the different ways in which they initially tried to reach (that is, their pre-reaching behaviors). Yet, despite these different techniques, Thelen and Smith’s account still identifies the common factors that all of the infants had to learn to control: the various forces surrounding arm control, such as gravitational resistance. By developing a dynamical systems analysis of reaching behavior, Thelen and Smith provide a theoretical mechanism that tries to explain the exact way in which these different forces interact. The resulting analysis tracks how activity brings about changes in the system, so that new types of behavior emerge from behaviors the system already knows. This means of generating new patterns from those that already exist results in ‘environmental scaffolding’, since a new behavior is generated from the current resources of the system. Moreover, this dynamic systems analysis enables the researcher to track how the different movements/actions change and evolve over time. Consequently, behaviors, such as reaching, are explained in terms of interactive forces, which are mathematically understood since they are grounded in the physics of action.

One possible objection to a dynamic systems analysis of development is that this research program is limited because it will only be able to account for low-level, goal-directed action (that is, walking, reaching, etc.). Although this in itself would be a step forward, the ultimate goal is to also explain the diachronic emergence of higher-level cognitive abilities. Thus, in order to even have a chance at explaining cognitive complexity, a dynamical systems approach must bridge the gap between explaining how individuals acquire new lower-order activity patterns and explaining how they acquire higher order activity patterns, such as learning to categorize. In answer to this concern, Thelen argues that the infant’s ability to gain control over its body in order to perform various activities enables the infant to simultaneously learn certain categories. More specifically, the infant learns “that a certain category of force dynamics is appropriate for a certain class of tasks” (Thelen 1995: 95). For instance, infants learn that objects in front of them can be fun to play with. Therefore, these infants work to remember the ways in which they must change their muscle patterns in order to manipulate forces, which enables them to reach the object. Consequently, after a certain number of experiences with particular perceptual events (e.g., the toy in front of them), infants begin to recognize that action oriented solutions to these events are also generalizable (e.g., class of reaching toy behaviors). It is in this way that infants begin to associate particular patterns of force with particular events in the world. Thelen further explains that:

These early movements often look to be entirely without form or meaning. But if what neuroscientists tell us about the plasticity of the brain and how it changes is correct, infants are also continually learning something about the perceptual-motor systems and their relations to the world in their repeated spontaneous activity. That is, what infants sense and what they feel in their ordinary looking and moving are teaching their brains about their bodies and about their worlds. They are in fact exploring what range of forces delivered to their muscles get their arms in particular places and then learning from their exploration, remembering how certain categories of forces get their hands forward toward some-thing interesting (90).

Consequently, infants must learn how to perform certain activity patterns, such as reaching, and then remember when it is appropriate to generate those patterns again to achieve a desired goal. In order to effectively perform these behaviors at the appropriate times, the infant must learn to categorize particular situations and correctly apply the action solution that corresponds with that situation. For example, if a baby learns how to control its arm muscles so that it can reach a toy it desires, then it will not take long for the infant to realize that the same type of reaching behavior can also be used to grasp food. It is in this sense that the behaviors become generalized as the infant learns to use its body to explore its environment. Moreover, one might argue that the generalized categories formulated to perform these reaching behaviors could be viewed as one instance of intentional categorization emerging from action of a dynamical system.

Next, an examination of research conducted in the growing field of robotics/artificial life will further clarify why the primacy of action occurring in real time is a defining theoretical assumption that guides research in all areas of embodied cognition.

ii. Robotics/Artificial Life

Until recently, almost all of the robots built in the field of artificial intelligence were constructed according to the stored-description model. Building systems, according to the stored-description technique, requires programmers to guess at the conditions the robot will encounter, and then to spell out all of the relevant information that is needed for the system to generate an appropriate response in its environment. Determining what information to include in the system is difficult, since the programmer must anticipate everything the robot will need to know to perform its task as well as providing the robot a response to any unexpected environmental features that might throw it off task. This process of explicitly stating all of the necessary information is further complicated by the fact that the system does not start with any prior knowledge, or even a simplistic understanding of the kinds of things existing in the world. So, even if all of the relevant information is correctly represented in the system, there are still no guarantees the robot will correctly perform its task, since it must then determine what makes a piece of information relevant in one situation and not in another. Given these challenges, robots utilizing the stored description model are very brittle and tend to malfunction in environments when they encounter unexpected events, or multiple soft constraints.

In the early 1980’s, MIT roboticist Rodney Brooks became dissatisfied with the stored-description approach as well as with the general direction of artificial intelligence research. Although systems were being built that could play chess and calculate taxes, behaviors commonly associated with higher cognitive functions, Brooks argued that little progress was being made on developing systems that could quickly perform simple environmental tasks. After all, if one of the goals of robotics is to simulate how human cognitive processes work, then constructing robots only according to the stored description approach becomes problematic if these robots cannot adapt and change with their environment; abilities attributed to even simpler organisms, like insects. Therefore, Brooks decided to try to build a robot that could thrive in an environment without utilizing a central planning facility; the result was Herbert.

Herbert was designed to wander around the MIT lab disposing of empty soda cans. Although Herbert’s task might seem relatively simple, to accomplish it successfully he had to perform a number sub-tasks; including identifying empty soda cans from full ones, avoiding the stationary tables and chairs in his path, and maneuvering around the seldom-stationary people who also inhabit the lab. In order to efficiently accomplish his task of can removal, Herbert relied on what Brook’s called a “subsumption architecture,” which consisted of a number of connected layers, each responsible for performing a specific task; actions emerged from the suppression or activation of various sub-systems. As Herbert moved through his environment, he continuously encountered stimuli, which dictated which layer was activated at any given time. For instance, once Herbert’s object-detection layer successfully detected a wall obstructing its path, it activated the object-avoidance layer, which shut down the layer responsible for forward motion. The various connected layers plus the environmental stimuli ultimately determine the suppression or activation of a particular layer. Brooks argued that the subsumption architecture enables Herbert to “use the world as its own best representation” since Herbert does not need to refer to a detailed map of his surroundings before determining how to react. Instead, in systems such as Herbert, an effective interface is continually recreated between the system and the world without relying on a central planning facility to dictate commands, or encoding classicist representations.

Brook’s subsumption architecture provided an alternative to the stored-description architecture by demonstrating that a robot could quickly react in its environment without the aid of a formal plan. From a design perspective, this development was an important accomplishment since a smart tradeoff was achieved; a fast reaction time was gained by developing sub-systems/layers that generated behaviors that reacted to types of phenomena (that is, avoiding walls in general) instead of tokens (that is, avoiding wall #3). Since Herbert’s task could be successfully executed without needing to re-identify one wall from the next, Herbert’s wall avoidance layer reacts to every wall in the same manner—by avoiding it. Consequently, knowledge of tokens was traded for knowledge of types in a manner that promoted speed.

In summary, Brooks’ research in artificial life, as well as the research of many other roboticists (see also Mataric 1992, Agre and Chapman 1997, Tilden 1999, Mataric, Clancey 1997), helps to clarify the first theoretical assumption of embodied cognition: the primacy of goal-directed action occurring in real time. One reason that Brooks’ research is an excellent example of this theoretical assumption is his emphasis on developing robots that employ quick, cost-effective solutions to “everyday” problems encountered in an environment. Although much more progress needs to occur in Artificial Life before architectures are developed that are capable of explaining behaviors associated with higher cognitive processes, these early architectures are still able to do something the classicist/cognitivist systems have not: provide a preliminary attempt at modeling some of the simple, low-level behaviors that are necessary for survival.

In addition, the earlier examination of Thelen and Smith’s research provides us with another example of why embodied cognition accounts maintain that action occurring in real time is the essential to understanding cognitive development. Specifically, a dynamic systems analysis is capable of tracking the way in which behaviors evolve and unfold over time; this real-time analysis is completely missing from current classicist/cognitivist accounts of developmental change.

b. Form of Embodiment Constrains Kinds of Cognitive Processes

The next theoretical assumption to which most embodied cognition theorists ascribe is the belief that the embodiment of an organism simultaneously limits and prescribes the types of cognitive processes that are available to it. In other words, the particular way in which an organism is embodied (e.g., whether it has feet, fins, eyes, a tail, etc.) will influence how it performs goal-directed actions in the world, and the particular sensorimotor experiences connected with these actions will serve as the basis for category and concept formation.

To illustrate this point, consider how two very different organisms, a child and a puppy, will try to play with a ball. If the child wishes to get the ball, she will most likely use her hands, but she could also use her feet. Yet, she will not normally use her mouth to get the ball, even if the size of the ball does not preclude this option. This is because, aside from being culturally frowned upon, the other options enable greater control, are easier to perform, and are culturally sanctioned. However, a puppy has fewer options, and will most likely grab the ball with its mouth, since its particular form of embodiment will not enable it to grasp the ball with its paws. Although there are further differences related to how the child and puppy can perceive and interact with the ball, including the fact that the child’s visual system will include color cues, while the dog’s visual system will only enable it to see the ball in black and white, the important point is that, in each case, the way the organism is embodied constrains the options available to it.

A further point is that each of these different types of interactions (that is, grabbing with one’s hands, clutching with one’s mouth, pouncing with one’s paws, etc.) has its own set of corresponding sensorimotor experiences, which directly influence how the organism interacts with the object. This is because the continuous feedback from these sensorimotor experiences serves as the basis for how the organism understands a specific interaction. Moreover, since activities always take place in a specific environmental context, such as when a child plays soccer with a friend on a spring day, the sensorimotor driven understanding of the situation that is gained from performing the activity in these circumstances can further inform how the organism might carry out future attempts at performing the same activity.

In general, environmental factors are very important because they can influence not only what options are available to a particular organism, but also why an organism might choose one option over another when performing a particular goal-directed activity. For instance, weather conditions, the size of the ball, the rules of the game, and whether or not an individual has any broken limbs will most likely factor into their decision to throw the ball, or kick it. Yet, all of this person’s past experiences with an object in these varied activity-based contexts will in some way contribute to their current understanding of the activity. The individual’s understanding of these past experiences is directly informed by the kinds of sensorimotor experiences their form of embodiment allows.

The various sensorimotor experiences that occur while performing an action in a particular environmental context further specify the type of categories/concepts the organism is capable of forming. For instance, it is common for a small child to have a basic understanding of concepts related to macroscopic objects, such as grass, that are likely to exist in her immediate environment, while having little to no real understanding of concepts related to microscopic objects, such as bacteria, that might be found in the same environment. It is not surprising that the child gains an understanding of the macroscopic first, because these objects are the ones that she can see, taste, feel, hear, and smell unaided. In other words, she has sensorimotor experiences that are directly linked to the macroscopic objects in her environment, and these experiences serve as the foundation for concept formation. Not surprisingly, direct experience of microscopic entities will most likely occur later in the child’s life, when she is introduced to tools, such as a microscope, that will enable the detection of these entities. The child can also acquire indirect knowledge of microscopic entities if the explanation is cast in terms of those things that she already does understand, namely entities found on the macroscopic level.

In conclusion, the way in which we are embodied determines the type of action patterns we can perform and these action patterns shape our cognitive functions (that is, the way in which we can conceptualize and categorize). This is because most embodied cognition theorists argue that category and concept formation is made possible and constrained by the particular sensorimotor experiences of the organism. It is in this sense that the form of embodiment partly determines the kind of cognitive processes available to the organism. Psychologists, such as Barsalou (1983, 1997), Glenberg (1997,1999), and Thelen and Smith (1994), are but a few of the cognitive scientists who adopt this theoretical assumption even though the specific content of their individual views varies. For instance, Glenberg (1997) illustrates how cognition results from embodiment due to’mesh,’ which refers to the particular way in which affordances, knowledge, and goals combine. Yet, Barsalou (1997) develops a theory of simulation, and as demonstrated earlier, Thelen and Smith (1994) explain the emergence of this theoretical assumption according to a dynamical systems framework. Thus, all of these individuals agree with the theoretical assumption that the form of embodiment partly determines the cognitive processes available to the organism, but they still debate precisely how this occurs.

c. Cognition is Constructive

If the way we conceptualize and categorize is based on the way we are embodied, then according to embodied cognition theorists these concepts and categories are actively constructed and not merely apprehended wholesale from an observer-independent environment. The point here is that the way in which we are embodied not only constrains the way we can interact in the world, but our particular form of embodiment also partly determines the way the world appears to us. In effect, it does not follow from the existence of an observer-independent world that this world is seen in the same manner by all organisms. Instead, the claim is that certain environmental features are re-constructed depending upon a number of relevant factors, including the task at hand (that is, the goal-oriented action being performed), the functioning sensorimotor modalities, the vantage point of the organism, the form of embodiment, etc. The basic idea is that the organism actively constructs a sensorimotor representation that is based on those environmental features that are directly relevant to the goal-directed action it is currently performing. Consequently, environmental space X could be viewed differently by the same organism depending on the type of task the organism is performing in that space, primarily because the goal-directed activity determines which environmental features are relevant to the successful performance of the activity. For instance, individuals attend to different features when they are preparing to mow a stretch of grass with a lawn mover, than when they are playing soccer on it later the same day. This is because the environmental features one must observe to successfully mow the lawn are different from those that impact playing soccer well.

In direct contrast to viewing cognition as actively constructed from select environmental features, the cognitivist/classicist assumption is that the world has a set of pre-given features that are passively retrieved from the environment through representations that mirror the world; the way the organism is built and its particular goal-directed actions are not viewed as integral to the cognitivist/classicist analysis. Yet, embodied cognition theorists question the evolutionary viability of viewing cognition as passive retrieval; they maintain it is too time-consuming and unnecessary for organisms to formulate representations that completely mirror environmental features that are unrelated to the goal-directed activity the organism is currently performing. In response, the classicist/cognitivist might argue that a more serious problem results if you do claim that the embodiment of an organism determines how it will view the world; the very existence of an observer-independent world is called into question if an organism’s understanding of the world is constructed.

The embodied cognition theorist might respond that the classicist/cognitivist has misinterpreted what it means to claim that cognition is a constructive process. By constructive, Embodied theorists do not mean to imply that there is no objective, external reality and that everything is subjective. Instead, the point is that a type of mutual specification occurs between the organism and its environment, so that the way the world looks and the way in which the organism can interact in the world is primarily determined by the way the organism is embodied. So, an observer-independent world can be granted, but embodied cognition theorists claim that an organism will understand this world in terms of the unique sensorimotor relations it experiences. These fundamental sensorimotor experiences achieved through acting in the world are actively constructed to facilitate concept formation. For instance, we view our bodies as having distinct fronts and backs. Due to the characteristics we associate with each of these bodily spatial relations, linguist George Lakoff and philosopher Mark Johnson (1999) argue that we also characterize objects in the world according to these assignments (that is, go to the front of the house, that is the back of her shirt, etc.). This process is considered to be constructive because we project these characteristics onto the world because they reflect the foundational understanding we have of our own bodies.

Consequently, if we were embodied differently then we would not see the world in this particular way, but in terms of our new set of defining bodily characteristics. However, by taking into account the bodies that we do have, our actual projected spatial assignments can be traced back to sensorimotor experience, which enables the formation of spatial schemas that are projected onto a scene to facilitate reasoning without the use of deductive logic. These schemas are constructive because they do not mirror what exists in the world. Instead, these schemas structure elements within the world in such a way that the individuals can understand their environment quickly. Given this, it should not be surprising that one way for an organism to interpret its environment is in terms of something it already knows well: its own bodily interactions.

A number of arguments in support of the constructive nature of cognition are also offered In The Embodied Mind, in which cognitive scientist Francisco Varela, philosopher Evan Thompson and psychologist Eleanor Rosch argue at length that color “provides a paradigm of a cognitive domain that is neither pre-given nor represented but rather experiential and enacted” (1991:171). Specifically, Varela, Thompson, and Rosch maintain that our ability to see colors results from the active interplay of various sensorimotor modalities. The interconnected way in which these different sensorimotor modalities mutually affect one another is clearly demonstrated in the case of the colorblind painter; a neurological case study from which Varela et al are not merely arguing that color is constructive as a result of the visual system, but they are making the stronger claim that “color perception partakes of both other visual and sensory modalities” (164).

In this case study, a painter (hereafter Mr. I) who completely lost his ability to see colors after a car accident finds that this loss directly affected the way he experienced other sensorimotor experiences, such as taste and sound. As a result of his accident, he was only able to see the world in varying degrees of black, white and gray. Moreover, Mr. I was not able to imagine colors, dream in colors, or remember what colors looked like. Since he was no longer viewing the world as colored in any of these ways, Mr. I reported that the nature of his experience of the world was also affected dramatically. Reportedly, everything around him “had a distasteful, ‘dirty’ look, the whites glaring, yet discolored and off white, the black cavernous-everything wrong, unnatural, stained, and impure.” Due to this abrupt change in the way he was viewing his environment, he stated that he was no longer able to have sex or enjoy food. Moreover, Mr. I was not able to enjoy music to the degree he had before the accident since he was no longer able to visually transform musical notes into color sequences.

After living with this condition for some time, Mr. I remarked that while he was initially upset about his inability to perceive color, he now no longer misses it. In fact, he reported that his actions, tastes and behaviors have naturally adjusted over time to reflect that of a night person. He stated that “I love the night time….I often wonder about people who work at night. They never see the sunlight. They prefer it….It’s a different world: there’s a lot of space—you’re not hemmed in by streets, people….It’s a whole new world. Gradually I am becoming a night person. At one time I felt kindly toward color, very happy about it….Now I don’t even know it exists—it’s not even a phantom” (164). Varela et al. concluded that:

This description provides rare insight into how our perceived world, which we usually take for granted, is constituted through complex and delicate patterns of sensorimotor activity. Our colored world is brought forth by complex processes of structural coupling. When these processes are altered, some forms of behavior are no longer possible. One’s behavior changes as one learns to cope with new conditions and situations. And, as one’s actions change, so too does one’s sense of the world. If these changes are dramatic enough—as in Mr. I’s loss of color—then a different perceived world will be enacted (164).

This case is meant to illustrate that if one’s ability to see color is completely removed, then other sensorimotor experiences are also affected. Varela et al. argue that since vision is not the only modality affected by Mr. I’s accident, his condition provides some insight into the way in which “perception and action, sensorium and motorium, are linked together as successively emergent and mutually selecting patterns” (163).

Although color is but one example of the way in which cognition is constructive, the above case study might prompt one to ask what is the proper or correct way to view the world? According to Embodied theorists, the answer is that there is no single proper or correct way of viewing the world, since being able to correctly see the world translates into using whatever sensorimotor modalities one has to act successfully in one’s environment. Moreover, since an organism’s sensorimotor apparatus determines the way it will experience the world, many embodied theorists argue that instead of assuming that every organism shares the exact same view of the world (that is, we all view an objective reality in the same way), it makes more sense to acknowledge that an organism’s particular view of the world is the direct result of its functioning sensorimotor experiences. The point is that an organism’s knowledge of the world is primarily through its experiences within the world and these experiences are constrained by the types of functioning sensorimotor modalities it has. When one of these modalities is impaired, then its experience of the world will similarly be affected on multiple levels, since these modalities influence one another. The case of the colorblind painter illustrates the cross-modal natures of sensori-motor experience by showing that the impairment of one modality (color) affected the way the world was experienced in other modalities (taste, sound, etc.) to the point that certain previously performed actions suddenly no longer make sense. Therefore, the type of structural coupling that enables color perception to occur is a paradigm example of constructive cognition.

The theoretical assumption that at least some forms of cognition are constructive is supported by a growing number of theorists from a variety of disciplines. Varela et al. argue that the coupling that occurs between organism and environment results in constructive cognition. Lakoff and Johnson (1999) argue that cognition is constructive since it involves projecting schemas (e.g., bodily) and combining these schemas to create a metaphorical understanding of the world. Glenberg (1997, 1999), Damasio (1994), and Fauconnier and Turner (2002) are but a few of the cognitive scientists who maintain that cognition is in some way constructive. Thus, this theoretical assumption is becoming more widely supported in the embodied cognition literature.

3. Embodied Cognition vs. Classicism/Cognitivism

Based on the analysis of the above theoretical assumptions of embodied cognition, it is now possible to directly contrast the central themes of the embodied cognition research program with those commonly expressed in the classicist/cognitivist research program:

Classicist/Cognitivist View Embodied Cognition View
1. Computer metaphor of mind; rule-based, logic driven. 1. Coupling metaphor of mind; form of embodiment + environment + action constrain cognitive processes.
2. Isolationist analysis – cognition can be understood by focusing primarily on an organism’s internal processes. 2. Relational analysis-interplay among mind, body, and environment must be studied to understand cognition.
3. Primacy of computation. 3. Primacy of goal-directed action unfolding in real time.
4. Cognition as passive retrieval. 4. Cognition as active construction based upon an organism’s embodied, goal-directed actions
5. Symbolic, encoded representations 5. Sensorimotor representations

Although most embodied cognition accounts do adhere to the theoretical assumptions outlined in this entry, it is important to recognize that this rapidly changing research program encompasses a diverse group of theorists, who are continuing to refine and revise the preliminary theoretical assumptions associated with the embodied cognition view. Consequently, some accounts may reject one of the outlined assumptions, yet still identify as an embodied account of cognition.

4. Philosophical Implications of the Embodied Cognition Research Program

The ultimate claim of embodied theorists is that new insights into previously unanswered questions concerning cognitive development will be attained if cognitive scientists re-orient their approach and conduct research in a manner that acknowledges the crucial links existing among an organism’s brain, body, and world. Yet, this immediately begs the question: what does it mean for researchers to re-orient their approach? Once again, there is no consensus among the embodied cognition theorists as to what this re-orientation entails; however; there are currently two distinct views concerning how cognitive scientists should apply the general embodied cognition thesis, each with different methodological implications.

a. The Compatibilist Approach

The Compatibalist Approach to Embodied Cognition involves using a variety of methods to explain cognitive processes. In some cases, the phenomena will call for a classicist/cognitivist analysis and in other cases the methods associated with the embodied cognition framework will make more sense. Researchers who endorse this compatibalist view, such as philosopher Andy Clark (1997), argue that it would be a mistake to completely dispense with the theoretical tools associated with classicist/cognitivist models, especially since it is unclear if embodied cognition accounts will be able to adequately explain higher level processes (e.g., meta-cognitive states such as the ability to think about one’s own thoughts) without invoking on some level a computational or representational analysis. In short, embodied cognition theorists who endorse a compatibalist view to research are hedging their bets, and leaving open the possibility of utilizing tools from multiple theoretical frameworks. A potential problem with compatibalist conceptions is that it is not clear how mechanisms/tools derived from opposing theoretical frameworks can be successfully linked together, since these frameworks employ at best different, and at times mutually exclusive, assumptions about the world (that is, cognition is constructive vs. cognition is passive). Given this, one might question how mechanisms derived from a cognitivist framework can hook-up and mutually inform mechanisms derived from embodied frameworks so that a theoretically viable explanation emerges despite the fundamental theoretical differences. Perhaps it is this very concern that has led some embodied cognition theorists to endorse a more stringent form of embodied cognition: the purist approach to embodied cognition.

b. The Purist Approach

The Purist Approach to Embodied Cognition is often characterized as the radical version of the embodied cognition thesis because researchers who adopt it argue that the classicist/cognitivist thesis is incorrect. Consequently, they claim that any tools or theoretical mechanisms developed from classicist/cognitivist assumptions are also flawed. Instead, these classicist/cognitivist tools cannot be augmented, but must be completely replaced with a diverse set of tools/mechanisms that are consistent with the central embodied cognition thesis. One problem with the purist view of embodied cognition is that there is no guarantee that the necessary tools/mechanisms will be developed to enable embodied theorists to explain these higher cognitive processes, especially those specific to human cognition. Even though a number of promising theoretical tools currently exist (that is, dynamic systems theory, schemas, conceptual blending, mesh, etc.), those researchers who are adopting the purist approach are clearly gambling that more sophisticated theoretical tools/mechanisms will be developed in the near future to adequately explain the emergence of higher cognitive processes. Although it is too early to say definitively what the outcome will be, it is clear that the general embodiment thesis can no longer be ignored by researchers in cognitive science, including philosophers of mind, since the very thesis calls into question widely-held assumptions about cognition.

5. References and Further Reading

  • Brooks, R. (1991). “Intelligence without representation.” Artificial Intelligence, 47, 139-159.
  • Clancey, W. (1997). Situated Cognition: On Human Knowledge and Computer Representations. Cambridge, MA: Cambridge University Press.
  • Clark, A. (1997). Being There: Putting Brain Body and World Together Again. Cambridge, MA: MIT Press. (Recommended.)
  • Clark, A. (1999). “Embodied, situated, and distributed cognition.” In W. Betchel and G. Graham (eds), A Companion to Cognitive Science, Malden, MA: Blackwell Publishing.
  • Clark, A. and Chalmers, D. (1998). The extended mind. Analysis, 58, 7-19.
  • Cisek, P. (1999). “Beyond the Computer Metaphor: Behavior as Interaction.” In Nunez, R. and Freeman, W., Reclaiming Cognition: the primacy of action intention and emotion, Bowling Green, OH: Imprint Academic.
  • Dreyfus, H. (1972/92). What Computers Can’t Do: A Critique of Artificial Reason. New York: Harper and Row. (Third edition: What Computers Still Can’t Do. 1992. Cambridge, MA: MIT)
  • Fauconnier, G. and Turner, M. (2002). The Way We Think: Conceptual Blending and the Mind’s Hidden Complexities. New York, NY: Basic Books.
  • Glenberg, A. (1997). “What memory is for: Creating meaning in the service of action.” Behavioral and Brain Sciences, 20, 1-55.
  • Glenberg, A. (1999). “Why Mental Models Must Be Embodied.” In Mental Models in Discourse Processing and Reasoning, Rickheit, G. and Habel, C. (eds). New York: Elsevier.
  • Harnad, S. (1990). “The symbol grounding problem.” Physica D, 42,335-346.
  • Horgan, T and Tienson, J. (1989). “Representations Without Rules.” Philosophical Topics, 17 (Spring), 147-174.
  • Hutchins, E. (1995). Cognition in the Wild. Cambridge, MA: MIT Press. (Recommended.)
  • Lakoff, G., and Johnson, M. (1999). Philosophy In the Flesh: The Embodied Mind And Its Challenge To Western Thought. New York, NY: Basic Books. (Recommended.)
  • Mataric, M. J. (1992). “Integration of representation into goal-driven behavior based robots.” IEEE Transactions on Robotics and Automation, 8 (3): 304-312.
  • Searle, J. (1980). “Minds, brains, and programs.” Behavioral and Brain Sciences, 1, 417-424.
  • Thelen, E.,and Smith, L. (1994). A Dynamic Systems Approach to the Development of Cognition and Action. Cambridge, MA: MIT Press.
  • Thelen, E. (1995). “Time-scale dynamics in the development of an embodied cognition.” In Mind In Motion, ed. R. Port and T. van Gelder. Cambridge, MA: MIT Press.
  • Thelen, E., Schoner, G., Scheier, C., and Smith, L.B.(2001). “The Dynamics of Embodiment: A Field Theory of Infant Perservative Reaching.” Behavioral and Brain Sciences 24: 1-86.
  • Varela, F., Thompson, E., Rosch, E. (1991). The Embodied Mind. Cambridge, MA: MIT Press.

Author Information

Monica Cowart
Email: Monica.Cowart@merrimack.edu
Merrimack College
U. S. A.

Benedict De Spinoza (1632—1677)

SpinozaBenedict de Spinoza  was among the most important of the post-Cartesian philosophers who flourished in the second half of the 17th century. He made significant contributions in virtually every area of philosophy, and his writings reveal the influence of such divergent sources as Stoicism, Jewish Rationalism, Machiavelli, Hobbes, Descartes, and a variety of heterodox religious thinkers of his day. For this reason he is difficult to categorize, though he is usually counted, along with Descartes and Leibniz, as one of the three major Rationalists. Given Spinoza’s devaluation of sense perception as a means of acquiring knowledge, his description of a purely intellectual form of cognition, and his idealization of geometry as a model for philosophy, this categorization is fair. But it should not blind us to the eclecticism of his pursuits, nor to the striking originality of his thought.

Among philosophers, Spinoza is best known for his Ethics, a monumental work that presents an ethical vision unfolding out of a monistic metaphysics in which God and Nature are identified. God is no longer the transcendent creator of the universe who rules it via providence, but Nature itself, understood as an infinite, necessary, and fully deterministic system of which humans are a part. Humans find happiness only through a rational understanding of this system and their place within it. On account of this and the many other provocative positions he advocates, Spinoza has remained an enormously controversial figure. For many, he is the harbinger of enlightened modernity who calls us to live by the guidance of reason. For others, he is the enemy of the traditions that sustain us and the denier of what is noble within us. After a review of Spinoza’s life and works, this article examines the main themes of his philosophy, primarily as they are set forth in the Ethics.

Table of Contents

  1. Life and Works
  2. Geometric Method and the Ethics
  3. Metaphysics
    1. Substance Monism
      1. Definitions
      2. Preliminary Propositions
      3. Substance Monism Demonstrated
    2. The Modal System
      1. Natura naturans and Natura naturata
      2. Two Types of Mode
      3. Causal Determinism
      4. Causal Parallelism
  4. Mind and Cognition
    1. The Mind as the Idea of the Body
    2. Imagination
      1. Sense Perception
    3. Inadequate Ideas
    4. Adequate Ideas
    5. Three Kinds of Knowledge
  5. Psychology
    1. Rejection of Free-Will
    2. The Conatus Principle
    3. The Affects
    4. Bondage
  6. Ethics
    1. Freedom from the Passions
    2. Conatus and the Guidance of Reason
    3. Knowledge of God as the Highest Good
    4. Intellectual Love of God and Human Blessedness
    5. Eternity of the Mind
    6. Conclusion
  7. References and Further Reading
    1. Texts and Translations of Spinoza
    2. General Studies Suitable as Introductions
    3. More Advanced and Specialized Studies
    4. Collected Essays on Spinoza

1. Life and Works

Spinoza came into the world a Jew. Born in 1632, he was the son of Marrano parents. They had immigrated to Amsterdam from Portugal in order to escape the Inquisition that had spread across the Iberian Peninsula and live in the relatively tolerant atmosphere of Holland. Spinoza’s father, Michael, was a successful merchant and a respected member of the community. His mother, Hanna, the second of Michael’s three wives, died in 1638, just before Spinoza was to turn six.

The young Spinoza, given the name Baruch, was educated in his congregation’s academy, the Talmud Torah school. There he received the kind of education that the community deemed necessary to constitute one as an educated Jew. This largely consisted of religious study , including instruction in Hebrew, liturgy, Torah, prophetic writings, and rabbinical commentaries. Although Spinoza no doubt excelled in these, he did not move on to the higher levels of study which focused on the Talmud and were typically undertaken by those preparing for the rabbinate. Whether by desire or by necessity, Spinoza left the school in order to work in his father’s business, which he eventually took over with his half-brother, Gabriel.

The Jewish community in Amsterdam was by no means a closed one , but Spinoza’s commercial activities put him in touch with more diverse currents of thought than those to which he had hitherto been exposed. Most significantly, he came into contact with so-called ‘free-thinking’ Protestants – dissenters from the dominant Calvinism – who maintained a lively interest in a wide range of theological issues, as well as in the latest developments in philosophy and science. This naturally included the work of Descartes, which was regarded by many in Holland to be the most promising of several alternatives to scholasticism that had emerged in recent decades. In order to discuss their interests, these free-thinkers organized themselves into small groups, they called colleges, which met on a regular basis. Spinoza may have attended such meetings as early as the first half of the 1650’s, and it is most likely here that he received his first exposure to Cartesian thought.

This is not to say that Spinoza ceased to mine the resources of his own tradition – he became steeped, for example, in the writings of such philosophically important figures as Maimonides and Gersonides – but his intellectual horizons were expanding and he was experiencing a restlessness that drove him to look further afield. It was at this time that he placed himself under the tutelage of an ex-Jesuit, Franciscus Van den Enden, who had recently set up a Latin school in Amsterdam. Van den Enden turned out to be the perfect teacher for Spinoza. In addition to having an excellent reputation as a Latinist, he was a medical doctor who kept abreast of all that was new in the sciences. He was also notorious for his allegedly irreligious cast of mind, and he was a passionate advocate of democratic political ideals. It is safe to say that Spinoza’s studies with Van den Enden included more than lessons on how to decline nouns.

Spinoza’s intellectual reorientation, however, came at a cost. His increasingly unorthodox views and, perhaps, laxity in his observance of the Jewish law strained his relations with the community. Tensions became so great that, in 1656, the elders of the synagogue undertook proceedings to excommunicate him. Without providing details, the writ of excommunication accuses him of ‘abominable heresies’ and ‘monstrous deeds’. It then levels a series of curses against him and prohibits others from communicating with him, doing business with him, reading anything he might write, or even coming into close proximity with him. Spinoza may still have been a Jew, but he was now an outcast.

Little is known about Spinoza’s activities in the years immediately following his excommunication. He continued his studies with Van den Enden and occasionally took up residence in his teacher’s home. As it was now impossible for him to carry on in commerce, it was most likely at this time that he took up lens grinding as an occupation. There is also evidence that he traveled periodically to Leiden to study at the university. There he would have received formal instruction in Cartesian philosophy and become familiar with the work of prominent Dutch Cartesians. In 1661, he settled near Leiden, in the town of Rijnsburg.

It was during this same period, in the late 1650’s, that Spinoza embarked upon his literary career. His first work, the Treatise on the Emendation of the Intellect, is an attempt to formulate a philosophical method that would allow the mind to form the clear and distinct ideas that are necessary for its perfection. It contains, in addition, reflection upon the various kinds of knowledge, an extended treatment of definition, and a lengthy analysis of the nature and causes of doubt. For reasons that are unknown, the Treatise was left unfinished, though it appears that Spinoza always intended to complete it. Shortly thereafter, while in Rijnsburg, Spinoza set to work on his Short Treatise on God, Man, and His Well-Being. This work, circulated privately among friends, foreshadows many of the themes of his mature work, the Ethics. Most notably, it contains an unambiguous statement of the most famous of Spinoza’s theses – the identity of God and Nature.

Spinoza’s stay in Rijnsburg was brief. In 1663 he moved to the town of Voorburg, not far from The Hague, where he settled into a quiet, but busy, life. At the behest of friends, he immediately set about preparing for publication a set of lessons that he had given to a student in Leiden on Descartes’s Principles of Philosophy. The result was the only work that he was to publish under his own name, now Latinized to Benedict: René Descartes’s Principles of Philosophy, Parts I and II, Demonstrated According to the Geometric Method by Benedict de Spinoza of Amsterdam. As a condition of publication, Spinoza had his friend, Lodewijk Meyer, write a preface to the work, warning the reader that his aim was exposition only and that he did not endorse all of Descartes’s conclusions. He also appended a short piece, entitled Metaphysical Thoughts, in which he sketched some of his own views. Despite his admiration for Descartes, Spinoza did not want to be seen as a Cartesian.

Spinoza’s work on Descartes shows him to have been interested from early on in the use of geometric method in philosophy. In addition to putting parts of the Principles into geometric form, he began experimenting with geometric demonstrations of material taken from his own Short Treatise. It was out of this experimentation that the idea arose for a fully geometric presentation of his thought. He began work on this sometime in the early 1660’s, and by 1665 substantial portions of what was to become the Ethics were circulating in draft form among his friends back in Amsterdam. Though he was well into the project by then, the political and religious climate of the day made Spinoza hesitant to complete it . He chose to exercise caution and suspended work on it, turning instead to a book that would prepare an audience receptive to the Ethics. This was the Theological-Political Treatise, which he completed and published anonymously in 1670.

Spinoza’s aim in the Theological-Political Treatise was to argue that the stability and security of society is not undermined but, rather, enhanced by freedom of thought, meaning primarily the freedom to philosophize. As is clear from the text, he considered the primary threat to this freedom emanated from the clergy, whom he accused of playing upon the fears and superstitions of people in order to maintain power. His solution was to divest the clergy of all political power, even to the point of placing authority over the practice of religion in the hands of the sovereign. The sovereign, Spinoza argued, should extend broad liberties within this domain, requiring adherence to no more than a minimal creed that was neutral with respect to competing sects and the meaning of which was open to a variety of interpretations. This, he hoped, would allow philosophers the freedom to do their work unencumbered by the constraints of sectarianism.

As was to be expected, the Theological-Political Treatise was met with a firestorm of criticism. It was condemned as a work of evil, and its author was accused of having nefarious intentions in writing it. Even some of Spinoza’s closest friends were deeply unsettled by it. Though he had assiduously tried to avoid it, Spinoza found himself embroiled in heated religious controversy and saddled with a reputation for atheism, something he greatly resented.

Spinoza’s last move, in 1670, was to The Hague, where he was to live out his remaining years. Besides having to deal with fallout from his Theological-Political Treatise, he witnessed a political revolution that culminated in the murder of the Grand Pensionary of Holland, Jan De Witt, along with his brother, Cornelius, by an angry mob of Orangist-Calvinists. Spinoza admired De Witt for his liberal policies and was horrified at the murder. With the ascent of the Orangist-Calvinist faction, he felt his own situation to be tenuous.

Despite these distractions, Spinoza pressed on. He undertook new projects, including the writing of a Hebrew grammar, and he turned back to work on the Ethics. Given the hostility with which the Theological-Political Treatise was met and the realities of the new political landscape, he must have done so with a deep sense of pessimism about its chances for success. By 1675 it was complete. As he perceived his enemies to have grown in influence and opportunity, however, Spinoza decided against publishing it. Public viewing of the definitive statement of his philosophy would have to wait until after his death.

By this time Spinoza was in a state of failing health. Weakened by a respiratory illness, he devoted the last year of his life to writing a work of political philosophy, his Political Treatise. Though left unfinished at his death, Spinoza’s intention was to show how governments of all types could be improved and to argue for the superiority of democracy over other forms of political organization. Following the lead of Machiavelli and Hobbes, his argument was to be non-utopian, based on a realistic assessment of human nature drawn from the psychological theory set forth in the Ethics. In the part he did finish, Spinoza showed himself to be an astute analyst of diverse constitutional forms and an original thinker among liberal social contract theorists.

Spinoza died peacefully in his rented room in The Hague in 1677. He left no will, but the manuscripts of his unpublished works—the Treatise on the Emendation of the Intellect, the Ethics, the Hebrew Grammar, and the Political Treatise along with his correspondence—were found in in his desk. These were immediately shipped to Amsterdam for publication, and in short order they appeared in print as B.D.S. Opus Posthuma. But even in death Spinoza could not escape controversy; in 1678, these works were banned throughout Holland.

2. Geometric Method and the Ethics

Upon opening Spinoza’s masterpiece, the Ethics, one is immediately struck by its form. It is written in the style of a geometrical treatise, much like Euclid’s Elements, with each book comprising a set of definitions, axioms, propositions, scholia, and other features that make up the formal apparatus of geometry. One wonders why Spinoza would have employed this mode of presentation. The effort it required must have been enormous, and the result is a work that only the most dedicated of readers can make their way through.

Some of this is explained by the fact that the seventeenth century was a time in which geometry was enjoying a resurgence of interest and was held in extraordinarily high esteem, especially within the intellectual circles in which Spinoza moved. We may add to this the fact that Spinoza, though not a Cartesian, was an avid student of Descartes’s works. As is well known, Descartes was the leading advocate of the use of geometric method within philosophy, and his Meditations was written more geometrico, in the geometrical style. In this respect the Ethics can be said to be Cartesian in inspiration.

While this characterization is true, it needs qualification. The Meditations and the Ethics are very different works, not just in substance, but also in style. In order to understand this difference one must take into account the distinction between two types of geometrical method, the analytic and the synthetic. Descartes explains this distinction as follows:

Analysis shows the true way by means of which the thing in question was discovered methodically and as it were a priori, so that if the reader is willing to follow it and give sufficient attention to all points, he will make the thing his own and understand it just as perfectly as if he had discovered it for himself. . . . . Synthesis, by contrast, employs a directly opposite method where the search is, as it were, a posteriori . . . . It demonstrates the conclusion clearly and employs a long series of definitions, postulates, axioms, theorems and problems, so that if anyone denies one of the conclusions it can be shown at once that it is contained in what has gone before, and hence the reader, however argumentative or stubborn he may be, is compelled to give his assent. (CSM II,110-111)

The analytic method is the way of discovery. Its aim is to lead the mind to the apprehension of primary truths that can serve as the foundation of a discipline. The synthetic method is the way of invention. Its aim is to build up from a set of primary truths a system of results, each of which is fully established on the basis of what has come before. As the Meditations is a work whose explicit aim is to establish the foundations of scientific knowledge, it is appropriate that it employs the analytic method. The Ethics, however, has another aim, one for which the synthetic method is appropriate.

As its title indicates, the Ethics is a work of ethical philosophy. Its ultimate aim is to aid us in the attainment of happiness, which is to be found in the intellectual love of God. This love, according to Spinoza, arises out of the knowledge that we gain of the divine essence insofar as we see how the essences of singular things follow of necessity from it. In view of this, it is easy to see why Spinoza favored the synthetic method. Beginning with propositions concerning God, he was able to employ it to show how all other things can be derived from God. In grasping the order of propositions as they are demonstrated in the Ethics, we thus attain a kind of knowledge that approximates the knowledge that underwrites human happiness. We are, as it were, put on the road towards happiness. Of the two methods it is only the synthetic method that is suitable for this purpose.

3. Metaphysics

Although the Ethics is not principally a work of metaphysics, the system it lays out stands as one of the great monuments in the tradition of grand metaphysical speculation. What is perhaps most noteworthy about this system is that it is a species of monism – the doctrine that all of reality is in some significant sense one. In Spinoza’s case, this is exemplified by the claim that there is one and only one substance. This substance he identifies as God. While monism has had its defenders in the west, they have been few and far between. Spinoza is arguably the greatest among them.

a. Substance Monism

Spinoza builds his case for substance monism in a tightly reasoned argument that culminates in IP14. We may best follow the course of this argument by taking it in three parts. First, we examine four definitions that play a crucial role in the argument. Second, we look at two propositions to which the demonstration of IP14 appeals. And third, we turn to the demonstration of IP14 itself.

i. Definitions

Among the eight definitions that open Book One of the Ethics, the following four are most important to the argument for substance monism:

ID3: By substance I understand what is in itself and is conceived through itself, that is, that whose concept does not require the concept of another thing, from which it must be formed.

This definition has two components. First, a substance is what exists in itself. This is to say that it is an ultimate metaphysical subject. While other things may exist as features of a substance, substance does not exist as a feature of anything else. Second, a substance is what is conceived through itself. This is to say that the idea of a substance does not involve the idea of any other thing. Substances are both ontologically and conceptually independent.

ID4: By attribute I understand what the intellect perceives of a substance, as constituting its essence.

An attribute is not just any property of a substance – it is its very essence. So close is the association of an attribute and the substance of which it is an attribute that Spinoza denies that there is a real distinction between them.

ID5: By mode I understand the affections of a substance, or that which is in another through which it is also conceived.

A mode is what exists in another and is conceived through another. Specifically, it exists as a modification or an affection of a substance and cannot be conceived apart from it. In contrast to substances, modes are ontologically and conceptually dependent.

ID6: By God I understand a being absolutely infinite, that is, a substance consisting of an infinity of attributes, of which each one expresses an eternal and infinite essence.

God is an infinite substance. By this Spinoza means both that the number of God’s attributes is unlimited and that there is no attribute that God does not possess. As we make our way through the Ethics, we learn that only two of these attributes can be known by the human mind. These are thought and extension.

ii. Preliminary Propositions

Spinoza moves from these definitions to demonstrate a series of propositions concerning substance in general and God in particular on the basis of which he will demonstrate that God is the one and only substance. The following two propositions are landmarks in the overall argument and are explicitly invoked in the demonstration of IP14:

IP5: In Nature there cannot be two or more substances of the same nature or attribute.

In support of this proposition, Spinoza argues that if two or more substances were to exist they would be differentiated either by a difference in modes or by a difference in attributes. However, they could not be differentiated by a difference in modes, for substances are prior in nature to their modes. Thus, they would have to be differentiated by a difference in attributes. Controversially, Spinoza takes this to entail that no two substances can have exactly the same set of attributes, nor can they have a common attribute. Substances must be entirely dissimilar to one another.

IP11: God, or a substance consisting of infinite attributes, each of which expresses eternal and infinite essence, necessarily exists.

In support of this proposition, Spinoza offers a variant of the so-called Ontological Argument. The basic consideration upon which this variant rests is that it pertains to the nature of substance to exist. Spinoza establishes this earlier, in IP7, by appealing to the fact that substances, being entirely dissimilar to one another, cannot produce one another. Since nothing else can produce a substance, substances must be self-caused, which is to say that it pertains to the nature of substance to exist. To imagine that God does not exist is thus absurd. As a substance consisting of infinite attributes, it pertains to the divine nature to exist.

iii. Substance Monism Demonstrated

With these propositions in place, Spinoza has everything he needs to demonstrate that there is one and only one substance and that this substance is God:

IP14: Except God, no substance can be or be conceived.

The demonstration of this proposition is exceedingly simple. God exists (by IP11). Since God possesses every attribute (by ID6), if any substance other than God were to exist, it would possess an attribute in common with God. But, since there cannot be two or more substances with a common attribute (by IP5), there can be no substance other than God. God is the one and only substance.

The implications of this proposition are startling, and Spinoza can be seen to be working them out through the remainder of the Ethics. Most obviously, this proposition marks a break with the substance pluralism advocated by the majority of philosophers in the west. Even Descartes, from whom Spinoza learned much in the area of metaphysics, posited a plurality of mental and physical substances, along with God, whom he regarded as the paradigm of a substance. More importantly, it signals a rejection of classical theism, the idea that God is the creator of the universe who remains ontologically distinct from it and governs it according to his sovereign will. Spinoza has nothing but scorn for this idea and dismisses it as a product of the imagination. How it is that he reconceptualizes the relation between God, the infinite substance, and the order of finite things, becomes clear only as we turn to his account of the modal system.

b. The Modal System

In line with his rejection of classical theism, Spinoza famously identifies God with Nature. Nature is no longer seen as a power that is distinct from and subordinate to God, but as a power that is one and the same with divine power. Spinoza’s phrase ‘Deus sive Natura’ (‘God or Nature’) captures this identification and is justly celebrated as a succinct expression of his metaphysics. In isolation, however, the phrase is relatively uninformative. It tells us nothing about how Spinoza, having rejected the creator/creation relation posited by the classical model, conceives of the relation between God and the system of modes.

i. Natura naturans and Natura naturata

To fill out his thoughts on this matter, Spinoza distinguishes between Nature taken in its active or productive aspect, which he identifies with God or the divine attributes, and Nature taken in its derivative or produced aspect, which he identifies with the system of modes. The former he calls Natura naturans(literally: Nature naturing) and the latter he calls Natura naturata (literally: Natura natured). Spinoza’s use of these formulas is revealing in two respects. First, his double employment of ‘Natura‘ signals the ontological unity that exists between God and the system of modes. Each mode within the system is a modification of nothing other than the very substance that is God. Second, his employment of the active ‘naturans‘ in the first and the passive ‘naturata‘ in the second signals a causal relation between God and the modal system. God is not merely the subject of modes; he is an active power that produces and sustains them.

In view of the ontological unity that exists between God and the modal system, Spinoza is careful to specify that the divine causality is immanent rather that transitive. What this means is that God’s causal activity does not pass outside of the divine substance to produce external effects, as it would if God were a creator in the traditional sense. Rather, it remains wholly within the divine substance to produce the multitude of modes that constitute the modal system. Spinoza likens this to the way in which the nature of a triangle is productive of its own essential properties: “From God’s supreme power, or infinite nature, infinitely many things in infinitely many modes, that is, all things, have necessarily flowed, or always follow, by the same necessity and in the same way as from the nature of a triangle it follows, from eternity and to eternity, that its three angles are equal to two right angles” (IP17S1). The entire modal system, Natura naturata, follows immanently from the divine nature, Natura naturans.

ii. Two Types of Mode

Into this relatively simple picture, Spinoza introduces a complication. There are, he says, two types of mode. The first consists in what he calls infinite and eternal modes. These are pervasive features of the universe, each of which follows from the divine nature insofar as it follows from the absolute nature of one or another of God’s attributes. Examples include motion and rest under the attribute of extension and infinite intellect under the attribute of thought. The second consists in what may be called finite and temporal modes, which are simply the singular things that populate the universe. Modes of this type follow from the divine nature as well, but do so only as each follows from one or another of God’s attributes insofar as it is modified by a modification that is itself finite and temporal. Examples include individual bodies under the attribute of extension and individual ideas under the attribute of thought.

Unfortunately, Spinoza does little to explain either what these infinite and eternal modes are or what relation they have to finite and temporal modes. Taking their cue from a statement in the Treatise on the Emendation of the Intellect that the laws of nature are embedded in the infinite and eternal modes, many commentators have suggested that Spinoza thought of these modes as governing the manner in which finite modes affect one another. For example, if laws of impact are somehow embedded in the infinite and eternal mode motion and rest, then the outcome of any particular collision will be determined by that mode together with the relevant properties (speed, direction, size, etc) of the bodies involved. If this is correct, then Spinoza envisions every finite mode to be fully determined by intersecting lines of causality: a horizontal line that stretches back through the series of antecedent finite modes and a vertical line that moves up through the series of infinite modes and terminates in one or another of the attributes of God.

iii. Causal Determinism

However it may be that Spinoza ultimately conceives of the relation between infinite and finite modes, he is clear about one thing – the system of modes is an entirely deterministic system in which everything is fully determined to be and to act:

IP29: In nature there is nothing contingent, but all things have been determined from the necessity of the divine nature to exist and produce an effect in a certain way.

Spinoza reminds us that God’s existence is necessary. It pertains to the very nature of substance to exist. Furthermore, since each and every mode follows from the necessity of the divine nature, either from the absolute nature of one or another of God’s attributes, as is the case with the infinite and eternal modes, or from one or another of God’s attributes insofar as it is modified by a modification that is finite, as is the case with the finite modes, they are all necessary as well. Since there is nothing other than the divine substance and its modes, there is nothing that is contingent. Any appearance of contingency is the result of a defect in knowledge, either of God or of the order of causes. Accordingly, Spinoza makes it central to his theory of knowledge that to know a thing adequately is to know it in its necessity, as it has been fully determined by its causes.

iv. Causal Parallelism

An obvious question to ask at this point is whether it is possible for finite modes falling under one attribute to act upon and determine finite modes falling under another attribute. Spinoza’s answer is an unambiguous no. Causal relations exist only among modes falling under the same attribute. His explanation for this may be traced back to an axiom set forth at the beginning of Book One:

IA4: The knowledge of an effect depends on, and involves, the knowledge of its cause.

Given this axiom, if a finite mode falling under one attribute were to have God as its cause insofar as he is considered under a different attribute, i.e., if it were to be caused by a finite mode falling under a different attribute, then the knowledge of that mode would involve the knowledge of that other attribute. Since it does not, that mode cannot have God as its cause insofar as he is considered under some other attribute. In other words, it cannot be caused by a finite mode falling under some other attribute.

When applied to modes falling under those attributes of which we have knowledge – thought and extension – this has an enormously important consequence. There can be no causal interaction between ideas and bodies. This does not mean that ideas and bodies are unrelated to one another. Indeed, it is one of the best-known theses in the Ethics that the lines of causation that run among them are strictly parallel:

IIP7: The order and connection of ideas is the same as the order and connection of things.

In the demonstration of this proposition Spinoza says that it is a consequence of IA4 and leaves it at that. Nevertheless, it is apparent that this proposition has deep foundations in his substance monism. As thought and extension are not attributes of distinct substances, so ideas and bodies are not modes of distinct substances. They are “one and the same thing, but expressed two ways” (IIP7S). If ideas and bodies are one and the same thing, however, their order and connection must be the same. The doctrine of substance monism in this way insures that ideas and bodies, though causally independent, are causally parallel.

4. Mind and Cognition

It is at this point that Spinoza’s metaphysics touches upon his theory of mind and yields some of its most profound consequences. Most obviously, substance monism prohibits him from affirming the kind of dualism that Descartes affirmed, one in which mind and body are conceived as distinct substances. What is more, his contention that modes falling under different attributes have no causal interaction but are causally parallel to one another prohibits him from affirming that mind and body interact. Because he takes seriously the reality of the mental while rejecting dualism and eliminating interaction, Spinoza’s views on the mind are generally given a sympathetic hearing in a way that Descartes’s views are not.

a. The Mind as the Idea of the Body

To understand Spinoza’s account of the mind we must begin with IIP7. This proposition, together with its scholium, commits him to the thesis that for each finite mode of extension there exists a finite mode of thought that corresponds to it and from which it is not really distinct. More elaborately, it commits him to the thesis that (1) for each simple body there exists a simple idea that corresponds to it and from which it is not really distinct and (2) for each composite body there exists a composite idea that corresponds to it and from which it is not really distinct, composed, as it were, of ideas corresponding to each of the bodies of which the composite body is composed. Spinoza counts all of these ideas, whether simple or composite, as minds. In this respect he does not consider the human mind to be unique. It is simply the idea that corresponds to the human body.

In taking this position, Spinoza does not mean to imply that all minds are alike. As minds are expressions of the bodies to which they correspond in the domain of thought, some have abilities that others do not. Simply put, the greater the capacity of a body for acting and being acted upon, the greater the capacity of the mind that corresponds to it for perception. Spinoza elaborates:

[I]n proportion as a body is more capable than others of doing many things at once, or being acted on in many ways at once, so its mind is more capable than others of perceiving many things at once. And in proportion as the actions of a body depend more on itself alone, and as other bodies concur with it less in acting, so its mind is more capable of understanding distinctly. And from these [truths] we know the excellence of one mind over the others. (IIP13S)

Herein lies the explanation of the excellence of the human mind. The human body, as a highly complex composite of many simple bodies, is able to act and be acted upon in myriad ways that other bodies cannot. The human mind, as an expression of that body in the domain of thought, mirrors the body in being a highly complex composite of many simple ideas and is thus possessed of perceptual capacities exceeding those of other, non-human minds. Only a mind that corresponds to a body of complexity comparable to that of the human body can have perceptual abilities comparable to those of the human mind.

b. Imagination

A perceptual ability that is of particular interest to Spinoza is imagination. This he takes to be a general capacity of representing external bodies as present, whether they are actually present or not. Imagination thus includes more than the capacity to form those mental constructs that we normally consider to be imaginative. It includes memory and sense perception as well. Since it is clearly impossible to get around in the world without this, Spinoza concedes that it is “in this way [that] I know almost all the things that are useful in life” (TIE 22).

That being said, Spinoza consistently opposes imagination to intellect and views it as providing no more than confused perception. To use his preferred terminology, the ideas of the imagination are inadequate. They may be essential for getting around in the world, but they give us a distorted and incomplete picture of the things in it. To understand why, it is useful to begin with sense perception. This is the most important form of imaginative perception, and it is from this form that all others derive.

i. Sense Perception

On Spinoza’s account, sense perception has its origin in the action of an external body upon one or another of the sensory organs of one’s own body. From this there arises a complex series of changes in what amounts to the body’s nervous system. As the mind is the idea of the body, it will represent these changes. This, Spinoza contends, is what constitutes sense perception.

In order to explain how this act of representation yields perception of an external body, Spinoza appeals to the fact that the changed state of one’s body is a function both of the nature of one’s body and the nature of the external body that caused that state. Because of this, the mind’s representation of that state will express something more than the nature of one’s own body. It will express the nature of the external body as well:

IIP16: The idea of any mode in which the human body is affected by external bodies must involve the nature of the human body and at the same time the nature of the external body.

It is this feature of the mind’s act of representation – that it expresses the nature of an external body – that explains how such an act constitutes sense perception.

c. Inadequate Ideas

In view of this it is not difficult to see why Spinoza judges sense perception to be inadequate. Grounded as it is in the mind’s representation of the state of one’s own body rather than in the direct representation of external bodies, sense perception is indirect. Since this goes for all imaginative ideas, the problem with them all is the same:

IIP16C2: It follows, second, that the ideas which we have of external bodies indicate the condition of our own body more than the nature of the external bodies.

It is because of this that Spinoza refers to the ideas of the imagination as confused. The vision they give of external bodies is unavoidably colored, so to speak, by the lens of one’s own body.

Confusion, however, is just one aspect of the inadequacy of imaginative ideas. Such ideas are also mutilated. The reason for this lies in IA4, which states that the knowledge of an effect depends upon and involves the knowledge of its causes. This is a condition that imaginative ideas can never satisfy. The mind may contain the idea of an external body, but it cannot contain ideas of all of the causes of that body. These, being infinite, fall outside of its scope and are fully contained only in God’s infinite intellect. God’s ideas of bodies may be adequate, but ours are not. They are cut off from those ideas that are necessary in order to render them adequate.

d. Adequate Ideas

Although imaginative ideas of external bodies are the most important examples of inadequate ideas, they are not the only examples. Spinoza goes on to show that the mind’s ideas of the body, its duration, and its parts are all inadequate. So too is the mind’s idea of itself. Even so, he remains optimistic about the possibility of adequate ideas.

This optimism becomes evident as Spinoza shifts his attention from imaginative ideas of singular things to intellectual ideas of common things. These common things are things that are either common to all bodies or common to the human body and certain bodies by which the human body is regularly affected. Spinoza tells us little else about these common things, except to say that they are fully present in the whole and in each of the parts of every body in which they are present. Nevertheless, it is fairly certain that the class of things common to all bodies includes the attribute of extension and the infinite and eternal mode of motion and rest. What is included in the class of things common to the human body and those bodies by which the human body is regularly affected is not so certain. Whatever they turn out to be, however, Spinoza assures us that our ideas of them can only be adequate.

To see why, consider some thing, A, that is common to the human body and some body by which the human body is affected. A, Spinoza contends, will be fully present in the affection that arises in the human body as a result of the action of the external body, just as it is in the two bodies themselves. As a result, the mind, in possessing the idea of that affection, not only will have the idea of A, but its idea will be neither confused nor mutilated. The mind’s idea of A will be adequate.

This result is of utmost importance. Because any idea that follows from an adequate idea is itself adequate, these ideas, appropriately called common notions, can serve as axioms in a deductive system. When working out this system, the mind engages in a fundamentally different kind of cognition than when it engages in any of the various forms of imaginative perception. In all forms of imaginative perception the order of ideas mirrors the order of bodily affections, and this order, depending as it does upon the chance encounters of the body with external bodies, is entirely fortuitous. By contrast, the derivation of adequate ideas from common notions within a deductive system follows a wholly different order. This Spinoza calls the order of reason. The paradigm case is geometry.

e. Three Kinds of Knowledge

With this distinction between adequate and inadequate perception in place, Spinoza introduces a set of further distinctions. He begins with inadequate perception, which he now calls knowledge of the first kind, and divides it into two parts. The first consists of knowledge from random experience (experientia vaga). This is knowledge “from singular things which have been represented to us through the senses in a way which is mutilated, confused, and without order for the intellect”(P40S2). The second consists of knowledge from signs (ex signis), “for example, from the fact that, having heard or read certain words, we recollect things, and form certain ideas of them, like those through which we imagine the things”(P40S2). What links both of these forms of knowledge is that they lack a rational order. It is obvious that knowledge from random experience follows the order of the affections of the human body, but so does knowledge from signs. A Roman who hears the word ‘pomum‘, for instance, will think of an apple, not because there is any rational connection between the word and the object, but only because they have been associated in his or her experience.

When we reach what Spinoza calls the second kind of knowledge, reason (ratio), we have ascended from an inadequate to an adequate perception of things. This type of knowledge is gained “from the fact that we have common notions and adequate ideas of the properties of things” (P40S2). What Spinoza has in mind here is what was just indicated, namely, the formation of adequate ideas of the common properties of things and the movement by way of deductive inference to the formation of adequate ideas of other common properties. Unlike in the case of knowledge of the first kind, this order of ideas is rational.

We might think that in attaining this second kind of knowledge we have attained all that is available to us. However, Spinoza adds a third type, which he regards as superior. He calls this intuitive knowledge (scientia intuitiva) and tells us that it “proceeds from an adequate idea of the formal essence of certain attributes of God to the adequate knowledge of the [formal] essence of things”(P40S2). Unfortunately, Spinoza is once again obscure at a crucial junction, and it is difficult to know what he has in mind here. He seems to be envisioning a type of knowledge that gives insight into the essence of some singular thing together with an understanding of how that essence follows of necessity from the essence of God. Furthermore, the characterization of this kind of knowledge as intuitive indicates that the connection between the individual essence and the essence of God is grasped in a single act of apprehension and is not arrived at by any kind of deductive process. How this is possible is never explained.

Problems of obscurity aside, we can still see something of the ideal at which Spinoza is aiming. Inadequate ideas are incomplete. Through them we perceive things without perceiving the causes that determine them to be, and it is for this reason that we imagine them to be contingent. What Spinoza is offering with the third kind of knowledge is a way of correcting this. It is important to note, however, that he is not proposing that we can have this knowledge with respect to the durational existence of any particular item. As we have already seen, this would require having ideas of all of the temporal causes of a thing, which are infinite. Rather, he is proposing that we can have it with respect to the essence of a singular thing as it follows from the essence of God. To have this kind of knowledge is to understand the thing as necessary rather than contingent. It is, to use Spinoza’s famous phrase, to regard it sub quadam specie aeternitatis, under a certain aspect of eternity.

5. Psychology

One of the most interesting but understudied areas of Spinoza’s thought is his psychology, the centerpiece of which is his theory of the affects. Spinoza, of course, was not the first philosopher to take an interest in the affects. He had only to look to the work of Descartes and Hobbes in the previous generation and to the work of the Stoics before them to find sustained discussions of the topic. His own work shows that he learned much from these thinkers.

Despite his debts, Spinoza expressed deep dissatisfaction with the views of those who had preceded him. His dissatisfaction reflects the naturalistic orientation that he wished to bring to the subject:

Most of those who have written about the affects, and men’s way of living, seem to treat, not of natural things, which follow the common laws of Nature, but of things which are outside Nature. Indeed they seem to conceive man in Nature as a dominion within a dominion. For they believe that man disturbs, rather than follows, the order of Nature, that he has absolute power over his actions, and that he is determined only by himself. (III Preface)

In opposition to what he saw as a tendency on the part of previous philosophers to treat humans as exceptions to the natural order, Spinoza proposes to treat them as subject to the same laws and causal determinants as everything else. What emerges can best be described as a mechanistic theory of the affects.

a. Rejection of Free-Will

In working out this new perspective, the first thing on Spinoza’s agenda is to clear away what he sees as the most pervasive confusion that we as humans have about ourselves. This is the belief in free-will. Spinoza has nothing but scorn for this belief and treats it as a delusion that arises from the fact that the ideas we have of our actions are inadequate. “[M]en believe themselves to be free,” he writes, “because they are conscious of their own actions and are ignorant of the causes by which they are determined” (IIIP2S). If we were to acquire adequate ideas of our actions, since these would carry with them knowledge of their causes, we would immediately see this belief as the delusion that it is.

Spinoza’s position on this matter is quite obviously dictated by the determinism of his metaphysics. The mind, as a finite mode, is fully determined to be and to act by other finite modes. To posit a faculty of will by which it is made autonomous and independent of external causal determinants is to remove it from nature. Spinoza will have none of this. As it is fully part of nature, the mind must be understood according to the same principles that govern all modes.

b. The Conatus Principle

The first and most important of these principles is what has come to be known as the Conatus Principle:

IIIP6: Each thing, as far as it can by its own power, strives to persevere in being.

The correct interpretation of this principle is far from clear, but it appears to posit a kind of existential inertia within modes. Each mode, to the extent of its power, so acts as to resist the destruction or diminution of its being. Spinoza expresses this by saying that each mode has an innate striving (conatus) to persevere in being. This striving is so central to what a mode is that he identifies it as a mode’s very essence:

IIIP7: The striving by which each thing strives to persevere in its being is nothing but the actual essence of the thing.

Though a bit mysterious as to what it means to say that the striving of a mode is its essence, this identification will play a key role in Spinoza’s ethical theory. Among other things, it will provide the basis upon which he can determine what is involved in living by the guidance of reason.

c. The Affects

Spinoza begins his account of the affects with those that result from the action of external causes upon the mind. These are the passive affects, or passions. He identifies three as primary – joy, sadness, and desire – and characterizes all others as involving a combination of one or more of these together with some kind of cognitive state. Love and hate, for example, are joy and sadness coupled with an awareness of their respective causes. Longing, for example, is desire coupled with a memory of the desired object and an awareness of its absence. All remaining passions are characterized in a similar fashion.

Although joy, sadness, and desire are primitive, they are each defined in relation to the mind’s striving for perseverance. Joy is that affect by which the mind passes to a greater perfection, understood as an increased power of striving. Sadness is that affect by which the mind passes to a lesser perfection, understood as a decreased power of striving. And desire is the striving for perseverance itself insofar as the mind is conscious of it. Because all passions are derived from these primary affects, the entire passional life of the mind is thus defined in relation to the striving for perseverance.

This may seem paradoxical. Insofar as the mind strives to persevere in being it would appear to be active rather than passive. This is true, but we must realize that the mind strives both insofar as it has adequate ideas and insofar as it has inadequate ideas. The passions are defined only in relation to the mind’s striving insofar as it has inadequate ideas. In fact, the passions are themselves a species of inadequate ideas. And since all inadequate ideas are caused from without, so too are the passions. It is in this respect that they must be considered to be passive rather than active.

This, however, is not the case with those affects that are defined in relation to the mind’s striving insofar as it has adequate ideas. All such affects, being themselves a species of adequate ideas, are active. Mirroring his analysis of the passions, Spinoza takes two of these as primitive – active joy and active desire – and treats the remainder as derivative. (He does not acknowledge the possibility of an active form of sadness, since the diminishment of the mind’s perfection, which is what is involved in sadness, can only occur through the action of external causes.) In doing so, he posits an element within the affective life that is not only active, but, because it is grounded in the mind’s striving insofar as it has adequate ideas, is fully rational. It is a central concern of Spinoza’s ethical program to maximize this element.

d. Bondage

That Spinoza would wish to maximize the active affects is understandable in light of his characterization of life led under the sway of the passions. Such a life is one in which the individual exercises little effective self-control and is buffeted by external circumstances in ways that are largely random. “The man who is subject to the [passive] affects,” Spinoza writes, “is under the control, not of himself, but of fortune, in whose power he so greatly is that often, though he sees the better for himself, he is still forced to follow the worse” (IV Preface). Life under the sway of the passions is a life of bondage.

Unfortunately, the extent to which we can extricate ourselves from the sway of the passions is limited. There are two reasons for this. The first is that the mind is a mode of limited power, yet it is inserted into an order of nature in which there exists an infinite number of modes whose power surpasses its own. To think that the mind can exist unaffected within this order is to assume, falsely, that it is endowed with infinite power or that nothing in nature acts upon it. The second, which is a specification of the first, is that an affect is not restrained merely because it is opposed by reason. It must be opposed by an affect that is stronger than it. The trouble is that reason often lacks this affective power. This is because the strength of the active affects, which pertain to reason, is a function of the strength of the mind alone, whereas the strength of the passive affects, the passions, is a function of the strength of their external causes, which in many cases is greater. In such cases reason is unable to overrule passion and is impotent as a guide. “With this,” Spinoza concludes, “I have shown the cause why men are moved more by opinion than by true reason, and why the true knowledge of good and evil arouses disturbances of the mind, and often yields to lust of every kind” (IV17S). Such is the life of bondage.

6. Ethics

It is from this rather pessimistic diagnosis of the human condition that Spinoza’s ethical theory takes off. In view of this, it is not at all surprising that his ethics is largely one of liberation, a liberation that is directly tied to the cultivation of reason. In this respect, Spinoza’s ethical orientation is much more akin to that of the ancients than to that of his fellow moderns. Like the ancients, he sought not so much to analyze the nature and source of moral duty as to describe the ideal human life. This is the life that is lived by the so-called ‘free-man’. It is a life of one who lives by the guidance of reason rather than under the sway of the passions.

a. Freedom from the Passions

In the opening propositions of Book Five, Spinoza lists a number of respects in which the mind, despite its condition of bondage, is able to weaken the hold that the passions have over it. Generally speaking, it is able to do this insofar as it acquires adequate ideas. This, Spinoza tells us, is due to the fact that “the power of the mind is defined by knowledge alone, whereas lack of power, or passion, is judged solely by the privation of knowledge, that is, by that through which ideas are called inadequate” (VP20S). Two examples illustrate this liberating power of adequate ideas.

First, Spinoza claims that the mind is able to form adequate ideas of its affects. It can thus form adequate ideas of the passions, which are themselves inadequate ideas. Since there is no real distinction between an idea and the idea of that idea, those passions of which the mind forms adequate ideas are thereby dissolved.

Second, the effect of a thing upon the mind is lessened to the extent that it is understood to be necessary rather than contingent. We tend, for example, to be saddened less by the loss of a good when we understand that its loss was inevitable. Similarly, we tend to be angered less by another person’s actions when we understand that he or she could not have done otherwise. Since adequate ideas present things as necessary rather than as contingent, the acquisition of such ideas thereby lessens their effect upon the mind.

As these examples illustrate, the mind’s power over the passions is a function of the adequate ideas that it possess. Liberation lies in the acquisition of knowledge, which empowers the mind and renders it less susceptible to external circumstances. In taking this position, Spinoza places himself in a long tradition that stretches back to the Stoics and ultimately to Socrates.

b. Conatus and the Guidance of Reason

Spinoza tells us that the model human life – the life lived by the ‘free-man’ – is one that is lived by the guidance of reason rather than under the sway of the passions. This tells us very little, however, unless we know what it is that reason prescribes. In order to make this determination, Spinoza falls back upon the mind’s striving for perseverance:

Since reason demands nothing contrary to Nature, it demands that everyone love himself, seek his own advantage, what is really useful to him, want what will really lead a man to greater perfection, and absolutely, that everyone should strive to preserve his own being as far as he can. This, indeed, is as necessarily true as that the whole is greater than its part. (IVP18S)

Reason’s prescription is egoistic. We are to act in accordance with our nature. But since our nature is identical to our striving to persevere in being, reason prescribes that we do whatever is to our advantage and seek whatever aids us in our striving. To act this way, Spinoza insists, is to act virtuously.

This does not mean that in living by the guidance of reason we necessarily place ourselves at odds with others. Reason prescribes that individuals seek whatever aids in the striving for perseverance. But since the goods that are necessary in order to persevere in being are attainable only within the context of social life, reason dictates that we act in ways that are conducive to the stability and harmony of society. Spinoza goes so far as to say that in a society in which everyone lives by the guidance of reason, there would be no need of political authority to restrict action. It is only insofar as individuals live under the sway of the passions that they come into conflict with one another and are in need of political authority. Those who live by the guidance of reason understand this and recognize that authority as legitimate.

c. Knowledge of God as the Highest Good

Spinoza’s contention that those who live by the guidance of reason will naturally live in harmony with one another receives some support from his view of the highest good for a human. This is the knowledge of God. Since this knowledge can be possessed equally by all who seek it, it can be sought by all without drawing any into conflict.

To establish that the knowledge of God is the highest good, Spinoza again appeals to the fact that the mind’s striving is its essence. Since what follows from the mind’s essence alone are adequate ideas, this allows him to construe the mind’s striving as a striving for adequate ideas. It is a striving for understanding:

IVP26: What we strive for from reason is nothing but understanding; nor does the mind, insofar as it uses reason, judge anything else useful to itself except what leads to understanding.

From here it is but an easy step to show that the knowledge of God is the mind’s greatest good. As an infinite substance, God is the greatest thing that can be conceived. Moreover, since everything other than God is a mode of God, and since modes can neither be nor be conceived without the substance of which they are modes, nothing else can be or be conceived apart from God. Spinoza concludes:

IVP28: Knowledge of God is the mind’s greatest good: its greatest virtue is to know God.

The knowledge of God is the fulfillment of the mind’s striving to persevere in being.

d. Intellectual Love of God and Human Blessedness

In elaborating this thesis, Spinoza specifies this knowledge as knowledge of the third kind. This is the knowledge that proceeds from the adequate idea of one or another of God’s attributes to the adequate idea of the formal essence of some singular thing that follows from that attribute. When we possess knowledge of the third kind, we possess adequate perception of God’s essence considered not only in itself, but as the immanent causal power of the particular modifications to which it is subject. Knowledge of the first kind, because it is inadequate, and knowledge of the second kind, because it is restricted to the common properties of things, both fail to give us this.

In attaining the third kind of knowledge the mind passes to the highest state of perfection that is available to it. As a result, it experiences active joy to the greatest possible degree. More importantly, since it is by this kind of knowledge that the mind understands God to be the cause of its own perfection, it gives rise to an active love for God as well. This Spinoza refers to as the intellectual love of God. It is the affective correlate to the third kind of knowledge.

The intellectual love of God turns out to have a great many unique properties. Among other things, it is entirely constant, it has no contraries, and it is the very love by which God loves himself. Most significantly, it constitutes the blessedness of the one who possesses it. When such a love dominates one’s affective life, one attains the serenity and freedom from passion that is the mark of wisdom. Spinoza thus writes of the person who has attained this love that he “is hardly troubled in spirit, but being, by a certain eternal necessity, conscious of himself, and of God, and of things, he never ceases to be, but always possess true peace of mind” (VP42S). This is human blessedness.

e. Eternity of the Mind

Spinoza’s comment that a person who has attained the intellectual love of God “never ceases to be” is perplexing to say the least. It signals a commitment to the view that in some fashion or another the mind, or some part of it, survives the death of the body:

VP23: The human mind cannot be absolutely destroyed with the body, but something of it remains which is eternal.

At first sight, this appears to be in violation of Spinoza’s anti-dualist contention that mind and body are one and the same thing conceived under two different attributes. On the basis of this contention, one would expect him to reject the survival of the mind in any fashion. That he asserts it instead has understandably been a source of great controversy among his commentators.

At least some of the problem can be cleared away by taking account of a crucial distinction that Spinoza makes between the existence of the body and its essence. The existence of the body is its actual duration through time. This involves its coming to be, the changes it undergoes within its environment, and its eventual destruction. By contrast, the essence of the body is non-durational. It is grounded in the timeless essence of God, specifically as one among the innumerable particular ways of being extended.

The importance of this distinction lies in the fact that, by appealing to the parallelism doctrine, Spinoza can conclude that there is a corresponding distinction with respect to the mind. There is an aspect of the mind that is the expression of the existence of the body, and there is an aspect of the mind that is the expression of the essence of the body. Spinoza readily concedes that the aspect of the mind that expresses the existence of the body cannot survive the destruction of the body. It is destroyed with the destruction of the body. Such, however, is not the fate of the aspect of the mind that expresses the essence of the body. Like its object, this aspect of the mind is non-durational. Since only what is durational ceases to be, this aspect of the mind is unaffected by the destruction of the body. It is eternal.

Here we must be careful not to misunderstand what Spinoza is saying. In particular, we should not take him to be offering anything approaching a full-blooded doctrine of personal immortality. In fact, he dismisses the belief in personal immortality as arising from confusion: “If we attend to the common opinion of men, we shall see that they are indeed conscious of the eternity of their mind, but that they confuse it with duration, and attribute it to the imagination, or memory, which they believe remains after death” (VP34S). Individuals have some awareness of the eternity of their own minds. But they mistakenly believe that this eternity pertains to the durational aspect of the mind, the imagination. As it is the imagination, inclusive of memory, that constitutes one’s unique identity as a person, the belief in personal immortality is similarly mistaken.

None of this is to say that Spinoza’s doctrine of the eternity of the mind has no relevance to ethics. Although the imagination is not eternal, the intellect is. And since the intellect is constituted by the mind’s store of adequate ideas, the mind is eternal precisely to the extent that it has these ideas. As a consequence, a person whose mind is constituted largely by adequate ideas participates more fully in eternity than a person whose mind is constituted largely by inadequate ideas. So, while Spinoza offers us no hope of personal immortality, we may take consolation in the fact that “death is less harmful to us, the greater the mind’s clear and distinct knowledge, and hence, the more the mind loves God” (VP38S).

f. Conclusion

Spinoza does not pretend that any of this is easy. The acquisition of adequate ideas, especially those by which we attain knowledge of the third kind, is difficult, and we can never completely escape the influence of the passions. Nevertheless, Spinoza holds out to those who make the effort the promise, not of personal immortality, but of participation in eternity within this life. He closes the Ethics with these words:

If the way I have shown to lead to these things now seems very hard, still, it can be found. And of course, what is found so rarely must be hard. For if salvation were at hand, and could be found without great effort, how could nearly everyone neglect it? But all things excellent are as difficult as they are rare. (VP42S)

7. References and Further Reading

All passages from the texts of Spinoza are taken from the translations appearing in The Collected Works of Spinoza. Vol.I. Edited and translated by Edwin Curley. (Princeton: Princeton University Press, 1985). Passages from the Ethics are cited according to Book (I – V), Definition (D), Axiom (A), Proposition (P), Corollary (C), and Scholium (S). (IVP13S) refers to Ethics, Book IV, Proposition 13, Scholium. Passages from the Treatise on the Emendation of the Intellect are cited according to paragraph number. (TIE 35) refers to Treatise on the Emendation of the Intellect, paragraph 35.

All passages from the texts of Descartes are taken from the translations appearing in The Philosophical Writings of Descartes. 2 Vols. Edited and translated by John Cottingham, Robert Stoothoff & Dugald Murdoch (Cambridge: Cambridge University Press, 1985). Passages are cited according to volume and page number. (CSM II,23) refers to Cottingham, Stoothoff & Murdoch, Volume II, page 23.

a. Texts and Translations of Spinoza

  • Spinoza Opera. 4 Vols. Edited by Carl Gebhart. (Heidelberg: Carl Winter, 1925).
    • Standard critical edition of Spinoza’s writings and correspondence in Latin and Dutch.
  • The Collected Works of Spinoza. Vol. I. Edited and translated by Edwin Curley. (Princeton University Press, 1985).
    • First of two volumes (the second is not yet complete) in what, when complete, will become the standard translation into English of Spinoza’s writings and correspondence.
  • A Spinoza Reader: The Ethics and Other Works. Edited and translated by Edwin Curley. (Princeton: Princeton University Press, 1994).
    • Useful reader that contains the entire text of the Ethics, as well as substantial selections from the Treatise on the Emendation of the Intellect, the Short Treatise, and theTheological-Political Treatise. Also contains helpful selections from Spinoza’s correspondence.
  • Baruch Spinoza: The Complete Works. Edited by Michael L. Morgan and translated by Samuel Shirley. (Indianapolis: Hackett, 2002).
    • Only modern translation into English of Spinoza’s complete works, including his correspondence.

b. General Studies Suitable as Introductions

  • Allison, Henry. Benedict de Spinoza: An Introduction. (New Haven: Yale UP, 1987).
  • Curley, Edwin. Behind the Geometrical Method. (Princeton: Princeton University Press, 1988).
  • Lloyd, Genevieve. Spinoza and the “Ethics”. (London: Routledge, 1996).
  • Hampshire, Stuart. Spinoza. (London: Penguin, 1951).
  • Steinberg, Diane, On Spinoza. (Belmont, CA: Wadsworth, 2000).

c. More Advanced and Specialized Studies

  • Bennett, Jonathan. A Study of Spinoza’s “Ethics”. (Indianapolis: Hackett, 1984).
  • De Dijn, Herman. Spinoza: The Way to Wisdom. (West Lafayette, IN: Purdue University Press, 1996).
  • Della Rocca, Michael. Representation and the Mind-Body Problem in Spinoza. (Oxford: Oxford University Press, 1996).
  • Donagan, Alan. Spinoza. (Chicago: University of Chicago Press, 1988). Curley, Edwin. Spinoza’s Metaphysics: An Essay in Interpretation. (Cambridge: Harvard University Press, 1969).
  • Delahunty, R.J. Spinoza. (London: Routledge & Kegan Paul, 1985).
  • Lloyd, Genevieve, Part of Nature: Self-Knowledge in Spinoza’s Ethics. (Ithaca, NY: Cornell University Press, 1994).
  • Mark, Thomas Carson. Spinoza’s Theory of Truth. (New York: Columbia University Press, 1972).
  • Mason, Richard. The God of Spinoza: A Philosophical Study. (Cambridge: Cambridge University Press, 1997).
  • Nadler, Steven. Spinoza: A Life. (Cambridge: Cambridge University Press, 1999).
  • Nadler, Steven. Spinoza’s Heresy. (Oxford: Oxford University Press, 2001).
  • Wolfson, Harry Austryn. The Philosophy of Spinoza. 2 Vols. (Cambridge: Harvard University Press, 1934).
  • Woolhouse, R.S. Descartes, Spinoza, Leibniz: The Concept of Substance in Seventeenth Century Metaphysics. (London: Routledge, 1993).
  • Yovel, Yrmiyahu, Spinoza and Other Heretics. Vol.I: The Marrano of Reason; Vol.II: The Adventures of Immanence. (Princeton: Princeton University Press, 1989).

d. Collected Essays on Spinoza

  • Chappell, Vere (ed.). Baruch de Spinoza. (New York: Garland Publishing, 1992).
  • Curley, Edwin and Pierre-François Moreau (eds.). Spinoza: Issues and Directions. (Leiden: E.J. Brill, 1990).
  • Freeman, Eugene and Maurice Mandelbaum (eds.). Spinoza: Essays in Interpretation. (LaSalle, IL: Open Court, 1975).
  • Garrett, Don (ed.). The Cambridge Companion to Spinoza. (Cambridge: Cambridge University Press, 1996).
  • Grene, Marjorie (ed.). Spinoza: A Collection of Critical Essays. (Garden City, NY: Doubleday/Anchor Press, 1973).
  • Grene, Marjorie and Debra Nails (eds.). Spinoza and the Sciences. (Dordrecht: Reidel, 1986).
  • Kennington, Richard (ed.). The Philosophy of Baruch Spinoza. (Washington DC: Catholic University Press, 1980).
  • Lloyd, Genevieve (ed.). Spinoza Critical Assessments, 4 Vols. (London: Routledge, 2001).
  • Shanan, Robert and J.I. Biro (eds.). Spinoza: New Perspectives. (Norman, OK: University of Oklahoma Press, 1978).

Author Information

Blake D. Dutton
Email: bdutton@luc.edu
Loyola University Chicago
U. S. A.

Western Concepts of God

Western concepts of God have ranged from the detached transcendent demiurge of Aristotle to the pantheism of Spinoza. Nevertheless, much of western thought about God has fallen within some broad form of theism. Theism is the view that there is a God which is the creator and sustainer of the universe and is unlimited with regard to knowledge (omniscience), power (omnipotence), extension (omnipresence), and moral perfection. Though regarded as sexless, God has traditionally been referred to by the masculine pronoun.

Concepts of God in philosophy are entwined with concepts of God in religion. This is most obvious in figures like Augustine and Aquinas, who sought to bring more rigor and consistency to concepts found in religion. Others, like Leibniz and Hegel, interacted constructively and deeply with religious concepts. Even those like Hume and Nietzsche, who criticized the concept of God, dealt with religious concepts. While Western philosophy has interfaced most obviously with Christianity, Judaism and Islam have had some influence. The orthodox forms of all three religions have embraced theism, though each religion has also yielded a wide array of other views. Philosophy has shown a similar variety. For example, with regard to the initiating cause of the world, Plato and Aristotle held God to be the crafter of uncreated matter. Plotinus regarded matter as emanating from God. Spinoza, departing from his judaistic roots, held God to be identical with the universe, while Hegel came to a similar view by reinterpreting Christianity.

Issues related to Western concepts of God include the nature of divine attributes and how they can be known, if or how that knowledge can be communicated, the relation between such knowledge and logic, the nature of divine causality, and the relation between the divine and the human will.

Table of Contents

  1. Sources of Western Concepts of God
  2. Historical Overview
    1. Greeks
    2. Early Christian Thought
    3. Medieval Thought
    4. Renaissance Thought
    5. Enlightenment
    6. Modern Period
  3. Divine Attributes
    1. Incorporeality
    2. Simplicity
    3. Unity
    4. Eternity
    5. Immutability
    6. Omnipotence
    7. Omniscience
    8. Impassibility
    9. Goodness
  4. References and Further Reading

1. Sources of Western Concepts of God

Sources of western concepts of the divine have been threefold: experience, revelation, and reason. Reported experiences of God are remarkably varied and have produced equally varied concepts of the divine being. Experiences can be occasioned by something external and universally available, such as the starry sky, or by something external and private, such as a burning bush. Experiences can be internal and effable, such as a vision, or internal and ineffable, as is claimed by some mystics. Revelation can be linked to religious experience or a type of it, both for the person originally receiving it and the one merely accepting it as authoritative. Those who accept its authority typically regard it as a source of concepts of the divine that are more detailed and more accurate than could be obtained by other means. Increasingly, the modern focus has been on the complexities of the process of interpretation (philosophical hermeneutics) and the extent to which it is necessarily subjective. Revelation can be intentionally unconnected to reason such that it is accepted on bare faith (fideism; compare Kierkegaard), or at the other extreme, can be grounded in reason in that it is accepted because and only insofar as it is reasonable (compare Locke). Reason has been taken as ancillary to religious experience and revelation, or on other accounts, as independent and the sole reliable source of concepts of God.

Each of the three sources of concepts of God has had those who regard it as the sole reliable basis of our idea of the divine. By contrast, others have regarded two or three of the sources as interdependent and mutually reinforcing. Regardless of these differing approaches, theism broadly construed has been a dominant theme for much of the history of Western thought.

2. Historical Overview

a. Greeks

At the dawn of philosophy, the Ionian Greeks sought to understand the true nature of the cosmos and its manifestations of both change and permanence. To Heraclitus, all was change and nothing endured, whereas to Parmenides, all change was apparent. The Pythagoreans found order and permanence in mathematics, giving it religious significance as ultimate being. The Stoics identified order with divine reason.

To Plato, God is transcendent-the highest and most perfect being-and one who uses eternal forms, or archetypes, to fashion a universe that is eternal and uncreated. The order and purpose he gives the universe is limited by the imperfections inherent in material. Flaws are therefore real and exist in the universe; they are not merely higher divine purposes misunderstood by humans. God is not the author of everything because some things are evil. We can infer that God is the author of the punishments of the wicked because those punishments benefit the wicked. God, being good, is also unchangeable since any change would be for the worse. For Plato, this does not mean (as some later Christian thought held) that God is the ground of moral goodness; rather, whatever is good is good in an of itself. God must be a first cause and a self-moved mover otherwise there will be an infinite regress to causes of causes. Plato is not committed to monotheism, but suggests for example that since planetary motion is uniform and circular, and since such motion is the motion of reason, then a planet must be driven by a rational soul. These souls that drive the planets could be called gods.

Aristotle made God passively responsible for change in the world in the sense that all things seek divine perfection. God imbues all things with order and purpose, both of which can be discovered and point to his (or its) divine existence. From those contingent things we come to know universals, whereas God knows universals prior to their existence in things. God, the highest being (though not a loving being), engages in perfect contemplation of the most worthy object, which is himself. He is thus unaware of the world and cares nothing for it, being an unmoved mover. God as pure form is wholly immaterial, and as perfect he is unchanging since he cannot become more perfect. This perfect and immutable God is therefore the apex of being and knowledge. God must be eternal. That is because time is eternal, and since there can be no time without change, change must be eternal. And for change to be eternal the cause of change-the unmoved mover-must also be eternal. To be eternal God must also be immaterial since only immaterial things are immune from change. Additionally, as an immaterial being, God is not extended in space.

The Neo-Platonic God of Plotinus (204/5-270 A.D.) is the source of the universe, which is the inevitable overflow of divinity. In that overflow, the universe comes out of God (ex deo) in a timeless process. It does not come by creation because that would entail consciousness and will, which Plotinus claimed would limit God. The first emanation out of God (nous) is the highest, successive emanations being less and less real. Finally, evil is matter with no form at all, and as such has no positive existence. God is an impersonal It who can be described only in terms of what he is not. This negative way of describing God (the via negativa) survived well into the middle ages. Though God is beyond description, Plotinus (perhaps paradoxically) asserted a number of things, such as that virtue and truth inhere in God. Because for Plotinus God cannot be reached intellectually, union with the divine is ecstatic and mystical. His thought influenced a number of Christian mystics, such as Meister Eckhart (1260-1327).

b. Early Christian Thought

Early Christians regarded Greek religion as holding views unworthy of God, but they were divided as to Greek philosophy. Christian philosopher Justin Martyr (c. 100-c. 165) saw Christianity as compatible with the highest and best Greek thought, whereas Tertullian (c. 160-c. 225) dismissed philosophy, saying that Jerusalem (faith) could have nothing to do with Athens (philosophy).

Having been born out of Judaism, Christianity was unambiguously monotheistic and affirmed that God created the material of the universe out of nothing (ex nihilo). But it also affirmed the Trinity as multiplicity within unity, a view it regarded as implicit in Judaism.

Consistent with theism, Augustine (354-430) regarded God as omniscient, omnipotent, omnipresent, morally good, the creator (ex nihilo) and sustainer of the universe. Despite these multiple descriptors, God is uniquely simple. Being entirely free, he did not have to create, but did so as an act of love. As his creation, it reflects his mind. Time and space began at creation, and everything in creation is good. Evil is uncreated, being a lack of good and without positive existence. Though God is not responsible for evil even it has a purpose: to show forth what is good, especially what is good within God. Augustine developed a theme found as early as Plato, Aristotle, and Zeno of Citium, that God is a perfect being. After enumerating a hierarchy of excellencies (things to be “preferred”) Augustine affirms that God “lives in the highest sense” and is “the most powerful, most righteous, most beautiful, most good, most blessed” (On the Trinity, XV, 4). When we think of God, we “attempt to conceive something than which nothing more excellent or sublime exists” (Christian Doctrine, I, 7, 7). But where Aristotle concluded that the greatest being must be aware only of himself, Augustine emphasized an opposite and distinctly Christian theme: God loves creatures supremely to the point of becoming incarnate in Christ in order to be revealed to them and to reconcile them to himself. Moreover, God is providentially active in history, from an individual level (Confessions) on up to dealings with entire nations (City of God). So as to the important subject of God’s relationship to the world, Christian thought could not be more opposite Aristotle’s view of a Being who contemplates only himself.

John Scotus Erigena (c. 810-c.877) had stronger affinities for Neo-Platonic thought. God created the universe according to eternal patterns in his mind and it is an expression of his thought, however incomplete an expression the cosmos may be. Erigena’s pantheistic tendencies can be seen in his notion that God creates out of himself and “God is in all things.” Creation is not in time but is eternal. In the process God used universals and made them particulars (e.g., humanity became individual persons). Immortality is the reverse process of particulars going back to universals. In Erigena’s terms, division is the process of differentiating universals into particulars; analysis is the reverse, a return to unity and thus to God. These are not mere mental activities but mirror reality and God’s relationship to the world. God is ultimately unknowable, being beyond all language and categories. Aristotle’s predicates and categories cannot apply to God because they assume some type of substance. Nevertheless God can be described, albeit inadequately, using both positive and negative statements. Positive statements are only approximate but can be made more exact by adding negative statements. For example, it can be said that God is good (positive), but also that he is not good (negative) in that he is above goodness. These can be combined in the statement that he is “supergood.” In spite of these approximations, God must be reached by mystical experience.

c. Medieval Thought

Islamic Neoplatonist al-Farabi (875-950) held that universals are in things and have no existence apart from particulars. Objects are contingent in that they may or may not exist; they do not have to exist. Therefore there must be something that has to exist-that exists necessarily-to ground the existence of all other (contingent) things. This being is God. The world evolves by emanation, and matter is a phase of that process. The potential in matter is made actual, and over time God brings out its form. Thought is one emanation from God, and through it knowledge arises in humans. The actualized human intellect becomes an immortal substance.

Avicenna (Ibn Sina; 980-1037), a Muslim, also distinguished between God as the one necessary being and all other things, which are contingent. The world is an emanation from God as the outworking of his self-knowledge. As such it is eternal and necessary. God must be eternal and simple, existing without multiplicity. In their essence, things do not contain anything that accounts for their existence. They are hierarchically arranged such that the existence of each thing is accounted for by something ontologically higher. At the top is the one being whose existence is necessary. From contingent things we come to know universals, whereas God knows universals prior to their existence in things.

Al-Ghazali (1058-1111) challenged any joining of theology and philosophy, holding that because the mind and senses are subject to error, truth must come by divine grace. Rather than the world existing necessarily in a Neoplatonic sense, it exists by the will of God alone. It is in no way autonomous, and even causal relationships are non-necessary. He rejected as un-Islamic Avicenna’s view that things like souls or intellects could be eternal.

Anselm (1033-1109), archbishop of Canterbury, raised the perfect being concept to a new level by making it the foundation of his celebrated ontological argument. He accepted that God is the highest level of being under which there are, by degrees, lesser and lesser beings. Similar to Plato, Anselm assumes the realist view that entities which share an attribution, such as “good,” also share in being. And somewhere there must be a perfection of that being (e.g., perfect goodness). That perfection is God.

Though a Muslim and an Aristotelian, Averroes (Ibn Rushd; 1126-1198) added to the growing concept of emanation by claiming that the universal mind is an emanation from God. Humans participate in this universal mind and only it, not the soul, is immortal. The mind of the common person understands religious symbols in a literal way, whereas the philosopher interprets them allegorically. Consequently, something understood as true philosophically may be untrue theologically, and vice versa.

Working from Judaism, Maimonides (1135-1204) accepted creation rather than an eternal universe. He drew from philosophic traditions to formulate three proofs based on the nature of God, and these were developed further by Aquinas. Following Aristotle Maimonides demonstrated the existence of a Prime Mover, and with some inspiration from Avicenna, the existence of a necessary being. He also showed God to be a primary cause. Though he considered God’s existence demonstrable, he held that nothing positive could be said about God.

Bonaventura (John of Fidanza, c. 1221-1274) argued that the Aristotlean denial of Platonic ideas would entail that God knows himself but not the world. As such God could not be its creator. Furthermore, because some change in the universe is cyclic and therefore unexplainable by chance, change would have to be deterministic. But this would deny God’s providence as well as human moral responsibility. So a proper concept of God must include Platonic ideas. Reason can prove God as creator since an eternal universe entails both that the amount of time of its existence is infinite and that it is increasing. Yet there cannot be both an infinite and a larger infinite (a view not held in modern times).

Thomas Aquinas (1225-1274) accepted both Aristotle and Christian revelation. He accepted both reason and revelation as sources of knowledge of God. Over the neo-Platonic notion of a hierarchy of reality in which lower existences are less real and a mere shadow of the divine, Aquinas accepted gradations of form and matter. Atop the hierarchy is God as pure form and no matter. As pure actuality and no potentiality, he is perfect and therefore changeless. He is also pure intelligence and pure activity. To these Aristotelian concepts Aquinas added Christian convictions that God is loving, providential, and ruler of the universe. Reason and revelation are in harmony because they have the same divine source, and revelation is not unreasonable. Perception is also in harmony because the world’s origins are divine. This being the case, God as cause can be known through the world as effect. For this reason empirical facts ground Aquinas’s theistic proofs.

The God that can be known in part from the universe is fundamentally different from it. Only God is identical to his essence, being neither more nor less than it. By contrast, a being such as Socrates is transcended by humanity because there are other people. On the other hand, Socrates has qualities (“accidents”) that are not part of his essence; for example, he may be sitting. So unlike God, Socrates is both greater than and less than his essence. There is nothing that transcends God so nothing is greater than his essence. And there are no accidents in God because accidents are caused by something else (just as part of the cause of Socrates sitting is a chair).

God is not (completely) knowable because he is not material, whereas our knowledge is normally dependent on our senses. Furthermore, we normally know things by knowing their genus and species, yet God is unique and so cannot be known in that way. We can know something of God the negative way (via negativa) by removing limits, concluding for example, that God is unmoved, and unlimited by space. What we can know of God positively is neither exactly like our knowledge of temporal things (univocal) nor entirely different (equivocal). Rather, it is analogical, being in some ways the same and in other ways different. God knows x in a way that is both like and unlike the way in which Socrates knows x. God knows, but in a way that is, among other things, complete, immediate, and timeless.

That God created is evident (though not provable) because a material universe cannot emanate from an immaterial being. The universe exists to manifest God, who created the fullest possible range of beings because in them he can be revealed to the fullest extent. Beings range from angels, who are immaterial; to humans, who are material and immaterial; to animals, who are purely material (and both eat and move); to plants, to inanimate objects.

God as primary cause works through such created things as secondary causes. Nevertheless, creatures with a will remain free and responsible. God can also work apart from secondary causes in what we call miracles. Being good, God created the best possible world in the sense that it has the best kinds of things. Evil is a privation or lack of good and as such God did not cause it the way he causes other things. So we cannot ask why God brought about evil, but we can ask why he did not bring about more good. He did not bring about more good in order that he could be revealed through the greatest range of things, and as well, to allow for certain types of good (such as compassion, which can exist only where there is some suffering).

Aquinas and others grounded the scholastic synthesis of knowledge in the view that truth, morality, and God himself could be known by reason because the divine will itself is guided by reason. What is reasonable is therefore what is true and right. But John Duns Scotus (1265-1308) claimed that in humans and in God it is the will–not the intellect–that is primary. Evidence of this is that a being must will what to think about, thus something must act on the intellect; whereas nothing need act on the will. The view entails that there is no reason why God acts or wills as he does. This makes truth and morality essentially arbitrary and thereby unknowable through reason. God could have willed different moral standards. Scotus’s view makes our knowledge of God a matter of revelation and faith, not of reason.

Another concept about God’s will further destabilized the medieval world view. William of Ockham (1285-1347) held that omnipotence means God can do literally anything. Accordingly, a person could perceive something by sheer act of divine will, without the object being there at all. On his view, faith and reason can be contradictory. Ockham’s “razor” sought to cut from explanations those entities that are unverifiable thereby making simpler explanations preferred. This was later used to cut out of world views such things as divine purposes, which had been central to explanations since the Greeks. Eventually, even concepts of a divine being would be optional–or even unnecessary–to explanations and world views.

The connection between reason and God was further undermined by Meister Eckhart’s (1260-1327/28) view that God is “above being” and that human unity with the divine must be suprarational. Knowledge is a matter of proceeding from particulars to unity, beyond which is a unity with the divine surpassing all differences, “a silent desert.” The divine being is therefore inexpressible. God knows all things in their unity, timelessly; but on our temporal level it makes sense to differentiate time as well as events.

d. Renaissance Thought

God moved out of the intellectual center of knowledge as faith was no longer grounded in reason and reason was no longer supervised by faith. The power of the church waned and society found inspiration in the classical world. Interest in this life and the world drove interest in science, which soon uncovered mathematically describable physical regularities. This development shaped the concept of God in a way that further undermined the Aristotelian world view, with its emphasis on such things as divine purpose. Regularities such as those discovered in Kepler’s laws of planetary motion and Newton’s laws implied a supreme engineer. Early in these developments, Giordano Bruno (1548-1600) emphasized God as immanent in the universe as an active principle, a trend in the conception of God that would increase along with the ever more detailed understanding of natural processes to be achieved in the scientific revolution.

The Reformation period saw an emphasis on divine sovereignty over human affairs as a corollary to its emphasis on fallen humanity’s inability to achieve a right standing with God. If humans cannot come to God unaided, then it is God who must choose some to be right with him. Since the Reformers affirmed that divine choice cannot be based on merit, love must be the central divine attribute operating in salvation. This view of divine predestination brought new questions, both theological and philosophical, about the relationship between the human and divine wills. The question of how people could be free and responsible if predestination ultimately determines fate was resolved in John Calvin’s (1509-64) tradition partly by distinguishing between God’s irresistible and resistible will. The latter consists of human choices which God allows (for a higher divine purpose) to run counter to his perfect will. Thus God is entirely sovereign and humans are responsible for their deeds. James Arminius (1560-1609) objected that Calvinism made God responsible for sin, and he proposed instead that God predestined those whom he foresaw would repent.

The Reformers’ emphasis on the fallenness of the will led to their distrust in reason as a source of information about the spiritual realm, including God. An unfallen mind would see God everywhere through His creation, but our fallen minds cannot find God. Being therefore hidden, as Martin Luther emphasized (1483-1546), God must reveal Himself in revelation and deed. Humanity must resist the temptation to go beyond what is revealed, especially since God reveals only what we need to know, not all that we wish to know. The Reformers’ reluctance to use reason to narrow the gap between the spiritual and physical realms continued the Augustinian tradition (which faintly echoed Plato’s two realms), challenging the Scholastics’ high view of reason and of Aristotle. That reason has a limited role in the spiritual realm was later emphasized by Soren Kierkegaard (1813-55) and Karl Barth (1886-1968).

e. Enlightenment

Philosophy began splitting from religion as the two moved in opposite directions with regard to reason. Religion was retreating from reason both by emphasizing the divine will over the divine intellect, and in the human realm, by emphasizing faith over reason. Meanwhile, broad elements in the culture turned away from the authority of the church and Aristotle to regard reason as the main source of knowledge. The wisdom of this seemed confirmed in the discoveries of scientists like Newton and Kepler, who had great success using observations to find mathematical regularities in nature. Discoveries were revealing a highly ordered universe, implying a highly reasonable God.

Deism rose as a philosophical form of theism that used reason as its source of knowledge of God. Without revelation to give detail to natural theology, knowledge of God was minimal. Lord Herbert of Cherbury (1583-1648) claimed simply that there is one supreme God, who should be worshiped; virtuous living constitutes worship, people should repent, and God rewards good and punishes evil. The emerging Newtonian universe was one of mechanical precision and predictability, with no room for outside causes. Accordingly, there seemed to be little or no room for divine intervention. Deism, then, held that God caused the universe but did not intervene thereafter. Prayer and miracles were deemed unnecessary because of God’s superior engineering.

The emphasis on God as a perfect designer entailed that waste and suffering were only apparently pointless. The plan and wisdom of God were seen in the grand scheme of the universe, hence God is known best in generality and abstraction.

In a time of upheaval, Rene Descartes (1596-1650) famously sought to ground all knowledge on a foundation he could not doubt: that he was a thinking being. The success of his approach depended crucially on God’s benevolence: because we can be sure that the divine being would not mislead us, we can trust that our clear and distinct ideas are true. God’s character thus forms the basis for our certainty that there is indeed a reality corresponding to our ideas. God’s omnipotence entails the ability to do even what is logically impossible. Descartes also regarded God as not merely uncaused, but somehow the cause of himself.

John Locke (1632-1704) held a view reminiscent of scholasticism, that revelation reveals about God what cannot be known by reason alone–yet neither does revelation violate reason. He went beyond the scholastics to affirm that what violates reason cannot be accepted as revelation. His motive was to rule out what he called “enthusiasm,” which would include supposed private revelations about God held on the sole authority of an individual’s intuition that a revelation is true. Reason must judge whether a supposed revelation is true. His view further welded the concept of God to reason.

Baruch Spinoza (1632-1677) agreed with Descartes that clear and distinct ideas indeed reflect reality, but he thought that philosophy must start with God, not the self. This is because God is first in the order of things. God’s primacy is also the reason Spinoza rejected Bacon’s method of beginning with observation. He abandoned his judaistic roots by affirming that God is the whole of reality, and neither transcendent nor personal.

Aquinas had concluded that God exists on grounds that the universe needs something outside itself as a cause. But Spinoza believed that there can be only one thing–God–because wholes alone are independent and there can be only one whole (or “substance”). There is nothing outside the whole on which the whole can depend. That whole is a network of truths connected by implication. That being the case, everything is either necessary or impossible. Since to be free is to be undetermined by anything outside oneself, God is free because nothing can be outside him; and God alone is free because everything within the whole is the way it is by necessity. There is no need to prove the existence of God beyond the need to prove the existence of the one substance. For Spinoza, God is not an external initiating cause of the world and so is not demonstrable as such. He is nonetheless an immanent and continuing cause of the world. Nor could God be the world’s designer or one who imbues it with purpose. That is because wanting to bring something about implies lack, and God can lack nothing. Lacking purposes, God can have no moral goals for humanity. God is the network of all truths, not a personal being who gives revelation. Still, to know God-which is necessarily a matter of reason-is an essential good. As Spinoza said, “the highest virtue of the mind is to understand or to know God” (Ethics, Part 4, prop. 28; trans. Elwes).

Where Spinoza explained reality in terms of a singular substance that is divine, Gottfried Leibniz (1646-1716) proposed innumerable instances of the same types of substance. These monads as he called them, are centers of psychic energy. They do not act causally on each other but are coordinated in a grand harmony preestablished by God. That so many diverse elements act in harmony is proof for God’s existence. Because God operates on a principle of sufficient reason, there must be a reason why he chose to create just this world: it must be the best one possible. While many things are possible individually, even God is limited in what can be brought about together (just as a man can be a father or childless, but not both). Since God alone is perfect, created things have limitations, which is a source of evil. Nevertheless, we find that evil is often a prerequisite for some types of good. God’s choice to create this particular world is a matter of his internal moral necessity. He made this world because it has the greatest variety and can, as an act of love, reveal his nature in the greatest possible way.

Leibniz made God the source of causality, George Berkeley (1685-1753) made God the source of perception. He denied the existence of physical substances (because he regarded belief in the physical world as a root of atheism) and claimed that God directly gives us our ideas of the world. The orderliness of our ideas is testimony to the power of God.

David Hume (1711-1776) accepted Berkeley’s empiricism, which claimed that our ideas are of particular things and not universal things; but Hume’s empiricism led him to skeptical conclusions. He held that our observations about the world do not warrant belief in the God of theism. Design, for example, is manifestly imperfect; furthermore, a good God would not allow evil. If our observations point beyond the world at all it might be to a finite god, or even a number of gods. So the concept of God must be rooted not in reason but in emotion and the will.

f. Modern Period

Immanuel Kant (1724-1804) also rejected empirical knowledge as a way of knowing God. In fact, he maintained that God cannot be demonstrated at all, yet neither can his existence be disproved. As humans we typically go beyond what we can rightly infer, and our idea that God can be objectively known is an example. Nevertheless, as an idea, God has regulative value for our thinking in that it acts heuristically and gives a sense of unity to our experience. Practically, too, the idea of God grounds important moral beliefs. Specifically, it is fitting that those who do what is right are happy; and since that is not reliably attained in this life, we can rightly posit that there is life in a sphere beyond this one. We can make the practical assumption too that God exists to ensure the connection between virtue and happiness.

God was considered to be an objective issue before Kant. After him there was a greater tendency to consider it a subjective issue, one that is irreducibly a matter of interpretation. It was associated with discussions of ethics and values rather than of science and facts. This accompanied a change from the Enlightenment’s emphasis on objective knowledge of God as a transcendent engineer, to Romanticism’s emphasis on personal experience of God as a Spirit immanent in everything. Friedrich Schleiermacher (1768-1834) accordingly emphasized a feeling of dependence on God, while Albrect Ritschl (1822-1889) emphasized God as a source of moral freedom and values.

Whereas Kant and those he affected regard God as elusive to our rationality, for G. W. F. Hegel (1770-1831) God is the essence of rationality. Furthermore, Spirit reveals itself and its development through the world, being visible for all to see in the very events of history. Thus the categories which Kant regarded as being limited to the human mind Hegel regarded as part of the Absolute Mind. As such, the very structure of that Mind (or Spirit) can be known. Hegel challenged views that had been dominant since Aristotle, that God and truth are unchanging, and that logic deals with dichotomies that are properly kept apart by the principle of non-contradiction (according to which A cannot also be non-A). For Hegel, dichotomies are united in a higher reality. For example, Being and Nothing are transcended in Becoming. That is because Being is a general term and has no qualities, so it passes over into the concept of Nothing. That passing over is Becoming. The original opposition is thereby transcended.

Hegel believed that reality divides into dichotomies and contradictions that are resolved in a dynamic synthesis. Spirit thus moves from homogeneity to differentiation to unity in diversity. He therefore rejected Schelling’s idea that the Absolute is undifferentiated. Because for Hegel Spirit is more than matter, he rejected Spinoza’s view that the Absolute is substance only. For Hegel it is more than that; it is developing consciousness. In this process God comes to self-awareness through mankind’s awareness of him–God thinking of himself through human consciousness.

Kant had claimed that ultimate reality (the thing-in-itself) is unknowable, but Arthur Schopenhauer (1788-1860) said it is knowable because it is will. We can know it directly because we can know our own will. Will manifests itself with increasing sophistication in the physical world (through gravity, for example), in plants and animals, and in human nature. But because the will is completely free it is irrational and blind. He rejected Hegel’s optimistic belief in the ultimate victory of rationality, and in contrast to Leibniz, he held that this is the worst of all possible worlds.

Hegel’s view that Spirit is in process and not a static state was continued in Alfred N. Whitehead (1861-1947). Whitehead held that God is necessary to each act of becoming, and in turn God develops through each act of becoming. God strives to enrich the world as well as himself by nurturing harmony and order while preserving values that enhance truth, beauty, and goodness. He strives to eliminate evil from the world using persuasive (rather than coercive) power. In this sense, “He does not create the world, he saves it.” He leads it by means of his vision, rather like a poet.

The so called right wing Hegelians rejected pantheism and interpreted Hegel in a way consistent with theism. Left wing Hegelians associated the Absolute with material reality. Ludwig Feuerbach (1804-1872) said that people create the concept of God and project it onto reality. Karl Marx (1818-1883) made religion both a product and a tool of oppression, the “opium of the people.” People formulate religion in response to the sufferings caused by society’s inequities. Like a narcotic, it insulates them from the pain but it also makes people incapable of dealing with the cause of that pain. Furthermore, religion legitimates the status quo.

Friedrich Nietzsche (1884-1900) rejected belief in God as weak and untenable. He believed his times witnessed the death of God as a cultural force, yet at the same time he feared the outcome. He did not think that God died in the sense that He once existed and at some point ceased to exist, but that modern society regarded God as irrelevant.

Sigmund Freud (1856-1939) regarded God as a projection of the mind, a product of wishful thinking. The pre-scientific mind, for example, finds it easier to cope with an anthropomorphized universe. It is easier to suppose that a personal being is in control than to face seemingly capricious forces of nature. But when humanity grows into a more scientific understanding of the universe, such beliefs will be discarded.

Feuerbach, Marx, Nietzsche, Freud and others thus did not try to rationally defeat belief in God. Rather, they sought to explain its origins and the personal motives of believers.

In the early twentieth century, logical positivism narrowed the scope of meaning in a way that made belief in God subjective by definition. Besides tautologies only empirically verifiable statements were said to be true or false.

Ludwig Wittgenstein (1889-1951) was initially sympathetic to linking meaning to verifiability. He held that language is static and pictures reality. This limits what can be meaningfully expressed in language and excludes propositions about such things as ethics, aesthetics, and the meaning of life. On such topics, “one must be silent.” Wittgenstein later came to the view that meaning comes not from a link to the world but from usage. In this way language is more like doing than picturing. Because this necessarily gives language and meaning a social dimension, concepts of God are bound to their use within, for example, a believing community. On this view it is possible to claim that to know “God” is not to know the existence and attributes of a metaphysical being, but the use of a term and its connections to a life style.

3. Divine Attributes

Classical theism is found in the Greeks since Plato; in the Judaism of Philo, Maimonides, and others; in Christian orthodoxy generally, and in Islam as early as al-Kindi. Discussions of God in classical theism have centered on a number of specific attributes. The working assumption from the Greeks onward has been that God is the most perfect possible being. There is an implicit question as to whether perfections are coherent such that they can exist in one person. If they are not, God would have all perfections possible for a single being. In more theologically oriented thinkers, the assumption that God is a perfect being serves not to formulate the concept of God but only to fill in what is given in revelation. The Reformers, for example, depended heavily on revelation because of their conviction that the human mind is darkened by corruption and therefore is inadequate to shape concepts of God.

a. Incorporeality

Incorporeality. God has no body (from Latin, incorporale), or is non-physical. This is a central tenet of monotheistic religions, which insist that any references to God’s eyes, ears, mind, and the like are anthropomorphic. Christian belief in the incarnation is a unique case in which God takes on human form in Christ.

While some regard God’s incorporeality as true analytically (that is, true by the very definition of the word “God”), others derive it from one or more other attributes. Accordingly, God cannot be corporeal because that would preclude his being eternal, immutable, and simple, for example. Furthermore, if God were corporeal and omnipresent, it would seem that all physical things would be part of God. Others derive divine incorporeality from an apparent incorporeal element of human nature, termed the soul or spirit.

b. Simplicity

Simplicity. God has no parts or real distinctions. The neo-Platonist Plotinus regarded God as therefore characterless, but Christianity generally recognizes the legitimacy of talk of attributes. For Aquinas, to be simple God must be (among other things) incorporeal as well as identical to his nature, not a member of a class that shares a common nature. Aquinas said that God has the perfections we ascribe to him, but that they exist in him in an incomprehensible unity such that we cannot understand the reality behind our statements. When we ascribe goodness to God, goodness does not mean exactly what it does when we ascribe it to a creature (univocal meaning), nor does it mean something entirely different (eqivocal meaning). Its meaning is analogical: in some sense the same and in some sense different. Maimonides insisted on equivocal meaning only, with the result that negative attributes alone can be ascribed to God. Yet he recognized that even negative attribution gives some understanding of the divine being. In Islam, most philosophers (such as al-Farabi) accepted divine simplicity, whereas most theologians rejected it. Some used it to reject the Trinity. Augustine had recognized a potential conflict between simplicity and the Trinity, but believed the resolution lay in proper understanding of the Trinity.

c. Unity

Unity. Monotheism maintains that there is one God. To this Christianity adds that there is a threefold distinction within one God. Stated roughly, God is one substance in three persons. Aquinas argued that there cannot be two gods because neither would be absolutely perfect since one would have a quality that the other lacked (Summa Theologica Ia, 11, 3). Richard Swinburne says that theism is a simpler hypothesis than polytheism, the latter positing more beings with various capabilities and relations. Theism is therefore more likely since simpler hypotheses turn out to be true more often. Moreover, the universe exhibits a unity, in its universal natural laws for example. This unity argues for one deity as its originator (The Existence of God, 1991, pp. 141-2).

d. Eternity

Eternity. Biblical authors spoke of God remembering the past, knowing the future, and acting in the present. According to early Christian thought, God exists forever, without beginning or end. For him events are past, present, and future. Later Christian thought, under the influence of Platonism it is said, held that God exists not inside time, but outside it. God is atemporal in that for him everything is simultaneous, there being no past, present, or future. This later view was held by Augustine, Anselm, and Aquinas; and classically expressed by Boethius, “Eternity is the complete and total possession of unending life all at once” (Consolation of Philosophy, V, vi). Boethius regarded a timeless being as superior because it does not lack a past and future; its entire existence is in a timeless present.

In modern times the timeless view has been defended by E. L. Mascall, Norman Kretzmann, Eleanor Stump, Paul Helm, and Brian Leftow. Arguments in favor include: it makes God more transcendent, it simplifies foreknowledge, it proposes the same divine relationship to time as to space–God is outside it; furthermore it allows for the creation of time along with matter. Arguments for the earlier view, that God is eternal but exists within time, include: personhood requires existence in time because only in time can there be intending, acting, knowing, remembering, and the like; it is difficult to explain how a timeless God can know or respond to events; and the notion of timeless eternity is incoherent.

e. Immutability

Immutability. Those who accept the view that God is outside time are able to argue that God cannot change because any change would have to take place inside time. The view that God is an absolutely perfect being can also lead to the conclusion that he cannot change: if he is perfect he could change neither for the better nor for the worse. Simplicity can be grounds for accepting divine immutability since the only things subject to change are things with parts. Immutability has been taken in a strong sense to mean that if a predicate p applies to God at any time then it must apply at every time. But this is so broad that it brings into the discussion of immutability things that, while changing, are in no way changing within God. For example, “Smith believes in God” could be false yesterday and true today, yet nothing within God has changed. God is immutable in a weaker and less problematic sense if it is required only that he does not change in his character and purpose. The weaker sense fits well with the view that God exists in time, since he could be considered immutable yet begin an action, forgive a person, and so on. Thus, predicates like, “God is protecting r from harm” could be the case at one time but not another and God would still be immutable. The stronger sense of immutability fits well with a God outside of time.

f. Omnipotence

Omnipotence. The claim that God can do anything has been the subject of a number of qualifications. First, many affirm the biblical view that God cannot do what is morally contrary to his nature. Similar to Anselm (Proslogion 7), Aquinas says that God cannot sin because he is omnipotent, since sin is a falling short of perfection (Summa Theologica, Ia.25.3). Nelson Pike says that it is logically possible for God to sin but he would not do what is against his nature. Aquinas also says that God cannot do other things that corporeal beings can do. And, he cannot do what is logically impossible, such as make a square circle. Descartes is one of the few to hold the contrary view, that the laws of mathematics and logic are subject to the will of God (Descartes’ Conversation with Burman, 22, 90). Perhaps the most significant challenge to omnipotence involves the existence of evil. It seems evil would not exist if God is both good and omnipotent. Process theology denies omnipotence, Christian Science denies the ultimate reality of evil, and some post-Holocaust thinking seems to question the goodness of God. Augustine defends the orthodox Christian concept of God on grounds that he did what was good in creating free beings yet they used their freedom to do evil. Some suffering is the just consequence of sin. Furthermore, where evil is a lack of good we cannot ask why God created it since it is merely the absence of something. Aquinas, Leibniz and others recognize that some good things exist only in the presence of certain types of evil. For example, forgiveness exists only where there is sin. In the light of these secondary goods, Leibniz argues that out of all the possible worlds God created the one with the best possible balance of good and evil. Some thinkers appeal to a future life to settle apparent discrepancies in the balance of good over evil. God’s future blessing, it is said, can more than make up for suffering in this world. William Alston develops the idea that as limited beings we are incapable of discerning-and therefore questioning-whether God has sufficient reasons for allowing the evil that exists.

g. Omniscience

Omniscience. While a few like Avicenna and Averroes seem to have held that a God who lacks certain types of knowledge would be more perfect, most have claimed that God knows everything. This is sometimes refined, for example, to the claim that God knows everything that is logically possible to know. An area of concern going back to Aristotle (On Interpretation 9) is the claim that propositions about future contingent events (that is, those whose causes are not determined by past events) have no truth value. If so they are unknowable, even by an omniscient being (a view held in modern times by so called Open Theism). Some have claimed that even if future events have a truth value, they are logically unknowable. Of special concern is the relationship between omniscience and human free will: if yesterday God knew infallibly that I would do x today, it seems I have no alternative but to do x today–a conclusion that seems to violate free will. To solve this, Boethius and Aquinas appealed to the concept of God’s timelessness, which entails that none of God’s knowledge is past or future. Aquinas also said that God determines all events and determines that they will be done freely. De Molina objected that this amounts to removing free will. He constructed his own view, which said that God’s knowledge is logically prior to his decree of what will be. God knows what an individual will do in all possible circumstances (a capacity called middle knowledge), and he decrees those circumstances in which a person freely cooperates with the divine plan. Thus foreknowledge is compatible with free will. Others have conceded that foreknowledge is incompatible with free will but claim that God voluntarily limits his knowledge of future events so that there can still be freedom. This makes omniscience a matter of having an ability to know rather than having specific knowledge. Another solution to the problem of omniscience and freedom challenges the idea that God’s knowledge limits future free actions in any way. While God knows necessarily that I will do x tomorrow that does not entail that it is necessary I do x. What God knows is what I will freely choose to do. So God knows today that I will do x tomorrow because tomorrow I will freely choose to do x. But if tomorrow I choose to do y, then today God knows that tomorrow I will do y. This view is consistent with what we know about less than infallible knowledge of future events. I may know that a person will choose steak over bologna though I in no way influenced their choice.

h. Impassibility

Impassibility. Various views have been held as to whether God can be affected by outside influences. Because Aristotle regarded change as inconsistent with perfection, he concluded that God could not be affected by anything outside himself. Furthermore, God engages not in feeling, but thinking, and he himself is the object of his contemplation. God is thus unaffected by the world in any way. The Stoics ruled out divine passibility because they regarded imperturbability as a virtue, and God must be the supreme example of it. John of Damascus agreed that God is imperturbable, but stressed it is because he is sovereign, not because he is uncaring. Aquinas accepted Aristotle’s view that God cannot change and is impassible. He can act, but nothing can act upon him. So emotions that proceed from God, such as love and joy, are in God; but other emotions such as anger and sadness can be ascribed to him only metaphorically. Early, medieval, and Reformation Christianity generally affirmed that because God could not suffer, Christ suffered in his humanity but not in his divine nature. However, the idea that God is unaffected by the world is being rethought in modern times. Moltmann, who was for a time a German prisoner of war, and Kitamori, a Japanese thinker, both witnessed World War II and its aftermath. They concluded that God must be moved by suffering. Richard Creel defends impassibility as being uncontrolled by outside influences. He says, among other things, that: God has emotions but they are not controlled by anything outside himself, he takes into account the ultimate good that will come from suffering, suffering does not make love more admirable, a God who suffers would be more appropriately an object of pity than of worship, justice does not require passibility because it need not be based on emotion; and omniscience does not require passibility because God need know only that a person has an emotion, he does not need to experience it. A mediating position would allow emotion in God but not control of him in any way by creatures. God would be affected by the world but only in the way and to the extent he allows.

i. Goodness

Goodness. Whereas classical Greek religion ascribed to the gods very human foibles, theism from Plato onward has affirmed that God is purely good and could not be the author of anything evil (Republic). In Judaism divine goodness is thought to be manifested especially in the giving of the law (Torah). In Islam it is thought to be manifested in divine revelation of truth through the prophets, especially as revealed in the Qur’an. And in Christianity it is manifested in the gracious granting of Christ as the way of salvation.

While goodness encompasses all moral perfection (e.g., truth telling, justice), benevolence is that particular aspect of goodness that wills the benefit of another. The Reformers, and Protestantism generally, stressed that God’s desire for the benefit of creatures is dependent not on their merits but purely on divine love. Divine love is not only irrespective of merit but it is shown most clearly where it is entirely unmerited, as in grace shown to fallen humanity. Therefore divine forgiveness and redemption are taken as the highest expressions of benevolence. Benevolence intersects with omnipotence in providence, wherein God orders events for good ends. It also raises the possibility of a clash between the divine and human wills, as when a person spurns God’s action in the world.

Divine goodness raises the question of whether God wills x because it is good, or x is good because God wills it. The former seems to weaken divine sovereignty, but the latter seems to make goodness arbitrary. The arbitrariness may be somewhat relieved if God’s will is understood as bounded by his unchanging character. God would not, for example, decide to make torturing for enjoyment right since his nature forever condemns it. The issue has implications for divine command ethics, according to which acts are right or wrong because God commands or forbids them (as opposed to, for example, a competing view that acts are right or wrong according to whether they promote the greatest happiness).

As to our knowledge of divine goodness, Aquinas separates the order of being from the order of knowing: all goodness derives from God but we understand divine goodness by extrapolating from the goodness of creatures. For Aquinas, this requires an analogical (as opposed to an equivocal) relationship between divine and human goodness. For Kant, divine goodness is known as a postulate of pure practical reason: God must be there to reward virtue and punish evil.

The greatest challenge to belief in divine goodness has been the fact that evil exists, or more recently, the amount and type of evil rather than the mere fact of it. The problem is lessened if it is acknowledged that divine goodness does not require that each creature always be made to experience as much happiness as it is capable of experiencing. Reasons may include, for example, that: it is impossible that all creatures collectively experience maximal happiness (e.g., because the maximal happiness of one precludes the maximal happiness of another), or that there is some higher good than the happiness of all creatures (e.g., John Hick’s view that maturity is that higher good, and acquiring it may entail some displeasure), or that some forms of good are manifested only when certain types of evil exist (for example, forgiveness requires wrongdoing; mentioned in “6,” above); or because God’s favor is undeserved and not given in response to merit, it cannot be owed and God cannot be faulted for not giving it.

4. References and Further Reading

  • Davis, Stephen T., Logic and the Nature of God (Grand Rapids, MI: Eerdmans, 1983).
    • Deals with challenges to the logical consistency of theism.
  • Fiddes, Paul S., The Creative Suffering of God (Oxford, 1988).
    • In-depth treatment of impassibility.
  • Hasker, W., God, Time and Knowledge (Ithaca, NY: Cornell University Press, 1989).
  • Hick, John, Evil and the God of Love, rev. ed (San Francisco, CA: Harper &Row, 1978).
    • Overview of major historical views on evil; concludes that the world is a place of soul-making.
  • Kelly, Joseph F., The Problem of Evil in the Western Tradition: From the Book of Job to Modern Genetics (Collegeville, MN: The Liturgical Press, 2002).
    • Comprehensive and accessible survey of western thought on the subject.
  • Kenny, A. The God of the Philosophers (Oxford, 1979).
  • Morris, Thomas V., Our Idea of God: An Introduction to Philosophical Theology (Downers Grove, IL: InterVarsity, 1991).
    • Basic introduction to issues such as perfect being theology; God’s goodness, power, and knowledge.
  • Quinn, Philip and Charles Taliaferro eds. A Companion to Philosophy of Religion (Malden, MA: Blackwell, 1997).
    • Contains 620 pages of articles by authorities; many of them introduce various aspects of theism, including attributes of God, pluralism, theism and modern science, and the problem of evil.
  • Swinburne, Richard, The Coherence of Theism (Oxford, 1977; rev. 1993).
    • Discusses many aspects of theism to show its logical consistency.

Author Information

Brian Morley
Email: bmorley@masters.edu
The Master’s College
U. S. A.

Paul Ricoeur (1913—2005)

RicoeurPaul Ricoeur was among the most impressive philosophers of the 20th century continental philosophers, both in the unusual breadth and depth of his philosophical scholarship and in the innovative nature of his thought. He was a prolific writer, and his work is essentially concerned with that grand theme of philosophy: the meaning of life. Ricoeur’s “tensive” style focuses on the tensions running through the very structure of human being. His constant preoccupation was with a hermeneutic of the self, fundamental to which is the need we have for our lives to be made intelligible to us. Ricoeur’s flagship in this endeavor is his narrative theory. Though a Christian philosopher whose work in theology is well-known and respected, his philosophical writings do not rely upon theological concepts, and are appreciated by non-Christians and Christians alike. His most widely read works are The Rule of Metaphor, From Text to Action, and Oneself As Another, and the three volumes of Time and Narrative. His other significant books include Hermeneutics and the Human Sciences, Conflict of Interpretations, The Symbolism of Evil, Freud and Philosophy, and Freedom and Nature: The Voluntary and the Involuntary.

Table of Contents

  1. Life and Works
  2. Style
  3. Influences
  4. The Philosophy
  5. Time and Narrative
  6. Ethics
  7. References and Further Reading
    1. Selected Ricoeur Bibliography
    2. Further Reading

1. Life and Works

Jean Paul Gustave Ricoeur was born on February 27, 1913, at Valence, France, and he died in Chatenay-Malabry, France on May 20, 2005. He lost both his parents within his first few years of his life and was raised with his sister Alice by his paternal grandparents, both of whom were devout Protestants. Ricoeur was a bookish child and successful student. He was awarded a scholarship to study at the Sorbonne in 1934, and afterwards was appointed to his first teaching position at Colmar, Alsace. While at the Sorbonne he first met Gabriel Marcel, who was to become a lifelong friend and philosophical influence. In 1935 he was married to Simone Lejas, with whom he has raised five children.

Ricoeur served in World War II – spending most of it as a prisoner of war – and was awarded the Croix de Guerre. He was interred with Mikel Dufrenne, with whom he later wrote a book on the work of Karl Jaspers. After the war Ricoeur returned to teaching, taking positions at the University of Strasbourg, the Sorbonne, University of Paris at Nanterre, the University of Louvain and University of Chicago. Ricoeur is a traditional philosopher in the sense that his work is highly systematic and steeped in the classics of Western philosophy. His is a reflective philosophy, that is, one that considers the most fundamental philosophical problems to concern self-understanding. While Ricoeur retains subjectivity at the heart of philosophy, his is no abstract Cartesian-style subject; the subject is always a situated subject, an embodied being anchored in a named and dated physical, historical and social world. For this reason his work is sometimes described as philosophical anthropology. Ricoeur is a post-structuralist hermeneutic philosopher who employs a model of textuality as the framework for his analysis of meaning, which extends across writing, speech, art and action. Ricoeur considers human understanding to be cogent only to the extent that it implicitly deploys structures and strategies characteristic of textuality. It is Ricoeur’s view that our self-understandings, and indeed history itself , are “fictive”, that is, subject to the productive effects of the imagination through interpretation. For Ricoeur, the human subjectivity is primarily linguistically designated and mediated by symbols. He states that the “problematic of existence” is given in language and must be worked out in language and discourse. Ricoeur refers to his hermeneutic method as a “hermeneutics of suspicion” because discourse both reveals and conceals something about the nature of being. Unlike post-structuralists such as Foucault and Derrida, for whom subjectivity is nothing more than an effect of language, Ricoeur anchors subjectivity in the human body and the material world, of which language is a kind of second order articulation. In the face of the fragmentation and alienation of post-modernity, Ricoeur offers his narrative theory as the path to a unified and meaningful life; indeed, to the good life.

2. Style

Ricoeur has developed a theoretical style that can best be described as “tensive”. He weaves together heterogeneous concepts and discourses to form a composite discourse in which new meanings are created without diminishing the specificity and difference of the constitutive terms. Ricoeur’s work on metaphor and on the human experience of time are perhaps the best examples of this method, although his entire philosophy is explicitly such a discourse. For example, in What Makes Us Think? Ricoeur discusses the nature of mental life in terms of the tension between our neurobiological conceptions of mind and our phenomenological concepts. Similarly, in the essay “Explanation and Understanding” he discusses human behavior in terms of the tension between concepts of material causation, and the language of actions and motives. The tensive style is in keeping with what Ricoeur regards as basic, ontological tensions inherent in the peculiar being that is human existence, namely, the ambiguity of belonging to both the natural world and the world of action (through freedom of the will). Accordingly, Ricoeur insists that philosophy find a way to contain and express those tensions, and so his work ranges across diverse schools of philosophical thought, bringing together insights and analysis from both the Anglo-American and European traditions, as well as from literary studies, political science and history.

The tensions are played out in our ability to take different perspectives on ourselves and so to formulate diverse approaches and methods in understanding ourselves. The different theoretical frameworks employed in philosophy and the sciences are not simply the result of ignorance or power. They are the result of tensions that run through the very structure of human being; tensions which Ricoeur describes as “fault lines.” Ricoeur’s entire body of work is an attempt to identify and map out the intersections of these numerous and irreducible lines that comprise our understandings of the human world. Ricoeur calls these “fault lines” because they are lines that can intersect in different ways in all the different aspects of human lives, giving lives different meanings. However, as points of intersection of discourses, these meanings can come apart. Ricoeur argues that the stability we enjoy with respect to the meanings of our lives is a tentative stability, subject to the influences of the material world, including the powers and afflictions of one’s body, the actions of other people and institutions, and one’s own emotional and cognitive states. Given the fundamental nature of these tensions, Ricoeur argues that it is ultimately poetics (exemplified in narrative), rather than philosophy that provides the structures and synthetic strategies by which understanding and a coherent sense of self and life is possible.

3. Influences

Ricoeur acknowledges his indebtedness to several key figures in the tradition, most notably, Aristotle, Kant, Hegel and Heidegger. Aristotelian teleology pervades Ricoeur’s textual hermeneutics, and is most obvious in his adoption of a narrative approach. The concepts of “muthos” and “mimesis” in Aristotle’s Poetics form the basis for Ricoeur’s account of narrative “emplotment,” which he enjoins with the innovative powers of the Kantian productive imagination within a general theory of poetics.

The influence of Hegel is manifest in Ricoeur’s employment of a method he describes as a “refined dialectic.” For Ricoeur, the dialectic is a “relative moment[s] in a complex process called interpretation” (Explanation and Understanding”, 150). Like Hegel, the dialectic involves identifying key oppositional terms in a debate, and then proceeding to articulate their synthesis into a new, more developed concept. However, this synthesis does not have the uniformity of a Hegelian synthesis. Ricoeur’s method entails showing how the meanings of two seemingly opposed terms are implicitly informed by, and borrow from, each other. Within the dialectic, the terms maintain their differences at the same time that a common “ground” is formed. However, the common ground is simply the ground of their mutual presupposition. Ricoeur’s dialectic, then, is a unity of continuity and discontinuity. For example, in “Explanation and Understanding” Ricoeur argues that scientific explanation implicitly deploys a background hermeneutic understanding that exceeds the resources of explanation. At the same time, hermeneutic understanding necessarily relies upon the systematic process of explanation. Neither the natural sciences nor the human sciences are fully autonomous disciplines. A key dialectic that runs through Ricoeur’s entire corpus is the dialectic of same and other. This is a foundational dialectic for him, and so, as might be expected, it structures his discussions and dissections of every field of philosophy he enters: selfhood, justice, love, morality, personal identity, knowledge, time, language, metaphor, action, aesthetics, metaphysics, and so on. Unlike the Hegelian dialectic, for Ricoeur, there is no absolute culminating point. There is, nevertheless, a kind of absolute, an objective existence that is revealed indirectly through the dialectic. This is most evident in the third volume of Time and Narrative, where he argues that phenomenological time presupposes an objective order of time (cosmological time), and in The Rule of Metaphor, where he argues that language belongs to, and is expressive of, extra-linguistic reality. Despite this apparent concession to realism, Ricoeur insists that the objective cannot be known as such, but merely grasped indirectly and analytically. Here, the Kantian influence comes to the fore. For Ricoeur, objective reality is the contemporary equivalent of Kantian noumena: although it can never itself become an object of knowledge, it is a kind of necessary thought, a limiting concept, implied in objects of knowledge. This view informs Ricoeur’s “tensive” style. Although we can know, philosophically that there is an objective reality, and, in that sense, a metaphysical constraint on human existence, we can never understand human existence simply in terms of this objectivity. What we must appeal to in order to understand our existence are our substantive philosophical and ethical concepts and norms. This sets up an inevitable tension between the contingency of those norms and the brute fact of objective reality, evidenced in our experience of the involuntary, for example, as aging and dying. Again, Kant looms large. We necessarily regard ourselves from two perspectives: as the author of our actions in the practical world, and as part of, or passive to, cause and effect in the natural world. Such is the inherently ambiguous and tensive nature of human, mortal subjects. It is this condition, then, with which philosophy must grapple. And it is to this condition that Ricoeur offers narrative as the appropriate framework.

4. The Philosophy

There are two closely related questions that animate all of Ricoeur’s work, and which he considers to be fundamental to philosophy: “Who am I?” and “How should I live?” The first question has been neglected by much of contemporary analytical and post-modern philosophy. Consequently, those philosophies lack the means to address the second question. Postmodernism self-consciously rejects traditional processes of identity formation, depicting them as familial and political power relations premised upon dubious metaphysical assumptions about gender, race and mind. At the same time, contemporary philosophy of mind reduces questions of “who?” to questions of “what?”, and in doing so, closes down considerations of self while rendering the moral question one of mere instrumentality or utility. In relation to the question “Who am I?”, Ricoeur acknowledges a long-standing debt to Marcel and Heidegger, and to a lesser extent to Merleau-Ponty. To the moral question, the debt is to Aristotle and Kant. In addressing the question “who am I?” Ricoeur sets out first to understand the nature of selfhood – to understand the being whose nature it is to enquire into itself.

In this endeavor, Ricoeur’s philosophy is driven by the desire to provide an account that will do justice to the tensions and ambiguities which make us human, and which underpin our fallibility. Ricoeur’s interest here can be noted as early as The Voluntary and The Involuntary, drafted during his years as a prisoner of war. There he explores the involuntary constraints to which we are necessarily subject in virtue of our being bodily mortal creatures, and the voluntariness necessary to the idea of ourselves as the agents of our actions. We have, as he later describes it, a “double allegiance”, an allegiance to the material world of cause and effect, and to the phenomenal world of the freedom of the will by which we tear ourselves away from the laws of nature through action. This conception of the double nature of the self lies at the core of Ricoeur’s philosophy. Ricoeur rejects the idea that a self is a metaphysical entity; there is no entity, “the self,” there is only selfhood. Selfhood is an intersubjectively constituted capacity for agency and self-ascription that can be had by individual human beings. Selfhood proper is neither simply an abstract nor an animal self-awareness, but both. It essentially involves an active grasp of oneself as a “who”–that is, as a person who is the subject of a concrete situation, a situation characterized by material and phenomenal qualities. This entails understanding oneself as a named person with a time and place of birth, linked to other similarly named persons and to certain ethnic and cultural traditions, living in a dated and named place. In Oneself As Another Ricoeur describes how the complexity of the question of “who?” opens directly onto a certain way of articulating the question of personal identity: “how the self can be at one and the same time a person of whom we speak and a subject who designates herself in the first person while addressing a second person. . . The difficulty will be . . . understanding how the third person is designated in discourse as someone who designates himself as a first person (34-5)”. Drawing on Heidegger’s notion of Dasein, Ricoeur goes on to write that “To say self is not to say myself . . . the passage from selfhood to mineness is marked by the clause “in each case” . . . The self . . . is in each case mine” (OAA 180). What he means by this is that each person has to take one’s selfhood as one’s own; each must take oneself as who one is; one must “attest” to oneself. Subjectivity, or selfhood, is for Ricoeur, a dialectic of activity and passivity because we are beings with a “double nature,” structured along the fault lines of the voluntary and the involuntary, beings given to ourselves as something to be known. Ricoeur shares Marcel’s view that the answer to the question “Who am I?” can never be fully explicated. This is because, in asking “Who am I?”, “I” who pose the question necessarily fall within the domain of enquiry; I am both seeker and what is sought. This peculiar circularity gives a “questing” and dialectical character to selfhood, which now requires a hermeneutic approach. This circularity has its origins in the nature of embodied subjectivity. Ricoeur’s account is built upon Marcel’s conception of embodied subjectivity as a “fundamental predicament”(Marcel, 1965). The predicament lies in the anti-dualist realization that “I” and my body are not metaphysically distinct entities. My body cannot be abstracted from its being mine. Whatever states I may attribute to my body as its states, I do so only insofar as they are attributes of mine. My body is both something that I am and something that I have: it is “my body” that imagines, perceives and experiences. The unity of “my body” is a unity sui generis. Yet my body is also that over which I exercise a certain instrumentality through my agency. However, the agency that effects that instrumentality is nothing other than “my body.” There is no I-body relation; the primitive term here is “my body.” The inherent ambiguity of the “carnate body” or “corps-sujet” can be directly experienced by clasping one’s own hands (an example often employed by Marcel and Merleau-Ponty). In this experience the distinction between subject and object becomes blurred: it isn’t clear which hand is being touched and which is touching; each hand oscillates between the role of agent and object, without ever being both simultaneously. One cannot feel oneself feeling. This example is supposed to demonstrate two points: first, that the ambiguity of my body prevents the complete objectification of myself, and second, that ambiguity extends to all perception. Perception is not simply passive, but rather, involves an active reception (a concept that Ricoeur takes up and develops in his account of the ontology of the self and one’s own body in Oneself As Another, see 319–329). In other words, my body has an active role in structuring my perceptions, and so, the meaning of my perceptions needs to be interpreted in the context of my bodily situation. The non-coincidence of myself and my body constitutes a “fault line” within the structure of subjectivity. The result is that knowledge of myself and the world is not constituted by more or less accurate facts, but rather, is a composite discourse–a discourse which charts the intersection of the objective, intersubjective and subjective aspects of lived experience. On this view, all knowledge, including my knowledge of my own existence, is mediate and so calls for interpretation. This also means that self-understanding can never be grasped by the kind of introspective immediacy celebrated by Descartes. Instead, as human beings we are never quite “at one” with ourselves; we are fallible creatures. Thus, who I am is not an objective fact to be discovered, but rather something that I must achieve or create, and to which I must attest. On Ricoeur’s view, the question “Who am I ?” is a question specific to a certain kind of being, namely, being a subject of a temporal, material, linguistic and social unity. The ability to grasp oneself as a concrete subject of such a world requires a complex mode of understanding capable of integrating discourses of quite heterogenous kinds, including, importantly, different orders of time. It is to the temporal dimension of selfhood that Ricoeur has most directly addressed his hermeneutic philosophy and narrative model of understanding.

5. Time and Narrative

Central to Ricoeur’s defense of narrative is its capacity to represent the human experience of time. Such a capacity is an essential requisite for a reflective philosophy. Ricoeur sets out his account of “human time” in Time and Narrative, Volume 3. He points out that we experience time in two different ways. We experience time as linear succession, we experience the passing hours and days and the progression of our lives from birth to death. This is cosmological time–time expressed in the metaphor of the “river” of time. The other is phenomenological time; time experienced in terms of the past, present and future. As self-aware embodied beings, we not only experience time as linear succession, but we are also oriented to the succession of time in terms of what has been, what is, and what will be. Ricoeur’s concept of “human time” is expressive of a complex experience in which phenomenological time and cosmological time are integrated. For example, we understand the full meaning of “yesterday” or “today” by reference to their order in a succession of dated time. To say “Today is my birthday” is to immediately invoke both orders of time: a chronological date to which is anchored the phenomenological concept of “birthday.” Ricoeur describes this anchoring as the “inscription” of phenomenological time on cosmological time (TN3 109).

These two conceptions of time have traditionally been seen in opposition, but Ricoeur argues that they share a relation of mutual presupposition. The order of “past-present-future” within phenomenological time presupposes the succession characteristic of cosmological time. The past is always before the present which is always after the past and before the future. The order of succession is invariable, and this order is not part of the concepts of past, present or future considered merely as existential orientations. On the other hand, within cosmological time, the identification of supposedly anonymous instants of time as “before” or “after” within the succession borrows from the phenomenological orientation to past and future. Ricoeur argues that any philosophical model for understanding human existence must employ a composite temporal framework. The only suitable candidate here is the narrative model. Ricoeur links narrative’s temporal complexity to Aristotle’s characterization of narrative as “the imitation of an action”. Ricoeur’s account of the way in which narrative represents the human world of acting (and, in its passive mode, suffering) turns on three stages of interpretation that he calls mimesis1 (prefiguration of the field of action), mimesis2 (configuration of the field of action), and mimesis3 (refiguration of the field of action). Mimesis1 describes the way in which the field of human acting is always already prefigured with certain basic competencies, for example, competency in the conceptual network of the semantics of action (expressed in the ability to raise questions of who, how, why, with whom, against whom, etc.); in the use of symbols (being able to grasp one thing as standing for something else); and competency in the temporal structures governing the syntagmatic order of narration (the “followability” of a narrative). Mimesis2 concerns the imaginative configuration of the elements given in the field of action at the level of mimesis1. Mimesis2 concerns narrative “emplotment.” Ricoeur describes this level as “the kingdom of the as if” Narrative emplotment brings the diverse elements of a situation into an imaginative order, in just the same way as does the plot of a story. Emplotment here has a mediating function. It configures events, agents and objects and renders those individual elements meaningful as part of a larger whole in which each takes a place in the network that constitutes the narrative’s response to why, how, who, where, when, etc. By bringing together heterogeneous factors into its syntactical order emplotment creates a “concordant discordance,” a tensive unity which functions as a redescription of a situation in which the internal coherence of the constitutive elements endows them with an explanatory role. A particularly useful feature of narrative which becomes apparent at the level mimesis2 is the way in which the linear chronology of emplotment is able to represent different experiences of time. What is depicted as the “past” and the “present” within the plot does not necessarily correspond to the “before” and “after” of its linear, episodic structure. For example, a narrative may begin with a culminating event, or it may devote long passages to events depicted as occurring within relatively short periods of time. Dates and times can be disconnected from their denotative function; grammatical tenses can be changed, and changes in the tempo and duration of scenes create a temporality that is “lived” in the story that does not coincide with either the time of the world in which the story is read, nor the time that the unfolding events are said to depict. In Volume 2 of Time and Narrative, Ricoeur’s analyses of Mrs. Dalloway, The Magic Mountain and Remembrance of Things Past centre on the diverse variations of time produced by the interplay of a three tiered structure of time: the time of narrating; the narrated time; and the fictive experience of time produced through “the conjunction/disjunction of the time it takes to narrate and narrated time” (TN2 77). Narrative configuration has at hand a rich array of strategies for temporal signification. Another key feature of mimesis2 is the ability of the internal logic of the narrative unity (created by emplotment) to endow the connections between the elements of the narrative with necessity. In this way, emplotment forges a causal continuity from a temporal succession, and so creates the intelligibility and credibility of the narrative. Ricoeur argues that the temporal order of the events depicted in the narrative is simultaneous with the construction of the necessity that connects those elements into a conceptual unity: from the structure of one thing after another arises the conceptual relation of one thing because of another. It is this conversion that so well “imitates” the continuity demanded by a life, and makes it the ideal model for personal identity and self-understanding. Mimesis3 concerns the integration of the imaginative or “fictive” perspective offered at the level of mimesis2 into actual, lived experience. Ricoeur’s model for this is a phenomenology of reading, which he describes as “the intersection of the world of the text and the world of the reader”(TN1 71). Not only are our life stories “written,” they must be “read,” and when they are read they are taken as one’s own and integrated into one’s identity and self-understanding. Mimesis3 effects the integration of the hypothetical to the real by anchoring the time depicted (or recollected or imputed) in a dated “now” and “then” of actual, lived time. Mimesis is a cyclical interpretative process because it is inserted into the passage of cosmological time. As time passes, our circumstances give rise to new experiences and new opportunities for reflection. We can redescribe our past experiences, bringing to light unrealized connections between agents, actors, circumstances, motives or objects, by drawing connections between the events retold and events that have occurred since, or by bringing to light untold details of past events. Of course, narrative need not have a happy ending. The concern of narrative is coherence and structure, not the creation of a particular kind of experience. Nevertheless, the possibility of redescription of the past offers us the possibility of re-imagining and reconstructing a future inspired by hope. It is this potentially inexhaustible process that is the fuel for philosophy and literature.

6. Ethics

Besides the metaphysical complexity and heterogeneity of the human situation, one of Ricoeur’s deepest concerns is the tentative, even fragile status of the coherence of a life. His conception of ethics is directly tied to his conception of the narrative self. Because selfhood is something that must be achieved and something dependent upon the regard, words and actions of others, as well as chancy material conditions, one can fail to achieve selfhood, or one’s sense of who one is can fall apart. The narrative coherence of one’s life can be lost, and with that loss comes the inability to regard oneself as the worthy subject of a good life; in other words, the loss of self-esteem.

Ricoeur’s ethics is teleological. He argues that human life has an ethical aim, and that aim is self-esteem: “the interpretation of ourselves mediated by the ethical evaluation of our actions. Self-esteem is itself an evaluation process indirectly applied to ourselves as selves” (The Narrative Path, 99). In short, self-esteem means being able to attest to oneself as being the worthy subject of a good life, where “good” is an evaluation informed not simply by one’s own subjective criteria, but rather by intersubjective criteria to which one attests. This entails another moral concept: that of imputation. As the subject of my actions, I am responsible for what I do; I am the subject to whom my actions can be imputed and whose character is to be interpreted in the light of those actions. Ricoeur describes the ethical perspective that arises from this view of the subject as “aiming at the good life” with and for others, in just institutions” (OAA 172). Such a perspective merely spells out the premise of this practical and material conception of selfhood, with its presupposition of the world of action, lived with others. For Ricoeur, a life can have an aim because the teleological structure of action extends over a whole life, understood within the narrative framework. The ethical life is achieved by aiming to live well with others in just institutions. Ricoeur’s view of selfhood has it that we are utterly reliant upon each other. While Ricoeur emphasizes the importance of the first person perspective and the notion of personal responsibility, his is no philosophy of the radical individual. He emphasizes that we are “mutually vulnerable”, and so the fate (self-esteem) of each of us is tied up with the fate of others. This situation has a normative dimension: we have an indebtedness to each other, a duty to care for each other and to engender self-respect and justice, all of which are necessary to the creation and preservation of self-esteem. While duty runs deep, Ricoeur argues that it is nevertheless preceded by a certain reciprocity. In order to feel commanded by duty, one must first have the capacity to hear and respond to the demand of the Other. That is, there must be some fundamental, primordial openness and orientation to others for the power of duty to be felt. Prior to duty there must be a basic reciprocity, which underlies our mutual vulnerability and from which duty, as well as the possibility of friendship and justice, arises. Here, Ricoeur emphasizes the ethical primacy of acting and suffering. Ricoeur calls this phenomenon “solicitude” or “benevolent spontaneity” (OAA 190). It makes the relation of self and Other (and thus, ethics) primordial, or ontological – hence the title of Ricoeur’s book on ethics, Oneself As Another. Self-esteem is said to arise from a primitive reciprocity of spontaneous, benevolent feelings, feelings which one is also capable of directing toward oneself, but only through the benevolence of others. This fundamental reciprocity is prior to the activity of giving. This can be demonstrated in the situation of sympathy, where it is the Other’s suffering (not acting) that one shares. Here, Ricoeur argues that “from the suffering Other there comes a giving that is no longer drawn from the power of acting and existing, but precisely from weakness itself” (OAA 188-9). In this case, the suffering Other is unable to act, and yet gives. What the suffering Other gives to he or she who shares this suffering is precisely the knowledge of their shared vulnerability and the experience of the spontaneous benevolence required to bear that knowledge. As might be supposed from Ricoeur’s view of embodied subjectivity, one is always already an Other to oneself. So, love and understanding for others, and love and understanding for oneself, are two sides of the same sheet of paper, so to speak. One becomes who one is through relations with the Other, whether in the instance of one’s own body or another’s. Reciprocity forms the basis of those productive and self-affirming relations central to so much of ethics, namely friendship and justice. Its corruption leads to self-loathing and the destruction of self-esteem, which goes hand-in-hand with harm to others and injustice. For Ricoeur, friendship and justice become the chief virtues because of their crucial role in the well-being of selfhood, and thus, in maintaining the conditions of possibility of selfhood. Friends and just institutions not only protect against the suffering of self-destruction to which one is always vulnerable, they provide the means for reconstructing and redeeming damaged lives. The theme of redemption runs right through Ricoeur’s work, and no doubt it has a religious origin. However, the notion of redemption can be viewed in secular terms as the counterpart to the constructive nature of one’s identity, and the temporal complexity of the human situation which calls for interpretation.

7. References and Further Reading

  • Marcel, Gabriel. Being and Having: an existentialist diary (New York: Harper and Row, 1965).
  • Marcel, Gabriel. The Mystery of Being: 1, Reflection and Mystery (Chicago: Henry Regnery, 1960).
  • Merleau-Ponty, Maurice.  The Visible and The Invisible, trans. Alphonso Lingis (Evanston: Northwestern University Press, 1968).
  • Ricoeur, Paul. “Explanation and Understanding” in From Text to Action, trans. Kathleen Blamey and John Thompson (Evanston, Ill: Northwestern University Press, 1991).
  • Ricoeur, Paul. “Humans as the Subject Matter of Philosophy” in The Narrative Path, The Later Works of Paul Ricoeur, eds. T. Peter Kemp and David Rasmussen (Cambridge, Mass: MIT Press, 1988).
  • Ricoeur, Paul. “Intellectual Autobiography” in Lewis Edwin Hahn, ed., The Philosophy of Paul Ricoeur, The Library of Living Philosophers Volume XXII (Chicago, Illinois: Open Court, 1995).
  • Ricoeur, Paul. “What is Dialectical?” in Freedom and Morality ed. John Bricke, (Lawrence: University of Kansas, 1976).

a. Selected Ricoeur Bibliography

  • History and Truth, trans. Charles A Kelbley, (Evanston, Illinois: Northwestern University Press, 1965)
  • Fallible Man, trans. Charles A Kelbley (New York: Fordham University Press, 1986)
  • Freedom and Nature: The Voluntary and the Involuntary (Evanston, Illinois: Northwestern University Press, 1966)
  • Husserl: An Analysis of his Phenomenology, trans. E. G. Ballard and L. E. Embree (Evanston, Illinois: Northwestern University Press, 1966)
  • The Symbolism of Evil, trans. E. Buchanan (New York and Evanston: Harper-Row, 1967)
  • Freud and Philosophy: an essay on interpretation, trans. D. Savage (New Haven and London: Yale University Press, 1970)
  • Tragic Wisdom and Beyond, with Gabriel Marcel, trans. P. McCormick and S. Jolin (Evanston, Ill: Northwestern University Press, 1973)
  • The Conflict of Interpretations. Essays in Hermeneutics, trans. D. Ihde (Evanston, Ill: Northwestern University Press, 1974)
  • The Rule of Metaphor, multidisciplinary studies in the creation of meaning in language (London: Routledge & Kegan Paul, 1978)
  • Hermeneutics and the Human Sciences. Essays on Language, Action and Interpretation edited and trans. J. B. Thompson (Cambridge and New York: Cambridge University Press, 1981)
  • Time and Narrative, Volumes 1-3, trans. Kathleen Blamey and David Pellauer (Chicago and London: University of Chicago Press, 1984 -1988)
  • From Text to Action, trans. Kathleen Blamey and John Thompson (Evanston, Ill: Northwestern University Press, 1991)
  • Oneself as Another, trans. Kathleen Blamey (Chicago: University of Chicago Press, 1992)
  • Tolerance between intolerance and the intolerable (Providence: Berghahn Books, 1996)
  • Critique and conviction : conversations with FranÁois Azouvi and Marc de Launay trans. Kathleen Blamey (New York: Columbia University Press, 1998)
  • Thinking Biblically: Exegetical and Hermeneutical Studies, with Andre LeCocque (Chicago and London: University of Chicago Press, 1998)
  • The Just, trans. David Pellauer (Chicago and London: University of Chicago Press, 2000)
  • What Makes Us Think? A Neuroscientist and a Philosopher Argue About Ethics, Human Nature and the Brain, with Jean-Pierre Changeux, trans. M. B. DeBevoise (Princeton and Oxford: Princeton University Press, 2000)

b. Further Reading

  • Henry Isaac Venema: Identifying selfhood : imagination, narrative, and hermeneutics in the thought of Paul Ricoeur (Albany, N.Y. : State University of New York Press, 2000)
  • Bernard P. Dauenhauer : Paul Ricoeur : the promise and risk of politics (Lanham, MD: Rowman & Littlefield Publishers, 1998)
  • Charles E. Regan, Paul Ricoeur, his life and his work (Chicago & London: University of Chicago Press, 1996)
  • Lewis Edwin Hahn, ed. The Philosophy of Paul Ricoeur, The Library of Living Philosophers Volume XXII (Chicago, Illinois: Open Court, 1995)
  • David Wood, ed. On Paul Ricoeur (London & New York: Routledge, 1991)
  • S.H. Clark: Paul Ricoeur (London and New York: Routledge, 1990)
  • Patrick L. Bourgeois and Frank Schalow: Traces of understanding: a profile of Heidegger’s and Ricoeur’s hermeneutics (Amsterdam and Atlanta, GA : Rodopi, 1990)
  • T. Peter Kemp and David Rasmussen: The Narrative Path: The Later Works of Paul Ricoeur (Cambridge, Mass: MIT Press, 1989)
  • John B. Thompson: Critical hermeneutics : a study in the thought of Paul Ricoeur and Jurgen Habermas (Cambridge: Cambridge University Press, 1981)
  • Charles E. Reagan ed: Studies in the Philosophy of Paul Ricoeur (Athens: Ohio University Press, 1979)
  • Don Ihde, Hermeneutic Phenomenology: The Philosophy of Paul Ricoeur (Evanston: Northwestern University Press, 1971)

Author Information

Kim Atkins
Email: kim.atkins@utas.edu.au
University of Tasmania
Tasmania

Thomas Hobbes: Moral and Political Philosophy

hobbesThe English philosopher Thomas Hobbes (1588-1679) is best known for his political thought, and deservedly so. His vision of the world is strikingly original and still relevant to contemporary politics. His main concern is the problem of social and political order: how human beings can live together in peace and avoid the danger and fear of civil conflict. He poses stark alternatives: we should give our obedience to an unaccountable sovereign (a person or group empowered to decide every social and political issue). Otherwise what awaits us is a state of nature that closely resembles civil war – a situation of universal insecurity, where all have reason to fear violent death and where rewarding human cooperation is all but impossible.

One controversy has dominated interpretations of Hobbes. Does he see human beings as purely self-interested or egoistic? Several passages support such a reading, leading some to think that his political conclusions can be avoided if we adopt a more realistic picture of human nature. However, most scholars now accept that Hobbes himself had a much more complex view of human motivation. A major theme below will be why the problems he poses cannot be avoided simply by taking a less selfish view of human nature.

Table of Contents

  1. Introduction
  2. Life and Times
  3. Two Intellectual Influences
  4. Ethics and Human Nature
    1. Materialism Versus Self-Knowledge
    2. The Poverty of Human Judgment and our Need for Science
    3. Motivation
    4. Political Philosophy
  5. The Natural Condition of Mankind
    1. The Laws of Nature and the Social Contract
    2. Why Should we Obey the Sovereign?
    3. Life Under the Sovereign
  6. Conclusion
  7. References and Further Reading

1. Introduction

Hobbes is the founding father of modern political philosophy. Directly or indirectly, he has set the terms of debate about the fundamentals of political life right into our own times. Few have liked his thesis, that the problems of political life mean that a society should accept an unaccountable sovereign as its sole political authority. Nonetheless, we still live in the world that Hobbes addressed head on: a world where human authority is something that requires justification, and is automatically accepted by few; a world where social and political inequality also appears questionable; and a world where religious authority faces significant dispute. We can put the matter in terms of the concern with equality and rights that Hobbes’s thought heralded: we live in a world where all human beings are supposed to have rights, that is, moral claims that protect their basic interests. But what or who determines what those rights are? And who will enforce them? In other words, who will exercise the most important political powers, when the basic assumption is that we all share the same entitlements?

We can see Hobbes’s importance if we briefly compare him with the most famous political thinkers before and after him. A century before, Nicolo Machiavelli had emphasized the harsh realities of power, as well as recalling ancient Roman experiences of political freedom. Machiavelli appears as the first modern political thinker, because like Hobbes he was no longer prepared to talk about politics in terms set by religious faith (indeed, he was still more offensive than Hobbes to many orthodox believers), instead, he looked upon politics as a secular discipline divorced from theology. But unlike Hobbes, Machiavelli offers us no comprehensive philosophy: we have to reconstruct his views on the importance and nature of freedom; it remains uncertain which, if any, principles Machiavelli draws on in his apparent praise of amoral power politics.

Writing a few years after Hobbes, John Locke had definitely accepted the terms of debate Hobbes had laid down: how can human beings live together, when religious or traditional justifications of authority are no longer effective or persuasive? How is political authority justified and how far does it extend? In particular, are our political rulers properly as unlimited in their powers as Hobbes had suggested? And if they are not, what system of politics will ensure that they do not overstep the mark, do not trespass on the rights of their subjects?

So, in assessing Hobbes’s political philosophy, our guiding questions can be: What did Hobbes write that was so important? How was he able to set out a way of thinking about politics and power that remains decisive nearly four centuries afterwards? We can get some clues to this second question if we look at Hobbes’s life and times.

2. Life and Times

Hobbes’s biography is dominated by the political events in England and Scotland during his long life. Born in 1588, the year the Spanish Armada made its ill-fated attempt to invade England, he lived to the exceptional age of 91, dying in 1679. He was not born to power or wealth or influence: the son of a disgraced village vicar, he was lucky that his uncle was wealthy enough to provide for his education and that his intellectual talents were soon recognized and developed (through thorough training in the classics of Latin and Greek). Those intellectual abilities, and his uncle’s support, brought him to university at Oxford. And these in turn—together with a good deal of common sense and personal maturity—won him a place tutoring the son of an important noble family, the Cavendishes. This meant that Hobbes entered circles where the activities of the King, of Members of Parliament, and of other wealthy landowners were known and discussed, and indeed influenced. Thus intellectual and practical ability brought Hobbes to a place close to power—later he would even be math tutor to the future King Charles II. Although this never made Hobbes powerful, it meant he was acquainted with and indeed vulnerable to those who were. As the scene was being set for the Civil Wars of 1642-46 and 1648-51—wars that would lead to the King being executed and a republic being declared—Hobbes felt forced to leave the country for his personal safety, and lived in France from 1640 to 1651. Even after the monarchy had been restored in 1660, Hobbes’s security was not always certain: powerful religious figures, critical of his writings, made moves in Parliament that apparently led Hobbes to burn some of his papers for fear of prosecution.

Thus Hobbes lived in a time of upheaval, sharper than any England has since known. This turmoil had many aspects and causes, political and religious, military and economic. England stood divided against itself in several ways. The rich and powerful were divided in their support for the King, especially concerning the monarch’s powers of taxation. Parliament was similarly divided concerning its own powers vis-à-vis the King. Society was divided religiously, economically, and by region. Inequalities in wealth were huge, and the upheavals of the Civil Wars saw the emergence of astonishingly radical religious and political sects. (For instance, the Levellers called for much greater equality in terms of wealth and political rights; the Diggers, more radical still, fought for the abolition of wage labor.) Civil war meant that the country became militarily divided. And all these divisions cut across one another: for example, the army of the republican challenger, Cromwell, was the main home of the Levellers, yet Cromwell in turn would act to destroy their power within the army’s ranks. In addition, England’s recent union with Scotland was fragile at best, and was almost destroyed by King Charles I’s attempts to impose consistency in religious practices. We shall see that Hobbes’s greatest fear was social and political chaos—and he had ample opportunity both to observe it and to suffer its effects.

Although social and political turmoil affected Hobbes’s life and shaped his thought, it never hampered his intellectual development. His early position as a tutor gave him the scope to read, write and publish (a brilliant translation of the Greek writer Thucydides appeared in 1629), and brought him into contact with notable English intellectuals such as Francis Bacon. His self-imposed exile in France, along with his emerging reputation as a scientist and thinker, brought him into contact with major European intellectual figures of his time, leading to exchange and controversy with figures such as Descartes, Mersenne and Gassendi. Intensely disputatious, Hobbes repeatedly embroiled himself in prolonged arguments with clerics, mathematicians, scientists and philosophers—sometimes to the cost of his intellectual reputation. (For instance, he argued repeatedly that it is possible to square the circle  It is no accident that the phrase is now proverbial for a problem that cannot be solved!) His writing was as undaunted by age and ill health as it was by the events of his times. Though his health slowly failed—from about sixty, he began to suffer shaking palsy, probably Parkinson’s disease, which steadily worsened—even in his eighties he continued to dictate his thoughts to a secretary, and to defend his quarter in various controversies.

Hobbes gained a reputation in many fields. He was known as a scientist (especially in optics), as a mathematician (especially in geometry), as a translator of the classics, as a writer on law, as a disputant in metaphysics and epistemology; not least, he became notorious for his writings and disputes on religious questions. But it is for his writings on morality and politics that he has, rightly, been most remembered. Without these, scholars might remember Hobbes as an interesting intellectual of the seventeenth century; but few philosophers would even recognize his name.

What are the writings that earned Hobbes his philosophical fame? The first was entitled The Elements of Law (1640); this was Hobbes’s attempt to provide arguments supporting the King against his challengers. De Cive [On the Citizen] (1642) has much in common with Elements, and offers a clear, concise statement of Hobbes’s moral and political philosophy. His most famous work is Leviathan, a classic of English prose (1651; a slightly altered Latin edition appeared in 1668). Leviathan expands on the argument of De Cive, mostly in terms of its huge second half that deals with questions of religion. Other important works include: De Corpore [On the Body] (1655), which deals with questions of metaphysics; De Homine [On Man] (1657); and Behemoth (published 1682, though written rather earlier), in which Hobbes gives his account of England’s Civil Wars. But to understand the essentials of Hobbes’s ideas and system, one can rely on De Cive and Leviathan. It is also worth noting that, although Leviathan is more famous and more often read, De Cive actually gives a much more straightforward account of Hobbes’s ideas. Readers whose main interest is in those ideas may wish to skip the next section and go straight to ethics and human nature.

3. Two Intellectual Influences

As well as the political background just stressed, two influences are extremely marked in Hobbes’s work. The first is a reaction against religious authority as it had been known, and especially against the scholastic philosophy that accepted and defended such authority. The second is a deep admiration for (and involvement in) the emerging scientific method, alongside an admiration for a much older discipline, geometry. Both influences affected how Hobbes expressed his moral and political ideas. In some areas it is also clear that they significantly affected the ideas themselves.

Hobbes’s contempt for scholastic philosophy is boundless. Leviathan and other works are littered with references to the “frequency of insignificant speech” in the speculations of the scholastics, with their combinations of Christian theology and Aristotelian metaphysics. Hobbes’s reaction, apart from much savage and sparkling sarcasm, is twofold. In the first place, he makes very strong claims about the proper relation between religion and politics. He was not (as many have charged) an atheist, but he was deadly serious in insisting that theological disputes should be kept out of politics. (He also adopts a strongly materialist metaphysics, that—as his critics were quick to charge—makes it difficult to account for God’s existence as a spiritual entity.) For Hobbes, the sovereign should determine the proper forms of religious worship, and citizens never have duties to God that override their duty to obey political authority. Second, this reaction against scholasticism shapes the presentation of Hobbes’s own ideas. He insists that terms be clearly defined and relate to actual concrete experiences—part of his empiricism. (Many early sections of Leviathan read rather like a dictionary.) Commentators debate how seriously to take Hobbes’s stress on the importance of definition, and whether it embodies a definite philosophical doctrine. What is certain, and more important from the point of view of his moral and political thought, is that he tries extremely hard to avoid any metaphysical categories that do not relate to physical realities (especially the mechanical realities of matter and motion). Commentators further disagree whether Hobbes’s often mechanical sounding definitions of human nature and human behavior are actually important in shaping his moral and political ideas—see Materialism versus self-knowledge below.

Hobbes’s determination to avoid the “insignificant” (that is, meaningless) speech of the scholastics also overlaps with his admiration for the emerging physical sciences and for geometry. His admiration is not so much for the emerging method of experimental science, but rather for deductive science—science that deduces the workings of things from basic first principles and from true definitions of the basic elements. Hobbes therefore approves a mechanistic view of science and knowledge, one that models itself very much on the clarity and deductive power exhibited in proofs in geometry. It is fair to say that this a priori account of science has found little favor after Hobbes’s time. It looks rather like a dead-end on the way to the modern idea of science based on patient observation, theory-building and experiment. Nonetheless, it certainly provided Hobbes with a method that he follows in setting out his ideas about human nature and politics. As presented in Leviathan, especially, Hobbes seems to build from first elements of human perception and reasoning, up to a picture of human motivation and action, to a deduction of the possible forms of political relations and their relative desirability. Once more, it can be disputed whether this method is significant in shaping those ideas, or merely provides Hobbes with a distinctive way of presenting them.

4. Ethics and Human Nature

Hobbes’s moral thought is difficult to disentangle from his politics. On his view, what we ought to do depends greatly on the situation in which we find ourselves. Where political authority is lacking (as in his famous natural condition of mankind), our fundamental right seems to be to save our skins, by whatever means we think fit. Where political authority exists, our duty seems to be quite straightforward: to obey those in power.

But we can usefully separate the ethics from the politics if we follow Hobbes’s own division. For him ethics is concerned with human nature, while political philosophy deals with what happens when human beings interact. What, then, is Hobbes’s view of human nature?

a. Materialism Versus Self-Knowledge

Reading the opening chapters of Leviathan is a confusing business, and the reason for this is already apparent in Hobbes’s very short Introduction. He begins by telling us that the human body is like a machine, and that political organization (the commonwealth) is like an artificial human being. He ends by saying that the truth of his ideas can be gauged only by self-examination, by looking into our selves to adjudge our characteristic thoughts and passions, which form the basis of all human action. But what is the relationship between these two very different claims? For obviously when we look into our selves we do not see mechanical pushes and pulls. This mystery is hardly answered by Hobbes’s method in the opening chapters, where he persists in talking about all manner of psychological phenomena—from emotions to thoughts to whole trains of reasoning – as products of mechanical interactions. (As to what he will say about successful political organization, the resemblance between the commonwealth and a functioning human being is slim indeed. Hobbes’s only real point seems to be that there should be a head that decides most of the important things that the body does.)

Most commentators now agree with an argument made in the 1960’s by the political philosopher Leo Strauss. Hobbes draws on his notion of a mechanistic science, that works deductively from first principles, in setting out his ideas about human nature. Science provides him with a distinctive method and some memorable metaphors and similes. What it does not provide—nor could it, given the rudimentary state of physiology and psychology in Hobbes’s day—are any decisive or substantive ideas about what human nature really is. Those ideas may have come, as Hobbes also claims, from self-examination. In all likelihood, they actually derived from his reflection on contemporary events and his reading of classics of political history such as Thucydides.

This is not to say that we should ignore Hobbes’s ideas on human nature—far from it. But it does mean we should not be misled by scientific imagery that stems from an in fact non-existent science (and also, to some extent, from an unproven and uncertain metaphysics). The point is important mainly when it comes to a central interpretative point in Hobbes’s work: whether or not he thinks of human beings as mechanical objects, programmed as it were to pursue their self-interest. Some have suggested that Hobbes’s mechanical world-view leaves no room for the influence of moral ideas, that he thinks the only effective influence on our behavior will be incentives of pleasure and pain. But while it is true that Hobbes sometimes says things like this, we should be clear that the ideas fit together only in a metaphorical way. For example, there is no reason why moral ideas should not “get into” the mechanisms that drive us round (like so many clock-work dolls perhaps?). Likewise, there is no reason why pursuing pleasure and pain should work in our self-interest. (What self-interest is depends on the time-scale we adopt, and how effectively we might achieve this goal also depends on our insight into what harms and benefits us). If we want to know what drives human beings, on Hobbes’s view, we must read carefully all he says about this, as well as what he needs to assume if the rest of his thought is to make sense. The mechanistic metaphor is something of a red herring and, in the end, probably less useful than his other starting point in Leviathan, the Delphic epithet: nosce teipsum (know thyself).

b. The Poverty of Human Judgment and our Need for Science

There are two major aspects to Hobbes’s picture of human nature. As we have seen, and will explore below, what motivates human beings to act is extremely important to Hobbes. The other aspect concerns human powers of judgment and reasoning, about which Hobbes tends to be extremely skeptical. Like many philosophers before him, Hobbes wants to present a more solid and certain account of human morality than is contained in everyday beliefs. Plato had contrasted knowledge with opinion. Hobbes contrasts science with a whole raft of less reliable forms of belief—from probable inference based on experience, right down to “absurdity, to which no living creature is subject but man” (Leviathan, v.7).

Hobbes has several reasons for thinking that human judgment is unreliable, and needs to be guided by science. Our judgments tend to be distorted by self-interest or by the pleasures and pains of the moment. We may share the same basic passions, but the various things of the world affect us all very differently; and we are inclined to use our feelings as measures for others. It becomes dogmatic through vanity and morality, as with “men vehemently in love with their own new opinions…and obstinately bent to maintain them, [who give] their opinions also that reverenced name of conscience” (Leviathan, vii.4). When we use words which lack any real objects of reference, or are unclear about the meaning of the words we use, the danger is not only that our thoughts will be meaningless, but also that we will fall into violent dispute. (Hobbes has scholastic philosophy in mind, but he also makes related points about the dangerous effects of faulty political ideas and ideologies.) We form beliefs about supernatural entities, fairies and spirits and so on, and fear follows where belief has gone, further distorting our judgment. Judgment can be swayed this way and that by rhetoric, that is, by the persuasive and “colored speech” of others, who can deliberately deceive us and may well have purposes that go against the common good or indeed our own good. Not least, much judgment is concerned with what we should do now, that is, with future events, “the future being but a fiction of the mind” (Leviathan, iii.7) and therefore not reliably known to us.

For Hobbes, it is only science, “the knowledge of consequences” (Leviathan, v.17), that offers reliable knowledge of the future and overcomes the frailties of human judgment. Unfortunately, his picture of science, based on crudely mechanistic premises and developed through deductive demonstrations, is not even plausible in the physical sciences. When it comes to the complexities of human behavior, Hobbes’s model of science is even less satisfactory. He is certainly an acute and wise commentator of political affairs; we can praise him for his hard-headedness about the realities of human conduct, and for his determination to create solid chains of logical reasoning. Nonetheless, this does not mean that Hobbes was able to reach a level of scientific certainty in his judgments that had been lacking in all previous reflection on morals and politics.

c. Motivation

The most consequential aspect of Hobbes’s account of human nature centers on his ideas about human motivation, and this topic is therefore at the heart of many debates about how to understand Hobbes’s philosophy. Many interpreters have presented the Hobbesian agent as a self-interested, rationally calculating actor (those ideas have been important in modern political philosophy and economic thought, especially in terms of rational choice theories). It is true that some of the problems that face people like this—rational egoists, as philosophers call them—are similar to the problems Hobbes wants to solve in his political philosophy. And it is also very common for first-time readers of Hobbes to get the impression that he believes we are all basically selfish.

There are good reasons why earlier interpreters and new readers tend to think the Hobbesian agent is ultimately self-interested. Hobbes likes to make bold and even shocking claims to get his point across. “I obtained two absolutely certain postulates of human nature,” he says, “one, the postulate of human greed by which each man insists upon his own private use of common property; the other, the postulate of natural reason, by which each man strives to avoid violent death” (De Cive, Epistle Dedicatory). What could be clearer?—We want all we can get, and we certainly want to avoid death. There are two problems with thinking that this is Hobbes’s considered view, however. First, quite simply, it represents a false view of human nature. People do all sorts of altruistic things that go against their interests. They also do all sorts of needlessly cruel things that go against self-interest (think of the self-defeating lengths that revenge can run to). So it would be uncharitable to interpret Hobbes this way, if we can find a more plausible account in his work. Second, in any case Hobbes often relies on a more sophisticated view of human nature. He describes or even relies on motives that go beyond or against self-interest, such as pity, a sense of honor or courage, and so on. And he frequently emphasizes that we find it difficult to judge or appreciate just what our interests are anyhow. (Some also suggest that Hobbes’s views on the matter shifted away from egoism after De Cive, but the point is not crucial here.)

The upshot is that Hobbes does not think that we are basically or reliably selfish; and he does not think we are fundamentally or reliably rational in our ideas about what is in our interests. He is rarely surprised to find human beings doing things that go against self-interest: we will cut off our noses to spite our faces, we will torture others for their eternal salvation, we will charge to our deaths for love of country. In fact, a lot of the problems that befall human beings, according to Hobbes, result from their being too little concerned with self-interest. Too often, he thinks, we are too much concerned with what others think of us, or inflamed by religious doctrine, or carried away by others’ inflammatory words. This weakness as regards our self-interest has even led some to think that Hobbes is advocating a theory known as ethical egoism. This is to claim that Hobbes bases morality upon self-interest, claiming that we ought to do what it is most in our interest to do. But we shall see that this would over-simplify the conclusions that Hobbes draws from his account of human nature.

d. Political Philosophy

This is Hobbes’s picture of human nature. We are needy and vulnerable. We are easily led astray in our attempts to know the world around us. Our capacity to reason is as fragile as our capacity to know; it relies upon language and is prone to error and undue influence. When we act, we may do so selfishly or impulsively or in ignorance, on the basis of faulty reasoning or bad theology or others’ emotive speech.

What is the political fate of this rather pathetic sounding creature—that is, of us? Unsurprisingly, Hobbes thinks little happiness can be expected of our lives together. The best we can hope for is peaceful life under an authoritarian-sounding sovereign. The worst, on Hobbes’s account, is what he calls the natural condition of mankind, a state of violence, insecurity and constant threat. In outline, Hobbes’s argument is that the alternative to government is a situation no one could reasonably wish for, and that any attempt to make government accountable to the people must undermine it, so threatening the situation of non-government that we must all wish to avoid. Our only reasonable option, therefore, is a “sovereign” authority that is totally unaccountable to its subjects. Let us deal with the “natural condition” of non-government, also called the “state of nature,” first of all.

5. The Natural Condition of Mankind

The state of nature is “natural” in one specific sense only. For Hobbes political authority is artificial: in the “natural” condition human beings lack government, which is an authority created by men. What is Hobbes’s reasoning here? He claims that the only authority that naturally exists among human beings is that of a mother over her child, because the child is so very much weaker than the mother (and indebted to her for its survival). Among adult human beings this is invariably not the case. Hobbes concedes an obvious objection, admitting that some of us are much stronger than others. And although he is very sarcastic about the idea that some are wiser than others, he does not have much difficulty with the idea that some are fools and others are dangerously cunning. Nonetheless, it is almost invariably true that every human being is capable of killing any other. “Even the strongest must sleep; even the weakest might persuade others to help him kill another”. (Leviathan, xiii.1-2) Because adults are equal in this capacity to threaten one another’s lives, Hobbes claims there is no natural source of authority to order their lives together. (He is strongly opposing arguments that established monarchs have a natural or God-given right to rule over us.)

Thus, as long as human beings have not successfully arranged some form of government, they live in Hobbes’s state of nature. Such a condition might occur at the “beginning of time” (see Hobbes’s comments on Cain and Abel, Leviathan, xiii.11, Latin version only), or in “primitive” societies (Hobbes thought the American Indians lived in such a condition). But the real point for Hobbes is that a state of nature could just as well occur in seventeenth century England, should the King’s authority be successfully undermined. It could occur tomorrow in every modern society, for example, if the police and army suddenly refused to do their jobs on behalf of government. Unless some effective authority stepped into the King’s place (or the place of army and police and government), Hobbes argues the result is doomed to be deeply awful, nothing less than a state of war.

Why should peaceful cooperation be impossible without an overarching authority? Hobbes provides a series of powerful arguments that suggest it is extremely unlikely that human beings will live in security and peaceful cooperation without government. (Anarchism, the thesis that we should live without government, of course disputes these arguments.) His most basic argument is threefold. (Leviathan, xiii.3-9) (i) He thinks we will compete, violently compete, to secure the basic necessities of life and perhaps to make other material gains. (ii) He argues that we will challenge others and fight out of fear (“diffidence”), so as to ensure our personal safety. (iii) And he believes that we will seek reputation (“glory”), both for its own sake and for its protective effects (for example, so that others will be afraid to challenge us).

This is a more difficult argument than it might seem. Hobbes does not suppose that we are all selfish, that we are all cowards, or that we are all desperately concerned with how others see us. Two points, though. First, he does think that some of us are selfish, some of us cowardly, and some of us “vainglorious” (perhaps some people are of all of these!). Moreover, many of these people will be prepared to use violence to attain their ends—especially if there is no government or police to stop them. In this Hobbes is surely correct. Second, in some situations it makes good sense, at least in the short term, to use violence and to behave selfishly, fearfully or vaingloriously. If our lives seem to be at stake, after all, we are unlikely to have many scruples about stealing a loaf of bread; if we perceive someone as a deadly threat, we may well want to attack first, while his guard is down; if we think that there are lots of potential attackers out there, it is going to make perfect sense to get a reputation as someone who should not be messed with. In Hobbes’s words, “the wickedness of bad men also compels good men to have recourse, for their own protection, to the virtues of war, which are violence and fraud”. (De Cive, Epistle Dedicatory) As well as being more complex than first appears, Hobbes’s argument becomes very difficult to refute.

Underlying this most basic argument is an important consideration about insecurity. As we shall see Hobbes places great weight on contracts (thus some interpreters see Hobbes as heralding a market society dominated by contractual exchanges). In particular, he often speaks of “covenants,” by which he means a contract where one party performs his part of the bargain later than the other. In the state of nature such agreements are not going to work. Only the weakest will have good reason to perform the second part of a covenant, and then only if the stronger party is standing over them. Yet a huge amount of human cooperation relies on trust, that others will return their part of the bargain over time. A similar point can be made about property, most of which we cannot carry about with us and watch over. This means we must rely on others respecting our possessions over extended periods of time. If we cannot do this, then many of the achievements of human society that involve putting hard work into land (farming, building) or material objects (the crafts, or modern industrial production, still unknown in Hobbes’s time) will be near impossible.

One can reasonably object to such points: Surely there are basic duties to reciprocate fairly and to behave in a trustworthy manner? Even if there is no government providing a framework of law, judgment and punishment, do not most people have a reasonable sense of what is right and wrong, which will prevent the sort of contract-breaking and generalized insecurity that Hobbes is concerned with? Indeed, should not our basic sense of morality prevent much of the greed, pre-emptive attack and reputation-seeking that Hobbes stressed in the first place? This is the crunch point of Hobbes’s argument, and it is here (if anywhere) that one can accuse Hobbes of pessimism. He makes two claims. The first concerns our duties in the state of nature (that is, the so-called “right of nature”). The second follows from this, and is less often noticed: it concerns the danger posed by our different and variable judgments of what is right and wrong.

On Hobbes’s view the right of nature is quite simple to define. Naturally speaking—that is, outside of civil society – we have a right to do whatever we think will ensure our self-preservation. The worst that can happen to us is violent death at the hands of others. If we have any rights at all, if (as we might put it) nature has given us any rights whatsoever, then the first is surely this: the right to prevent violent death befalling us. But Hobbes says more than this, and it is this point that makes his argument so powerful. We do not just have a right to ensure our self-preservation: we each have a right to judge what will ensure our self-preservation. And this is where Hobbes’s picture of humankind becomes important. Hobbes has given us good reasons to think that human beings rarely judge wisely. Yet in the state of nature no one is in a position to successfully define what is good judgment. If I judge that killing you is a sensible or even necessary move to safeguard my life, then—in Hobbes’s state of nature – I have a right to kill you. Others might judge the matter differently, of course. Almost certainly you will have quite a different view of things (perhaps you were just stretching your arms, not raising a musket to shoot me). Because we are all insecure, because trust is more-or-less absent, there is little chance of our sorting out misunderstandings peacefully, nor can we rely on some (trusted) third party to decide whose judgment is right. We all have to be judges in our own causes, and the stakes are very high indeed: life or death.

For this reason Hobbes makes very bold claims that sound totally amoral. “To this war of every man against every man,” he says, “this also is consequent [i.e., it follows]: that nothing can be unjust. The notions of right and wrong, justice and injustice have no place [in the state of nature]”. (Leviathan, xiii.13) He further argues that in the state of nature we each have a right to all things, “even to one another’s body’ (Leviathan, xiv.4). Hobbes is dramatizing his point, but the core is defensible. If I judge that I need such and such—an object, another person’s labor, another person’s death—to ensure my continued existence, then in the state of nature, there is no agreed authority to decide whether I’m right or wrong. New readers of Hobbes often suppose that the state of nature would be a much nicer place, if only he were to picture human beings with some basic moral ideas. But this is naïve: unless people share the same moral ideas, not just at the level of general principles but also at the level of individual judgment, then the challenge he poses remains unsolved: human beings who lack some shared authority are almost certain to fall into dangerous and deadly conflict.

There are different ways of interpreting Hobbes’s view of the absence of moral constraints in the state of nature. Some think that Hobbes is imagining human beings who have no idea of social interaction and therefore no ideas about right and wrong. In this case, the natural condition would be a purely theoretical construction, and would demonstrate what both government and society do for human beings. (A famous statement about the state of nature in De Cive (viii.1) might support this interpretation: “looking at men as if they had just emerged from the earth like mushrooms and grown up without any obligation to each other…”) Another, complementary view reads Hobbes as a psychological egoist, so that—in the state of nature as elsewhere – he is merely describing the interaction of ultimately selfish and amoral human beings.

Others suppose that Hobbes has a much more complex picture of human motivation, so that there is no reason to think moral ideas are absent in the state of nature. In particular, it is historically reasonable to think that Hobbes invariably has civil war in mind, when he describes our “natural condition.” If we think of civil war, we need to imagine people who have lived together and indeed still do live together—huddled together in fear in their houses, banded together as armies or guerrillas or groups of looters. The problem here is not a lack of moral ideas—far from it – rather that moral ideas and judgments differ enormously. This means (for example) that two people who are fighting tooth and nail over a cow or a gun can both think they are perfectly entitled to the object and both think they are perfectly right to kill the other—a point Hobbes makes explicitly and often. It also enables us to see that many Hobbesian conflicts are about religious ideas or political ideals (as well as self-preservation and so on)—as in the British Civil War raging while Hobbes wrote Leviathan, and in the many violent sectarian conflicts throughout the world today.

In the end, though, whatever account of the state of nature and its (a) morality we attribute to Hobbes, we must remember that it is meant to function as a powerful and decisive threat: if we do not heed Hobbes’s teachings and fail to respect existing political authority, then the natural condition and its horrors of war await us.

a. The Laws of Nature and the Social Contract

Hobbes thinks the state of nature is something we ought to avoid, at any cost except our own self-preservation (this being our “right of nature,” as we saw above). But what sort of ought is this? There are two basic ways of interpreting Hobbes here. It might be a counsel of prudence: avoid the state of nature, if you’re concerned to avoid violent death. In this case Hobbes’s advice only applies to us (i) if we agree that violent death is what we should fear most and should therefore avoid; and (ii) if we agree with Hobbes that only an unaccountable sovereign stands between human beings and the state of nature. This line of thought fits well with an egoistic reading of Hobbes, but it faces serious problems, as will be seen.

The other way of interpreting Hobbes is not without problems either. This takes Hobbes to be saying that we ought, morally speaking, to avoid the state of nature. We have a duty to do what we can to avoid this situation arising, and a duty to end it, if at all possible. Hobbes often makes his view clear, that we have such moral obligations. But then two difficult questions arise: Why these obligations? And why are they obligatory?

Hobbes frames the issues in terms of an older vocabulary, using the idea of natural law that many ancient and medieval philosophers had relied on. Like them, he thinks that human reason can discern some eternal principles to govern our conduct. These principles are independent of (though also complementary to) whatever moral instruction we might get from God or religion. In other words, they are laws given by nature rather than revealed by God. But Hobbes makes radical changes to the content of these so-called laws of nature. In particular, he does not think that natural law provides any scope whatsoever to criticize or disobey the actual laws made by a government. He thus disagrees with those Protestants who thought that religious conscience might sanction disobedience of immoral laws, and with Catholics who thought that the commandments of the Pope have primacy over those of national political authorities.

Although he sets out nineteen laws of nature, it is the first two that are politically crucial. A third, that stresses the important of keeping to contracts we have entered into, is important in Hobbes’s moral justifications of obedience to the sovereign. (The remaining sixteen can be quite simply encapsulated in the formula, do as you would be done by. While the details are important for scholars of Hobbes, they do not affect the overall theory and will be ignored here.)

The first law reads as follows:

Every man ought to endeavor peace, as far as he has hope of obtaining it, and when he cannot obtain it, that he may seek and use all helps and advantages of war. (Leviathan, xiv.4)

This repeats the points we have already seen about our right of nature, so long as peace does not appear to be a realistic prospect. The second law of nature is more complicated:

That a man be willing, when others are so too, as far-forth as for peace and defense of himself he shall think it necessary, to lay down this right to all things, and be contented with so much liberty against other men, as he would allow other men against himself. (Leviathan, xiv.5)

What Hobbes tries to tackle here is the transition from the state of nature to civil society. But how he does this is misleading and has generated much confusion and disagreement. The way that Hobbes describes this second law of nature makes it look as if we should all put down our weapons, give up (much of) our “right of nature,” and jointly authorize a sovereign who will tell us what is permitted and punish us if we do not obey. But the problem is obvious. If the state of nature is anything like as bad as Hobbes has argued, then there is just no way people could ever make an agreement like this or put it into practice.

At the end of Leviathan, Hobbes seems to concede this point, saying “there is scarce a commonwealth in the world whose beginnings can in conscience be justified” (Review and Conclusion, 8). That is: governments have invariably been foisted upon people by force and fraud, not by collective agreement. But Hobbes means to defend every existing government that is powerful enough to secure peace among its subjects—not just a mythical government that’s been created by a peaceful contract out of a state of nature. His basic claim is that we should behave as if we had voluntarily entered into such a contract with everyone else in our society—everyone else, that is, except the sovereign authority.

In Hobbes’s myth of the social contract, everyone except the person or group who will wield sovereign power lays down their “right to all things.” They agree to limit drastically their right of nature, retaining only a right to defend their lives in case of immediate threat. (How limited this right of nature becomes in civil society has caused much dispute, because deciding what is an immediate threat is a question of judgment. It certainly permits us to fight back if the sovereign tries to kill us. But what if the sovereign conscripts us as soldiers? What if the sovereign looks weak and we doubt whether he can continue to secure peace…?) The sovereign, however, retains his (or her, or their) right of nature, which we have seen is effectively a right to all things—to decide what everyone else should do, to decide the rules of property, to judge disputes and so on. Hobbes concedes that there are moral limits on what sovereigns should do (God might call a sovereign to account). However, since in any case of dispute the sovereign is the only rightful judge—on this earth, that is – those moral limits make no practical difference. In every moral and political matter, the decisive question for Hobbes is always: who is to judge? As we have seen, in the state of nature, each of us is judge in our own cause, part of the reason why Hobbes thinks it is inevitably a state of war. Once civil society exists, the only rightful judge is the sovereign.

b. Why Should we Obey the Sovereign?

If we had all made a voluntary contract, a mutual promise, then it might seem half-way plausible to think we have an obligation to obey the sovereign (although even this requires the claim that promising is a moral value that overrides all others). If we have been conquered or, more fortunately, have simply been born into a society with an established political authority, this seems quite improbable. Hobbes has to make three steps here, all of which have seemed weak to many of his readers. First of all, he insists that promises made under threat of violence are nonetheless freely made, and just as binding as any others. Second, he has to put great weight on the moral value of promise keeping, which hardly fits with the absence of duties in the state of nature. Third, he has to give a story of how those of us born and raised in a political society have made some sort of implied promise to each other to obey, or at least, he has to show that we are bound (either morally or out of self-interest) to behave as if we had made such a promise.

In the first place, Hobbes draws on his mechanistic picture of the world, to suggest that threats of force do not deprive us of liberty. Liberty, he says, is freedom of motion, and I am free to move whichever way I wish, unless I am literally enchained. If I yield to threats of violence, that is my choice, for physically I could have done otherwise. If I obey the sovereign for fear of punishment or in fear of the state of nature, then that is equally my choice. Such obedience then comes, for Hobbes, to constitute a promise that I will continue to obey.

Second, promises carry a huge moral weight for Hobbes, as they do in all social contract theories. The question, however, is why we should think they are so important. Why should my (coerced) promise oblige me, given the wrong you committed in threatening me and demanding my valuables? Hobbes has no good answer to this question (but see below, on egoistic interpretations of Hobbes’s thinking here). His theory suggests that (in the state of nature) you could do me no wrong, as the right of nature dictates that we all have a right to all things. Likewise, promises do not oblige in the state of nature, inasmuch as they go against our right of nature. In civil society, the sovereign’s laws dictate what is right and wrong; if your threat was wrongful, then my promise will not bind me. But as the sovereign is outside of the original contract, he sets the terms for everyone else: so his threats create obligations.

As this suggests, Hobbesian promises are strangely fragile. Implausibly binding so long as a sovereign exists to adjudicate and enforce them, they lose all power should things revert to a state of nature. Relatedly, they seem to contain not one jot of loyalty. To be logically consistent, Hobbes needs to be politically implausible. Now there are passages where Hobbes sacrifices consistency for plausibility, arguing we have a duty to fight for our (former) sovereign even in the midst of civil war. Nonetheless the logic of his theory suggests that, as soon as government starts to weaken and disorder sets in, our duty of obedience lapses. That is, when the sovereign power needs our support, because it is no longer able to coerce us, there is no effective judge or enforcer of covenants, so that such promises no longer override our right of nature. This turns common sense on its head. Surely a powerful government can afford to be challenged, for instance by civil disobedience or conscientious objection? But when civil conflict and the state of nature threaten, in other words when government is failing, then we might reasonably think that political unity is as morally important as Hobbes always suggests. A similar question of loyalty also comes up when the sovereign power has been usurped—when Cromwell has supplanted the King, when a foreign invader has ousted our government. Right from the start, Hobbes’s critics saw that his theory makes turncoats into moral heroes: our allegiance belongs to whoever happens to be holding the gun(s). Perversely, the only crime the makers of a coup can commit is to fail.

Why does this problem come about? To overcome the fact that his contract is a fiction, Hobbes is driven to construct a “sort of” promise out of the fact of our subjugation to whatever political authority exists. He stays wedded to the idea that obedience can only find a moral basis in a “voluntary” promise, because only this seems to justify the almost unlimited obedience and renunciation of individual judgment he is determined to prove. It is no surprise that Hobbes’s arguments creak at every point: nothing could bear the weight of justifying such an overriding duty.

All the difficulties in finding a reliable moral obligation to obey might tempt us back to the idea that Hobbes is some sort of egoist. However, the difficulties with this tack are even greater. There are two sorts of egoism commentators have attributed to Hobbes: psychological and ethical. The first theory says that human beings always act egoistically, the second that they ought to act egoistically. Either view might support this simple idea: we should obey the sovereign, because his political authority is what keeps us from the evils of the natural condition. But the basic problem with such egoistic interpretations, from the point of view of Hobbes’s system of politics, is shown when we think about cases where selfishness seems to conflict with the commands of the sovereign—for example, where illegal conduct will benefit us or keep us from danger. For a psychologically egoist agent, such behavior will be irresistible; for an ethically egoist agent, it will be morally obligatory. Now, providing the sovereign is sufficiently powerful and well-informed, he can prevent many such cases arising by threatening and enforcing punishments of those who disobey. Effective threats of punishment mean that obedience is in our self-interest. But such threats will not be effective when we think our disobedience can go undetected. After Orwell’s 1984 we can imagine a state that is so powerful that no reasonable person would ever think disobedience could pay. But for Hobbes, such a powerful sovereign was not even conceivable: he would have had to assume that there would be many situations where people could reasonably hope to “get away with it.” (Likewise, under non-totalitarian, liberal politics, there are many situations where illegal behavior is very unlikely to be detected or punished.) So, still thinking of egoistic agents, the more people do get away with it, the more reason others have to think they can do the same. Thus the problem of disobedience threatens to “snowball,” undermining the sovereign and plunging selfish agents back into the chaos of the state of nature.

In other words, sovereignty as Hobbes imagined it, and liberal political authority as we know it, can only function where people feel some additional motivation apart from pure self-interest. Moreover, there is strong evidence that Hobbes was well aware of this. Part of Hobbes’s interest in religion (a topic that occupies half of Leviathan) lies in its power to shape human conduct. Sometimes this does seem to work through self-interest, as in crude threats of damnation and hell-fire. But Hobbes’s main interest lies in the educative power of religion, and indeed of political authority. Religious practices, the doctrines taught in the universities (!), the beliefs and habits inculcated by the institutions of government and society: how these can encourage and secure respect for law and authority seem to be even more important to Hobbes’s political solutions than his theoretical social contract or shaky appeals to simple self-interest.

What are we to conclude, then, given the difficulties in finding a reliable moral or selfish justification for obedience? In the end, for Hobbes, everything rides on the value of peace. Hobbes wants to say both that civil order is in our “enlightened” self-interest, and that it is of overwhelming moral value. Life is never going to be perfect for us, and life under the sovereign is the best we can do. Recognizing this aspect of everyone’s self-interest should lead us to recognize the moral value of supporting whatever authority we happen to live under. For Hobbes, this moral value is so great—and the alternatives so stark – that it should override every threat to our self-interest except the imminent danger of death. The million-dollar question is then: is a life of obedience to the sovereign really the best human beings can hope for?

c. Life Under the Sovereign

Hobbes has definite ideas about the proper nature, scope and exercise of sovereignty. Much that he says is cogent, and much of it can reduce the worries we might have about living under this drastically authoritarian sounding regime. Many commentators have stressed, for example, the importance Hobbes places upon the rule of law. His claim that much of our freedom, in civil society, “depends on the silence of the laws” is often quoted (Leviathan, xxi.18). In addition, Hobbes makes many points that are obviously aimed at contemporary debates about the rights of King and Parliament—especially about the sovereign’s rights as regards taxation and the seizure of property, and about the proper relation between religion and politics. Some of these points continue to be relevant, others are obviously anachronistic: evidently Hobbes could not have imagined the modern state, with its vast bureaucracies, massive welfare provision and complicated interfaces with society. Nor could he have foreseen how incredibly powerful the state might become, meaning that sovereigns such as Hitler or Stalin might starve, brutalize and kill their subjects, to such an extent that the state of nature looks clearly preferable.

However, the problem with all of Hobbes’s notions about sovereignty is that—on his account – it is not Hobbes the philosopher, nor we the citizens, who decide what counts as the proper nature, scope or exercise of sovereignty. He faces a systematic problem: justifying any limits or constraints on the sovereign involves making judgments about moral or practical requirements. But one of his greatest insights, still little recognized by many moral philosophers, is that any right or entitlement is only practically meaningful when combined with a concrete judgment as to what it dictates in some given case. Hobbes’s own failure, however understandable, to foresee the growth of government and its powers only supports this thought: that the proper nature, scope or exercise of sovereignty is a matter of complex judgment. Alone among the people who comprise Hobbes’s commonwealth, it is the sovereign who judges what form he should appear in, how far he should reach into the lives of his subjects, and how he should exercise his powers.

It should be added that the one part of his system that Hobbes concedes not to be proven with certainty is just this question: who or what should constitute the sovereign power. It was natural for Hobbes to think of a King, or indeed a Queen (he was born under Elizabeth I). But he was certainly very familiar with ancient forms of government, including aristocracy (government by an elite) and democracy (government by the citizens, who formed a relatively small group within the total population). Hobbes was also aware that an assembly such as Parliament could constitute a sovereign body. All have advantages and disadvantages, he argues. But the unity that comes about from having a single person at the apex, together with fixed rules of succession that pre-empt dispute about who this person should be, makes monarchy Hobbes’s preferred option.

In fact, if we want to crack open Hobbes’s sovereign, to be able to lay down concrete ideas about its nature and limits, we must begin with the question of judgment. For Hobbes, dividing capacities to judge between different bodies is tantamount to letting the state of nature straight back in. “For what is it to divide the power of a commonwealth, but to dissolve it; for powers divided mutually destroy each other”. (Leviathan, xxix.12; cf De Cive, xii.5) Beyond the example of England in the 1640s, Hobbes hardly bothers to argue the point, although it is crucial to his entire theory. Always in his mind is the Civil War that arose when Parliament claimed the right to judge rules of taxation, and thereby prevented the King from ruling and making war as he saw fit, and when churches and religious sects claimed prerogatives that went against the King’s decisions.

Especially given modern experiences of the division of powers, however, it is easy to see that these examples are extreme and atypical. We might recall the American constitution, where powers of legislation, execution and case-by-case judgment are separated (to Congress, President and the judiciary respectively) and counter-balance one another. Each of these bodies is responsible for judging different questions. There are often, of course, boundary disputes, as to whether legislative, executive or judicial powers should apply to a given issue, and no one body is empowered to settle this crucial question of judgment. Equally obviously, however, such disputes have not led to a state of nature (well, at least if we think of the US after the Civil War). For Hobbes it is simply axiomatic that disputation as to who should judge important social and political issues spells the end of the commonwealth. For us, it is equally obvious that only a few extreme forms of dispute have this very dangerous power. Dividing the powers that are important to government need not leave a society more open to those dangerous conflicts. Indeed, many would now argue that political compromises which provide different groups and bodies with independent space to judge certain social or political issues can be crucial for preventing disputes from escalating into violent conflict or civil war.

6. Conclusion

What happens, then, if we do not follow Hobbes in his arguments that judgment must, by necessity or by social contract or both, be the sole province of the sovereign? If we are optimists about the power of human judgment, and about the extent of moral consensus among human beings, we have a straightforward route to the concerns of modern liberalism. Our attention will not be on the question of social and political order, rather on how to maximize liberty, how to define social justice, how to draw the limits of government power, and how to realize democratic ideals. We will probably interpret Hobbes as a psychological egoist, and think that the problems of political order that obsessed him were the product of an unrealistic view of human nature, or unfortunate historical circumstances, or both. In this case, I suggest, we might as well not have read Hobbes at all.

If we are less optimistic about human judgment in morals and politics, however, we should not doubt that Hobbes’s problems remain our problems. But hindsight shows grave limitations to his solutions. Theoretically, Hobbes fails to prove that we have an almost unlimited obligation to obey the sovereign. His arguments that sovereignty—the power to judge moral and political matters, and enforce those judgments—cannot be divided are not only weak; they are simply refuted by the (relatively) successful distribution of powers in modern liberal societies. Not least, the horrific crimes of twentieth century dictatorships show beyond doubt that judgment about right and wrong cannot be a question only for our political leaders.

If Hobbes’s problems are real and his solutions only partly convincing, where will we go? It might reasonably be thought that this is the central question of modern political thought. We will have no doubt that peaceful coexistence is one of the greatest goods of human life, something worth many inconveniences, sacrifices and compromises. We will see that there is moral force behind the laws and requirements of the state, simply because human beings do indeed need authority and systems of enforcement if they are to cooperate peacefully. But we can hardly accept that, because human judgment is weak and faulty, that there can be only one judge of these matters—precisely because that judge might turn out to be very faulty indeed. Our concern will be how we can effectively divide power between government and people, while still ensuring that important questions of moral and political judgment are peacefully adjudicated. We will be concerned with the standards and institutions that provide for compromise between many different and conflicting judgments. And all the time, we will remember Hobbes’s reminder that human life is never without inconvenience and troubles, that we must live with a certain amount of bad, to prevent the worst: fear of violence, and violent death.

7. References and Further Reading

  • Edwards, Alistair (2002) “Hobbes” in Interpreting Modern Political Philosophy: From Machiavelli to Marx, eds. A Edwards and J Townshend (Palgrave Macmillan, Houndmills)
    • A very helpful overview of key interpretative debates about Hobbes in the twentieth century.
  • Hill, Christopher (1961/1980) The Century of Revolution, 1603-1714, second ed (Routledge, London)
    • The classic work on the history and repercussions of England’s civil war.
  • Hobbes, Thomas (1998 [1642]) On the Citizen, ed & trans Richard Tuck and Michael Silverthorne (Cambridge University Press, Cambridge)
    • The best translation of Hobbes’s most straightforward book,De Cive.
  • Hobbes, Thomas (1994 [1651/1668]) Leviathan, ed Edwin Curley (Hackett, Indianapolis)
    • The best edition of Hobbes’s magnum opus, including extensive additional material and many important variations (ignored by all other editions) between the English text and later Latin edition.
  • Sorrell, Tom (1986) Hobbes (Routledge & Kegan Paul, London)
    • A concise and well-judged account of Hobbes’s life and works.
  • Sorrell, Tom, ed (1996) The Cambridge Companion to Hobbes (Cambridge University Press, Cambridge)
    • An excellent set of essays on all aspects of Hobbes’s intellectual endeavors.

Author Information

Garrath Williams
Email: g.d.williams@lancaster.ac.uk
Lancaster University
United Kingdom

Hippocrates (c. 450—c. 380 B.C.E.)

HippocratesHippocrates of Cos was said to have lived sometime between 450 BCE to 380 BCE. He was a physician, and the writings of the Corpus Hippocraticum provide a wealth of information on biomedical methodology and offer one of the first reflective codes of professional ethics. Though Plato (a contemporary) makes reference to Hippocrates (Phaedrus 270a and elsewhere), it is generally believed that most of the writings in the Corpus Hippocraticum are actually the work of a number of different writers. By convention of time, place and general approach a common name of ‘Hippocrates’ was assigned to the lot (without distinguishing those of the historical Hippocrates). Hippocrates and the other associated writers provide the modern student with a number of different sorts of insights.

On the biomedical methodology side, these writings provide the most detailed biomedical observations to date in the Western world. They also offer causal speculations that can be knitted together to form a theoretical framework for diagnosis and treatment. On the ethical side, their code of professional ethics is so well structured that it continues to stand as a model for other professions.

Table of Contents

  1. Biomedical Methodology
    1. The Four Humors
    2. An Ancient Debate: Are General Causal Theories Beneficial?
    3. Prognosis and Treatment
    4. The Hippocratic Writings and Hellenistic Medicine
  2. Ethics
    1. The Oath
    2. The Oath and Modern Codes of Conduct
  3. References and Further Reading
    1. Primary Sources
    2. Secondary Sources
    3. Published Conferences on Hippocrates

1. Biomedical Methodology

One way to parse the groups of Hippocratic writers revolves around their geographical origins: Cos vs. Cnidos. Though this classification is controversial, it is useful (whether one accepts the literal geographical demarcation) to mark some clear distinctions in the Hippocratic body of writing. It appears to be the case that the Cos writers sought to create general biomedical “laws” that for the most part would give the explanation for why someone was sick. Any physician might make reference to these “laws” and thereby have an etiology for the disease, and by extension a strategy for treatment.

a. The Four Humors

The most historically prominent theoretical scheme of the Coan writers was the doctrine of the four humors of the body: blood, phlegm, black bile, and yellow bile (or sometimes serum). Health was defined as the balance of the four humors. Disease was defined as the imbalance of the humors. When imbalance occurred, then the physician might intervene by making a correction to bring the body back into balance. For example, if the individual were too full of phlegm (making her phlegmatic or lethargic), then the phlegm must be countered. Citrus fruit was thought to be a counter-acting agent. Thus, if one feels lethargic, increasing one’s citrus intake will re-create balance. The treatment is, in fact, generally effective. Moderns might describe the therapy differently by ascribing the effect to vitamin-C, phosphorus, and natural sugar. This example illustrates the scope of the Hippocratic physician in this context: something like a cross between the modern roles of an herbalist dietician and a personal trainer. Nonetheless, the cures that were dictated by the four humor theory seemed to work well enough for this theory to extend to the nineteenth century (in various guises).

b. An Ancient Debate: Are General Causal Theories Beneficial?

Other biomedical writers–some say from Cnidos–held that strict empirical principles did not allow scientists to go far beyond the data. It was a better methodology for the biomedical practitioner to stay as close as possible to the data that were before him. This meant that each patient would be seen in her particularity. Such a method required careful trial and error observation and only slight manipulation of the patient in the form of treatment.

There was a great conflict in the ancient world concerning the status of observational conclusions (the empirically concrete). Should they be given in their specificity and remain as disparate, individual accounts, or should they be grouped and more general principles drawn from them? In this instance it was very much in dispute whether it was better to set out individual reports of particular illnesses (case studies) or to try to draw general rules from the particulars.

Take, for example Epidemics III:

THE MORTIFICATION OF THE GANGRENE. If the gangrene mortifies itself there is a head pain and frequently a scratchy throat; the sick limb loses sensation, a feeling of cold comes to the head and the affected limb sweats. He suddenly loses his speech and blows blood from his nose as he becomes pale. If the disease takes hold of the patient with a weak force, he recovers the discharged blood. If the disease takes him with a strong force, he dies promptly. In this case one induces sneezing by pleasant substances; one evacuates by the upper and lower. Alternatively those odors will be a little active. The soup will be light and hot. Wine is absolutely forbidden. (Epidemics III, Littré 7, p. 123)

In this passage one is left merely with symptoms and treatment. But when one practices medicine in this way there are severe restrictions. For the disease is seen as a collection of symptoms. The cure can only be guessed at unless it has been previously written down in a manual. When a physician is confronted with a novel disease he must find a similar set of symptoms and use that treatment. This aspect of the “trial and error” method brought harsh rebuke from Galen.

The point is that they [the Cnidians] looked at the varieties of symptoms which change for many reasons and failed to consider the specificity of the dispositions, as did Hippocrates, who used for their discovery a method only by using which, one can find the number of diseases . . . . Hippocrates censures the Cnidian physicians for their ignorance of the genera and species of diseases, and he points out the divisions by which what seems to be one becomes many by being divided. (Corpus Medicorum Graecorum 5.9.1, pp. 121-22; Claudii Galeni De Placitis Hippocratis et Platonis, ed. I. Mueller (Lipsiae, 1874), p. 776)

c. Prognosis and Treatment

What was it that made the Cnidians different from the Coan writers? This can be found by examining the two steps in any medical practice: Prognosis and Treatment. In the Coan work, On Prognosis, the writer suggests that prognosis consists in knowing the patient’s condition in the past, present, and the future. Now how could a physician know this? Well, this could also have been part of a handbook catalogued through similar case studies. The practitioner could memorize each individual description. Next, the practitioner could add to this his own experience. But the problem is that each case is individual. It possesses “nature” only in the sense of possessing a unique set of properties. The practitioner would not be in a good position to treat novel cases. When confronted with a novel case, the practitioner is left with seeking similar cases. The implied premise is that similar cases call for similar remedies. The more the experience, the more refined the practitioner can be in balancing similar cases with the remedies.

Obviously, much rides on the word, ‘similar.’ Is a rich body of knowledge enough? Is it not also requisite to have a classification procedure, which itself implies rules of classification. And how does one select and justify such rules? It would seem that we are pressed backwards toward archai, starting points for some axiomatic system (à la Aristotle’s Posterior Analytics, I, i-ii).

Such an alternative to the empiricist program aims at establishing a theory of causes that underlie individual cases. These causes such as the “hot,” “cold,” “wet,” and “dry” or “the four humors” are more general because they seek to describe a different sense of the nature of disease. ‘Nature’ in this context refers to the sort of condition that comes from observations based upon the individuality of actual patients. For here we are interested in the genera and species of the disease in question. Such an exercise creates a classification of types of diseases.

But for this classification not to be based upon accidental characteristics, it is requisite that it include the causal factors that operate to bring about the disease in the first place. This is really the foundational or causal network that is responsible for the disease’s very existence. Such an understanding of “nature” moves away from individuals and their “similarities” toward the theoretical. Understood in this way, the nature of disease is a regulating factor upon the prognosis of the physician. This nature must be understood in order to offer treatment. In this sense, nature is the overarching principles that give an account of the mechanism of the disease. What made the Coan writers so attractive to Galen was that they investigated various senses of nature while the Cnidians confined themselves only to the data as they presented themselves.

d. The Hippocratic Writings and Hellenistic Medicine

The Hippocratic writings were influential in the development of later biomedical practitioners. The three principal Hellenistic schools: Dogmatists, Methodists, and the Empirics all hearken back in various ways to the Hippocratic writings. Many debates in the Hippocratic writings (such as the “preformation” vs. “epigenesis” debate) are picked-up again and given a twist according to the predilections of the Hellenistic schools. Galen, himself, often cites Hippocrates, aka “the Hippocratic writers,” as the point of departure for his own theory building. Thus, it would be fair to say that not only were the Hippocratic writers the first systematic biomedical writers in the Western tradition, but also the most influential to later writers.

2. Ethics

In the time of Hippocrates (and the other associated writers) there were many who wanted to pass themselves off as physicians. These individuals had not gone through an apprenticeship and thus had no specialized (professional) knowledge. Because of this, these con men went about fleecing customers. This created a problem for those who entered the study of medicine the traditional way. These more careful practitioners had to distinguish themselves from the charlatans. The way most professions try to deal with this sort of problem and the legitimate problems that arise during practice is to create codes of conduct and structures of accreditation. The most famous of these in the biomedical tradition is: The Oath of Hippocrates.

a. The Oath

By Apollo (the physician), by Asclepius (god of healing), by Hygeia (god of health), by Panacea (god of remedy), and all the gods and goddesses, together as witnesses, I hereby swear that I will carry out, inasmuch as I am able and true to my considered judgment, this oath and the ensuing duties:

  1. To hold my teacher in this art on a par with my parents. To make my teacher a partner in my livelihood To look after my teacher and financially share with her/him when s/he is in need. To consider him/her as a brother/sister along with his/her family. To teach his/her family the art of medicine, if they want to learn it, without tuition or any other conditions of service. To impart all the lessons necessary to practice medicine to my own sons and daughters, the sons and daughters of my teacher and to my own students, who have taken this oath-but to no one else.
  2. I will help the sick according to my skill and judgment, but never with an intent to do harm or injury to another.
  3. I will never administer poison to anyone-even when asked to do so. Nor will I ever suggest a way that others (even the patient) could do so. Similarly, I will never induce an abortion. Instead, I will keep holy my life and art.
  4. I will not engage in surgery–not even upon suffers from stone, but will withdraw in favor of others who do this work.
  5. Whoever I visit, rich or poor, I will concern myself with the well being of the sick. I will commit no intentional misdeeds, nor any other harmful action such as engaging in sexual relations with my patients (regardless of their status).
  6. Whatever I hear or see in the course of my professional duties (or even outside the course of treatment) regarding my patients is strictly confidential and I will not allow it to be spread about. But instead, will hold these as holy secrets.

Now if I carry out this oath and not break its injunctions, may I enjoy a good life and may my reputation be pure and honored for all generations. But if I fail and break this oath, then may the opposite befall me.

Within this oath are both a moral code for the profession of medicine and the outlines of a system of accreditation for new physicians via an apprenticeship. These two functions went a long way to establishing medicine as a profession that ordinary people could trust.

b. The Oath and Modern Codes of Conduct

In the modern world there are many professional codes of conduct. One could look at the American Medical Association Code, the American Bar Association Code, et al. However, the Hippocratic Oath set the standard of what a professional code is. A few key features that will tell why one should accept or reject such codes as solutions to the problems that have been outlined.

It is this author’s opinion that among professional codes, the Hippocratic Oath is a good one. It balances between very specific prohibitions such as not administering poison or not having sexual relations with one’s patients, to more general principles such as “I will concern myself with the well being of the sick.” and “do no harm.” These general principles are very useful because they govern a larger domain than simply prohibiting a particular action. These principles are not set out without context. Instead they are put into the context medicine’s mission.

Beginning in #1 the tone is set that medicine is an art that is “given by the gods.” It is an esoteric art that is to be reserved for those who are willing to commit to the provisions of the code. Thus, it is not open to everyone. This fulfills the condition of specialized knowledge mentioned earlier. It is for the sake of doing good to others and always avoiding harm. This fulfills the condition of providing a service for others.

Thirdly, the code ties itself to the larger moral tradition, “I will commit no intentional misdeeds.” Whereas “harm” has a direct link to manner in which medicine is practiced, “misdeeds” links the physician to the larger moral tradition. There is no possible hiding in the shared community perspective alone.

These three factors are the basis of any good professional code.

A Good Professional Code Should Contain

  1. A specific listing of common abuses.
  2. A few general guidelines that tie behavior to the mission of the profession.
  3. A link to general theories of morality.

Where codes of professional ethics fail is in overemphasizing one of these elements too highly or in ignoring an element entirely. If codes of ethics exist in order to remedy the “inward perspective” problem described above, then they must create links to more general “shared worldviews.” This would put them in the realm of common morality.

This is the most important point from my perspective. So often the “practice” of the profession defines its excellence in an introspective way such that the achievement of these functional requirements is all that matters-divorced from any other visions, namely, moral visions.

In the modern arena, many professional codes have evolved from a legal perspective. The practitioners of the profession do not want to go to jail or to be sued. Thus, they create certain codes that will make this possible situation less probable. These sorts of codes are defensive in nature and stand at the opposite end of the spectrum from the Hippocratic Oath. Their mission is not to set internal standards and link to common morality, rather they seek to “shave” as close as possible to maximizing an egoistic bottom line at the expense of the pillars of professionalism: one’s specialized education and one’s mission to serve others.

Any code that takes as its basis merely a negative approach designed to protect the practitioner from going to jail or being sued is fundamentally inadequate. This is not where one should set her sights. Rather, we should dream about what the profession may be-in the best of all possible worlds. The Oath of Hippocrates thus properly sets the mission that should drive all codes of ethics.

3. References and Further Reading

a. Primary Sources

  • Corpus Medicorum Graecorum (Berlin: Akademie-Verlag, on-going).
    • New editions of selected texts with excellent notes and apparatus by various editors.
  • Hippocrate, Oeuvres. Paris: Les Belles Lettres, 1967-2008.
  • Hippocrates, selected works Loeb series. 8 vols. Cambridge, MA: Harvard University Press, 1923-1995.
  • Littré, E. Oeuvres complète d’hippocrate 10 vols. (Paris: J. B. Billière, 1851).
    • The standard edition.

b. Secondary Sources

  • Bourgey, Louis, Observation et experience chez les médecins de la collection hippocratique. (Paris: J. Vrin, 1953).
    • A fine connection to principles in the philosophy of science.
  • Edelstein, Ludwig Ancient Medicine. (Baltimore, MD: Johns Hopkins University Press, 1967).
    • Still the best single treatment of ancient biomedical practitioners.
  • Jouanna, Jacques. Hipporcrate Translated as Hippocrates by M. B. DeBevoise (Baltimore, MD: Johns Hopkins University Press, 1999).
    • A broad and speculative treatment.
  • Jouanna, Jacques. Hippocrate: pour une archéologie d l’école de Cnide. (Paris: Belles Lettres, 1974).
    • A fine detailed analysis.
  • Lloyd, G.E.R. Early Greek Science: Thales to Aristotle. (New York: Norton, 1970).
    • An overview for the student interested in an introduction.
  • Lloyd, G.E.R. Magic, Reason, and Experience. (Cambridge: Cambridge University Press, 1979).
    • Perhaps Lloyd’s best analytical work by one of the finest practitioners of ancient scientific history.
  • Smith, Wesley. The Hippocratic Tradition. (Ithaca, NY: Cornell University Press, 1979). Second edition revised 2002 – available online at: http://www.bium.univ-paris5.fr/amn/Hippo2.pdf (accessed on August 26, 2009).
    • A solid overview by an excellent scholar.
  • Temkin, Owsei. Hippocrates in a World of Pagans and Christians. (Baltimore, MD: Johns Hopkins University Press, 1991).
    • A wide-ranging work that stimulates in the tradition of the history of ideas.

c. Published Conferences on Hippocrates

#1 French

  • La Collection Hippocratique et son role dans l’histoire medicine : Colloque de Strasbourg (23-27 Octobre 1972). (1975). Paper presented at the Colloque Sur La Collection Hippocratique Et Son Role Dans l’Histoire Medicale (1972 : Strasbourg); Universite Des Sciences Humaines De Strasbourg. Centre De Recherche Sur La Proche-Orient Et La Grece Antiques. Travaux, 2.

#2 French

  • Joly, R., (1977). Corpus hippocraticum : Actes du Colloque Hippocratique de Mons (22-26 Septembre 1975). Paper presented at the Colloque Hippocratique, 2nd, Mons, 1975.; Éditions Universitaires De Mons. Série Sciences Humaines ; 4.

#3 French

  • Grmek, M. D. (1980). Hippocratica : Actes du Colloque Hippocratique de Paris, 4-9 Septembre 1978. Paper presented at the Colloque Hippocratique De Paris (1978); Colloques Internationaux Du Centre National De La Recherche Scientifique ; no 583; Variation: Colloques Internationaux Du Centre National De La Recherche Scientifique ; no 583.

#4 French

  • Lasserre, F., & Mudry, P. (1983). Formes de pensée dans la collection Hippocratique : Actes du IVe Colloque International Hippocratique : Lausanne, 21-26 Septembre 1981. Paper presented at the International Hippocrates Colloquium (4th : 1981 : Lausanne, Switzerland); Publications De La Faculté Des Lettres ; 26; Variation: Publications De La Faculté Des Lettres (Université De Lausanne. Faculté Des Lettres) ; 26.

#5 German

  • Baader, G., Winau, R., Berliner Gesellschaft für Geschichte der Medizin, Freie Universität Berlin, & Institut für Geschichte der Medizin. (1989). Die Hippokratischen epidemien : Theorie-praxis-tradition : Verhandlungen des ve Colloque International Hippocratique. Paper presented at the International Hippocrates Colloquium (5th : 1984 : Berlin, Germany); Sudhoffs Archiv,; Beihefte ; Heft 27, 441.

#6 French

  • Potter, P., Maloney, G., & Desautels, J. (1990). La maladie et les maladies dans la Collection Hippocratique : Actes du VIe Colloque International Hippocratique, Québec du 28 Septembre au 3 Octobre 1987. Paper presented at the Colloque International Hippocratique (6e : 1987 : Québec, Québec),

#7 Spanish

  • López Férez, J. A. (1992). Tratados hipocráticos : Estudios acerca de su contenido, forma e influencia : Actas del VIIe Colloque International Hippocratique, Madrid, 24-29 de Septiembre de 1990. Paper presented at the Colloque International Hippocratique (7th : 1990 : Madrid, Spain),

#8 German

  • Wittern, R., & Pellegrin, P. (1996). Hippokratische medizin und antike philosophie : Verhandlungen des VIII. Internationalen Hippokrates-Kolloquiums in Kloster Banz/Staffelstein vom 23.-28. Sept. 1993. Paper presented at the International Hippocrates Colloquium (8th : 1993 : Kloster Banz/Staffelstein); Medizin Der Antike; Bd. 1, 654.

#9 multiple languages

  • Garofalo, I. (1999). Aspetti della terapia nel corpus hippocraticum : Atti del IXe Colloque International Hippocratique, Pisa, 25-29 Settembre 1996. Paper presented at the International Hippocrates Colloquium (9th : 1996 : Pisa, Italy); Studi / Accademia Toscana Di Scienze e Lettere La Colombaria; 183; Variation: Studi (Accademia Toscana Di Scienze e Lettere La Colombaria); 183. 716.

#10 French

  • Thivel, A., & Zucker, A. (2002). Le normal et le pathologique dans la collection Hippocratique : Actes du xème Colloque International Hippocratique, Nice, 6-8 Octobre 1999. Paper presented at the Colloque International Hippocratique (10th : 1999 : Nice, France),

#11 English

Author Information

Michael Boylan
Email: michael.boylan@marymount.edu
Marymount University
U. S. A.

Hipparchia (fl. 300 B.C.E.)

HipparchiaHipparchia is notable for being one of the few women philosophers of Ancient Greece.  Drawn to the doctrines and the self-imposed hardships of the Cynic lifestyle, Hipparchia lived in poverty with her husband, Crates the Cynic. While no existing writings are directly attributed to Hipparchia, recorded anecdotal accounts emphasize both her direct, Cynic rhetoric and her nonconformity to traditional gendered roles. Entering into marriage is a traditional social role that Cynics would normally reject; yet with her marriage to Crates, Hipparchia raised  Greek cultural expectations regarding the role of women in marriage, as well as the Cynic doctrine itself. With her husband, Hipparchia publicly embodied fundamental Cynic principles, specifically that the path toward virtue was the result of rational actors living in accordance with a natural law that eschewed conventional materialism and embraced both self-sufficiency and mental asperity.  Written accounts of Hipparchia’s life reference in particular both her belief in human shamelessness or anaideia, and her rhetorical acuity at Greek symposiums traditionally attended only by men.  Along with Crates, Hipparchia is considered a direct influence on the later school of Stoicism.

Table of Contents

  1. Life and Philosophy
  2. References and Further Reading

1. Life and Philosophy

Hipparchia was a Cynic philosopher from Maroneia in Thrace, who flourished around 300 B.C.E. She became famous for her marriage to Crates the Cynic, and infamous for supposedly consummating the marriage in public. Hipparchia was likely born between 340 and 330 B.C.E., and was probably in her mid-teens when she decided to adopt the Cynic mantle. She may have been introduced to philosophy by her brother, Metrocles, who was a pupil in Aristotle’s Lyceum and later began to follow Crates. Most of our knowledge about Hipparchia comes from anecdotes and sayings repeated by later authors. Diogenes Laertius reports that she wrote some letters, jokes and philosophical refutations, which are now lost (see Diogenes Laertius, Lives of Eminent Philosophers, Vol. II, tr. R. D. Hicks, Cambridge: Harvard University Press, 1925, reprint 1995, VI.96-98). He adds that myriad stories were told about “the female philosopher”.

Diogenes Laertius claims that Hipparchia was so eager to marry Crates that she threatened to kill herself rather than live in any other way. (DL VI.96.7-8) Although Crates was by this time an old man, she rejected her other youthful suitors because she had fallen in love with “both the discourses and the life” of Crates, and was said to be “captured” by the logos of the Cynics. (VI.96.1 and 4-5) At the request of her parents, Crates tried to talk Hipparchia out of the marriage. (VI.96.9-10) When he failed in this task, he disrobed in front of her and said, “this is the groom, and these are his possessions; choose accordingly.” (VI.96.11-15) This tale should be taken with the proverbial grain of salt, given that Diogenes Laertius is writing centuries later, and that his account may include ‘apt’ stories that are technically false, but which arose and were transmitted because they were taken to be revealing illustrations. Given the interest and controversy generated by the female Cynic, it is easy to imagine stories of this kind being told about her. In any event, we know that Hipparchia chose to marry Crates and share his philosophical pursuits.

Hipparchia’s decision to become a Cynic was surprising, on account of both the Cynic disregard for conventional institutions and the extreme hardship of the lifestyle. Cynics attempted to live “according to nature” by rejecting artificial social conventions and refusing all luxuries, including any items not absolutely required for survival. They gave up their possessions, carrying what few they needed in a wallet. They wore only a simple mantle or cloak, and begged to obtain their basic needs. Crates’ willingness to marry was also unusual, considering that marriage is a social institution of the sort normally rejected by Cynics, and earlier Cynics like Diogenes and Antisthenes had maintained that the philosopher would never marry. A few centuries later, while arguing that marriage is generally unsuitable for the Cynic (or Stoic) philosopher, Epictetus allows for exceptions specifically because of the philosophical marriage of Hipparchia and Crates (Epictetus, Discourses, tr. C. H. Oldfather, Cambridge: Harvard University Press, 1928). By marrying a Cynic and becoming one herself, Hipparchia thus performed the characteristically Cynic feat of “changing the currency,” both of her culture and the Cynic tradition itself. The Cynic motto of “change the currency” (parakrattein to nomismata), first adopted by Diogenes of Sinope, implied rejection of the prevailing social and political order in favor of an unconventional, self-sufficient life as a “citizen of the universe” (kosmopolites). (It had been said, perhaps falsely, that Diogenes or his father had been driven from Sinope when found guilty of literally defacing the coins and changing their values, but it is also likely that the counterfeiting story arose after he adopted the metaphorical motto.)

Some later authors, such as Apuleius and Augustine, report that Hipparchia and Crates consummated their marriage by having sex on a public porch. Whether the tale is accurate or not, they were known to conduct themselves in all respects according to the Cynic value of anaideia, or shamelessness. The story of Hipparchia’s Cynic marriage quickly became the premiere example of that virtue, which is based on the Cynic belief that any actions virtuous enough to be done in private are no less virtuous when performed in public. As exemplars of anaideia, Hipparchia and Crates influenced their pupil Zeno of Citium, the founder of Stoicism. His Republic advocates the equality of the sexes, co-ed public exercise and training, and a version of “free love” wherein those wishing to have sex will simply satisfy their desires wherever they happen to be at the moment, even in public. Stoic ethics were generally influenced by Cynic values, such as self-sufficiency, the importance of practice in achieving virtue, and the rejection of the conventional values attached to pleasure and pain. The Stoics also advocated living according to nature in the sense of conforming one’s own reason to the dictates of the rational natural law.

Eratosthenes reports that Hipparchia and Crates had a son named Pasicles, and Diogenes Laertius’ account of the life of Crates also refers to their son. The Cynic Letters, a collection of pseudographic letters attributed to various Cynic figures and probably written by a several different authors a few centuries after Hipparchia lived, mention that she bore and raised children according to her Cynic values. Whatever the actual details of her practices might have been, her example influenced later Cynic attitudes towards pregnancy and child-rearing. For example, one of the letters attributed to Crates suggests that Hipparchia has given birth “without trouble” because she believes that her usual “labor is the cause of not laboring” during the birth itself (33.14-15). The birth was easier because she continued to work “like an athlete” during her pregnancy (33.17), which the author notes is unusual. The letters also mention Hipparchia’s use of a tortoise shell cradle, cold water for the baby’s bath, and continued adherence to an austere diet.

Hipparchia is also famous for an exchange with Theodorus the Atheist, a Cyrenaic philosopher, who had challenged the legitimacy of her presence at a symposium. She was reported to have regularly attended such functions with Crates. According to Diogenes Laertius, Theodorus quoted a verse from Euripides’ Bacchae, asking if this is she “abandoning the warp and woof and the shuttle” (like Agave returning home from the “hunt” with the head of her son Pentheus). (VI.98.2) Hipparchia affirms that yes, it is she, but asks Theodorus whether she has had the wrong understanding of herself, if she spent her time on education rather than wasting it on the loom. (VI.98.3-6) In the ancient Greek cultural context, women of her social class typically would have been occupied with weaving and organizing the household servants, and Hipparchia’s rejection of the conventional expectations for women was quite radical.

Diogenes Laertius also reports the syllogism that Hipparchia used to put down Theodorus during the same symposium mentioned above: Premise 1: “Any action which would not be called wrong if done by Theodorus, would not be called wrong if done by Hipparchia.” Premise 2: “Now Theodorus does no wrong when he strikes himself”. Conclusion: “therefore neither does Hipparchia do wrong when she strikes Theodorus.” (VI.97.6-9) This is a classic example of the Cynic rhetorical trope of spoudogeloion: a deliberately comic syllogism which nevertheless makes a serious point. Diogenes Laertius says that since Theodorus “had no reply wherefore to meet the argument,” he “tried to strip her of her cloak. But Hipparchia showed no sign of alarm or of the perturbation natural in a woman” (VI.97), as befitted her Cynic commitment to anaideia.

2. References and Further Reading

Diogenes Laertius, Lives of Eminent Philosophers, Vol. II, tr. R. D. Hicks (Cambridge: Harvard University Press) 1925 (reprint 1995), VI.96-98.

Abraham J. Malherbe, The Cynic Epistles (Atlanta: Scholar’s Press) 1997, 78-83.

Discussions in the modern period of Hipparchia’s encounter with Theodorus are found in Bayle’s Historical and Critical Dictionary and in Menage’s History of Women Philosophers. See Pierre Bayle, Historical and Critical Dictionary: Selections, ed. Richard H. Popkin and Craig Bush (Indianapolis: Hackett) 1991, 102-103, and Gilles Menage, The History of Women Philosophers, tr. Beatrice H. Zedler (Lanham, MD: University Press of America, 1984), 103.

For further information about Cynic philosophy, see Diogenes Laertius Book VI, as well as D. R. Dudley, A History of Cynicism: From Diogenes to the Sixth Century AD (London) 1937 (reprint Ares Publishing, 1980), and R. Bracht Branham and Marie Odile Goulet-Caze, eds., The Cynics: The Cynic Movement in Antiquity and its Legacy (Berkeley: University of California Press) 2000.

Author Information

Laura Grams
Email: lgrams@mail.unomaha.edu
University of Nebraska at Omaha
U. S. A.

Heraclitus (fl. c. 500 B.C.E.)

HeraclitusA Greek philosopher of the late 6th century BCE, Heraclitus criticizes his predecessors and contemporaries for their failure to see the unity in experience. He claims to announce an everlasting Word (Logos) according to which all things are one, in some sense. Opposites are necessary for life, but they are unified in a system of balanced exchanges. The world itself consists of a law-like interchange of elements, symbolized by fire. Thus the world is not to be identified with any particular substance, but rather with an ongoing process governed by a law of change. The underlying law of nature also manifests itself as a moral law for human beings. Heraclitus is the first Western philosopher to go beyond physical theory in search of metaphysical foundations and moral applications.

Table of Contents

  1. Life and Times
  2. Theory of Knowledge
  3. The Doctrine of Flux and the Unity of Opposites
  4. Criticism of Ionian Philosophy
  5. Physical Theory
  6. Moral and Political Theory
  7. Accomplishments and Influence
  8. References and Further Reading

1. Life and Times

Heraclitus lived in Ephesus, an important city on the Ionian coast of Asia Minor, not far from Miletus, the birthplace of philosophy. We know nothing about his life other than what can be gleaned from his own statements, for all ancient biographies of him consist of nothing more than inferences or imaginary constructions based on his sayings. Although Plato thought he wrote after Parmenides, it is more likely he wrote before Parmenides. For he criticizes by name important thinkers and writers with whom he disagrees, and he does not mention Parmenides. On the other hand, Parmenides in his poem arguably echoes the words of Heraclitus.  Heraclitus criticizes the mythographers Homer and Hesiod, as well as the philosophers Pythagoras and Xenophanes and the historian Hecataeus. All of these figures flourished in the 6th century BCE or earlier, suggesting a date for Heraclitus in the late 6th century. Although he does not speak in detail of his political views in the extant fragments, Heraclitus seems to reflect an aristocratic disdain for the masses and favor the rule of a few wise men, for instance when he recommends that his fellow-citizens hang themselves because they have banished their most prominent leader (DK22B121 in the Diels-Kranz collection of Presocratic sources).

2. Theory of Knowledge

Heraclitus sees the great majority of human beings as lacking understanding:

Of this Word’s being forever do men prove to be uncomprehending, both before they hear and once they have heard it. For although all things happen according to this Word they are like the unexperienced experiencing words and deeds such as I explain when I distinguish each thing according to its nature and declare how it is. Other men are unaware of what they do when they are awake just as they are forgetful of what they do when they are asleep. (DK22B1)

Most people sleep-walk through life, not understanding what is going on about them. Yet experience of words and deeds can enlighten those who are receptive to their meaning. (The opening sentence is ambiguous: does the ‘forever’ go with the preceding or the following words? Heraclitus prefigures the semantic complexity of his message.)

On the one hand, Heraclitus commends sense experience: “The things of which there is sight, hearing, experience, I prefer” (DK22B55). On the other hand, “Poor witnesses for men are their eyes and ears if they have barbarian souls” (DK22B107). A barbarian is one who does not speak the Greek language. Thus while sense experience seems necessary for understanding, if we do not know the right language, we cannot interpret the information the senses provide. Heraclitus does not give a detailed and systematic account of the respective roles of experience and reason in knowledge. But we can learn something from his manner of expression.

Describing the practice of religious prophets, Heraclitus says, “The Lord whose oracle is at Delphi neither reveals nor conceals, but gives a sign” (DK22B93). Similarly, Heraclitus does not reveal or conceal, but produces complex expressions that have encoded in them multiple messages for those who can interpret them. He uses puns, paradoxes, antitheses, parallels, and various rhetorical and literary devices to construct expressions that have meanings beyond the obvious. This practice, together with his emphasis on the Word (Logos) as an ordering principle of the world, suggests that he sees his own expressions as imitations of the world with its structural and semantic complexity. To read Heraclitus the reader must solve verbal puzzles, and to learn to solve these puzzles is to learn to read the signs of the world. Heraclitus stresses the inductive rather than the deductive method of grasping the world, a world that is rationally structured, if we can but discern its shape.

For those who can discern it, the Word has an overriding message to impart: “Listening not to me but to the Word it is wise to agree that all things are one” (DK22B50). It is perhaps Heraclitus’s chief project to explain in what sense all things are one.

3. The Doctrine of Flux and the Unity of Opposites

According to both Plato and Aristotle, Heraclitus held extreme views that led to logical incoherence. For he held that (1) everything is constantly changing and (2) opposite things are identical, so that (3) everything is and is not at the same time. In other words, Universal Flux and the Identity of Opposites entail a denial of the Law of Non-Contradiction. Plato indicates the source of the flux doctrine: “Heraclitus, I believe, says that all things go and nothing stays, and comparing existents to the flow of a river, he says you could not step twice into the same river” (Cratylus 402a = DK22A6).

What Heraclitus actually says is the following:

On those stepping into rivers staying the same other and other waters flow. (DK22B12)

There is an antithesis between ‘same’ and ‘other.’ The sentence says that different waters flow in rivers staying the same. In other words, though the waters are always changing, the rivers stay the same. Indeed, it must be precisely because the waters are always changing that there are rivers at all, rather than lakes or ponds. The message is that rivers can stay the same over time even though, or indeed because, the waters change. The point, then, is not that everything is changing, but that the fact that some things change makes possible the continued existence of other things. Perhaps more generally, the change in elements or constituents supports the constancy of higher-level structures.As for the alleged doctrine of the Identity of Opposites, Heraclitus does believe in some kind of unity of opposites. For instance, “God is day night, winter summer, war peace, satiety hunger . . .” (DK22B67). But if we look closer, we see that the unity in question is not identity:

As the same thing in us is living and dead, waking and sleeping, young and old. For these things having changed around are those, and conversely those having changed around are these. (DK22B88)

The second sentence in B88 gives the explanation for the first. If F is the same as G because F turns into G, then the two are not identical. And Heraclitus insists on the common-sense truth of change: “Cold things warm up, the hot cools off, wet becomes dry, dry becomes wet” (DK22B126). This sort of mutual change presupposes the non-identity of the terms. What Heraclitus wishes to maintain is not the identity of opposites but the fact that they replace each other in a series of transformations: they are interchangeable or transformationally equivalent.

Thus, Heraclitus does not hold Universal Flux, but recognizes a lawlike flux of elements; and he does not hold the Identity of Opposites, but the Transformational Equivalence of Opposites. The views that he does hold do not, jointly or separately, entail a denial of the Law of Non-Contradiction. Heraclitus does, to be sure, make paradoxical statements, but his views are no more self-contradictory than are the paradoxical claims of Socrates. They are, presumably, meant to wake us up from our dogmatic slumbers.

4. Criticism of Ionian Philosophy

Heraclitus’ theory can be understood as a response to the philosophy of his Ionian predecessors. The philosophers of the city of Miletus (near Ephesus), Thales, Anaximander, and Anaximenes, believed some original material turns into all other things. The world as we know it is the orderly articulation of different stuffs produced out of the original stuff. For the Milesians, to explain the world and its phenomena was just to show how everything came from the original stuff, such as Thales’ water or Anaximenes’ air.

Heraclitus seems to follow this pattern of explanation when he refers to the world as “everliving fire” (DK22B30, quoted in full in next section) and makes statements such as “Thunderbolt steers all things,” alluding to the directive power of fire (DK22B64). But fire is a strange stuff to make the origin of all things, for it is the most inconstant and changeable. It is, indeed, a symbol of change and process. Heraclitus observes,

All things are an exchange for fire, and fire for all things, as goods for gold and gold for goods. (DK22B90)

We can measure all things against fire as a standard; there is an equivalence between all things and gold, but all things are not identical to gold. Similarly, fire provides a standard of value for other stuffs, but it is not identical to them. Fire plays an important role in Heraclitus’ system, but it is not the unique source of all things, because all stuffs are equivalent.

Ultimately, fire may be more important as a symbol than as a stuff. Fire is constantly changing-but so is every other stuff. One thing is transformed into another in a cycle of changes. What is constant is not some stuff, but the overall process of change itself. There is a constant law of transformations, which is, perhaps, to be identified with the Logos. Heraclitus may be saying that the Milesians correctly saw that one stuff turns into another in a series, but they incorrectly inferred from this that some one stuff is the source of everything else. But if A is the source of B and B of C, and C turns back into B and then A, then B is likewise the source of A and C, and C is the source of A and B. There is no particular reason to promote one stuff at the expense of the others. What is important about the stuffs is that they change into others. The one constant in the whole process is the law of change by which there is an order and sequence to the changes. If this is what Heraclitus has in mind, he goes beyond the physical theory of his early predecessors to arrive at something like a process philosophy with a sophisticated understanding of metaphysics.

5. Physical Theory

Heraclitus’ criticisms and metaphysical speculations are grounded in a physical theory. He expresses the principles of his cosmology in a single sentence:

This world-order, the same of all, no god nor man did create, but it ever was and is and will be: everliving fire, kindling in measures and being quenched in measures. (DK22B30)

This passage contains the earliest extant philosophical use of the word kosmos, “world-order,” denoting the organized world in which we live, with earth, sea, atmosphere, and heavens. While ancient sources understand Heraclitus as saying the world comes to be and then perishes in a fiery holocaust, only to be born again (DK22A10), the present passage seems to contradict this reading: the world itself does not have a beginning or end. Parts of it are being consumed by fire at any given time, but the whole remains. Almost all other early cosmologists before and after Heraclitus explained the existence of the ordered world by recounting its origin out of elemental stuffs. Some also predicted the extinction of the world. But Heraclitus, the philosopher of flux, believes that as the stuffs turn into one another, the world itself remains stable. How can that be?

Heraclitus explains the order and proportion in which the stuffs change:

The turnings of fire: first sea, and of sea, half is earth, half firewind (prêstêr: some sort of fiery meteorological phenomenon). (DK22B31a)

Sea is liquefied and measured into the same proportion as it had before it became earth. (DK22B31b)

Fire is transformed into water (“sea”) of which half turns back into fire (“firewind”) and half into earth. Thus there is a sequence of stuffs: fire, water, earth, which are interconnected. When earth turns back into sea, it occupies the same volume as it had before it turned into earth. Thus we can recognize a primitive law of conservation-not precisely conservation of matter, at least the identity of the matter is not conserved, nor of mass, but at least an equivalence of matter is maintained. Although the fragments do not give detailed information about Heraclitus’ physics, it seems likely that the amount of water that evaporates each day is balanced by the amount of stuff that precipitates as water, and so on, so that a balance of stuffs is maintained even though portions of stuff are constantly changing their identity.

For Heraclitus, flux and opposition are necessary for life. Aristotle reports,

Heraclitus criticizes the poet who said, ‘would that strife might perish from among gods and men’ [Homer Iliad 18.107]’ for there would not be harmony without high and low notes, nor living things without female and male, which are opposites. (DK22A22)

Heraclitus views strife or conflict as maintaining the world:

We must recognize that war is common and strife is justice, and all things happen according to strife and necessity. (DK22B80)

War is the father of all and king of all, who manifested some as gods and some as men, who made some slaves and some freemen. (DK22B53)

In a tacit criticism of Anaximander, Heraclitus rejects the view that cosmic justice is designed to punish one opposite for its transgressions against another. If it were not for the constant conflict of opposites, there would be no alternations of day and night, hot and cold, summer and winter, even life and death. Indeed, if some things did not die, others would not be born. Conflict does not interfere with life, but rather is a precondition of life.

As we have seen, for Heraclitus fire changes into water and then into earth; earth changes into water and then into fire. At the level of either cosmic bodies (in which sea turns into fiery storms on the one hand and earth on the other) or domestic activities (in which, for instance, water boils out of a pot), there is constant flux among opposites. To maintain the balance of the world, we must posit an equal and opposite reaction to every change. Heraclitus observes,

The road up and down is one and the same. (DK22B60)

Here again we find a unity of opposites, but no contradiction. One road is used to pursue two different routes. Daily traffic carries some travelers out of the city, while it brings some back in. The image applies equally to physical theory: as earth changes to fire, fire changes to earth. And it may apply to psychology and other domains as well.

6. Moral and Political Theory

There has been some debate as to whether Heraclitus is chiefly a philosopher of nature (a view championed by G. S. Kirk) or a philosopher concerned with the human condition (C. H. Kahn). The opening words of Heraclitus’ book (DK22B1, quoted above) seem to indicate that he will expound the nature of things in a way that will have profound implications for human life. In other words, he seems to see the theory of nature and the human condition as intimately connected. In fact, recently discovered papyri have shown that Heraclitus is concerned with technical questions of astronomy, not only with general theory. There is no reason, then, to think of him as solely a humanist or moral philosopher. On the other hand, it would be wrong to think of him as a straightforward natural philosopher in the manner of other Ionian philosophers, for he is deeply concerned with the moral implications of physical theory.

Heraclitus views the soul as fiery in nature:

To souls it is death to become water, to water death to become earth, but from earth water is born, and from water soul. (DK22B36)

Soul is generated out of other substances just as fire is. But it has a limitless dimension:

If you went in search of it, you would not find the boundaries of the soul, though you traveled every road-so deep is its measure [logos]. (DK22B45)

Drunkenness damages the soul by causing it to be moist, while a virtuous life keeps the soul dry and intelligent. Souls seem to be able to survive death and to fare according to their character.

The laws of a city-state are an important principle of order:

The people [of a city] should fight for their laws as they would for their city wall. (DK22B44)

Speaking with sense we must rely on a common sense of all things, as a city relies on its wall, and much more reliably. For all human laws are nourished by the one divine law. For it prevails as far as it will and suffices for all and overflows. (DK22B114)

The laws provide a defense for a city and its way of life. But the laws are not merely of local interest: they derive their force from a divine law. Here we see the notion of a law of nature that informs human society as well as nature. There is a human cosmos that like the natural cosmos reflects an underlying order. The laws by which human societies are governed are not mere conventions, but are grounded in the ultimate nature of things. One cannot break a human law with impunity. The notion of a law-like order in nature has antecedents in the theory of Anaximander, and the notion of an inherent moral law influences the Stoics in the 3rd century BCE.

Heraclitus recognizes a divine unity behind the cosmos, one that is difficult to identify and perhaps impossible to separate from the processes of the cosmos:

The wise, being one thing only, would and would not take the name of Zeus [or: Life]. (DK22B32)

God is day night, winter summer, war peace, satiety hunger, and it alters just as when it is mixed with incense is named according to the aroma of each. (DK22B67)

Evidently the world either is god, or is a manifestation of the activity of god, which is somehow to be identified with the underlying order of things. God can be thought of as fire, but fire, as we have seen, is constantly changing, symbolic of transformation and process. Divinity is present in the world, but not as a conventional anthropomorphic being such as the Greeks worshiped.

7. Accomplishments and Influence

Heraclitus goes beyond the natural philosophy of the other Ionian philosophers to make profound criticisms and develop far-reaching implications of those criticisms. He suggests the first metaphysical foundation for philosophical speculation, anticipating process philosophy. And he makes human values a central concern of philosophy for the first time. His aphoristic manner of expression and his manner of propounding general truths through concrete examples remained unique.

Heraclitus’s paradoxical exposition may have spurred Parmenides’ rejection of Ionian philosophy. Empedocles and some medical writers echoed Heraclitean themes of alteration and ongoing process, while Democritus imitated his ethical observations. Influenced by the teachings of the Heraclitean Cratylus, Plato saw the sensible world as exemplifying a Heraclitean flux. Plato and Aristotle both criticized Heraclitus for a radical theory that led to a denial of the Law of Non-Contradiction. The Stoics adopted Heraclitus’s physical principles as the basis for their theories.

8. References and Further Reading

  • Barnes, Jonathan. The Presocratic Philosophers. London: Routledge & Kegan Paul, 1982, vol. 1, ch. 4.
    • Uses modern arguments to defend the traditional view, going back to Plato and Aristotle, that Heraclitus’ commitment to the flux doctrine and the identity of opposites results in an incoherent theory.
  • Graham, Daniel W. “Heraclitus’ Criticism of Ionian Philosophy.” Oxford Studies in Ancient Philosophy 15 (1997): 1-50.
    • Defends Heraclitus against the traditional view held by Barnes and others, and argues that his theory can be understood as a coherent criticism of earlier Ionian philosophy.
  • Hussey, Edward. “Epistemology and Meaning in Heraclitus.” Language and Logos. Ed. M. Schofield and M. C. Nussbaum. Cambridge: Cambridge UP, 1982. 33-59.
    • Studies Heraclitus’ theory of knowledge.
  • Kahn, Charles H. The Art and Thought of Heraclitus. Cambridge: Cambridge UP, 1979.
    • An important reassessment of Heraclitus that recognizes the literary complexity of his language as a key to interpreting his message. Focuses on Heraclitus as a philosopher of the human condition.
  • Kirk, G. S. Heraclitus: The Cosmic Fragments. Cambridge: Cambridge UP, 1954.
    • Focuses on Heraclitus as a natural philosopher.
  • Marcovich, Miroslav. Heraclitus: Greek Text with a Short Commentary. Merida, Venezuela: U. of the Andes, 1967.
    • A very thorough edition of Heraclitus, which effectively sorts out fragments from reports and reactions.
  • Mourelatos, Alexander P. D. “Heraclitus, Parmenides, and the Naive Metaphysics of Things.” Exegesis and Argument. Ed. E. N. Lee et al. Assen: Van Gorcum, 1973. 16-48.
    • Examines Heraclitus’ response to the pre-philosophical understanding of things.
  • Nussbaum, Martha C. “Psychê in Heraclitus.” Phronesis 17 (1972): 1-16, 153-70.
    • Good treatment of Heraclitus’ conception of soul.
  • Robinson, T. M. Heraclitus: Fragments. Toronto: U of Toronto P, 1987.
    • Good brief edition with commentary.
  • Vlastos, Gregory. “On Heraclitus.” American Journal of Philology 76 (1955): 337-68. Reprinted in G. Vlastos, Studies in Greek Philosophy, vol. 1, Princeton: Princeton U. Pr., 1995.
    • Vigorous defense of the traditional interpretation of Heraclitus against Kirk and others.

Author Information

Daniel W. Graham
Email: daniel_graham@byu.edu
Brigham Young University
U. S. A.

Human Rights

Human rights are certain moral guarantees. This article examines the philosophical basis and content of the doctrine of human rights. The analysis consists of five sections and a conclusion. Section one assesses the contemporary significance of human rights, and it argues that the doctrine of human rights has become the dominant moral doctrine for evaluating the moral status of the contemporary geo-political order. Section two proceeds to chart the historical development of the concept of human rights, beginning with a discussion of the earliest philosophical origins of the philosophical bases of human rights and culminating in some of most recent developments in the codification of human rights. Section three considers the philosophical concept of a human right and analyses the formal and substantive distinctions philosophers have drawn between various forms and categories of rights. Section four addresses the question of how philosophers have sought to justify the claims of human rights and specifically charts the arguments presented by the two presently dominant approaches in this field: interest theory and will theory. Section five then proceeds to discuss some of the main criticisms currently leveled at the doctrine of human rights and highlights some of the main arguments of those who have challenged the universalist and objectivist bases of human rights. Finally, a brief conclusion is presented, summarising the main themes addressed.

Table of Contents

  1. Introduction: The Contemporary Significance of Human Rights
  2. Historical Origins and Development of the Theory and Practice of Human Rights
  3. Philosophical Analysis of the Concept of Human Rights
    1. Moral vs. Legal Rights
    2. Claim Rights & Liberty Rights
    3. Substantive Categories of Human Rights
    4. Scope of Human Rights Duties
  4. Philosophical Justifications of Human Rights
    1. Do Human Rights Require Philosophical Justification?
    2. The interests Theory Approach
    3. The Will Theory Approach
  5. Philosophical Criticisms of Human Rights
    1. Moral Relativism
    2. Epistemological Criticisms of Human Rights
  6. Conclusion
  7. References and Further Reading

1. Introduction: The Contemporary Significance of Human Rights

Human rights have been defined as

basic moral guarantees that people in all countries and cultures allegedly have simply because they are people. Calling these guarantees “rights” suggests that they attach to particular individuals who can invoke them, that they are of high priority, and that compliance with them is mandatory rather than discretionary. Human rights are frequently held to be universal in the sense that all people have and should enjoy them, and to be independent in the sense that they exist and are available as standards of justification and criticism whether or not they are recognized and implemented by the legal system or officials of a country. (Nickel, 1992:561-2)

The moral doctrine of human rights aims at identifying the fundamental prerequisites for each human being leading a minimally good life. Human rights aim to identify both the necessary negative and positive prerequisites for leading a minimally good life, such as rights against torture and rights to health care. This aspiration has been enshrined in various declarations and legal conventions issued during the past fifty years, initiated by the Universal Declaration of Human Rights (1948) and perpetuated by, most importantly, the European Convention on Human Rights (1954) and the International Covenant of Civil and Political Rights (1966). Together these three documents form the centrepiece of a moral doctrine that many consider to be capable of providing the contemporary geo-political order with what amounts to an international bill of rights. However, the doctrine of human rights does not aim to be a fully comprehensive moral doctrine. An appeal to human rights does not provide us with a fully comprehensive account of morality per se. Human rights do not, for example, provide us with criteria for answering such questions as whether telling lies is inherently immoral, or what the extent of one’s moral obligations to friends and lovers ought to be? What human rights do primarily aim to identify is the basis for determining the shape, content, and scope of fundamental, public moral norms. As James Nickel states, human rights aim to secure for individuals the necessary conditions for leading a minimally good life. Public authorities, both national and international, are identified as typically best placed to secure these conditions and so, the doctrine of human rights has become, for many, a first port of moral call for determining the basic moral guarantees all of us have a right to expect, both of one another but also, primarily, of those national and international institutions capable of directly affecting our most important interests. The doctrine of human rights aspires to provide the contemporary, allegedly post-ideological, geo-political order with a common framework for determining the basic economic, political, and social conditions required for all individuals to lead a minimally good life. While the practical efficacy of promoting and protecting human rights is significantly aided by individual nation-states’ legally recognising the doctrine, the ultimate validity of human rights is characteristically thought of as not conditional upon such recognition. The moral justification of human rights is thought to precede considerations of strict national sovereignty. An underlying aspiration of the doctrine of human rights is to provide a set of legitimate criteria to which all nation-states should adhere. Appeals to national sovereignty should not provide a legitimate means for nation-states to permanently opt out of their fundamental human rights-based commitments. Thus, the doctrine of human rights is ideally placed to provide individuals with a powerful means for morally auditing the legitimacy of those contemporary national and international forms of political and economic authority which confront us and which claim jurisdiction over us. This is no small measure of the contemporary moral and political significance of the doctrine of human rights. For many of its most strident supporters, the doctrine of human rights aims to provide a fundamentally legitimate moral basis for regulating the contemporary geo-political order.

2. Historical Origins and Development of the Theory and Practice of Human Rights

The doctrine of human rights rests upon a particularly fundamental philosophical claim: that there exists a rationally identifiable moral order, an order whose legitimacy precedes contingent social and historical conditions and applies to all human beings everywhere and at all times. On this view, moral beliefs and concepts are capable of being objectively validated as fundamentally and universally true. The contemporary doctrine of human rights is one of a number of universalist moral perspectives. The origins and development of the theory of human rights is inextricably tied to the development of moral universalism. The history of the philosophical development of human rights is punctuated by a number of specific moral doctrines which, though not themselves full and adequate expressions of human rights, have nevertheless provided a number of philosophical prerequisites for the contemporary doctrine. These include a view of morality and justice as emanating from some pre-social domain, the identification of which provides the basis for distinguishing between ‘true’ and merely ‘conventional’ moral principles and beliefs. The essential prerequisites for a defence of human rights also include a conception of the individual as the bearer of certain ‘natural’ rights and a particular view of the inherent and equal moral worth of each rational individual. I shall discuss each in turn.

Human rights rest upon moral universalism and the belief in the existence of a truly universal moral community comprising all human beings. Moral universalism posits the existence of rationally identifiable trans-cultural and trans-historical moral truths. The origins of moral universalism within Europe are typically associated with the writings of Aristotle and the Stoics. Thus, in his Nicomachean Ethics, Aristotle unambiguously expounds an argument in support of the existence of a natural moral order. This natural order ought to provide the basis for all truly rational systems of justice. An appeal to the natural order provides a set of comprehensive and potentially universal criteria for evaluating the legitimacy of actual ‘man-made’ legal systems. In distinguishing between ‘natural justice’ and ‘legal justice’, Aristotle writes, ‘the natural is that which has the same validity everywhere and does not depend upon acceptance.’ (Nicomachean Ethics, 189) Thus, the criteria for determining a truly rational system of justice pre-exist social and historical conventions. ‘Natural justice’ pre-exists specific social and political configurations. The means for determining the form and content of natural justice is the exercise of reason free from the distorting effects of mere prejudice or desire. This basic idea was similarly expressed by the Roman Stoics, such as Cicero and Seneca, who argued that morality originated in the rational will of God and the existence of a cosmic city from which one could discern a natural, moral law whose authority transcended all local legal codes. The Stoics’ argued that this ethically universal code imposed upon all of us a duty to obey the will of god. The Stoics thereby posited the existence of a universal moral community effected through our shared relationship with god. The belief in the existence of a universal moral community was maintained in Europe by Christianity over the ensuing centuries. While some have discerned intimations towards the notion of rights in the writings of Aristotle, the Stoics, and Christian theologians, a concept of rights approximating that of the contemporary idea of human rights most clearly emerges during the 17th. And 18th. Centuries in Europe and the so-called doctrine of natural law.

The basis of the doctrine of natural law is the belief in the existence of a natural moral code based upon the identification of certain fundamental and objectively verifiable human goods. Our enjoyment of these basic goods is to be secured by our possession of equally fundamental and objectively verifiable natural rights. Natural law was deemed to pre-exist actual social and political systems. Natural rights were thereby similarly presented as rights individuals possessed independently of society or polity. Natural rights were thereby presented as ultimately valid irrespective of whether they had achieved the recognition of any given political ruler or assembly. The quintessential exponent of this position was the 17th. Century philosopher John Locke and, in particular, the argument he outlined in his Two Treatises of Government (1688). At the centre of Locke’s argument is the claim that individuals possess natural rights, independently of the political recognition granted them by the state. These natural rights are possessed independently of, and prior to, the formation of any political community. Locke argued that natural rights flowed from natural law. Natural law originated from God. Accurately discerning the will of God provided us with an ultimately authoritative moral code. At root, each of us owes a duty of self-preservation to God. In order to successfully discharge this duty of self-preservation each individual had to be free from threats to life and liberty, whilst also requiring what Locke presented as the basic, positive means for self-preservation: personal property. Our duty of self-preservation to god entailed the necessary existence of basic natural rights to life, liberty, and property. Locke proceeded to argue that the principal purpose of the investiture of political authority in a sovereign state was the provision and protection of individuals’ basic natural rights. For Locke, the protection and promotion of individuals’ natural rights was the sole justification for the creation of government. The natural rights to life, liberty, and property set clear limits to the authority and jurisdiction of the State. States were presented as existing to serve the interests, the natural rights, of the people, and not of a Monarch or a ruling cadre. Locke went so far as to argue that individuals are morally justified in taking up arms against their government should it systematically and deliberately fail in its duty to secure individuals’ possession of natural rights.

Analyses of the historical predecessors of the contemporary theory of human rights typically accord a high degree of importance to Locke’s contribution. Certainly, Locke provided the precedent of establishing legitimate political authority upon a rights foundation. This is an undeniably essential component of human rights. However, the philosophically adequate completion of theoretical basis of human rights requires an account of moral reasoning, that is both consistent with the concept of rights, but which does not necessarily require an appeal to the authority of some super-human entity in justifying human beings’ claims to certain, fundamental rights. The 18th. Century German philosopher, Immanuel Kant provides such an account.

Many of the central themes first expressed within Kant’s moral philosophy remain highly prominent in contemporary philosophical justifications of human rights. Foremost amongst these are the ideals of equality and the moral autonomy of rational human beings. Kant bestows upon contemporary human rights’ theory the ideal of a potentially universal community of rational individuals autonomously determining the moral principles for securing the conditions for equality and autonomy. Kant provides a means for justifying human rights as the basis for self-determination grounded within the authority of human reason. Kant’s moral philosophy is based upon an appeal to the formal principles of ethics, rather than, for example, an appeal to a concept of substantive human goods. For Kant, the determination of any such goods can only proceed from a correct determination of the formal properties of human reason and thus do not provide the ultimate means for determining the correct ends, or object, of human reason. Kant’s moral philosophy begins with an attempt to correctly identify those principles of reasoning that can be applied equally to all rational persons, irrespective of their own specific desires or partial interests. In this way, Kant attaches a condition of universality to the correct identification of moral principles. For him, the basis of moral reasoning must rest upon a condition that all rational individuals are bound to assent to. Doing the right thing is thus not determined by acting in pursuit of one’s own interests or desires, but acting in accordance with a maxim which all rational individuals are bound to accept. Kant terms this the categorical imperative, which he formulates in the following terms, ‘act only on that maxim through which you can at the same time will that it should become a universal law.’ (1948:84). Kant argues that this basic condition of universality in determining the moral principles for governing human relations is a necessary expression of the moral autonomy and fundamental equality of all rational individuals. The categorical imperative is self-imposed by morally autonomous and formally equal rational persons. It provides the basis for determining the scope and form of those laws which morally autonomous and equally rational individuals will institute in order to secure these very same conditions. For Kant, the capacity for the exercise of reason is the distinguishing characteristic of humanity and the basis for justifying human dignity. As the distinguishing characteristic of humanity, formulating the principles of the exercise of reason must necessarily satisfy a test of universality; they must be capable of being universally recognized by all equally rational agents. Hence, Kant’s formulation of the categorical imperative. Kant’s moral philosophy is notoriously abstract and resists easy comprehension. Though often overlooked in accounts of the historical development of human rights, his contribution to human rights has been profound. Kant provides a formulation of fundamental moral principles that, though exceedingly formal and abstract, are based upon the twin ideals of equality and moral autonomy. Human rights are rights we give to ourselves, so to speak, as autonomous and formally equal beings. For Kant, any such rights originate in the formal properties of human reason, and not the will of some super-human being.

The philosophical ideas defended by the likes of Locke and Kant have come to be associated with the general Enlightenment project initiated during the 17th. and 18th. Centuries, the effects of which were to extend across the globe and over ensuing centuries. Ideals such as natural rights, moral autonomy, human dignity and equality provided a normative bedrock for attempts at re-constituting political systems, for overthrowing formerly despotic regimes and seeking to replace them with forms of political authority capable of protecting and promoting these new emancipatory ideals. These ideals effected significant, even revolutionary, political upheavals throughout the 18th. Century, enshrined in such documents as the United States’ Declaration of Independence and the French National Assembly’s Declaration of the Rights of Man and Citizen. Similarly, the concept of individual rights continued to resound throughout the 19th. Century exemplified by Mary Wollstencraft’s Vindication of the Rights of Women and other political movements to extend political suffrage to sections of society who had been denied the possession of political and civil rights. The concept of rights had become a vehicle for effecting political change. Though one could argue that the conceptual prerequisites for the defence of human rights had long been in place, a full Declaration of the doctrine of human rights only finally occurred during the 20th. Century and only in response to the most atrocious violations of human rights, exemplified by the Holocaust. The Universal Declaration of Human Rights (UDHR) was adopted by the UN General Assembly on 10th. December 1948 and was explicitly motivated to prevent the future occurrence of any similar atrocities. The Declaration itself goes far beyond any mere attempt to reassert all individuals’ possession of the right to life as a fundamental and inalienable human right. The UDHR consists of a Preamble and 30 articles which separately identify such things as the right not to be tortured (article 5), a right to asylum (article 14), a right to own property (article 17), and a right to an adequate standard of living (article 25) as being fundamental human rights. As I noted earlier, the UDHR has been further supplemented by such documents as the European Convention for the Protection of Human Rights and Fundamental Freedoms (1953) and the International Covenant on Economic, Social and Cultural Rights (1966). The specific aspirations contained within these three documents have themselves been reinforced by innumerable other Declarations and Conventions. Taken together these various Declarations, conventions and covenants comprise the contemporary human rights doctrine and embody both the belief in the existence of a universally valid moral order and a belief in all human beings’ possession of fundamental and equal moral status, enshrined within the concept of human rights. It is important to note, however, that the contemporary doctrine of human rights, whilst deeply indebted to the concept of natural rights, is not a mere expression of that concept but actually goes beyond it in some highly significant respects. James Nickel ( 1987: 8-10) identifies three specific ways in which the contemporary concept of human rights differs from, and goes beyond that of natural rights. First, he argues that contemporary human rights are far more concerned to view the realization of equality as requiring positive action by the state, via the provision of welfare assistance, for example. Advocates of natural rights, he argues, were far more inclined to view equality in formalistic terms, as principally requiring the state to refrain from ‘interfering’ in individuals’ lives. Second, he argues that, whereas advocates of natural rights tended to conceive of human beings as mere individuals, veritable ‘islands unto themselves’, advocates of contemporary human rights are far more willing to recognize the importance of family and community in individuals’ lives. Third, Nickel views contemporary human rights as being far more ‘internationalist’ in scope and orientation than was typically found within arguments in support of natural rights. That is to say, the protection and promotion of human rights are increasingly seen as requiring international action and concern. The distinction drawn by Nickel between contemporary human rights and natural rights allows one to discern the development of the concept of human rights. Indeed, many writers on human rights agree in the identification of three generations of human rights. First generation rights consist primarily of rights to security, property, and political participation. These are most typically associated with the French and US Declarations. Second generation rights are construed as socio-economic rights, rights to welfare, education, and leisure, for example. These rights largely originate within the UDHR. The final and third generation of rights are associated with such rights as a right to national self-determination, a clean environment, and the rights of indigenous minorities. This generation of rights really only takes hold during the last two decades of the 20th. Century but represents a significant development within the doctrine of human rights generally.

While the full significance of human rights may only be finally dawning on some people, the concept itself has a history spanning over two thousand years. The development of the concept of human rights is punctuated by the emergence and assimilation of various philosophical and moral ideals and appears to culminate, at least to our eyes, in the establishment of a highly complex set of legal and political documents and institutions, whose express purpose is the protection and promotion of the fundamental rights of all human beings everywhere. Few should underestimate the importance of this particular current of human history.

3. Philosophical Analysis of the Concept of Human Rights

Human rights are rights that attach to human beings and function as moral guarantees in support of our claims towards the enjoyment of a minimally good life. In conceptual terms, human rights are themselves derivative of the concept of a right. This section focuses upon the philosophical analysis of the concept of a ‘right’ in order to clearly demonstrate the various constituent parts of the concept from which human rights emerges. In order to gain a full understanding of both the philosophical foundations of the doctrine of human rights and the different ways in which separate human rights function, a detailed analysis is required.

a. Moral vs. Legal Rights

The distinction drawn between moral rights and legal rights as two separate categories of rights is of fundamental importance to understanding the basis and potential application of human rights. Legal rights refer to all those rights found within existing legal codes. A legal right is a right that enjoys the recognition and protection of the law. Questions as to its existence can be resolved by simply locating the relevant legal instrument or piece of legislation. A legal right cannot be said to exist prior to its passing into law and the limits of its validity are set by the jurisdiction of the body which passed the relevant legislation. An example of a legal right would be my daughter’s legal right to receive an adequate education, as enshrined within the United Kingdom’s Education Act (1944). Suffice it to say, that the exercise of this right is limited to the United Kingdom. My daughter has no legal right to receive an adequate education from a school board in Southern California. Legal positivists argue that the only rights that can be said to legitimately exist are legal rights, rights that originate within a legal system. On this view, moral rights are not rights in the strict sense, but are better thought of as moral claims, which may or may not eventually be assimilated within national or international law. For a legal positivist, such as the 19th. Century legal philosopher Jeremy Bentham, there can be no such thing as human rights existing prior to, or independently from legal codification. For a positivist determining the existence of rights is no more complicated than locating the relevant legal statute or precedent. In stark contrast, moral rights are rights that, it is claimed, exist prior to and independently from their legal counterparts. The existence and validity of a moral right is not deemed to be dependent upon the actions of jurists and legislators. Many people argued, for example, that the black majority in apartheid South Africa possessed a moral right to full political participation in that country’s political system, even though there existed no such legal right. What is interesting is that many people framed their opposition to apartheid in rights terms. What many found so morally repugnant about apartheid South Africa was precisely its denial of numerous fundamental moral rights, including the rights not to be discriminated against on grounds of colour and rights to political participation, to the majority of that country’s inhabitants. This particular line of opposition and protest could only be pursued because of a belief in the existence and validity of moral rights. A belief that fundamental rights which may or may not have received legal recognition elsewhere, remained utterly valid and morally compelling even, and perhaps especially, in those countries whose legal systems had not recognized these rights. A rights-based opposition to apartheid South Africa could not have been initiated and maintained by appeal to legal rights, for obvious reasons. No one could legitimately argue that the legal political rights of non-white South Africans were being violated under apartheid, since no such legal rights existed. The systematic denial of such rights did, however, constitute a gross violation of those peoples’ fundamental moral rights.

From the above example it should be clear that human rights cannot be reduced to, or exclusively identified with legal rights. The legal positivist’s account of justified law excludes the possibility of condemning such systems as apartheid from a rights perspective. It might, therefore, appear tempting to draw the conclusion that human rights are best identified as moral rights. After all, the existence of the UDHR and various International Covenants, to which South Africa was not a signatory in most cases, provided opponents of apartheid with a powerful moral argument. Apartheid was founded upon the denial of fundamental human rights. Human rights certainly share an essential quality of moral rights, namely, that their valid existence is not deemed to be conditional upon their being legally recognized. Human rights are meant to apply to all human beings everywhere, regardless of whether they have received legal recognition by all countries everywhere. Clearly, there remain numerous countries that wholly or partially exclude formal legal recognition to fundamental human rights. Supporters of human rights in these countries insist that the rights remain valid regardless, as fundamental moral rights. The universality of human rights positively entails such claims. The universality of human rights as moral rights clearly lends greater moral force to human rights. However, for their part, legal rights are not subject to disputes as to their existence and validity in quite the way moral rights are. It would be a mistake to exclusively identify human rights with moral rights. Human rights are better thought of as both moral rights and legal rights. Human rights originate as moral rights and their legitimacy is necessarily dependent upon the legitimacy of the concept of moral rights. A principal aim of advocates of human rights is for these rights to receive universal legal recognition. This was, after all, a fundamental goal of the opponents of apartheid. Human rights are best thought of, therefore, as being both moral and legal rights. The legitimacy claims of human rights are tied to their status as moral rights. The practical efficacy of human rights is, however, largely dependent upon their developing into legal rights. In those cases where specific human rights do not enjoy legal recognition, such as in the example of apartheid above, moral rights must be prioritised with the intention that defending the moral claims of such rights as a necessary prerequisite for the eventual legal recognition of the rights in question.

b. Claim Rights & Liberty Rights

To gain an understanding of the functional properties of human rights it is necessary to consider the more specific distinction drawn between claim rights and liberty rights. It should be noted that it is something of a convention to begin such discussions by reference to W.N. Hohfeld’s (1919) more extended classification of rights. Hohfeld identified four categories of rights: liberty rights, claim rights, power rights, and immunity rights. However, numerous scholars have subsequently tended to collapse the last two within the first two and hence to restrict attention to liberty rights and claim rights. The political philosopher Peter Jones (1994) provides one such example.

Jones restricts his focus to the distinction between claim rights and liberty rights. He conforms to a well-established trend in rights’ analysis in viewing the former as being of primary importance. Jones defines a claim right as consisting of being owed a duty. A claim right is a right one holds against another person or persons who owe a corresponding duty to the right holder. To return to the example of my daughter. Her right to receive an adequate education is a claim right held against the local education authority, which has a corresponding duty to provide her with the object of the right. Jones identifies further necessary distinctions within the concept of a claim right when he distinguishes between a positive claim right and a negative claim right. The former are rights one holds to some specific good or service, which some other has a duty to provide. My daughter’s claim right to education is therefore a positive claim right. Negative claim rights, in contrast, are rights one holds against others’ interfering in or trespassing upon one’s life or property in some way. My daughter could be said to possess a negative claim right against others attempting to steal her mobile phone, for example. Indeed, such examples lead on to the final distinction Jones identifies within the concept of claim rights: rights held ‘in personam’ and rights held ‘in rem’. Rights held in personam are rights one holds against some specifically identified duty holder, such as the education authority. In contrast, rights held in rem are rights held against no one in particular, but apply to everyone. Thus, my daughter’s right to an education would be practically useless were it not held against some identifiable, relevant, and competent body. Equally, her right against her mobile phone being stolen from her would be highly limited if it did not apply to all those capable of potentially performing such an act. Claim rights, then, can be of either a positive or a negative character and they can be held either in personam or in rem.

Jones defines liberty rights as rights which exist in the absence of any duties not to perform some desired activity and thus consist of those actions one is not prohibited from performing. In contrast to claim rights, liberty rights are primarily negative in character. For example, I may be said to possess a liberty right to spend my vacations lying on a particularly beautiful beach in Greece. Unfortunately, no one has a duty to positively provide for this particular exercise of my liberty right. There is no authority or body, equivalent to an education authority, for example, who has a responsibility to realize my dream for me. A liberty right can be said, then, to be a right to do as one pleases precisely because one is not under an obligation, grounded in others’ claim rights, to refrain from so acting. Liberty rights provide for the capacity to be free, without actually providing the specific means by which one may pursue the objects of one’s will. For example, a multi-millionaire and a penniless vagrant both possess an equal liberty right to holiday in the Caribbean each year.

c. Substantive Categories of Human Rights

The above section was concerned to analyse what might be termed the ‘formal properties’ of rights. This section, in contrast, proceeds to consider the different categories of substantive human rights. If one delves into all of the various documents that together form the codified body of human rights, one can identify and distinguish between five different categories of substantive human rights. These are as follows: rights to life; rights to freedom; rights to political participation; rights to the protection of the rule of law; rights to fundamental social, economic, and cultural goods. These rights span the so-called three generations of rights and involve a complex combination of both liberty and claim rights. Some rights, such as for example the right to life, consist of both liberty and claim rights in roughly equal measure. Thus, the adequate protection of the right to life requires the existence of liberty rights against others trespassing against one’s person and the existence of claim rights to have access to basic prerequisites to sustaining one’s life, such as an adequate diet and health-care. Other rights, such as social, economic, and cultural rights, for example, are weighted more heavily towards the existence of various claim rights, which requires the positive provision of the objects of such rights. The making of substantive distinctions between human rights can have controversial, but important, consequences. Human rights are typically understood to be of equal value, each right is conceived of as equally important as every other. On this view, there can exist no potential for conflict between fundamental human rights. One is simply meant to attach equal moral weight to each and every human right. This prohibits arranging human rights in order of importance. However, conflict between rights can and does occur. Treating all human rights as of equal importance prohibits any attempts to address or resolve such conflict when it arises. Take the example of a hypothetical developing world country with severely limited financial and material resources. This country is incapable of providing the resources for realising all of the human rights for all of its citizens, though it is committed to doing so. In the meantime, government officials wish to know which human rights are more absolute than others, which fundamental human rights should it immediately prioritise and seek to provide for? This question, of course, cannot be answered if one sticks to the position that all rights are of equal importance. It can only be addressed if one allows for the possibility that some human rights are more fundamental than others and that the morally correct action for the government to take would be to prioritise these rights. A refusal to do so, no matter how consistent it may be philosophically would be tantamount to dogmatically sticking one’s head in the metaphorical sands. Attempting to make such distinctions is, of course, a philosophically fraught exercise. It clearly requires the existence of some more ultimate criteria against which one can ‘measure’ the relative importance of separate human rights. This is a highly controversial issue within the philosophy of human rights and one which I shall return to when I consider how philosophers attempt to justify the doctrine of human rights. What remains to be addressed in our analysis of the concept of a human right are the questions of what adequately implementing human rights generally requires, and upon whom does this task fall; who has responsibility for protecting and promoting human rights and what is required of them to do so?

d. Scope of Human Rights Duties

Human rights are said to be possessed equally, by everyone. A conventional corollary of this claim is that everyone has a duty to protect and promote the human rights of everyone else. However, in practice, the onus for securing human rights typically falls upon national governments and international, inter-governmental bodies. Philosophers such as Thomas Pogge (1995) argue that the moral burden for securing human rights should fall disproportionately upon such institutions precisely because they are best placed and most able to effectively perform the task. On this reading, non-governmental organizations and private citizens have an important role to play in supporting the global protection of human rights, but the onus must fall upon the relevant national and international institutions, such as the governments of nation-states and such bodies as the United Nations and the World Bank. One might wish to argue that, for example, human rights can be adequately secured by the existence of reciprocal duties held between individuals across the globe. However, ‘privatizing’ human rights in this fashion would ignore two particularly salient factors: individuals have a tendency to prioritise the moral demands of those closest to them, particularly members of their own family or immediate community; individuals’ ability to exercise their duties is, to a large extent, determined by their own personal financial circumstances. Thus, global inequalities in the distribution of wealth fundamentally undermine the ability of those in the poorer countries to reciprocate assistance provided them by those living in wealthier countries. Reasons such as these underlie Pogge’s insistence that the onus of responsibility lies at the level of national and international institutions. Adequately protecting and promoting human rights requires both nation-states ensuring the adequate provision of services and institutions for their own citizens and the co-operation of nation-states within international institutions acting to secure the requisite global conditions for the protection and promotion of everyone’s human rights.

What must such bodies actively do to adequately secure individuals’ human rights? Does my daughter’s human right to receive an adequate education require the education authority to do everything possible to assist and enhance my child’s education? Does it require the provision of a world-class library, frequent study trips abroad, and employing the most able and best-qualified teachers? The answer is, of course, no. Given the relative scarcity of resources and the demands placed upon those resources, we are inclined to say that adequately securing individuals’ human rights extends to the establishment of decent social and governmental practice so as to ensure that all individuals have the opportunity of leading a minimally good life. In the first instance, national governments are typically held to be primarily responsible for the adequate provision of their own citizens’ human rights. Philosophers such as Brian Orend (2002) endorse this aspiration when he writes that the object of human rights is to secure ‘minimal levels of decent and respectful treatment.’ It is important to note, however, that the duty ensure the provision of even minimal levels of decent and respectful treatment cannot be strictly limited by national boundaries. The adequate protection and promotion of everyone’s human rights does require, for example, the more affluent and powerful nation-states providing sufficient assistance to those countries currently incapable of adequately ensuring the protection of their own citizens’ basic human rights. While some may consider Orend’s aspirations for human rights to be unduly cautious, even the briefest survey of the extent of human suffering and deprivation in many parts of the world today is sufficient to demonstrate just how far we are from realizing even this fairly minimal standard.

National and international institutions bear the primary responsibility of securing human rights and the test for successfully fulfilling this responsibility is the creation of opportunities for all individuals to lead a minimally good life. The realization of human rights requires establishing the conditions for all human beings to lead minimally good lives and thus should not be confused as an attempt to create a morally perfect society. The impression that many have of human rights as being unduly utopian testifies less to the inherent demands of human rights and more to the extent to which even fairly modest aspirations are so far from being realized in the world today. The actual aspirations of human rights are, on the face of it, quite modest. However, this should not distract from a full appreciation of the possible force of human rights. Human rights call for the creation of politically democratic societies in which all citizens have the means of leading a minimally good life. While the object of individual human rights may be modest, the force of that right is intended to be near absolute. That is to say, the demands of rights are meant to take precedence over other possible social goals. Ronald Dworkin has coined the term ‘rights as trumps’ to describe this property. He writes that, ‘rights are best understood as trumps over some background justification for political decisions that states a goal for the community as a whole.’ (1977:153) In general, Dworkin argues, considerations of rights claims must take priority over alternative considerations when formulating public policy and distributing public benefits. Thus, for example, a minority’s possession of rights against discriminatory treatment should trump any and all considerations of the possible benefits that the majority would derive from discriminating against the minority group. Similarly, an individual’s right to an adequate diet should trump other individuals’ desires to eat lavish meals, despite the aggregate gain in pleasure these individuals would derive. For Dworkin, rights as trumps expresses the fundamental ideal of equality upon which the contemporary doctrine of human rights rests. Treating rights as trumps is a means for ensuring that all individuals are treated in an equal and like fashion in respect of the provision of fundamental human rights. Fully realizing the aspirations of human rights may not require the provision of ‘state of the art’ resources, but this should not detract from the force of human rights as taking priority over alternative social and political considerations.

4. Philosophical Justifications of Human Rights

We have established that human rights originate as moral rights but that the successful passage of many human rights into international and national law enables one to think of human rights as, in many cases, both moral rights and legal rights. Furthermore, human rights may be either claim rights or liberty rights, and have a negative or a positive complexion in respect of the obligations imposed by others in securing the right. Human rights may be divided into five different categories and the principal object of securing human rights is the creation of the conditions for all individuals to have the opportunity to lead a minimally good life. Finally, human rights are widely considered to trump other social and political considerations in the allocation of public resources. Broadly speaking, philosophers generally agree on such issues as the formal properties of human rights, the object of human rights, and the force of human rights. However, there is much less agreement upon the fundamental question on how human rights may be philosophically justified. It would be fair to say that philosophers have provided many different, at times even conflicting, answers to this question. Philosophers have sought to justify human rights by appeal to single ideals such as equality, autonomy, human dignity, fundamental human interests, the capacity for rational agency, and even democracy. For the purposes of clarity and relative simplicity I will focus upon the two, presently most prominent, philosophical attempts to justify human rights: interests theory and will theory. Before I do that, it is necessary to address a prior question.

a. Do Human Rights Require Philosophical Justification?

Many people tend to take the validity of human rights for granted. Certainly, for many non-philosophers human rights may all too obviously appear to rest upon self-evidently true and universally valid moral principles. In this respect, human rights may be perceived as empirical facts about the contemporary world. Human rights do exist and many people do act in accordance with the correlative duties and obligations respecting human rights entails. No supporter of human rights could possibly complain about such perceptions. If nothing else, the prevalence of such views is pragmatically valuable for the cause of human rights. However, moral philosophers do not enjoy such licence for epistemological complacency. Moral philosophers remain concerned by the question of the philosophical foundations of human rights. There is a good reason why we should all be concerned with such a question. What might be termed the ‘philosophically naïve’ view of human rights effectively construes human rights as legal rights. The validity of human rights is closely tied to, and dependent upon, the legal codification of human rights. However, as was argued earlier, such an approach is not sufficient to justify human rights. Arguments in support of the validity of any moral doctrine can never be settled by simply pointing to the empirical existence of particular moral beliefs or concepts. Morality is fundamentally concerned with what ought to be the case, and this cannot be settled by appeals to what is the case, or is perceived to be the case. From such a basis, it would have been very difficult to argue that apartheid South Africa, to take an earlier example, was a morally unjust regime. One must not confuse the law with morality, per se. Nor consider the two to be simply co-extensional. Human rights originate as moral rights. Human rights claim validity everywhere and for everyone, irrespective of whether they have received comprehensive legal recognition, and even irrespective of whether everyone is agreement with the claims and principles of human rights. Thus, one cannot settle the question of the philosophical validity of human rights by appealing to purely empirical observations upon the world. As a moral doctrine, human rights have to be demonstrated to be valid as norms and not facts. In order to achieve this, one has to turn to moral philosophy. Presently, two particular approaches to the question of the validity of human rights predominate: what might be loosely termed the ‘interests theory approach’ and the ‘will theory approach’.

b. The Interests Theory Approach

Advocates of the interests theory approach argue that the principal function of human rights is to protect and promote certain essential human interests. Securing human beings’ essential interests is the principal ground upon which human rights may be morally justified. The interests approach is thus primarily concerned to identify the social and biological prerequisites for human beings leading a minimally good life. The universality of human rights is grounded in what are considered to be some basic, indispensable, attributes for human well-being, which all of us are deemed necessarily to share. Take, for example, an interest each of us has in respect of our own personal security. This interest serves to ground our claim to the right. It may require the derivation of other rights as prerequisites to security, such as the satisfaction of basic nutritional needs and the need to be free from arbitrary detention or arrest, for example. The philosopher John Finnis provides a good representative of the interests theory approach. Finnis (1980) argues that human rights are justifiable on the grounds of their instrumental value for securing the necessary conditions of human well-being. He identifies seven fundamental interests, or what he terms ‘basic forms of human good’, as providing the basis for human rights. These are: life and its capacity for development; the acquisition of knowledge, as an end in itself; play, as the capacity for recreation; aesthetic expression; sociability and friendship; practical reasonableness, the capacity for intelligent and reasonable thought processes; and finally, religion, or the capacity for spiritual experience. According to Finnis, these are the essential prerequisites for human well-being and, as such, serve to justify our claims to the corresponding rights, whether they be of the claim right or liberty right variety.

Other philosophers who have defended human rights from an interests-based approach have addressed the question of how an appeal to interests can provide a justification for respecting and, when necessary, even positively acting to promote the interests of others. Such questions have a long heritage in western moral and political philosophy and extend at least as far back as the 17th. Century philosopher Thomas Hobbes. Typically, this approach attempts to provide what James Nickel (1987:84) has termed ‘prudential reasons’ in support of human rights. Taking as the starting point the claim that all human beings possess basic and fundamental interests, advocates of this approach argue that each individual owes a basic and general duty to respect the rights of every other individual. The basis for this duty is not mere benevolence or altruism, but individual self-interest. As Nickel writes, ‘a prudential argument from fundamental interests attempts to show that it would be reasonable to accept and comply with human rights, in circumstances where most others are likely to do so, because these norms are part of the best means for protecting one’s fundamental interests against actions and omissions that endanger them.’ (ibid). Protecting one’s own fundamental interests requires others’ willingness to recognize and respect these interests, which, in turn, requires reciprocal recognition and respect of the fundamental interests of others. The adequate protection of each individual’s fundamental interests necessitates the establishment of a co-operative system, the fundamental aim of which is not to promote the common good, but the protection and promotion of individuals’ self-interest.

For many philosophers the interests approach provides a philosophically powerful defence of the doctrine of human rights. It has the apparent advantage of appealing to human commonality, to those attributes we all share, and, in so doing, offers a relatively broad-based defence of the plethora of human rights considered by many to be fundamental and inalienable. The interests approach also provides for the possibility of resolving some of the potential disputes which can arise over the need to prioritise some human rights over others. One may do this, for example, by hierarchically ordering the corresponding interests identified as the specific object, or content, of each right.

However, the interests approach is subject to some significant criticisms. Foremost amongst these is the necessary appeal interests’ theorists make to some account of human nature. The interests-approach is clearly operating with, at the very least, an implicit account of human nature. Appeals to human nature have, of course, proven to be highly controversial and typically resist achieving the degree of consensus required for establishing the legitimacy of any moral doctrine founded upon an account of human nature. For example, combining the appeal to fundamental interests with the aspiration of securing the conditions for each individual leading a minimally good life would be complicated by social and cultural diversity. Clearly, as the economic philosopher Amartya Sen (1999) has argued, the minimal conditions for a decent life are socially and culturally relative. Providing the conditions for leading a minimally good life for the residents of Greenwich Village would be significantly different to securing the same conditions for the residents of a shanty town in Southern Africa or South America. While the interests themselves may be ultimately identical, adequately protecting these interests will have to go beyond the mere specification of some purportedly general prerequisites for satisfying individuals’ fundamental interests. Other criticisms of the interests approach have focused upon the appeal to self-interest as providing a coherent basis for fully respecting the rights of all human beings. This approach is based upon the assumption that individuals occupy a condition of relatively equal vulnerability to one another. However, this is simply not the case. The model cannot adequately defend the claim that a self-interested agent must respect the interests of, for example, much less powerful or geographically distant individuals, if she wishes to secure her own interests. On these terms, why should a purely self-interested and over-weight individual in, say, Los Angeles or London, care for the interests of a starving individual in some distant and impoverished continent? In this instance, the starving person is not in a position to affect their overweight counterpart’s fundamental interests. The appeal to pure self-interest ultimately cannot provide a basis for securing the universal moral community at the heart of the doctrine of human rights. It cannot justify the claims of universal human rights. An even more philosophically oriented vein of criticism focuses upon the interests’ based approach alleged neglect of constructive human agency as a fundamental component of morality generally. Put simply, the interests-based approach tends to construe our fundamental interests as pre-determinants of human moral agency. This can have the effect of subordinating the importance of the exercise of freedom as a principal moral ideal. One might seek to include freedom as a basic human interest, but freedom is not constitutive of our interests on this account. This particular concern lies at the heart of the so-called ‘will approach’ to human rights.

c. The Will Theory Approach

In contrast to the interests approach, the will theory attempts to establish the philosophical validity of human rights upon a single human attribute: the capacity for freedom. Will theorists argue that what is distinctive about human agency is the capacity for freedom and that this ought to constitute the core of any account of rights. Ultimately, then, will theorists view human rights as originating in, or reducible to, a single, constitutive right, or alternatively, a highly limited set of purportedly fundamental attributes. H.L.A. Hart, for example, inferentially argues that all rights are reducible to a single, fundamental right. He refers to this as ‘equal right of all men to be free.’ (1955:77). Hart insists that rights to such things as political participation or to an adequate diet, for example, are ultimately reducible to, and derivative of, individuals’ equal right to liberty. Henry Shue (1996) develops upon Hart’s inferential argument and argues that liberty alone is not ultimately sufficient for grounding all of the rights posited by Hart. Shue argues that many of these rights imply more than mere individual liberty and extend to include security from violence and the necessary material conditions for personal survival. Thus, he grounds rights upon liberty, security, and subsistence. The moral philosopher Alan Gewirth (1978, 1982) has further developed upon such themes. Gewirth argues that the justification of our claims to the possession of basic human rights is grounded in what he presents as the distinguishing characteristic of human beings generally: the capacity for rationally purposive agency. Gewirth states that the recognition of the validity of human rights is a logical corollary of recognizing oneself as a rationally purposive agent since the possession of rights are the necessary means for rationally purposive action. Gewirth grounds his argument in the claim that all human action is rationally purposive. Every human action is done for some reason, irrespective of whether it be a good or a bad reason. He argues that in rationally endorsing some end, say the desire to write a book, one must logically endorse the means to that end; as a bare minimum one’s own literacy. He then asks what is required to be a rationally purposive agent in the first place? He answers that freedom and well-being are the two necessary conditions for rationally purposive action. Freedom and well-being are the necessary means to acting in a rationally purposive fashion. They are essential prerequisites for being human, where to be human is to possess the capacity for rationally purposive action. As essential prerequisites, each individual is entitled to have access to them. However, Gewirth argues that each individual cannot simply will their own enjoyment of these prerequisites for rational agency without due concern for others. He bases the necessary concern for others’ human rights upon what he terms the ‘principle of generic consistency’ (PGC). Gewirth argues that each individual’s claim to the basic means for rationally purposive action is based upon an appeal to a general, rather than, specific attribute of all relevant agents. I cannot logically will my own claims to basic human rights without simultaneously accepting the equal claims of all rationally purposive agents to the same basic attributes. Gewirth has argued that there exists an absolute right to life possessed separately and equally by all of us. In so claiming, Gewirth echoes Dworkin’s concept of rights as trumps, but ultimately goes further than Dworkin is prepared to do by arguing that the right to life is absolute and cannot, therefore, be overridden under any circumstances. He states that a ‘right is absolute when it cannot be overridden in any circumstances, so that it can never be justifiably infringed and it must be fulfilled without any exceptions.’ (1982:92). Will theorists then attempt to establish the validity of human rights upon the ideal of personal autonomy: rights are a manifestation of the exercise of personal autonomy. In so doing, the validity of human rights is necessarily tied to the validity of personal autonomy. On the face of it, this would appear to be a very powerful, philosophical position. After all, as someone like Gewirth might argue, critics of this position would themselves necessarily be acting autonomously and they cannot do this without simultaneously requiring the existence of the very means for such action: even in criticizing human rights one is logically pre-supposing the existence of such rights.

Despite the apparent logical force of the will approach, it has been subjected to various forms of criticism. A particularly important form of criticism focuses upon the implications of will theory for so-called ‘marginal cases’; human beings who are temporarily or permanently incapable of acting in a rationally autonomous fashion. This would include individuals who have diagnosed from suffering from dementia, schizophrenia, clinical depression, and, also, individuals who remain in a comatose condition, from which they may never recover. If the constitutive condition for the possession of human rights is said to be the capacity for acting in a rationally purposive manner, for example, then it seems to logically follow, that individuals incapable of satisfying this criteria have no legitimate claim to human rights. Many would find this conclusion morally disturbing. However, a strict adherence to the will approach is entailed by it. Some human beings are temporarily or permanently lacking the criteria Gewirth, for instance, cites as the basis for our claims to human rights. It is difficult to see how they could be assimilated within the community of the bearers of human rights on the terms of Gewirth’s argument. Despite this, the general tendency is towards extending human rights considerations towards many of the so-called ‘marginal cases’. To do otherwise would appear to many to be intuitively wrong, if not ultimately defensible by appeal to practical reason. This may reveal the extent to which many peoples’ support of human rights includes an ineluctable element of sympathy, taking the form of a general emotional concern for others. Thus, strictly applying the will theorists’ criteria for membership of the community of human rights bearers would appear to result in the exclusion of some categories of human beings who are presently recognized as legitimate bearers of human rights.

The interests theory approach and the will theory approach contain strengths and weaknesses. When consistently and separately applied to the doctrine of human rights, each approach appears to yield conclusions that may limit or undermine the full force of those rights. It may be that philosophical supporters of human rights need to begin to consider the potential philosophical benefits attainable through combining various themes and elements found within these (and other) philosophical approaches to justifying human rights. Thus, further attempts at justifying the basis and content of human rights may benefit from pursuing a more thematically pluralist approach than has typically been the case to date.

5. Philosophical Criticisms of Human Rights

The doctrine of human rights has been subjected to various forms of fundamental, philosophical criticism. These challenges to the philosophical validity of human rights as a moral doctrine differ from critical appraisals of the various philosophical theories supportive of the doctrine for the simple reason that they aim to demonstrate what they perceive to the philosophical fallacies upon which human rights are founded. Two such forms of critical analysis bear particular attention: one which challenges the universalist claims of human rights, and another which challenges the presumed objective character of human rights principles.

a. Moral Relativism

Philosophical supporters of human rights are necessarily committed to a form of moral universalism. As moral principles and as a moral doctrine, human rights are considered to be universally valid. However, moral universalism has long been subject to criticism by so-called moral relativists. Moral relativists argue that universally valid moral truths do not exist. For moral relativists, there is simply no such thing as a universally valid moral doctrine. Relativists view morality as a social and historical phenomenon. Moral beliefs and principles are therefore thought of as socially and historically contingent, valid only for those cultures and societies in which they originate and within which they are widely approved. Relativists point to the vast array of diverse moral beliefs and practices apparent in the world today as empirical support for their position. Even within a single, contemporary society, such as the United States or Great Britain, one can find a wide diversity of fundamental moral beliefs, principles, and practices. Contemporary, complex societies are thus increasingly considered to be pluralist and multicultural in character. For many philosophers the multicultural character of such societies serves to fundamentally restrict the substance and scope of the regulative political principles governing those societies. In respect of human rights, relativists have tended to focus upon such issues as the presumed individualist character of the doctrine of human rights. It has been argued by numerous relativists that human rights are unduly biased towards morally individualist societies and cultures, at the necessary expense of the communal moral complexion of many Asian and African societies. At best, some human rights’ articles may be considered to be redundant within such societies, at worse they may appear to be positively harmful if fully implemented, replacing the fundamental values of one civilization with those of another and thereby perpetuating a form of cultural and moral imperialism.

The philosophical debate between universalists and relativists is far too complex to adequately summarise here. However, certain immediate responses to the relativist critique of human rights are immediately available. First, merely pointing to moral diversity and the presumed integrity of individual cultures and societies does not, by itself, provide a philosophical justification for relativism, nor a sufficient critique of universalism. After all, there have existed and continue to exist many cultures and societies whose treatment of their own people leaves much to be desired. Is the relativist genuinely asking us to recognize and respect the integrity of Nazi Germany, or any other similarly repressive regime? There can be little doubt that, as it stands, relativism is incompatible with human rights. On the face of it, this would appear to lend argumentative weight to the universalist support of human rights. After all, one may speculate as to the willingness of any relativist to actually forego their possession of human rights if and when the social surroundings demanded it. Similarly, relativist arguments are typically presented by members of the political elites within those countries whose systematic oppression of their peoples has attracted the attention of advocates of human rights. The exponential growth of grass-roots human rights organizations across many countries in the world whose cultures are alleged to be incompatible with the implementation of human rights, raises serious questions as to the validity and integrity of such ‘indigenous’ relativists. At its worst, the doctrine of moral relativism may be being deployed in an attempt to illegitimately justify oppressive political systems. The concern over the presumed incompatibility between human rights and communal moral systems appears to be a more valid issue. Human rights have undeniably conceived of the principal bearer of human rights as the individual person. This is due, in large part, to the Western origins of human rights. However, it would be equally fair to say that the so-called ‘third generation’ of human rights is far more attuned to the communal and collective basis of many individuals’ lives. In keeping with the work of political philosophers such as Will Kymlicka, there is increasing awareness of the need to tailor human rights principles to such things as the collective rights of minorities and, for example, these minorities’ claims to such things as communal land rights. While human rights remain philosophically grounded within an individualist moral doctrine, there can be no doubt that attempts are being made to adequately apply and human rights to more communally oriented societies. Human rights can no longer be accused of being ‘culture-blind’.

b. Epistemological Criticisms of Human Rights

The second most important contemporary philosophical form of human rights’ criticism challenges the presumed objective basis of human rights as moral rights. This form of criticism may be thought of as a river into which run many philosophical tributaries. The essence of these attempts to refute human rights consists in the claim that moral principles and concepts are inherently subjective in character. On this view moral beliefs do not emanate from a correct determination of a rationally purposive will, or even gaining insight into the will of some divine being. Rather, moral beliefs are fundamentally expressions of individuals’ partial preferences. This position therefore rejects the principal ground upon which the concept of moral rights rests: that there exist rational and a priori moral principles upon which a correct and legitimate moral doctrine is to be founded. In modern, as opposed to ancient, philosophy this argument is most closely associated with the 18th. Century Scottish philosopher David Hume. More recently versions of it have been defended by the likes of C.L.Stevenson, Ludwig Wittgenstein, J.L.Mackie, and Richard Rorty. Indeed, Rorty (1993) has argued that human rights are based not upon the exercise of reason, but a sentimental vision of humanity. He insists that human rights are not rationally defensible. He argues that one cannot justify the basis of human rights by appeal to moral theory and the canons of reason since, he insists, moral beliefs and practices are not ultimately motivated by an appeal to reason or moral theory, but emanate from a sympathetic identification with others: morality originates in the heart, and not in the head. Interestingly, though unambiguously sceptical about the philosophical basis of human rights, Rorty views the existence of human rights as a ‘good and desirable thing’, something whose existence we all benefit from. His critique of human rights is this not motivated by an underlying hostility to the doctrine. For Rorty, human rights are better served by emotional appeals to identify with the unnecessary suffering of others, than by arguments over the correct determination of reason.

Rorty’s emphasis upon the importance of an emotional identification with others is a legitimate concern. It may, for example, provide additional support for the philosophical arguments presented by the likes of Gewirth. However, as Michael Freeman has recently pointed out, ‘Rorty’s argument…confuses motivation and justification. Sympathy is an emotion. Whether the action we take on the basis of our emotions is justified depends on the reasons for the action. Rorty wishes to eliminate unprovable metaphysical theories from philosophy, but in his critique of human-rights theory he goes too far, and eliminates reasoning.’ (2002:56) Rorty’s own account of the basis and scope of moral knowledge ultimately prohibits him from claiming that human rights is a morally desirable phenomenon, since he explicitly rules out the validity of appealing to the independently verifiable criteria required to uphold any such judgement. What we require from Rorty is an independent reason for accepting his conclusion. It is precisely this that he denies may be legitimately provided by moral philosophy.

Rorty aside, the general critique of moral objectivity has a long and very well-established heritage in modern moral philosophy. It would be false to claim that either the objectivists or the subjectivists have scored any ultimate ‘knock-down’ over their philosophical opponents. Human rights are founded upon the claim to moral objectivity, whether by appeal to interests or the will. Any critique of moral objectivism is bound, therefore, to have repercussions for the philosophical defence of human rights. As I noted above, philosophers such as Alan Gewirth and John Finnis, in their separate and different ways, have attempted to establish the rational and objective force of human rights. The reader interested in pursuing this particular theme further is therefore recommended to pursue a close philosophical analysis of either, or both, of these two philosophers.

6. Conclusion

Human rights have a long historical heritage. The principal philosophical foundation of human rights is a belief in the existence of a form of justice valid for all peoples, everywhere. In this form, the contemporary doctrine of human rights has come to occupy centre stage in geo-political affairs. The language of human rights is understood and utilized by many peoples in very diverse circumstances. Human rights have become indispensable to the contemporary understanding of how human beings should be treated, by one another and by national and international political bodies. Human rights are best thought of as potential moral guarantees for each human being to lead a minimally good life. The extent to which this aspiration has not been realized represents a gross failure by the contemporary world to institute a morally compelling order based upon human rights. The philosophical basis of human rights has been subjected to consistent criticism. While some aspects of the ensuing debate between philosophical supporters and opponents of human rights remain unresolved and, perhaps, irresolvable, the general case for human rights remains a morally powerful one. Arguably, the most compelling motivation for the existence of human may rest upon the exercise of imagination. Try imagining a world without human rights!

7. References and Further Reading

  • Dworkin, Ronald. Taking Rights Seriously, (London: Duckworth, 1978)
  • Freeman, Michael. Human Rights: An Interdisciplinary Approach, (Cambridge: Polity, 2002)
  • Finnis, John. Natural Law and Natural Rights, (Oxford; Clarendon Press, 1980)
  • Gewirth, Alan. Reason and Morality, (Chicago: Chicago University Press, 1978)
  • Gewirth, Alan. Human Rights: Essays on Justification and Applications, (Chicago; University of Chicago Press, 1982)
  • Jones, Peter. Rights, (Basingstoke; Macmillan, 1994)
  • Mackie, J.L. Ethics: Inventing Right and Wrong, (Harmondsworth; Penguin, 1977)
  • Nickel, James. Making Sense of Human Rights: Philosophical Reflections on the Universal Declaration of Human Rights, (Berkeley; University of California Press, 1987)
  • Rorty, Richard. “Human rights, rationality, and sentimentality”. In S.Shute & S. Hurley (eds.) On Human Rights: the Oxford Amnesty Lectures 1993, (New York; Basic Books, 1993)
  • Waldron, Jeremy. Theories of Rights, (Oxford; Oxford University Press, 1984) Chapters by Ronald Dworkin, Alan Gewirth, and H.L.A.Hart

Author Information

Andrew Fagan
Email: fagaaw@essex.ac.uk
University of Essex
United Kingdom

St. Louis Hegelians

The common name given to a group of amateur philosophers founded and led by William Torrey Harris (1835-1909) and Henry Conrad Brokmeyer (1828-1906). Harris, a New Englander born in Connecticut and educated at Yale, first became acquainted with idealism through the Transcendentalists, mainly from his attendance in 1857 at the Orphic Seer’s Conversations of Amos Bronson Alcott (1799-1888). The experience inspired Harris to leave Yale before obtaining a degree, and set off west to St. Louis to seek his vocation. Initially he took a position teaching shorthand in the St. Louis Public Schools, but he quickly advanced through the system, eventually becoming Superintendent of Schools, a position he held from 1867 to 1880. Brokmeyer was a Prussian immigrant who arrived in New York as a young man of sixteen. Bold and restless in temperament, he made his way westward, acquiring a small fortune by running a shoe factory in Mississippi. Desiring to further his education, he abandoned his business pursuits to enter Georgetown University in Kentucky, but his quarrelsome character led to his departure for Brown University in Providence, Rhode Island, only to leave that institution as well after a heated debate with President Wayland. The venture to New England, however, did give him an exposure to Transcendentalism, which inspired him, like Harris, once again to head west–first to the back country of Warren County Missouri, where he expended his energy in a close study of German thought, particularly Hegel, and then, in 1856, to St. Louis.

It was there that Harris and Brokmeyer met in 1858 at the St. Louis Mercantile Library, where Harris was offering a public lecture. Brokmeyer convinced Harris of the significance of Hegel’s system, and its relevance to the historical trends of American society. They immediately joined forces, attracting a number of other youthful followers with intellectual ambitions, many of whom were, like Harris, teachers in the public schools. The nascent Hegelian movement was temporarily stalled when Brokmeyer went off to serve as a Colonel in the Union Army during the Civil War, but it rebounded in full force upon his return with the formation of the St. Louis Philosophical Society in 1866, and the launching of the Journal of Speculative Philosophy, the official organ of the Society, in 1867.

Brokmeyer was the acknowledged intellectual leader of the movement. He published little, but his charismatic personality, quixotic meliorism, and extraordinary skills in argument and debate, consistently employed in the application of Hegelian dialectical logic, established his status as the framer of the ideals and aims of the movement. The manuscript of his translation of Hegel’s Logic, although never published, became the theoretical text of the group, copied and distributed not only in St. Louis, but to sympathetic thinkers in other parts of the United States. Harris was, more than any other, the movement’s public voice and organizing genius. He edited the Journal, contributing many of its articles himself. He also orchestrated a number of attempts to bring about a rapprochement between the western and New England idealists, first by inviting Alcott, Harris’s former mentor, and Ralph Waldo Emerson to St. Louis, later by his participation in the formation of the Concord School of Philosophy, a summer school headed by Alcott that merged the two groups within its faculty. (Harris taught for all nine of the sessions of the Concord School’s existence, from 1879 to 1887, and his disquisitions on Hegel became the most popular of the faculty’s offerings.) But although these efforts furthered the influence of the St. Louisians, they were not, because of philosophical differences, wholly successful.

Even though Harris and Brokmeyer were first inspired to philosophical pursuits by the Transcendentalists, the thought of the St. Louis group was distinguished from the latter by its greater concentration on philosophical understanding guided by Hegelian method, without the literary and theological concerns of the New England movement, and a greater stress on social responsibility and reform. The emerging views of the various members of the group varied somewhat in details, but they shared a common conviction in the relevance of a Hegelian social philosophy, inspired mainly by Hegel’s The Philosophy of Right and The Philosophy of History, to the problems and challenges facing the American society of their day, and the importance of education as a means of effecting necessary social change. Brokmeyer insisted on the necessity that thought issue in practical action directed to the social good, and the St. Louisians took this imperative to heart. The emphasis on education is evident in the pages of their journal, which were largely dedicated to the dissemination of European idealism, either through translations of Hegel and other German writers or summations of their work. They also shared a common enthusiasm for the prospects of their home city, divining by a clever but highly questionable use of the Hegelian dialectic what they believed to be historical forces that would propel St. Louis into an era of cultural supremacy in American society.

Gradually the group dissolved during the 1870s and 1880s as the core members of the group struck out on their own to pursue separate interests and aims. Characteristically, education and moral advancement were the themes of many of these individual pursuits. Denton Snider (1841-1925), a central figure within the movement who eventually became its historian, set upon a course of freelance teaching and lecturing as well as pursuing literary ambitions. In addition to offering lectures throughout the eastern and midwestern United States, including the Concord School, he founded or played a leading role in the operation of a number of visionary educational projects, such as the Communal University in Chicago and later St. Louis, the Chicago Kindergarten College, and the Goethe School in Milwaukee. Thomas Davidson (1840-1900), another key player in the original St. Louis movement, established the Breadwinner’s College in New York City, a school devoted to the education of the working class, and later established a summer school at his home in Glenmore, New York.

The theme is echoed in the careers of the St. Louis movement’s founders, Harris and Brokmeyer, during and after the dissipation of the movement itself. During his years as Superintendent of Schools in St. Louis, Harris was a strong proponent for the advancement of public education in Missouri. After his involvement at the Concord School he was appointed the United States Commissioner of Education in 1889. Brokmeyer entered the political arena in Missouri, and played a key role in the state’s Constitutional Convention of 1875, which established a legal guarantee of education for all between the ages of six and twenty. Brokmeyer eventually served a term as Lieutenant Governor of the state, and acting Governor during 1876 and 1877, but when his political prospects turned against him, he returned to the wilderness life in numerous sojourns to the west. For a time he lived with the Creek Indians in Oklahoma. In 1896 he settled back in St. Louis, returning to a quiet life of scholarship and reflection until his death in 1906.

Despite the fact that the members of the group produced an extraordinary output of published writing, both in their journal and independently, the movement’s ideas had little lasting influence on American philosophy, due in large part to the orthodoxy of their Hegelianism, which was soon overshadowed by the emerging naturalism of American thought during the first decades of the twentieth century. The one exception was George H. Howison (1834-1916), who came under the influence of the group while teaching mathematics at Washington University in St. Louis. Howison later settled in Berkeley, California, and developed a pluralistic form of idealism that survived as the twentieth century school of thought known as Personalism. The most significant contribution of the group to American thought was their journal, which offered a much needed vehicle for the publication of the early work of some of the most prominent figures of the next generation of American philosophy, such as John Dewey, William James, Charles Sanders Peirce, and Josiah Royce. In fact, Harris’s encouragement when a young John Dewey timidly submitted his first philosophical essay for publication was crucial in the budding philosopher’s decision to continue his studies. Although the ideas of the movement had little enduring influence, the St. Louis Hegelians represent an important chapter in the history of American philosophical thought and the developing relationship between intellectual and popular culture in the nineteenth century.

Suggestions for Further Reading

  • Elizabeth Flower and Murray G. Murphy, “The Absolute Immigrates to America: The St. Louis Hegelians” in A History of Philosophy in America, vol. 2 (New York: G. P. Putnam’s Sons, 1977), pp. 463-514.
  • William H. Goetzmann, ed., The American Hegelians: An Intellectual Episode in the History of Western America (New York: Alfred A. Knopf, 1973).
  • Frances A. Harmon, The Social Philosophy of the St. Louis Hegelians (New York: Columbia University Press, 1943).
  • Henry A. Pochmann, German Culture in America, Philosophical and Literary Influences, 1600-1900 (Madison, WS: University of Wisconsin Press, 1961).
  • Denton J. Snider, The St. Louis Movement in Philosophy, Literature, Education, Psychology, with Chapters of Autobiography (St. Louis: Sigma Publishing, 1920).

Author Information

Richard Field
Email: RFIELD(at)nwmissouri.edu
Northwest Missouri State University
U. S. A.

The IEP is actively seeking an author who will write a replacement article.

Hegel: Social and Political Thought

hegelGeorg Wilhelm Friedrich Hegel (1770-1831) is one of the greatest systematic thinkers in the history of Western philosophy. In addition to epitomizing German idealist philosophy, Hegel boldly claimed that his own system of philosophy represented an historical culmination of all previous philosophical thought. Hegel’s overall encyclopedic system is divided into the science of Logic, the philosophy of Nature, and the philosophy of Spirit. Of most enduring interest are his views on history, society, and the state, which fall within the realm of Objective Spirit. Some have considered Hegel to be a nationalistic apologist for the Prussian State of the early 19th century, but his significance has been much broader, and there is no doubt that Hegel himself considered his work to be an expression of the self-consciousness of the World Spirit of his time. At the core of Hegel’s social and political thought are the concepts of freedom, reason, self-consciousness, and recognition. There are important connections between the metaphysical or speculative articulation of these ideas and their application to social and political reality, and one could say that the full meaning of these ideas can be grasped only with a comprehension of their social and historical embodiment. The work that explicates this concretizing of ideas, and which has perhaps stimulated as much controversy as interest, is the Philosophy of Right (Philosophie des Rechts), which will be a main focus of this essay.

Table of Contents

  1. Biography
  2. Political Writings
  3. The Jena Writings (1802-06)
  4. The Phenomenology of Spirit
  5. Logic and Political Theory
  6. The Philosophy of Right
    1. Abstract Right
    2. Morality
    3. Ethical Life
      1. The Family
      2. Civil Society
      3. The State
        1. Constitutional Law
        2. International Law
        3. World History
  7. Closing Remarks
  8. References and Further Reading
    1. Works by Hegel in German and in English Translation
    2. Works on Hegel’s Social and Political Philosophy

1. Biography

G.W.F. Hegel was born in Stuttgart in 1770, the son of an official in the government of the Duke of Württemberg. He was educated at the Royal Highschool in Stuttgart from 1777-88 and steeped in both the classics and the literature of the European Enlightenment. In October, 1788 Hegel began studies at a theological seminary in Tübingen, the Tüberger Stift, where he became friends with the poet Hölderlin and philosopher Friedrich Schelling, both of whom would later become famous. In 1790 Hegel received an M.A. degree, one year after the fall of the Bastille in France, an event welcomed by these young idealistic students. Shortly after graduation, Hegel took a post as tutor to a wealthy Swiss family in Berne from 1793-96. In 1797, with the help of his friend Hölderlin, Hegel moved to Frankfurt to take on another tutorship. During this time he wrote unpublished essays on religion which display a certain radical tendency of thought in his critique of orthodox religion.

In January 1801, two years after the death of his father, Hegel finished with tutoring and went to Jena where he took a position as Privatdozent (unsalaried lecturer) at the University of Jena, where Hegel’s friend Schelling had already held a university professorship for three years. There Hegel collaborated with Schelling on a Critical Journal of Philosophy (Kritisches Journal der Philosophie) and he also published a piece on the differences between the philosophies of Fichte and Schelling (Differenz des Fichte’schen und Schelling’schen Systems der Philosophie) in which preference was consistently expressed for the latter thinker. After having attained a professorship in 1805, Hegel published his first major work, the Phenomenology of Spirit (Phänomenologie des Geistes, 1807) which was delivered to the publisher just at the time of the occupation of Jena by Napoleon’s armies. With the closing of the University, due to the victory of the French in Prussia, Hegel had to seek employment elsewhere and so he took a job as editor of a newspaper in Bamberg, Bavaria in 1807 (Die Bamberger Zeitung) followed by a move to Nuremberg in 1808 where Hegel became headmaster of a preparatory school (Gymnasium), roughly equivalent to a high school, and also taught philosophy to the students there until 1816. During this time Hegel married, had children, and published his Science of Logic (Wissenschaft der Logik) in three volumes.

One year following the defeat of Napoleon at Waterloo (1815), Hegel took the position of Professor of Philosophy at the University of Heidelberg where he published his first edition of the Encyclopedia of the Philosophical Sciences in Outline (Encyklopädie der philosophischen Wissenschaften im Grundrisse, 1817). In 1818 he became Professor of Philosophy at the University of Berlin, through the invitation of the Prussion minister von Altenstein (who had introduced many liberal reforms in Prussia until the fall of Napoleon), and Hegel taught there until he died in 1831. Hegel lectured on various topics in philosophy, most notably on history, art, religion, and the history of philosophy and he became quite famous and influential. He held public positions as a member of the Royal Examination Commission of the Province of Brandenberg and also as a councellor in the Ministry of Education. In 1821 he published the Philosophy of Right (Philosophie des Rechts) and in 1830 was given the honor of being elected Rector of the University. On November 14, 1831 Hegel died of cholera in Berlin, four months after having been decorated by Friedrich Wilhelm III of Prussia.

2. Political Writings

Apart from his philosophical works on history, society, and the state, Hegel wrote several political tracts most of which were not published in his lifetime but which are significant enough in connection to the theoretical writings to deserve some mention. (These are published in English translation in Hegel’s Political Writings and Political Writings, listed in the bibliography of works by Hegel below.)

Hegel’s very first political work was on “On the Recent Domestic Affairs of Wurtemberg” (Über die neuesten innern Verhältnisse Württembergs…, 1798) which was neither completed nor published. In it Hegel expresses the view that the constitutional structure of Wurtemberg requires fundamental reform. He condemns the absolutist rule of Duke Ferdinand along with the narrow traditionalism and legal positivism of his officials and welcomes the convening of the Estates Assembly, while disagreeing with the method of election in the Diet. In contrast to the existing system of oligarchic privilege, Hegel argues that the Diet needs to be based on popular election through local town councils, although this should not be done by granting suffrage to an uneducated multitude. The essay ends inconclusively on the appropriate method of political representation.

A quite long piece of about 100 pages, The German Constitution (Die Verfassung Deutchlands) was written and revised by Hegel between 1799 and 1802 and was not published until after his death in 1893. This piece provides an analysis and critique of the constitution of the German Empire with the main theme being that the Empire is a thing of the past and that appeals for a unified German state are anachronistic. Hegel finds a certain hypocrisy in German thinking about the Empire and a gap between theory and practice in the German constitution. Germany was no longer a state governed by law but rather a plurality of independent political entities with disparate practices. Hegel stresses the need to recognize that the realities of the modern state necessitate a strong public authority along with a populace that is free and unregimented. The principle of government in the modern world is constitutional monarchy, the potentialities of which can be seen in Austria and Prussia. Hegel ends the essay on an uncertain note with the idea that Germany as a whole could be saved only by some Machiavellian genius.

The essay “Proceedings of the Estates Assembly in the Kingdom of Württemberg, 1815-1816” was published in 1817 in the Heidelbergische Jahrbücher. In it Hegel commented on sections of the official report of the Diet of Württemberg, focusing on the opposition by the Estates to the King’s request for ratification of a new constitutional charter that recognized recent liberalizing changes and reforms. Hegel sided with King Frederick and criticized the Estates as being reactionary in their appeal to old customary laws and feudal property rights. There has been controversy over whether Hegel here was trying to gain favor with the King in order to attain a government position. However, Hegel’s favoring a sovereign kingdom of Wurtemberg over the German Empire and the need for a constitutional charter that is more rational than the previous are quite continuous with the previous essays. A genuine state needs a strong and effective central public authority, and in resisting the Estates are trying to live in the feudal past. Moreover, Hegel is not uncritical of the King’s constitutional provisions and finds deficiencies in the exclusion of members of professions from the Estates Assembly as well as in the proposal for direct suffrage in representation, which treats citizens like unintegrated atomic units rather than as members of a political community.

The last of Hegel’s political tracts, “The English Reform Bill,” was written in installments in 1831 for the ministerial newspaper, the Preussische Staatszeitung, but was interrupted due to censure by the Prussian King because of the perception of its being overly critical and anti-English. As a result, the remainder of the work was printed independently and distributed discretely. Hegel’s main line of criticism is that the proposed English reforms of suffrage will not make much of a difference in the distribution of political power and may only create a power struggle between the rising group of politicians and the traditional ruling class. Moreover, there are deep problems in English society that cannot be addressed by the proposed electoral reforms, including political corruption in the English burroughs, the selling of seats in parliament, and the general oligarchic nature of social reality including the wide disparities between wealth and poverty, Ecclesiastical patronage, and conditions in Ireland. While Hegel supports the idea of reform with its appeal to rational change as against the “positivity” of customary law, traditionalism and privilege, he thinks that universalizing suffrage with a property qualification without a thorough reform of the system of Common Law and the existing social conditions will only be perceived as token measures leading to greater disenchantment among the newly enfranchised and possibly inclinations to violent revolution. Hegel claims that national pride keeps the English from studying and following the reforms of the European Continent or seriously reflecting upon and grasping the nature of government and legislation.

There are several overall themes that reoccur in these political writings and that connect with some of the main lines of thought in Hegel’s theoretical works. First, there is the contrast between the attitude of legal positivism and the appeal to the law of reason. Hegel consistently displays a “political rationalism” which attacks old concepts and attitudes that no longer apply to the modern world. Old constitutions stemming from the Feudal era are a confused mixture of customary laws and special privileges that must give way to the constitutional reforms of the new social and political world that has arrived in the aftermath of the French Revolution. Second, reforms of old constitutions must be thorough and radical, but also cautious and gradual. This might sound somewhat inconsistent, but for Hegel a reform is radical due to a fundamental change in direction, not the speed of such change. Hegel suggests that customary institutions not be abolished too quickly for there must be some congruence and continuity with the existing social conditions. Hegel rejects violent popular action and sees the principal force for reform in governments and the estates assemblies, and he thinks reforms should always stress legal equality and the public welfare. Third, Hegel emphasizes the need for a strong central government, albeit without complete centralized control of public administration and social relations. Hegel here anticipates his later conception of civil society (bürgerliche Gesellschaft), the social realm of individual autonomy where there is significant local self-governance. The task of government is not to thoroughly bureaucratize civil society but rather to provide oversight, regulation, and when necessary intervention. Fourth, Hegel claims that representation of the people must be popular but not atomistic. The democratic element in a state is not its sole feature and it must be institutionalized in a rational manner. Hegel rejects universal suffrage as irrational because it provides no means of mediation between the individual and the state as a whole. Hegel believed that the masses lacked the experience and political education to be directly involved in national elections and policy matters and that direct suffrage leads to electoral indifference and apathy. Fifth, while acknowledging the importance of a division of powers in the public authority, Hegel does not appeal to a conception of separation and balance of powers. He views the estates assemblies, which safeguard freedom, as essentially related to the monarch and also stresses the role of civil servants and members of the professions, both in ministerial positions and in the assemblies. The monarchy, however, is the central supporting element in the constitutional structure because the monarch is invested with the sovereignty of the state. However, the power of the monarch is not despotical for he exercises authority through universal laws and statutes and is advised and assisted by a ministry and civil service, all members of which must meet educational requirements.

3. The Jena Writings (1802-06)

Hegel wrote several pieces while at the University of Jena that point in the direction of some of the main theses of the Philosophy of Right. The first was entitled “On the Scientific Modes of Treatment of Natural Law–Its Place in Practical Philosophy and Its Relationship to the Positive Science of Law” (Über die wissenschaftlichen Behandlungsarten des Naturrechts…), published originally in the Kritisches Journal der Philosophie in 1802, edited jointly by Hegel and Schelling. In this piece, usually referred to as the essay on Natural Law, Hegel criticizes both the empirical and formal approaches to natural law, as exemplified in British and Kantian philosophy respectively. Empiricism reaches conclusions that are limited by the particularities of its contexts and materials and thus cannot provide universally valid propositions regarding the concepts of various social and political institutions or of the relation of reflective consciousness to social and political experience. Formalist conclusions, on the other hand, are too insubstantial and abstract in failing to properly link human reason concretely to human experience. Traditional natural law theories are based on an abstract rationalism and the attempts of Rousseau, Kant, and Fichte to remedy this through their various ethical conceptions fail to overcome abstractness. For Hegel, the proper method of philosophical science must link concretely the development of the human mind and its rational powers to actual experience. Moreover, the concept of a social and political community must transcend the instrumentalizing of the state.

Hegel’s work entitled “The System of Ethical Life” (System der Sittlichkeit) was written in 1802-03 and first published in its entirety by Georg Lasson in 1913 in a volume entitled Schriften zur Politik und Rechtsphilosophie. In this work, Hegel develops a philosophical theory of social and political development that correlates with the self-development of essential human powers. Historically, humans begin in an immediate relation to nature and their social existence takes the form of natürliche Sittlichkeit, i.e., a non-selfconscious relation to nature and to others. However, the satisfaction of human desires leads to their reproduction and multiplication and leads to the necessity for labor, which induces transformation in the human world and people’s connections to it. This process leads to a self-realization that undermines the original naïve unity with nature and others and to the formation of overtly cooperative endeavors, e.g., in the making and use of tools. Another result of labor is the emergence of private property as an embodiment of human personality as well as of sets of legal relationships that institutionalize property ownership, exchange, etc., and deal with crimes against property. Furthermore, disparities in property and power lead to relationships of subordination and the use of the labor of others to satisfy one’s increasingly complex and expanded desires. Gradually, a system of mutual dependence, a “system of needs,” develops, and along with the increasing division of labor there also develops class differentiations reflecting the types of labor or activity taken up by members of each class, which Hegel classifies into the agricultural, acquisitive, and administerial classes. However, despite relations of interdependence and cooperation the members of society experience social connections as a sort of blind fate without some larger system of control which is provided by the state which regulates the economic life of society. The details of the structure of the state are unclear in this essay, but what is clear is that for Hegel the state provides an increased rationality to social practices, much in the sense that the later German sociologist Max Weber (1864-1920) would articulate how social practices become more rational by being codified and made more predictable.

The manuscripts entitled Realphilosophie are based on lectures Hegel delivered at Jena University in 1803-04 (Realphilosophie I) and 1805-06 (Realphilosophie II), and were originally published by Johannes Hoffmeister in 1932. These writings cover much of the same ground as the System der Sittlichkeit in explicating a philosophy of mind and human experience in relation to human social and political development. Some of the noteworthy ideas in these writings are the role and significance of language for social consciousness, for giving expression to a people (Volk) and for the comprehending of and mastery of the world, and the necessity and consequences of the fragmentation of primordial social relationships and patterns as part of the process of human development. Also, there is a reiteration of the importance of property relations as crucial to social recognition and how there would be no security of property or recognition of property rights if society were to remain a mere multitude of families. Such security requires a system of control over the “struggle for recognition” through interpersonal norms, rules, and juridical authority provided by the nation state. Moreover, Hegel repeats the need for strong state regulation of the economy, which if left to its own workings is blind to the needs of the social community. The economy, especially through the division of labor, produces fragmentation and diminishment of human life (compare Marx on alienation) and the state must not only address this phenomenon but also provide the means for the people’s political participation to further the development of social self-consciousness. In all of this Hegel appears to be providing a philosophical account of modern developments both in terms of the tensions and conflicts that are new to modernity as well as in the progressive movements of reform found under the influence of Napoleon.

Finally, Hegel also discusses the forms of government, the three main types being tyranny, democracy, and hereditary monarchy. Tyranny is found typically in primitive or undeveloped states, democracy exists in states where there is the realization of individual identity but no split between the public and private person, and hereditary monarchy is the appropriate form of political authority in the modern world in providing strong central government along with a system of indirect representation through Estates. The relation of religion to the state is undeveloped in these writings, but Hegel is clear about the supereminent role of the state that stands above all else in giving expression to the Spirit (Geist) of a society in a sort of earthly kingdom of God, the realization of God in the world. True religion complements and supports this realization and thus cannot properly have supremacy over or be opposed to the state.

4. The Phenomenology of Spirit

The Phenomenology of Spirit (Die Phänomenologie des Geistes), published in 1807, is Hegel’s first major comprehensive philosophical work. Originally intended to be the first part of his comprehensive system of science (Wissenschaft) or philosophy, Hegel eventually considered it to be the introduction to his system. This work provides what can be called a “biography of spirit,” i.e., an account of the development of consciousness and self-consciousness in the context of some central epistemological, anthropological and cultural themes of human history. It has continuity with the works discussed above in examining the development of the human mind in relation to human experience but is more wide-ranging in also addressing fundamental questions about the meaning of perceiving, knowing, and other cognitive activities as well as of the nature of reason and reality. Given the focus of this essay, the themes of the Phenomenology to be discussed here are those directly relevant to Hegel’s social and political thought.

One of the most widely discussed places in the Phenomenology is the chapter on “The Truth of Self-Certainty” which includes a subsection on “Independence and Dependence of Self-Consciousness: Lordship and Bondage.” This section treats of the (somewhat misleadingly named) “master/slave” struggle which is taken by some, especially the Marxian-inspired, as a paradigm of all forms of social conflict, in particular the struggle between social classes. It is clear that Hegel intended the scenario to typify certain features of the struggle for recognition (Anerkennung) overall, be it social, personal, etc. The conflict between master and slave (which shall be referred to hereafter as lord and bondsman as more in keeping with Hegel’s own terminology and the intended generic meaning) is one in which the historical themes of dominance and obedience, dependence and independence, etc., are philosophically introduced. Although this specific dialectic of struggle occurs only at the earliest stages of self-consciousness, it nonetheless sets up the main problematic for achieving realized self-consciousness–the gaining of self-recognition through the recognition of and by another, through mutual recognition.

According to Hegel, the relationship between self and otherness is the fundamental defining characteristic of human awareness and activity, being rooted as it is in the emotion of desire for objects as well as in the estrangement from those objects, which is part of the primordial human experience of the world. The otherness that consciousness experiences as a barrier to its goal is the external reality of the natural and social world, which prevents individual consciousness from becoming free and independent. However, that otherness cannot be abolished or destroyed, without destroying oneself, and so ideally there must be reconciliation between self and other such that consciousness can “universalize” itself through the other. In the relation of dominance and subservience between two consciousnesses, say lord and bondsman, the basic problem for consciousness is the overcoming of its otherness, or put positively, the achieving of integration with itself. The relation between lord and bondsman leads to a sort of provisional, incomplete resolution of the struggle for recognition between distinct consciousnesses.

Hegel asks us to consider how a struggle between two distinct consciousnesses, let us say a violent “life-or-death” struggle, would lead to one consciousness surrendering and submitting to the other out of fear of death. Initially, the consciousness that becomes lord or master proves its freedom through willingness to risk its life and not submit to the other out of fear of death, and thus not identify simply with its desire for life and physical being. Moreover, this consciousness is given acknowledgement of its freedom through the submission and dependence of the other, which turns out paradoxically to be a deficient recognition in that the dominant one fails to see a reflection of itself in the subservient one. Adequate recognition requires a mirroring of the self through the other, which means that to be successful it must be mutual. In the ensuing relationship of lordship and bondage, furthermore, the bondsman through work and discipline (motivated by fear of dying at the hands of the master or lord) transforms his subservience into a mastery over his environment, and thus achieves a measure of independence. In objectifying himself in his environment through his labor the bondsman in effect realizes himself, with his transformed environment serving as a reflection of his inherently self-realizing activity. Thus, the bondsman gains a measure of independence in his subjugation out of fear of death. In a way, the lord represents death as the absolute subjugator, since it is through fear of this master, of the death that he can impose, that the bondsman in his acquiescence and subservience is placed into a social context of work and discipline. Yet despite, or more properly, because of this subjection the bondsman is able to attain a measure of independence by internalizing and overcoming those limitations which must be dealt with if he is to produce efficiently. However, this accomplishment, the self-determination of the bondsman, is limited and incomplete because of the asymmetry that remains in his relation to the lord. Self-consciousness is still fragmented, i.e., the objectification through labor that the bondsman experiences does not coincide with the consciousness of the lord whose sense of self is not through labor but through power over the bondsman and enjoyment of the fruits of the bondsman’s labor. Only in a realm of ethical life can self-determination be fully self-conscious to the extent that universal freedom is reflected in the life of each individual member of society.

Thus, in the Phenomenology consciousness must move on through the phases of Stoicism, Skepticism, and the Unhappy Consciousness before engaging in the self-articulation of Reason, and it is not until the section “Objective Spirit: The Ethical Order” that the full universalization of self-consciousness is in principle to be met with. Here we find a shape of human existence where all men work freely, serving the needs of the whole community rather than of masters, and subject only to the “discipline of reason.” This mode of ethical life, typified in ancient Greek democracy, also eventually disintegrates, as is expressed in the conflict between human and divine law and the tragic fate that is the outcome of this conflict illustrated in the story of Antigone. However, the ethical life described here is still in its immediacy and is therefore at a level of abstractness that falls short of the mediation of subjectivity and universality which is provided spiritually in revealed Christianity and politically in the modern state, which purportedly provides a solution to human conflict arising from the struggle for recognition. In any case, the rest of the Phenomenology is devoted to examinations of culture (including enlightenment and revolution), morality, religion, and finally, Absolute Knowing.

The dialectic of self-determination is, for Hegel, inherent in the very structure of freedom, and is the defining feature of Spirit (Geist). The full actualization of Spirit in the human community requires the progressive development of individuality which effectively begins with the realization in self-consciousness of the “truth of self-certainty” and culminates in the shape of a shared common life in an integrated community of love and Reason, based upon the realization of truths of incarnation, death, resurrection, and forgiveness as grasped in speculative Religion. The articulation Hegel provides in the Phenomenology, however, is very generic and is to be made concrete politically with the working out of a specific conception of the modern nation-state with its particular configuration of social and political institutions. It is to the latter that we must turn in order to see how these fundamental dialectical considerations take shape in the “solution” to the struggle for recognition in self-consciousness. However, before moving directly to Hegel’s theory of the state, and history, some discussion of his Logic is in order.

5. Logic and Political Theory

The Logic constitutes the first part of Hegel’s philosophical system as presented in his Encyclopedia. It was preceded by his larger work, The Science of Logic (Wissenschaft der Logik), published in 1812-16 in two volumes. The “Encyclopedia Logic” is a shorter version intended to function as part of an “outline,” but it became longer in the course of the three published versions of 1817, 1827, and 1830. Also, the English translation by William Wallace contains additions from the notes of students who heard Hegel’s lectures on this subject. (Reference to the paragraphs of the Encyclopedia will be made with the “¶” character.)

The structure of the Logic is triadic, reflecting the organization of the larger system of philosophy as well as a variety of other motifs, both internal and external to the Logic proper. The Logic has three divisions: the Doctrine of Being, the Doctrine of Essence, and the Doctrine of the Notion (or Concept). There are a number of logical categories in this work that are directly relevant to social and political theorizing. In the Doctrine of Being, for example, Hegel explains the concept of “being-for-self” as the function of self-relatedness in the resolving of opposition between self and other in the “ideality of the finite” (¶ 95-96). He claims that the task of philosophy is to bring out the ideality of the finite, and as will be seen later Hegel’s philosophy of the state is intended to articulate the ideality of the state, i.e., its affirmative and infinite or rational features. In the Doctrine of Essence, Hegel explains the categories of actuality and freedom. He says that actuality is the unity of “essence and existence” (¶ 142) and argues that this does not rule out the actuality of ideas for they become actual by being realized in external existence. Hegel will have related points to make about the actuality of the idea of the state in society and history. Also, he defines freedom not in terms of contingency or lack of determination, as is popular, but rather as the “truth of necessity,” i.e., freedom presupposes necessity in the sense that reciprocal action and reaction provide a structure for free action, e.g., a necessary relation between crime and punishment.

The Doctrine of the Notion (Begriff) is perhaps the most relevant section of the Logic to social and political theory due to its focus on the various dynamics of development. This section is subdivided into three parts: the subjective notion, the objective notion, and the idea which articulates the unity of subjective and objective. The first part, the subjective notion, contains three “moments” or functional parts: universality, particularity, and individuality (¶ 163ff). These are particularly important as Hegel will show how the functional parts of the state operate according to a progressive “dialectical” movement from the first to the third moments and how the state as a whole, as a functioning and integrated totality, gives expression to the concept of individuality (in ¶198 Hegel refers to the state as “a system of three syllogisms”). Hegel treats these relationships as logical judgments and syllogisms but they do not merely articulate how the mind must operate (subjectivity) but also explain actual relationships in reality (objectivity). In objective reality we find these logical/dialectical relationships in mechanism, chemism, and teleology. Finally, in the Idea, the correspondence of the notion or concept with objective reality, we have the truth of objects or objects as they ought to be, i.e., as they correspond to their proper concepts. The logical articulation of the Idea is very important to Hegel’s explanation of the Idea of the state in modern history, for this provides the principles of rationality that guide the development of Spirit in the world and that become manifested in various ways in social and political life.

6. The Philosophy of Right

In 1821, Hegel’s Philosophy of Right orginally appeared under the double title Naturrecht und Staatswissenschaften in Grundrisse; Grundlinien der Philosophie des Rechts (Natural Law and the Science of the State; Elements of the Philosophy of Right). The work was republished by Eduard Gans in 1833 and 1854 as part of Hegel’s Werke, vol. viii and included additions from notes taken by students at Hegel’s lectures. The English language translation of this work by T. M. Knox refers to these later editions as well as to an edition published in 1923 by Georg Lasson, which included corrections from previous editions.

The Philosophy of Right constitutes, along with Hegel’s Philosophy of History, the penultimate section of his Encyclopedia, the section on Objective Spirit, which deals with the human world and its array of social rules and institutions, including the moral, legal, religious, economic, and political as well as marriage, the family, social classes, and other forms of human organization. The German word Recht is often translated as ‘law’, however, Hegel clearly intends the term to have a broader meaning that captures what we might call the good or just society, one that is “rightful” in its structure, composition, and practices.

In the Introduction to this work Hegel explains the concept of his philosophical undertaking along with the specific key concepts of will, freedom, and right. At the very beginning, Hegel states that the Idea of right, the concept together with its actualization, is the proper subject of the philosophical science of right (¶ 1). Hegel is emphatic that the study is scientific in that it deals in a systematic way with something essentially rational. He further remarks that the basis of scientific procedure in a philosophy of right is explicated in philosophical logic and presupposed by the former (¶ 2). Furthermore, Hegel is at pains to distinguish the historical or legal approach to “positive law” (Gesetz) and the philosophical approach to the Idea of right (Recht), the former involving mere description and compilation of laws as legal facts while the latter probes into the inner meaning and necessary determinations of law or right. For Hegel the justification of something, the finding of its inherent rationality, is not a matter of seeking its origins or longstanding features but rather of studying it conceptually.

However, there is one sense in which the origin of right is relevant to philosophical science and this is the free will. The free will is the basis and origin of right in the sense that mind or spirit (Geist) generally objectifies itself in a system of right (human social and political institutions) that gives expression to freedom, which Hegel says is both the substance and goal of right (¶ 4). This ethical life in the state consists in the unity of the universal and the subjective will. The universal will is contained in the Idea of freedom as its essence, but when considered apart from the subjective will can be thought of only abstractly or indeterminately. Considered apart from the subjective or particular will, the universal will is “the element of pure indeterminacy or that pure reflection of the ego into itself which involves the dissipation of every restriction and every content either immediately presented by nature, by needs, desires, and impulses, or given and determined by any means whatever” (¶ 5). In other words, the universal will is that moment in the Idea of freedom where willing is thought of as state of absolutely unrestrained volition, unfettered by any particular circumstances or limitations whatsoever–the pure form of willing. This is expressed in the modern libertarian view of completely uncoerced choice, the absence of restraint (or “negative liberty” as understood by Thomas Hobbes). The subjective will, on the other hand, is the principle of activity and realization that involves “differentiation, determination, and positing of a determinacy as a content and object” (¶ 6). This means that the will is not merely unrestrained in acting but that it actually can give expression to the doing or accomplishing of certain things, e.g., through talent or expertise (sometimes called “positive freedom”). The unity of both the moments of abstract universality (the will in-itself) and subjectivity or particularity (the will for-itself) is the concrete universal or true individuality (the will in-and-for-itself). According to Hegel, preservation of the distinction of these two moments in the unity (identity-in-difference) between universal and particular will is what produces rational self-determination of an ego, as well as the self-consciousness of the state as a whole. Hegel’s conception of freedom as self-determination is just this unity in difference of the universal and subjective will, be it in the willing by individual persons or in the expressions of will by groups of individuals or collectivities. The “negative self-relation” of this freedom involves the subordination of the natural instincts, impulses, and desires to conscious reflection and to goals and purposes that are consciously chosen and that require commitment to rational principles in order to properly guide action.

The overall structure of the Philosophy of Right is quite remarkable in its “syllogistic” organization. The main division of the work corresponds to what Hegel calls the stages in the development of “the Idea of the absolutely free will,” and these are Abstract Right, Morality, and Ethical Life. Each of these divisions is further subdivided triadically: under Abstract Right there is Property, Contract, and Wrong; under Morality falls Purpose and Responsibility, Intention and Welfare, and Good and Conscience; finally, under Ethical Life comes the Family, Civil Society, and the State. These last subdivisions are further subdivided into triads, with fourth level subdivisions occurring under Civil Society and the State. This triadic system of rubrics is no mere description of a static model of social and political life. Hegel claims that it gives expression to the conceptual development of Spirit in human society based upon the purely logical development of rationality provided in his Logic. Thus, it is speculatively based and not derivable from empirical survey, although the particularities of the system do indeed correspond to our experience and what we know about ourselves anthropologically, culturally, etc.

The transition in the Logic from universality to particularity to individuality (or concrete universality) is expressed in the social and political context in the conceptual transition from Abstract Right to Morality to Ethical Life. In the realm of Abstract Right, the will remains in its immediacy as an abstract universal that is expressed in personality and in the universal right to possession of external things in property. In the realm of Morality, the will is no longer merely “in-itself,” or restricted to the specific characteristics of legal personality, but becomes free “for-itself,” i.e., it is will reflected into itself so as to produce a self-consciousness of the will’s infinity. The will is expressed, initially, in inner conviction and subsequently in purpose, intention, and conviction. As opposed to the merely juridical person, the moral agent places primary value on subjective recognition of principles or ideals that stand higher than positive law. At this stage, universality of a higher moral law is viewed as something inherently different from subjectivity, from the will’s inward convictions and actions, and so in its isolation from a system of objectively recognized legal rules the willing subject remains “abstract, restricted, and formal” (¶ 108). Because the subject is intrinsically a social being who needs association with others in order to institutionalize the universal maxims of morality, maxims that cover all people, it is only in the realm of Ethical Life that the universal and the subjective will come into a unity through the objectification of the will in the institutions of the Family, Civil Society, and the State.

In what follows, we trace through Hegel’s systematic development of the “stages of the will,” highlighting only the most important points as necessary to get an overall view of this work.

a. Abstract Right

The subject of Abstract Right (Recht) is the person as the bearer or holder of individual rights. Hegel claims that this focus on the right of personality, while significant in distinguishing persons from mere things, is abstract and without content, a simple relation of the will to itself. The imperative of right is: “Be a person and respect others as persons” (¶ 36). In this formal conception of right, there is no question of particular interests, advantages, motives or intentions, but only the mere idea of the possibility of choosing based on the having of permission, as long as one does not infringe on the right of other persons. Because of the possibilities of infringement, the positive form of commands in this sphere are prohibitions.

(1) Property (the universality of will as embodied in things)

A person must translate his or her freedom into the external world “in order to exist as Idea” (¶ 41), thus abstract right manifests itself in the absolute right of appropriation over all things. Property is the category through which one becomes an object to oneself in that one actualizes the will through possession of something external. Property is the embodiment of personality and of freedom. Not only can a person put his or her will into something external through the taking possession of it and of using it, but one can also alienate property or yield it to the will of another, including the ability to labor for a restricted period of time. One’s personality is inalienable and one’s right to personality imprescriptible. This means one cannot alienate all of one’s labor time without becoming the property of another.

(2) Contract (the positing of explicit universality of will)

In this sphere, we have a relation of will to will, i.e., one holds property not merely by means of the subjective will externalized in a thing, but by means of another’s person’s will, and implicitly by virtue of one’s participation in a common will. The status of being an independent owner of something from which one excludes the will of another is thus mediated in the identification of one’s will with the other in the contractual relation, which presupposes that the contracting parties “recognize each other as persons and property owners” (¶ 71). (Note the significant development here beyond the dialectic of lord and bondsman.) Moreover, when contract involves the alienation or giving up of property, the external thing is now an explicit embodiment of the unity of wills. In contractual relations of exchange, what remains identical as the property of the individuals is its value, in respect to which the parties to the contract are on an equal footing, regardless of the qualitative external differences between the things exchanged. “Value is the universal in which the subjects of the contract participate” (¶ 77).

(3) Wrong (the particular will opposing itself to the universal)

In immediate relations of persons to one another it is possible for a particular will to be at variance with the universal through arbitrariness of decision and contingency of circumstance, and so the appearance (Erscheinung) of right takes on the character of a show (Schein), which is the inessential, arbitrary, posing as the essential. If the “show” is only implicit and not explicit also, i.e., if the wrong passes in the doer’s eyes as right, the wrong is non-malicious. In fraud a show is made to deceive the other party and so in the doer’s eyes the right asserted is only a show. Crime is wrong both in itself and from the doer’s point of view, such that wrong is willed without even the pretense or show of right. Here the form of acting does not imply a recognition of right but rather is an act of coercion through exercise of force. It is a “negatively infinite judgement” in that it asserts a denial of rights to the victim, which is not only incompatible with the fact of the matter but also self-negating in denying its own capacity for rights in principle.

The penalty that falls on the criminal is not merely just but is “a right established within the criminal himself, i.e., in his objectively embodied will, in his action,” because the crime as the action of a rational being implies appeal to a universal standard recognized by the criminal (¶ 100). The annulling of crime in this sphere of immediate right occurs first as revenge, which as retributive is just in its content, but in its form it is an act of a subjective will and does not correspond with its universal content and hence as a new transgression is defective and contradictory (¶ 102). All crimes are comparable in their universal property of being injuries, thus, in a sense it is not something personal but the concept itself which carries out retribution.

Crime, as the will which is implicitly null, contains its negation in itself, which is its punishment.

The nullity of crime is that it has set aside right as such, but since right is absolute it cannot be set aside. Thus, the act of crime is not something positive, not a first thing, but is something negative, and punishment is the negation of crime’s negation.

b. Morality

The demand for justice as punishment rather than as revenge, with regard to wrong, implies the demand for a will which, though particular and subjective, also wills the universal as such. In wrong the will has become aware of itself as particular and has opposed itself to and contradicted the universal embodied in rights. At this stage the universally right is abstract and one-sided and thus requires a move to a higher level of self-consciousness where the universally right is mediated by the particular convictions of the willing subject. We go beyond the criminal’s defiance of the universal by substituting for the abstract conception of personality the more concrete conception of subjectivity. The criminal is now viewed as breaking his own law, and his crime is a self-contradiction and not only a contradiction of a right outside him. This recognition brings us to the level of morality (Moralität) where the will is free both in itself and for itself, i.e., the will is self-conscious of its subjective freedom.

At the level of morality the right of the subjective will is embodied in immediate wills (as opposed to immediate things like property). The defect of this level, however, is that the subject is only for itself, i.e., one is conscious of one’s subjectivity and independence but is conscious of universality only as something different from this subjectivity. Therefore, the identity of the particular will and the universal will is only implicit and the moral point of view is that of a relation of “ought-to-be,” or the demand for what is right. While the moral will externalizes itself in action, its self-determination is a pure “restlessness” of activity that never arrives at actualization.

The right of the moral will has three aspects. First, there is the right of the will to act in its external environment, to recognize as its actions only those that it has consciously willed in light of an aim or purpose (purpose and responsibility). Second, in my intention I ought to be aware not simply of my particular action but also of the universal which is conjoined with it. The universal is what I have willed and is my intention. The right of intention is that the universal quality of the action is not merely implied but is known by the agent, and so it lies from the start in one’s subjective will. Moreover, the content of such a will is not only the right of the particular subject to be satisfied but is elevated to a universal end, the end of welfare or happiness (intention and welfare). The welfare of many unspecified persons is thus also an essential end and right of subjectivity. However, right as an abstract universal and welfare as abstract particularity, may collide, since both are contingent on circumstances for their satisfaction, e.g., in cases where claims of right or welfare by someone may endanger the life of another there can be a counter-claim to a right of distress. “This distress reveals the finitude and therefore the contingency of both right and welfare” (¶ 128). This “contradiction” between right and welfare is overcome in the third aspect of the moral will, the good which is “the Idea as the unity of the concept of the will with the particular will” (¶ 129).

In addition to the right of the subjective will that whatever it recognizes as valid shall be seen by it as good, and that an action shall be imputed to it as good or evil in accordance with its knowledge of the worth which the action has in its external objectivity (¶ 132), which together constitute a “right of insight,” the will also must recognize the good as its duty, which is, to begin with, duty for duty’s sake, or duty formally and without content (e.g., as expressed in the Kantian “categorical imperative”). Because of this lack of content, the subjective will in its abstract reflection into itself is “absolute inward certainty (Gewißheit) of self,” or conscience (Gewissen). While true or authentic conscience is the disposition to will what is absolutely good, and thus correspond with what is objectively right, purely formal conscience lacks an objective system of principles and duties. Although conscience is ideally supposed to mean the identity of subjective knowing and willing with the truly good, when it remains the subjective inner reflection of self-consciousness into itself its claim to this identity is deficient and one-sided. Moreover, when the determinate character of right and duty reduces to subjectivity, the mere inwardness of the will, there is the potentiality of elevating the self-will of particular individuals above the universal itself, i.e., of “slipping into evil” (¶ 139). What makes a person evil is the choosing of natural desires in opposition to the good, i.e., to the concept of the will. When an individual attempts to pass off his or her action as good, and thus imposing it on others, while being aware of the discrepancy between its negative character and the objective universal good, the person falls into hypocrisy. This is one of several forms of perverse moral subjectivity that Hegel discusses at length in his remarks (¶ 140).

c. Ethical Life

Hegel’s analysis of the moral implications of “good and conscience” leads to the conclusion that a concrete unity of the objective good with the subjectivity of the will cannot be achieved at the level of personal morality since all attempts at this are problematic. The concrete identity of the good with the subjective will occurs only in moving to the level of ethical life (Sittlichkeit), which Hegel says is “the Idea of freedom…the concept of freedom developed into the existing world and the nature of self-consciousness” (¶ 142). Thus, ethical life is permeated with both objectivity and subjectivity: regarded objectively it is the state and its institutions, whose force (unlike abstract right) depends entirely on the self-consciousness of citizens, on their subjective freedom; regarded subjectively it is the ethical will of the individual which (unlike the moral will) is aware of objective duties that express one’s inner sense of universality. The rationality of the ethical order of society is thus constituted in the synthesis of the concept of the will, both as universal and as particular, with its embodiment in institutional life.

The synthesis of ethical life means that individuals not only act in conformity with the ethical good but that they recognize the authority of ethical laws. This authority is not something alien to individuals since they are linked to the ethical order through a strong identification which Hegel says “is more like an identity than even the relation of faith or trust” (¶ 147). The knowledge of how the laws and institutions of society are binding on the will of individuals entails a “doctrine of duties.” In duty the individual finds liberation both from dependence on mere natural impulse, which may or may not motivate ethical actions, and from indeterminate subjectivity which cannot produce a clear view of proper action. “In duty the individual acquires his substantive freedom” (¶ 149). In the performance of duty the individual exhibits virtue when the ethical order is reflected in his or her character, and when this is done by simple conformity with one’s duties it is rectitude. When individuals are simply identified with the actual ethical order such that their ethical practices are habitual and second nature, ethical life appears in their general mode of conduct as custom (Sitten). Thus, the ethical order manifests its right and validity vis-à-vis individuals. In duty “the self-will of the individual vanishes together with his private conscience which had claimed independence and opposed itself to the ethical substance. For when his character is ethical, he recognizes as the end which moves him to act the universal which is itself unmoved but is disclosed in its specific determinations as rationality actualized. He knows that his own dignity and the whole stability of his particular ends are grounded in this same universal, and it is therein that he actually attains these” (¶ 152). However, this does not deny the right of subjectivity, i.e., the right of individuals to be satisfied in their particular pursuits and free activity; but this right is realized only in belonging to an objective ethical order. The “bond of duty” will be seen as a restriction on the particular individual only if the self-will of subjective freedom is considered in the abstract, apart from an ethical order (as is the case for both Abstract Right and Morality). “Hence, in this identity of the universal will with the particular will, right and duty coalesce, and by being in the ethical order a man has rights in so far as he has duties, and duties in so far as he has rights” (¶ 155).

In the realm of ethical life the logical syllogism of self-determination of the Idea is most clearly applied. The moments of universality, particularity, and individuality initially are represented respectively in the institutions of the family, civil society, and the state. The family is “ethical mind in its natural or immediate phase” and is characterized by love or the feeling of unity in which one is not conscious of oneself as an independent person but only as a member of the family unit to which one is bound. Civil society, on the other hand, comprises an association of individuals considered as self-subsistent and who have no conscious sense of unity of membership but only pursue self-interest, e.g., in satisfying needs, acquiring and protecting property, and in joining organizations for mutual advantage. Finally, the constitution of the political state brings together in a unity the sense of the importance of the whole or universal good along with the freedom of particularity of individual pursuits and thus is “the end and actuality of both the substantial order and the public life devoted thereto” (¶ 157).

i. The Family

The family is characterized by love which is “mind’s feeling of its own unity,” where one’s sense of individuality is within this unity, not as an independent individual but as a member essentially related to the other family members. Thus, familial love implies a contradiction between, on the one hand, not wanting to be a self-subsistent and independent person if that means feeling incomplete and, on the other hand, wanting to be recognized in another person. Familial love is truly an ethical unity, but because it is nonetheless a subjective feeling it is limited in sustaining unity (pars. 158-59, and additions).

(A) Marriage

The union of man and woman in marriage is both natural and spiritual, i.e., is a physical relationship and one that is also self-conscious, and it is entered into on the basis of the free consent of the persons. Since this consent involves bringing two persons into a union, there is the mutual surrender of their natural individuality for the sake of union, which is both a self-restriction and also a liberation because in this way individuals attain a higher self-consciousness.

(B) Family Capital

The family as a unit has its external existence in property, specifically capital (Vermögen) which constitutes permanent and secured possessions that allow for endurance of the family as “person” (¶ 170). This capital is the common property of all the family members, none of whom possess property of their own, but it is administered by the head of the family, the husband.

(C) Education of Children & Dissolution of the Family

Children provide the external and objective basis for the unity of marriage. The love of the parents for their children is the explicit expression of their love for each other, while their immediate feelings of love for each other are only subjective. Children have the right to maintenance and education, and in this regard a claim upon the family capital, but parents have the right to provide this service to the children and to instill discipline over the wishes of their children. The education of children has a twofold purpose: the positive aim of instilling ethical principles in them in the form of immediate feeling and the negative one of raising them out of the instinctive physical level. Marriage can be dissolved not by whim but by duly constituted authority when there is total estrangement of husband and wife. The ethical dissolution of the family results when the children have been educated to be free and responsible persons and they are of mature age under the law. The natural dissolution of the family occurs with the death of the parents, the result of which is the passing of inheritance of property to the surviving family members. The disintegration of the family exhibits its immediacy and contingency as an expression of the ethical Idea (pars. 173-80).

ii. Civil Society

With civil society (bürgerliche Gesellschaft) we move from the family or “the ethical idea still in its concept,” where consciousness of the whole or totality is focal, to the “determination of particularity,” where the satisfaction of subjective needs and desires is given free reign (pars. 181-182). However, despite the pursuit of private or selfish ends in relatively unrestricted social and economic activity, universality is implicit in the differentiation of particular needs insofar as the welfare of an individual in society is intrinsically bound up with that of others, since each requires another in some way to effectively engage in reciprocal activities like commerce, trade, etc. Because this system of interdependence is not self-conscious but exists only in abstraction from the individual pursuit of need satisfaction, here particularity and universality are only externally related. Hegel says that “this system may be prima facie regarded as the external state, the state based on need, the state as the Understanding (Verstand) envisages it” (¶ 183). However, civil society is also a realm of mediation of particular wills through social interaction and a means whereby individuals are educated (Bildung) through their efforts and struggles toward a higher universal consciousness.

(A) The System of Needs

This dimension of civil society involves the pursuit of need satisfaction. Humans are different from animals in their ability to multiply needs and differentiate them in various ways, which leads to their refinement and luxury. Political economy discovers the necessary interconnections in the social and universalistic side of need. Work is the mode of acquisition and transformation of the means for satisfying needs as well as a mode of practical education in abilities and understanding. Work also reveals the way in which people are dependent upon one another in their self-seeking and how each individual contributes to the need satisfaction of all others. Society generates a “universal permanent capital” (¶ 199) that everyone in principle can draw upon, but the natural inequalities between individuals will translate into social inequalities. Furthermore, labor undergoes a division according to the complexities of the system of production, which is reflected in social class divisions: the agricultural (substantial or immediate); the business (reflecting or formal); and the civil servants (universal). Membership in a class is important for gaining status and recognition in a civil society. Hegel says that “A man actualizes himself only in becoming something definite, i.e., something specifically particularized; this means restricting himself exclusively to one of the particular spheres of need. In this class-system, the ethical frame of mind therefore is rectitude and esprit de corps, i.e., the disposition to make oneself a member of one of the moments of civil society by one’s own act … in this way gaining recognition both in one’s own eyes and in the eyes of others” (¶ 207).

The “substantial” agricultural class is based upon family relationships whose capital is in the products of nature, such as the land, and tends to be patriarchial, unreflective, and oriented toward dependence rather than free activity. In contrast to this focus on “immediacy,” the business class is oriented toward work and reflection, e.g., in transforming raw materials for use and exchange, which is a form of mediation of humans to one another. The main activities of the business class are craftsmanship, manufacture, and trade. The third class is the class of civil servants, which Hegel calls the “universal class” because it has the universal interests of society as its concern. Members of this class are relieved from having to labor to support themselves and maintain their livelihood either from private resources such as inheritance or are paid a salary by the state as members of the bureaucracy. These individuals tend to be highly educated and must qualify for appointment to government positions on the basis of merit.

(B) Administration of Justice

The principle of rightness becomes civil law (Gesetz) when it is posited, and in order to have binding force it must be given determinate objective existence. To be determinately existent, laws must be made universally known through a public legal code. Through a rational legal system, private property and personality are given legal recognition and validity in civil society, and wrongdoing now becomes an infringement, not merely of the subjective right of individuals but also of the larger universal will that exists in ethical life. The court of justice is the means whereby right is vindicated as something universal by addressing particular cases of violation or conflict without mere subjective feeling or private bias. “Instead of the injured party, the injured universal now comes on the scene, and … this pursuit consequently ceases to be the subjective and contingent retribution of revenge and is transformed into the genuine reconciliation of right with itself, i.e, into punishment” (¶ 220). Moreover, court proceedings and legal processes must take place according to rights and rules of evidence; judicial proceedings as well as the laws themselves must be made public; trial should be by jury; and punishment should fit the crime. Finally, in the administration of justice, “civil society returns to its concept, to the unity of the implicit universal with the subjective particular, although here the latter is only that present in single cases and the universality in question is that of abstract right” (¶ 229).

(C) The Police and the Corporation

The Police (Polizei) for Hegel is understood broadly as the public authorities in civil society. In addition to crime fighting organizations, it includes agencies that provide oversight over public utilities as well as regulation of and, when necessary, intervention into activities related to the production, distribution, and sale of goods and services, or with any of the contingencies that can affect the rights and welfare of individuals and society generally (e.g., defense of the public’s right not to be defrauded, and also the management of goods inspection). Also, the public authority superintends education and organizes the relief of poverty. Poverty must be addressed both through private charity and public assistance since in civil society it constitutes a social wrong when poverty results in the creation of a class of “penurious rabble” (¶ 245). Society looks to colonization to increase its wealth but poverty remains a problem with no apparent solution.

The corporation (Korporation) applies especially to the business class, since this class is concentrated on the particularities of social existence and the corporation has the function of bringing implicit similarities between various private interests into explicit existence in forms of association. This is not the same as our contemporary business corporation but rather is a voluntary association of persons based on occupational or various social interests (such as professional and trade guilds, educational clubs, religious societies, townships, etc.) Because of the integrating function of the corporation, especially in regard to the social and economic division of labor, what appear as selfish purposes in civil society are shown to be at the same time universal through the formation of concretely recognized commonalities. Hegel says that “a Corporation has the right, under the surveillance of the public authority, (a) to look after its own interests within its own sphere, (b) to co-opt members, qualified objectively by requisite skill and rectitude, to a number fixed by the general structure of society, (c) to protect its members against particular contingencies, (d) to provide the education requisite to fit other to become members. In short, the right is to come on the scene like a second family for its members …” (¶ 252). Furthermore, the family is assured greater stability of livelihood insofar as its providers are corporation members who command the respect due to them in their social positions. “Unless he is a member of an authorized Corporation (and it is only by being authorized that an association becomes a Corporation), an individual is without rank or dignity, his isolation reduces his business to mere self-seeking, and his livelihood and satisfaction become insecure” (¶ 253). Because individual self-seeking is raised to a higher level of common pursuits, albeit restricted to the interest of a sectional group, individual self-consciousness is raised to relative universality. Hence, “As the family was the first, so the Corporation is the second ethical root of the state, the one planted in civil society” (¶ 255).

iii. The State

The political State, as the third moment of Ethical Life, provides a synthesis between the principles governing the Family and those governing Civil Society. The rationality of the state is located in the realization of the universal substantial will in the self-consciousness of particular individuals elevated to consciousness of universality. Freedom becomes explicit and objective in this sphere. “Since the state is mind objectified, it is only as one of its members that the individual has objectivity, genuine individuality, and an ethical life … and the individual’s destiny is the living of a universal life” (¶ 258). Rationality is concrete in the state in so far as its content is comprised in the unity of objective freedom (freedom of the universal or substantial will) and subjective freedom (freedom of everyone in knowing and willing of particular ends); and in its form rationality is in self-determining action or laws and principles which are logical universal thoughts (as in the logical syllogism).

The Idea of the State is itself divided into three moments: (a) the immediate actuality of the state as a self-dependent organism, or Constitutional Law; (b) the relation of states to other states in International Law; (c) the universal Idea as Mind or Spirit which gives itself actuality in the process of World-History.

1) Constitutional Law

(1) The Constitution (internally)

Only through the political constitution of the State can universality and particularity be welded together into a real unity. The self-consciousness of this unity is expressed in the recognition on the part of each citizen that the full meaning of one’s actual freedom is found in the objective laws and institutions provided by the State. The aspect of identity comes to the fore in the recognition that individual citizens give to the ethical laws such that they “do not live as private persons for their own ends alone, but in the very act of willing these they will the universal in the light of the universal, and their activity is consciously aimed at none but the universal end” (¶ 260). The aspect of differentiation, on the other hand, is found in “the right of individuals to their particular satisfaction,” the right of subjective freedom which is maintained in Civil Society. Thus, according to Hegel, “the universal must be furthered, but subjectivity on the other hand must attain its full and living development. It is only when both these moments subsist in their strength that the state can be regarded as articulated and genuinely organized” (¶ 260, addition).

As was indicated in the introduction to the concept of Ethical Life above, the higher authority of the laws and institutions of society requires a doctrine of duties. From the vantage point of the political State, this means that there must be a correlation between rights and duties. “In the state, as something ethical, as the inter-penetration of the substantive and the particular, my obligation to what is substantive is at the same time the embodiment of my particular freedom. This means that in the state duty and right are united in one and the same relation” (¶ 261). In fulfilling one’s duties one is also satisfying particular interests, and the conviction that this is so Hegel calls “political sentiment” (politische Gesinnung) or patriotism. “This sentiment is, in general, trust (which may pass over into a greater or lesser degree of educated insight), or the consciousness that my interest, both substantive and particular, is contained and preserved in another’s (that is, the state’s) interest and end, i.e., in the other’s relation to me as an individual” (¶ 268).

Thus, the “bond of duty” cannot involve being coerced into obeying the laws of the State. “Commonplace thinking often has the impression that force holds the state together, but in fact its only bond is the sense of order which everybody possesses” (¶ 268, addition).

According to Hegel, the political state is rational in so far as it inwardly differentiates itself according to the nature of the Concept (Begriff). The principle of the division of powers expresses inner differentiation, but while these powers are distinguished they must also be built into an organic whole such that each contains in itself the other moments so that the political constitution is a concrete unity in difference. Constitutional Law is accordingly divided into three moments: (a) the Legislature which establishes the universal through lawmaking; (b) the Executive which subsumes the particular under the universal through administering the laws; (c) the Crown which is the power of subjectivity of the state in the providing of the act of “ultimate decision” and thus forming into unity the other two powers. Despite the syllogistic sequence of universality, particularity, and individuality in these three constitutional powers, Hegel discusses the Crown first followed by the Executive and the Legislature respectively. Hegel understands the concept of the Crown in terms of constitutional monarchy.

(a) The Crown

“The power of the crown contains in itself the three moments of the whole, namely, (a) the universality of the constitution and the laws; (b) counsel, which refers the particular to the universal; and (g) the moment of ultimate decision, as the self-determination to which everything else reverts and from which everything else derives the beginning of its actuality” (¶ 275). The third moment is what gives expression to the sovereignty of the state, i.e., that the various activities, agencies, functions and powers of the state are not self-subsistent but rather have their basis ultimately in the unity of the state as a single self or self-organized organic whole. The monarch is the bearer of the individuality of the state and its sovereignty is the ideality in unity in which the particular functions and powers of the state subsist. “It is only as a person, the monarch, that the personality of the state is actual. Personality expresses the concept as such; but the person enshrines the actuality of the concept, and only when the concept is determined as a person is it the Idea or truth” (¶ 279).

The monarch is not a despot but rather a constitutional monarch, and he does not act in a capricious manner but is bound by a decision-making process, in particular to the recommendations and decisions of his cabinet (supreme advisory council). The monarch functions solely to give agency to the state, and so his personal traits are irrelevant and his ascending to the throne is based on hereditary succession, and thus on the accident of birth. “In a completely organized state, it is only a question of the culminating point of formal decision … he has only to say ‘yes’ and dot the ‘i’ …. In a well organized monarchy, the objective aspect belongs to law alone, and the monarch’s part is merely to set to the law the subjective ‘I will'” (¶ 280, addition). The “majesty of the monarch” lies in the free asserting of ‘I will’ as an expression of the unity of the state and the final step in establishing law.

(b) The Executive

The executive has the task of executing and applying the decisions formally made by the monarch. “This task of merely subsuming the particular under the universal is comprised in the executive power, which also includes the powers of the judiciary and the police” (¶ 287). Also, the executive is the higher authority that oversees the filling of positions of responsibilities in corporations. The executive is comprised of the civil servants proper and the higher advisory officials organized into committees, both of which are connected to the monarch through their supreme departmental heads. Overall, government has its division of labor into various centers of administration managed by special officials. Individuals are appointed to executive functions on the basis of their knowledgibility and proof of ability and tenure is conditional on the fulfillment of duties, with the offices in the civil service being open to all citizens.

The executive is not an unchecked bureaucratic authority. “The security of the state and its subjects against the misuse of power by ministers and their officials lies directly in their hierarchical organization and their answerability; but it lies too in the authority given to societies and corporations …” (¶ 295). However, civil servants will tend to be dispassionate, upright, and polite in part as “a result of direct education in thought and ethical conduct” (¶ 296). Civil servants and the members of the executive make up the largest section of the middle class, the class with a highly developed intelligence and consciousness of right. Moreover, “The sovereign working on the middle class at the top, and Corporation-rights working on it at the bottom, are the institutions which effectively prevent it from acquiring the isolated position of an aristocracy and using its education and skill as a means to an arbitrary tyranny” (¶ 297).

(c) The Legislature

For Hegel, “The legislature is concerned (a) with the laws as such in so far as they require fresh and extended determination; and (b) with the content of home affairs affecting the entire state” (¶ 298). Legislative activity focuses on both providing well-being and happiness for citizens as well as exacting services from them (largely in the form of monetary taxes). The proper function of legislation is distinguished from the function of administration and state regulation in that the content of the former are determinate laws that are wholly universal whereas in administration it is application of the law to particulars, along with enforcing the law. Hegel also says that the other two moments of the political constitution, the monarchy and the executive, are the first two moments of the legislature, i.e., are reflected in the legislature respectively through the ultimate decision regarding proposed laws and an advising function in their formation. Hegel rejects the idea of independence or separation of powers for the sake of checks and balances, which he holds destroys the unity of the state (¶ 300, addition). The third moment in the legislature is the estates (Stände), which are the classes of society given political recognition in the legislature.

In the legislature, the estates “have the function of bringing public affairs into existence not only implicitly, but also actually, i.e., of bringing into existence the moment of subjective formal freedom, the public consciousness as an empirical universal, of which the thoughts and opinions of the Many are particulars” (¶ 301). Not only do the estates guarantee the general welfare and public freedom, but they are also the means by which the state as a whole enters the subjective consciousness of the people through their participation in the state. Thus, the estates incorporate the private judgment and will of individuals in civil society and give it political significance.

The estates have an important integrating function in the state overall. “Regarded as a mediating organ, the Estates stand between the government in general on the one hand, and the nation broken up into particulars (people and associations) on the other. … [I]n common with the organized executive, they are a middle term preventing both the extreme isolation of the power of the crown … and also the isolation of the particular interests of persons, societies and Corporations” (¶ 302). Also, the organizing function of the estates prevents groups in society from becoming formless masses that could form anti-government feelings and rise up in blocs in opposition to the state.

The three classes of civil society, the agricultural, the business, and the universal class of civil servants, are each given political voice in the Estates Assembly in accordance with their distinctiveness in the lower spheres of civil life. The legislature is divided into two houses, an upper and lower. The upper house comprises the agricultural estate (including the peasant farmers and landed aristocracy), a class “whose ethical life is natural, whose basis is family life, and, so far as its livelihood is concerned, the possession of land. Its particular members attain their position by birth, just as the monarch does, and, in common with him, they possess a will which rests on itself alone” (¶ 305). Landed gentry inherit their estates and so owe their position to birth (primogeniture) and thus are free from the exigencies and uncertainties of the life of business and state interference. The relative independence of this class makes it particularly suited for public office as well as a mediating element between the crown and civil society.

The second section of the estates, the business class, comprises the “fluctuating and changeable element in civil society” which can enter politics only through its deputies or representatives (unlike the agricultural estate from which members can present themselves to the Estates Assembly in person). The appointment of deputies is “made by society as a society” both because of the multiplicity of members but also because representation must reflect the organization of civil society into associations, communities, and corporations. It is only as a member of such groups that an individual is a member of the state, and hence rational representation implies that consent to legislation is to be given not directly by all but only by “plenipotentiaries” who are chosen on the basis of their understanding of public affairs as well as managerial and political acumen, character, insight, etc. Moreover, their charge is to further the general interest of society and not the interest of a particular association or corporation instead (¶ 308-10).

The deputies of civil society are selected by the various corporations, not on the basis of universal direct suffrage which Hegel believed inevitably leads to electoral indifference, and they adopt the point of view of society. “Deputies are sometimes regarded as ‘representatives’; but they are representatives in an organic, rational sense only if they are representatives not of individuals or a conglomeration of them, but of one of the essential spheres of society and its large-scale interests. Hence, representation cannot now be taken to mean simply the substitution of one man for another; the point is that the interest itself is actually present in its representative, while he himself is there to represent the objective element of his own being” (¶ 311).

The debates that take place in the Estates Assembly are to be open to the public, whereby citizens can become politically educated both about national affairs and the true character of their own interests. “The formal subjective freedom of individuals consists in their having and expressing their own private judgements, opinions, and recommendations as affairs of state. This freedom is collectively manifested as what is called ‘public opinion’, in which what is absolutely universal, the substantive and the true, is linked with its opposite, the purely particular and private opinions of the Many” (¶ 316). Public opinion is a “standing self-contradiction” because, on the one hand, it gives expression to genuine needs and proper tendencies of common life along with common sense views about important matters and, on the other, is infected with accidental opinion, ignorance, and faulty judgment. “Public opinion therefore deserves to be as much respected as despised — despised for its concrete expression and for the concrete consciousness it expresses, respected for its essential basis, a basis which only glimmers more or less dimly in that concrete expression” (¶ 318). Moreover, while there is freedom of public communication, freedom of the press is not totally unrestricted as freedom does not mean absence of all restriction, either in word or deed.

Hegel calls the class of civil servants the “universal class” not only because as members of the executive their function is to “subsume the particular under the universal” in the administration of law, but also because they reflect a disposition of mind (due perhaps largely from their education) that transcends concerns with selfish ends in the devotion to the discharge of public functions and to the public universal good. As one of the classes of the estates, civil servants also participate in the legislature as an “unofficial class,” which seems to mean that as members of the executive they will attend legislative assemblies in an advisory capacity, but this is not entirely clear from Hegel’s text. Also, given that the monarch and the classes of civil society when conceived in abstraction are opposed to each other as “the one and the many,” they must become “fused into a unity” or mediated together through the civil servant class. From the point of view of the crown the executive is such a middle term, because it carries out the final decisions of the crown and makes it “particularized” in civil society. On the other hand, in order for the classes of civil society to actually sense this unity with the crown a mediation must occur from the other direction, so to speak, where the upper house of the estates, in virtue of certain likenesses to the Crown (e.g., role of birth for one’s position) is able to mediate between the Crown and civil society as a whole.

(2) Sovereignty vis-à-vis foreign States

The interpenetration of the universal with the particular will through a complex system of social and political mediations is what produces the self-consciousness of the nation-state considered as an organic (internally differentiated and interrelated) totality or concrete individual. In this system, particular individuals consciously pursue the universal ends of the State, not out of external or mechanical conformity to law, but in the free development of personal individuality and the expression of the unique subjectivity of each. However, individuality is not something possessed by particular persons alone, or even primarily by such persons. The state as a whole, i.e., the nation-state as distinct from the political state as one of its moments, constitutes a higher form of individuality. In principle, Mind or Spirit possesses a singleness in its “negative self-relation,” i.e., in the sense that unity in a being is a function of setting itself off from other beings. “Individuality is awareness of one’s existence as a unit in sharp distinction from others. It manifests itself here in the state as a relation to other states, each of which is autonomous vis-à-vis the others. This autonomy embodies mind’s actual awareness of itself as a unit and hence it is the most fundamental freedom which a people possesses as well as its highest dignity” (¶ 322). For any being to have self-conscious independence requires distinguishing the self from any of its contingent characteristics (inner self-negation), which externally is a distinction from another being. This consciousness of what one is not is for the nation-state its negative relation to itself embodied externally in the world as the relation of one state to another. However, this is not a mere externality, “But in fact this negative relation is that moment in the state which is most supremely its own, the state’s actual infinity as the ideality of everything finite within it” (¶ 323).

According to Hegel, war is an “ethical moment” in the life of a nation-state and hence is neither purely accidental nor an inherent evil. Because there is no higher earthly power ruling over nation-states, and because these entities are oriented to preserving their existence and sovereignty, conflicts leading to war are inevitable. Also, defense of one’s nation is an ethical duty and the ultimate test of one’s patriotism is war. “Sacrifice on behalf of the individuality of the state is the substantial tie between the state and all its members and so is a universal duty” (¶ 325). In making a sacrifice for the sake of the state individuals prove their courage, which involves a transcendence of concern with egoistic interests and mere material existence. “The intrinsic worth of courage as a disposition of mind is to be found in the genuine absolute, final end, the sovereignty of the state. The work of courage is to actualize this final end, and the means to this end is the sacrifice of personal actuality” (¶ 328). Moreover, war, along with catastrophy, disease, etc, highlights the finitude, insecurity, and ultimate transitoriness of human existence and puts the health of a state to a test. Hegel does not consider the ideal of “perpetual peace,” as advocated by Kant, a realistic goal towards which humanity can strive. Not only is the sovereignty of each state imprescriptible, but any alliance or league of states will be established in opposition to others.

2) International Law

“International law springs from the relations between autonomous states. It is for this reason that what is absolute in it retains the form of an ought-to-be, since its actuality depends on different wills each of which is sovereign” (¶ 330). States are not private persons in civil society who pursue their self-interest in the context of universal interdependence but rather are completely autonomous entities with no relations of private right or morality. However, since a state cannot escape having relations with other states, there must be at least some sort of recognition of each by the other. International law prescribes that treaties between states ought to be kept, but this universal proviso remains abstract because the sovereignty of a state is its guiding principle, hence states are to that extent in a state of nature in relation to each other (in the Hobbesian sense of there being natural rights to one’s survival with no natural duties to others). “Their rights are actualized only in their particular wills and not in a universal will with constitutional powers over them. This universal proviso of international law therefore does not go beyond an ought-to-be, and what really happens is that international relations in accordance with treaty alternate with the severance of these relations” (¶ 333). Obviously, if states come to disagree about the nature of their treaties, etc., and there is no acceptable compromise for each party, then matters will ultimately be settled by war.

States recognize their own welfare as the highest law governing their relations to one another, however, the claim by a state to recognition of this welfare is quite different from claims to welfare by individual person in civil society. “The ethical substance, the state, has its determinate being, i.e., its right, directly embodied in something existent … and the principle of its conduct and behavior can only be this concrete existent and not one of many universal thoughts supposed to be moral commands” (¶ 337). States recognize each other as states, and even in war there is awareness of the possibility that peace can be restored and that therefore war ought to come to an end, as well as understandings about the proper limitations on the waging of war. However, at most this translates into the jus gentium, the law of nations understood as customary relationships, which remains a “maelstrom of external contingency.” The principles of the mind or spirit (Volksgeist) of a nation-state are wholly restricted because its particularity is already that of realized individuality, possessing objective actuality and self-consciousness. Hence, the reciprocal relations of states to one another partake of a “dialectic of finitude” out of which arises the universal mind, “the mind of the world, free from all restriction, producing itself as that which exercises its right–and its right is the highest right of all–over these finite minds in the ‘history of the world which is the world’s court of judgment'” (¶ 340).

3) World History

To say that history is the world’s court of judgment is to say that over and above the nation-states, or national “spirits,” there is the mind or Spirit of the world (Weltgeist) which pronounces its verdict through the development of history itself. The verdicts of world history, however, are not expressions of mere might, which in itself is abstract and non-rational. Rather than blind destiny, “world history is the necessary development, out of the concepts of mind’s freedom alone, of the moments of reason and so of the self-consciousness and freedom of mind” (¶ 342). The history of Spirit is the development through time of its own self-consciousness through the actions of peoples, states, and world historical actors who, while absorbed in their own interests, are nonetheless the unconscious instruments of the work of Spirit. “All actions, including world-historical actions, culminate with individuals as subjects giving actuality to the substantial. They are the living instruments of what is in substance the deed of the world mind and they are therefore directly at one with that deed though it is concealed from them and is not their aim and object” (¶ 348). The actions of great men are produced through their subjective willing and their passion, but the substance of these deeds is actually the accomplishment not of the individual agent but of the World Spirit (e.g., the founding of states by world-historical heroes).

Hegel says that in the history of the world we can distinguish several important formations of the self-consciousness of Spirit in the course of its free self-development, each corresponding to a significant principle. More specifically, there are four world-historical epochs, each manifesting a principle of Spirit as expressed through a dominant culture. In the Philosophy of Right, Hegel discusses these in a very abbreviated way in paragraphs 253-260, which brings this work to an end. Here we will draw from the more elaborated treatment in the appendix to the introduction to Hegel’s lectures on the Philosophy of World History.

(1) The Oriental Realm (mind in its immediate substance)

Here Spirit exists in its substantiality (objectivity) without inward differentiation. Individuals have no self-consciousness of personality or of rights–they are still immersed in external nature (and their divinities are naturalistic as well). Hegel characterizes this stage as one of consciousness in its immediacy, where subjectivity and substantiality are unmediated. In his Philosophy of History Hegel discusses China, India, and Persia specifically and suggests that these cultures do not actually have a history but rather are subject to natural cyclical processes. The typical governments of these cultures are theocratic and more particularly despotism, aristocracy, and monarchy respectively. Persia and Egypt are seen as transitional from these “unhistorical” and “non-political” states. Hegel calls this period the “childhood” of Spirit.

(2) The Greek Realm (mind in the simple unity of subjective and objective)

In this realm, we have the mixing of subjective freedom and substantiality in the ethical life of the Greek polis, because the ancient Greek city-states give expression to personal individuality for those who are free and have status. However, the relation of individual to the state is not self-conscious but is unreflective and based on obedience to custom and tradition. Hence, the immediate union of subjectivity with the substantial mind is unstable and leads to fragmentation. This is the period of the “adolescence” of Spirit.

(3) The Roman Realm (mind in its abstract universality)

At this stage, individual personality is recognized in formal rights, thus including a level of reflection absent in the Greek realm of “beautiful freedom.” Here freedom is difficult because the universal subjugates individuals, i.e., the state becomes an abstraction over above its citizens who must be sacrificed to the severe demands of a state in which individuals form a homogeneous mass. A tension between the two principles of individuality and universality ensues, manifesting itself in the formation of political despotism and insurgency against it. This realm gives expression to the “manhood” of Spirit.

(4) The Germanic Realm (reconciled unity of subjective and objective mind)

This realm comprises along with Germany and the Nordic peoples the major European nations (France, Italy, Spain) along with England. The principle of subjective freedom comes to the fore in such a way as to be made explicit in the life of Spirit and also mediated with substantiality. This involves a gradual development that begins with the rise of Christianity and its spiritual reconciliation of inner and outer life and culminates in the appearance of the modern nation-state, the rational Idea of which is articulated in the Philosophy of Right. (Along the way there are several milestones Hegel discusses in his Philosophy of History that are especially important in the developing of the self-consciousness of freedom, in particular the Reformation, the Enlightenment, and the French Revolution.) One of the significant features of the modern world is the overcoming of the antithesis of church and state that developed in the Medieval period. This final stage of Spirit is mature “old age.”

In sum, for Hegel the modern nation-state can be said to manifest a “personality” and a self-consciousness of its inherent nature and goals, indeed a self-awareness of everything which is implicit in its concept, and is able to act rationally and in accordance with its self-awareness. The modern nation-state is a “spiritual individual,” the true historical individual, precisely because of the level of realization of self-consciousness that it actualizes. The development of the perfected nation-state is the end or goal of history because it provides an optimal level of realization of self-consciousness, a more comprehensive level of realization of freedom than mere natural individuals, or other forms of human organization, can produce.

7. Closing Remarks

In closing this account of Hegel’s theory of the state, a few words on a “theory and practice” problem of the modern state. In the preface to the Philosophy of Right Hegel is quite clear that his science of the state articulates the nature of the state, not as it ought to be, but as it really is, as something inherently rational. Hegel’s famous quote in this regard is “What is rational is actual and what is actual is rational,” where by the ‘actual’ (Wirklich) Hegel means not the merely existent, i.e., a state that can be simply identified empirically, but the actualized or realized state, i.e., one that corresponds to its rational concept and thus in some sense must be perfected. Later in the introduction of the Idea of the state in paragraph 258, Hegel is at pains to distinguish the Idea of the state from a state understood in terms of its historical origins and says that while the state is the way of God in the world we must not focus on particular states or on particular institutions of the state, but only on the Idea itself. Furthermore he says, “The state is no ideal work of art; it stands on earth and so in the sphere of caprice, chance, and error, and bad behavior may disfigure it in many respects. But the ugliest of men, or a criminal, or an invalid, or a cripple, is still always a living man. The affirmative, life, subsists despite his defects, and it is this affirmative factor which is our theme here” (¶ 258, addition). The issue, then, is whether the actual state — the subject of philosophical science — is only a theoretical possibility and whether from a practical point of view all existing states are in some way disfigured or deficient. Our ability to rationally distill from existing states their ideal characteristics does not entail that a fully actualized state does, or will, exist. Hence, there is perhaps some ambiguity in Hegel’s claim about the modern state as an actualization of freedom.

8. References and Further Reading

a. Works by Hegel in German and in English Translation

Below are works by Hegel that relate most directly to his social and political philosophy.

  • Encyklopädie der philosophischen Wissenschaften im Grundrisse, Berlin 1830; ed. G. Lasson & O. Pöggler (Hamburg, 1959).
    • In the third volume of this work, The Philosophy of Spirit, the section on Objective Spirit corresponds to Hegel’s Philosophy of Right.
  • Grundlinien der Philosophie des Rechts, ed. J. Hoffmeister. Hamburg, 1955.
  • Hegels Grundlinien der Philosophie des Rechts, 2nd edn. hrsg. G. Lasson. Leipzig, 1921.
    • This is the most recent edition referred to in T. M. Knox’s translation of 1952.
  • Hegel’s Logic, trans. William Wallace. Oxford University Press, 1892.
  • Hegel’s Phenomenology of Spirit, trans. A.V. Miller. Oxford University Press, 1977.
  • Hegel’s Philosophy of Mind, trans. William Wallace & A. V. Miller. Oxford University Press, 1971.
  • Hegel’s Philosophy of Right, trans. T. M. Knox. Clarendon Press, 1952; Oxford University Press, 1967.
  • Hegel’s Political Writings, trans. T. M. Knox, with an introductory essay by Z. A. Pelczynski. Oxford: Clarendon Press, 1964.
    • This contains the following pieces: “The German Constitution,” “On the Recent Domestic Affairs of Wurtemberg …,” “The Proceedings of the Estates Assembly in the Kingdom of Wurtemberg, 1815-1816,” and “The English Reform Bill.”
  • Hegels sämtliche Werke, vol. VIII, ed. E. Gans. Berlin: 1833, 1st ed.; 1854, 2nd ed..
    • These were the first editions of the material of The Philosophy of Right to incorporate additions culled from notes taken at Hegel’s lectures. T. M. Knox reproduces these in his 1952 translation.
  • Jenaer Realphilosophie I: Die Vorlesungen von 1803/4, ed. J. Hoffmeister. Leipzig, 1913.
  • Jenaer Realphilosophie II: Die Vorlesungen von 1805/6, ed. J. Hoffmeister. Hamburg, 1967.
  • Lectures on the Philosophy of World History: Introduction, trans. H. B. Nisbet, with an introduction by Duncan Forbes. Cambridge University Press, 1975.
    • This is based on the 1955 German edition by J. Hoffmeister.
  • Natural Law, trans. T. M. Knox, with an introduction by H. B. Acton. Philadelphia, PA: University of Pennsylvania Press, 1977.
  • Phänomenologie des Geistes, ed. J. Hoffmeister. Hamburg: Felix Meiner, 1952.
  • The Philosophy of History, trans. J. B. Sibree. New York: Dover Publications Inc., 1956.
    • This is a reprint of the 1899 translation (the first was done in 1857) of Hegel’s Lectures on the Philosophy of History, published by Colonial House Press. The Dover edition has a new introduction by C. J. Friedrich.
  • Political Writings. Eds. L. Dickie & H. B. Nisbet. Cambridge Texts in the History of Political Thought. Cambridge: Cambridge University Press, 1999.
  • Politische Schriften, Nachwort von Jürgen Habermas. Frankfurt/Main, 1966. A more recent edition of the material of the Schriften zur Politik (see below).
  • Reason in History, trans. R. S. Hartman. New York, 1953. The introduction to Hegel’s lectures on the Philosophy of World History.
  • Schriften zur Politik und Rechtsphilosophie, 2nd ed. hrsg. Georg Lasson. Leipzig, 1923. This is the basis of T. M. Knox’s translations in Hegel’s Political Writings, 1964.
  • System of Ethical Life and First Philosophy of Spirit, trans. H. S. Harris & T. M. Knox. Albany, NY: State University of New York Press, 1979.
  • Die Vernunft in der Geschichte, ed. J. Hoffmeister. Hamburg, 1955.
    • This is the fourth edition of Hegel’s lectures on the Philosophy of World History given in Berlin from 1822-1830; the previous editions were done by Eduard Gans (1837), Karl Hegel (1840), and Georg Lasson (1917, 1920, 1930). In the 1930 edition, Lasson added additional manuscript material by Hegel as well as lecture notes from students, which are preserved in Hoffmeister’s edition.
  • Werke. Frankfurt: Suhrkamp Verlag, 1970.
    • This is the most recent and comprehensive collection of Hegel’s works. His social and political writings are contained in various volumes.

b. Works on Hegel’s Social and Political Philosophy

The books listed below either focus on one or more aspects of Hegel’s social and political thought or include some discussion in this area and, moreover, are significant enough works on Hegel to be included. The most comprehensive bibliography on Hegel is Hegel-Bibliographie (München: K. G Saur Verlag, 1980). For books and articles in the last 25 years, consult the Philosopher’s Index.

  • Avineri, Shlomo. Hegel’s Theory of the Modern State. Cambridge: Cambridge University Press, 1972.
  • Bosanquet, Bernard. The Philosophical Theory of the State. 4th edition, London: Macmillan, 1930, 1951.
  • Cullen, Bernard. Hegel’s Social and Political Thought: An Introduction. New York: St. Martin’s Press, 1979.
  • Findlay, John. Hegel: A Re-examination (1958). Oxford: Oxford University Press, 1976.
  • Foster, Michael B. The Political Philosophies of Plato and Hegel. Oxford: Clarendon Press, 1935/1968.
  • Dickey, Laurence. Religion, Economics, and the Politics of Spirit. Cambridge: Cambridge University Press, 1987.
  • Franco, Paul. Hegel’s Philosophy of Freedom. New Haven, CT: Yale University Press, 2000.
  • Gray, Jesse Glen. Hegel And Greek Thought. New York: Harper & Row, 1968.
  • Hardimon, Michael O. Hegel’s Social Philosophy: The Project of Reconciliation. Cambridge University Press, 1994.
  • Harris, H. S. Hegel’s Development, vols. 1 & 2. Oxford: Clarendon Press, 1972, 1983.
  • Haym, Rudolf. Hegel und seine Zeit. Berlin, 1857; Hildenshine, 1962).
  • Henrich, Dieter & R. P. Horstman. Hegels Philosophie des Rechts. Stuttgart: Klett-Catta, 1982.
  • Hicks, Steven V. International Law and the Possibility of a Just World Order: An Essay on Hegel’s Universalism. Value Inquiry Book Series 78. Amsterdam/Atlanta, GA: Rodopi, 1999.
  • Hyppolite, Jean. Genesis and Structure of Hegel’s Phenomenology of Spirit (1946). Trans. S. Cherniak & J. Heckman. Evanston, IL: Northwestern University Press, 1974.
  • Kainz, Howard P. Hegel’s Philosophy of Right with Marx’s Commentary. The Hague: Nijhoff, 1974.
  • Kaufman, Walter A. Hegel’s Political Philosophy. New York: Atherton Press, 1970.
  • ________. Hegel: A Reinterpretation. New York: Anchor Books, 1966.
  • Kelly, George Armstrong. Hegel’s Retreat From Eleusis: Studies In Political Thought. Princeton: Princeton University Press, 1978.
  • Kojeve, Alexander. Introduction to the Reading of Hegel (1947). Ed. Allen Bloom, trans. J. H. Nichols. New York: Basic Books, 1969.
  • Lakeland, Paul. The Politics of Salvation: The Hegelian Idea of the State. Albany, NY: SUNY Press, 1984.
  • MacGregor, David. The Communist Ideal in Hegel and Marx. Toronto: University of Toronto Press, 1984.
  • ___________. Hegel, Marx, and the English State. University of Toronto Press, 1996.
  • Marcuse, Herbert. Reason and Revolution: Hegel and the Rise of Social Theory. Boston: Beacon Press, 1960.
  • Mehta, V.R. Hegel and the Modern State. New Delhi: Associated Publishing House, 1968.
  • Mitias, Michael. Moral Foundation of the State in Hegel’s Philosophy of Right. Amsterdam: Rodopi, 1984.
  • Morris, George S. Hegel’s Philosophy of the State and of History. Chicago: S. C. Griggs & Co., 18871, 18922.
  • O’Brien, George Dennis. Hegel On Reason and History. Chicago: Chicago University Press, 1975.
  • O’Neil, John, ed. Hegel’s Dialectic of Desire and Recognition: Texts and Commentary. Albany, NY: SUNY Press, 1996.
  • Paolucci, Henry. The Political Thought of G. W. F. Hegel. Whitestone, NY: Griffon House, 1978.
  • Pelczynski, Z. A. (ed.). Hegel’s Political Philosophy: Problems and Perspectives. London: Cambridge University Press, 1971.
  • ___________. The State and Civil Society: Studies in Hegel’s Political Philosophy. Cambridge: Cambridge University Press, 1984.
  • Perkins, Robert L. (ed.). History and System: Hegel’s Philosophy of History. Albany: State University of New York Press, 1984.
  • Plamenatz, John. Man and Society, vol. II. London: Longman, 1963.
  • Plant, Raymond. Hegel: An Introduction. London: Allen & Unwin Ltd., 1972; Basil Blackwell, 1983.
  • Pepperzak, Adriaan T. Philosophy and Politics: A Commentary to the Preface of Hegel’s Philosophy of Right. Dordrecht: Martinus Nijhoff Publishers, 1987.
  • Popper, Karl. The Open Society and Its Enemies. Princeton: Princeton University Press, 1966.
  • Reyburn, Hugh A. The Ethical Theory of Hegel: A Study of the Philosophy of Right. Oxford: Clarendon Press, 1921.
  • Riedel, Manfred. Between Tradition and Revolution: The Hegelian Transformation of Political Philosophy. Cambridge: Cambridge University Press, 1984.
  • Ritter, Joachim. Hegel and the French Revolution: Essays on ‘The Philosophy of Right’. trans. Richard Dien Winfield, Cambridge, MA: The MIT Press, 1982.
  • Rosenkranz, Karl. Hegel As The National Philosopher of Germany. trans. G. S. Hall, St. Louis: Gray, Baker, 1874.
  • Rosenweig, Franz. Hegel und der Staat. Berlin/München, 1920; Aalen: Scientia Verlag, 1982.
  • Shanks, Andrew. Hegel’s Political Theology. Cambridge: Cambridge University Press, 1991.
  • Shklar, Judith N. Freedom and Independence: A Study of the Political Ideas of Hegel’s ‘Phenomenology of Mind’. Cambridge: Cambridge University Press, 1976.
  • Siebert, Rudolf J. Hegel’s Concept of Marriage and Family: The Origin of Subjective Freedom. Washington, D.C.: The University Press of America, 1979.
  • _______. Hegel’s Philosophy of History: Theological, Humanistic and Scientific Elements. Washington: University Press of America, 1979.
  • Siep, Ludwig. Anerkennung als Prinzip der praktische Philosophie: Zur Hegels Jenaer Philosophie des Geistes. München, Alber, 1979
  • Singer, Peter. Hegel. Past Masters Series (Oxford University Press, 1983).
  • Smith, Steven B. Hegel’s Critique of Liberalism: Rights in Context. Chicago: Chicago University Press, 1989.
  • Steinberger, Peter J. Logic and Politics: Hegel’s Philosophy of Right. New Haven: Yale University Press, 1982.
  • Stepelevich, L. S. & D. Lamb, (eds.). Hegel’s Philosophy of Action. Atlantic Highlands, NJ: Humanities Press, 1983.
  • Taylor, Charles. Hegel and Modern Society. New York and London: Cambridge University Press, 1979.
  • Tunick, Mark. Hegel’s Political Philosophy. Princeton University Press, 1992.
  • Verene, Donald Phillip (ed.). Hegel’s Social and Political Thought: The Philosophy of Objective Spirit. Atlantic Highlands, NJ: Humanities Press/Sussex: Harvester Press, 1980.
  • Walsh, William Henry. Hegelian Ethics. London/Melbourne: Macmillan; New York: St. Martin’s Press, 1969.
  • Wazek, Norbert. The Scottish Enlightenment and Hegel’s Account of ‘Civil Society‘. Boston: Kluwer Academic Publishers, 1988.
  • Weil, Eric. Hegel et L’Etat. Paris, 1950.
  • Westphal, Merold. History and Truth in Hegel’s Phenomenology. Atlantic Highlands, NJ: Humanities Press, 1979.
  • Wilkins, Burleigh Taylor. Hegel’s Philosophy of History. Ithaca: Cornell University Press, 1974.
  • Williams, Robert R. (ed.). Beyond Liberalism and Communitarianism: Studies in Hegel’s Philosophy of Right. Proceedings of the 15th Biennial Meeting of the Hegel Society of America. SUNY Press, 2000.
  • Wood, Allen. Hegel’s Ethical Thought. Cambridge University Press, 1982.

Author Information

David A. Duquette
Email: david.duquette@snc.edu
St. Norbert College
U. S. A.

Johann Georg Hamann (1730—1788)

HamannJohann Georg Hamann was the philosophically most sophisticated thinker of the German Counter-enlightenment. Born in 1730 in Königsberg in eastern Prussia, Hamann was a contemporary and friendly acquaintance of the philosopher Immanuel Kant, and in many ways Hamann’s career can be seen in parallel to that of his great friend. Like Kant, Hamann attended the University of Königsberg, and in his early life was a devoted partisan of the Enlightenment, the philosophical and literary movement that emphasized the clearing away of outdated prejudice and the application of scientific reason to every area of human life. But during a business trip to London (on behalf of the firm of the Berens family, who also published Kant’s works), Hamann underwent a sort of conversion that involved giving up his commitment to the secular Enlightenment in favor of a more orthodox view of Protestant Christianity. As a consequence, he embarked on a career of trenchant and often scathing criticism of the Enlightenment. This change in world-views coincided with his reading of the British empiricist philosophers George Berkeley and David Hume. Hamann saw the idealism of the former and the skepticism of the latter as constituting a reductio ad absurdum of Enlightenment thought: Scientific reason leads us inevitably either to doubt or to deny the reality of the world around us. Three of Hamann’s intellectual achievements are of particular significance: His writings Sokratische Denkwürdigkeiten (Socratic Memorabilia) and Aesthetica in nuce (Aesthetics in a Nutshell), in which he opposed Enlightenment thought with an indirect and ironic mode of discourse emphasizing the importance of aesthetic experience and the role of genius in intuiting nature; his views on language; and his influential criticisms of Kant’s critical thought, expressed in his “Metakritik über den Purismum der Vernunft” and in his commentary, in a letter to Johann Gottfried Herder, on Kant’s essay “What is Enlightenment?”

Table of Contents

  1. Sokratische Denkwürdigkeiten and Aesthetica in nuce
  2. Hamann’s Views on Language
  3. “Metacritique” of Kant
  4. References and Further Reading
    1. Works in German
    2. Works in English
    3. Works in English that Discuss Hamann

1. Sokratische Denkwürdigkeiten and Aesthetica in nuce

Hamann’s rejection of the Enlightenment was greeted with distress by his friends Kant and Berens. Although they hoped that he could be won back to the cause of reason, these hopes were dashed with the publication in 1759 of Sokratische Denkwürdigkeiten, and the following year of Aesthetica in nuce. Together these two works offer a world-view that might be described as antirationalist but not irrationalist.

Hamann’s intention in the Sokratische Denkwürdigkeiten is to offer a defense of religious faith that renders such faith immune against rational attack while in no way accepting the rationalist’s terms of debate. In order to do this, however, he faces a seemingly insoluble problem: He must undermine the grounds of the Enlightenment view of reason and religion without committing himself to other, opposed positions that are subject to rational criticism and refutation. Several aspects of how he goes about this were very influential in German thought in the 18th century. First, the work is written under a pseudonym, or rather, not under any name at all: The title page says that the Denkwürdigkeiten were “assembled for the boredom of the public by a lover of boredom,” most likely a reference to the Enlighteners’ desire to educate the public in the name of reason. By distancing himself from the authorship of what was probably his most important work, Hamann makes clear that any arguments offered or positions taken in the book ought to be viewed as moves in a game rather than as expressions of his rational faculty. Second, Hamann makes crucial use of irony, specifically Socratic irony, in his attack on the Enlightenment. “I have,” says Hamann at the beginning of the work, “written about Socrates in a Socratic manner. Analogy was the soul of his syllogisms, and he gave them irony as their body.” Specifically, Hamann holds up Socrates, the philosophers’ secular saint, in order to draw an unfavorable contrast between him and the Enlightenment. Despite his wisdom, Socrates explicitly renounced his claim to know the answers to the questions he asked; rather than taking and defending determinate positions on the issues he was interested in, Socrates engaged his listeners in conversation so as to bring them to realize that they did not know the answers to these questions any more than Socrates did. Similarly, Hamann intends the Sokratische Denkwürdigkeiten to show that Berens and Kant are (at least) as far from genuine knowledge as he is. Finally, like all of Hamann’s works, the style of the Sokratische Denkwürdigkeiten is intentionally opaque: In contrast to the Enlightenment emphasis on universal truths that transcend the time and place in which they are expressed, Hamann fills his text with oblique allusions to a wide variety of texts in several languages; moves from one point to another with little indication of how the various passages are supposed to hang together; and shifts without warning from careful argumentative analysis to citation of texts to something like oracular declamation. As a result, it is impossible for the reader to forget that the text she is reading is the work of a particular individual writing in a particular time and place, rather than expressing timeless deliverances of reason.

How then does the text of the Sokratische Denkwürdigkeiten accomplish the defense of religious faith Hamann desires? The chief contention of the work is that religious faith is neither based on nor subject to reason. Here Hamann relies not so much on Socrates but rather on David Hume, whose skeptical writings had affected him so deeply a few years before. Hume would doubtless have found little to his liking in Hamann’s rejection of the Enlightenment, but Hamann found much in Hume to serve his purposes. Specifically, Hamann adapts Hume’s important claim that “belief… [etc.].” Hume intends this as a way of answering the worst sort of skepticism: If our beliefs are not based on reasoning, then reasoning cannot threaten them, either. Hamann makes use of the fact that in German there is one word, ‘Glaube,’ that corresponds both to ‘belief’ and to ‘faith’ in English. Thus in his hands Hume’s claim is extended to religious faith as well, making it immune from rational criticism. But this is not to be understood as a position taken with debates about the philosophical foundations of religion. Instead, Hamann again makes use of the figure of Socrates. He compares Socrates to someone refusing to join a game of cards: If this person didn’t know how to play, Hamann observes, we might take their refusal as an expression of incapacity, much as we would take an expression of ignorance from an ordinary person as a genuine indication that he lacks knowledge. But in the case of Socrates, who was manifestly a deep thinker and great philosopher, professions of ignorance must be read as refusals to participate in a game in which the other players “break the rules of the game and steal its joy [das Glück desselben stehlen]. Socrates’ ignorance thus became a “thorn in the eyes” of the sophists (here again Kant and Berens are clearly intended) and serve as “testimony” against the “new Athenians” of Hamann’s time, who deified Socrates “in order to be better able to mock the carpenter’s son [Jesus].”

But if Socrates was a great philosopher, as Hamann emphasizes, what can he be said to know? Hamann’s answer to this question is ‘genius.’

What in Homer makes up for the ignorance of artistic rules, that Aristotle thought up after him, and what in Shakespeare makes up for the ignorance or violation of these rules? Genius (Genie) is the unambiguous answer. Socrates could thus well have been ignorant; he had a genius (Genius) on whose knowledge he could rely, and who he feared as his God.Hamann’s use of the notion of genius in the Sokratische Denkwürdigkeiten serves as a bridge to his second major work, the Aesthetica in nuce. His target in the Aesthetica is Enlightenment thought as it applies specifically to art and beauty. Aesthetics in the Enlightenment alternated between attempts to reduce art to rules, more specifically rules for the accurate and morally uplifting imitation of nature, and attempts to explain art as a response to the subjective human capacity for feeling and sensation. Hamann emphatically rejects both of these tendencies, along with the devaluation of the aesthetic he seems them as implying. Far from being reducible to rational principles, in his view aesthetic experience is a fundamental and immediate experience of nature, which he encapsulates (both in the Aesthetica and in Sokratische Denkwürdigkeiten) under the term ‘genius.’

The chief philosophical significance of the Aesthetica in nuce is that Hamann here deepens his conception of the connection between artistic genius, nature, and God. Nature, he says, is “a speech through creation to creation.” That is, nature is a text written by God, which, being creatures ourselves, we are able to understand through His grace. But this understanding is of course not a rational one, through concepts and scientific investigation. Rather, in aesthetic experience we grasp nature in a manner that precedes, and indeed forms the basis for, rational thought: “Poetry [Poesie] is the native tongue of the human race, just as gardening is older than agriculture, painting older than writing, chant older than declamation, similes older than conclusions, and barter than trade.” This view has radical consequences for the Enlightenment. Whereas the task of philosophical aesthetics in the early modern period was to incorporate aesthetic experience into the rational worldview, Hamann now argues that we must instead do the former, that is, view reason as one aspect of our aesthetic experience of the world. It is thus pointless to try to formulate rational standards for beauty. Second, giving art priority over reason threatens reason’s claim to be the proper form for representing nature, which is crucial to the central role given in the Enlightenment to natural science. Finally, if reason is subordinated to art rather than the reverse, then in so far as there is a tension between artistic and rational views of the world the value placed on reason in the 18th-century represents not progress but regress. Hamann’s early writings inspired thinkers such as Friedrich Heinrich Jacobi, who appropriated the skeptical arguments of David Hume to argue that reason is based entirely on faith, and Johann Gottfried Herder, who offered an account of human thought that emphasized the continuous historical development of humanity from its original natural state. More immediately, Hamann’s thought had an enormous impact on the literary movement known as the Sturm und Drang– literally, “storm and stress.” Works of the Sturm und Drang emphasized nature and human passion. Indeed these two themes were closely linked, in that passion was seen as closer to nature. More distantly, Hamann’s thought was instrumental in the rise, around the turn of the century, of the Romantic movement in Germany.

2. Hamann’s Views on Language

From his earliest works onward, language was a central theme in all of Hamann’s writings. Here too his opposition to the Enlightenment was influential not only in his time but also in present-day philosophy and literary theory. Hamann’s account of language can best be understood by contrast with an admittedly too-simple sketch of the sort of view he opposed. Much Enlightenment thought on language was naturalistic, that is, it saw language as a useful tool invented by human beings. The original humans were thinking, rational beings who invented symbols, attaching names things in the world around them for purposes of communication and learning. Thus both reason and the world precede, and are independent of, language. Hamann rejects this view in all its particulars.

Important elements of Hamann’s account of language are already visible in the Aesthetica in nuce, in particular in the claim that the world is “a speech through creation to creation.” Here it is clear that language for Hamann is not something projected onto the world by human reason, but instead is as it were embedded in the things themselves by God the creator. At some points in his writings on language, Hamann maintains the position that language is simultaneously the work of both God and humans, while at other places he seems to lean more toward the view that God alone is the source of language. In any case, he clearly holds the view that neither thought nor reason is possible independently of language. Indeed, since God’s act of creation is in a sense inherently linguistic, he must hold that language precedes, or at least is contemporaneous with reason in particular and thought in general. As we will see, this is an idea that is very important for his critique of the philosophy of Immanuel Kant.

3. “Metacritique” of Kant

In 1781 Hamann’s friend but philosophical opponent Immanuel Kant published his Critique of Pure Reason. Kant’s project in the Critique has two sides. On the one hand, Kant argues that reason is incapable of attaining knowledge of the existence of, for example, God and the immortality of the soul; however, these beliefs are also incapable of being refuted through reason. This much, of course, Hamann could gladly agree with. But Kant also undertakes to defend both reason and the claim of natural science to offer a privileged description of the world. The latter task is accomplished in the Transcendental Deduction of the Categories, in which Kant argues that our experience requires us to understand the natural world as being composed of substances interacting according to necessary causal laws discoverable by natural science. The former task (which is Hamann’s chief target) is accomplished by reinterpreting reason as the ability to set goals for human cognition and moral action. This alarmed Hamann because it put reason in the place of religious faith, along with the tradition and culture he thought essential to human understanding. In response to Kant’s work, which was the most important event in German philosophy in the 18th century, Hamann penned a short essay entitled “Metakritik über den Purismum der Vernunft” (“Metacritique on the Purism of Reason”). Although the Metacritique was never published in Hamann’s lifetime, he included it in a letter to his friend Johann Gottfried Herder (who was also a student of Kant’s), and Herder passed it on to Friedrich Heinrich Jacobi, thus enabling this small but interesting text to exert what one commentator has called a “subterranean influence” on German thought after Kant.

Hamann’s thesis in the Metacritique is that “language is the center of reason’s misunderstanding with itself.” More specifically, Hamann thinks that Kant’s critical philosophy, while maintaining that everything in the world must submit to rational questioning and appraisal, nevertheless overlooks the crucial fact that all use of reason, including Kant’s reason, depends on language: Kant imagines, he says, that he can simply “invent” a “universal philosophical language,” whereas here and elsewhere Hamann maintains that words have meaning only in relation to the time and place where they are appropriate. Hamann is clearly on to something important here, because the force of Kant’s conclusions in the Critique of Pure Reason requires that we accept his quite substantial body of terminology, such as the distinctions between a priori and a posteriori, and between analytic and synthetic propositions. But, one might ask, why can’t one simply invent terms of art and stipulate their meanings? This is probably, in fact, what Kant saw himself as doing. Hamann answers this question indirectly, by appealing to the empiricists Berkeley and Hume. Both Berkeley and Hume reject the existence of so-called “abstract ideas,” arguing that there is no philosophical justification for referring to anything in the world other than particular sensible things, whereas abstract ideas are things that can exist only in the privacy of human minds. Since Kant himself accepts the quasi-empiricist view that our knowledge is limited to possible experience, Hamann’s point is that Kant cannot justify his own philosophical enterprise unless he can offer a justification for the very language in which the enterprise is couched- a demand that seems impossible for Kant to fulfill.

Quite late in his life, Hamann participated in another intellectual dispute involving Kant, this one centering on the question, “What is enlightenment.” Although Kant was not the first to contribute to this debate, his was the most prominent and influential statement on the question. In his essay, also entitled “What is Enlightenment?,” Kant defines enlightenment as “the departure of human beings from their self-incurred incapacity.” Its slogan, he says, is sapere aude!— Dare to think! Ignorance on this view is a sort of moral failing in human beings who have neglected to exercise their rational faculties to the fullest extent possible. Hamann responded to Kant’s essay not in print, but rather in a letter to a former student of Kant’s, Christian Jacob Kraus. Again, his target is the Enlightenment’s belief that reason rather than culture, tradition, or religious faith, is the proper guide for human life. His response to Kant turns on an important change in Kant’s language: For Kant’s word “incapacity” [Unmündigkeit] he substitutes the word “domination” [Vormundschaft]. Failure to be fully enlightened results, Hamann suggests, not from a failure to think for oneself, but rather from the fact that people are told what to think by people-like Kant– who see themselves as more rational and thus closer to the truth than ordinary mortals. Hamann thus rejects Kant’s view that the incapacity he bemoans is “self-incurred.” Instead, the “enlightened” state replaces one dominant group (say, the aristocracy) with another (“Enlighteners” such as Kant). Here Hamann anticipates, at least in broad strokes, the late 20th-century suspicion that liberal democracy cannot live up to its own pretensions to universal tolerance, because viewing oneself as a citizen in a liberal democracy requires many of us to subordinate some of our most passionately held beliefs to the demands of citizenship.

Johann Georg Hamann died in 1788.

4. References and Further Reading

a. Works in German

  • Samtliche Werke, ed. by Josef Nadler (Vienna: Verlag Herder, 1951).
  • Schriften zur Sprache, ed. by Josef Simon (Frankfurt: Suhrkamp Verlag, 1967).
  • Sokratische Denkwurdigkeiten/Aesthetica in nuce, ed. by Sven-Aage Jorgenson (Stuttgart: Philipp Reclam Verlag, 1968).
  • Hamann and others, Was ist Aufklarung?, ed. by Ehrhard Bahr (Stuttgart: Philipp Reclam Verlag, 1974).

b. Works in English

  • Hamann’s Socratic Memorabilia. A Translation and Commentary, trans. and ed. by James C. O’Flaherty (Baltimore: The Johns Hopkins Press, 1967).
  • What is Enlightenment? 18th Century Answers, 20th Century Questions
  • ed. by James B. Schmidt (Berkeley, CA: University of California Press, 1996).

c. Works in English that Discuss Hamann

  • Beiser, Frederick C., The Fate of Reason: German Philosophy from Kant to Fichte (Cambridge, MA: Harvard University Press, 1987).
  • Berlin, Isaiah, The Magus of the North: J. G. Hamann and the Origins of Modern Irrationalism (New York: Farrar Straus and Giroux, 1993).
  • Dickson, Gwen G., Johann Georg Hamann’s Relational Metacriticism (Berlin and New York: De Gruyter, 1995).
  • Kühn, Manfred, Kant: A Biography (New York : Cambridge University Press, 2001).
  • O’ Flaherty, James C., The Quarrel of Reason with Itself: Essays on Hamann, Nietzsche, Lessing, & Michaelis (Rochester, NY: Camden House, 1991).

Author Information

Ted Kinnaman
Email: mailto:tkinnama@gmu.edu
George Mason University
U. S. A.

Luce Irigaray (1930—)

Luce IrigarayLuce Irigaray is a prominent author in contemporary French feminism and Continental philosophy. She is an interdisciplinary thinker who works between philosophy, psychoanalysis, and linguistics. Originally a student of the famous analyst Jacques Lacan, Irigaray’s departure from Lacan in Speculum of the Other Woman, where she critiques the exclusion of women from both philosophy and psychoanalytic theory, earned her recognition as a leading feminist theorist and continental philosopher. Her subsequent texts provide a comprehensive analysis and critique of the exclusion of women from the history of philosophy, psychoanalytic theory and structural linguistics.

Irigaray alleges that women have been traditionally associated with matter and nature to the expense of a female subject position. While women can become subjects if they assimilate to male subjectivity, a separate subject position for women does not exist. Irigaray’s goal is to uncover the absence of a female subject position, the relegation of all things feminine to nature/matter, and, ultimately, the absence of true sexual difference in Western culture. In addition to establishing this critique, Irigaray offers suggestions for altering the situation of women in Western culture. Mimesis, strategic essentialism, utopian ideals, and employing novel language, are but some of the methods central to changing contemporary culture. Irigaray’s analysis of women’s exclusion from culture and her use of strategic essentialism have been enormously influential in contemporary feminist theory. Her work has generated productive discussions about how to define femininity and sexual difference, whether strategic essentialism should be employed, and assessing the risk involved in engaging categories historically used to oppress women. Irigaray’s work extends beyond theory into practice. Irigaray has been actively engaged in the feminist movement in Italy. She has participated in several initiatives in Italy to implement a respect for sexual difference on a cultural and, in her most recent work, governmental level. Her contributions to feminist theory and continental philosophy are many and her complete works present her readers with a rewarding challenge to traditional conceptions of gender, self, and body.

Table of Contents

  1. Biography
  2. Irigaray’s Project
  3. Influences
    1. Psychoanalysis
    2. Philosophy
  4. Major Themes
    1. Mimesis
    2. Novel Language and Utopian Ideals
    3. Mother/Daughter Relationships
    4. Language
    5. Ethics
    6. Politics
  5. Criticisms
    1. Strategic Essentialism
    2. Privileges Psychological Oppression
    3. Elides Differences
    4. Opaque Writing Style
    5. Exclusive Ethics
    6. Later Work
  6. References and Further Reading
    1. English Translations
    2. Suggested Further Reading

1. Biography

In a 1993 interview with Margaret Whitford, Luce Irigaray specifically says that she does not like to be asked personal questions. She does not want opinions about her everyday life to interfere with interpretations of her ideas. Irigaray believes that entrance into intellectual discussions is a hard won battle for women and that reference to biographical material is one way in which women’s credibility is challenged. It is no surprise that detailed biographical information about Irigaray is limited and that different accounts conflict.

What remains constant between accounts is that Luce Irigaray was born in Belgium in 1930. She holds two doctoral degrees-one in Philosophy and the other in Linguistics. She is also a trained and practicing psychoanalyst. She has held a research post at the Centre National de la Recherche Scientifique de Paris since 1964. She is currently the Director of Research in Philosophy at the center, and also continues her private practice. Perhaps the most well known fact of Irigaray’s life-which Irigaray herself refers to in the opening of je, tu, nous-is her education at, and later expulsion from, the Ecole Freudienne de Paris (Freudian School of Paris). The Ecole Freudienne was founded by the famous psychoanalyst Jacques Lacan. Irigaray trained at the school in the sixties. In 1974, she published the thesis she wrote while studying at the school, Speculum, de l’autre femme, translated into English as Speculum of the Other Woman. This thesis criticized-among philosophical topics-the phallocentrism of Freudian and Lacanian psychoanalysis. The publication of this thesis gained her recognition, but also negatively affected Irigaray’s career. She was relieved of her teaching post at the University of Vincennes and was ostracized by the Lacanian community. In spite of these early hardships, Irigaray went on to become an influential and prolific author in contemporary feminist theory and continental philosophy. In addition to her intellectual accomplishments, Irigaray is committed to active participation in the women’s movement in both France and internationally-especially in Italy. Several of her later texts are dedicated to her work in the women’s movement of Italy. She is still actively researching and publishing.

2. Irigaray’s Project

Irigaray argues that, since ancient times, mothers have been associated with nature and unthinking matter. Further, Irigaray believes that all women have historically been associated with the role of “mother” such that, whether or not a woman is a mother, her identity is always defined according to that role. This is in contrast to men who are associated with culture and subjectivity. While excluded from culture and subjectivity, women serve as their unacknowledged support. In other words, while women are not considered full subjects, society itself could not function without their contributions. Irigaray ultimately states that Western culture itself is founded upon a primary sacrifice of the mother, and all women through her.

Based on this analysis, Irigaray says that sexual difference does not exist. True sexual difference would require that men and women are equally able to achieve subjectivity. As is, Irigaray believes that men are subjects (e.g. self-conscious, self-same entities) and women are “the other” of these subjects (e.g. the non-subjective, supporting matter). Only one form of subjectivity exists in Western culture and it is male. While Irigaray is influenced by both psychoanalytic theory and philosophy, she identifies them both as influential discourses that exclude women from a social existence as mature subjects. In many of her texts, Irigaray seeks to unveil how both psychoanalytic theory and philosophy exclude women from a genuine social existence as autonomous subjects, and relegate women to the realm of inert, lifeless, inessential matter. With this critique in place, Irigaray suggests how women can begin to reconfigure their identity such that one sex does not exist at the expense of the other. However, she is unwilling to definitively state what that new identity should be like. Irigaray refrains from prescribing a new identity because she wants women to determine for themselves how they want to be defined. While both philosophy and psychoanalytic theory are her targets, Irigaray identifies philosophy as the master discourse. Irigaray’s reasons for this designation are revealed in Speculum of the Other Woman where she demonstrates how philosophy-since Ancient times-has articulated fundamental epistemological, ontological, and metaphysical truths from a male perspective that excludes women. While she is not suggesting that philosophy is single-handedly responsible for the history of women’s oppression, she wants to emphasize that the similar type of exclusion manifest in both philosophy and psychoanalysis predates the birth of psychoanalysis. As the companion discourse to philosophy, psychoanalysis plays a unique role. While Irigaray praises psychoanalysis for utilizing the method of analysis to reveal the plight of female subjectivity, she also thinks that it reinforces it. Freud attempts to explain female subjectivity and sexuality according to a male model. From this perspective, female subjectivity looks like a deformed or insufficiently developed form of male subjectivity. Irigaray argues that if Freud had turned the tools of analysis onto his own discourse, then he would have seen that female subjectivity cannot be understood through the lenses of a one-sex model. In other words, negative views of women exist because of theoretical bias-not because of nature. Through her critiques of both philosophy and psychoanalytic theory, Irigaray argues that women need to attain a social existence separate from the role of mother. However, this alone will not change the current state of affairs. For Irigaray is not suggesting that the social role of women will change if they merely step over the line of nature into culture. Irigaray believes that true social change will occur only if society challenges its perception of nature as unthinking matter to be dominated and controlled. Thus, while women must attain subjectivity, men must become more embodied. Irigaray argues that both men and women have to reconfigure their subjectivity so that they both understand themselves as belonging equally to nature and culture. Irigaray’s discussions of mimesis, novel language and utopian ideals, reconfiguring the mother/daughter relationship, altering language itself, ethics, and politics are all central to achieving this end.

3. Influences

Irigaray’s interdisciplinary interests in philosophy, psychoanalysis, and linguistics underscore that her work has more than one influence. Two main discourses that maintain a strong presence throughout her work are psychoanalysis, with Sigmund Freud and Jacques Lacan as its representatives, and philosophy. Insofar as Lacanian psychoanalysis works out of a background in structural linguistics, both Lacan and Irigaray also focus on language. Irigaray engages with philosophy, psychoanalysis and linguistics in order to uncover the lack of true sexual difference in Western culture.

a. Psychoanalysis

Irigaray states on the opening page of An Ethics of Sexual Difference that each age is defined by a philosophical issue that calls to be thoroughly examined-ours is sexual difference. Sexual difference is often associated with the anatomical differences between the sexes. However, Irigaray follows the French psychoanalyst Jacques Lacan in understanding sexual difference as a difference that is assigned in language. While Irigaray is critical of Lacan, she is influenced by Lacan’s interpretation of Freud’s theory of subject formation.

Freud’s work has served as a starting point for diverse psychoanalytic theories such as drive theory, object relations theory, and ego psychology. Lacan interprets Freud’s work from a background in structural linguistics, philosophy, and, of course, psychoanalysis. Of particular importance to Irigaray’s work is Lacan’s claim that there are two key moments in the formation of a child’s identity: the formation of an imaginary body and the assignation of sexual difference in language. Freud introduces the idea of an imaginary body in The Ego and the Id, in the section of the same name, when he describes the ego (self-consciousness) as neither strictly a psychic phenomenon nor a bodily phenomenon. Freud believes that an ego is formed in reference to a body, such that the manner in which an infant understands his or her selfhood is inseparable from his or her bodily existence. However, the body that an infant attributes to him or herself is not objectively understood-it is the mind’s understanding of the body. This means that a person’s understanding of his or her own body is imbued with a degree of fantasy and imagination. In his famous essay “The Mirror Stage as Formative of the I,” Lacan expands Freud’s comments on the bodily ego into a theory about imaginary anatomy. Lacan states that the first of two key moments in subject formation is the projection of an imaginary body. This occurs in the mirror stage at roughly six months. As a being who still lacks mobility and motor control, an infant who is placed in front of a mirror (another person can serve here as well, typically the mother) will identify with the unified, idealized image that is reflected back in the mirror. While the image in the mirror does not match the infant’s experience, it is a key moment in the development of his or her ego. Rather than identify with him or herself as a helpless being, the child choose to identify with the idealized image of him or herself. Lacan believes that the element of fantasy and imagination involved in the identification with the mirror image marks the image as simultaneously representative and misrepresentative of the infant. While the body of the mirror stage is key to the infant’s identity, it is also only an interpretation of his or her biological existence. In other words, according to Lacan, one’s understanding of one’s body occurs only in conjunction with an organization in language and image that begins in the mirror stage, and is further complicated by the next stage of ego formation-entrance into the Symbolic order. Irigaray agrees with Lacan that how we understand our biology is largely culturally influenced-thus does she accept the idea of an imaginary body. Irigaray employs the Lacanian imaginary body in her discussions about Western culture’s bias against women. Irigaray argues that, like people, cultures project dominant imaginary schemes which then affect how that culture understands and defines itself. According to Irigaray, in Western culture, the imaginary body which dominates on a cultural level is a male body. Irigaray thus argues that Western culture privileges identity, unity, and sight-all of which she believes are associated with male anatomy. She believes that fields such as philosophy, psychoanalysis, science and medicine are controlled by this imaginary. Three examples from her work illustrate her view. In Speculum of the Other Woman, Irigaray addresses Freud’s claim in his essay “Femininity” that little girls are only little men. She argues that Freud could not understand women because he was influenced by the one-sex theory of his time (men exist and women are a variation of men), and expanded his own, male experience of the world into a general theory applicable to all humans. According to Irigaray, since Freud was unable to imagine another perspective, his reduction of women to male experience resulted in viewing women as defective men. Another example is found in “Cosi Fan Tutti,” (in This Sex Which Is Not One) where Irigaray argues that Lacan’s ahistorical master signifier of the Symbolic order-the Phallus-is a projection of the male body. Irigaray argues that Lacan failed to diagnose the error of his predecessor, Freud, and similarly understood the world-and especially language-in terms of a one-sex model of sexuality and subjectivity. Although Lacan claims that the Phallus is not connected to male biology, his appropriation of Freud renders this claim false. A final example is found in “The Mechanics of ‘Fluids'” (also in This Sex Which Is Not One) where Irigaray argues that science itself is biased towards categories typically personified as masculine (e.g. solids as opposed to fluids). Irigaray believes that if women are not understood in Western culture, it is because Western culture has yet to accept alternate paradigms for understanding them. While selfhood begins in the mirror stage with the imaginary body, it is not solidified until one enters the Symbolic order. According to Lacan, the Symbolic order is an ahistorical system of language that must be entered for a person to have a coherent social identity. The Phallus is the privileged master signifier of the Symbolic order. One must have a relationship to the Phallus if one is to attain social existence. According to Lacan, infants in the mirror stage do not differentiate between themselves and the world. For example, an infant views him or herself as continuous with his or her mother, and this understanding of the mother-child relationship organizes the infant’s world. However, as the infant matures, he or she becomes aware that his or her mothers’ attention is not wholly directed toward the infant in a reciprocal manner. The mother participates in a larger social context dominated by the Symbolic order. The infant fantasizes that if he or she could occupy the role of the Phallus-the master signifer of that Symbolic order-he or she could regain the full attention of the mother. However, this is impossible. In exchange for giving up this fantasy-which the Father demands of the child in the Oedipus complex-the infant gains his or her own relationship to the Phallus. The infant must break with the mother (nature, pre-symbolic) in order to become a subject (culture, symbolic order). One among many unique claims of Lacan’s is that the infant acquires sexual difference in his or her relationship to the Phallus. According to Lacan, sexual difference is not about biological imperative (e.g. if you have a penis you are male, if you have a vagina you are female), it is about having one of two types of relationship to the Phallus-having or being the Phallus. Hence, in the Lacanian view, the body as humans understand it is something that is constructed in the mirror stage, and sexually differentiated in the entrance to the Symbolic order. Irigaray critically appropriates this radical description of sexual difference. She discusses the linguistic character of sexual difference in a manner similar to Lacan in This Sex Which Is Not One. Irigaray is more concerned with how culture-and language as a product of culture-understands sexual difference and subjectivity than with arguing that truths about sexual difference or subjectivity emerge out of biology itself. However she distances herself from Lacan in two key manners. First, Irigaray disagrees with Lacan’s depiction of the Symbolic order as ahistorical and unchanging. Irigaray believes that language systems are malleable, and largely determined by power relationships that are in flux. Second, Irigaray remains unconvinced by Lacan’s claims that the Phallus is an ahistorical master signifier of the Symbolic order that has no connection to male anatomy. In “Cosi Fan Tutti,” she argues that the Phallus is not a purely symbolic category, but is ultimately an extension of-and reinforcement of-Freud’s description of the world according to a one-sex model. According to Irigaray, the Phallus as the master signifier (that can be traced back to male anatomy) is evidence that the Symbolic order is constructed and not ahistorical.

b. Philosophy

Irigaray is also influenced by her extensive study of the history of philosophy. Texts such as Speculum of the Other Woman and An Ethics of Sexual Difference demonstrate her command of the philosophical canon. Speculum of the Other Woman discusses the elision of all things feminine in traditional thinkers such as Aristotle, Descartes, Kant, and Hegel. An Ethics of Sexual Difference also discusses the elision of the feminine, but specifically from the perspective of ethical relationships between men and women. An Ethics of Sexual Difference addresses thinkers as diverse as Plato, Merleau-Ponty, Spinoza, and Levinas. Irigaray is also writing a series of texts devoted to the four elements. The elemental works Marine Lover of Friedrich Nietzsche and The Forgetting of Air in Martin Heidegger are sustained discussions of the exclusions implemented by key male philosophers.

No one philosopher can be identified as influencing Irigaray. She appropriates from various thinkers while maintaining a critical distance. For example, her method of mimesis resembles Derridian deconstruction. However, she also criticizes Derrida’s deconstruction of the category “woman” (see Derrida’s Spurs) in Marine Lover. As another example, she agrees with Heidegger that every age has a concept that underlies and informs its beliefs, but is radically unknown to it. For Heidegger it was “Being,” for Irigaray it is “sexual difference.” Like Heidegger, she wants to investigate the concept that Western culture takes to be self-evident in order to show that it is unknown to us. However she is critical in The Forgetting of Air in Martin Heidegger of Heidegger’s exclusion of women. One can also find Levinasian (An Ethics of Sexual Difference), Hegelian (I love to you) or Marxist (This Sex Which Is Not One, “Women on the Market”) undertones in Irigaray’s discussions of ethics and dialectical thinking. While she is clearly influenced by the history of philosophy, her own project of creating a new space for redefining women does not permit her to privilege any one philosophical approach.

4. Major Themes

a. Mimesis

Irigaray describes herself as analyzing both the analysts and the philosophers. Perhaps the most famous critical tool employed by Irigaray is mimesis. Mimesis is a process of resubmitting women to stereotypical views of women in order to call the views themselves into question. Key to mimesis is that the stereotypical views are not repeated faithfully. One example is that if women are viewed as illogical, women should speak logically about this view. According to Irigaray, the juxtaposition of illogical and logical undermines the claim that women are illogical. Or if women’s bodies are viewed as multiple and dispersed, women should speak from that position in a playful way that suggests that this view stems from a masculine economy that values identity and unity (e.g. the penis or the Phallus) and excludes women as the other (e.g. lack, dispersed, or “nothing to see”). This type of mimesis is also known as strategic essentialism. Irigaray’s essay “This Sex Which Is Not One,” in the text of the same name, provides several clear examples of this method.

According to Irigaray, the very possibility of repeating a negative view unfaithfully suggests that women are something other than the view expressed. Irigaray repeats the views because she believes that overcoming harmful views of women cannot occur through simply ignoring the views. True to the methodology of psychoanalysis, she believes that negative views can only be overcome when they are exposed and demystified. When successfully employed, mimesis repeats a negative view-without reducing women to that view-and makes fun of it such that the view itself must be discarded. Irigaray’s wager in utilizing mimesis with regard to female subjectivity is as follows. Male dominance has defined Western culture for centuries. If a new form of subjectivity comes into being out of the death of the modern, transcendental subject, and we have never really investigated or mimetically engaged with the deformed, female form of subjectivity that accompanied and sustained the male form, then what would prevent the logic of master/subject/male and slave/other/female from repeating itself? According to Irigaray, the logic will not be altered until we call attention to the fact that subjectivity has changed before when male dominance has not. We must ask after the feminine other. Irigaray believes that only by asking after the other through mimesis will it be possible to affect a paradigm shift. Irigaray therefore speaks from the silenced position of women in order to (a) challenge the authority of either the negative view or the repression by revealing that position to be nothing more than a fabrication (b) show how the woman/body has been excluded by either revealing the stereotypical view to be false or by inciting the excluded woman/body to speak and (c) thereby force a shift in the conception of female subjectivity and the body. Irigaray employs mimesis because she believes that a ‘second sex’ cannot exist in its own right (or with a positive form of identity as opposed to being viewed as a deformed version of male identity) until we have not only challenged, but also passed back through the oppressive formulation of sexual difference in contemporary Western culture.

b. Novel Language and Utopian Ideals

While the goal of mimesis is to problematize the male definition of femininity to such a degree that a new definition of and, ultimately, an embodied subject position for women can emerge, Irigaray says in her earlier work that she will not prescribe in advance either the definition or the subject position. In This Sex Which Is Not One, Irigaray clearly indicates that she will not redefine femininity because it would interfere with women redefining themselves for themselves. Further, she believes that she cannot describe the feminine (e.g. female subjectivity, the female imaginary body) outside of the current, male definitions without further disrupting the male definitions of women. A new definition for women has to emerge out of a mimetic engagement with the old definitions, and it is a collective process.

Irigaray is, however, willing to provide material to help ignite the process of redefinition. The material she offers varies from new concepts about religion and bodies-expressed through both the novel use of existing words and the creation of new words-to utopian ideals. One example of a new concept that she puts into play through novel language is her discussion of the sensible/transcendental and female divinity. Irigaray introduces these concepts in order to disrupt male dominance in religion. Irigaray follows Feuerbach in interpreting the divine as an organizing principle for both identity and culture. Religion is thus viewed as caught up in power and culture. Irigaray specifically targets male dominated religions that posit a transcendental God. She believes that these religions reinforce male dominance and the division of the world into male/subject and female/body. She suggests that in place of a religion that focuses on a transcendent God, we construct a divinity that is both sensible and transcendental. In other words, given the connection between religion and culture, and the manner in which the mind/body split has fallen out along gender lines, why not propose a vision of divinity that will help Western culture overcome its dualisms and prejudices about those dualisms. Irigaray is not prescribing the sensible/transcendental as a new religion to be implemented and followed, but merely placing it in circulation as a creative impetus for change. An example of utopian ideals can be found in Sexes and Genealogies, thinking the difference, and je, tu, nous. In these texts, Irigaray describes civil laws that she believes would help women achieve social existence (mature subjectivity) in Western culture. In one law she suggests that virginity needs to be protected under the law so that women have control over their own sexuality. She also describes new ways in which the mother/daughter relationship should be legally protected, and outlines how mothers and daughters can communicate with each other so that female subjectivity can be further developed. When these texts were first published, these views were widely interpreted as suggestions intended to initiate discussions between women (utopian ideals) and not as prescriptions for social change. While Irigaray’s later work has complicated this interpretation, it is still widely accepted.

c. Mother/Daughter Relationships

According to Irigaray, while it is necessary to alter cultural norms, it is equally as important to address the problematic nature of individual relationships between women-especially the mother/daughter relationship. To emphasize how mother/daughter relationships are sundered in contemporary Western culture, Irigaray turns to Greek mythology. For example, she discusses the myth of Demeter, the goddess of the earth (agriculture), and her daughter Persephone. In the myth, Zeus, Persephone’s father, aids his brother Hades, king of the underworld, to abduct the young Perspephone. Hades has fallen in love with Persephone and wants her to be queen of the underworld. When Demeter learns that her daughter is missing, she is devastated and abandons her role as goddess of the earth. The earth becomes barren. To reestablish harmony in the world, Zeus needs Demeter to return to her divine responsibilities. Zeus orders Hades to return Persephone. However, Persephone is tricked into eating a pomegranate seed that binds her to Hades forever. Under the persuasion of Zeus, Hades agrees to release Persephone from the underworld for half of each year. Irigaray reads this myth as an example of both a positive mother/daughter relationship, and the success of men at breaking it apart. Demeter and Persephone love each other and Demeter strives to protect her daughter. However, in this myth they are ultimately at the mercy of the more powerful males. The myth is also an example of men exchanging women as if they were commodities. Zeus conspires with his brother and, in effect, gives his daughter away without consulting either Persephone or Demeter. Irigaray believes that myths tell us something about the deterioration of the mother/daughter relationship and the manner in which men have traditionally controlled the fate of women-whether they are wives, daughters, sisters, or mothers. Irigaray utilizes myth to suggest that mothers and daughters need to protect their relationships and strengthen their bonds to one another.

The need to alter the mother/daughter relationship is a constant theme in Irigaray’s work. While she believes that women’s social and political situation has to be addressed on a global level, she also thinks that change begins in individual relationships between women. Thus she stresses the need for mothers to represent themselves differently to their daughters, and to emphasize their daughter’s subjectivity. For example, in je, tu, nous, Irigaray offers suggestions for developing mother-daughter relationships such as displaying images of the mother-daughter couple, or consciously emphasizing that the daughter and the mother are both subjects in their own right. Changing relationships between mothers and daughters also requires language work.

d. Language

Since Irigaray agrees with Lacan that one must enter language (culture) in order to be a subject, she believes that language itself must change if women are to have their own subjectivity that is recognized at a cultural level. She believes that language typically excludes women from an active subject position. Further, inclusion of women in the current form of subjectivity is not the solution. Irigaray’s goal is for there to be more than one subject position in language.

In order to prove that language excludes women from subjectivity, Irigaray conducted research that links the exclusion of women from subjectivity in Western culture to the speech patterns of men and women. She concluded that general speech patterns specific to each sex do exist and that women often do not occupy the subject position in language. She argues that in language experiments, women were less willing to occupy the subject position. Referring to the French language as a clear example-even though she believes that the structure of the English language does not exempt it from sexism-she discusses the dominance of the masculine in both the plural and the neuter, which takes the same form as the masculine. Irigaray argues that objects of value, such as the sun or God, are typically marked with the masculine gender while less important objects are feminine. Since language and society mutually affect each other, Irigaray believes that language must change along with society. Failure to see the importance of changing language is an impediment to real change. According to Irigaray, it is crucial that women learn to occupy the position of “I” and “you” in language. Irigaray views the “I” and the “you” as markers of subjectivity. In her text I love to you, Irigaray describes how she determined that women do not occupy the subject position. She conducted an experiment where she gave her subjects a noun (e.g. enfant) and asked her test subjects to use the noun in a sentence as a pronoun (il or elle). The majority of both men and women consistently chose “il”. She noted in another experiment, where she gave a sequence that implied the use of “elle” (e.g. robe-se-voir), that both sexes avoided using “elle” (she) and “elle se” (she herself) as an active subject. In contrast, when she gave a sequence that implied the use of il as a subject, it was almost always used. Further, Irigaray discovered that young girls seek an intersubjective dialogue with their mothers, but that their mothers did not reciprocate. Irigaray concludes from her research that women are not subjects in language in the same way as men. She believes that men and women do not produce the same sentences with similar cues, they use prepositions differently, and they represent temporality in language differently. Irigaray seeks for men and women to recognize each other in language as irreducible others. She argues that this cannot happen until women occupy the subject position, and men learn to communicate with other subjects. Irigaray believes that a language of ‘indirection’ could help bring this to fruition. She describes this in her book I love to you. The title itself is an example of this language of indirection. Saying “I love to you” rather than “I love you” is a way of symbolizing a respect for the other. The “to” is a verbal barrier against appropriating or subjugating the other. Speaking differently in this manner is an integral part of Irigaray’s general project to cultivate true intersubjectivity between the genders. However, she does not put forth a definitive plan for implementing this change in language.

e. Ethics

While ethics is a constant theme throughout her work, Irigaray’s text An Ethics of Sexual Difference is devoted to this theme. In this text, Irigaray intertwines essays of her own on the ethics of sexual difference with dialogues that she has created between herself and six male philosophers: Plato, Aristotle, Descartes, Spinoza, Merleau-Ponty and Levinas. Irigaray groups the dialogues into four sections that each begin with an essay of her own about sexual difference and love. Her own essay signals what themes she will address with regard to each of the philosophers she discusses. Irigaray utilizes her analyses of the male philosophers to discuss the following themes which are essential to her ethics: creative relationships between men and women that are not based in reproduction, separate ‘places’ for men and women (emotional and embodied), wonder at the difference of the other, acknowledgement of finiteness and intersubjectivity, and an embodied divinity.

In the first section, which engages Plato and Aristotle, Irigaray emphasizes that an ethical love relationship must be creative independent of procreation, and that both men and women need to have a place for themselves (be embodied individuals) that is open to, but not subsumable by, the other. In the second section, using Descartes and Spinoza, she argues that ethical love cannot occur between men and women until there is respect and wonder for the irreducible difference of the other, and an admittance and acceptance of one’s finiteness. In the third section, in which there is no engagement with a male philosopher, Irigaray describes how the infinite is essential to love between men and women. She believes that it is unethical that women have not had access to subjectivity, and that the universals of our culture have been dominated by a male imaginary. She says that ethics requires that men and women understand themselves as embodied subjects. In the fourth and final section, Irigaray discusses Merleau-Ponty and Levinas. She argues that if ethical relationships are to occur between men and women, men must overcome nostalgia for the womb. Thus will they develop their identity, and open up a space for women to create their own. Further, Irigaray believes that we must think both otherness and divinity in conjunction with embodiment. She believes that separating mind and body is unethical insofar as it perpetuates the division in culture between man/mind and woman/body. Ethics involves thinking of otherness and divinity in terms of the sensible/transcendental. At the end of her An Ethics of Sexual Difference, it is clear that Irigaray does not believe that Western culture is ethical, and that the primary reason is its treatment of women and nature. She believes that nothing short of altering our views of subjectivity, science, and religion can change this situation. Men and women must work together to learn to respect the irreducible difference between them. Women must become full subjects, and men must recognize that they are embodied. Further, ethical love relationships are based in respect for alterity and creativity outside of reproduction. Her text I love to you, which focuses on both language and ethics, is a clear example of how her discussion of ethics can also be developed from a Hegelian perspective.

f. Politics

Irigaray refuses to belong to any one group in the feminist movement because she believes that there is a tendency for groups to set themselves up against each other. When groups within the women’s movement fight each other, this detracts from the overall goal of trying to positively alter the social, political, and symbolic position of women. Irigaray models solidarity among women in her unwillingness to belong exclusively to one group.

Irigaray is particularly active in the feminist movement in Italy. Texts such as I love to you, Democracy Begins Between Two, and Two Be Two were all inspired by and, at various moments, give accounts of Irigaray’s experience with the Italian women’s movement. An example of Irigaray’s most recent collaborations with Italy, and a testimony to her commitment to her ideas, is her collaboration with the Commission for Equal Opportunities for the region of Emilia-Romagna. She was invited by this region to educate its citizens about her political ideals. Her text, Democracy Begins Between Two, was a part of that collaboration insofar as it was the theoretical work behind her role as adviser. In that text she also describes how she and Renzo Imbeni co-authored a “Report on Citizenship of the Union.” This report argued for rights based on sexual difference and was submitted to the European Parliament for ratification.

5. Criticisms

a. Strategic Essentialism

Irigaray’s use of strategic essentialism has been criticized as essentialism itself-or of endorsing the belief that social behavior follows from biology. The appearance of her translated work in the United States was met with great opposition. She was read as further naturalizing women at a time when women were benefiting both politically and socially from arguing that biology did not matter. Irigaray and her supporters defended her engagement with essentialist views as a strategy. They argued that when Irigaray seeks to alter the exclusion of the feminine by repeating or reiterating naturalizing discourses about female bodies, she is not suggesting a return to a lost female body that pre-exists patriarchy. Rather, she is employing her strategy of mimesis. While many contemporary interpreters now accept this view, strategic essentialism remains a controversial aspect of Irigaray’s work.

b. Privileges Psychological Oppression

Irigaray has been criticized-especially by materialist feminists-on the grounds that she privileges questions of psychological oppression over social/material oppression. The concern is that the psychoanalytic discourse that Irigaray relies upon-even though she is critical of it-universalizes and abstracts away from material conditions that are of central concern to feminism. Materialist feminists do not believe that definitive changes in the structure of politics can result from the changes Irigaray proposes in psychoanalytic theories of subject formation. However, Irigaray’s goal to challenge psychoanalytic theory and to change the definition of femininity evinces an agreement with the materialist position. Both agree that the ahistorical, overly universalized character of traditional psychoanalytic theory must be rejected. Further, Irigaray argues that focusing on language work and on altering allegedly intractable structures does not mean that women have to ignore material conditions. In This Sex Which Is Not One, Irigaray says that simultaneous with her challenges to the symbolic order, women must fight for equal wages, and against discrimination in employment and education. Irigaray recognizes that it is important to find ways to challenge the social and economic position in which women find themselves. But focusing exclusively on women’s material or economic situation as the key to change will only-at best-grant women access to a male social role insofar as it will not change the definition of women. Irigaray’s response to first changing material conditions would be that it would leave the question of a non-patriarchal view of female identity untouched. Due to the force of the oppression of women, it is the definitions that have to be changed before women, as distinct from men, will attain a social existence.

c. Elides Differences

Related to the materialist critique is the question of whether or not Irigaray’s psychoanalytic approach can account for real differences between women. Irigaray often discusses a subject position for women and a new definition of women. A common question asked of Irigaray is whether or not a universal definition for women is desirable considering the real differences between women. More specifically, if Irigaray insists on a universal subject position for women, will it be exclusively determined by first world, white, middle class women? Can her universal successfully include the experiences of minority women, second and third world women, and economically disadvantaged women? Or does it create further exclusion among the excluded themselves? Irigaray’s interpreters remain divided on this question.

d. Opaque Writing Style

Irigaray is often criticized along with other French feminists, such as Julia Kristeva, for the opacity of her writing style. Based on her writing style, she has been dismissed as elitist. Irigaray’s writing is undeniably challenging and complex. But, the difficulty of her work can be equally productive as it is labor intensive. Irigaray’s opacity can be viewed as fruitful when understood in conjunction with one mode of writing that she assumes-that of an analyst. In this style of writing, Irigaray not only will not assume the position of a master-knower who imparts knowledge in a linear manner, she also considers her readers’ reactions to her work to be an integral part of that work. Her alleged failure to be clear, or to give a concrete, linear feminist theory, are invitations for readers to imagine their own vision for the future. Like the psychoanalytic session, her texts are a collaboration between writer (analyst) and reader (analysand). Irigaray believes that, through writing in this style, she can take culture as a whole as her analysand.

e. Exclusive Ethics

Irigaray’s view of ethics is criticized because she describes the quintessential ethical relationship using a man and a woman. The question arises of whether or not Irigaray is suggesting that the heterosexual couple is the model for ethical relationships. Since it is unclear whether or not Irigaray’s view can be applied to other types of relationships (e.g. same sex friendships or same sex love relationships), this point of criticism remains unresolved. Related to this critique is a concern that Irigaray’s emphasis on sexual difference and male/female relationships also prevent her from accounting for non-traditional family arrangements.

f. Later Work

Irigaray’s most recent work raises the final point of controversy. In her earlier work, Irigaray refuses to give a new definition of women because she thinks that women must give it to themselves. However, in her most recent work she has developed laws that she submitted to the European Parliament for ratification. Irigaray’s interpreters debate about the relationship between her early work and her most recent texts. Is there continuity between the early and the later position? Or has Irigaray abandoned her earlier project? A spectrum of interpretations are available with no final answer.

6. References and Further Reading

a. English Translations

  • Irigaray, Luce. An Ethics of Sexual Difference. Trans. Carolyn Burke and Gillian C. Gill. Ithaca: Cornell UP, 1993.
    • Mimetic engagement with Plato, Aristotle, Descartes, Spinoza, Merleau-Ponty, and Levinas on the question of ethics. Irigaray elaborates here her own vision for ethical relationships.
  • Between East and West: From Singularity to Community. Trans. Stephen Pluhácek. New York: Columbia UP, 2002.
    • Draws on Eastern philosophy and meditative techniques such as yoga to suggest new approaches to the question of sexual difference.
  • Democracy Begins Between Two. Trans. Kirsteen Anderson. New York: Routledge, 2000.
    • Inspired by a partnership with the Commission for Equal Opportunities for the region of Emilia-Romagna in Italy, this text describes civil rights for women that would grant them an equal social position to men. This text also includes the Report on Citizenship of the Union by Renzo Imbeni. This report was written in collaboration with Irigaray and submitted to the European Parliament for ratification.
  • Elemental Passions. Trans. Joanne Collie and Judith Still. New York: Routledge, 1992.
    • One text in Irigaray’s series of elemental works. Addresses the relationship between men and women within the context of the elements and the senses.
  • je, tu, nous: towards a culture of difference. Trans. Alison Martin. New York: Routledge, 1993.
    • A series of essays that address diverse issues such as civil rights for women and prejudices in biology about the mother-fetus relationship.
  • I love to you: sketch of a possible felicity in history. Trans. Alison Martin. New York: Routledge, 1996.
    • Strategic engagement with Hegel in which Irigaray appropriates his use of dialectic in order to describe how men and women are both individuals and members of their gender. Also includes an extensive discussion of the language of indirection that Irigaray believes facilitates ethical relationships between men and women.
  • The Irigaray Reader. Ed. Margaret Whitford. Cambridge: Blackwell, 1991.
    • Useful compilation of essays, some of which are found in the texts listed here.
  • Marine Lover of Friedrich Nietzsche. Trans. Gillian C. Gill. New York: Columbia University Press, 1991.
    • One text in Irigaray’s elemental series, this text is a strategic engagement with Nietzsche and Derrida on the elision of femininity.
  • Sexes and Genealogies. Trans. Gillian C. Gill. New York: Columbia University Press, 1993.
    • Compilation of essays that address themes as diverse as how to alter the psychoanalytic session to descriptions of the sensible/transcendental.
  • Speculum of the Other Woman. Trans. Gillian C. Gill. Ithaca: Cornell University Press, 1985.
    • Irigaray’s doctoral dissertation. This text is a complex engagement with the history of philosophy and psychoanalytic theory.
  • The Forgetting of Air in Martin Heidegger. Trans. Mary Beth Mader. Austin: University of Texas Press, 1999.
    • One text in Irigaray’s elemental series. This text is a strategic engagement with the philosopher Martin Heidegger.
  • Thinking the Difference: For a Peaceful Revolution. Trans. Karin Montin. New York: Routledge, 1994.
    • Compilation of essays on diverse themes. Similar in structure to je, tu, nous.
  • This Sex Which Is Not One. Trans. Catherine Porter. New York: Cornell University Press, 1985.
    • Compilation of essays that discuss themes as diverse as where Lacanian theory went wrong, what mimesis is, and how to give a Marxist critique of the exchange of women in Western culture.
  • To Be Two. Trans. Monique M. Rhodes and Marco F. Cocito-Monoc. New York: Routledge, 2001.
    • Later work. Further exploration of the question of difference and alterity.
  • To Speak Is Never Neutral. New York: Routledge, 2000.
    • Sustained discussion of language. Studying the language of both mentally ill and normal subjects, Irigaray argues that language is never deployed in a completely neutral manner.
  • Why Different?. Trans. Camille Collins. Ed. Luce Irigaray and Sylvere Lotinger. New York: Semiotext(e) Foreign Agent Series, 2000.
    • A compilation of interviews with Irigaray about select work written in the 80’s and 90’s such as Sexes and Genealogies and Language is Never Neutral.

b. Suggested Further Reading

  • Chanter, Tina. Ethics of Eros: Irigaray’s Re-Writing of the Philosophers. New York: Routledge, 1995.
    • Thoroughly discusses philosophical influences on Irigaray’s work. Argues that comprehending the philosophical influences on Irigaray highlights her innovative ideas about the now passe sex/gender distinction.
  • Cheah, Pheng and Elizabeth Grosz. “The Future of Sexual Difference: An Interview with Judith Butler and Drucilla Cornell.” Diacritics, no. 28.1 (1998): 19-41.
    • Highlights central disagreements between prominent feminist thinkers about Irigaray’s work.
  • Freud, Sigmund. Standard Edition of the Complete Psychological Works of Sigmund Freud. Trans. James Strachey in collaboration with Anna Freud. 24 vols. London: Hogarth Press and the Institute of Psychoanalysis, 1953-1974.
  • Freud, Sigmund. The Freud Reader. Ed. Peter Gay. NewYork: W.W. Norton & Co., 1989.
    • Accessible compilation of Freud’s work. Of particular interest are “The Ego and the Id,” “Femininity,” “Mourning and Melancholia,” and “Three Essays On The Theory of Sexuality.” For unabridged versions of texts, consult the standard edition listed above.
  • Fuss, Diana. Essentially Speaking: Feminism, Nature and Difference. New York: Routledge, 1989.
    • Interesting discussion of strategic essentialism. Includes a discussion of Irigaray, pp. 55-72.
  • Gatens, Moira. Imaginary Bodies: Ethics, Power, and Corporeality. New York: Routledge, 1996.
    • Useful discussion of how the imaginary body plays out at a cultural level.
  • Grosz, Elizabeth. Volatile Bodies: Towards a Corporeal Feminism. Indianapolis: Indiana University Press, 1994.
    • A central text in philosophy of the body and the overcoming of dualisms.
  • Lacan, Jacques. Ecrits. Trans. Alan Sheridan. New York: W.W. Nortion & Co., 1977.
    • An accessible compilation of key essays in Lacanian thought.
  • Feminine Sexuality. Ed. Mitchell, Juliet and Jacqueline Rose. Trans. Jaqueline Rose. New York: W.W. Norton & Co., 1985.
    • An accessible compilation of key essays by Lacan on feminine sexuality.
  • Lorraine, Tamsin. Irigaray and Deleuze: Experiments in Visceral Philosophy. Ithaca: Cornell University Press, 1999.
    • Very clear description of difficult aspects of Irigaray’s thought. Interesting thesis about connections with Deleuze and Guatarri.
  • Schor, Naomi. “This Essentialism Which is Not One.” Ed. Burke, Carolyn, Naomi Schor, and Margaret Whitford. New York: Columbia University Press, 1994.
    • Very famous and useful discussion of the different kinds of essentialism.
  • Whitford, Margaret. Luce Irigaray: Philosophy in the Feminine. New York: Routledge, 1991.
    • Whitford writes about the psychoanalytic influence on Irigaray’s work. Whitford fleshes out Irigaray’s appropriation of key psychoanalytic themes and clearly explains complex aspects of Irigaray’s work.

Author Information

Sarah K. Donovan
Email: Sarah.Donovan@villanova.edu
Villanova University
U. S. A.

Interventionism

The theory of interventionism examines the nature and justifications of interfering with another polity (that is, political organization) or with choices made by individuals. Interventionism is characterized by the use or threat of force or coercion to alter a political or cultural situation nominally outside the intervenor’s moral or political jurisdiction. It commonly deals with a government’s interventions in other governments’ affairs–and is thus an aspect of political philosophy, but it can also be extended to interventions in others’ cultures, religions, lifestyles, and economic activities–and thus can fit into applied ethics, covering such issues as paternalism, imperialism, and topics in business, medical, and environmental ethics.

Table of Contents

  1. A Note on Methodological Considerations
  2. What Does Interventionism Deal With?
  3. Arguments for Interventionism
    1. Epistemological Reasons
    2. Political Realism
    3. Rights Theories
  4. Non-Interventionist Doctrines
  5. Legal Positivism and Non-Interventionism
  6. Isolationism
  7. Economic Interventionism

1. A Note on Methodological Considerations

The context of interventionism requires an epistemological consideration. A methodological individualist will argue that it involves interventions in the lives of individuals; that essentially it does not matter whether the individuals are part of one’s political entity or belonging to another–interventionism applies solely to individuals. A methodological holist on the other hand will identify the object of interventionism as groups–cultural, political, religious, national, and so on. Whilst the methodological individualist will focus on issues that infringe or attempt to alter individuals’ rights or choices, the holist will draw attention to issues affecting groups and their identities. Methodological compatibilism holds that interventions do affect individual rights or choices but individuals also identify themselves with groups who can also be separately affected by interference. For example, demanding that all female bank employees wear blue dresses affects the individual’s choice of clothes in the workplace but also interferes with the banking corporation’s right to determine its own standard of dress.

2. What Does Interventionism Deal With?

Beyond epistemological considerations interventionism commonly deals with the justifications of governments to interfere in (a) the lives of its own civilian population–domestic interventions, and (b) the activities of other nations–foreign interventions. In the case of domestic interventionism that apparatus is the police force (or the army acting as a domestic policing force as with the British army in Northern Ireland 1969-date); in the case of international interventionism it is the army. In either scenario interventionism implies the potential or actual use of coercion.

Reasoning or persuading another group of people that a chosen policy, or a certain tradition, is wrong either morally (given a certain standard) or on consequentialist considerations (the policy will not achieve what it’s meant to achieve) are not examples of interventionism. Reasoning includes all forms of rhetoric, example, persuasion, exhortation, counseling, discourse, and so on. The other group changes policy or tradition only if it desires –is persuaded– to change. They do so voluntarily. On the other hand, it may be claimed that in attempting to persuade others to change their minds is a form of interventionism. But this definition then becomes too broad to be of use–merely speaking to another or judging their behavior in the absence of any threats, coercion, or force, cannot be termed interventionist, for its goal is not to interfere but to explain possible choices.

Breaking diplomatic relations also does not imply the use of force and hence is not a form of interventionism. This is an essentially peaceful attempt to alter another government’s actions in effect by removing acknowledgement of its international political status.

Voluntary decisions on the part of a people may change a nation’s values. Trading in goods and ideas can change a society, yet such changes should not, for the most part, be deemed interventionist. Changes in culture and language that result from the voluntary decisions of many individuals cannot be tied to any form of interventionism, for the policy of interventionism is a policy of threatening or using coercion or force of some description. Whether such examples exist is hard to ascertain, for commonly the expansion of freedom of trade that has led to an exchange of ideas and hence of cultures is historically almost universally connected with imperialist policies that do aim at explicit forms of intervention. Following World War Two (1939-45) when Western imperialism dwindled as a political value, it can be argued that various societies (e.g., Taiwan, Malaysia) voluntarily took up what are referred to as ‘Western values’ through the influence of non-violent commercial ventures. However, critics may point out that previous military interventions could be considered as necessary precursors to changes in the culture of the people.

Coercion is a form of interventionism. Coercion implies offering choices that normally would not be accepted, but which leave the individual to choose the option preferred by the coercer, or by default one that is less acceptable. For example: if a knife is held to your throat and you are given the option to hand over your car keys or die, you are being coerced; if a government demands that you open up your borders to a free trade in opium or face armed conflict (China, Opium Wars with Britain) your nation is being coerced.

Domestic interventions entail restricting the choices of individuals or groups or altering their activities through legislative coercion. Limiting freedom of speech or trade, restricting occupational access to certain religious groups, or enforcing the draft are examples of interventions in the choices of individuals or groups, while increasing beer taxes are examples of altering choices through legislative frameworks; failure to comply may incur penalties.

On the international level, interventionist activities involve threatening, coercing, or forcing another group or nation to alter its behavior or change its government or policies. International interventionism can incorporate direct activities such as the use or threat of war, as well as indirect activities such as assassination, subversion, and economic embargoes of all descriptions (complete or partial blockades, transport restrictions, etc.).

General goals of international interventionism include attempting to change: governments (e.g., Iran, 1979); people’s expectations of governmental activities; general attitudes of just conduct not held as appropriate in the wider international community (e.g., South African Apartheid). Specific goals can include changing a state apparatus or its personnel (the government), to remove a particular statesperson or group, to change specific or general policies, to alter cultural or political beliefs, or even to alter patterns of economic and population distributions.

3. Arguments for Interventionism

Utilitarian or consequentialist prescriptions are open-ended: they could support interventions either generally or in particular circumstances, depending on expected results. Other positions offer more principled cases for interventionism, for example on epistemological grounds, political realism or rights analyses.

a. Epistemological Reasons

Intervening can be justified on grounds of the government possessing better knowledge than individual agents, or from paternalistic reasons, which presume the target agents are incapable of making informed choices themselves. To that extent, governments may legislate a range of programs from ensuring that people take out adequate insurance or invest sufficiently into pensions to requiring health checks or continued education; or economic interventions could be justified on the grounds that economic agents (investors, corporations, banks) do not act in the long term interest of the nation, whereas civil servants who are deemed above the profit motive can take the longer view (as held by John Maynard Keynes 1883-1946, for example).

b. Political Realism

Political realism is defined by the primacy of national interest in international affairs. This can be viewed as either a moral duty or as a description of the ruling state of affairs. Policy prescriptions involve pursuing interventions as they benefit the national interest. The theory implies that states should be left alone to seek and to defend their own interests. In the realist tradition, of which there are many shades, such supporters include Thucydides, Machiavelli, and Hobbes.

Political realism offers a broad interventionist doctrine that can justify intervening for reasons of economic profit as well as for balance of power considerations. The history of the British Empire provides many examples of both justifications (Cf. its interventions in European politics in the War of the Spanish Succession 1702-13 and the War of the Austrian Succession 1740-8), whilst post-war US foreign policy offers more recent case studies (Vietnam War 1961-73 and the Gulf War 1990-91). It is captured by Thucydides’ description of the Pelopennesian War, that it was Spartan “fear of Athenian growth” that caused the war. Realists often invoke consequentialist concerns regarding the developing international state of affairs–that should the foreign power to grow unchecked, a war would ensue, or economic resource bases would be lost, or an invasion could occur. The Schlieffen Plan, prior to the First World War (1914-18) is another useful example of balance of power considerations.

Political realism assumes that interests are to be maintained through the exercise of power, and that the world is characterized by competing power bases (nation states [Hegel], for example, or classes [Marx]). Political realism is essence reduces to the ethical principle that might is right.

c. Rights Theories

Some claim that rights only pertain to individuals, and that nations and governments only acquire any rights or privileges by virtue of the civilians giving them power. Rights theorists thus argue that individual rights supersede or ‘trump’ the rights or privileges of governments. On this basis, interventions in support of rights are morally justifiable. For example, if a foreign government tyrannizes its civilians, an intervention to support their rights can be justified, for the moral status of rights does not end at political borders. However, what needs to be considered is at what point do rights violations justify an intervention, or would an intervention do more harm than good? Second is the argument from hypocrisy–can a nation be justified in intervening in another’s affairs when it does not have a clean slate of its own? Finally, given that rights are being violated, is a government guilty of moral failure if it fails to intervene, and if so, is that moral failure a failure of its duty or of virtuous behavior?

4. Non-Interventionist Doctrines

Non-interventionism is the theory that one does not have any moral justification in intervening in others’ affairs. On a rights based analysis, or from Kantian considerations of duty, this may be considered an absolutist prohibition on the grounds that it either violates others’ rights to freedom or respect due them as individual moral entities. Consequentialists may infer from evidence that interventionism is always counter-productive and should not be practiced. In contemporary ethical analysis, a rule utilitarian may claim that since interventions never work (an empirical, testable hypothesis), ethical considerations aimed at maximizing the greatest good for the greatest number should employ non-interventionism on principle. However, act utilitarians may agree that historically interventions have not worked, but that does not mean that they will not in a future situation, and hence non-interventionism should not be held categorically.

As a political-economical doctrine, non-interventionism includes the economic doctrine of laissez-faire, which holds that governments should not intervene in the economic activities of individuals or corporations. Some thinkers, notably Herbert Spencer (1820-1903) have extended the doctrine to moral issues too, arguing, for example, that intervening in the plight of the poor only makes their condition worse by creating an atmosphere of dependency, rather than leaving them to independently struggle and find their own values. Other supporters of the economic laissez-faire doctrine do not go as far as Spencer; Friedrich von Hayek argues (Constitution of Liberty, 1956) that governments do have responsibilities to the poor resulting from their duty to provide a general framework to ensure the smooth operation of the free market system.

On a broader view, non-interventionism is applied by John Stuart Mill in On Liberty; he claims that responsibility to others only goes so far as ensuring they know of the dangers that may befall them, but does not extend to actually physically restraining those who would knowingly injure themselves. In the international sphere, Mill (“Notes on Intervention” Collected Works) argues for a policy of self-determination: that other people be allowed to make their own mistakes, and hence forge their own paths to freedom; intervening paternalistically on their behalf will not be conducive to their learning the value of freedom in its own right. Such a stance can be used in a variety of issues including freedom of press and expression. For example, John Milton in Areopagitica argues: “And though all the winds of doctrine were let loose to play on the earth, so Truth be in the field, we do injuriously by licensing and prohibiting to misdoubt her strength. Let her and Falsehood grapple; who ever knew Truth put to the worse in a free and open encounter?”

5. Legal Positivism and Non-Interventionism

In the international sphere, legal positivists are commonly non-interventionists. Legal positivists, following Christian Wolff (1679-1754), argue that nation states possess absolute rights to political sovereignty and territorial integrity, which implies that national borders be inviolable. Wolff writes: “Nations are regarded as individual free persons living in a state of nature. For they consist of a multitude of men united into a state. Therefore since states are regarded as individual free persons living in a state of nature, nations must also be regarded in relation to each other as individual free persons living in a state of nature.” (Jus Gentium Methodo Scientifica Pertractatum Trans. Joseph Drake. Clarendon Press: Oxford, 1934, §2, p.9) The positivist theory of international relations implies that interventions would violate international borders; this position itself resolves into an absolutist doctrine that deems interventions should never be condoned and more pragmatic positions that permit some exceptions to the rule.

Positivist exceptions to non-interventionism emanate from humanitarian considerations that overwhelm nominally sacrosanct national borders, if the target state is violating basic human rights to such an extent that it can no longer be deemed a proper representative of its people. The type of interventionism supported depends on the theory of the state entertained.

If governments are viewed as instrumental institutions that exist to uphold the domestic rights of civilians, then a violation of its remit can warrant an intervention on behalf of the citizens. Michael Walzer in Just and Unjust Wars (1977) entertains this position, arguing that only in extreme cases of rights violations “that shock the moral conscience of mankind” (p.107), can interventions be supported. He gives the examples of genocide, mass murder or enslavement. Rights violations above this level, he implies, are not grounds for interventionism (e.g., removal of free movement, freedom of the press, etc).

A Hobbesian case for interventionism can be maintained by those who consider governments the sole and proper moral and legal authorities. Hobbes claims that individuals give up the rights that they possess in the state of nature (except the right of self-preservation) to the state (the ‘Leviathan’). He argues the State should be obeyed, even it is acting quite tyrannically, for the alternative –and the greater evil– is the state of war in which justice and morality do not hold. However, if a state acts to takes its civilians into the state of nature by governing incompetently or unjustly then the people have a right to form a new state. This allows the legal positivist to condone interventions where governments have obviously failed in their obligations and have brought war to the people through their ineptitude.

The third possible justification for the positivist is when a supra-legal body legislates in favor of an intervention. For example, the United Nations has the jurisdiction to pass a resolution of intervention, but it does not condone unilateral interventions. Positivists draw parallels here between governments arbitrating in domestic disputes and a world body acting to dissolve international disputes.

6. Isolationism

Isolationism is the political doctrine of non-involvement in foreign affairs. The state, it is argued, should confine its activities to its own jurisdiction, and therefore, what happens abroad is of no concern. Isolationism can be argued from a consequentialist perspective: that getting involved would only make matters (whatever those matters are) worse; or from an intrinsicist perspective similar to the legal positivist case, that national jurisdiction (and hence moral and political concerns) ends at the political borders.

7. Economic Interventionism

Government intervention in the economy was noted above. Whilst the effects and the principles are the subject matter of economics, philosophers can fruitfully examine the nature of the epistemological arguments used in the debates which involve considerations of methodological individualism versus holism, and a-priori versus a-posteriori reasoning.

Author Information

Alexander Moseley
Email: alexandermoseley@icloud.com
United Kingdom

Jain Philosophy

Jain_handJainism is properly the name of one of the religious traditions that have their origin in the Indian subcontinent. According to its own traditions, the teachings of Jainism are eternal, and hence have no founder; however, the Jainism of this age can be traced back to Mahavira, a teacher of the sixth century BCE, a contemporary of the Buddha. Like those of the Buddha, Mahavira’s doctrines were formulated as a reaction to and rejection of the Brahmanism (religion based on the Hindu scriptures, the Vedas and Upanisads) then taking shape. The brahmans taught the division of society into rigidly delineated castes, and a doctrine of reincarnation guided by karma, or merit brought about by the moral qualities of actions. Their schools of thought, since they respected the authority of the Vedas and Upanisads, were known as orthodox darsanas (‘darsanas‘ means literally, ‘views’). Jainism and Buddhism, along with a school of materialists called Carvaka, were regarded as the unorthodox darsanas, because they taught that the Vedas and Upanisads, and hence the brahman caste, had no authority.

Table of Contents

  1. Metaphysics
  2. Epistemology and Logic
  3. Ethics
  4. References and Further Reading

1. Metaphysics

According to Jain thought, the basic constituents of reality are souls (jiva), matter (pudgala), motion (dharma), rest (adharma), space (akasa), and time (kala). Space is understood to be infinite in all directions, but not all of space is inhabitable. A finite region of space, usually described as taking the shape of a standing man with arms akimbo, is the only region of space that can contain anything. This is so because it is the only region of space that is pervaded with dharma, the principle of motion (adharma is not simply the absence of dharma, but rather a principle that causes objects to stop moving). The physical world resides in the narrow part of the middle of inhabitable space. The rest of the inhabitable universe may contain gods or other spirits.

While Jainism is dualistic—that is, matter and souls are thought to be entirely different types of substance—it is frequently said to be atheistic. What is denied is a creator god above all. The universe is eternal, matter and souls being equally uncreated. The universe contains gods who may be worshipped for various reasons, but there is no being outside it exercising control over it. The gods and other superhuman beings are all just as subject to karma and rebirth as human beings are. By their actions, souls accumulate karma, which is understood to be a kind of matter, and that accumulation draws them back into a body after death. Hence, all souls have undergone an infinite number of previous lives, and—with the exception of those who win release from the bondage of karma—will continue to reincarnate, each new life determined by the kind and amount of karma accumulated. Release is achieved by purging the soul of all karma, good and bad.

Every living thing has a soul, so every living thing can be harmed or helped. For purposes of assessing the worth of actions (see Ethics, below), living things are classified in a hierarchy according to the kinds of senses they have; the more senses a being has, the more ways it can be harmed or helped. Plants, various one-celled animals, and ‘elemental’ beings (beings made of one of the four elements—earth, air, fire, or water) have only one sense, the sense of touch. Worms and many insects have the senses of touch and taste. Other insects, like ants and lice, have those two senses plus the sense of smell. Flies and bees, along with other higher insects, also have sight. Human beings, along with birds, fish, and most terrestrial animals, have all five senses. This complete set of senses (plus, according to some Jain thinkers, a separate faculty of consciousness) makes all kinds of knowledge available to human beings, including knowledge of the human condition and the need for liberation from rebirth.

2. Epistemology and Logic

Underlying Jain epistemology is the idea that reality is multifaceted (anekanta, or ‘non-one-sided’), such that no one view can capture it in its entirety; that is, no single statement or set of statements captures the complete truth about the objects they describe. This insight, illustrated by the famous story of the blind men trying to describe an elephant, grounds both a kind of fallibilism in epistemology and a sevenfold classification of statements in logic.

Every school of Indian thought includes some judgment about the valid sources of knowledge (pramanas). While their lists of pramanas differ, they share a concern to capture the common-sense view; no Indian school is skeptical. The Jain list of pramanas includes sense perception, valid testimony (including scriptures), extra-sensory perception, telepathy, and kevala, the state of omniscience of a perfected soul. Notably absent from the list is inference, which most other Indian schools include, but Jain discussion of the pramanas seem to indicate that inference is included by implication in the pramana that provides the premises for inference. That is, inference from things learned by the senses is itself knowledge gained from the senses; inference from knowledge gained by testimony is itself knowledge gained by testimony, etc. Later Jain thinkers would add inference as a separate category, along with memory and tarka, the faculty by which we recognize logical relations.

Since reality is multi-faceted, none of the pramanas gives absolute or perfect knowledge (except kevala, which is enjoyed only by the perfected soul, and cannot be expressed in language). As a result, any item of knowledge gained is only tentative and provisional. This is expressed in Jain philosophy in the doctrine of naya, or partial predication (sometimes called the doctrine of perspectives or viewpoints). According to this doctrine, any judgment is true only from the viewpoint or perspective of the judge, and ought to be so expressed. Given the multifaceted nature of reality, no one should take his or her own judgments as the final truth about the matter, excluding all other judgments. This insight generates a sevenfold classification of predications. The seven categories of claim can be schematized as follows, where ‘a’ represents any arbitrarily selected object, and ‘F’ represents some predicate assertible of it:

  1. Perhaps a is F.
  2. Perhaps a is not-F.
  3. Perhaps a is both F and not-F.
  4. Perhaps a is indescribable.
  5. Perhaps a is indescribable and F.
  6. Perhaps a is indescribable and not-F.
  7. Perhaps a is indescribable, and both F and not-F.

Each predication is preceded by a marker of uncertainty (syat), which I have rendered here as ‘perhaps.’ Some render it as ‘from a perspective,’ or ‘somehow.’ However it is translated, it is intended to mark respect for the multifaceted nature of reality by showing a lack of conclusive certainty.

Early Jain philosophical works (especially the Tattvartha Sutra) indicate that for any object and any predicate, all seven of these predications are true. That is to say, for every object a and every predicate F, there is some circumstance in which, or perspective from which, it is correct to make claims of each of these forms. These seven categories of predication are not to be understood as seven truth-values, since they are all seven thought to be true. Historically, this view has been criticized (by Sankara, among others) on the obvious ground of inconsistency. While both a proposition and its negation may well be assertible, it seems that the conjunction, being a contradiction, can never be even assertible, never mind true, and so the third and seventh forms of predication are never possible. This is precisely the kind of consideration that leads some commentators to understand the ‘syat’ operator to mean ‘from a perspective.’ Since it may well be that from one perspective, a is F, and from another, a is not-F, then one and the same person can appreciate those facts and assert them both together. Given the multifaceted nature of the real, every object is in one way F, and in another way not-F. An appreciation of the complexity of the real also can lead one to see that objects are, as they are in themselves, indescribable (as no description can capture their entirety). This yields the fourth form of predication, which can then be combined with other insights to yield the last three forms.

Perhaps the deepest problem with this doctrine is one that troubles all forms of skepticism and fallibilism to one degree or another; it seems to be self-defeating. After all, if reality is multifaceted, and that keeps us from making absolute judgments (since my judgment and its negation will both be equally true), the doctrines that underlie Jain epistemology are themselves equally tentative. For example, take the doctrine of anekantevada. According to that doctrine, reality is so complex that any claim about it will necessarily fall short of complete accuracy. The doctrine itself must then fall short of complete accuracy. Therefore, we should say, “Perhaps (or “from a perspective”) reality is multifaceted.” At the same time, we have to grant the propriety, in some circumstances, of saying, “Perhaps reality is not multifaceted.” Jain epistemology gains assertibility for its own doctrine, but at the cost of being unable to deny contradictory doctrines. What begins as a laudable fallibilism ends as an untenable relativism.

3. Ethics

Given that the proper goal for a Jain is release from death and rebirth, and rebirth is caused by the accumulation of karma, all Jain ethics aims at purging karma that has been accumulated, and ceasing to accumulate new karma. Like Buddhists and Hindus, Jains believe that good karma leads to better circumstances in the next life, and bad karma to worse. However, since they conceive karma to be a material substance that draws the soul back into the body, all karma, both good and bad, leads to rebirth in the body. No karma can help a person achieve liberation from rebirth. Karma comes in different kinds, according to the kind of actions and intentions that attract it. In particular, it comes from four basic sources: (1) attachment to worldly things, (2) the passions, such as anger, greed, fear, pride, etc., (3) sensual enjoyment, and (4) ignorance, or false belief. Only the first three have a directly ethical or moral upshot, since ignorance is cured by knowledge, not by moral action.

The moral life, then, is in part the life devoted to breaking attachments to the world, including attachments to sensual enjoyment. Hence, the moral ideal in Jainism is an ascetic ideal. Monks (who, as in Buddhism, live by stricter rules than laymen) are constrained by five cardinal rules, the “five vows”: (1) ahimsa, frequently translated “non-violence,” or “non-harming,” satya, or truthfulness, asteya, not taking anything that is not given, brahmacharya, chastity, and aparigraha, detachment. This list differs from the rules binding on Buddhists only in that Buddhism requires abstention from intoxicants, and has no separate rule against attachment to the things of the world. The cardinal rule of interaction with other jivas is the rule of ahimsa. This is because harming other jivas is caused by either passions like anger, or ignorance of their nature as living beings. Consequently, Jains are required to be vegetarians. According to the earliest Jain documents, plants both are and contain living beings, although one-sensed beings, so even a vegetarian life does harm. This is why the ideal way to end one’s life, for a Jain, is to sit motionless and starve to death. Mahavira himself, and other great Jain saints, are said to have died this way. That is the only way to be sure you are doing no harm to any living being.

While it may seem that this code of behavior is not really moral, since it is aimed at a specific reward for the agent—and is therefore entirely self-interested—it should be noted that the same can be said of any religion-based moral code. Furthermore, like the Hindus and Buddhists, Jains believe that the only reason that personal advantage accrues to moral behavior is that the very structure of the universe, in the form of the law of karma, makes it so.

4. References and Further Reading

  • Battacharya, Hari Mohan. Jaina Logic and Epistemology. Calcutta: K. P. Gagchi and Company, 1994.
    • A full explanation and critical examination of Jain theory of knowledge.
  • Battacharya, Narendra Nath. Jain Philosophy: Historical Outline. Delhi: Munshiram Manoharlal Publishers, 1976.
  • Benesch, Walter. An Introduction to Comparative Philosophy. London: Macmillan Press, 1997.
    • A systematic comparison of Western philosophical systems with Asian, including Jain, systems.
  • Jacobi, Herman, trans. Jaina Sutras. Sacred Books of the East, vols 22 and 45. London: Oxford University Press, 1884.
    • The only English translation of the Jain scriptures.
  • Sharma, Arvind. A Jaina Perspective on the Philosophy of Religion. Delhi: Motilal Banarsidas, 2001.
  • Tatia, Nathmal, trans. That Which Is: Tattvartha Sutra. San Francisco: HarperCollins Publishers, 1994.
    • An early Jain handbook.

Author Information

Mark Owen Webb
Email: mark.webb@ttu.edu
Texas Tech University
U. S. A.

Ismaili Philosophy

Ismailism belongs to the Shi‘a main stream of Islam. Recent scholarship, based on a more judicious analysis of primary sources, has shown how Ismaili thought was in constant interaction with and to a certain extent influenced well-known currents of Islamic philosophy, theology, and mysticism.

Shi‘i and Ismaili philosophy use ta’wil as a tool of interpretation of scripture. This Qur’anic term connotes going back to the original meaning of the Qur’an. The objective of Ismaili thought is to create a bridge between Hellenic philosophy and religion. The human intellect is engaged to retrieve and disclose that which is interior or hidden (batin).

Ismailism presents a cosmology within an adapted Neoplatonic framework but tries to create an alternative synthesis. The starting point of such a synthesis is the doctrine of ibda‘ (derived from Qur’an 2:117). In its verbal form it is taken to mean ‘eternal existentiation’ to explain the notion in the Qur’an of God’s timeless command (Kun: ‘Be!’). The process of creation can be said to take place at several levels. Ibda‘ represents the initial level. The human intellect eventually relates to creation and tries to penetrate the mystery of the unknowable God.

Human history operates cyclically. The function of the Prophet is to reveal the religious law (shari‘a) while the Imam unveils gradually to his disciples the inner meaning (batin) of the revelation through the ta’wil.

Table of Contents

  1. Introduction
  2. Language and Meaning: The Stance of Ismaili Philosophy
  3. Manifesting Transcendence: Knowledge of the Cosmos

1. Introduction

Ismailism belongs to the Shi‘a branch of Islam, and, in common with various Muslim interpretive communities, has been concerned with developing a philosophical discourse to elucidate foundational Qur’anic and Islamic beliefs and principles. It would, however, be misleading to label Ismaili and other Muslim philosophical stances, as has been done by some scholars in the past, simplistically as manifestations of “Ismaili/Muslim Neoplatonism,” and “Ismaili/Muslim gnosticism,” and so forth. While elements of these philosophical and spiritual schools were certainly appropriated, and common features may be evident in the expression and development of Ismaili as well as other ideas, it must be noted that they were applied within very different historical and intellectual contexts and that such ideas came to be quite dramatically transformed in their meaning, purpose and significance in Islamic philosophy.

By those who were hostile to it or opposed its philosophical and intellectual stance, the Ismailis were regarded as heretical; legends were fabricated about them and their teachings. Early Western scholarship on Islamic philosophy inherited some of the biases of some medieval Muslim anti-philosophical stances, which tended to project a negative image of Ismailism, perceiving its philosophical contribution as having been derived from sources and tendencies ‘alien’ to Islam. Recent scholarship, based on a more judicious analysis of primary sources, provides a balanced perspective, and has shown how Ismaili thought was in constant interaction with and to a certain extent influenced well-known currents of Islamic philosophy and theology. Their views represent a consensus that it is inappropriate to treat Ismailism as a marginal school of Islamic thought; rather it constitutes a significant philosophical branch, among others, in Islamic philosophy.

Early Ismaili philosophy works dating back to the Fatimid period (fourth/tenth to sixth/twelfth century) are in Arabic; Nasir Khusraw (d. 471/1078) was the only Ismaili writer of the period to write in Persian. The Arabic tradition was continued in Yemen and India by the Musta‘li branch and in Syria by the Nizaris. In Persia and in Central Asia, the tradition was preserved and elaborated in Persian. Elsewhere among the Ismailis, local oral languages and literatures played an important part, though no strictly philosophical writings were developed in these languages.

2. Language and Meaning: The Stance of Ismaili Philosophy

Among the tools of interpretation of scripture that are associated particularly with Shi‘i and Ismaili philosophy is that of ta’wil. The application of this Qur’anic term, which connotes “going back to the first/the beginning,” marks the effort in Ismaili thought of creating a philosophical and hermeneutical discourse that establishes the intellectual discipline for approaching revelation and creates a bridge between philosophy and religion.

Philosophy as conceived in Ismaili thought thus seeks to extend the meaning of religion and revelation to identify the visible and the apparent (zahir) and also to penetrate to the roots, to retrieve and disclose that which is interior or hidden (batin). Ultimately, this discovery engages both the intellect (‘aql) and the spirit (ruh), functioning in an integral manner to illuminate and disclose truths (haqa’iq).

The appropriate mode of language which serves us best in this task is, according to Ismaili philosophers, symbolic language. Such language, which employs analogy, metaphor and symbols, allows one to make distinctions and to establish differences in ways that a literal reading of language does not permit. Such language employs a special system of signs, the ultimate meaning of which can be ‘unveiled’ by the proper application of hermeneutics (ta’wil).

3. Manifesting Transcendence: Knowledge of the Cosmos

It has been argued that Ismaili cosmology, integrates a manifestational cosmology (analogous to some aspects of Stoic thought) within an adapted Neoplatonic framework to create an alternative synthesis. The starting point of such a synthesis is the doctrine of ibda (derived from Qur’an 2:117). In its verbal form it is taken to mean ‘eternal existentiation’ to explain the notion in the Qur’an of God’s timeless command (Kun: Be!). Ibda therefore connotes not a specific act of creation but the dialogical mode through which a relationship between God and His creation can be affirmed – it articulates the process of beginning and sets the stage for developing a philosophy of the manifestation of transcendence in creation.

In sum the process of creation can be said to take place at several levels. Ibda represents the initial level – one transcends history, the other creates it. The spiritual and material realms are not dichotomous, since in the Ismaili formulation, matter and spirit are united under a higher genus and each realm possesses its own hierarchy. Though they require linguistic and rational categories for definition, they represent elements of a whole, and a true understanding of God must also take account of His creation. Such a synthesis is crucial to how the human intellect eventually relates to creation and how it ultimately becomes the instrument for penetrating through history the mystery of the unknowable God implied in the formulation of tawhid.

Human history, as conceived in Ismailism, operates cyclically. According to this typological view, the epoch of the great prophets mirrors the cosmological paradigm, unfolding to recover the equilibrium and harmony inherent in the divine pattern of creation. Prophets and, after them, their appointed successors, the imams, have as their collective goal the establishment of a just society. The function of the Prophet is to initiate the cycle for human society and of the Imam to complement and interpret the teaching to sustain the just order at the social and individual levels.

As Nasir Khusraw, the best known of the Ismaili writers in Persian, states in a passage paraphrased by Corbin:

Time is eternity measured by the movements of the heavens,
whose name is day, night, month, year. Eternity is Time not
measured, having neither beginning nor end…The cause of Time
is the Soul of the World….; it is not in time, for time is
in the horizon of the soul as its instrument, as the duration
of the living mortal who is “the shadow of the soul”, while
eternity is the duration of the living immortal – that is to
say of the Intelligence and of the Soul.

This synthesis of time as cycle and time as arrow lies at the heart of an Ismaili philosophy of active engagement in the world.

Author Information

Azim Nanji
Email: info@iis.ac.uk
The Institute of Ismaili Studies
United Kingdom

Hamid al-Din al-Kirmani (d. 1020)

Hamid al-Din al-Kirmani was a prominent Ismaili missionary during the reign of the Fatimid caliph-imam al-Hakim (996-1021). He was of Persian origin and was probably born in the province of Kirman. He seems to have spent the greater part of his life as a Fatimid da‘i (missionary) in Iraq (in Baghdad and Basra) and in central and western parts of Iran.Al-Kirmani was part of the official Fatimid campaign against the dissident da‘is, who had also proclaimed al-Hakim’s divinity. In Cairo he produced several works in refutation of the Druze movement and religion. Subsequently, al-Kirmani returned to Iraq where he completed his last and magnum opus, Rahat al-‘aql.

A prolific writer, al-Kirmani was one of the most learned Ismaili theologians of the Fatimid times. He was well-acquainted with the Hebrew text of the Old Testament, the Syriac version of the New Testament, and the post-Biblical Jewish writings. He expounded the Ismaili Shi‘i doctrine of the imamate in numerous writings. In a few treatises, al-Kirmani refuted the theological views of the Zaydis, the Twelver Shi‘is, and other Muslim opponents of the Fatimid Ismaili imams. Al-Kirmani was also an accomplished philosopher belonging to that select group of Ismaili da‘is of the Iranian lands who amalgamated in an original manner their Ismaili theology with different philosophical traditions, notably a type of Neoplatonism then current in the Muslim world.

Hamid al-Din al-Kirmani was a prominent Ismaili da‘i or missionary and one of the most learned Ismaili theologians and philosophers of the Fatimid period. As in the case of other prominent missionaries who observed strict secrecy in their activities in the midst of hostile milieus, few biographical details are available on al-Kirmani, who flourished during the reign of the Fatimid caliph-imam al-Hakim (996-1021). Al-Kirmani is not mentioned in any contemporary Muslim historical sources, but highlights of his life and career can be gathered from his own numerous extant works as well as the writings of the later Musta‘li-Tayyibi Ismaili authors of Yaman.

Al-Kirmani’s date of birth remains unknown, but he was of Persian origin and was probably born in the province of Kirman. He seems to have spent the greater part of his life as a Fatimid da‘i in Iraq, having been particularly active in Baghdad and Basra. In Iraq, al-Kirmani successfully concentrated his efforts on local rulers and influential tribal chiefs, with whose support the Ismailis aimed to bring about the downfall of the ‘Abbasids. Alarmed by the successes of the Fatimid da‘wa or mission in Iraq, the ‘Abbasid caliph al-Qadir took retaliatory measures. In 1011, he sponsored the so-called Baghdad manifesto to discredit the Fatimids, also refuting their ‘Alid ancestry. The honorific title hujjat al-Iraqayn, meaning the hujja or chief da‘i of both Iraqs (al-Iraq al-Arabi and al-Iraq al-Ajami), which is often added to al-Kirmani’s name and may be of a late origin, implies that he was also active in central and western parts of Iran.

Al-Kirmani rose to prominence during the reign of al-Hakim, when the central headquarters of the Fatimid da‘wa in Cairo considered him as the most learned Ismaili theologian of the time. It was in that capacity that al-Kirmani played an important role in refuting the extremist ideas of some dissident da‘is, who were then founding what was to become known as the Druze movement and religion. As part of the official Fatimid campaign against the dissident da‘is, who had also proclaimed al-Hakim’s divinity, al-Kirmani was summoned in 1014 or shortly earlier to Cairo where he produced several works in refutation of the extremist doctrines. Al-Kirmani’s writings, which were widely circulated, were to some extent successful in checking the spread of the extremist doctrines associated with the initiation of the Druze movement. Subsequently, al-Kirmani returned to Iraq where he completed his last and magnum opus, Rahat al-‘aql, in 1020 and where he died soon afterwards.

A prolific writer, al-Kirmani was one of the most learned Ismaili theologians of the Fatimid times. He was well-acquainted with the Hebrew text of the Old Testament, the Syriac version of the New Testament, and the post-Biblical Jewish writings. He expounded the Ismaili Shi‘i doctrine of the imamate in numerous writings. In a few treatises, al-Kirmani refuted the theological views of the Zaydis, the Twelver Shi‘is, and other Muslim opponents of the Fatimid Ismaili imams. In his al-Aqwal al-dhahabiya, al-Kirmani refuted the ideas of Abu Bakr Mohammad b. Zakariya al-Razi (d. 934), who had argued for the necessity of revelation and prophethood while tracing all sciences to revelational origins. Al-Kirmani was also an accomplished philosopher belonging to that select group of Ismaili da‘is of the Iranian lands who amalgamated in an original manner their Ismaili theology (kalam) with different philosophical traditions, notably a type of Neoplatonism then current in the Muslim world. As a philosopher, al-Kirmani was fully acquainted with Aristotelian and Neoplatonic philosophies as well as the metaphysical systems of the Muslim philosophers (falasifa), notably al-Farabi, and Ibn Sina (Avicenna) who was his contemporary. In his Kitab al-riyad, al-Kirmani acted as an arbiter in a philosophical debate that had taken place earlier among some Iranian da‘is, notably Muhammad al-Nasafi, Abu YaRahat al-‘aql, which is written for the advanced adepts. In this book, al-Kirmani also propounded what may be regarded as the third stage in the development of Ismaili cosmology in medieval times. Al-Kirmani replaced the Neoplatonic dyad of the Intellect (‘aql) and Soul (nafs) in the spiritual world, which had been adopted by his Iranian Ismaili predecessors, by a series of ten separate Intellects in partial adaptation of al-Farabi’s Aristotelian cosmic system. Al-Kirmani’s cosmology, representing an original synthesis of different philosophical traditions, was not however adopted by the Fatimid Ismailis; it later provided the basis for the development of the fourth and final stage of Ismaili cosmology at the hands of the Musta‘li-Tayyibi scholars in Yaman.

References and Further Reading

  • W. Ivanow, Ismaili Literature: A Bibliographical Survey, Tehran, 1963, pp. 40-45. Contains a survey of al-Kirmani’s known works and their manuscripts, preserved mainly in Yaman and India.
  • I. K. Poonawala, Biobibliography of Ismaili Literature Malibu, Calif., 1977, pp. 94-102. Also contains a survey of al-Kirmani’s known works and their manuscripts, preserved mainly in Yaman and India.
  • J. van Ess, “Bibliographische Notizen zur islamischen Theologie. I. Zur Chronologie der Werke des Hamidaddin al-Kirmani”, Die Welt des Orients, 9, 1978, pp. 255-261. A partial chronology of al-Kirmani’s works.
  • W. Madelung, “Das Imamat in der frühen ismailitischen Lehre”, Der Islam, 37, 1961, pp. 114-127.
  • H. Corbin, Cyclical Time and Ismaili Gnosis, London, 1983, index.
  • F. Daftary, The Ismailis: Their History and Doctrines, Cambridge, 1990, pp. 113, 192-193, 196-197, 218, 227, 229-230, 235-236, 240, 245-246, 287, 291, 298.
  • Paul E. Walker, Early Philosophical Shiism, Cambridge, 1993, index.
  • Paul. E. Walker, Hamid al-Din al-Kirmani: Ismaili Thought in the Age of al-Hakim, London, 1999.
  • Daniel De Smet, La Quiétude de l’intellect: Néoplatonisme et gnose ismaélienne dans l’oeuvre de Hamid ad-Din al-Kirmani, Louvain, 1995.

Author Information

Farhad Daftary
Email: info@iis.ac.uk
The Institute of Ismaili Studies
United Kingdom

Søren Kierkegaard (1813—1855)

KierkegaardSøren Kierkegaard is an outsider in the history of philosophy. His peculiar authorship comprises a baffling array of different narrative points of view and disciplinary subject matter, including aesthetic novels, works of psychology and Christian dogmatics, satirical prefaces, philosophical “scraps” and “postscripts,” literary reviews, edifying discourses, Christian polemics, and retrospective self-interpretations. His arsenal of rhetoric includes irony, satire, parody, humor, polemic and a dialectical method of “indirect communication” – all designed to deepen the reader’s subjective passionate engagement with ultimate existential issues. Like his role models Socrates and Christ, Kierkegaard takes how one lives one’s life to be the prime criterion of being in the truth. Kierkegaard’s closest literary and philosophical models are Plato, J.G. Hamann, G.E. Lessing, and his teacher of philosophy at the University of Copenhagen Poul Martin Møller, although Goethe, the German Romantics, Hegel, Kant and the logic of Adolf Trendelenburg are also important influences. His prime theological influence is Martin Luther, although his reactions to his Danish contemporaries N.F.S. Grundtvig and H.L. Martensen are also crucial. In addition to being dubbed “the father of existentialism,” Kierkegaard is best known as a trenchant critic of Hegel and Hegelianism and for his invention or elaboration of a host of philosophical, psychological, literary and theological categories, including: anxiety, despair, melancholy, repetition, inwardness, irony, existential stages, inherited sin, teleological suspension of the ethical, Christian paradox, the absurd, reduplication, universal/exception, sacrifice, love as a duty, seduction, the demonic, and indirect communication.

Table of Contents

  1. Life (1813-55)
    1. Father and Son: Inherited Melancholy
    2. Regina Olsen: The Sacrifice of Love
    3. The Master of Irony and the Seductions of Writing
    4. The “Authorship”: From Melancholy to Humor
    5. The “Second Authorship”: Self-Sacrifice, Love, Despair, and the God-Man
    6. The Attack on the Danish People’s Church
  2. The “Aesthetic Authorship”
    1. On the Concept of Irony and Either/Or
    2. Fear and Trembling and Repetition
    3. Philosophical Fragments, The Concept of Anxiety, and Prefaces
    4. Stages on Life’s Way and Concluding Unscientific Postscript
  3. The Edifying Discourses
    1. Sermons, Deliberations, and Edifying Discourses
    2. Direct and Indirect Communication
    3. That Single Individual, My Reader
  4. The “Second Authorship”
    1. Works of Love
    2. Anti-Climacus
    3. The Attack on the Church
  5. References and Further Reading

1. Life (1813-55)

a. Father and Son: Inherited Melancholy

Søren Aabye Kierkegaard was born on May 5th 1813 in Copenhagen. He was the seventh and last child of wealthy hosier, Michael Pedersen Kierkegaard and Ane Sørensdatter Lund, a former household servant and distant cousin of Michael Kierkegaard. This was Michael Kierkegaard’s second marriage, which came within a year of his first wife’s death and four months into Ane Lund’s first pregnancy. Michael Kierkegaard was a deeply melancholic man, sternly religious and carried a heavy burden of guilt, which he imposed on his children. Søren Kierkegaard often lamented that he had never had a childhood of carefree spontaneity, but that he had been “born old.” As a starving shepherd boy on the Jutland heath Michael had cursed God. His surname derived from the fact that his family was indentured to the parish priest, who provided a piece of the church (Kirke) farm (Gaard) for the family’s use. The name Kirkegaard (in older spelling Kierkegaard) more commonly means ‘churchyard’ or ‘cemetery.’ A sense of doom and death seemed to hover over Michael Kierkegaard for most of his 82 years. Although his material fortunes soon turned around dramatically, he was convinced that he had brought a curse on his family and that all his children were doomed to die by the age attained by Jesus Christ (33). Of Michael’s seven children, only Peter Christian and Søren Aabye survived beyond this age.

At age 12 Michael Kierkegaard was summoned to Copenhagen to work for his uncle as a journeyman in the cloth trade. Michael turned out to be an astute businessman and by the age of 24 had his own flourishing business. He subsequently inherited his uncle’s fortune, and augmented his wealth by some felicitous investments during the state bankruptcy of 1813 (the year, as Søren later put it, in which so many bad notes were put into circulation). Michael retired young and devoted himself to the study of theology, philosophy and literature. He bequeathed to his surviving sons Peter and Søren not only material wealth, but also supremely sharp intellect, a fathomless sense of guilt, and a relentless burden of melancholy. Although his father was wealthy, Søren was brought up rather stringently. He stood out at school because of his plain, unfashionable apparel and spindly stature. He learned to avoid teasing only by honing a caustic wit and a canny appreciation of other people’s psychological weaknesses. He was sent to one of Copenhagen’s best schools, The School of Civic Virtue [Borgerdydskolen], to receive a classical education. More than twice as much time was devoted to Latin in this school than to any other subject. Søren distinguished himself academically at school, especially in Latin and history, though according to his classmates he struggled with Danish composition. This became a real problem later, when he tried desperately to break into the Danish literary scene as a writer. His early publications were characterized by complex Germanic constructions and excessive use of Latin phrases. But eventually he became a master of his mother tongue, one of the two great stylists of Danish in his time, together with Hans Christian Andersen. Kierkegaard’s father is a constant presence in his authorship. He appears in stories of sacrifice, of inherited melancholy and guilt, as the archetypal patriarch, and even in explicit dedications at the beginning of several edifying discourses. Kierkegaard’s mother, on the other hand, never gets a mention in any of the writings – not even in his journal on the day of her death. His mother-tongue, though, is omnipresent. If we conjoin this fact with the remark in Concluding Unscientific Postscript (1846) that “… an omnipresent person should be recognizable precisely by being invisible,” we could speculate that the mother is even more present than the father, pervading all but the foreign language insertions in the texts. But whether or not there is any substance in this speculation, the invisibility of the mother and the treatment of women in general are indicative of Kierkegaard’s uneasy relationship with the opposite sex.

b. Regina Olsen: The Sacrifice of Love

Søren drifted into the study of theology at the University of Copenhagen, but soon broadened his study to include philosophy and literature. He started rather desultorily, and enjoyed a relatively dissolute time, even aspiring to cut the figure of a dandy. He ran up debts, which his father reluctantly paid, but eventually knuckled down to finish his degree when his father died in 1838. It seemed he was destined for a life as a pastor in the Danish People’s Church. In 1840, just before he enrolled at the Pastoral Seminary, he became engaged to Regina Olsen. This engagement was to form the basis of a great literary love story, propagated by Kierkegaard through his published writings and his journals. It also provided an occasion for Kierkegaard to define himself further as an outsider. For several years (at least since 1835) Kierkegaard had been dabbling with the idea of becoming a writer. The wealth he had inherited from his father enabled him to support himself comfortably without the need to work for a living. But it was not really enough to support a wife, let alone a wife and children. Furthermore, Kierkegaard harbored an undisclosed secret, something dark and personal, which he thought it his duty to confide to a wife, but which he dared not. Whether it was some sexual indiscretion, an inherited sexual disease, his innate melancholy, an egotistical mania to become a writer, or something else, we can only speculate. But when it came to the crunch, it seemed sufficient to make him break off the engagement rather than to reveal it to Regina. Thereafter, Kierkegaard frequently used marriage as a trope for “the universal” – especially for the universal demands made by social mores. Correlatively, becoming an “exception” was both a task and constantly in need of justification. The tortuous dialectic of universal and exception, worked out in terms of the sacrifices of love, subsequently informs much of Either/Or, Repetition, Fear and Trembling, Prefaces, and Stages on Life’s Way. A frequent foil for the trope of marriage as the universal is the figure of a young man “poeticized” by a broken engagement, who thereby becomes “an exception.” Only when the young man is “poeticized” in the direction of the religious, however, is there any question of his being a “justified exception.” Kierkegaard’s ultimate justification for breaking off his own engagement was his dedication to a life of writing as a religious poet, under the direction of divine Governance. As a measure of the importance the relationship to Regina had for his life, Kierkegaard adapted a line from Virgil’s Aeneid II,3 as “a motto for part of his life’s suffering”: Infandum me jubes Regina renovare dolorem (“Queen [Regina], the sorrow you bid me revive is unspeakable”).

c. The Master of Irony and the Seductions of Writing

During the period of his engagement Kierkegaard was also busy writing his Master’s dissertation in philosophy, On the Concept of Irony: with constant reference to Socrates (1841). This was later automatically converted to a doctorate (1854). Kierkegaard had petitioned the king to write his dissertation in Danish – only the third such request to be granted. Usually academic dissertations had to be written and defended in Latin. Kierkegaard was allowed to write his dissertation in Danish, but had to condense it into a series of theses in Latin, to be defended publicly in Latin, before the degree would be awarded. Almost immediately after his dissertation defense, Kierkegaard broke off his engagement to Regina. He then undertook the first of four journeys to Berlin – his only trips abroad apart from a brief trip to Sweden. During this first trip to Berlin Kierkegaard completed most of the first volume of Either/Or (much of the second volume already having been completed).

Throughout the second half of the 1830s Kierkegaard had aspired to become part of the pre-eminent literary set in Copenhagen. This centered on Professor J.L. Heiberg, playwright, philosopher, aesthetician, journal publisher, and doyen of Copenhagen’s literati. Heiberg had been credited with introducing Hegel’s philosophy to Denmark, though in fact there had already been lectures on Hegel by the Norwegian philosopher Henrik Steffens among others. Nevertheless, the fact that Heiberg gave Hegel’s work his imprimatur accelerated its acceptance into mainstream Danish intellectual life. By the end of the 1830s Hegelianism dominated Copenhagen’s philosophy, theology and aesthetics. Of course this engendered some resistance, including that from Kierkegaard’s professors of philosophy F.C. Sibbern and Poul Martin Møller. One of Hegelianism’s most illustrious local exponents was Kierkegaard’s archrival H.L. Martensen (professor of theology at Copenhagen University, later Bishop Primate of the Danish People’s Church). Martensen, just five years senior to Kierkegaard, was firmly entrenched in the Heiberg literary set, and anticipated at least one of Kierkegaard’s pet literary projects – an analysis of the figure of Faust. In his journals, as part of his practice at becoming a writer, Kierkegaard had been fascinated with three great literary figures from the Middle Ages, who he thought embodied the full range of modern aesthetic types. These figures were Don Juan, Faust, and the Wandering Jew. They embodied sensuality, doubt and despair respectively. Martensen’s publication on Faust pre-empted Kierkegaard’s budding literary project, though the latter eventually found expression in the first volume of Either/Or (1843). Meanwhile, Kierkegaard continued to seek Heiberg’s seal of approval. His first major breakthrough was an address to the University of Copenhagen’s Student Association on the issue of freedom of the press. This was a satirical conservative riposte to a previous address in favor of more liberal press laws, and was the first broadside by Kierkegaard in a long career of lambasting the popular press, especially insofar as it supported political agitation for democracy. In this instance, however, it seemed motivated more by a desire to showcase his wit and erudition than by any deeper engagement with the political issues. The freedom of the press had been severely undermined by King Frederik VI’s ordinance of 1799, and was threatened with full censorship by his press legislation of 1834. The Society for the Proper Use of Press Freedom was formed in 1835 to combat this development. Kierkegaard followed up his speech with an article in Heiberg’s paper, The Copenhagen Flying Post (1836). The article, published pseudonymously, was so clever and polished that some people mistook it for the work of Heiberg himself. This amounted to his calling card for invitation to the Heiberg literary salon. Kierkegaard followed this with further pseudonymous articles on the same topic. But his first monograph was a 70-page review of Hans Christian Andersen’s novel, Only a Fiddler. This too was a strategic move to break into the inner sanctum of Heiberg’s circle. Andersen was emerging as a major talent in Danish letters, having published poetry, plays and two novels, which had almost immediately been translated into German. Only a Fiddler was on a topic dear to Kierkegaard’s heart – genius. Andersen’s prime claim was that genius needs nurturing, and can succumb to circumstance and disappear without trace. Kierkegaard, in his book-length review From the Papers of One Still Living (1838), disagreed stridently, maintaining that the spark of genius could never be extinguished, but only augmented by adversity. Furthermore, he developed a theory of the novel in which he asserted that to be worth its salt, a novel had to be informed by a “life-view” and a “life-development.” He criticized Andersen’s novel for its dependence on contingent features from Andersen’s own life, rather than being transfigured by a mature philosophy of life with clarity of purpose. He contrasted Andersen’s novel unfavorably in this respect with the novel by Heiberg’s mother, Thomasine Gyllembourg, A Story of Everyday Life. Kierkegaard was to return to Gyllembourg as a novelist in his review of her Two Ages in A Literary Review (1846). He was also to write a review of the work of Heiberg’s wife Louise, Denmark’s leading actress, in The Crisis and A Crisis in the Life of an Actress (1848).

d. The “Authorship”: From Melancholy to Humor

Neither the articles in Heiberg’s papers, nor the monograph on Andersen as novelist had gained Kierkegaard secure membership of Heiberg’s circle – though he was an occasional visitor there. With the breaking of his engagement to Regina, the completion of a major academic book (The Concept of Irony), his decision to devote himself to writing, and the trip to Berlin both to audit Schelling’s lectures (along with Karl Marx, Jacob Burckhardt and other luminaries) and to concentrate on his new literary project (Either/Or), Kierkegaard was about to embark on what he later, retrospectively, called his “authorship.” This was eventually to comprise all the “aesthetic” pseudonymous works from Victor Eremita’s Either/Or to Johannes Climacus’s Concluding Unscientific Postscript, the Edifying Discourses under Kierkegaard’s own name (up to 1846), and Two Ages: The Age of Revolution and the Present Age: A Literary Review (by S. Kierkegaard). In short, these were the works published between Kierkegaard’s first and final visits to Berlin.

Either/Or burst upon the Copenhagen reading public with great force. It was immediately understood to be a major literary event. It was also regarded as scandalous by some, since its first volume portrayed the cynical, bored aestheticism of the modern flâneur, culminating in “The Seducer’s Diary.” Many, including Heiberg, took this to be a thinly disguised account of Kierkegaard’s own treatment of Regina Olsen. Most of the reviews, including Heiberg’s, concentrated on the scurrilous content of the first volume of the book. But other reviews read the two-volume work as a whole, and discovered the edifying and ethical framework in which the aesthetic point of view was to be assessed. Nevertheless, Heiberg’s review deeply offended Kierkegaard, and marked the point at which his relationship to Heiberg changed from aspiring associate to embittered critic. Hereafter in the “authorship” Heiberg became the target of unrelenting satire. He and Martensen were the main representatives of Danish Hegelianism, which is attacked at various points in the “authorship” – particularly in Prefaces (1844) and in Concluding Unscientific Postscript. It is worth noting that Hegel himself comes in for much less criticism, and much more positive endorsement, in Kierkegaard’s work than is commonly assumed. It is the Christian Hegelianism of Danish intellectuals that is the main target of his critiques. The “authorship” comprises two parallel series of texts. On the one hand are the pseudonymous works, which purportedly follow a dialectical trajectory of existential “stages” from the aesthetic, through the ethical, to the religious, and ultimately to the paradoxical religious stage of Christian faith. On the other hand are the Edifying Discourses, which are published under Kierkegaard’s own name, which resemble sermons on biblical texts, and which are addressed to a readership already presumed to be Christian. The pseudonymous authorship starts with an existential type modeled on the German Romantic aesthete – the ironic, urbane flâneur whose main concern is to avoid boredom and to maintain a cerebral spectator’s interest in life and its sensuous pleasures. Ironically, this aesthete is beset with melancholy. His greatest happiness is his unhappiness, as the section of Either/Or entitled “The Unhappiest One” concludes. Although boredom is stated to be the negative motivation for the aesthete’s actions, at a deeper level we can discern that it is escape from melancholy and despair that are the real motivators. As part of the dialectical framework of the “authorship,” Kierkegaard says there are also intermediate states between the discrete existential stages. These he calls “confinia” or border areas. Between the aesthetic and ethical stages lies the confinium of irony. Between the ethical and religious stages lies the confinium of humor. Humor is defined as “irony to a higher power” – so it does not wear its meaning on its sleeve. It is also to be understood as an inclusive, magnanimous state of affirming “both/and” (both the aesthetic and the ethical, both the tragic and the comic) rather than the ethically exclusive “either/or.” The author of Concluding Unscientific Postscript, Johannes Climacus is a self-professed “humorist” in this sense. Although he purports to give the reader the truth about Christianity, he also “revokes” all he has said in that book. The religious humorist purports to go beyond the aesthetic and the ethical by choosing the religious exclusively, yet by virtue of the absurd, gets the aesthetic and the ethical back again within the religious. In terms of his own psychological economy, Kierkegaard seems to have been struggling to lose his melancholy and have it at the same time. It seems to have served him as an essential motor of aesthetic productivity, but was also a constant source of suffering from which he sought escape. For a long time Kierkegaard reconciled himself to his life of aesthetic self-indulgence as an author with the idea that it was all for a limited time. Once his “authorship’ was complete, he would retire from writing and become a country pastor ministering to the souls of simple folk. Authorship was both a demonic temptation and a means of self-justification as an exception to the universal demands of society’s ethics. But just as he was on the point of completing the “authorship,” Kierkegaard managed to provoke an attack on himself by the press, which demanded further work as an author in response.

e. The “Second Authorship”: Self-Sacrifice, Love, Despair, and the God-Man

Kierkegaard provoked an attack on himself by the journal The Corsair. The journal, edited by the talented Jewish author Meïr Goldschmidt, specialized in ruthless satirical attacks on contemporary Danish authors. Yet, perhaps because of the esteem in which Goldschmidt held him, Kierkegaard had been spared. Kierkegaard found this favorable treatment offensive (partly out of vanity, ostensibly because of his ongoing critique of the press’s influence on public opinion). So he publicly challenged The Corsair to do its worst. It did. It launched a series of attacks on Kierkegaard, more personal than literary, and focused on his odd appearance and his relationship with Regina. In some wicked caricatures it portrayed him with one trouser leg shorter than the other, with a sway back, and riding on a woman’s (Regina’s) back with stick in hand. These caricatures made a laughing stock of Kierkegaard in Copenhagen, to the extent that he was mocked in the street and had to give up his habit of walking around the inner city to talk with all and sundry.

But it galvanized him to begin a “second authorship.” This time the edifying discourses under his own name were supplemented with works by the pseudonym Anti-Climacus. Anti-Climacus represents an idealized Christian point of view – one that Kierkegaard professed is higher than he had been able to achieve in his own life. The only other pseudonyms to appear in this “second authorship” were Inter et Inter, author of The Crisis and A Crisis in the Life of an Actress, and “H.H.” author of “Two Ethical-Religious Essays.” In addition the “second authorship” comprises: Works of Love (1847), The Sickness Unto Death (1849), Practice in Christianity (1850), as well as various edifying discourses, including Edifying Discourses in Various Spirits (1847), The Lily of the Field and the Bird of the Air (1849), Three Discourses at the Communion on Fridays (1849), Two Discourses at the Communion on Fridays (1851), and For Self-Examination (1851). He also published a retrospective self-interpretation of his writings to date, On My Work as an Author (under his own name – 1851). In addition Kierkegaard wrote various works at this time which he decided not to publish. The most significant of these are: The Book on Adler and The Point of View for My Work as an Author. The former gives a detailed analysis of the “phenomenon” of Adolph Adler, a pastor in the Danish People’s Church who claimed to have had a divine revelation. He was deemed mad by the church authorities and pensioned off. Adler had been a leading Hegelian in the 1840s, but on Kierkegaard’s analysis ends up being “a Satire on Hegelian Philosophy and the Present Age.” Kierkegaard makes an immanent critique of Adler’s writings to demonstrate their confusion and the absence of revelation. Kierkegaard published only the addendum to The Book on Adler as “The Difference between a Genius and an Apostle” in “Two Ethical Religious Essays.” The Point of View for My Work as an Author sets out Kierkegaard’s (retrospective) interpretation of his authorship. It is subtitled: “A Direct Communication, Report to History.” It explains in direct terms the dialectic of indirect communication, but Kierkegaard was uncertain whether its directness at that time was dialectically correct for the authorship and refrained from publishing it. The “second authorship” reintroduces various concepts from the “aesthetic authorship,” but “transfigured” by the light of Christian faith. One of the most significant of these is “despair,” which is a transfigured version of “anxiety.” Both concepts are illuminated by reference to the notion of sin, and both are constitutive of the dialectic of selfhood. Only by acknowledging our ultimate dependence on God’s grace is it possible to overcome despair, and to become a self (paradoxically by becoming as “nothing” before God). Another concept transfigured in the “second authorship” is “love.” In the “aesthetic authorship” “love” is understood in pagan terms, primarily as eros – or desire. Desire is preferential, based on a lack (we only desire what we don’t have, according to Plato’s Symposium), and is ultimately selfish. Christian love is understood as agape. It is self-sacrificing, directed to the neighbor (without personal preference), is conceived as a spiritual duty rather than a psychological feeling, and comes as a gift from God rather than from the attraction between human beings. Its only perfect model is in the person of Jesus Christ, the God-man. We can see in the journey from eros in the “aesthetic authorship” to agape in the “second authorship” a personal attempt by Kierkegaard to sublimate his selfish desire for Regina into a self-sacrificing universal duty to love the neighbor. On his own terms this is impossible for a human being to achieve alone. It is only possible if love as agape is received as a gift by the grace of God.

f. The Attack on the Danish People’s Church

The “authorship” and “second authorship” had been governed by Kierkegaard’s elaborate method of “indirect communication.” This method, inspired by Socrates and Christ, is designed to elicit self-examination from the reader in order to start the process of existential transfiguration that is entailed by Christian faith. It is designed to make it harder for the reader to appropriate the text objectively and dispassionately. Instead, the text is folded back on itself, layered with riddles and paradoxes, and designed to be a mirror in which the way the reader judges the text amounts to a self-judgment on the reader. The different works in the “authorships” are related to one another dialectically, so that a reader has to traverse a complicated journey to arrive at the threshold of Christian faith. The method of indirect communication requires meticulous attention to each word, and to the dialectical trajectory of the whole oeuvre. At times, the subtlety of the method nearly drove Kierkegaard to distraction, and he had to rely on the intervention of “Governance” [Styrelse], to let him know whether it was appropriate to publish the works he had written. On the Point of View for My Work as an Author: A Report to History, and The Book on Adler, failed to get Governance’s stamp of approval for publication.

But ultimately Kierkegaard began to think that this elaborate method of indirect communication, and his obsession with linguistic detail were temptations to the demonic. Besides, time was running out and some direct, decisive intervention in Danish church politics was necessary. This was precipitated by the death of the Bishop Primate of the Danish People’s Church, J.P. Mynster (1854). Mynster had been the family pastor in Michael Kierkegaard’s day, and Søren Kierkegaard had always had a filial respect for him. But when the new Bishop Primate elect, H.L. Martensen, announced that Mynster had been “a witness to the truth” Kierkegaard could not restrain himself. He launched a stinging attack on the established church in a series of articles in the newspaper Fædrelandet [The Fatherland], and by means of a broadsheet called The Instant [or more literally “The Glint of an Eye”](1855) and in a series of other short, sharp pieces including This Must Be Said, So Let It Be Said (1855), and What Christ Judges of Official Christianity (1855). On September 28th 1855 Kierkegaard collapsed in the street. A few days later he was admitted to Frederiksberg Hospital in Copenhagen, where he died on November 11th.

2. The “Aesthetic Authorship”

a. On the Concept of Irony and Either/Or

Although Kierkegaard explicitly leaves On the Concept of Irony out of his “authorship,” it functions as an important preface to that body of work. According to the theory of existential stages contained in the authorship, irony functions as a “confinium” [border area] between the aesthetic and the ethical. But it also functions as a point of entry to the aesthetic. As Kierkegaard argues in On the Concept of Irony, irony is a midwife at the birth of individual subjectivity. It is a distancing device, which folds immediate experience back on itself to create a space of self-reflection. In Socrates it is incarnated as “infinite negativity” – a force that undermines all received opinion to leave Socrates’ interlocutors bewildered – and responsible for their own thoughts and values. That is, Socratic irony forces his interlocutors to reflect on themselves, to distance themselves critically from their immediate beliefs and values.

Although the aesthetic can consist in immediate immersion in sensuous experience, as in the case of Don Juan, Kierkegaard’s most developed portrait is of the reflective aesthete in Either/Or volume 1. Faust is the first example of a reflective aesthete. He is lost in reflective ennui and craves a return to immediate experience. This is the basis of his attraction to Margarete, who embodies innocent immediacy. At its most extreme, the aesthete is unhappily and utterly self-alienated by means of temporal dislocation. “The Unhappiest One” – an echo of Hegel’s “unhappy consciousness” – hopes for that which can only be remembered, and remembers that which can only be hoped. He or she lives only in the modality of possibility and never in the modality of actuality, and therefore fails to be self-present. Yet, by means of reflective self-knowledge, the prudent rotation of moods and the arbitrary focus of interest, this “unhappiness” can be transformed into the greatest happiness for the aesthete. The “infinitizing” element of possibility becomes the realm of freedom, where even the most banal events can be “poeticized” by aesthetic sensibility. Actuality is transformed into nothing more than an occasion for generating reflective possibilities, rather than being an obstacle or a task. Johannes the seducer need see only a dainty ankle descending from a carriage to reconstruct the whole woman – just as Cuvier reconstructs the whole dinosaur from a single bone. The reconstruction, in the case of Johannes however, is not for the sake of knowing what’s real, but is for the sake of his own aesthetic titillation. If the actual doesn’t fit Johannes’ reflective desires, he manipulates it and himself until he generates a story that satisfies him. His seduction of Cordelia is not aimed at mere sexual consummation, but more at narrative consummation – she is to be used as an occasion, and manipulated in whatever ways Johannes deems necessary, to become the character in the story of seduction he has predetermined. But this detachment from the actual, by self-centered immersion in reflective possibility, is exactly what On the Concept of Irony had accused the German Romantics of achieving with their use of irony. The first volume of Either/Or just gives us a more developed version, artistically construed from the point of view of German Romantic irony. On the Concept of Irony had already argued for the necessity to go beyond immersion in irony, or mere possibility – to become a “master of irony,” so that irony could be used strategically for ethical and religious ends. The title Either/Or presents us with a choice between the aesthetic and the ethical. The first volume is written from the point of view of the reflective aesthete, who has run astray in possibility. Although its main theme is love, this is conceived selfishly as erotic desire. The papers that comprise volume 1 are written ad se ipsum [to himself]. The aesthete’s brilliant pyrotechnics are demonically self-enclosed, ironically cutting him off from genuine communication. The second volume, on the other hand, is written by a judge, who advocates transparency and openness in communication. It is written in the form of letters, as a direct communication to the aesthetic author of the first volume. The letters implore him to realize the limitations of his demonic self-enclosure, and to embrace his ethical duties to others. Whereas the paradigm of love in volume 1 is seduction, the paradigm of love in volume 2 is marriage. Marriage is a trope for the universal claims of civic duty. It requires an open, intimate, transparent, honest relation to an other. Yet the first section of volume 2 argues for the aesthetic validity of marriage. Judge Wilhelm wants to persuade the aesthete that ethical love is compatible with aesthetic love – that love in marriage does not exclude sensual enjoyment and love of beauty as such, but only the selfishness of lust for “the flesh.” The latter is a category excluded by Christianity. It pertains to the body and psyche, to the exclusion of spirit, which is the definitive Christian category. Yet the claims of the judge ring hollow. Either/Or is presented as a whole book, edited by Victor Eremita (the victorious hermit). It presents us with a radical, exclusive choice between the aesthetic and the ethical, yet the judge tries to show their compatibility in marriage. The final word of the book belongs neither to the aesthete, the judge, nor even to the pseudonymous editor, but to an anonymous parson. His sermon, “The Edification Which Lies In The Fact That In Relation To God We Are Always In The Wrong,” alerts the reader to the impossibility of escaping sin through ethics. The assumption shared by both the aesthete and the ethicist is that love can provide a means for ascent to the divine. Whereas erotic desire provides a means for the aesthete to ascend to a state of reflective possibility unconstrained by actuality, in which he becomes his own creator-god, the judge conceives ethical love to be a dialectical advance on aesthetic selfishness – in the direction of God. The whole pseudonymous authorship, from Either/Or to Concluding Unscientific Postscriptcan be read as a parody of the notion of a scala paradisi by means of which humans can ascend to the divine. The original model for this ladder to paradise is Plato’s account of love [eros] in the Symposium. But the model is appropriated by many subsequent writers, including Augustine and Johannes Climacus, a sixth century monk from Mt. Sinai, who wrote a book called Scala Paradisi. Kierkegaard borrows this name for his pseudonymous author of Philosophical Fragments and Concluding Unscientific Postscript. But it is in order to parody the notion that humans can ascend to the divine under their own power. Each of the pseudonymous books in the “authorship” makes a gesture of movement from human to divine, whether by means of the aesthetic sublime, ethical virtue, the religious leap of faith, or philosophical dialectics. But in each case the apparent movement is “revoked” in some way. Ultimately Kierkegaard endorses the Lutheran view that human beings are radically dependent on God to descend to us. Human beings have no inherent capacity for transcending their own immanence, but are completely reliant on God’s grace to connect with alterity.

b. Fear and Trembling and Repetition

The next two books in the pseudonymous authorship, Fear and Trembling and Repetition, are supposed to represent a higher stage on the dialectical ladder – the religious. They are supposed to have moved beyond the aesthetic and the ethical. Fear and Trembling explicitly problematizes the ethical, while Repetition problematizes the notion of movement. Fear and Trembling reconstructs the story of Abraham and Isaac from the Old Testament. It tries to understand psychologically, ethically and religiously what Abraham was doing in obeying an apparent command from God to sacrifice his son. It apparently concludes that Abraham is “a knight of faith” who is religiously justified in his “teleological suspension of the ethical.” The ethic in question here is the civic virtue championed by Judge Wilhelm in Either/Or – corresponding to Hegel’s Sittlichkeit [customary morality]. The end for which this ethic is suspended is the unconditional command of God. But such obedience raises difficult epistemological questions – how do we distinguish the voice of God from, say, a delusional hallucination? The answer, which induces fear and trembling, is that we can only do so by faith. Abraham can say nothing to justify his actions – to do so would return him to the realm of human immanence and the sphere of ethics. The difference between Agamemnon, who sacrificed his daughter Iphigenia, and Abraham is that Agamemnon could justify his action in terms of customary morality. The sacrifice, however painful, was demanded for the sake of the success of the Greek military mission against Troy. Such sacrifices, for purposes greater than the individuals involved, were intelligible to the society of the time. Abraham’s sacrifice would have served no such purpose. It was unjustifiable in terms of prevailing morality, and was indistinguishable from murder. The ineffability of Abraham’s action is underscored by the pseudonym Kierkegaard chose as author of Fear and Trembling, namely, Johannes de silentio. But while Fear and Trembling is supposed to have moved beyond the aesthetic and the ethical, its subtitle is “a dialectical lyric.” Although its subject matter is ineffable and its author silent, it effuses aesthetically on its theme. It ends with an “Epilogue” that asserts that, as far as love and faith go, we cannot build on what the previous generation has achieved. We have to begin from the beginning. We can never “go further.”

Repetition begins with a discussion of the analysis of motion by the Eleatic philosophers. It goes on to distinguish two forms of movement with respect to knowledge of eternal truth: recollection and repetition. Recollection is understood on the model of Plato’s anamnesis – a recovery of a truth already present in the individual, which has been repressed or forgotten. This is a movement backwards, since it is retrieving knowledge from the past. It can never discover eternal truth with which it was previously unacquainted. In contrast, repetition is defined as “recollection forwards.” It is supposed to be the definitive movement of Christian faith. The pseudonym Constantin Constantius congratulates the Danish language on the word “Gjentagelse” [repetition], which more literally means “taking again.” The emphasis in the Danish, then, is on the action involved in the repetition of faith rather than on the intellection involved in recollection. Christian faith is not a matter of intellectual reflection, but of living a certain sort of life, namely, imitating [repeating] the life of Christ. Despite this verbal analysis of the difference between recollection and repetition, the characters in Repetition fail to achieve religious repetition. The pseudonymous author fails in his attempt to repeat a journey to Berlin, and the “young man” who has been “poeticized” by love seems to move in the direction of the religious, but ultimately gets no further than religious poetry. He becomes obsessed with Job, the biblical paradigm of repetition. He substitutes the book of Job for the beloved he has rejected, even taking it to bed with him. But in the end the “young man” turns out to be no more than a fiction invented by Constantius as a psychological experiment. He falls back into the realm of aesthetics, of mere possibility, a figment for the psyche rather than the spirit.

c. Philosophical Fragments, The Concept of Anxiety, and Prefaces

In June 1844 Kierkegaard published three pseudonymous books: Philosophical Fragments, The Concept of Anxiety, and Prefaces. Philosophical Fragments, the first book by the pseudonym Johannes Climacus, tackles the question of how there can be an historical point of departure for an eternal truth. This picks up from Constantius’ discussion of the difference between repetition and recollection. But Johannes uses the perspective and vocabulary of philosophy, rather than Constantius’ aesthetic irony. He introduces the paradox of the Christian incarnation as the stumbling block for any attempts by reason to ascend logically to the divine. The idea that the eternal, infinite, transcendent God could simultaneously be incarnated as a finite human being, in time, to die on the cross is an offense to reason. It is even too absurd an idea for humans to have invented, according to Climacus, so the idea itself must have a transcendent origin. In order for humans to encounter transcendent, eternal truth other than through recollection, the condition for reception of that truth must also have come from outside. If we have Christian faith, it is Christ as teacher who is the condition for receiving this truth – and he is conceived, precisely, as an incursion of the transcendent deity into the realm of human immanence. There can be no ascent to this truth by reason and logic, contra Hegel, who tries to demonstrate that “universal philosophical science” ultimately reveals “the Absolute.”

The emphasis Climacus places on the paradox of the Christian incarnation, together with his assertion that this causes offense to reason, have prompted many to the view that Kierkegaard is an “irrationalist” about Christian faith. Some take this to mean that his view of faith is contrary to reason, or transcendent of reason – in either case, exclusive of reason. Others have sought to find means of reconciling Climacus’ claims with some more extended notion of reason. It is important in considering these issues to distinguish Kierkegaard’s position from that of his pseudonym, and to take into account the point of view from which this consideration is made. Kierkegaard’s main aim in having Climacus make these claims is to undermine the idea that philosophical reason can be used as a scala paradisi. His principle target is Hegelianism, but he is also trying to distinguish pagan (especially Platonic) epistemology from Christian epistemology. We must also bear in mind that under the influence of Christian faith, all experience is transfigured (“everything is new in Christ”). This includes the experience of reason, as well as ethics and aesthetics. Ethics, for example, might be teleologically suspended in faith, but is recouped within Christian faith – though it comes to have another meaning. It is no longer merely customary morality, but is the morality sanctioned by Christian love, which is deontological, centered on spirit rather than sympathy, self-sacrificing, and is mediated by God (the “third” in every love relation). Similarly aesthetics is transfigured under Christian faith, from self-serving reflections confined to the realm of possibility, to the beauty inherent in altruistic self-effacing acts of love. Reason itself comes to have another meaning under Christian faith, so that it no longer takes offense at the paradox, but recognizes its necessity given the exigencies of relating the transcendent to the immanent without reduction. Reason is recontextualized within existence, rather than being elevated to absorb the whole of existence. Prefaces: Light Reading for Certain Classes as the Occasion May Require reinforces the polemic against Hegel’s speculative ladder of reason. Although much of its content is devoted to satirical broadsides at J.L. Heiberg, H.L. Martensen, and the popular press in Copenhagen, its starting point is the paradox of philosophical prefaces articulated in the preface to Hegel’s The Phenomenology of Spirit. Hegel’s assumption is that a philosophical work should be a sort of Bildungsroman – a narrative by means of which the reader’s consciousness is dialectically developed in the course of reading. If we assume the reader is to learn something from the process of reading the book, then he or she will not be in a position to understand the conclusions of the book until they have worked their way through the content. By the time they reach the end they will be conditioned by what they have read to understand the conclusion. But a preface presents the conclusions to the book at the outset. It is really an anticipatory postface rather than a preface. The reader will really only be able to understand it after having read the book. It is meant for orientation of the reader on embarking on the voyage of self-development represented by the book. But if it is a direct bridge into the book, the subject matter itself, then it is really part of the book rather than a preface. If, on the other hand, it stands radically outside the book, then it can’t be a bridge into the book and is redundant. This gap between preface and book parallels the gap Hegel draws between “particular philosophical sciences” (such as aesthetics, and history of philosophy) and “universal philosophical science” (logic). The former must be used as a contingent starting point, commensurate with the limited knowledge of the reader, as a point of induction into logic. The particular can retrospectively be subsumed within the universal, but cannot be expanded to become the universal. It has been claimed, in accordance with this position, that if the reader understands the preface to Hegel’s Phenomenology of Spirit, he or she understands the whole of Hegel’s philosophy. But the condition for understanding the preface is already to understand the whole of Hegel’s philosophy. The pseudonymous author of Prefaces, Nicholas Notabene, is a pedant whose wife has forbidden him to be an author. He takes an author to be a writer of books, and with cunning sophistry decides to write nothing but prefaces “which are not the prefaces to any books.” Notabene’s prefaces are analogues of human immanence – no amount of expansion will make them bridges to the transcendent. All human immanence is a “preface” to the divine. Only once the divine has come to us (in the incarnation or through direct revelation) can we retrospectively understand the status of our prefatory lives as mere prefaces. For Kierkegaard there is only one book – the bible. We are never “authors” of books, but only readers of “the old familiar text handed down from the fathers.” On the same day as he published Prefaces Kierkegaard also published On the Concept of Anxiety by Vigilius Haufniensis [Watchman of the Harbor – namely, Copenhagen]. Its subtitle is “A Simple Psychologically Orienting Deliberation on the Dogmatic Issue of Hereditary Sin.” It is supposed to be a serious counterweight to the “light reading” of Prefaces. But it forms part of the same polemic against immanent human efforts to reach the divine. From the points of view of psychology and theological dogmatics it elaborates the theme of the sermon appended to Either/Or – that against God we are always in the wrong. Sin is inescapable. Sin ultimately consists in being outside of God. Only Jesus Christ, the God-man, is not in sin. Sin consciousness comes into being as part of human psychological development. It is absent from the innocent immediacy of childhood. It awakens with sexual desire – when we want to possess another. Desire is here understood as a lack that we want to fill. Possession, or incorporation of the other, is thought to be the way to fulfill the desire. In erotic love it feels as though part of ourselves is outside of us, and needs to be reintegrated (as in Aristophanes’ explanation of love in Plato’s Symposium). This is the beginning of self-alienation and the loss of innocent immediacy. Self-alienation is a necessary stage on the way to becoming a self. A self is a synthesis of finite and infinite, temporal and eternal, body and soul, held together by spirit. Only with the diremption of these aspects of the self, through self-alienation, does spirit arise. But spirit can only achieve the synthesis of self if it acknowledges its absolute dependence in this task on God (“the power that posits it”). Long before it gets to this stage, the person feels anxiety in the face of self-alienation. Anxiety is an ambivalent state, “a sympathetic antipathy and an antipathetic sympathy.” It is the intimation of the delights of freedom, but also of the dread responsibility that is a consequence of freedom. Like vertigo, it is the simultaneous fascination and fear of the abyss – a hypnotic possibility of falling that induces the dizziness to actually fall. The main arena for the exercise of freedom is in becoming a self. But this requires alienation from one’s immediate sensate being, taking ethical responsibility for one’s relations to other people, and acknowledgement of one’s ultimate dependence on God. Each of these entails risk – and hence anxiety. One of the risks involved is the possibility of falling prey to the demonic. A key definition of this notion is “self-enclosed reserve” [Indesluttethed] – a state in which the individual fails to relate to an other as other, but returns into him or herself in narcissism or solipsism. Kierkegaard feared that his convoluted, indirect writing could be his own form of the demonic, and ultimately opted for more direct forms of communication.

d. Stages on Life’s Way and Concluding Unscientific Postscript

Like many of Kierkegaard’s pseudonymous works, Stages on Life’s Way repeats elements from earlier pseudonymous works. In particular, it repeats the device of nesting narrators within narrators, it repeats characters from Either/Or and Repetition, and it “repeats” “The Seducer’s Diary” in “Quidam’s Diary.” The latter was originally conceived at the same time as “The Diary of the Seducer” but was to differ by having the seducer undermined by his own depression once he had won the girl. Stages also repeats the idea built up over the sequence of pseudonymous works that human existence can be conceived as falling into distinct “stages” or “spheres,” which are related in a dialectical progression. Stages repeats the same stages that have already been traversed in the preceding works, apparently without making any progress.

It is another example of the false ladder to paradise, exemplified by Plato’s ladder of eros. The first major section of Stages, “In Vino Veritas,” borrows its title from Plato’s Symposium and is modeled explicitly on that work, both structurally and thematically. It consists in a group of men at a banquet, each discoursing in turn on the nature of (erotic) love. This section of the book is followed by “Some Reflections on Marriage” by Judge Wilhelm, to give an ethical perspective on love. This is followed by “Quidam’s Diary,” which is supposed to follow a trajectory from erotic love to religious consciousness. But Quidam’s diary is framed by the words of Frater Taciturnus (a distorted repetition of Johannes de silentio), in which he tells us that Quidam’s diary was retrieved from the bottom of a lake. It was enclosed in a box with the key locked inside – a symbol of the demonic. Later Frater Taciturnus tells the reader explicitly that Quidam is demonic “in the direction of the religious.” Furthermore, like the “young man” from Repetition, Quidam is only a fiction invented by Frater Taciturnus to illustrate a point. As we read through Stages it looks as though we are progressing from the aesthetic, through the ethical to the religious. But Frater Taciturnus pulls the ladder out from under our feet in his “Letter to the Reader.” He even suggests that there might not be any reader, in which case he is content to talk to himself – i.e. return demonically into himself, rather than relate himself earnestly to an actual other. Concluding Unscientific Postscript repeats these movements of Stages. It proclaims itself to be only a postscript to the Philosophical Fragments, which any attentive reader of that book could have written, and contains an extensive review of the pseudonymous authorship to date. The self-proclaimed humorist, Johannes Climacus takes up the problematic of Philosophical Fragments of whether there can be an historical point of departure for eternal truth. He seems to conclude that since it is impossible to demonstrate the objective truth of Christianity’s claims, the most the individual can do is to concentrate on the how of appropriation of those claims. This issues in the extensive discussion of inwardness and subjectivity, which is usually taken as the basis for the accusation that Kierkegaard is an “irrationalist.” Climacus, but not Kierkegaard, proclaims that “truth is subjectivity” (as well as “subjectivity is untruth”). Climacus also makes a distinction between two types of religiousness: “Religiousness A” and “Religiousness B.” The former is the pagan conception of religion and is characterized by intelligibility, immanence, and recognition of continuity between temporality and eternity. Religiousness B is dubbed “paradoxical religiousness” and is supposed to represent the essence of Christianity. It posits a radical divide between immanence and transcendence, a discontinuity between temporality and eternity, yet also claims that the eternal came into existence in time. This is a paradox and can only be believed “by virtue of the absurd.” The distinction between “Religiousness A” and “Religiousness B” is another expression of the distinction between recollection and repetition, or between eros and agape, or between immanence and transcendence. It is supposed to mark the gulf between Christianity and all other forms of faith. The paradox of the Christian incarnation is presented as an offense to reason, which can only be overcome by a leap of faith. But even a leap is under the control of the individual. It might take more courage and induce more anxiety than the steady step-by-step ascension of a ladder. One is out over 70000 fathoms. But Climacus is a humorist. Humor is characterized as a means of “revoking” existence. Although Climacus writes about Christian faith, he doesn’t live it. He represents in the modality of possibility what can only be experienced in the modality of actuality. At the end of Concluding Unscientific Postscript, Climacus explicitly revokes everything he has said – though he is careful to add that to say something and revoke it is not the same as never having said it at all. That is, at the end of the pseudonymous scala paradisi, the pseudonymous author proclaims that what he has said is misleading – because it presents a continuity between immanent human categories of thought and the divine in the form of analogy. But there is no analogy to the divine. It is sui generis. It is “the book” to human life as “preface.”

3. The Edifying Discourses

a. Sermons, Deliberations, and Edifying Discourses

Simultaneously with the publication of the aesthetic pseudonymous works, Kierkegaard published a series of works he called “Edifying Discourses” [Opbyggelige Taler]. These were written under his own name and most of them were dedicated “To the Late Michael Pedersen Kierkegaard, Formerly a Clothing Merchant Here in the City, My Father.” Although they typically take a New Testament theme as their point of departure, Kierkegaard explicitly denies that they are sermons. This is because he had not been ordained, and so wrote “without authority.” They are also addressed to “that single individual” and not to a congregation.

Kierkegaard distinguishes his “edifying discourses” as a genre from other works he calls “deliberations” [Overveielser]. Edifying discourses “build up” whereas deliberations are a “weighing up.” Edifying discourses presuppose Christian faith and terminology as given and understood, and build on that. They are meant to augment the faith and love of the Christian reader. Deliberations, while they may ostensibly deal with the same subject matter, imply that the reader stands outside the matter being weighed. But this is in a particular sense. In weighing something on a scale, we measure two weights against one another. In deliberating, the reader weighs the temporal significance of the subject matter against its eternal significance. The deliberation, as a type of writing, weighs into the reader’s balance of temporal and eternal with polemical force. It is meant to turn the normal, worldly view topsy-turvy. Works of Love is subtitled “Some Christian Deliberations in the Form of Discourses.” It has the polemical, topsy-turvy nature of deliberation, but contains within it the form of the discourse. Furthermore, one of the explicit themes of these discourses is edification. But because of the framework of deliberation, the discourses about edification are not necessarily for edification. They don’t presuppose an understanding of the Christian categories, but are meant to lead the reader to an understanding – through deliberation. The earlier pseudonymous book, The Concept of Anxiety is subtitled “A Simple Psychologically Orienting Deliberation on the Dogmatic Issue of Hereditary Sin.” Like Works of Love it is a serious weighing up of various Christian concepts, in a manner designed to provoke readers to rethink the relation between the temporal and eternal in their lives. Kierkegaard uses yet other related genres besides deliberations and edifying discourses. The pseudonym Anti-Climacus uses the subtitles “A Christian Psychological Exposition [Udvikling] for Edification and Awakening” (The Sickness Unto Death) and “For Awakening and Making Inward” (Practice in Christianity). These are written from an idealized Christian point of view, so not only presuppose an understanding of the Christian categories, but seek to raise the level of awareness to the highest level of Christian faith.

b. Direct and Indirect Communication

Kierkegaard struggled to find appropriate means of communication that would address the inward nature of Christian faith. He thought his contemporaries had too much (objective) knowledge, which needed stripping away, before they could achieve awareness of individual inwardness. Everything was made too easy for people, with the press providing ready-made opinions, popular culture providing ready-made values, and speculative philosophy providing promissory notes in place of real achievements. Kierkegaard’s task as a communicator was, initially, to make things more difficult. In order to do this, he devised a method of indirect communication. This was designed to confront the reader with paradox, contradiction, and difficulty by means of refraction of the narrative point of view through pseudonyms, prefaces, postscripts, interludes, preliminary expectorations, repetitions, irony, revocation and other devices that obscure the author’s intention. These devices are meant to undermine the authority of the author, so any “truths” contained in the text cannot merely be learned by rote or appropriated “objectively.” Instead, the text is meant to supply a polished surface in which the reader comes to see him or herself. The manner in which the reader appropriates the text, understands it, and judges it will disclose more about the reader than about the text.

Part of the method of indirect communication was to juxtapose two series of texts: the pseudonymous texts and the “edifying discourses.” The latter were published under Kierkegaard’s own name, and were co-extensive with the pseudonymous authorship. They are evidence that he was a religious author from the outset. The indirect method of the pseudonymous works is often convoluted, obscure, and a combination of personal confession and obfuscation (of those confessions). The whole of the pseudonymous authorship from Either/Or to Concluding Unscientific Postscript can be read as a parody of Hegel’s Encyclopedia of the Philosophical Sciences – an enormously baroque conceit that threatens to become demonic in its obscurity and labyrinthine complexity. This complexity is balanced by the relatively simple thematic variations on biblical texts to be found in the edifying discourses. The latter were direct communications – but addressed only to Christians who could understand them. The indirect works, on the other hand, were designed to seduce or deceive into the truth those who stand outside it – such as the Danish Hegelians and their followers. By parodying Hegel’s Encyclopedia, Kierkegaard was undermining the whole system on which the Danish Hegelians placed so much faith. He supplemented his parody of Hegel with more specific jibes at particular Danish Hegelians throughout the “authorship.” Kierkegaard continued to write edifying discourses in conjunction with the “second authorship,” to accompany the works of the pseudonym Anti-Climacus. After the “second authorship” he wrote Christian discourses that were more polemical and strident than the edifying discourses. They were equally “direct” – being published under his own name, but addressed different emotions and values.

c. That Single Individual, My Reader

Kierkegaard’s edifying discourses are addressed to “that single individual, my reader.” When he first used this address he meant it to apply to Regina Olsen. But he came to see that it had a wider application. He had polemicized from his earliest writings against the press, and against cultural and political tendencies to “level” individuals into homogeneous masses. His term of loathing for the depersonalized, de-individualized instrument of leveling was “the crowd.” It corresponds to Nietzsche’s notion of “the herd” and to Heidegger’s notion of “das Man.” One subset of “the crowd” that especially attracted Kierkegaard’s ire was “the reading public.” This was the anonymous mass, consumer of the secondhand literary opinion of “reviewers.” Most reviewers, in Kierkegaard’s opinion, were hasty, ill-informed panderers to public opinion, so that reviewers and public fed off each other in a vicious circle. Reviews were even written without the reviewer having read the book, then circulated through gossip by “the reading public” as final judgment on the book. The anonymous circulation of public gossip is the antithesis of serious engagement with truth on a personal level.

Christianity addresses the single individual. Its truths, according to Kierkegaard, must be appropriated inwardly, seriously and with infinite passion. Just as we cannot die another’s death, we cannot live another’s faith. Existing inwardly in passion as an individual is a prerequisite for Christian faith. Having Christian faith is a prerequisite for understanding the edifying discourses. So the edifying discourses are addressed to each single individual. The pseudonymous works in the aesthetic authorship often have letters addressed to the reader too. But, as in the case of the letters of Constantine Constantius and Frater Taciturnus, they turn out to be soliloquies addressed to themselves more than direct, open communications to a reader posited as genuinely other.

4. The “Second Authorship”

a. Works of Love

Works of Love was written under Kierkegaard’s own name. Its subtitle places it within the genre of “Christian deliberations” – i.e. polemical weighings-up of Christian notions. It does not presuppose an existential understanding of Christian love, as it would were it an “edifying discourse,” but challenges the reader to open him or herself to the specifically Christian understanding of love. For a reader who understands love principally in terms of eros, the Christian notion of love as agape is counterintuitive. Whereas eros is a preferential feeling of desire, agape is a spiritual duty to serve the neighbor (without discrimination in terms of preference). Whereas eros is ultimately selfish, aimed at satisfying the lover’s desire, agape is selfless, requiring self-sacrifice. Whereas eros is often built on the visual objectification of the beloved, agape requires the individual to become “transparent” and “as nothing” before God. Whereas eros is typically a relation between two people, agape always involves God as the “third” in the relation.

Works of Love concentrates not so much on the understanding of love as such, but on the understanding of works of love. Love will be known as the fruit of these works of love. Since God is love, it can only be known through the existential commitment of Christian faith. This faith is only lived in the attempt to imitate the life of Christ. Christ’s life was itself God’s principal work of love for human beings. It is only through this work of love that we can know God as love. The only true work of love is helping someone else achieve autonomy through Christian love. But if that person sees that he or she was dependent on some other human being to achieve autonomy, that autonomy will be undone. The human author of a work of love must disappear in the act of love, so that only the love is perceived and only God is recognized as its author. This presents Kierkegaard with a difficult task in writing Works of Love. If it helps its readers achieve autonomy through an understanding of Christian love, and the readers recognize Kierkegaard to be the author, it will fail to be a work of love. Kierkegaard has to disappear as author in order for the book to function as a work of love. He resorts to the device of the dash [Tankestreg] to achieve his disappearance. He explicitly talks about this use of the dash during the course of Works of Love, and ends the penultimate section of the book with a dash (unfortunately omitted from the English translation). The conclusion that follows the dash is a presentation of the words of the Apostle John. As an Apostle, John presents the word of God. The word of God is a record of the life of Christ, which is God’s work of love. So God’s word is the work of love. Kierkegaard, by means of the dash, erases his ego as an author to allow the word of God to shine through – thereby preserving Works of Love as a work of love.

b. Anti-Climacus

Anti-Climacus is the pseudonymous author of two of Kierkegaard’s mature works: The Sickness Unto Death (1849) and Practice in Christianity (1850). As his name indicates, Anti-Climacus represents the antithesis of Johannes Climacus. As we have seen, Climacus derives his name from the monk who wrote Scala Paradisi, thereby embracing the idea that it is possible for human beings to ascend to heaven under their own power. The “aesthetic” authorship, culminating in Concluding Unscientific Postscript, explores a number of possible modes of scaling heaven – by means of erotic love, the Babel tower of aesthetic poetry, ethical works, or speculative reason. All are found wanting. Having established the absolute nature of transcendence through repeated parodies of these vain attempts in the aesthetic authorship, Kierkegaard proceeds to show through Anti-Climacus how various aesthetic concepts are transfigured from an ideal Christian point of view.

The central notions explored in The Sickness Unto Death are “despair” and “the self.” In this respect it is a Christian repetition of the central themes of The Concept of Anxiety, with “despair” supplanting “anxiety.” Both explore the task of becoming a self from the points of view of psychology and Christian faith. Both invoke sin as the greatest obstacle to becoming a self. Yet paradoxically, becoming conscious of sin is a prerequisite for faith and selfhood. Anti-Climacus distinguishes between “human being” and “self.” The human being is a synthesis, of infinite and finite, temporal and eternal, freedom and necessity, body and soul. The self, on the other hand, is the process of relating these elements of synthesis to one another. The self is the task of maintaining the proper equilibrium of the synthesis. But this task is beyond the capacity of a mere human being alone. Willing to be a self is itself a form of despair. Not willing to be a self is also a form of despair. Being unaware of the possibility of being a self is also a form of despair. The only antidote to despair is Christian faith. Faith provides the missing element in the synthesis, namely, an acknowledgement of God as the necessary underpinning of the self-relation. But to become aware of God, one first has to become aware of one’s absolute difference from God. This is the function of sin-consciousness. Sin-consciousness presupposes God-consciousness. The ultimate form of despair is despairing over one’s sin, and thereby failing to accept God’s forgiveness. Only through the movement of faith can God’s grace be received and accepted, thereby acknowledging God’s absolute alterity as well as our absolute dependence on God to be selves. Practice in Christianity complements The Sickness Unto Death thematically. It deals with the appropriate Christian response to divine grace, and with healing through penitence. But it also repeats some of the themes of Philosophical Fragments and Concluding Unscientific Postscript. In particular it revisits the themes of offense and the historical point of departure for eternal truth. The latter is explored under the rubric of becoming contemporary with the absolute. Christian faith is the only means for the immanent, temporal human being to have contact with the transcendent, eternal truth, since that faith consists in believing that Christ was the incarnation of God. That faith consists not merely in intellectual belief, but in willingness to imitate the life of Christ to the utmost of one’s powers. Anti-Climacus catalogues various ways in which we might take offense at someone claiming to be the “God-man.” In the process he discusses the necessity for God, as transcendent, to use a method of indirect communication. The God-man needs to be “incognito” – to arrive in the unrecognizable form of a servant. He needs to suffer, to be spurned, to avoid any possible direct revelation of His exalted status. Only by means of indirect communication, rather than by direct revelation, will the individual come to relate to the God-man through faith. The possibility of faith is the obverse of the possibility of offense. Offense is underscored by means of the Almighty’s lowly incognito and indirect method of communication.

c. The Attack on the Church

Kierkegaard came to think that perhaps indirect communication should be the exclusive provenance of the God-man. He came increasingly to regard his own indirection, and his love affair with language, to be demonic temptations. When the Bishop Primate of the Danish People’s Church, his father’s old pastor J.P. Mynster, died in January 1854, Kierkegaard felt free to attack the established church more directly and stridently. He had suppressed some critical and potentially offensive writings while Mynster was still alive. But he was precipitated into a full frontal attack when the new Bishop Primate, H.L. Martensen, Kierkegaard’s old rival, publicly described the late Mynster as “a witness to the truth.” Kierkegaard had respected Mynster as a pastor and a man, but found his administration of the church wanting. Mynster had steered the church into closer relations with the state, and had shored up the values of “Christendom” rather than “Christianity.” The former was a phenomenon of cultural history; the latter was the vehicle of passionate, inward individual faith. Given the leveling tendencies of “the present age,” Christendom as a cultural phenomenon was on a collision course with Christian faith. It threatened to replace “the single individual” with “the crowd” (under the guise of “the congregation”), struggle with mediation, revolution with reflection, and works of love with the welfare state. Worst, it threatened to usurp eternal truth with temporal gossip. Therefore, to call its chief spokesman a “witness to the truth” provoked an extreme reaction from Kierkegaard.

His discourses changed from gentle edifications to strident calls to arms. He moved from a position of “armed neutrality” with respect to church politics, to one of decisive intervention in “the instant.” “The Instant” [Øieblikket – literally ‘the glint of an eye’] was Kierkegaard’s final frenetic publication. The Concept of Anxiety had identified “the instant” as the point of intersection of time and eternity. It is the moment of decision, the moment of transfiguring vision, the moment of contemporaneity with Christ. It was also the moment to let go of indirect communication and to speak directly. “The Instant” was the name of a broadsheet Kierkegaard published to continue his attack on the state church. He published ten issues between its inception in May 1855 and the last in September 1855, when he collapsed and was admitted to hospital. But to speak directly, having spoken for so long indirectly, is not the same as the “objective” direct communication he originally resisted. It was not a direct communication about eternal truth, but a timely intervention in contemporary politics. It was a verbal act, rather than a measured contribution to literature. Another important part of the “second authorship” consists in the self-reflections Kierkegaard wrote on his own work as an author. In 1851 he published On My Work as an Author, but had also written several other works that were only published posthumously. These include The Point of View for my Work as an Author: A Report to History (1859), Armed Neutrality, or My Position as a Christian Author in Christendom (1880), and “Three Notes Concerning my Activity as an Author” (1859). He also withheld from publication The Book on Adler, an extended study of Adolph Adler, a prominent Hegelian and pastor in the Danish People’s Church. Adler claimed to have received divine revelation, but Kierkegaard’s analysis of his writings tries to demonstrate Adler’s confusion. Adler becomes, in Kierkegaard’s words, “a Satire on Hegelian Philosophy and the Present Age.” Kierkegaard also used Adler’s case to distinguish between “a genius” and “an apostle.” Another work, also published posthumously, was “The Ethical and Ethico-religious Dialectic of Communication” (1877). Kierkegaard agonized over whether to publish these direct communications about his own strategies of communication and how he saw his activity as an author. Of particular concern was how these direct writings would affect the complex dialectic of direct and indirect communications he had set up in his “authorships.” Ultimately he relied on the guidance of “Governance” [Styrelse] to decide whether or not to publish – much as Socrates had relied on the warnings of his daimonion about whether to engage people in philosophical cross-examination. Retrospectively, Kierkegaard regarded his activity as an author to have been under the direction of Governance. He had not had a clear view at the outset about the structure of his authorships, but had come to see that what he had been directed to write was what was required for a religious poet in the present age. He was a writer who overflowed with ideas – far too many to write down. Therefore Governance had to sit him down like a schoolboy, and make him write as though he were writing “a work assignment.” In much the same way as he disappeared under the dash in works of love, Kierkegaard “disappears” in these accounts of his own activity as a writer under the sign of “Governance.”

5. References and Further Reading

Kierkegaard’s Writings

Danish

  • Breve og Aktstykker vedrørende Søren Kierkegaaard, ed. Niels Thulstrup, Copenhagen: Munksgaard, 1953-4.
  • Søren Kierkegaards Papirer, ed. P.A. Heiberg, V. Kuhr & E. Torsting, second edition Niels Thulstrup, Copenhagen: Gyldendal, 1968-78.
  • Søren Kierkegaards Samlede Værker, ed. A.B. Drachmann, J.L. Heiberg & H.D. Lange, second edition, Copenhagen: Nordisk Forlag, 1920-36.
  • Søren Kierkegaards Skrifter, ed. N.J. Cappelørn, et.al., Copenhagen: Gad, 1997-.
  • English Kierkegaard’s Writings volumes 1-XXVI, ed. & trans. H.V. Hong, et.al. Princeton University Press: 1978-2000.

Commentary

  • Cappelørn, Niels Jørgen, Hermann Deuser, et.al. (eds), Kierkegaard Studies Yearbook 1996-, Berlin & New York: Walter de Gruyter, 1996-
  • Ferreira, M. Jamie, Love’s Grateful Striving: A Commentary on Kierkegaard’s Works of Love, Oxford University Press, 2001
  • Garff, Joakim, SAK: Søren Aabye Kierkegaard: en biografi, Copenhagen: Gad, 2000
  • Hannay, Alastair, Kierkegaard: A Biography, Cambridge University Press, 2001
  • Hannay, Alastair & Gordon Marino (eds), The Cambridge Companion to Kierkegaard, Cambridge University Press, 1998
  • Kirmmse, Bruce, Encounters With Kierkegaard, Princeton University Press, 1996
  • Kirmmse, Bruce, Kierkegaard in Golden Age Denmark, Bloomington: Indiana University Press, 1990
  • Mackey, Louis, Points of View: Readings of Kierkegaard, Tallahassee: Florida State University Press, 1986
  • Malantschuk, Gregor, Kierkegaard’s Thought, ed. & trans. H.V. Hong & E.H. Hong, Princeton University Press, 1971
  • Pattison, George, Kierkegaard: The Aesthetic and the Religious, New York: St. Martin’s Press, 1992
  • Perkins, Robert L (ed.), International Kierkegaard Commentary, Macon: Mercer University Press
    • This is a series of anthologies of essays, with each volume designed to accompany the volumes comprising Kierkegaard’s Writings, op.cit.

Author Information

William McDonald
Email: wmcdonal@metz.une.edu.au
University of New England
Australia

Nasir Khusraw (1004—1060)

Abu Mo’in Hamid al-Din Nasir ibn Khusraw is an important figure in the development of Ismaili philosophy. Much of his biography and philosophical ideology has been obtained through fragmented texts, both in poetry and prose.  Born into a politically connected family, Khusraw was well-educated and in the sciences and humanities.  Having spent most of his life occupying prestigious positions within the Sajuq court, Khusraw converted to the Ismaili faith at the age of forty after careful study.  He spent the rest of his life writing and advocating for the Ismaili faith, and eventually was forced into exile by Sunni authorities.

Consistent with other Ismaili philosopher, Khusraw’s cosmology is heavily inspired by Neoplatonism.  His metaphysics describes a God from which everything emanates and consistently strives back towards.  Through God, existence is cast into being through Universal Soul and Universal Intellect.  Each of these concepts provides the foundation for material objects, ascending from minerals to human beings.  Within each human being exists a soul and intellect, imperfect in form but existing within the Universals.   Khusraw interweaves his metaphysics within the Shi’i doctrine, requiring a divinely inspired guide to assist us in our journey to reconnect with Universal Intellect and Soul.  In holding to this cosmogonic description, Khusraw distinguishes his philosophy from previous Ismaili thought introduced by al-Farabi and picked up by Ibn Sina and al-Kirmani.

Table of Contents

  1. Life
  2. Philosophy
  3. References and Further Reading

1. Life

In striking contrast to other Ismaili writers of the time (s.v., Hamid ai-din al Kirmani; Abu Ya‘qub al-Sijistani), many sources of information exist pertaining to Khusraw’s life.   Documentation was recorded,  with vary degrees of accuracy, by Khusraw himself, a (hostile) contemporary, and by later historians.  Since his death, Khusraw has been included in every major literary or historical survey of Ismailism.  Khusraw’s life can be divided into four periods: his early years up to the age of forty (discernible from fragments of various texts); his conversion to Ismailism (of which he has left two different versions in the form of prose and poetry); his seven-year journey (documented in Safarnama); and his years of preaching followed by persecution and exile (drawn primarily from his poetry, but also a few statements in his philosophical works).

In 1004, Abu Mo’in Hamid al-Din Nasir ibn Khusraw was born in Qobadiyan, the district of Marv, in the eastern Iranian province of Khurasan. Along with two of his brothers, Khusraw occupied a high position in the administrative ranks of the Saljuq court – reportedly in the revenue department.  Evidence also suggests that he was familiar with the court of previous dynasty, the Ghaznavids.  Based on the quality of his writings, he received an excellent education in the sciences, literatures and philosophies of his time, including the study of Greek and Neoplatonic philosophy.  In his writing, Khusraw reportes examining the doctrines of the different Islamic schools and not being satisfied until he found and understood the Ismaili faith.  As a result of his conversion to Ismailism he embarked on a seven-year journey, during which time he spent three years in the Ismaili court in Cairo under the Fatimid caliph, al-Mustansir (1029-1094). The Fatimid dynasty (909-1171) aimed at creating an Islamic state based on Ismaili tenets, and thus presented a direct theological and military challenge to the Sunni ‘Abbasid caliphate based in Baghdad. Khusraw left Cairo as the head (hujjat) of Ismaili missionary activities in his home province of Khurasan.  After leaving Cairo, Khusraw was forced into exile by the Sunni authorities.  He spent the rest of his life exiled in the Pamir Mountains in Badakhshan, located in modern-day Tajikistan and Afghanistan.

2. Philosophy

Khusraw’s philosophical works reveal a strong Neoplatonic structure and vocabulary.  For example, his cosmogony closely follows Plotinus, moving from God and God’s word (logos) to Intellect, Soul, and the world of Nature.  Underlying each of the Ismaili cosmogonic systems is a fundamental division of the world into two realms, the esoteric (batin) and the exoteric (zahir).  From this division, everything in the physical world points to its counterpart in the spiritual, which is seen as its source, or true form.  The cosmogonic structure itself reveals a purposeful, providential unfolding from the spiritual realm into the physical world.  Conversely, as a reflection, the physical world seeks to grasp the spiritual realm and comprehend it.    In holding to this cosmogonic description, Khusraw follows his fellow Ismailis (Nasafi and al-Sijistani) while differentiating his theory from the structure introduced by al-Farabi and later adopted by Ibn Sina and the Ismaili philosopher al-Kirmani.

Khusraw begins with a discussion of tawhid (oneness, God’s unity), the clear understanding of which is the only way to achieve spiritual perfection. For Nasir, God Himself is indescribable beyond all categories of being and non-being (nothing which has an opposite can be ascribed to Him, since that would be limiting Him to human concepts).   However, from God emerges his Word (kalmia), ‘Be!’, which brings into existence Universal Intellect, perfect in potentiality and actuality.  Universal Intellect transcends time and space,  containing all being within itself.  Universal Intellect enjoys a worshipful intimacy with God and derives perfection from this intimacy.  From this worship emerges Universal Soul, perfect in potentiality but not in actuality because it is separated from God by Intellect.  Universal Soul recognizes its separation from God, and moves closer to God in a desire for the perfection enjoyed by Intellect.  Through its search for perfection, Universal Soul introduces the first movement into the entire structure, manifest in time and space.

The entire cosmos is set into motion through the movement of Universal Soul.  As a corollary, being is differentiated into two sets of opposites:  hot and cold, wet and dry.  Derived from these sets of opposites are the four elements: earth, air, fire, and water.  From these four elements arise the successive development of   minerals, plants, and animals.  Finally, as the summit of physical creation, human beings arise.  Within each human being exists an individual intellect and individual soul manifesting the same characteristics (but on a smaller level) as the universals.  In fact, the entire cosmos is formed on a matrix of Intellect and Soul; everything within the cosmos displays original intelligence and the search for perfection exhibited by the soul.

Khusraw’s ethics grow from and reflect this cosmogony. Each individual’s task is to recognize his or her own imperfections and then move to correct them, seeking the closest relationship possible with God.  For Khusraw, this is achieved by stringent and repeated application of the intellect to both physical and spiritual matters.  In order to correct these imperfections a believer must find a guide and study dilligently, perform all required religious acts with a full understanding, and supplement new understanding with higher levels of worldly activity.  As an Ismaili, Khusraw held the Shi‘i doctrine that God would not send a revelation without a guide to interpret it.  For the Ismailis, this guide must be a living person, the Imam of the Time.  As a living bridge between the two realms, this person must be divinely inspired, infallible, and perfectly capable of providing guidance in spiritual and worldly affairs.

3. References and Further Reading

The following sources elucidate Khusraw’s philosophy:

  • H. Corbin, “Nasir-i Khusrau and Iranian Ismailism,” in The Cambridge History of Iran: Volume 4, ed., R. N. Frye (Cambridge 1975), pp. 520-42 and 689-90;
  • A. Hunsberger, “Nasir Khusraw: Fatimid Intellectual,” in F. Daftary, ed., Intellectual Traditions in Islam (London 2000), pp. 112-29;
  • A. Hunsberger, Nasir Khusraw’s Doctrine of the Soul: From the Universal Intellect to the Physical World in Ismaili Philosophy, PhD thesis, Columbia University, New York, 1992;
  • S. Meskoob, Shahrokh, “The Origin and Meaning of ‘Aql (Reason) in the View of Nasir Khusraw,” Iran Nameh, 6 (1989), pp. 239-57, and 7 (1989), pp. 405-29.

For a full bibliography of Nasir Khusraw’s works and ideas, see:

  • A. C. Hunsberger, Nasir Khusraw, the Ruby of Badakhshan: A Portrait of the Persian Poet, Traveller and Philosopher (London 2000).

For works still in manuscript, see:

  • I. K. Poonawala, Bibibliography of Ismaili Literature, Malibu, Calif., 1977, p. 123.

Author Information

Alice C. Hunsberger
Email: info@iis.ac.uk
Institute of Ismaili Studies
United Kingdom

Immanuel Kant: Aesthetics

kant2Immanuel Kant is an 18th century German philosopher whose work initated dramatic changes in the fields of epistemology, metaphysics, ethics, aesthetics, and teleology. Like many Enlightenment thinkers, he holds our mental faculty of reason in high esteem; he believes that it is our reason that invests the world we experience with structure. In his works on aesthetics and teleology, he argues that it is our faculty of judgment that enables us to have experience of beauty and grasp those experiences as part of an ordered, natural world with purpose. After the Introduction, each of the above sections commences with a summary. These will give the reader an idea of what topics are discussed in more detail in each section. They can also be read together to form a brief bird’s-eye-view of Kant’s theory of aesthetics and teleology.

Kant believes he can show that aesthetic judgment is not fundamentally different from ordinary theoretical cognition of nature, and he believes he can show that aesthetic judgment has a deep similarity to moral judgment. For these two reasons, Kant claims he can demonstrate that the physical and moral universes – and the philosophies and forms of thought that present them – are not only compatible, but unified.

Table of Contents

  1. Introduction
    1. Kant’s Life and Works
    2. The Central Problems of the Critique of Judgment
  2. Kant’s Aesthetics
    1. The Judgment of the Beautiful
    2. The Deduction of Taste
    3. The Sublime
    4. Fine Art and Genius
    5. Idealism, Morality and the Supersensible
  3. Kant’s Teleology
    1. Objective Purposiveness and Science
    2. ‘The Peculiarity of the Human Understanding’
    3. The Final Purpose and Kant’s Moral Argument for the Existence of God
  4. The Problem of the Unity of Philosophy and its Supersensible Objects
  5. References and Further Reading
    1. Works by Kant
    2. Other Primary and Secondary Works

1. Introduction

a. Kant’s Life and Works

Immanuel Kant is often said to have been the greatest philosopher since the Greeks. Certainly, he dominates the last two hundred years in the sense that – although few philosophers today are strictly speaking Kantians – his influence is everywhere. Moreover, that influence extends over a number of different philosophical regions: epistemology, metaphysics, aesthetics, ethics, politics, religion. Because of Kant’s huge importance, and the variety of his contributions and influences, this encyclopedia entry is divided into a number of subsections. What follows here will be a brief account of Kant’s life and works, followed by an overview of those themes that Kant felt bridged his philosophical works, and made them into one ‘critical philosophy’.

Kant was born in Königsberg, Prussia (now Kalingrad in Russia) in 1724 to Pietist Lutheran parents. His early education first at a Pietist school and then at the University of Königsberg was in theology, but he soon became attracted by problems in physics, and especially the work of Isaac Newton. In 1746 financial difficulties forced him to withdraw from the University. After nine years supporting himself as a tutor to the children of several wealthy families in outlying districts, he returned to the University, finishing his degree and entering academic life, though at first (and for many years) in the modest capacity of a lecturer. (Only in 1770 was he given a University chair in logic and metaphysics at Königsberg.) He continued to work and lecture on, and publish widely, on a great variety of issues, but especially on physics and on the metaphysical issues behind physics and mathematics. He rarely left his home city, and gradually became a celebrity there for his brilliant, witty but eccentric character.

Kant’s early work was in the tradition (although not dogmatically even then) of the great German rationalist philosopher Leibniz, and especially his follower Wolff. But by the 1760s, he was increasingly admiring Leibniz’s great rival Newton, and was coming under the additional influences of the empiricist skepticism of Hume and the ethical and political thought of Rousseau. In this period he produced a series of works attacking Leibnizian thought. In particular, he now argued that the traditional tools of philosophy – logic and metaphysics – had to be understood to be severely limited with respect to obtaining knowledge of reality. (Similar, apparently skeptical, claims were relatively common in the Enlightenment.)

It was only in the late 1760s, and especially in his Inaugural Dissertation of 1770 that Kant began to move towards the ideas that would make him famous and change the face of philosophy. In the Dissertation, he argued for three key new ideas: first, that sensible and conceptual presentations of the world (for example, my seeing three horses, and my concept of three) must be understood to be two quite distinct sources of possible knowledge. Second, it follows that knowledge of sensible reality is only possible if the necessary concepts (such as substance) are already available to the intellect. This fact, Kant argued, also limits the legitimate range of application of these concepts. Finally, Kant claimed that sensible presentations were of only appearances’, and not things as they are in themselves. This was because space and time, which describe the basic structure of all sensible appearances, are not existent in things in themselves, but are only a product of our organs of sense. Perceiving things in space and time is a function of the mind of the perceiver. The hypothesis that both key concepts, and the basic structure of space and time, are a priori in the mind, is a basic theme of Kant’s idealism (see the entry on ‘Kant’s Metaphysics’). It is important to recognize that this last claim about space and time also exacerbates the limitation imposed above by proposing a whole realm of ‘noumena’ or ‘things in themselves’ which necessarily lies beyond knowledge in any ordinary sense. These new and often startling ideas, with a few important modifications, would form the basis of his philosophical project for the rest of his life.

After publishing quite often in the preceding 15 years, the Dissertation ushered in an apparently quiet phase in Kant’s work. Kant realized that he had discovered a new way of thinking. He now needed rigorous demonstrations of his new ideas, and had to pursue their furthest implications. He even needed to find a new philosophical language to properly express such original thoughts! This took more than a decade of his life. Except for a remarkable set of correspondence during this period, Kant published nothing until the massive first edition of the Critique of Pure Reason, in 1781 (revised second edition, 1787).

Over the next two decades, however, he furiously pursued his new philosophy into different territories, producing books or shorter publications on virtually every philosophical topic under the sun. This new philosophy came to be known as ‘critical’ or ‘transcendental’ philosophy. Of particular importance were the so called three Critiques: The Critique of Pure Reason (1781/1787), Critique of Practical Reason (1788), and the Critique of Judgment (1790). Kant quickly became famous in the German speaking world, and soon thereafter elsewhere. This fame did not mean universal praise, however. Kant’s work was feverishly debated in all circles – his work on religion and politics was even censored. And by the time of his death in 1804, philosophers such as Fichte, Schelling and the Hegel were already striking out in new philosophical directions. Directions, however, that would have been unthinkable without Kant.

b. The Central Problems of the Critique of Judgment

Kant’s Critique of Judgment (the third Critique) was and continues to be a surprise – even to Kant, for it emerged out of Kant’s philosophical activity having not been a part of the original plan. (For an account of Kant’s first two Critiques, please see the entry on ‘Kant’s Metaphysics’.) Some philosophers have even claimed that it is the product of the onset of senility in Kant. After initial enthusiasm during the romantic period, the book was relatively ignored until work such as Cassirer’s in the early 20th Century. Especially in the last few decades, however, the Critique of Judgment is being increasingly seen as a major and profound work in Kant’s output.

Part of the surprise lies in the diversity of topics Kant deals with. For much of the previous two centuries the book was read – and it still is largely read in this way – as a book about aesthetics (the philosophy of the beautiful and the sublime). In fact this type of reading by no means adequately reflects Kant’s explicit themes, and is forced to ignore much of the text. Here, we shall try to sketch out the range of topics and purposes (including aesthetics) Kant gives to his third Critique.

There are several commonly available translations of the Critique of Judgment. Here, we will use Werner S. Pluhar’s (Hackett, 1987), but will make reference alternative translations of key terms, especially as found in the widely used James Creed Meredith translation. To facilitate the use of the variety of available editions, passages in Kant’s text will be indicated by section number, rather than page number.

The basic, explicit purpose of Kant’s Critique of Judgment is to investigate whether the ‘power’ (also translated as ‘faculty’ – and we will use the latter here) of judgment provides itself with an priori principle. In earlier work, Kant had pretty much assumed that judgment was simply a name for the combined operation of other, more fundamental, mental faculties. Now, Kant has been led to speculate that the operation of judgment might be organized and directed by a fundamental a priori principle that is unique to it. The third Critique sets out to explore the validity and implications of such a hypothesis.

In the third Critique, Kant’s account of judgment begins with the definition of judgment as the subsumption of a particular under a universal (Introduction IV). If, in general, the faculty of understanding is that which supplies concepts (universals), and reason is that which draws inferences (constructs syllogisms, for example), then judgment ‘mediates’ between the understanding and reason by allowing individual acts of subsumption to occur (cf. e.g. Introduction III). This leads Kant to a further distinction between determinate and reflective judgments (Introduction IV). In the former, the concept is sufficient to determine the particular – meaning that the concept contains sufficient information for the identification of any particular instance of it. In such a case, judgment’s work is fairly straightforward (and Kant felt he had dealt adequately with such judgments in the Critique of Pure Reason). Thus the latter (where the judgment has to proceed without a concept, sometimes in order to form a new concept) forms the greater philosophical problem here. How could a judgment take place without a prior concept? How are new concepts formed? And are there judgments that neither begin nor end with determinate concepts? This explains why a book about judgment should have so much to say about aesthetics: Kant takes aesthetic judgments to be a particularly interesting form of reflective judgments.

As we shall see, the second half of Kant’s book deals with teleological judgments. Broadly speaking, a teleological judgment concerns an object the possibility of which can only be understood from the point of view of its purpose. Kant will claim that teleological judgments are also reflective, but in a different way – that is, having a different indeterminacy with respect to the concepts typical of natural science.

Reflective judgments are important for Kant because they involve the judgment doing a job for itself, rather than being a mere co-ordinator of concepts and intuitions; thus, reflective judgments might be the best place to search for judgment’s a priori legislating principle. The principle in question (if it exists), Kant claims, would assert the suitability of all nature for our faculty of judgment in general. (In the narrower case of determinate judgments, Kant believes he has demonstrated the necessity of this ‘suitability’ – please see the entry on ‘Kant’s Metaphysics’.) This general suitability Kant calls the finality or purposiveness/ purposefulness of nature for the purposes of our judgment. Kant offers a number of arguments to prove the existence and validity of this principle. First, he suggests that without such a principle, science (as a systematic, orderly and unified conception of nature) would not be possible. All science must assume the availability of its object for our ability to judge it. (A similar argument is used by Kant in the Critique of Pure Reason in discussing the regulative role of rational ideas (see A642-668=B670-696)). Second, without such a principle our judgments about beauty would not exhibit the communicability, or tendency to universality even in the absence of a concept, that they do. It is this second argument that dominates the first half of the Critique of Judgment.

As we shall see, Kant uses the particular investigation into judgments about art, beauty and the sublime partly as a way of illuminating judgment in general. Aesthetic judgments exhibit in an exemplary fashion precisely those features of judgment in general which allow one to explore the transcendental principles of judgment. But Kant has still higher concerns. The whole problem of judgment is important because judgment, Kant believes, forms the mediating link between the two great branches of philosophical inquiry (the theoretical and the practical). It had been noted before (for example, by Hume) that there seems to be a vast difference between what is, and what ought to be. Kant notes that these two philosophical branches have completely different topics, but these topics, paradoxically, have as their object the very same sensible nature. Theoretical philosophy has as its topic the cognition of sensible nature; practical philosophy has as its topic the possibility of moral action in and on sensible nature.

This problem had arisen before in Kant’s work, in the famous Antinomies in both the first and second Critiques. A key version of the problem Kant poses in the Antinomies concerns freedom: how can nature be both determined according to the laws of science, and yet have ‘room’ for the freedom necessary in order for morality to have any meaning? Ultimately, for Kant this would be a conflict of our faculty of reason against itself. For, in its theoretical employment, reason absolutely demands the subjection of all objects to law; but in its practical (moral) employment, reason equally demands the possibility of freedom. The problem is solved by returning to the idealism we discussed in previous section of the introduction. Every object has to be conceived in a two-fold manner: first as an appearance, subject to the necessary jurisdiction of certain basic concepts (the Categories) and to the forms of space and time; second, as a thing in itself, about which nothing more can be said. Even if appearances are rigorously law-governed, it is still possible that things in themselves can act freely. Nevertheless, although this solution eliminates the conflict, it does not actually unify the two sides of reason, nor the two objects (what is and what ought) of reason.

Judgment seems to relate to both sides, however, and thus (Kant speculates) can form the third thing that allows philosophy to be a single, unified discipline. Kant thus believes that judgment may be the mediating link that can unify the whole of philosophy, and correlatively, also the link that discovers the unity among the objects and activities of philosophy. Unfortunately, Kant never makes explicit exactly how the bulk of his third Critique is supposed to solve this problem; understandably, it is thus often ignored by readers of Kant’s text. Thus, the central problem of the Critique of Judgment is a broad one: the unity of philosophy in general. This problem is investigated by that mental faculty which Kant believes is the key to this unity, namely judgment. And judgment is investigated by the critical inquiry into those types of judgment in which the a priori principle of judgment is apparent: on the beautiful, on the sublime, and on teleology. We shall return to the grand issue of the unity of philosophy at the end of this article.

The various themes of the Critique of Judgment have been enormously influential in the two centuries since its publication. The accounts of genius, and of the significance of imagination in aesthetics, for example, became basic pillars of Romanticism in the early 19th Century. The formalism of Kant’s aesthetics in general inspired two generations of formalist aesthetics, in the first half of the 20th Century; the connection between judgment and political or moral communities has been similarly influential from Schiller onwards, and was the main subject of Hanna Arendt’s last, uncompleted, project; and Kant’s treatment of the sublime has been a principle object of study by several recent philosophers, such as J.-F. Lyotard. Kant’s discussion, in the second half of the book, of the distinction between the intellectus ectypus and the intellectus archetypus was an extremely important in the decades immediately after Kant in the development of German Idealism. And his moral proof for the existence of God is often ranked alongside the great arguments of Anselm and Aquinas.

The following entry is divided into two sections, which correspond for the most part to the major division of Kant’s book between the ‘Critique of Aesthetic Judgment’ and the ‘Critique of Teleological Judgment’. Part A deals with Kant’s account of beauty, the sublime, and fine art. In the first two of these subjects, Kant’s concern is with what features an aesthetic judgment exhibits, how such a judgment is possible, and is there any transcendental guarantee of the validity of such a judgment. The treatment of fine art shifts the focus onto the conditions of possibility of the production of works of art. Part B deals with Kant’s account of teleological judgment, and its relation to the natural science of biology. However, if the discussion above of the ‘Central Problems’ of the Critique of Judgment is correct, a major part of Kant’s interest is less in these particular analyses, than in their broader implications for e.g. morality, the nature of human thought, our belief in the existence of God, and ultimately for the unity of philosophy itself. We will be dealing with these implications throughout, but especially in sections A5, B2, B3 and B4.

2. Kant’s Aesthetics

a. The Judgment of the Beautiful

Overview: The Critique of Judgment begins with an account of beauty. The initial issue is: what kind of judgment is it that results in our saying, for example, ‘That is a beautiful sunset’. Kant argues that such aesthetic judgments (or ‘judgments of taste’) must have four key distinguishing features. First, they are disinterested, meaning that we take pleasure in something because we judge it beautiful, rather than judging it beautiful because we find it pleasurable. The latter type of judgment would be more like a judgment of the ‘agreeable’, as when I say ‘I like doughnuts’.

Second and third, such judgments are both universal and necessary. This means roughly that it is an intrinsic part of the activity of such a judgment to expect others to agree with us. Although we may say ‘beauty is in the eye of the beholder’, that is not how we act. Instead, we debate and argue about our aesthetic judgments – and especially about works of art -and we tend to believe that such debates and arguments can actually achieve something. Indeed, for many purposes, ‘beauty’ behaves as if it were a real property of an object, like its weight or chemical composition. But Kant insists that universality and necessity are in fact a product of features of the human mind (Kant calls these features ‘common sense’), and that there is no objective property of a thing that makes it beautiful.

Fourth, through aesthetic judgments, beautiful objects appear to be ‘purposive without purpose’ (sometimes translated as ‘final without end’). An object’s purpose is the concept according to which it was made (the concept of a vegetable soup in the mind of the cook, for example); an object is purposive if it appears to have such a purpose; if, in other words, it appears to have been made or designed. But it is part of the experience of beautiful objects, Kant argues, that they should affect us as if they had a purpose, although no particular purpose can be found.

Having identified the major features of aesthetic judgments, Kant then needs to ask the question of how such judgments are possible, and are such judgments in any way valid (that is, are they really universal and necessary).

It is useful to see the aesthetics here, as with Kant’s epistemology and to a certain extent his ethics also, as being a leap over the terms of the debate between British (and largely empiricist) philosophy of art and beauty (Shaftesbury, Hutcheson, Hume and Burke) and Continental rationalist aesthetics (especially Baumgarten, who invented the modern use of the term aesthetics’ in the mid-18th century). The key ideas of the former group were (i) the idea of a definite human nature, such that studies of beauty could, within limits, be universal in scope; (ii) the assertion that beautiful objects and our responses to them were essentially involved in sense or feeling, and were not cognitive; (iii) that any ‘natural’ responses to beauty were generally overlaid by individual and communal experiences, habits and customs. The main disagreement with rationalist thought on the matter was in the second of these ideas. Baumgarten, following Leibniz, argued that all sense perception was merely ‘confused’ cognition, or cognition by way of sensible images. Thus, although beauty certainly appears to our senses, this by no means demonstrates that beauty is non-cognitive! Beauty, for Baumgarten, has more to do with rational ideas such as harmony, rather than with the physiological.

Kant asserted the basic distinction between intuitive or sensible presentations on the one hand, and the conceptual or rational on the other. (See ‘Kant’s Transcendental Idealism’ in the article on ‘Kant’s Metaphysics’.) Therefore, despite his great admiration for Baumgarten, it is impossible for Kant to agree with Baumgarten’s account of aesthetic experience. (By ‘aesthetic’ here we mean in Baumgarten’s sense of a philosophy of the beautiful and related notions, and not in Kant’s original usage of the term in the Critique of Pure Reason to mean the domain of sensibility.) In addition, Kant holds that aesthetic experience, like natural experience leading to determinate judgments, is inexplicable without both an intuitive and a conceptual dimension. Thus, for example, beauty is also by no means non-cognitive, as the British tradition had held.

Thus, Kant begins to analyze the experience of beauty, in order to ask as precisely as possible the question ‘how are judgments about beauty possible’. Kant’s initial focus is on judgments about beauty in nature, as when we call a flower, a sunset, or an animal ‘beautiful’. What, at bottom, does such a judgment mean, and how does it take place as a mental act? In order to begin to answer these questions, Kant needs to clarify the basic features of such judgments. On Kant’s analysis, aesthetic judgments are still more strange even than ordinary reflective judgments, and must have a number of peculiar features which at first sight look like nothing other than paradoxes. We will now describe those features using Kant’s conceptual language.

Taking up roughly the first fifth of the Critique of Judgment, Kant discusses four particular unique features of aesthetic judgments on the beautiful (he subsequently deals with the sublime). These he calls ‘moments’, and they are structured in often obscure ways according to the main divisions of Kant’s table of categories (See article on Kant’s Metaphysics).

The First Moment. Aesthetic judgments are disinterested. There are two types of interest: by way of sensations in the agreeable, and by way of concepts in the good. Only aesthetic judgment is free or pure of any such interests. Interest is defined as a link to real desire and action, and thus also to a determining connection to the real existence of the object. In the aesthetic judgment per se, the real existence of the beautiful object is quite irrelevant. Certainly, I may wish to own the beautiful painting, or at least a copy of it, because I derive pleasure from it – but that pleasure, and thus that desire, is distinct from and parasitic upon the aesthetic judgment (see sect;9). The judgment results in pleasure, rather than pleasure resulting in judgment. Kant accordingly and famously claims that the aesthetic judgment must concern itself only with form (shape, arrangement, rhythm, etc.) in the object presented, not sensible content (color, tone, etc.), since the latter has a deep connection to the agreeable, and thus to interest. Kant is thus the founder of all formalism in aesthetics in modern philosophy. This claim of the disinterestedness of all aesthetic judgments is perhaps the most often attacked by subsequent philosophy, especially as it is extended to include fine art as well as nature. To pick three examples, Kant’s argument is rejected by those (Nietzsche, Freud) for whom all art must always be understood as related to will; by those for whom all art (as a cultural production) must be political in some sense (Marxism); by those for whom all art is a question of affective response expressionists).

The Second Moment. Aesthetic judgments behave universally, that is, involve an expectation or claim on the agreement of others – just ‘as if’ beauty were a real property of the object judged. If I judge a certain landscape to be beautiful then, although I may be perfectly aware that all kinds of other factors might enter in to make particular people in fact disagree with me, never-the-less I at least implicitly demand universality in the name of taste. The way that my aesthetic judgments ‘behave’ is key evidence here: that is, I tend to see disagreement as involving error somewhere, rather than agreement as involving mere coincidence. This universality is distinguished first from the mere subjectivity of judgments such as ‘I like honey’ (because that is not at all universal, nor do we expect it to be); and second from the strict objectivity of judgments such as ‘honey contains sugar and is sweet’, because the aesthetic judgment must, somehow, be universal ‘apart from a concept’ (sect;9). Being reflective judgments, aesthetic judgments of taste have no adequate concept (at least to begin with), and therefore can only behave as if they were objective. Kant is quite aware that he is flying in the face of contemporary (then and now!) truisms such as ‘beauty is in the eye of the beholder’. Such a belief, he argues, first of all can not account for our experience of beauty itself, insofar as the tendency is always to see ‘beauty’ as if it were somehow in the object or the immediate experience of the object. Second, Kant argues that such a relativist view can not account for the social ‘behavior’ of our claims about what we find beautiful. In order to explore the implications of ‘apart from a concept’, Kant introduces the idea of the ‘free play’ of the cognitive faculties (here: understanding and imagination), and the related idea of communicability. In the case of the judgment of the beautiful, these faculties no longer simply work together (as they do in ordinary sensible cognition) but rather each ‘furthers’ or ‘quickens’ the other in a kind of self-contained and self-perpetuating cascade of thought and feeling. We will return to these notions below.

The Third Moment. The third introduces the problem of purpose and purposiveness (also translated ‘end’ and ‘finality’). An object’s purpose is the concept according to which it was manufactured; purposiveness, then, is the property of at least appearing to have been manufactured or designed. Kant claims that the beautiful has to be understood as purposive, but without any definite purpose. A ‘definite purpose’ would be either the set of external purposes (what the thing was meant to do or accomplish), or the internal purpose (what the thing was simply meant to be like). In the former case, the success of the process of making is judged according to utility; in the latter, according to perfection. Kant argues that beauty is equivalent neither to utility nor perfection, but is still purposive. Beauty in nature, then, will appear as purposive with respect to our faculty of judgment, but its beauty will have no ascertainable purpose – that is, it is not purposive with respect to determinate cognition. Indeed, this is why beauty is pleasurable since, Kant argues, pleasure is defined as a feeling that arises on the achievement of a purpose, or at least the recognition of a purposiveness (Introduction, VI).

The purposiveness of art is more complicated. Although such works may have had purposes behind their production (the artist wished to express a certain mood, or communicate a certain idea), nevertheless, these can not be sufficient for the object to be beautiful. As judges of art, any such knowledge we do have about these real purposes can inform the judgment as background, but must be abstracted from to form the aesthetic judgment properly. It is not just that the purpose for the beauty of the beautiful happens to be unknown, but that it cannot be known. Still, we are left with the problem of understanding how a thing can be purposive, without having a definite purpose.

The Fourth Moment. Here, Kant is attempting to show that aesthetic judgments must pass the test of being ‘necessary’, which effectively means, ‘according to principle’. Everyone must assent to my judgment, because it follows from this principle. But this necessity is of a peculiar sort: it is ‘exemplary’ and ‘conditioned’. By exemplary, Kant means that the judgment does not either follow or produce a determining concept of beauty, but exhausts itself in being exemplary precisely of an aesthetic judgment. With the notion of condition, Kant reaches the core of the matter. He is asking: what is it that the necessity of the judgment is grounded upon; that is, what does it say about those who judge?

Kant calls the ground ‘common sense’, by which he means the a priori principle of our taste, that is of our feeling for the beautiful. (Note: by ‘common sense’ is not meant being intelligent about everyday things, as in: ‘For a busy restaurant, it’s just common sense to reserve a table in advance.’) In theoretical cognition of nature, the universal communicability of a representation, its objectivity, and its basis in a priori principles are all related. Similarly, Kant wants to claim that the universal communicability, the exemplary necessity and the basis in an a priori principle are all different ways of understanding the same subjective condition of possibility of aesthetic judgment that he calls common sense. (As we shall see, on the side of the beautiful object, this subjective principle corresponds to the principle of the purposiveness of nature.) Thus Kant can even claim that all four Moments of the Beautiful are summed up in the idea of ‘common sense’ (CJ sect.22). Kant also suggests that common sense in turn depends upon or is perhaps identical with the same faculties as ordinary cognition, that is, those features of humans which (as Kant showed in the Critique of Pure Reason) make possible natural, determinative experience. Here, however, the faculties are merely in a harmony rather than forming determinate cognition.

b. The Deduction of Taste

Overview: There are two aspects to Kant’s basic answer to the question of how aesthetic judgments happen. First, some of Kant’s earlier work seemed to suggest that our faculty or ability to judge consisted of being a mere processor of other, much more fundamental mental presentations. These were concepts and intuitions (‘intuition’ being Kant’s word for our immediate sensible experiences – see entry on ‘Kant’s Metaphysics’). Everything interesting and fundamental happened in the formation of concepts, or in the receiving of intuitions. But now Kant argues that judgment itself, as a faculty, has an fundamental principle that governs it. This principle asserts the purposiveness of all phenomena with respect to our judgment. In other words, it assumes in advance that everything we experience can be tackled by our powers of judgment. Normally, we don’t even notice that this assumption is being made, we just apply concepts, and be done with it. But in the case of the beautiful, we do notice. This is because the beautiful draws particular attention to its purposiveness; but also because the beautiful has no concept of a purpose available, so that we cannot just apply a concept and be done with it. Instead, the beautiful forces us to grope for concepts that we can never find. And yet, nevertheless, the beautiful is not an alien and disturbing experience – on the contrary, it is pleasurable. The principle of purposiveness is satisfied, but in a new and unique way.

Asking what this new and unique way is takes us to the second aspect. Kant argues that the kinds of ‘cognition’ (i.e. thinking) characteristic of the contemplation of the beautiful are not, in fact, all that different from ordinary cognition about things in the world. The faculties of the mind are the same: the ‘understanding’ which is responsible for concepts, and the ‘sensibility’ (including our imagination) which is responsible for intuitions. The difference between ordinary and aesthetic cognition is that in the latter case, there is no one ‘determinate’ concept that pins down an intuition. Instead, intuition is allowed some ‘free play’, and rather than being subject to one concept, it instead acts in ‘harmony’ with the lawfulness in general of the understanding. It is this ability of judgment to bring sensibility and understanding to a mutually reinforcing harmony that Kant calls ‘common sense’. This account of common sense explains how the beautiful can be purposive with respect to our ability to judge, and yet have no definite purpose. Kant believes common sense also answers the question of why aesthetic judgments are valid: since aesthetic judgments are a perfectly normal function of the same faculties of cognition involved in ordinary cognition, they will have the same universal validity as such ordinary acts of cognition.

The idea of a harmony between or among the faculties of cognition is turning out to be the key idea. For such a harmony, Kant claims, will be purposive, but without purpose. Moreover, it will be both universal and necessary, because based upon universal common sense, or again, because related to the same cognitive faculties which enable any and all knowledge and experience. Lastly, because of the self-contained nature of this harmony, it must be disinterested. So, what does Kant think is going on in such ‘harmony’, or in common sense for that matter, and does he have any arguments which make of these idea more than mere metaphors for beauty?

Up to now, we have had no decent argument for the existence of common sense as a principle of taste. At best, common sense was plausible as a possible explanation of, for example, the tendency to universality observed in aesthetic judgments. (As Kant admits in sect.17). Such a demand for universality could be accounted for nicely if we assumed an a priori principle for taste, which might also explain the idea of universal communicability. This argument, however, is rather weak. Kant believes he has an ingenious route to proving the case with much greater certainty.

Throughout the Four Moments of the Beautiful, Kant has dropped many important clues as to the transcendental account of the possibility of aesthetic judgment: in particular, we have talked about communicability, common sense and the harmony of the cognitive sub-faculties. Kant then cuts off to turn to the sublime, representing a different problem within aesthetic judgment. He returns to beauty in sect.30, which forms the transition to the passages tantalizingly called the Deduction. These transitional passages feel much like a continuation of the Four Moments; we will treat them as such here, since also Kant claims that the sublime does not need a Deduction.

The Deduction in fact appears in two versions in Kant’s texts (sect.9 and 21 being the first; sect.30-40 the second, with further important clarification in the ‘Dialectic’ sect.55-58). Here, we will discuss only the second. Both explicitly are attempting to demonstrate the universal communicability and thus intersubjective validity of judgments of taste. Which for Kant is the same as saying that there is a ‘common sense’ – by which he means that humans all must have a kind of sensing ability which operates the same way.

Briefly, the argument begins by asserting that aesthetic judgments must be judgments in some sense; that is, they are mental acts which bring a sensible particular under some universal (Kant’s Introduction, IV). The four moments of the beautiful are then explicitly seen as being limitations on the conditions under which this judgment can take place (no interest, purposive without determining purpose, etc.); all these Kant summarizes by saying that the judgments are formal only, lacking all ‘matter’. By this, he means that although the judgment is a judgment of the presentation of a particular (singular) object, no particular determination of either sensible intuition, or understanding forms a necessary part of the judgment. (In ordinary cognition of the world, this lack of restriction would be entirely out of place. It would be nonsense to judge whether a particular thing was a sofa without restricting my judgment to that particular thing, and to the concept of a sofa.) However, considered in general (that is, in their essence as sub-faculties) the faculties of imagination and understanding are likewise not restricted to any presentation or kind of sense, or any concept. This means that Kant is describing the ‘proportion’ between understanding and intuition as something like the always present possibility of the faculties being freed to mutually enact their essence.

Because such faculties in general are required for all theoretical cognition whatsoever, regardless of its object (as Kant claims to have proven in the first Critique), they can be assumed present a priori, in the same form and in the same way, in all human beings. The presence of the cognitive sub-faculties in their various relations is equivalent with the principle of the universal communicability and validity (i.e. common sense) of any mental states in which these faculties are involved a priori. Therefore, an aesthetic judgment must be seen to be an expression of this principle. The key move is obviously to claim that the aesthetic judgment rests upon the same unique conditions as ordinary cognition, and thus that the former must have the same universal communicability and validity as the latter. It is just that, presented with the beautiful, our cognitive faculties are released from the limitations that characterize ordinary thought, and produce what above we called a cascade of thoughts and feelings.

It is difficult to know what to make of this argument (with the various other versions of it scattered throughout the text) and the hypothesis it purports to prove. For one thing, Kant’s work here is so heavily reliant upon the results of the first Critique as to not really be able to stand on its own, while at the same time it is not clear at several points whether the first and third Critiques are fully compatible. For another, does not all this talk about the faculties ‘in general’ seem as if Kant is hypostatising these faculties, as really existent things in the mind that act, rather than simply as an expression for certain capacities? However, there is no doubting the fascinating and profound implications of what Kant is proposing. For example, the notions of common sense and communicability are closely akin to key political ideas, leading several commentators to propose that what Kant is really writing about are the foundations of any just politics (see e.g. sect.60). Or again, the ‘freedom’ of the imagination is explicitly linked by Kant to the freedom characteristic of the moral will, allowing Kant to construct a deeply rooted link between beauty and the moral (sect.59). Finally, of course, there is K

c. The Sublime

Overview: For Kant, the other basic type of aesthetic experience is the sublime. The sublime names experiences like violent storms or huge buildings which seem to overwhelm us; that is, we feel we ‘cannot get our head around them’. This is either mainly ‘mathematical’ – if our ability to intuit is overwhelmed by size (the huge building) – or ‘dynamical’ – if our ability to will or resist is overwhelmed by force (e.g. the storm). The problem for Kant here is that this experience seems to directly contradict the principle of the purposiveness of nature for our judgment. And yet, Kant notes, one would expect the feeling of being overwhelmed to also be accompanied by a feeling of fear or at least discomfort. Whereas, the sublime can be a pleasurable experience. All this raises the question of what is going on in the sublime

Kant’s solution is that, in fact, the storm or the building is not the real object of the sublime at all. Instead, what is properly sublime are ideas of reason: namely, the ideas of absolute totality or absolute freedom. However huge the building, we know it is puny compared to absolute totality; however powerful the storm, it is nothing compared to absolute freedom. The sublime feeling is therefore a kind of ‘rapid alternation’ between the fear of the overwhelming and the peculiar pleasure of seeing that overwhelming overwhelmed. Thus, it turns out that the sublime experience is purposive after all – that we can, in some way, ‘get our head around it’.

Since the ideas of reason (particularly freedom) are also important for Kant’s moral theory, there seems to be an interesting connection between the sublime and morality. This Kant discusses under the heading of ‘moral culture’, arguing for example that the whole sublime experience would not be possible if humans had not received a moral training that taught them to recognize the importance of their own faculty of reason.

Traditionally, the sublime has been the name for objects inspiring awe, because of the magnitude of their size/height/depth (e.g. the ocean, the pyramids of Cheops), force (a storm), or transcendence (our idea of God). Vis-à-vis the beautiful, the sublime presents some unique puzzles to Kant. Three in particular are of note. First, that while the beautiful is concerned with form, the sublime may even be (or even especially be) formless. Second, that while the beautiful indicates (at least for judgment) a purposiveness of nature that may have profound implications, the sublime appears to be ‘counter-purposive’. That is, the object appears ill-matched to, does ‘violence’ to, our faculties of sense and cognition. Finally, although from the above one might expect the sublime experience to be painful in some way, in fact the sublime does still involve pleasure – the question is ‘how?’.

Kant divides the sublime into the ‘mathematical’ (concerned with things that have a great magnitude in and of themselves) and the ‘dynamically’ (things that have a magnitude of force in relation to us, particularly our will). The mathematical sublime is defined as something ‘absolutely large‘ that is, ‘large beyond all comparison‘ (sect.25). Usually, we apply some kind of standard of comparison, although this need not be explicit (e.g. ‘Mt. Blanc is large’ usually means ‘compared with other mountains (or perhaps, with more familiar objects), Mt. Blanc is large’). The absolutely large, however, is not the result of a comparison

Now, of course, any object is measurable – even the size of the universe, no less a mountain on Earth. But Kant then argues that measurement not merely mathematical in nature (the counting of units), but fundamentally relies upon the ‘aesthetic’ (in the sense of ‘intuitive’ as used in the first Critique) grasp of a unit of measure. Dealing with a unit of measure, whether it be a millimeter or a kilometer, requires a number (how many units) but also a sense of what the unit is. This means that there will be absolute limits on properly aesthetic measurement because of the limitations of the finite, human faculties of sensibility. In the first place, there must be an absolute unit of measure, such that nothing larger could be ‘apprehended’; in the second place, there must be a limit to the number of such units that can be held together in the imagination and thus ‘comprehended’ (sect.26). An object that exceeds these limits (regardless of its mathematical size) will be presented as absolutely large – although of course it is still so with respect to our faculties of sense.

However, we must return to the second and third peculiar puzzles of the sublime. As we saw above with respect to the beautiful, pleasure lies in the achievement of a purpose, or at least in the recognition of a purposiveness. So, if the sublime presents itself as counter-purposive, why and how is pleasure associated with it? In other words, where is the purposiveness of the sublime experience? Kant writes,

[W]e express ourselves entirely incorrectly when we call this or that object of nature sublime … for how can we call something by a term of approval if we apprehend it as in itself contrapurposive? (sect.23)

This problem constitutes Kant’s principle argument that something else must be going on in the sublime experience other than the mere overwhelmingness of some object. As Kant will later claim, objects of sense (oceans, pyramids, etc.) are called ‘sublime’ only by a kind of covert sleight-of-hand, what he calls a ‘subreption’ (sect.27). In fact, what is actually sublime, Kant argues, are ideas of our own reason. The overwhelmingness of sensible objects leads the minds to these ideas.

Now, such presentations of reason are necessarily unexhibitable by sense. Moreover, the faculty of reason is not merely an inert source of such ideas, but characteristically demands that its ideas be presented. (This same demand is what creates all the dialectical problems that Kant analyses in, for example, the Antinomies.) Kant claims that the relation of the overwhelming sensible object to our sense is in a kind of ‘harmony’ (sect.27) or analogy to the relation of the rational idea of absolute totality to any sensible object or faculty. The sublime experience, then, is a two-layer process. First, a contrapurposive layer in which our faculties of sense fail to complete their task of presentation. Second, a strangely purposive layer in which this very failure constitutes a ‘negative exhibition’ (‘General Comment’ following sect.29) of the ideas of reason (which could not otherwise be presented). This ‘exhibition’ thus also provides a purposiveness of the natural object for the fulfillment of the demands of reason. Moreover, and importantly, it also provides a new and ‘higher’ purposiveness to the faculties of sense themselves which are now understood to be properly positioned with respect to our ‘supersensible vocation’ (sect.27) – i.e. in the ultimately moral hierarchy of the faculties. Beyond simply comprehending individual sensible things, our faculty of sensibility, we might say, now knows what it is for. We will return to this point shortly. The consequence of this purposiveness is exactly that ‘negative pleasure’ (sect.23) for which we had be searching. The initial displeasure of the ‘violence’ against our apparent sensible interests is now matched by a ‘higher’ pleasure arising from the strange purposiveness Kant has discovered. Interestingly, on Kant’s description, neither of these feelings wins out – instead, the sublime feeling consists of a unique ‘vibration’ or ‘rapid alternation’ of these feelings (sect.27).

The dynamically sublime is similar. In this case, a ‘might’ or power is observed in nature that is irresistible with respect to our bodily or sensible selves. Such an object is ‘fearful’ to be sure, but (because we remain disinterested) is not an object of fear. (Importantly, one of Kant’s examples here is religion: God is fearful but the righteous man is not afraid. This is the difference, he says, between a rational religion and mere superstition.) Again, the sublime is a two-layered experience. Kant writes that such objects ‘raise the soul’s fortitude above its usual middle range and allow us to discover in ourselves an ability to resist which is of a quite different kind…’ (sect.28). In particular, nature is called ‘sublime merely because it elevates the imagination to the exhibition of those cases wherein the mind can be made to feel [sich fühlbar machen] the sublimity, even above nature, that is proper to its vocation’ (sect.28, translation modified). In particular, the sublimity belongs to human freedom which is (by definition) unassailable to the forces of nature. Such a conception of freedom as being outside the order of nature, but demanding action upon that order, is the core of Kant’s moral theory. Thus we can begin to see the intimate connection between the sublime (especially here the dynamically sublime) and morality

This connection (for the sublime in general) becomes even more explicit in Kant’s discussion of what he calls ‘moral culture’. (sect.29) The context is to ask about the modality of judgments on the sublime – that is, to they have the same implicit demand on the necessary assent of others that judgments on the beautiful have? Kant’s answer is complicated. There is an empirical factor which is required for the sublime: the mind of the experiencer must be ‘receptive’ to rational ideas, and this can only happen in a culture that already understands morality as being a function of freedom or, more generally, conceives of human beings as having a dimension which in some way transcends nature. The sublime, properly speaking, is possible only for members of such a moral culture (and, Kant sometimes suggests, may reciprocally contribute to the strengthening of that culture). So, the sublime is subjected to an empirical contingency. However, Kant claims, we are justified in demanding from everyone that they necessarily have the transcendental conditions for such moral culture, and thus for the sublime, because these conditions are (as in the case of the beautiful) the same as for theoretical and practical thought in general. The claims about moral culture show that, for Kant, aesthetics in general is not an isolated problem for philosophy but intimately linked to metaphysical and moral questions. This is one more reason why it is important not to assume that the Critique of Aesthetic Judgment is a book merely about beauty and sublimity. Moreover, this ‘link’ has an even greater significance for Kant: it shows reflective judgment in action as it were relating together both theoretical and practical reason, for this was the grand problem he raised in his Introduction.

Kant’s treatment of the sublime raises many difficulties. For example, only the dynamically sublime has any strict relationship to the moral idea of freedom. This raises the question of whether the mathematical and dynamically sublime are in fact radically different, both in themselves as experiences, and in their relation to ‘moral culture’. Again, Kant gives an interesting account of how magnitude is estimated in discussing the mathematical sublime, but skips the parallel problem in the dynamically sublime (how does one estimate force?). Finally, many readers have found the premise of the whole discussion implausible: that in the sublime experience, what is properly sublime and the object of respect should be the idea of reason, rather than nature.

d. Fine Art and Genius

Overview: Thus far, Kant’s main focus for the discussion of beauty and the sublime has been nature. He now turns to fine art. Kant assumes that the cognition involved in judging fine art is similar to the cognition involved in judging natural beauty. Accordingly, the problem that is new to fine art is not how it is judged by a viewer, but how it is created. The solution revolves around two new concepts: the ‘genius’ and ‘aesthetic ideas’.

Kant argues that art can be tasteful (that is, agree with aesthetic judgment) and yet be ‘soulless’ – lacking that certain something that would make it more than just an artificial version of a beautiful natural object. What provides soul in fine art is an aesthetic idea. An aesthetic idea is a counterpart to a rational idea: where the latter is a concept that could never adequately be exhibited sensibly, the former is a set of sensible presentations to which no concept is adequate. An aesthetic idea, then, is as successful an attempt as possible to ‘exhibit’ the rational idea. It is the talent of genius to generate aesthetic ideas, but that is not all. First, the mode of expression must also be tasteful – for the understanding’s ‘lawfulness’ is the condition of the expression being in any sense universal and capable of being shared. The genius must also find a mode of expression which allows a viewer not just to ‘understand’ the work conceptually, but to reach something like the same excited yet harmonious state of mind that the genius had in creating

Starting in sect.43, Kant addresses himself particularly to fine art for the first time. The notion of aesthetic judgment already developed remains central. But unlike the investigation of beauty in nature, the focus shifts from the transcendental conditions for judgment of the beautiful object to the transcendental conditions of the making of fine art. In other words: how is it possible to make art? To solve this, Kant will introduce the notion of genius.

But that is not the only shift. Kant stands right in the middle of a complete historical change in the central focus of aesthetics. While formerly, philosophical aesthetics was largely content to take its primary examples of beauty and sublimity from nature, after Kant the focus is placed squarely on works of art. Now, in Kant, fine art seems to ‘borrow’ its beauty or sublimity from nature. Fine art is therefore a secondary concept. On the other hand, of course, in being judged aesthetically, nature is seen ‘as if’ purposeful, designed, or a product of an intelligence. So, in this case at least, the notion of ‘nature’ itself can be seen as secondary with respect to the notions of design or production, borrowed directly from art. Thus, the relation between nature and art is much more complex than it seems at first. Kant’s work thus forms an important part of the historical change mentioned above. Moreover, it is clear from a number of comments that Kant makes about ‘genius’ that he is an aesthetic conservative reacting against, for example, the emphasis on the individual, impassioned artist characteristic of the ‘Sturm und Drang‘ movement. But, historically, his discussion of the concept contributed to the escalation of the concept in the early 19th Century.

So, in order to understand how art is possible, we have to first understand what art is, and what art production is, vis-á-vis natural objects and natural ‘production’. First, then, what does Kant mean by ‘nature’? (1) On the one hand, in expressions like ‘the nature of X’ (e.g. ‘the nature of human cognition’), it means those properties which belong essentially to X. This can either be an empirical claim or, more commonly in Kant, a priori. On the other hand, nature as itself an object has several meanings for Kant. Especially: (2) If I say ‘nature as opposed to art’ I mean that realm of objects not presented as the objects of sensible will – that is, which are quite simply not made or influenced by human hands. (3) If I say ‘nature as an object of cognition’ I mean any object capable of being dealt with ‘objectively’ or ‘scientifically’. This includes things in space outside of us, but also aspects of sensible human nature that are the objects of sciences such as psychology. (4) Nature is also the object of reflective judgments and is that which is presupposed to be purposive or pre-adapted with respect to judgment.

Kant begins by giving a long clarification of art. As a general term, again, art refers to the activity of making according to a preceding notion. If I make a chair, I must know, in advance, what a chair is. We distinguish art from nature because (though we may judge nature purposive) we know in fact there is no prior notion behind the activity of a flower opening. The flower doesn’t have an idea of opening prior to opening – the flower doesn’t have a mind or a will to have or execute ideas with.

Art also means something different from science – as Kant says, it is a skill distinguished from a type of knowledge. Art involves some kind of practical ability, irreducible to determinate concepts, which is distinct from a mere comprehension of something. The latter can be fully taught; the former, although subject to training to be sure, relies upon native talent. (Thus, Kant will later claim, there can be no such thing as a scientific genius, because a scientific mind can never be radically original. See sect.46.) Further, art is distinguished from labor or craft – the latter being something satisfying only for the payoff which results and not for the mere activity of making itself. Art (not surprisingly, like beauty) is free from any interest in the existence of the product itself.

Arts are subdivided into mechanical and aesthetic. The former are those which, although not handicrafts, never-the-less are controlled by some definite concept of a purpose to be produced. The latter are those wherein the immediate object is merely pleasure itself. Finally, Kant distinguishes between agreeable and fine art. The former produces pleasure through sensation alone, the latter through various types of cognitions

This taxonomy of fine art defines more precisely the issue for Kant. What, then, ‘goes on’ in the mind of the artist? It is clearly not just a matter of applying good taste, otherwise all art critics would be artists, all musicians composers, and so forth. Equally, it is not a question of simply expressing oneself using whatever means come to hand, since such productions might well lack taste. We feel reasonably secure that we know how it is possible for, for example, clockmakers to make clocks, or glass-blowers to blow glass (which doesn’t mean that we can make clocks or blow glass, but that as a kind of activity, we understand it). We have also investigated how it is for someone looking at a work of beauty to judge it. But it is not yet clear how, on the side of production, fine art gets made.

Kant sums up the problem in two apparent paradoxes. The first of these is easy to state. Fine art is a type of purposeful production, because it is made; art in general is production according to a concept of an object. But fine art can have no concept adequate to its production, else any judgment on it will fail one of the key features of all aesthetic judgments: namely purposiveness without a purpose. Fine art therefore must both be, and not be, an art in general.

To introduce the second paradox, Kant notices that we have a problem with the overwrought – that which draws attention to itself as precisely an artificial object or event. ‘Over-the-top’ acting is a good example. Kant expresses this point by saying that, in viewing a work of art we must be aware of it as art, but it must never-the-less appear natural. Where ‘natural’ here stands for the appearance of freedom from conventional rules of artifice; this concept is derived from the second sense of ‘nature’ given above. The paradox is that art (the non-natural) must appear to be natural.

Kant must overcome these paradoxes and explain how fine art can be produced at all. In sect.46, the first step is taken when Kant, in initially defining ‘genius’, conflates ‘nature’ in the first sense above with nature in the third sense. He writes,

Genius is the talent (natural endowment) that gives the rule to art. Since talent is an innate productive ability of the artist and as such belongs itself to nature, we could also put it this way: Genius is the innate mental predisposition (ingenium) through which nature gives the rule to art. (sect.46)

In other words, that which makes it possible to produce (fine art) is not itself produced – not by the individual genius, nor (we should add) through his or her culture, history, education, etc. From the definition of genius as that talent through which nature gives the rule to art follows (arguably!) the following key propositions. First, fine art is produced by individual humans, but not as contingent individuals. That is, not by human nature in the empirically known sense. Second, fine art as aesthetic (just like nature as aesthetic) can have no definite rules or concepts for producing or judging it. But genius supplies a rule, fully applicable only in the one, concrete instance, precisely by way of the universal structures of the genius’ mental abilities (which again, is ‘natural’ in sense one).

Third, the rule supplied by genius is more a rule governing what to produce, rather than how. Thus, while all fine art is a beautiful ‘presentation’ of an object (sect.48), this partly obscures the fact that genius is involved in the original creation of the object to be presented. The ‘how’ is usually heavily informed by training and technique, and is governed by taste. Taste, Kant claims, is an evaluative faculty, not a productive one (sect.48). Thus, the end of sect.47, he will distinguish between supplying ‘material’ and elaborating the ‘form’. Fourth, because of this, originality is a characteristic of genius. This means also that fine art properly is never an imitation of previous art, though it may ‘follow’ or be ‘inspired by’ previous art (sect.47). Fifth, as we mentioned above, fine art must have the ‘look of nature’ (sect.45). This is because the rule of its production (that concept or set of concepts of an object and of the ‘how’ of its production which allows the genius to actually make some specific something) is radically original. Thus, fine art is ‘natural’ in sense two, in that it lies outside the cycle of production and re-production within which all other arts in general are caught up (and thus, again, cannot be imitated). This leads Kant to make some suggestive, but never fully worked out, comments about artistic influences and schools, the role of culture, of technique and education, etc. (See e.g. sect.49-50)

Having made the various distinctions between the matter and the form of expression in genius’ work, or again between the object and its presentation, Kant applies these to a brief if eccentric comparative study of the varieties of fine art (sect.51-53). According to the manner of presentation, he divides all fine arts into the arts of speech (especially poetry, which Kant ranks the highest of the arts), the arts of visual form (sculpture, architecture and painting), and the arts involving a play of sensible tones (music). The last pages of this part of Kant’s book are taken up with a curious collection of comments on the ‘gratifying’ (non-aesthetic but still relatively free activities), especially humor.

However, we have not yet clarified what kind of thing the ‘rule’ supplied by genius is; therefore we have not yet reached an understanding of the nature of the ‘talent’ for the production of fine art that is genius.

Genius provides the matter for fine art, taste provides the form. The beautiful is always formal, as we have already discovered. So, what distinguishes one ‘matter’ from another, such that genius might be required? What genius does, Kant says, is to provide ‘soul’ or ‘spirit’ (‘Seele‘, sect.49) to what would otherwise be uninspired. This peculiar idea seems to be used in a sense analogous to saying that someone ‘has soul’, meaning to have nobility or a deep and exemplary moral character, as opposed to being shallow or even in a sense animal-like; but Kant also, following the Aristotelian tradition, means that which makes something alive rather than mere material. There can be an uninspired fine art, but it is not very interesting (pure beauty, mentioned above, may be an example). There can also, Kant warns, be inspired nonsense, which is also not very interesting. Genius inspires art works – gives them spirit – and does so by linking the work of art to what Kant will call aesthetic ideas.

This is defined in the third paragraph of sect.49. The aesthetic idea is a presentation of the imagination to which no thought is adequate. This is a ‘counterpart’ to rational ideas (which we encountered above in talking of the sublime), which are thoughts to which nothing sensible or imagined can be adequate. Each is excessive, we might say, but on different sides of our cognitive apparatus. Aesthetic ideas are seen to be ‘straining’ after the presentation of rational ideas – this is what gives them their excess over any set of ordinary determinate concepts.

In the judgment of the beautiful, we had a harmony between the imagination and the understanding, such that each furthered the extension of the other. Kant is now saying: certainly that is true for all judgments of taste, whether of natural or artificial objects. And yet we can distinguish between such a harmony which happens on the experiencing of a beautiful form simply, or a harmony which happens on the experiencing of a beautiful form that itself is the expression of something yet higher but that cannot in any other way be expressed. (The notion of ‘expression’ is important: what Kant is describing is an aesthetic process, rather than a process of understanding something with concepts, and then communicating that understanding.) Inspired fine art is beautiful, but in addition is an expression of the state of mind which is generated by an aesthetic idea.

The relevant passages in sect.49 are both confused and compressed. Kant seems to have two different manners in which aesthetic ideas can be the spirit of fine art. First, the aesthetic idea is a presentation of a rational idea (one of Kant’s examples is the moral idea of cosmopolitan benevolence). Of course, we know that there is no such adequate presentation. An obvious example might be a novelist or playwright’s attempt to portray a morally upright character: because, for Kant, an important part of our moral being transcends the world of phenomena, there must always be a mis-match between the idea and the portrayal of the character. Here the aesthetic idea seems to function by prompting an associated or coordinated surplus of thought that is directly analogous to the associated surplus of imaginative presentations demanded by rational ideas. (We saw a similar relation between the demand of rational ideas and imaginative activity in Kant’s analysis of the sublime. Indeed, arguably there is an analogy here to the concept of ‘negative exhibition’.) In practice, this will often involve what Kant calls ‘aesthetic attributes’: more ordinary, intermediate images: ‘Thus Jupiter’s eagle with the lightning in its claws is an attribute of the mighty king of heaven’.

Second, the aesthetic idea can be an impossibly perfect or complete presentation of a possible empirical experience and its concept (death, envy, love, fame are Kant’s examples). Here the aesthetic idea is not presenting a particular rational idea so much as a general function of reason: the striving for a maximum, a totality or the end of a series (as in Kant’s account of the mathematical sublime). And again, the effect is an associated ‘expansion’ of the concept beyond its determinate bounds. In either case, the aesthetic idea is not merely a presentation, but one which will set the imagination and understanding into a harmony, creating the same kind of self-sustaining and self-contained feeling of pleasure as the beautiful.

Kant’s theory of genius – for all its vagueness and lack of philosophical rigor – has been enormously influential. In particular, the radical separation of the aesthetic genius from the scientific mind; the emphasis on the near-miraculous expression (through aesthetic ideas and attributes) of the ineffable, excited state of mind; the link of fine art to a ‘metaphysical’ content; the requirement of radical originality; the raising of poetry to the head of all arts – all these claims (though not all of them entirely unique to Kant) were commonplaces and wide-spread for well over a century after Kant. Indeed, when modernists protested (often paradoxically) against the concept of the artist by using ‘automatic writing’ or ‘found objects’ it is, for the most part, this concept of the artist-genius that they are reacting against.

e. Idealism, Morality and the Supersensible

Overview: Let us return to the notion of beauty as tackled in sections A1 and A2. Viewed from the position of our knowledge of nature, the supposed purposiveness of nature looks like nonsense. Not only does our scientific knowledge seem to have no room for the concept of a purpose, but many and perhaps all beautiful natural objects can be accounted for on purely scientific terms. Thus, any principle of purposiveness can only be understood as ideal. That is, such a principle says more about the particular nature of our cognitive faculties than it says about what nature really is.

But the principle of purposiveness is still valid from the point of view of the activities of judgment. This in turn means that, for judgment, the question is valid as to how this natural purposiveness is to be explained. The only possible account is that the appearance of purposiveness in nature is conditioned by the supersensible realm underlying nature. But this means that beauty is a kind of revelation of the hidden substrate of the world, and that this substrate has a necessary sympathy with our highest human projects. To this, Kant adds a series of important analogies between the activity of aesthetic judgment and the activity of moral judgment. These analyses lead Kant to claim that beauty is the ‘symbol of morality’.

Above, at the end of section A1, we saw Kant claim that his whole account of the transcendental possibility of judgments on the beautiful could be summed up in the notion of common sense. This principle of common sense is the form that the general a priori principle of the purposiveness of nature for judgment takes when we are trying to understand the subjective conditions of aesthetic judgments of beauty. That is, where the principle is taken as a rule governing the conditions of aesthetic judgments in the subject, then it is properly called ‘common sense’. But where the principle is taken to be functioning like a concept of an object (the beautiful thing), then it is to be seen as the principle of the purposiveness of all nature for our judgment (see sect.55-58). But nature, understood scientifically, is not purposive. This strange situation gives rise to what Kant calls a ‘dialectic’ – merely apparent knowledge claims or paradoxes that arise from the misuse of a faculty. Just as in the ‘dialectic’ sections in the first two Critiques (see the entry on ‘Kant’s Metaphysics’), he Kant solves the problem by way of an appeal to the rational idea of the supersensible. Dialectical problems, for Kant, always involves a confusion between the rational ideas of the supersensible (which have at best a merely regulative validity) and natural concepts (which have a validity guaranteed but restricted to appearances). This particular form of dialectical problem involves two contradictory, but apparently necessary, truth claims – Kant calls such a situation an ‘antinomy’. (See Introduction 2 above, and the entry on ‘Kant’s Metaphysics’.) A similar dialectical problem will arise in the ‘Critique of Teleological Judgment’ where we will resume our discussion of these issues. For the moment it is enough to observe that the Antinomy of Taste seems to involve two contradictory claims about the origin of beautiful objects.

However, it could be the case that nature as the object of scientific laws (‘nature’, as Kant is fond of saying, according to the ‘immanent’ principles of the understanding), is itself responsible for the beautiful forms in nature (Kant’s example is the formation of beautiful crystals, understood perfectly through the science of chemistry). This possibility demonstrates the idealism of the principle of purposiveness. Kant thus writes, ‘we … receive nature with favor, [it is] not nature that favors us’ (sect.58).

He writes,

Just as we must assume that objects of sense as appearances are ideal if we are to explain how we can determine their forms a priori, so we must presuppose an idealistic interpretation of purposiveness in judging the beautiful in nature and in art… (sect.58)

But at the same time, this idealism also necessarily raises the question of what conditions beautiful appearances: if we are asking for a concept that accounts (on the side of the ideal object) for this purposiveness, it must be what Kant calls the realm of the ‘supersensible’ that is ‘underlying’ all nature and all humanity. As we know, no other concept (e.g. a natural concept) is adequate to grasping the beautiful object as beautiful. So, in forming an aesthetic judgment, which judges a beautiful object as purposive without purpose, we must assume the legitimacy of the rational concept of an underlying supersensible realm in order to account for that purposiveness. This assumption is valid only within and only for that judgment, and thus is certainly not a matter of knowledge. Thus, Kant can borrow the notion of aesthetic idea from his account of fine art and, speaking from the point of view of reflective judgment, say that beauty in general is always the expression of aesthetic ideas (sect.51). From the point of view of judgment, everything happens as if the unfolding beauty of the natural world is like the product of a genius. This piques the interest of reason – for judgment has, as it were, found phenomenal evidence of the reality of reason’s more far-reaching claims about the supersensible (see B3 below). The profundity of beauty, for Kant, consists of precisely this assumption by judgment; it allows him to make further connections between beauty and morality, and (as we shall see) ultimately to suggest the unity of all the disciplines of philosophy.

The last major section of the Critique of Aesthetic Judgment famously considers the relation between beauty and morality, which recalls the earlier treatment of the sublime and moral culture. Here, Kant claims that beauty is the ‘symbol’ of morality (sect.59). A symbol, he argues, is to be defined as a kind of presentation of a rational idea in an intuition. The ‘presentation’ in question is an analogy between how judgment deals with or reflects upon the idea and upon the symbolic intuition. Thus, if ‘justice’ is symbolized by a blind goddess with a scale, it is not because all judges are blind! Rather, ‘blindness’ and ‘weighing’ function as concepts in judgments in a way analogous to how the concept of ‘justice’ functions. In showing how beauty in general is the symbol of morality, Kant lists four points: (1) Both please directly and not through consequences; (2) Both are disinterested; (3) Both involve the idea of a free conformity to law (free conformity of the imagination in the case of beauty, of the will in the case of morality); (4) Both are understood to be founded upon a universal principle. The importance of this section is two-fold: first, historically, Kant is giving a philosophical underpinning to the notion that taste should be related to and, through cultivation, also promotes morality. This is a claim that is often rolled out even today. Second, the link to morality is a detailing out of the basic link between aesthetics in general and the pure concepts of reason (ideas). First aesthetic judgments (both the sublime and the beautiful), and then teleological judgments will form the bridge between theoretical and practical reason, and (Kant hopes) bring unity to philosophy. We shall return to this in section B4.

3. Kant’s Teleology

a. Objective Purposiveness and Science

Overview: The second part of Kant’s book deals with a special form of judgment called ‘teleological judgment’. The word ‘teleology’ comes from the Greek word ‘telos’ meaning end or purpose. A teleological judgment, on Kant’s account, is a judgment concerning an object the possibility of which can only be grasped from the point of view of its purpose. The purpose in question Kant calls an ‘intrinsic purpose’. In such a case, we have to say that, strictly speaking, the object was not made according to a purpose that is different from the object (as the idea of vegetable soup in the mind of the cook is different from the soup itself), but that the object itself embodies its purpose. Kant is talking mainly about living organisms (which he calls ‘natural purposes’), which are both cause and effect, both blueprint and product, of themselves. The problem here is that such a notion is paradoxical for human thought in general, and certainly incompatible with scientific thought.

This raises two issues. First, the paradoxical nature of any concept of a natural purpose means that our minds necessarily supplement judgment with the concept of causation through purposes – i.e. the concept of art, broadly speaking. In other words, for lack of any more adequate resources, we think natural purposes on an analogy with the production of man-made objects according to their purpose. Second, just as with aesthetic judgments, Kant does not claim that such judgments ever achieve knowledge. Kant argues that teleological judgments are required, even in science – but not to explain organisms, rather simply to recognize their existence, such that biological science can then set about trying to understanding them on its own terms.

The word ‘teleology’ comes from the Greek word ‘telos’ meaning end or purpose. A teleological judgment, on Kant’s account, is a judgment concerning an object the possibility of which can only be grasped from the point of view of its purpose.

The second half of Kant’s book (the ‘Critique of Teleological Judgment’) is much less often studied and referred to. This is of course related to the fact that Kant’s aesthetics has been hugely influential, while his teleology has sparked less contemporary interest; and also the fact that, in the Introduction to the whole text, Kant writes that ‘In a critique of judgment, [only] the part that deals with aesthetic judgment belongs to it essentially.’ (Introduction VIII). This is because, as we saw above, in aesthetic judgment the faculty of judgment is, as it were, on its own – although certainly the action of judgment there has implications for our faculty of reason. In teleological judgment, on the other hand, the action of judgment – although still reflective – is much more closely linked to ordinary theoretical cognition of nature. Judgment in its teleological function is not, let us say, laid bare in its purity. However, it would be wrong to ignore the ‘Critique of Teleological Judgment’ either on the grounds of its lesser influence, or especially on the assumption that its content is intrinsically less interesting.

The main difference between aesthetic and teleological judgments is the ‘reality’ of the purpose for the object. Whereas the object of aesthetic judgment was purposive without a purpose, the objects of teleological judgment do have purposes for which a concept or idea is to hand. There are, Kant claims, two types of real purposes: first, an ‘extrinsic purpose’ which is the role a thing may play in being a means to some end. An example would be an object of art in the general sense: a shoe for example, or a landscaped garden – something that was made for a purpose, and where the purpose is the reason behind it being made.

However, just as in the critique of aesthetic judgment, such ordinary examples are not (apparently) troubling and are thus not what Kant has in mind. So, Kant notes that there is a second type of real purpose, an ‘intrinsic purpose’. In this case, rather than the purpose being primarily understood as ‘behind’ the production of a thing, a thing embodies its own purpose. These are what Kant calls ‘natural purposes’ (also translated as ‘physical ends’), and the key examples are living organisms (sect.65).

Such an organism is made up of parts – individual organs, and below that, individual cells. These parts, however, are ‘organized’ – they are determined to be the parts that they are – according to the form or ‘purpose’ which is the whole creature. The parts reciprocally produce and are produced by the form of the whole. Nor is the idea of the whole separate to the organism and its cause (for then the creature would be an art product.) A mechanical clock may be made up or organized parts, but this organization is not the clock itself, but rather the concept of the clock in the mind of the craftsperson who made it. The organism is such insofar as it intrinsically and continually produces itself; the clock is not an organism because it has to be made according to a concept of it.

But how does this principle relate to the sciences of nature? Such an account of organisms as teleological is not original to Kant. It extends back to Aristotle, and, despite increasing hostility to Aristotle’s physics since the Renaissance, remained a commonplace in European biology through the 18th century and beyond. Kant is very careful to distinguish himself from the rationalist position which, he claims, takes teleology as a constitutive principle – that is, as a principle of scientific knowledge. Importantly, Kant claims that such a teleological causation is utterly alien to natural causation as our understanding is able to conceive it. However, since natural mechanical causal connections are necessary, this means that a physical end has to be understood to be contingent with respect to such ‘mechanical’ natural laws. Reason, however, always demands necessity in its objects (the principle of reason here is akin to Leibniz’s notion of the principle of sufficient reason; see entry on Leibniz’s Metaphysics). Accordingly, reason provides the idea of causation according to ends (on the analogy of art being the product of a will). As we know, however, a purely rational concept has no constitutive validity with respect to objects of experience. Instead, Kant claims, teleological judgment is merely reflective, and its principle merely regulative. The teleological judgment gives no knowledge, in other words, but simply allows the cognitive faculty to recognize a certain class of empirical objects (living organisms) that then might be subjected (so far as that is possible) to further, empirical, study. In effect, Kant is saying that, were it not for the reflective judgment and the principle of its functioning here (the rational idea of an ‘intrinsic’ end or purpose), the ability to experience something as alive (and thus subsequently to study it as the science of biology) would be impossible. Ordinary scientific judgments will be unable to fully explore and explain certain biological phenomena, and thus teleological judgments have a limited scientific role.

Such judgments only apply (with the above mentioned constraints) to individual things on the basis of their inner structure, and are not an attempt to account for their existence per se. Nevertheless, even this suggests to reason by analogy the idea of the whole of nature as a purposive system, which could only be explained if based upon some supersensible foundation – although it is hardly necessary in every instance to take the investigation so far (sect.85). In fact, the whole of nature is not given to us in this way, Kant admits, and therefore this extended idea is not as essential to science as the narrower one of natural purposes (sect.75). Nevertheless, the idea may be useful in discovering phenomena and laws in nature that might not have been recognized on a mechanical understanding alone. (Recent ecological thought, for example, has often tended to think of whole eco-systems as if they were in themselves organisms, and whole species of plants and animals (as well as the physical environment they inhabit) are their ‘organs’. Such an approach may be fruitful for understanding the inter-connectedness of the system, but also may be dangerous if taken too far – when it begins to see as necessary what in fact has to be considered as contingent.)

Thus Kant believes he has discovered a role, albeit a limited one, for teleological judgments within natural science. In fact, of course, the whole conception of biological science was moving away from such notions, first with the theory of evolution, and subsequently with the idea of genetics. Nevertheless, there is something fascinating about Kant’s conception of a natural purpose, which seems to capture something of the continuing scientific and philosophical difficulties in understanding what ‘life’ in general is.

b. ‘The Peculiarity of the Human Understanding’

Overview: Why is it the case that a proper concept of a natural purpose is impossible for us, and has to be supplemented with the concept of production according to a separate purpose? It is because of a fundamental ‘peculiarity’ of the human understanding, according to Kant. Our minds he describes as ‘intellectus ectypus’, cognition only by way of ‘images’. That is why it is impossible for us to understand something that is at the same time object and purpose. Kant then claims that this characterization of the human intellect raises the possibility of another form of intellect, the ‘intellectus archetypus‘, or cognition directly through the original. In such a case, there would be no distinction between perceiving a thing, understanding a thing, and the thing existing. This is as close as our finite minds can get to understanding the mind of God.

However, in dealing with the limited role discussed above, there is an implicit danger. If reason does not pay sufficient critical attention to the reflection involved the result is an antinomy (sect.70) between the basic scientific principle of the understanding – to seek to treat everything as necessary in being subject to natural laws – and the teleological principle – that there are some objects that are cannot be treated according to these laws, and are thus radically contingent with respect to them. Kant’s basic solution to this antinomy is given immediately (sect.71): the problem is simply that reason has forgotten that the second of these principles is not constitutive of its object – that is, does not account of the object’s existence. There could only be an antinomy if both principles were understood to be so constitutive. Kant, however, continues for several sections the discussion of the antinomy and its solution, in the end proposing a remarkable new solution.

In sect.77, Kant is at pains to point out that the teleological, reflective judgment is a necessity for human minds because of a peculiarity of such minds. (This discussion recalls the treatment of idealism in the ‘Critique of Aesthetic Judgment’ above.) In our understanding of the world (and for any other understanding we could imagine the workings of), the universal principle (law of nature) never fully determines any particular thing in all its real detail. Thus these details, although necessary in themselves as part of the order of nature, must be contingent with respect to our universal concept. It is simply beyond our understanding that there should be a concept that, in itself, determines as necessary all the features of any particular thing. (At this point, Kant is clearly influenced by Leibniz’s idea of the ‘complete concept’ – please see the entry on Leibniz’s Metaphysics.) As Kant explains it, an object so understood would be a whole that conditions all its parts.

But a living organism would be just such a whole. As we have seen, to understand its possibility we have to apply (through reflective judgment) the rational idea of an intrinsic purpose. Here, as we have just seen, the problem of the contingency with respect to natural law is exacerbated. But this idea is of a presentation of such a whole, and the presentation is conceived of as a purpose which conditions or leads to the production of the parts. Ours, in other words, is an understanding which always ‘requires images (it is an intellectus ectypus)’ (sect.77).

This peculiarity of our understanding poses the possibility of another form of intelligence, the intellectus archetypus, an intelligence which is not limited to this detour of presentations in its thinking and acting. Such an understanding would not function in a world of appearances, but directly in the world of things-in-themselves. Its power of giving the universal (concepts and ideas) would not be a separate power from its power of forming intuitions of particular things; concept and thing, thought and reality would be one. From the point of view of such an understanding, what we humans must conceive as the contingency of natural purposes with respect to the universal concept, is only an appearance. For the intellectus archetypus, such natural purposes would indeed be necessary, in the same sense as events subject to mechanical natural law. Thus, the notion of an intellectus archetypus – and the corresponding distinction for us between appearances and things-in-themselves – gives Kant a more complete way of solving the above antinomy. Because of the limitation of our understanding, we are incapable of knowing the details of the necessity of all natural processes. The idea of a natural purpose is an essential additional principle which partly corrects for this limitation, but also produces the antinomy. But the contingency introduced by the new principle is (or, rather, may be) only a contingency for us (as intellectus ectypus), and therefore the principle of natural purposes does not contradict the demand of reason for necessity.

Such an idea clearly takes us in the direction of theology – the study of the divine being, and that being’s relation to creation. But it is above all important to remember that, at this point, Kant is not claiming that there is, or must be, or that he can prove there to be, such a being. Thus, for example, given Kant’s concern with purposiveness and design, one might think he would make a case for the so-called ‘argument from design’ (the argument to the existence of a creator from the apparently designed quality of creation). But, in fact, Kant believes this to be an extraordinarily weak argument (see for example sect.sect.85, 90 and ‘General Comment on Teleology’), though interesting. Kant, however, thinks he has an argument which is related to it, and which (within certain limits) works much better. It is this argument which occupies most of the second half of the ‘Critique of Teleological Judgment’.

c. The Final Purpose and Kant’s Moral Argument for the Existence of God

Overview: The notion of the intellectus archetypus is clearly heading in the direction of philosophical theology. Kant’s book culminates with his most sustained presentation and discussion of his Moral Proof for the Existence of God.

Kant’s work already included some very famous critiques of other such proofs. In the Critique of Pure Reason, he provides some of the standard attacks on the cosmological and especially the ontological arguments. And in the Critique of Judgment, he argues that the argument from design, at least as normally stated, is very weak. Kant’s own proof, he thinks, avoids the problems typical of other arguments, precisely because it does not conclude by stating that we know the existence of God. This is because Kant is quite happy with the idea that God’s existence could never be necessary for theoretical reason. But he then asks whether practical reason – i.e. the moral side of our intellect – has the same limitation.

In Kant’s account of practical reason, the moral law is conceived of as duty. Acting from the mere pure and universal form of the moral law is everything, the consequences of action do not enter into the equation (see entry on ‘Kant’s Metaphysics’). However, Kant claims that the moral law obligates us to consider the final purpose or aim of all moral action. This final purpose of moral action Kant calls the ‘highest good’ (summum bonum). This means the greatest possible happiness for all moral beings. Importantly, this goal is not the ground of morality – unlike ordinary instances of desire or action, wherein I act precisely because I want to reach the goal. Moral action is grounded in duty – but, subsequently, so to speak, we must be assured that the final purpose is actually possible.

Just as moral action must be possible through freedom, so the summum bonum must be possible through moral action. But the possibility of the summum bonum as the final purpose in nature appears to be questionable. Therefore, if our moral action is to make sense, there must be someone working behind the scenes. This could only be activity of a ‘moral author of the world’ which would make it at least possible for the summum bonum to be reached. Moral action, therefore, assumes the existence of a God. But that the postulation of God lies ‘within’ moral action in this way automatically discounts the ‘moral proof’ from any theoretical validity.

After an extended discussion of the ins and outs of the role of teleological judgments in science, from sect.78 to around sect.82, Kant’s discussion begins to shift to a quite different topic. In sect.82 he argues in this way: it might seem, he says, that certain features of nature have as an extrinsic purpose their relations to other features: the nectar for the honey, the river for the irrigation of land near its bank, etc. (Ultimately, again, these might be seen as part of the intention or design of the intelligent cause of creation.) This, Kant says, is a perfectly understandable way of speaking sometimes, and even helps us to cognize certain natural processes, but has no objective foundation in science. There is always another way of looking at things for which what we thought was a purpose is in fact only a means to something else entirely (e.g. the nectar is simply a way of attracting bees for the purposes of pollination).

It is sometimes even claimed (often on a religious basis) that human beings are the real, ‘ultimate’ purpose of nature, and all other things have, in the end, the benefit and use of humans as an extrinsic end. But ‘in the chain of purposes man is never more than a link’ (sect.83). Nature per se does not, then, contain or pursue any such purposes, not even for man. But Kant is not quite yet finished with these kinds of problems, and introduces in sect.84 the idea of a ‘final purpose’.
Kant defines a ‘final purpose’ as ‘a purpose that requires no other purpose as a condition of its possibility’ (sect.84). This is no longer an extrinsic purpose that nature might have. Still, it is clear that, again, there can be no intrinsic final purpose in nature -all natural products and events are conditioned, including the world around us, our own bodies and even our mental life. (And living beings, qua natural purposes, are conditioned by themselves.) So, what kind of thing would such a final purpose be? Kant writes, ‘… the final purpose of an intelligent cause must be of such a kind that in the order of purposes it depends upon no condition other than just the idea of it’ (sect.84).

As we have discovered on several previous occasions, for Kant human beings are not merely natural beings. The human capacity for freedom is both a cause which acts according to purposes (the moral law) represented as necessary, and yet which has to be thought as independent of the chain of natural causation/purposes. Kant then writes, carefully, ‘… if things in the world … require a supreme cause that acts in terms of purposes, then man [qua free] is the final purpose of creation’ (sect.84). (As Kant emphasizes on several occasions – e.g. in the last part of sect.91 – it is the fact of freedom that forms the incontrovertible first premise of the argument he is about to put forward.) Put more grandly, ‘without man [as a moral being] all of creation would be a mere wasteland, gratuitous and without a final purpose’ (sect.86). Thus, the question that really ‘matters’, Kant writes, ‘is whether we do have a basis, sufficient for reason (whether speculative or practical), for attributing a final purpose to the supreme cause [in its] acting in terms of purposes’ (sect.86). Certainly, the argument will not involve a ‘speculatively’ (i.e. theoretically) sufficient basis.

Kant’s ‘moral proof for the existence of God’ is given beginning in sect.87. Actually, this proof first appeared in the Critique of Practical Reason a few years previously (see entry on Kant’s Metaphysics), and is in fact assumed through the Critique of Pure Reason. But Kant’s most detailed discussion is in the third Critique.

The rational idea of purposiveness, although never constitutive, seems to be relevant everywhere so far: in Kant’s account of the possibility of science in his Introduction, in the account of beauty (and in a different way in the sublime), and in the treatment of teleological judgments. Because these are one and all reflective judgments, they entail neither a theoretical nor a practical conclusion as to what might be behind these purposes. Even where teleological judgments about purposes in nature leads us to consider the possibility of a world author, this approach leaves quite indeterminate (and thus useless for the purposes of religion or theology) our idea of that world author (thus Kant’s ultimate criticism of what he calls ‘physicotheology’ in sect.85). But, Kant asks, is there any reason requiring us to assume nature is purposive with respect to practical reason?

In Kant’s account of practical reason, the moral law is conceived of as duty. Acting from the mere pure and universal form of the moral law is everything, the consequences of action do not enter into the equation. However, as Kant makes clear in the Introduction to the Critique of Judgment, the practical faculties in general have to do with desire – i.e. purposes motivating action – and the free will is termed the ‘higher’ faculty of desire. Kant claims that the moral law necessarily obligates us to consider the final purpose of moral action. However, it is not to be considered as the ground of morality, as would normally be the case in desire, when the presentation of the result (my aim) causes the action (action leading to that aim). This final purpose linked to the higher, moral, faculty of desire Kant calls the ‘highest good’ (summum bonum). Conceived of as a state of natural beings, this means the greatest possible happiness for all moral beings.

Kant is using this inter-implication of moral law and final purpose of moral action as a premise of his argument. The obvious question that arises is why, given the stress Kant always makes on the absolutely unconditioned nature of moral freedom, he should feel able to make this claim. It would seem as if precisely the purity of the free will would make any connection to purposes immoral. Kant writes that, even speaking practically, we must consider ourselves

… as beings of the world and hence as beings connected with other things in the world; and those same moral laws enjoin us to direct our judging to those other things [regarded] either as purposes or as objects for which we ourselves are the final purpose (sect.87).

In other words, practical reason is a human faculty – where, as always for Kant, being human is defined in terms of a unity of a lower, sensible nature together with a higher, supersensible dimension. Our sensibly conditioned will is not a different thing from our free will, but is the same faculty considered now as phenomenal psychology, now as noumenal activity. This must be the case if our actions in the phenomenal world are to be considered moral in any sense of the word. But this sensibly conditioned will does require attention to be paid to consequences – to the object of our action. Free will may determine itself unconditionally through the mere form of the moral law, but it remains the faculty of will, that is the higher faculty of desire, and thus retains the essential link to purposes.

Just as moral action must be possible through freedom, so the summum bonum must be possible through moral action. The impossibility of achieving this end would make a nonsense of moral action, because it would in effect mean that free will was no longer will, that practical reason was no longer practical (because it could not be said to act). Kant is claiming that it is just part of the meaning of an action – even a purely and formally determined action, i.e. one not conditioned by its purpose – to also posit the possibility of achieving its purpose.

But the possibility of the summum bonum as the final purpose in nature is not at all obvious. Indeed, a cynic might claim that moral action makes no difference at all – that the good man is no more happy for it, and that ‘nice guys finish last’. Kant writes,

.. the concept of the practical necessity of [achieving] such a purpose by applying our forces does not harmonize with the theoretical concept of the physical possibility its being achieved, if the causality of nature is the only causality (of a means [for achieving it]) that we connect with our freedom. (sect.87)

The obvious inference then is that the ‘causality of nature’ cannot be the ‘only causality’ – and there must also be the moral causality of a moral author of the world which would make it at least possible for the summum bonum to be reached. Without the postulate of such a moral author – who, as we saw above, must have our free morality in mind as a final purpose, if anything – our free moral action could not be represented as possible. Moral action, precisely as both moral and as action, within itself assumes the existence of a God. Of course, in acting morally we may not be conscious either of the summum bonum as final purpose, nor of the necessary postulation of God as moral author of the world – we are just doing what is right. Nevertheless, when that duty is fully understood, these necessary implications will be found within it.

But that the postulation of God is ‘within’ moral action in this way automatically discounts the ‘moral proof’ from any theoretical validity. Theoretical philosophy must continue to operate within its legitimate grounds, treating so far as possible all of nature as intelligible in terms of mechanical cause and effect and requiring neither purpose nor creator. This distinction is extremely important for Kant, as despite the link to morality and the ‘fact’ of our freedom, the ‘moral proof’ does not make of religion anything but a matter of faith (e.g. sect.91). This involves noting that the conception of God involved in the moral proof is and must be bound up with how things are cognizable by us. (This of course continues the treatment of the intellectus ectypus begun in sect.77 and of the idealism of reflective judgment in sect.58.) Kant writes, As for objects that we have to think a priori (either as consequences or as grounds) in reference to our practical use of reason in conformity with duty, but that are transcendent for the theoretical use of reason: they are mere matters of faith. […] To have faith … is to have confidence that we shall reach an aim that we have a duty to further, without our having insight into whether achieving it is possible. (sect.91)

The summum bonum, God as moral author (and the immortality of the soul, treated in the Critique of Practical Reason) are all such objects of faith. For Kant, this stress on faith keeps religion pure of the misunderstandings involved in, for example, fanaticism, demonology or idolatry (sect.89). Kant spends the last fifth of the ‘Critique of Teleological Judgment’ dealing with how his proof is to be understood, the nature and limitations of its validity, and various metaphysical and religious implications, including those for his own conception of critical philosophy.

Kant’s argument and later variations are generally considered to be one of the great arguments for the existence of a God. Obviously, questions can be raised about its validity. For example, whether the possibility of the final purpose is somehow necessarily linked to any moral action. However, the typical objection – that the argument is insufficient to give any knowledge – is just irrelevant, since Kant is not interested in knowledge at this point.

4. The Problem of the Unity of Philosophy and its Supersensible Objects

Overview: Let us conclude by looking at Kant’s grand conception for his Critique of Judgment.

The problem of the unity of philosophy is the problem of how thought oriented towards knowledge (theoretical reason) can be a product of the same faculty as thought oriented towards moral duty (practical reason). The problem of the unity of the objects of philosophy is the problem of how the ground of that which we know (the supersensible ground of nature) is the same as the ground of moral action (the supersensible ground of that nature in which the summum bonum is possible – together with freedom within the subject). Kant only makes some rather vague suggestions about how proof of these unities is to be established – but it is clear that he believes the faculty of judgment is the key

We will briefly look at the second of these problems. The central move is the a priori principle of nature’s purposiveness for judgment. This amounts to the assumption that judgment will always be possible, even in cases like aesthetic judgment where no concept can be found. As we discussed in A5, this principle makes a claim (though only from the ‘point of view’ of judgment) about the supersensible ground of nature. This claim leads to two assertions. First, that the supersensible ground of beauty in nature is the same as the undetermined ground of nature as an object of science. Second, it is also capable of moral determination and thus also the same as the supersensible ground of moral nature. Together, these two prove the unity of the supersensible objects of philosophy.

Let us very briefly look at the grand problem Kant poses for himself in the Critique of Judgment. The problem comes down to the implications of the ‘abyss’ that Kant opened up between theoretical and practical philosophy; or, as we may as well put it, between the side of our being that knows or tries to know the world, and the side that wills (or fails to will) according to moral law. Although this issue dominates Kant’s two introductions to his book, the book itself contains only occasional references to it, and certainly no clear statement of a solution. But arguably there is sufficient material to suggest what Kant’s solution might have been.

The following quotation contains the kernel.” The understanding, inasmuch as it can give laws to nature a priori, proves that we cognize nature only as appearance, and hence at the same time points to a supersensible substrate of nature; but it leaves this substrate entirely undetermined” (Introduction IX, translation modified). Kant is referring to the first Critique and especially to his solution to the Antinomies therein. The solution there merely required that we recognize the distinction between appearances and things-in-themselves. But this solution required nothing further of the latter other than its mere negative definition: that it not be subject to the conditions of appearance.

Kant continues, ‘Judgment, through its a priori principle of judging nature [purposively; in other words judging nature] in terms of possible particular laws of nature, provides nature’s supersensible substrate (within as well as outside us) with determinability by the intellectual faculty [i.e. reason].’ He is referring here particularly to the principle of reflective judgment (and especially aesthetic judgments on the beautiful) that nature will exhibit a purposiveness with respect to our faculty of judgment, that ‘particular’ laws of nature will always be ‘possible’. This purposiveness can only be accounted for if judgment assumes a supersensible that determines this purposiveness. This supersensible is the ‘same’ supersensible substrate underlying nature as the object of theoretical reason. It is no longer merely indeterminate. But because the particular laws are as yet only ‘possible’ – and this is exacerbated in aesthetic judgment with the notion of purposiveness ‘without purpose’ – the substrate remains left open, it is ‘determinable’ but not ‘determined’. That is to say, judgment conceives of the supersensible as capable of receiving a determinate purpose, should there be good reasons for assuming there to be such a purpose.

Kant continues, ‘But reason, through its a priori practical law, gives this same substrate determination.’ The determination in question is the one Kant introduced in the moral proof for the existence of God: that is, from the point of view of our moral selves, the ‘same’ supersensible is the ground of phenomenal nature’s co-operation in our moral projects. It carries the summum bonum as its final purpose.

Kant accordingly concludes: ‘Thus judgment makes the transition from the domain of the concept of nature to that of the concept of freedom.’ Judgment has also made the transition such that the supersensible objects of reason have to been seen as ‘the same’. Moreover, Judgment has, on the side of the subjective mind, made it conceivable to reason that its theoretical and practical employments are not only compatible (that was proved already in the Antinomy concerning freedom) but also capable of co-ordination towards moral purposes. Because, on the one hand, aesthetic judgment were found to be not fundamentally different from ordinary theoretical cognition of nature (see A2 above), and on the other hand, aesthetic judgment has a deep similarity to moral judgment (A5). Thus, Kant has demonstrated that the physical and moral universes – and the philosophies and forms of thought that present them – are not only compatible, but unified.

5. References and Further Reading

a. Works by Kant

The standard edition of the collected works in German is Kant’s gesammelte Schriften, Edited by the Deutsche Akademie der Wissenshaften, Berlin: Walter de Gruyter. Equally widely available is the Werkausgabe in zwölf Bänden, edited by Wilhelm Weischedel, Frankfurt am Mein: Suhrkamp. There are alternative, perfectly acceptable, translations of most of the following. Cambridge University Press, at the time of writing, is about half-way through publishing the complete works in English.

  • Aesthetics and Teleology. Ed., Eric Matthews and Eva Schaper. (Cambridge: Cambridge University Press, forthcoming)
  • Critique of Judgment. Trans., Werner Pluhar. (Indianapolis: Hackett, 1987)
  • Critique of Judgment. Trans., James Creed Meredith. (Oxford: Clarendon, 1988)
  • Critique of Practical Reason. Trans., Ed., Lewis White Beck. (Oxford: Maxwell Macmillan International, 1993)
  • Critique of Pure Reason. Trans., Werner Pluhar. (Indianapolis: Hackett, 1996)

b. Other Primary and Secondary Works

For a treatment of various themes in Kant, please also see the introductions to the above editions.

  • Burnham, Douglas. An Introduction to Kant’s Critique of Judgment. (Edinburgh: Edinburgh University Press [in the US, Columbia University Press], 2000)
  • Caygill, Howard. The Art of Judgement.(Oxford: Blackwell, 1989)
  • Cohen, Ted and Guyer, Paul. Essays in Kant’s Aesthetics. (Chicago: Chicago University Press, 1982)
  • Crawford, Donald. Kant’s Aesthetic Theory. (Madison: Wisconsin University Press, 1974)
  • Crawford, Paul. The Kantian Sublime. (Oxford: Clarendon Press, 1991)
  • Gibbons, Sarah L. Kant’s Theory of Imagination.(Oxford: Oxford University Press, 1994)
  • Guyer, Paul, ed. The Cambridge Companion to Kant.(Cambridge: Cambridge University Press, 1992)
  • Guyer, Paul. Kant and the Claims of Taste. (Cambridge, Mass: Harvard University Press, 1979)
  • Guyer, Paul. Kant and the Experience of Freedom.(Cambridge: Cambridge University Press, 1996)
  • Henrich, Dieter. Aesthetic Judgment and the Moral Image of the World. (Stanford: Stanford University Press, 1992)
  • Kemal, Salim. Kant and Fine Art. (Oxford: Clarendon Press, 1986)
  • Kemal, Salim. Kant’s Aesthetic Theory. (London: St Martin’s Press, 1992)
  • Makkreel, Rudi. Imagination and Understanding in Kant. (Chicago: University of Chicago Press, 1994)
  • McCloskey, Mary. Kant’s Aesthetic. (London: Macmillan, 1987) Schaper, Eva. Studies in Kant’s Aesthetics.(Edinburgh: Edinburgh University Press, 1979)
  • Zammito, John H. The Genesis of Kant’s Critique of Judgement.(Chicago: University of Chicago Press, 1992)

Author Information

Douglas Burnham
Email: H.D.Burnham@staffs.ac.uk
Staffordshire University
United Kingdom

Immanuel Kant: Metaphysics

kant2Immanuel Kant (1724-1804) is one of the most influential philosophers in the history of Western philosophy. His contributions to metaphysics, epistemology, ethics, and aesthetics have had a profound impact on almost every philosophical movement that followed him. This article focuses on his metaphysics and epistemology in one of his most important works, The Critique of Pure Reason.  A large part of Kant’s work addresses the question “What can we know?” The answer, if it can be stated simply, is that our knowledge is constrained to mathematics and the science of the natural, empirical world. It is impossible, Kant argues, to extend knowledge to the supersensible realm of speculative metaphysics. The reason that knowledge has these constraints, Kant argues, is that the mind plays an active role in constituting the features of experience and limiting the mind’s access only to the empirical realm of space and time.

Kant responded to his predecessors by arguing against the Empiricists that the mind is not a blank slate that is written upon by the empirical world, and by rejecting the Rationalists’ notion that pure, a priori knowledge of a mind-independent world was possible.  Reason itself is structured with forms of experience and categories that give a phenomenal and logical structure to any possible object of empirical experience.  These categories cannot be circumvented to get at a mind-independent world, but they are necessary for experience of spatio-temporal objects with their causal behavior and logical properties.  These two theses constitute Kant’s famous transcendental idealism and empirical realism.

Kant’s contributions to ethics have been just as substantial, if not more so, than his work in metaphysics and epistemology.  He is the most important proponent in philosophical history of deontological, or duty based,  ethics. In Kant’s view, the sole feature that gives an action moral worth is not the outcome that is achieved by the action, but the motive that is behind the action.  And the only motive that can endow an act with moral value, he argues, is one that arises from universal principles discovered by reason.  The categorical imperative is Kant’s famous statement of this duty: “Act only according to that maxim by which you can at the same time will that it should become a universal law.”

Table of Contents

  1. Historical Background to Kant
    1. Empiricism
    2. Rationalism
  2. Kant’s Answers to his Predecessors
  3. Kant’s Copernican Revolution: Mind Making Nature
  4. Kant’s Transcendental Idealism
  5. Kant’s Analytic of Principles
  6. Kant’s Dialectic
  7. The Ideas of Reason
  8. Kant’s Ethics
    1. Reason and Freedom
    2. The Duality of the Human Situation
    3. The Good Will
    4. Duty
  9. Kant’s Criticisms of Utilitarianism
  10. References and Further Reading

1. Historical Background to Kant

In order to understand Kant’s position, we must understand the philosophical background that he was reacting to. First, this article presents a brief overview of his predecessor’s positions with a brief statement of Kant’s objections, then I will return to a more detailed exposition of Kant’s arguments. There are two major historical movements in the early modern period of philosophy that had a significant impact on Kant: Empiricism and Rationalism. Kant argues that both the method and the content of these philosophers’ arguments contain serious flaws. A central epistemological problem for philosophers in both movements was determining how we can escape from within the confines of the human mind and the immediately knowable content of our own thoughts to acquire knowledge of the world outside of us. The Empiricists sought to accomplish this through the senses and a posteriori reasoning. The Rationalists attempted to use a priori reasoning to build the necessary bridge. A posteriori reasoning depends upon experience or contingent events in the world to provide us with information. That “Bill Clinton was president of the United States in 1999,” for example, is something that I can know only through experience; I cannot determine this to be true through an analysis of the concepts of “president” or “Bill Clinton.” A priori reasoning, in contrast, does not depend upon experience to inform it. The concept “bachelor” logically entails the ideas of an unmarried, adult, human male without my needing to conduct a survey of bachelors and men who are unmarried. Kant believed that this twofold distinction in kinds of knowledge was inadequate to the task of understanding metaphysics for reasons we will discuss in a moment.

a. Empiricism

Empiricists, such as Locke, Berkeley, and Hume, argued that human knowledge originates in our sensations. Locke, for instance, was a representative realist about the external world and placed great confidence in the ability of the senses to inform us of the properties that empirical objects really have in themselves. Locke had also argued that the mind is a blank slate, or a tabula rasa, that becomes populated with ideas by its interactions with the world. Experience teaches us everything, including concepts of relationship, identity, causation, and so on. Kant argues that the blank slate model of the mind is insufficient to explain the beliefs about objects that we have; some components of our beliefs must be brought by the mind to experience.

Berkeley’s strict phenomenalism, in contrast to Locke, raised questions about the inference from the character of our sensations to conclusions about the real properties of mind-independent objects. Since the human mind is strictly limited to the senses for its input, Berkeley argued, it has no independent means by which to verify the accuracy of the match between sensations and the properties that objects possess in themselves. In fact, Berkeley rejected the very idea of mind-independent objects on the grounds that a mind is, by its nature, incapable of possessing an idea of such a thing. Hence, in Kant’s terms, Berkeley was a material idealist. To the material idealist, knowledge of material objects is ideal or unachievable, not real. For Berkeley, mind-independent material objects are impossible and unknowable. In our sense experience we only have access to our mental representations, not to objects themselves. Berkeley argues that our judgments about objects are really judgments about these mental representations alone, not the substance that gives rise to them. In the Refutation of Material Idealism, Kant argues that material idealism is actually incompatible with a position that Berkeley held, namely that we are capable of making judgments about our experience.

David Hume pursued Berkeley’s empirical line of inquiry even further, calling into question even more of our common sense beliefs about the source and support of our sense perceptions. Hume maintains that we cannot provide a priori or a posteriori justifications for a number of our beliefs like, “Objects and subjects persist identically over time,” or “Every event must have a cause.” In Hume’s hands, it becomes clear that empiricism cannot give us an epistemological justification for the claims about objects, subjects, and causes that we took to be most obvious and certain about the world.

Kant expresses deep dissatisfaction with the idealistic and seemingly skeptical results of the empirical lines of inquiry. In each case, Kant gives a number of arguments to show that Locke’s, Berkeley’s, and Hume’s empiricist positions are untenable because they necessarily presuppose the very claims they set out to disprove. In fact, any coherent account of how we perform even the most rudimentary mental acts of self-awareness and making judgments about objects must presuppose these claims, Kant argues. Hence, while Kant is sympathetic with many parts of empiricism, ultimately it cannot be a satisfactory account of our experience of the world.

b. Rationalism

The Rationalists, principally Descartes, Spinoza, and Leibniz, approached the problems of human knowledge from another angle. They hoped to escape the epistemological confines of the mind by constructing knowledge of the external world, the self, the soul, God, ethics, and science out of the simplest, indubitable ideas possessed innately by the mind. Leibniz in particular, thought that the world was knowable a priori, through an analysis of ideas and derivations done through logic. Supersensible knowledge, the Rationalists argued, can be achieved by means of reason. Descartes believed that certain truths, that “if I am thinking, I exist,” for example, are invulnerable to the most pernicious skepticism. Armed with the knowledge of his own existence, Descartes hoped to build a foundation for all knowledge.

Kant’s Refutation of Material Idealism works against Descartes’ project as well as Berkeley’s. Descartes believed that he could infer the existence of objects in space outside of him based on his awareness of his own existence coupled with an argument that God exists and is not deceiving him about the evidence of his senses. Kant argues in the Refutation chapter that knowledge of external objects cannot be inferential. Rather, the capacity to be aware of one’s own existence in Descartes’ famous cogito argument already presupposes that existence of objects in space and time outside of me.

Kant had also come to doubt the claims of the Rationalists because of what he called Antinomies, or contradictory, but validly proven pairs of claims that reason is compelled toward. From the basic principles that the Rationalists held, it is possible, Kant argues, to prove conflicting claims like, “The world has a beginning in time and is limited as regards space,” and “The world has no beginning, and no limits in space.” (A 426/B 454) Kant claims that antinomies like this one reveal fundamental methodological and metaphysical mistakes in the rationalist project. The contradictory claims could both be proven because they both shared the mistaken metaphysical assumption that we can have knowledge of things as they are in themselves, independent of the conditions of our experience of them.

The Antinomies can be resolved, Kant argues, if we understand the proper function and domain of the various faculties that contribute to produce knowledge. We must recognize that we cannot know things as they are in themselves and that our knowledge is subject to the conditions of our experience. The Rationalist project was doomed to failure because it did not take note of the contribution that our faculty of reason makes to our experience of objects. Their a priori analysis of our ideas could inform us about the content of our ideas, but it could not give a coherent demonstration of metaphysical truths about the external world, the self, the soul, God, and so on.

2. Kant’s Answers to his Predecessors

Kant’s answer to the problems generated by the two traditions mentioned above changed the face of philosophy. First, Kant argued that that old division between a priori truths and a posteriori truths employed by both camps was insufficient to describe the sort of metaphysical claims that were under dispute. An analysis of knowledge also requires a distinction between synthetic and analytic truths. In an analytic claim, the predicate is contained within the subject. In the claim, “Every body occupies space,” the property of occupying space is revealed in an analysis of what it means to be a body. The subject of a synthetic claim, however, does not contain the predicate. In, “This tree is 120 feet tall,” the concepts are synthesized or brought together to form a new claim that is not contained in any of the individual concepts. The Empiricists had not been able to prove synthetic a priori claims like “Every event must have a cause,” because they had conflated “synthetic” and “a posteriori” as well as “analytic” and “a priori.” Then they had assumed that the two resulting categories were exhaustive. A synthetic a priori claim, Kant argues, is one that must be true without appealing to experience, yet the predicate is not logically contained within the subject, so it is no surprise that the Empiricists failed to produce the sought after justification. The Rationalists had similarly conflated the four terms and mistakenly proceeded as if claims like, “The self is a simple substance,” could be proven analytically and a priori.

Synthetic a priori claims, Kant argues, demand an entirely different kind of proof than those required for analytic a priori claims or synthetic a posteriori claims. Indications for how to proceed, Kant says, can be found in the examples of synthetic a priori claims in natural science and mathematics, specifically geometry. Claims like Newton’s, “the quantity of matter is always preserved,” and the geometer’s claim, “the angles of a triangle always add up to 180 degrees” are known a priori, but they cannot be known merely from an analysis of the concepts of matter or triangle. We must “go outside and beyond the concept. . . joining to it a priori in thought something which I have not thought in it.” (B 18) A synthetic a priori claim constructs upon and adds to what is contained analytically in a concept without appealing to experience. So if we are to solve the problems generated by Empiricism and Rationalism, the central question of metaphysics in the Critique of Pure Reason reduces to “How are synthetic a priori judgments possible?” (19) (All references to The Critique of Pure Reason will be to the A (1781) and B(1787) edition pages in Werner Pluhar’s translation. Indianapolis: Hackett, 1996.) If we can answer that question, then we can determine the possibility, legitimacy, and range of all metaphysical claims.

3. Kant’s Copernican Revolution: Mind Making Nature

Kant’s answer to the question is complicated, but his conclusion is that a number of synthetic a priori claims, like those from geometry and the natural sciences, are true because of the structure of the mind that knows them. “Every event must have a cause” cannot be proven by experience, but experience is impossible without it because it describes the way the mind must necessarily order its representations. We can understand Kant’s argument again by considering his predecessors. According to the Rationalist and Empiricist traditions, the mind is passive either because it finds itself possessing innate, well-formed ideas ready for analysis, or because it receives ideas of objects into a kind of empty theater, or blank slate. Kant’s crucial insight here is to argue that experience of a world as we have it is only possible if the mind provides a systematic structuring of its representations. This structuring is below the level of, or logically prior to, the mental representations that the Empiricists and Rationalists analyzed. Their epistemological and metaphysical theories could not adequately explain the sort of judgments or experience we have because they only considered the results of the mind’s interaction with the world, not the nature of the mind’s contribution. Kant’s methodological innovation was to employ what he calls a transcendental argument to prove synthetic a priori claims. Typically, a transcendental argument attempts to prove a conclusion about the necessary structure of knowledge on the basis of an incontrovertible mental act. Kant argues in the Refutation of Material Idealism that the fact that “There are objects that exist in space and time outside of me,” (B 274) which cannot be proven by a priori or a posteriori methods, is a necessary condition of the possibility of being aware of one’s own existence. It would not be possible to be aware of myself as existing, he says, without presupposing the existing of something permanent outside of me to distinguish myself from. I am aware of myself as existing. Therefore, there is something permanent outside of me.

This argument is one of many transcendental arguments that Kant gives that focuses on the contribution that the mind itself makes to its experience. These arguments lead Kant to reject the Empiricists’ assertion that experience is the source of all our ideas. It must be the mind’s structuring, Kant argues, that makes experience possible. If there are features of experience that the mind brings to objects rather than given to the mind by objects, that would explain why they are indispensable to experience but unsubstantiated in it. And that would explain why we can give a transcendental argument for the necessity of these features. Kant thought that Berkeley and Hume identified at least part of the mind’s a priori contribution to experience with the list of claims that they said were unsubstantiated on empirical grounds: “Every event must have a cause,” “There are mind-independent objects that persist over time,” and “Identical subjects persist over time.” The empiricist project must be incomplete since these claims are necessarily presupposed in our judgments, a point Berkeley and Hume failed to see. So, Kant argues that a philosophical investigation into the nature of the external world must be as much an inquiry into the features and activity of the mind that knows it.

The idea that the mind plays an active role in structuring reality is so familiar to us now that it is difficult for us to see what a pivotal insight this was for Kant. He was well aware of the idea’s power to overturn the philosophical worldviews of his contemporaries and predecessors, however. He even somewhat immodestly likens his situation to that of Copernicus in revolutionizing our worldview. In the Lockean view, mental content is given to the mind by the objects in the world. Their properties migrate into the mind, revealing the true nature of objects. Kant says, “Thus far it has been assumed that all our cognition must conform to objects” (B xvi). But that approach cannot explain why some claims like, “every event must have a cause,” are a priori true. Similarly, Copernicus recognized that the movement of the stars cannot be explained by making them revolve around the observer; it is the observer that must be revolving. Analogously, Kant argued that we must reformulate the way we think about our relationship to objects. It is the mind itself which gives objects at least some of their characteristics because they must conform to its structure and conceptual capacities. Thus, the mind’s active role in helping to create a world that is experiencable must put it at the center of our philosophical investigations. The appropriate starting place for any philosophical inquiry into knowledge, Kant decides, is with the mind that can have that knowledge.

Kant’s critical turn toward the mind of the knower is ambitious and challenging. Kant has rejected the dogmatic metaphysics of the Rationalists that promises supersensible knowledge. And he has argued that Empiricism faces serious limitations. His transcendental method will allow him to analyze the metaphysical requirements of the empirical method without venturing into speculative and ungrounded metaphysics. In this context, determining the “transcendental” components of knowledge means determining, “all knowledge which is occupied not so much with objects as with the mode of our knowledge of objects in so far as this mode of knowledge is to be possible a priori.” (A 12/B 25)

The project of the Critique of Pure Reason is also challenging because in the analysis of the mind’s transcendental contributions to experience we must employ the mind, the only tool we have, to investigate the mind. We must use the faculties of knowledge to determine the limits of knowledge, so Kant’s Critique of Pure Reason is both a critique that takes pure reason as its subject matter, and a critique that is conducted by pure reason.

Kant’s argument that the mind makes an a priori contribution to experiences should not be mistaken for an argument like the Rationalists’ that the mind possesses innate ideas like, “God is a perfect being.” Kant rejects the claim that there are complete propositions like this one etched on the fabric of the mind. He argues that the mind provides a formal structuring that allows for the conjoining of concepts into judgments, but that structuring itself has no content. The mind is devoid of content until interaction with the world actuates these formal constraints. The mind possesses a priori templates for judgments, not a priori judgments.

4. Kant’s Transcendental Idealism

With Kant’s claim that the mind of the knower makes an active contribution to experience of objects before us, we are in a better position to understand transcendental idealism.  Kant’s arguments are designed to show the limitations of our knowledge. The Rationalists believed that we could possess metaphysical knowledge about God, souls, substance, and so forth; they believed such knowledge was transcendentally real. Kant argues, however, that we cannot have knowledge of the realm beyond the empirical. That is, transcendental knowledge is ideal, not real, for minds like ours. Kant identifies two a priori sources of these constraints. The mind has a receptive capacity, or the sensibility, and the mind possesses a conceptual capacity, or the understanding.

In the Transcendental Aesthetic section of the Critique, Kant argues that sensibility is the understanding’s means of accessing objects. The reason synthetic a priori judgments are possible in geometry, Kant argues, is that space is an a priori form of sensibility. That is, we can know the claims of geometry with a priori certainty (which we do) only if experiencing objects in space is the necessary mode of our experience. Kant also argues that we cannot experience objects without being able to represent them spatially. It is impossible to grasp an object as an object unless we delineate the region of space it occupies. Without a spatial representation, our sensations are undifferentiated and we cannot ascribe properties to particular objects. Time, Kant argues, is also necessary as a form or condition of our intuitions of objects. The idea of time itself cannot be gathered from experience because succession and simultaneity of objects, the phenomena that would indicate the passage of time, would be impossible to represent if we did not already possess the capacity to represent objects in time.

Another way to understand Kant’s point here is that it is impossible for us to have any experience of objects that are not in time and space. Furthermore, space and time themselves cannot be perceived directly, so they must be the form by which experience of objects is had. A consciousness that apprehends objects directly, as they are in themselves and not by means of space and time, is possible—God, Kant says, has a purely intuitive consciousness—but our apprehension of objects is always mediated by the conditions of sensibility. Any discursive or concept using consciousness (A 230/B 283) like ours must apprehend objects as occupying a region of space and persisting for some duration of time.

Subjecting sensations to the a priori conditions of space and time is not sufficient to make judging objects possible. Kant argues that the understanding must provide the concepts, which are rules for identifying what is common or universal in different representations.(A 106) He says, “without sensibility no object would be given to us; and without understanding no object would be thought. Thoughts without content are empty; intuitions without concepts are blind.” (B 75) Locke’s mistake was believing that our sensible apprehensions of objects are thinkable and reveal the properties of the objects themselves. In the Analytic of Concepts section of the Critique, Kant argues that in order to think about the input from sensibility, sensations must conform to the conceptual structure that the mind has available to it. By applying concepts, the understanding takes the particulars that are given in sensation and identifies what is common and general about them. A concept of “shelter” for instance, allows me to identify what is common in particular representations of a house, a tent, and a cave.

The empiricist might object at this point by insisting that such concepts do arise from experience, raising questions about Kant’s claim that the mind brings an a priori conceptual structure to the world. Indeed, concepts like “shelter” do arise partly from experience. But Kant raises a more fundamental issue. An empirical derivation is not sufficient to explain all of our concepts. As we have seen, Hume argued, and Kant accepts, that we cannot empirically derive our concepts of causation, substance, self, identity, and so forth. What Hume had failed to see, Kant argues, is that even the possibility of making judgments about objects, to which Hume would assent, presupposes the possession of these fundamental concepts. Hume had argued for a sort of associationism to explain how we arrive at causal beliefs. My idea of a moving cue ball, becomes associated with my idea of the eight ball that is struck and falls into the pocket. Under the right circumstances, repeated impressions of the second following the first produces a belief in me that the first causes the second.

The problem that Kant points out is that a Humean association of ideas already presupposes that we can conceive of identical, persistent objects that have regular, predictable, causal behavior. And being able to conceive of objects in this rich sense presupposes that the mind makes several a priori contributions. I must be able to separate the objects from each other in my sensations, and from my sensations of myself. I must be able to attribute properties to the objects. I must be able to conceive of an external world with its own course of events that is separate from the stream of perceptions in my consciousness. These components of experience cannot be found in experience because they constitute it. The mind’s a priori conceptual contribution to experience can be enumerated by a special set of concepts that make all other empirical concepts and judgments possible. These concepts cannot be experienced directly; they are only manifest as the form which particular judgments of objects take. Kant believes that formal logic has already revealed what the fundamental categories of thought are. The special set of concepts is Kant’s Table of Categories, which are taken mostly from Aristotle with a few revisions:

Of Quantity
Unity
Plurality
Totality
Of Quality Of Relation
Reality Inherence and Subsistence
Negation Causality and Dependence
Limitation Community
Of Modality
Possibility-Impossibility
Existence-Nonexistence
Necessity-Contingency

While Kant does not give a formal derivation of it, he believes that this is the complete and necessary list of the a priori contributions that the understanding brings to its judgments of the world. Every judgment that the understanding can make must fall under the table of categories. And subsuming spatiotemporal sensations under the formal structure of the categories makes judgments, and ultimately knowledge, of empirical objects possible.

Since objects can only be experienced spatiotemporally, the only application of concepts that yields knowledge is to the empirical, spatiotemporal world. Beyond that realm, there can be no sensations of objects for the understanding to judge, rightly or wrongly. Since intuitions of the physical world are lacking when we speculate about what lies beyond, metaphysical knowledge, or knowledge of the world outside the physical, is impossible. Claiming to have knowledge from the application of concepts beyond the bounds of sensation results in the empty and illusory transcendent metaphysics of Rationalism that Kant reacts against.

It should be pointed out, however, that Kant is not endorsing an idealism about objects like Berkeley’s. That is, Kant does not believe that material objects are unknowable or impossible. While Kant is a transcendental idealist–he believes the nature of objects as they are in themselves is unknowable to us–knowledge of appearances is nevertheless possible. As noted above, in The Refutation of Material Idealism, Kant argues that the ordinary self-consciousness that Berkeley and Descartes would grant implies “the existence of objects in space outside me.” (B 275) Consciousness of myself would not be possible if I were not able to make determinant judgments about objects that exist outside of me and have states that are independent of my inner experience. Another way to put the point is to say that the fact that the mind of the knower makes the a priori contribution does not mean that space and time or the categories are mere figments of the imagination. Kant is an empirical realist about the world we experience; we can know objects as they appear to us. He gives a robust defense of science and the study of the natural world from his argument about the mind’s role in making nature. All discursive, rational beings must conceive of the physical world as spatially and temporally unified, he argues. And the table of categories is derived from the most basic, universal forms of logical inference, Kant believes. Therefore, it must be shared by all rational beings. So those beings also share judgments of an intersubjective, unified, public realm of empirical objects. Hence, objective knowledge of the scientific or natural world is possible. Indeed, Kant believes that the examples of Newton and Galileo show it is actual. So Berkeley’s claims that we do not know objects outside of us and that such knowledge is impossible are both mistaken.

In conjunction with his analysis of the possibility of knowing empirical objects, Kant gives an analysis of the knowing subject that has sometimes been called his transcendental psychology. Much of Kant’s argument can be seen as subjective, not because of variations from mind to mind, but because the source of necessity and universality is in the mind of the knowing subject, not in objects themselves. Kant draws several conclusions about what is necessarily true of any consciousness that employs the faculties of sensibility and understanding to produce empirical judgments. As we have seen, a mind that employs concepts must have a receptive faculty that provides the content of judgments. Space and time are the necessary forms of apprehension for the receptive faculty. The mind that has experience must also have a faculty of combination or synthesis, the imagination for Kant, that apprehends the data of sense, reproduces it for the understanding, and recognizes their features according to the conceptual framework provided by the categories. The mind must also have a faculty of understanding that provides empirical concepts and the categories for judgment. The various faculties that make judgment possible must be unified into one mind. And it must be identical over time if it is going to apply its concepts to objects over time. Kant here addresses Hume’s famous assertion that introspection reveals nothing more than a bundle of sensations that we group together and call the self. Judgments would not be possible, Kant maintains, if the mind that senses is not the same as the mind that possesses the forms of sensibility. And that mind must be the same as the mind that employs the table of categories, that contributes empirical concepts to judgment, and that synthesizes the whole into knowledge of a unified, empirical world. So the fact that we can empirically judge proves, contra Hume, that the mind cannot be a mere bundle of disparate introspected sensations. In his works on ethics Kant will also argue that this mind is the source of spontaneous, free, and moral action. Kant believes that all the threads of his transcendental philosophy come together in this “highest point” which he calls the transcendental unity of apperception.

5. Kant’s Analytic of Principles

We have seen the progressive stages of Kant’s analysis of the faculties of the mind which reveals the transcendental structuring of experience performed by these faculties. First, in his analysis of sensibility, he argues for the necessarily spatiotemporal character of sensation. Then Kant analyzes the understanding, the faculty that applies concepts to sensory experience. He concludes that the categories provide a necessary, foundational template for our concepts to map onto our experience. In addition to providing these transcendental concepts, the understanding also is the source of ordinary empirical concepts that make judgments about objects possible. The understanding provides concepts as the rules for identifying the properties in our representations.

Kant’s next concern is with the faculty of judgment, “If understanding as such is explicated as our power of rules, then the power of judgment is the ability to subsume under rules, i.e., to distinguish whether something does or does not fall under a given rule.” (A 132/B 172). The next stage in Kant’s project will be to analyze the formal or transcendental features of experience that enable judgment, if there are any such features besides what the previous stages have identified. The cognitive power of judgment does have a transcendental structure. Kant argues that there are a number of principles that must necessarily be true of experience in order for judgment to be possible. Kant’s analysis of judgment and the arguments for these principles are contained in his Analytic of Principles.

Within the Analytic, Kant first addresses the challenge of subsuming particular sensations under general categories in the Schematism section. Transcendental schemata, Kant argues, allow us to identify the homogeneous features picked out by concepts from the heterogeneous content of our sensations. Judgment is only possible if the mind can recognize the components in the diverse and disorganized data of sense that make those sensations an instance of a concept or concepts. A schema makes it possible, for instance, to subsume the concrete and particular sensations of an Airedale, a Chihuahua, and a Labrador all under the more abstract concept “dog.”

The full extent of Kant’s Copernican revolution becomes even more clear in the rest of the Analytic of Principles. That is, the role of the mind in making nature is not limited to space, time, and the categories. In the Analytic of Principles, Kant argues that even the necessary conformity of objects to natural law arises from the mind. Thus far, Kant’s transcendental method has permitted him to reveal the a priori components of sensations, the a priori concepts. In the sections titled the Axioms, Anticipations, Analogies, and Postulates, he argues that there are a priori judgments that must necessarily govern all appearances of objects. These judgments are a function of the table of categories’ role in determining all possible judgments, so the four sections map onto the four headings of that table. I include all of the a priori judgments, or principles, here to illustrate the earlier claims about Kant’s empirical realism, and to show the intimate relationship Kant saw between his project and that of the natural sciences:

Axioms of Intuition
All intuitions are extensive magnitudes.
Anticipations of Perception Analogies of Experience
In all appearances the real that is an object of sensation has intensive magnitude, i.e., a degree. In all variations by appearances substance is permanent, and its quantum in nature is neither increased nor decreased.
All changes occur according to the law of the connection of cause and effect.
All substances, insofar as they can be perceived in space as simultaneous, are in thoroughgoing interaction.
Postulates of Empirical Thought
What agrees (in terms of intuition and concepts) with the formal conditions of experience is possible.
What coheres with the material conditions of experience (with sensation) is actual.
That whose coherence with the actual is determined according to universal conditions of experience is necessary (exists necessarily)

6. Kant’s Dialectic

The discussion of Kant’s metaphysics and epistemology so far (including the Analytic of Principles) has been confined primarily to the section of the Critique of Pure Reason that Kant calls the Transcendental Analytic. The purpose of the Analytic, we are told, is “the rarely attempted dissection of the power of the understanding itself.” (A 65/B 90). Kant’s project has been to develop the full argument for his theory about the mind’s contribution to knowledge of the world. Once that theory is in place, we are in a position to see the errors that are caused by transgressions of the boundaries to knowledge established by Kant’s transcendental idealism and empirical realism. Kant calls judgments that pretend to have knowledge beyond these boundaries and that even require us to tear down the limits that he has placed on knowledge, transcendent judgments. The Transcendental Dialectic section of the book is devoted to uncovering the illusion of knowledge created by transcendent judgments and explaining why the temptation to believe them persists. Kant argues that the proper functioning of the faculties of sensibility and the understanding combine to draw reason, or the cognitive power of inference, inexorably into mistakes. The faculty of reason naturally seeks the highest ground of unconditional unity. It seeks to unify and subsume all particular experiences under higher and higher principles of knowledge. But sensibility cannot by its nature provide the intuitions that would make knowledge of the highest principles and of things as they are in themselves possible. Nevertheless, reason, in its function as the faculty of inference, inevitably draws conclusions about what lies beyond the boundaries of sensibility. The unfolding of this conflict between the faculties reveals more about the mind’s relationship to the world it seeks to know and the possibility of a science of metaphysics.

Kant believes that Aristotle’s logic of the syllogism captures the logic employed by reason. The resulting mistakes from the inevitable conflict between sensibility and reason reflect the logic of Aristotle’s syllogism. Corresponding to the three basic kinds of syllogism are three dialectic mistakes or illusions of transcendent knowledge that cannot be real. Kant’s discussion of these three classes of mistakes are contained in the Paralogisms, the Antinomies, and the Ideals of Reason. The Dialectic explains the illusions of reason in these sections. But since the illusions arise from the structure of our faculties, they will not cease to have their influence on our minds any more than we can prevent the moon from seeming larger when it is on the horizon than when it is overhead. (A 297/B 354).

In the Paralogisms, Kant argues that a failure to recognize the difference between appearances and things in themselves, particularly in the case of the introspected self, leads us into transcendent error. Kant argues against several conclusions encouraged by Descartes and the rational psychologists, who believed they could build human knowledge from the “I think” of the cogito argument. From the “I think” of self-awareness we can infer, they maintain, that the self or soul is 1) simple, 2) immaterial, 3) an identical substance and 4) that we perceive it directly, in contrast to external objects whose existence is merely possible. That is, the rational psychologists claimed to have knowledge of the self as transcendentally real. Kant believes that it is impossible to demonstrate any of these four claims, and that the mistaken claims to knowledge stem from a failure to see the real nature of our apprehension of the “I.” Reason cannot fail to apply the categories to its judgments of the self, and that application gives rise to these four conclusions about the self that correspond roughly to the four headings in the table of categories. But to take the self as an object of knowledge here is to pretend to have knowledge of the self as it is in itself, not as it appears to us. Our representation of the “I” itself is empty. It is subject to the condition of inner sense, time, but not the condition of outer sense, space, so it cannot be a proper object of knowledge. It can be thought through concepts, but without the commensurate spatial and temporal intuitions, it cannot be known. Each of the four paralogisms explains the categorical structure of reason that led the rational psychologists to mistake the self as it appears to us for the self as it is in itself.

We have already mentioned the Antinomies, in which Kant analyzes the methodological problems of the Rationalist project. Kant sees the Antinomies as the unresolved dialogue between skepticism and dogmatism about knowledge of the world. There are four antinomies, again corresponding to the four headings of the table of categories, that are generated by reason’s attempts to achieve complete knowledge of the realm beyond the empirical. Each antinomy has a thesis and an antithesis, both of which can be validly proven, and since each makes a claim that is beyond the grasp of spatiotemporal sensation, neither can be confirmed or denied by experience. The First Antinomy argues both that the world has a beginning in time and space, and no beginning in time and space. The Second Antinomy’s arguments are that every composite substance is made of simple parts and that nothing is composed of simple parts. The Third Antinomy’s thesis is that agents like ourselves have freedom and its antithesis is that they do not. The Fourth Antinomy contains arguments both for and against the existence of a necessary being in the world. The seemingly irreconcilable claims of the Antinomies can only be resolved by seeing them as the product of the conflict of the faculties and by recognizing the proper sphere of our knowledge in each case. In each of them, the idea of “absolute totality, which holds only as a condition of things in themselves, has been applied to appearances” (A 506/B534).

The result of Kant’ analysis of the Antinomies is that we can reject both claims of the first two and accept both claims of the last two, if we understand their proper domains. In the first Antinomy, the world as it appears to us is neither finite since we can always inquire about its beginning or end, nor is it infinite because finite beings like ourselves cannot cognize an infinite whole. As an empirical object, Kant argues, it is indefinitely constructable for our minds. As it is in itself, independent of the conditions of our thought, it should not be identified as finite or infinite since both are categorical conditions of our thought. Kant’s resolution of the third Antinomy (A 445/B 473) clarifies his position on freedom. He considers the two competing hypotheses of speculative metaphysics that there are different types of causality in the world: 1) there are natural causes which are themselves governed by the laws of nature as well as uncaused causes like ourselves that can act freely, or 2) the causal laws of nature entirely govern the world including our actions. The conflict between these contrary claims can be resolved, Kant argues, by taking his critical turn and recognizing that it is impossible for any cause to be thought of as uncaused itself in the realm of space and time. But reason, in trying to understand the ground of all things, strives to unify its knowledge beyond the empirical realm. The empirical world, considered by itself, cannot provide us with ultimate reasons. So if we do not assume a first or free cause we cannot completely explain causal series in the world. So for the Third Antinomy, as for all of the Antinomies, the domain of the Thesis is the intellectual, rational, noumenal world. The domain of the Antithesis is the spatiotemporal world.

7. The Ideas of Reason

The faculty of reason has two employments. For the most part, we have engaged in an analysis of theoretical reason which has determined the limits and requirements of the employment of the faculty of reason to obtain knowledge. Theoretical reason, Kant says, makes it possible to cognize what is. But reason has its practical employment in determining what ought to be as well. (A 633/B 661) This distinction roughly corresponds to the two philosophical enterprises of metaphysics and ethics. Reason’s practical use is manifest in the regulative function of certain concepts that we must think with regard to the world, even though we can have no knowledge of them.

Kant believes that, “Human reason is by its nature architectonic.” (A 474/B 502). That is, reason thinks of all cognitions as belonging to a unified and organized system. Reason is our faculty of making inferences and of identifying the grounds behind every truth. It allows us to move from the particular and contingent to the global and universal. I infer that “Caius is mortal” from the fact that “Caius is a man” and the universal claim, “All men are mortal.” In this fashion, reason seeks higher and higher levels of generality in order to explain the way things are. In a different kind of example, the biologist’s classification of every living thing into a kingdom, phylum, class, order, family, genus, and species, illustrates reason’s ambition to subsume the world into an ordered, unified system. The entire empirical world, Kant argues, must be conceived of by reason as causally necessitated (as we saw in the Analogies). We must connect, “one state with a previous state upon which the state follows according to a rule.” Each cause, and each cause’s cause, and each additional ascending cause must itself have a cause. Reason generates this hierarchy that combines to provide the mind with a conception of a whole system of nature. Kant believes that it is part of the function of reason to strive for a complete, determinate understanding of the natural world. But our analysis of theoretical reason has made it clear that we can never have knowledge of the totality of things because we cannot have the requisite sensations of the totality, hence one of the necessary conditions of knowledge is not met. Nevertheless, reason seeks a state of rest from the regression of conditioned, empirical judgments in some unconditioned ground that can complete the series (A 584/B 612). Reason’s structure pushes us to accept certain ideas of reason that allow completion of its striving for unity. We must assume the ideas of God, freedom, and immortality, Kant says, not as objects of knowledge, but as practical necessities for the employment of reason in the realm where we can have knowledge. By denying the possibility of knowledge of these ideas, yet arguing for their role in the system of reason, Kant had to, “annul knowledge in order to make room for faith.” (B xxx).

8. Kant’s Ethics

It is rare for a philosopher in any era to make a significant impact on any single topic in philosophy. For a philosopher to impact as many different areas as Kant did is extraordinary. His ethical theory has been as influential as, if not more influential than, his work in epistemology and metaphysics. Most of Kant’s work on ethics is presented in two works. The Foundations of the Metaphysics of Morals (1785) is Kant’s “search for and establishment of the supreme principle of morality.” In The Critique of Practical Reason (1787) Kant attempts to unify his account of practical reason with his work in the Critique of Pure Reason. Kant is the primary proponent in history of what is called deontological ethics. Deontology is the study of duty. On Kant’s view, the sole feature that gives an action moral worth is not the outcome that is achieved by the action, but the motive that is behind the action. The categorical imperative is Kant’s famous statement of this duty: “Act only according to that maxim by which you can at the same time will that it should become a universal law.”

a. Reason and Freedom

For Kant, as we have seen, the drive for total, systematic knowledge in reason can only be fulfilled with assumptions that empirical observation cannot support. The metaphysical facts about the ultimate nature of things in themselves must remain a mystery to us because of the spatiotemporal constraints on sensibility. When we think about the nature of things in themselves or the ultimate ground of the empirical world, Kant has argued that we are still constrained to think through the categories, we cannot think otherwise, but we can have no knowledge because sensation provides our concepts with no content. So, reason is put at odds with itself because it is constrained by the limits of its transcendental structure, but it seeks to have complete knowledge that would take it beyond those limits.

Freedom plays a central role in Kant’s ethics because the possibility of moral judgments presupposes it. Freedom is an idea of reason that serves an indispensable practical function. Without the assumption of freedom, reason cannot act. If we think of ourselves as completely causally determined, and not as uncaused causes ourselves, then any attempt to conceive of a rule that prescribes the means by which some end can be achieved is pointless. I cannot both think of myself as entirely subject to causal law and as being able to act according to the conception of a principle that gives guidance to my will. We cannot help but think of our actions as the result of an uncaused cause if we are to act at all and employ reason to accomplish ends and understand the world.

So reason has an unavoidable interest in thinking of itself as free. That is, theoretical reason cannot demonstrate freedom, but practical reason must assume it for the purpose of action. Having the ability to make judgments and apply reason puts us outside that system of causally necessitated events. “Reason creates for itself the idea of a spontaneity that can, on its own, start to act–without, i.e., needing to be preceded by another cause by means of which it is determined to action in turn, according to the law of causal connection,” Kant says. (A 533/B 561) In its intellectual domain, reason must think of itself as free.

It is dissatisfying that he cannot demonstrate freedom; nevertheless, it comes as no surprise that we must think of ourselves as free. In a sense, Kant is agreeing with the common sense view that how I choose to act makes a difference in how I actually act. Even if it were possible to give a predictive empirical account of why I act as I do, say on the grounds of a functionalist psychological theory, those considerations would mean nothing to me in my deliberations. When I make a decision about what to do, about which car to buy, for instance, the mechanism at work in my nervous system makes no difference to me. I still have to peruse Consumer Reports, consider my options, reflect on my needs, and decide on the basis of the application of general principles. My first person perspective is unavoidable, hence the deliberative, intellectual process of choice is unavoidable.

b. The Duality of the Human Situation

The question of moral action is not an issue for two classes of beings, according to Kant. The animal consciousness, the purely sensuous being, is entirely subject to causal determination. It is part of the causal chains of the empirical world, but not an originator of causes the way humans are. Hence, rightness or wrongness, as concepts that apply to situations one has control over, do not apply. We do not morally fault the lion for killing the gazelle, or even for killing its own young. The actions of a purely rational being, by contrast, are in perfect accord with moral principles, Kant says. There is nothing in such a being’s nature to make it falter. Its will always conforms with the dictates of reason. Humans are between the two worlds. We are both sensible and intellectual, as was pointed out in the discussion of the first Critique. We are neither wholly determined to act by natural impulse, nor are we free of non-rational impulse. Hence we need rules of conduct. We need, and reason is compelled to provide, a principle that declares how we ought to act when it is in our power to choose

Since we find ourselves in the situation of possessing reason, being able to act according to our own conception of rules, there is a special burden on us. Other creatures are acted upon by the world. But having the ability to choose the principle to guide our actions makes us actors. We must exercise our will and our reason to act. Will is the capacity to act according to the principles provided by reason. Reason assumes freedom and conceives of principles of action in order to function.

Two problems face us however. First, we are not wholly rational beings, so we are liable to succumb to our non-rational impulses. Second, even when we exercise our reason fully, we often cannot know which action is the best. The fact that we can choose between alternate courses of actions (we are not determined to act by instinct or reason) introduces the possibility that there can be better or worse ways of achieving our ends and better or worse ends, depending upon the criteria we adopt. The presence of two different kinds of object in the world adds another dimension, a moral dimension, to our deliberations. Roughly speaking, we can divide the world into beings with reason and will like ourselves and things that lack those faculties. We can think of these classes of things as ends-in-themselves and mere means-to-ends, respectively. Ends-in-themselves are autonomous beings with their own agendas; failing to recognize their capacity to determine their own actions would be to thwart their freedom and undermine reason itself. When we reflect on alternative courses of action, means-to-ends, things like buildings, rocks, and trees, deserve no special status in our deliberations about what goals we should have and what means we use to achieve them. The class of ends-in-themselves, reasoning agents like ourselves, however, do have a special status in our considerations about what goals we should have and the means we employ to accomplish them. Moral actions, for Kant, are actions where reason leads, rather than follows, and actions where we must take other beings that act according to their own conception of the law into account.

c. The Good Will

The will, Kant says, is the faculty of acting according to a conception of law. When we act, whether or not we achieve what we intend with our actions is often beyond our control, so the morality of our actions does not depend upon their outcome. What we can control, however, is the will behind the action. That is, we can will to act according to one law rather than another. The morality of an action, therefore, must be assessed in terms of the motivation behind it. If two people, Smith and Jones, perform the same act, from the same conception of the law, but events beyond Smith’s control prevent her from achieving her goal, Smith is not less praiseworthy for not succeeding. We must consider them on equal moral ground in terms of the will behind their actions.

The only thing that is good without qualification is the good will, Kant says. All other candidates for an intrinsic good have problems, Kant argues. Courage, health, and wealth can all be used for ill purposes, Kant argues, and therefore cannot be intrinsically good. Happiness is not intrinsically good because even being worthy of happiness, Kant says, requires that one possess a good will. The good will is the only unconditional good despite all encroachments. Misfortune may render someone incapable of achieving her goals, for instance, but the goodness of her will remains.

Goodness cannot arise from acting on impulse or natural inclination, even if impulse coincides with duty. It can only arise from conceiving of one’s actions in a certain way. A shopkeeper, Kant says, might do what is in accord with duty and not overcharge a child. Kant argues, “it is not sufficient to do that which should be morally good that it conform to the law; it must be done for the sake of the law.” (Foundations of the Metaphysics of Morals, Akademie pagination 390) There is a clear moral difference between the shopkeeper that does it for his own advantage to keep from offending other customers and the shopkeeper who does it from duty and the principle of honesty.(Ibid., 398) Likewise, in another of Kant’s carefully studied examples, the kind act of the person who overcomes a natural lack of sympathy for other people out of respect for duty has moral worth, whereas the same kind act of the person who naturally takes pleasure in spreading joy does not. A person’s moral worth cannot be dependent upon what nature endowed them with accidentally. The selfishly motivated shopkeeper and the naturally kind person both act on equally subjective and accidental grounds. What matters to morality is that the actor think about their actions in the right manner.

We might be tempted to think that the motivation that makes an action good is having a positive goal–to make people happy, or to provide some benefit. But that is not the right sort of motive, Kant says. No outcome, should we achieve it, can be unconditionally good. Fortune can be misused, what we thought would induce benefit might actually bring harm, and happiness might be undeserved. Hoping to achieve some particular end, no matter how beneficial it may seem, is not purely and unconditionally good. It is not the effect or even the intended effect that bestows moral character on an action. All intended effects “could be brought about through other causes and would not require the will of a rational being, while the highest and unconditional good can be found only in such a will.” (Ibid., 401) It is the possession of a rationally guided will that adds a moral dimension to one’s acts. So it is the recognition and appreciation of duty itself that must drive our actions.

d. Duty

What is the duty that is to motivate our actions and to give them moral value? Kant distinguishes two kinds of law produced by reason. Given some end we wish to achieve, reason can provide a hypothetical imperative, or rule of action for achieving that end. A hypothetical imperative says that if you wish to buy a new car, then you must determine what sort of cars are available for purchase. Conceiving of a means to achieve some desired end is by far the most common employment of reason. But Kant has shown that the acceptable conception of the moral law cannot be merely hypothetical. Our actions cannot be moral on the ground of some conditional purpose or goal. Morality requires an unconditional statement of one’s duty.

And in fact, reason produces an absolute statement of moral action. The moral imperative is unconditional; that is, its imperative force is not tempered by the conditional “if I want to achieve some end, then do X.” It simply states, do X. Kant believes that reason dictates a categorical imperative for moral action. He gives at least three formulations of the Categorical Imperative.

  1. “Act only according to that maxim by which you can at the same time will that it should become a universal law.” (Ibid., 422)
  2. “Act as though the maxim of your action were by your will to become a universal law of nature.” (Ibid)
  3. Act so that you treat humanity, whether in your own person or in that of another, always as an end and never as a means only.” (Ibid., 429)

What are Kant’s arguments for the Categorical Imperative? First, consider an example. Consider the person who needs to borrow money and is considering making a false promise to pay it back. The maxim that could be invoked is, “when I need of money, borrow it, promising to repay it, even though I do not intend to.” But when we apply the universality test to this maxim it becomes clear that if everyone were to act in this fashion, the institution of promising itself would be undermined. The borrower makes a promise, willing that there be no such thing as promises. Thus such an action fails the universality test.

The argument for the first formulation of the categorical imperative can be thought of this way. We have seen that in order to be good, we must remove inclination and the consideration of any particular goal from our motivation to act. The act cannot be good if it arises from subjective impulse. Nor can it be good because it seeks after some particular goal which might not attain the good we seek or could come about through happenstance. We must abstract away from all hoped for effects. If we remove all subjectivity and particularity from motivation we are only left with will to universality. The question “what rule determines what I ought to do in this situation?” becomes “what rule ought to universally guide action?” What we must do in any situation of moral choice is act according to a maxim that we would will everyone to act according to.

The second version of the Categorical Imperative invokes Kant’s conception of nature and draws on the first Critique. In the earlier discussion of nature, we saw that the mind necessarily structures nature. And reason, in its seeking of ever higher grounds of explanation, strives to achieve unified knowledge of nature. A guide for us in moral matters is to think of what would not be possible to will universally. Maxims that fail the test of the categorical imperative generate a contradiction. Laws of nature cannot be contradictory. So if a maxim cannot be willed to be a law of nature, it is not moral.

The third version of the categorical imperative ties Kant’s whole moral theory together. Insofar as they possess a rational will, people are set off in the natural order of things. They are not merely subject to the forces that act upon them; they are not merely means to ends. They are ends in themselves. All means to an end have a merely conditional worth because they are valuable only for achieving something else. The possessor of a rational will, however, is the only thing with unconditional worth. The possession of rationality puts all beings on the same footing, “every other rational being thinks of his existence by means of the same rational ground which holds also for myself; thus it is at the same time an objective principle from which, as a supreme practical ground, it must be possible to derive all laws of the will.” (Ibid., 429)

9. Kant’s Criticisms of Utilitarianism

Kant’s criticisms of utilitarianism have become famous enough to warrant some separate discussion. Utilitarian moral theories evaluate the moral worth of action on the basis of happiness that is produced by an action. Whatever produces the most happiness in the most people is the moral course of action. Kant has an insightful objection to moral evaluations of this sort. The essence of the objection is that utilitarian theories actually devalue the individuals it is supposed to benefit. If we allow utilitarian calculations to motivate our actions, we are allowing the valuation of one person’s welfare and interests in terms of what good they can be used for. It would be possible, for instance, to justify sacrificing one individual for the benefits of others if the utilitarian calculations promise more benefit. Doing so would be the worst example of treating someone utterly as a means and not as an end in themselves.

Another way to consider his objection is to note that utilitarian theories are driven by the merely contingent inclination in humans for pleasure and happiness, not by the universal moral law dictated by reason. To act in pursuit of happiness is arbitrary and subjective, and is no more moral than acting on the basis of greed, or selfishness. All three emanate from subjective, non-rational grounds. The danger of utilitarianism lies in its embracing of baser instincts, while rejecting the indispensable role of reason and freedom in our actions.

10. References and Further Reading

  • Anthropology from a Pragmatic Point of View, trans. Victor Lyle Dowden. Southern Illinois University Press, 1996.
  • The Conflict of the Faculties, trans. Mary Gregor. Lincoln: University of Nebraska Press, 1992.
  • Correspondence. ed. Arnulf Zweig. New York: Cambridge University Press, 1999.
  • Critique of Judgment, trans. Werner S. Pluhar. Indianapolis: Hackett, 1987.
  • Critique of Practical Reason, trans. Mary Gregor. New York: Cambridge University Press, 1997.
  • Critique of Pure Reason, trans. Werner Pluhar. Indianapolis: Hackett, 1996.
  • Groundwork of the Metaphysics of Morals. ed. Mary Gregor. New York: Cambridge University Press, 1998.
  • Kant’s Latin Writings, Translations, Commentaries, and Notes, trans. Lewis White Beck in collaboration with Mary Gregor, Ralf Meerbote, John Reuscher. New York: Peter Lang, 1986
  • Kant: Philosophical Correspondence 1759-1799, ed. and trans. Arnulf Zweig. Chicago: Chicago University Press, 1967.
  • Logic, trans. Robert S. Hartman and Wolfgang Schwarz. New York: Dover Publications, 1974.
  • Metaphysical Foundations of Natural Science, trans. James Ellington. Indianapolis: Hackett, 1975.
  • The Metaphysics of Morals. trans. Mary Gregor. New York: Cambridge University Press, 1996.
  • Opus Postumum, ed. Eckart Forster, trans. Eckart Forster and Michael Rosen. Cambridge: Cambridge University Press, 1993.
  • Prolegomena to Any Future Metaphysics, trans. Gary Hatfield. New York: Cambridge University Press, 1997.
  • Religion within the Limits of Reason Alone. trans. T.M. Greene and H.H. Hudson. New York: Harper and Row, 1960.
  • Theoretical Philosophy, trans. David Walford and Ralf Meerbote. Cambridge: Cambridge University Press, 1992.
  • What Real Progress Has Metaphysics Made in Germany Since the Time of Leibniz and Wolff?(1804). trans. T. Humphrey. New York: Abaris, 1983 (Ak. XX).

Author Information

Matt McCormick
Email: mccormick@csus.edu
California State University, Sacramento
U. S. A.

Jean-François Lyotard (1924—1998)

LyotardFrench post-structuralist philosopher, best known for his highly influential formulation of postmodernism in The Postmodern Condition. Despite its popularity, however, this book is in fact one of his more minor works. Lyotard’s writings cover a large range of topics in philosophy, politics, and aesthetics, and experiment with a wide variety of styles. His works can be roughly divided into three categories: early writings on phenomenology, politics, and the critique of structuralism, the intermediate libidinal philosophy, and later work on postmodernism and the “differend.” The majority of his work, however, is unified by a consistent view that reality consists of singular events which cannot be represented accurately by rational theory. For Lyotard, this fact has a deep political import, since politics claims to be based on accurate representations of reality. Lyotard’s philosophy exhibits many of the major themes common to post-structuralist and postmodernist thought. He calls into question the powers of reason, asserts the importance of nonrational forces such as sensations and emotions, rejects humanism and the traditional philosophical notion of the human being as the central subject of knowledge, champions heterogeneity and difference, and suggests that the understanding of society in terms of “progress” has been made obsolete by the scientific, technological, political and cultural changes of the late twentieth century. Lyotard deals with these common themes in a highly original way, and his work exceeds many popular conceptions of postmodernism in its depth, imagination, and rigor. His thought remains pivotal in contemporary debates surrounding philosophy, politics, social theory, cultural studies, art and aesthetics.

Table of Contents

  1. Biography
  2. Early Works
    1. Phenomenology
    2. Algeria
    3. Discourse, Figure
  3. Libidinal Philosophy
  4. Postmodernism
    1. Paganism
    2. The Postmodern Condition
    3. The Differend
  5. Reason and Representation
  6. The Subject and the Inhuman
  7. Science and Technology
  8. Politics
  9. Art and Aesthetics
  10. Late Works
    1. Malraux
    2. Augustine
  11. References and Further Reading
    1. Books by Lyotard
    2. Books about Lyotard

1. Biography

Jean-François Lyotard was born in Vincennes, France, on August 10, 1924. His father, Jean-Pierre Lyotard, was a sales representative. His mother’s maiden name was Madeleine Cavalli. He was schooled at the Paris Lycées Buffon and Louis-le-Grand, and his youthful aspirations to be a Dominican monk, a painter, an historian, or a novelist eventually gave way to a career in philosophy. He studied philosophy and literature at the Sorbonne (after twice failing the entrance exam to the Ecole Normale Supérieure), where he became friends with Gilles Deleuze. His early interest in philosophies of indifference resulted in his M.A. dissertation Indifference as an Ethical Notion. Lyotard describes his existence up until the Second World War as a ‘poetic, introspective and solitary way of thinking and living.’ The war disrupted both his way of life and his thought; he acted as a first-aid volunteer in the fight for liberation in the Paris streets in August 1944, and gave up the idea of indifference for a commitment to the investigation of reality in terms of social interactions. Lyotard became a husband and father at a young age, marrying Andrée May in 1948 and subsequently having two children, Corinne and Laurence. Lyotard passed the agrégation (the examination required in order to teach in France) and took up a position teaching philosophy at a boy’s lycée (school) in Constantine in French-occupied East Algeria in 1950. From 1952-59 he taught at a school for the sons of military personnel at La Flèche. In Constantine Lyotard read Marx and became acquainted with the Algerian political situation, which he believed was ripe for socialist revolution. In 1954 Lyotard joined the socialist revolutionary organisation Socialisme ou Barbarie (Socialism or Barbarism). Other members of the organisation included Cornelius Castoriadis, Claude Lefort, and Pierre Souyris. Lyotard had met Souyris at a union meeting late in 1950, and they had a long and close friendship, eventually troubled by political and theoretical differences.

Lyotard became an intellectual militant, and asserts that for fifteen years he was so dedicated to the cause of socialist revolution that no other aspect of life (with the sole exception of love) diverted him from this task. His writings in this period are solely concerned with ultra-left revolutionary politics, with a sharp focus on the Algerian situation (the war of independence had broken out in 1954). He contributed to and edited the Socialisme ou Barbarie journal, and wrote pamphlets to distribute to workers at protests and at factory gates. In 1964 a schism erupted in Socialisme ou Barbarie over Castoriadis’ new theoretical direction for the group. Lyotard, along with Souyris, became a member of the splinter group Pouvoir Ouvrier (Worker’s Power), but resigned in 1966. He had lost belief in the legitimacy of Marxism as a totalising theory, and returned to the study and writing of philosophy. From 1959 to 1966 Lyotard was maître-assistant at the Sorbonne, and then gained a position in the philosophy department at the University of Paris X, Nanterre. There he took part in the May 1968 political actions, organising demonstrations for the “March 22 Movement.”

Lyotard attended the radical psychoanalyst Jacques Lacan’s seminars in the mid-60s, and his reaction to Lacan’s theories resulted in Discours, figure, for which he received the degree of doctorat d’état. From 1968 to 1970 Lyotard was chargé de recherches at the Centre National de la Recherche Scientifique. In the early 1970s Lyotard was appointed to the University of Paris VIII, Vincennes, where he was a popular teacher and a prolific writer. In 1972 he was made maître de conferences, and in 1987 he became Professor Emeritus at Vincennes. The 1979 publication of The Postmodern Condition brought Lyotard worldwide fame, and in the 1980s and 90s he lectured widely outside of France. Lyotard was professor of French and Italian at the University of California, Irvine, Robert W. Woodruff Professor of French at Emory University, and a founding member and sometime president of the Collège International de Philosophie. Lyotard was a visiting professor at numerous universities, including John Hopkins, the University of California, Berkeley and San Diego, the University of Minnesota, the Université de Montréal, Canada, the Universität Siegen, West Germany, and the University of Saõ Paulo, Brazil. Lyotard married his second wife Dolorès Djidzek in 1993 and had a son, David. Lyotard died of leukaemia in Paris on April 21, 1998.

2. Early Works

a. Phenomenology

Lyotard’s first book, published in 1954, is a short introduction to and examination of phenomenology. The first part introduces phenomenology through the work of Edmund Husserl, and the second part evaluates phenomenology’s relation to the human sciences (particularly psychology, sociology, and history). In the second part the focus shifts from Husserl to the work of Maurice Merleau-Ponty. Throughout, Lyotard is concerned with phenomenology’s attempt to find a “third way” between subjectivism and objectivism, avoiding the problems of each. In particular, he is interested in the bearing this problem has on the question of whether phenomenology can think history politically, thus potentially contributing to Marxism. This theme (the relation of phenomenology to Marxism) was a prime concern for French thinkers of the fifties, and Lyotard’s book is a useful documentation of the issues at stake. Much of his exposition and discussion is positive, and Lyotard argues that phenomenology can make valuable contributions to the social sciences, where it should serve two functions: firstly, to define the object of the science eidetically (i.e. in its essence) prior to all experimentation, and secondly, to philosophically reassess the results of experimentation. Lyotard argues, for example, that sociology has need of a phenomenological definition of the essence of the social before it can proceed effectively as a science. While he sees the usefulness of phenomenology in many disciplines, however, Lyotard’s conclusions about the usefulness of phenomenology to Marxism are largely negative. He argues that phenomenology does not represent progress on Marxism, but is in fact a step backwards. For Lyotard phenomenology cannot properly formulate a materialist worldview and the objective nature of the relations of production; it ends up interpreting class struggle as taking place in consciousness. Lyotard rejects phenomenology’s attempt to find a third way between subjectivism and objectivism, and asserts Marxism’s superiority in viewing subjectivity as already contained in objectivity.

b. Algeria

In the fifteen years between his first two books of philosophy, Lyotard devoted all his writing efforts to the cause of revolutionary politics. His most substantial writings of this time were his contributions to the Socialisme ou Barbarie journal on the political situation in Algeria [many of which are collected in Political Writings]. The project of Socialisme ou Barbarie was to provide theoretical resources to contribute to socialist revolution, critiquing other existing socialist strands (particularly Stalinism and the French communist party) as a hindrance to revolution, and with a particular emphasis on the critique of bureaucracy. In the essays on Algeria, Lyotard applies this project to the French occupation, trying to determine the potential for socialist revolution arising from this situation. He pays close attention to the economic forces at work in occupied Algeria, arguing that it is in the economic interests of France to keep Algerians in a state of underdevelopment and poverty. Furthermore, Lyotard introduces a notion of ‘terror’ that he develops more fully in his later works, indicating the suppression of Algerian culture by the imposition of foreign (French) cultural forms. The conclusion Lyotard comes to is that the occupation must end if the Algerian people are to prosper, but he remains ambivalent about the possibility of revolution. He surmises that a nationalist, democratic revolution will only lead to new forms of social inequality and domination, and insists that a socialist revolution is necessary. This ambivalence was reflected in Socialisme ou Barbarie‘s debate about whether or not to support the Algerian war of independence, fearing that its democratic and nationalistic leanings would not bring about the result they desired. In “Algeria Evacuated,” written after the end of the occupation, Lyotard regretfully asks why a socialist revolution did not take place, concluding that the social and political upheavals resulted in an opportunistic struggle for power rather than a class-based action. The end result of Lyotard’s work on Algeria and the disappointment at the failure of socialist revolution to take place led him to an abandonment of revolutionary socialism and traditional Marxism on the grounds that social reality is too complex to describe accurately with any master-discourse.

c. Discourse, Figure

Lyotard’s second book of philosophy is long and difficult. It covers a wide variety of topics, including phenomenology, psychoanalysis, structuralism, poetry and art, Hegelian dialectics, semiotics, and philosophy of language. The main thrust of this work, however, is a critique of structuralism, particularly as it manifests itself in Lacan’s psychoanalysis. The book is divided into two parts: the first uses Merleau-Ponty’s phenomenology to undermine structuralism, and the second uses Freudian psychoanalysis to undermine both Lacanian psychoanalysis and certain aspects of phenomenology. Lyotard begins with an opposition between discourse, related to structuralism and written text, and figure (a visual image), related to phenomenology and seeing. He suggests that structured, abstract conceptual thought has dominated philosophy since Plato, denigrating sensual experience. The written text and the experience of reading are associated with the former, and figures, images and the experience of seeing with the latter. Part of Lyotard’s aim is to defend the importance of the figural and sensual experience such as seeing. He proceeds to deconstruct this opposition, however, and attempts to show that discourse and figure are mutually implicated. Discourse contains elements of the figural (poetry and illuminated texts are good examples), and visual space can be structured like discourse (when it is broken up into ordered elements in order for the world to be recognisable and navigable by the seeing subject). He develops an idea of the figural as a disruptive force which works to interrupt established structures in the realms of both reading and seeing. Ultimately, the point is not to privilege the figural over the discursive, but to show how these elements must negotiate with each other. The mistake of structuralism is to interpret the figural in entirely discursive terms, ignoring the different ways in which these elements operate. In the second part of Discours, figure, structure and transgression are related to Freudian libidinal forces, paving the way for the libidinal philosophy developed in Libidinal Economy.

3. Libidinal Philosophy

In the early 1970s Lyotard developed a philosophy based around Sigmund Freud’s theory of the libido. For Lyotard, libidinal energy can be used as a “theoretical fiction” to describe the transformations that take place in society. After his break with Marxism and rejection of totalising theory, he sought to develop a theory that will take account of multiple and different forces and desires at work in any political or social situation, from the writing of theory to revolutionary politics to global economics. Lyotard’s libidinal philosophy is developed in the major work Libidinal Economy and in two sets of essays, Dérive à partir de Marx et Freud [some of which is translated in Driftworks] and Des Dispositifs Pulsionnels. Libidinal Economy is an unusual and difficult work, and encompasses a complex set of theories concerning politics, economics, theory, academic style, and readings of Marx and Freud. It is written in a bewildering combination of styles (at times reading more like an avant-garde novel than a philosophical text), a method Lyotard uses in an attempt to overcome the limitations he sees in traditional academic theory.

The libidinal philosophy begins Lyotard’s general commitment to an ontology of events, which also underlies his later postmodern philosophy. Lyotard sees reality in terms of unpredictable happenings (events), rather than structured regularities. These events can be interpreted in different ways, and no single interpretation will capture events accurately. Events always exceed interpretation; there is always something “left over” that an interpretation does not account for. In the libidinal philosophy Lyotard uses the idea of libidinal energy to describe events and the way they are interpreted or exploited, and he develops a philosophy of society and theory in terms of the economy of libidinal energies. Lyotard uses the terms “libidinal intensities,” and “affects” to refer to events. These intensities and affects are, in more common terminology, feelings and desires. In the terms of Freudian psychoanalysis, they are the “primary processes” of the libido, the forces that exist in the body on a more basic level than the “secondary processes” of the conscious mind. In particular, Lyotard focuses on sexual desire. He uses these terms metaphorically, however, to describe the workings of reality and society as a whole, divorcing them from their usual attachments to human beings. Lyotard describes the wholly impersonal as well as the personal in terms of feelings and desires, and paints a picture of the world that moves and is moved in the ways that feelings move people. Lyotard admits that this description of everything in libidinal terms is a “theoretical fiction,” merely a way of speaking which gives us useful terms for theorizing about what happens in the world. Metaphysically, Lyotard is a materialist, and for him affects must be understood as concrete material entities. An affect might be a sound, a color, a smile or a caress: anything which has an ability to “move,” to produce feelings and desires. Affects are structured and interpreted in systems made up of dispositifs, libidinal dispositions or set-ups, and society is composed of multitudes of different dispositions that compete to exploit the energies of libidinal events. Lyotard develops a complex set of figures to describe how this process takes place.

Libidinal Economy begins with the figure of a body (ambivalently sexed), being cut open and spread out to form a flat, band-like surface. Lyotard is here beginning to describe a region on which libidinal intensities take place and on which they meet with the dispositifs that channel libidinal energy. This region is material like the body, but it is not yet organized, thus the figure of dismemberment. The flat band that the body has become is then given a twist and joined end to end, forming a moebius strip (a circular figure which has only one surface due to the twist it contains; a line traced along one side of the strip will end up on the other side without breaking contact with the surface). This strip is then set in motion, circulating so fast it glows red with heat. This is the libidinal band (sometimes called the libidinal skin). It represents the “primary processes” of desire and libidinal intensity in which libidinal energy circulates in an aleatory fashion, not yet investing anything. Because the libidinal band is a moebius strip, desire circulates on only one surface; there is no inside or outside. In time the band begins to slow and cool, and forms what Lyotard calls “the (disjunctive) bar.”

As the bar slows, sometimes it invests this region, sometimes that. It becomes disjunctive, distinguishing this from not-this. This stage in the transformation of the libidinal band represents the formation of rational thought, dominated by binary logic and the law of noncontradiction. Finally the bar stops and forms a stable disjunction. Lyotard describes the bar as then turning around on itself and creating an enclosed space, a theatrical volume. This is the particular transformation of the libidinal band – or the particular dispositif on the libidinal band – that gives rise to representation and theory. The theatrical space has an inside and an outside, a clear disjunction between this and not-this. Lyotard’s image of theory as theatre is based on the etymological relationship between the two terms; they are both derived from the Greek theasthai, meaning to look at, contemplate, or behold. The theorist is like a spectator who views the representation of the world (outside the theatre) on the stage (inside the theatre).

Lyotard’s description of the transformations of the libidinal band is a theoretical fiction which provides an account of how the world works through the interplay of intense, excited libidinal energies and the stable structures which exploit them and dampen their intensity. The band is the space on which libidinal intensities meet dispositifs, or libidinal set-ups. These set-ups channel energy into more or less stable systems and structures, and therefore all dispositifs, all systems and structures, can be described in terms of the slowing and cooling of the band. An example would be the way political institutions channel desires to change society away from violent, disruptive eruptions towards more moderate, less disruptive modes of action. Systems exploit libidinal intensities by channeling them into stable structures. And yet, these systems deny their own origins in intense and aleatory libidinal energy, taking themselves to be permanent and stable. Systems hide, or dissimulate, affects (libidinal intensities). Conversely, however, affects dissimulate systems. Systems and affects dissimulate each other. This means that systems contain and hide affects, and that affects contain and hide the possibility for forming systems. Dissimulation is a concept that allows us to see the elements of the libidinal economy as duplicitous. That is, they have more than one possibility. It is always possible for intensities to channel into a stable system, or to disrupt a system by destabilising it through intense investment.

Lyotard develops a critical but nuanced approach towards theory, politics and economics within the terms of the libidinal philosophy. His prime concern is that the structures that exploit libidinal intensities tend to become hegemonic. That is, they tend to claim sole right to the exploitation or interpretation of intensities. At the same time, they often deny libidinal intensities themselves, taking themselves to be primary and stable structures. Lyotard sees these tendencies as limiting and nihilistic, in the sense that they deny the full possibilities of the expression of intensities. In theory, politics, and cultural conventions, structured dispositions take themselves to be the actual structures of reality or “correct” interpretations, thus limiting the possibilities of change. For Lyotard change is life affirming, whereas the stable structures that inhibit change are nihilistic and life denying. However, Lyotard does not simply assert libidinal intensity as an affirmative “other” to nihilism. For Lyotard, there is no affirmative region, no pure outside to nihilism. Lyotard does not propose that we champion affects, singularities, intensities and libidinal energy over systems, structures, theory, concepts and representation. This is because the only way libidinal energies can exist is within structures. Lyotard does not advocate a simple liberation of desire and does not attempt to set up a place beyond representation which would be immune to the effects of nihilism. Lyotard presents us, rather, with a metaphysical system in which intensities and structures are both essential elements of the libidinal economy.

Lyotard’s response to the nihilism of structure takes place through the concept of dissimulation, which suggests that libidinal energy must work within structures. All structures contain libidinal energy as an under-exploited potentiality, waiting to be released and to flow into new structures. This libidinal energy is the event, which always contains more possibilities for interpretation and exploitation than any single structure can give it. Lyotard’s libidinal philosophy prescribes a “freeing up” of structures, so that events may be allowed their maximum potentiality of expression in competing interpretations and dispositions. Releasing the energy in structures in turn creates new events, with their own energetic potentialities. Because the event is unpredictable, we cannot actively control the way it will be released and form new structures. However, we can “act passively” so as to encourage the maximum release of intensity within structures. Lyotard’s own style of writing in Libidinal Economy is one attempt to do this: by multiplying genres of discourse, there is no overall dominant structure in the text and it is open to several competing modes of reading, interpretation and application. Ultimately, libidinal philosophy suggests a method of subversion from within existing structures through experimentation with the forms of those structures.

4. Postmodernism

Lyotard abandoned his libidinal philosophy in the later years of the seventies, beginning a philosophy of paganism that developed, by the eighties, into his unique version of postmodernism. The turn from the libidinal to the pagan and the postmodern continued a concern with events and the limits of representation, but concerned two key changes: 1. A change in the mode of analysis from libidinal forces to language, and 2. a new focus on justice. Whereas in the libidinal philosophy the focus was to see that a single interpretation of an event did not become hegemonic, in Lyotard’s later philosophy he is primarily concerned with the problems of justice that arise between competing interpretations of events. Lyotard’s philosophy of language and justice is most fully developed through the concept of the differend, in the book of the same name.

a. Paganism

Lyotard develops the notion of paganism in “Lessons in Paganism” (reprinted in The Lyotard Reader), Just Gaming and various other short works of the late seventies. The term “paganism” refers to a way of thinking that takes into account and strives to do justice to incommensurable differences. Just as pagan religions believe in a number of different gods rather than just one God, Lyotard’s pagan philosophy represents a concern for pluralism and multiplicity (terms he uses synonymously to oppose the idea of universality). This concern for difference, multiplicity and pluralism is related to Lyotard’s basic commitment to an ontology of singular events: if reality is constituted by unique happenings, then there will be no universal law of judgement which will be able to take account of each and every event in a way which does them all justice. Paganism suggests that there are irreducible differences in the order of things, and that we must take things on their own terms without attempting to reduce them to universals. In his writings on paganism, Lyotard analyses politics in the form of a justice of rhetoric. In “Lessons in Paganism” he claims that all discourse is narrative; all theory, all politics, all law, are merely a collection of stories. In Just Gaming, he analyses situations where questions of justice and judgement arise in terms of language games. Lyotard rejects the claims of any discourse to be grounded in truth. He rejects the idea of a master-discourse (later called a metanarrative) that is thought to provide the basis for judgement in all situations. (Marxism, Hegelian philosophy, and Kant’s ideal of unity or totality as regulating justice are examples of master-discourses that have dominated the philosophical tradition.) Instead, Lyotard suggests that paganism is the most appropriate response to the desire for justice. Paganism is godless politics; it is the abandonment of universal judgement for specific, plural judgements. This means giving up the idea of a single, law-like theoretical schema which could be applied to any situation in which judgment is required. Lyotard asserts that a justice of multiplicities requires a multiplicity of justices. Paganism is the attempt to judge without pre-existing criteria, in matters of truth, beauty, politics and ethics.

Paganism rejects any universal criteria for judgement, yet Lyotard claims that we must judge, that justice demands this of us. So how do we judge, without criteria? Lyotard invokes both Kant and Nietzsche in his answer. In Kantian terms, we judge through the constitutive imagination. For Kant, this ability to judge, and to invent criteria, is mysterious, and there is little we can say about it. In Nietzschean terms, Lyotard says that judgement is an expression of the will to power. It is perhaps misleading of Lyotard to say that paganism is judgement without criteria; for it is judgement only without universal criteria. What he is denying is the possibility of a discourse that will give us adequate criteria for judgement in each and every case. Instead, what we must do (as pagans) is meet every circumstance that requires judgement anew, and create criteria specific to that case by an affirmative act of the imaginative will. Thus we will get a plurality of criteria, a plurality of judgements, a plurality of justices. In this sense, paganism can be thought of as a plurality of rules of judgement (gods), as opposed to belief in just one rule or set of rules (God). Somewhat paradoxically, perhaps (as Lyotard himself admits), the justice of this pluralism is assured by a prescriptive of universal value – the prescriptive that the rules of individual language games be respected; that they are not subsumed under a single criterion of judgement.

b. The Postmodern Condition

Lyotard soon abandoned the term ‘paganism’ in favour of ‘postmodernism.’ He presents his initial and highly influential formulation of postmodernism in The Postmodern Condition: A Report on Knowledge, commissioned by the government of Quebec and published in 1979. Lyotard famously defines the postmodern as ‘incredulity towards metanarratives,’ where metanarratives are understood as totalising stories about history and the goals of the human race that ground and legitimise knowledges and cultural practises. The two metanarratives that Lyotard sees as having been most important in the past are (1) history as progressing towards social enlightenment and emancipation, and (2) knowledge as progressing towards totalisation. Modernity is defined as the age of metanarrative legitimation, and postmodernity as the age in which metanarratives have become bankrupt. Through his theory of the end of metanarratives, Lyotard develops his own version of what tends to be a consensus among theorists of the postmodern – postmodernity as an age of fragmentation and pluralism.

The Postmodern Condition is a study of the status of knowledge in computerized societies. It is Lyotard’s view that certain technical and technological advancements have taken place since the Second World War (his historical pin-pointing of the beginning of postmodernity) which have had and are still having a radical effect on the status of knowledge in the world’s most advanced countries. As a defining element with which to characterise these technical and technological advancements, Lyotard chooses computerization. Lyotard identifies the problem with which he is dealing – the variable in the status of knowledge – as one of legitimation. For Lyotard, this is a question of both knowledge and power. Knowledge and power are simply two sides of the same question: who decides what knowledge is, and who knows what needs to be decided? According to Lyotard, in the computer age the question of knowledge is now more than ever a question of government. With vast amounts of knowledge stored digitally in databases, who decides what knowledge is worth storing (what is legitimate knowledge) and who has access to these databases? Lyotard points a suspicious finger at multinational corporations. Using IBM as an example, he suggests a hypothetical in which the corporation owns a certain belt in the Earth’s orbital field in which circulate satellites for communication and/or for storing data banks. Lyotard then asks, ‘who will have access to them? Who will determine which channels or data are forbidden? The State? Or will the State simply be one user among others?’

The method Lyotard chooses to use in his investigations is that of language games. Lyotard writes that the developments in postmodernity he is dealing with have been largely concerned with language: ‘phonology and theories of linguistics, problems of communication and cybernetics, modern theories of algebra and informatics, computers and their languages, problems of translation and the search for areas of compatibility among computer languages, problems of information storage and data banks, telematics and the perfection of intelligent terminals, paradoxology.’ Lyotard’s use of language games is derived from Ludwig Wittgenstein. The theory of language games means that each of the various categories of utterance can be defined in terms of rules specifying their properties and the uses to which they can be put. Lyotard makes three particularly important observations about language games. Firstly, the rules of language games do not carry within themselves their own legitimation, but are subject to a “contract” between “players” (interlocutors). Secondly, if there are no rules there is no game and even a small change in the rules changes the game. Thirdly, every utterance should be thought of as a “move” in a game. Different types of utterances, as identified by Wittgenstein, pertain to different types of language games. Lyotard gives us a few examples of types of utterances. The “denotative” is an utterance which attempts to correctly identify the object or referent to which it refers (such as “Snow is white”). The “performative” is an utterance which is itself a performance of an act to which it refers (such as “I promise”). The “prescriptive” is an utterance which instructs, recommends, requests, or commands (such as “Give me money”). For both Wittgenstein and Lyotard, language games are incommensurable, and moves in one language game cannot be translated into moves in another language game. For example, we cannot judge what ought to be the case (a prescriptive) from what is the case (a denotative.)

Lyotard’s choice of language games is primarily political in motivation, and relates to the close links between knowledge and power. In examining the status of knowledge in postmodernity, Lyotard is examining the political as well as epistemological aspects of knowledge (legitimation), and he sees the basic social bond – the minimum relation required for society to exist – as moves within language games. Lyotard needs a methodological representation to apply to society in order to examine the status of knowledge in postmodern societies. He presents us with two alternative views of society that have been popular in this century: society as a unitary whole (“traditional” theory) or society as a binary division (“critical” theory). Lyotard rejects both of these alternatives on the grounds that the choice seems difficult or arbitrary, and also rejects a third alternative – that we might distinguish two kinds of equally legitimate knowledge, one based on the view of society as unitary and the other on the view of society as binary. This division of knowledge is caught within a type of oppositional thinking that Lyotard believes is out of step with postmodern modes of knowledge.

Instead of the recently popular or “modern” models of society, Lyotard argues that even as the status of knowledge has changed in postmodernity, so has the nature of the social bond, particularly as it is evident in society’s institutions of knowledge. Lyotard presents a postmodern methodological representation of society as composed of multifarious and fragmented language games, but games which strictly (but not rigidly – the rules of a game can change) control the moves which can be made within them by reference to narratives of legitimation which are deemed appropriate by their respective institutions. Thus one follows orders in the army, prays in church, questions in philosophy, etc., etc. In his analysis of the state of knowledge in postmodernity, Lyotard firstly distinguishes between two types of knowledge – “narrative” knowledge and “scientific” knowledge. Narrative knowledge is the kind of knowledge prevalent in “primitive” or “traditional’ societies, and is based on storytelling, sometimes in the form of ritual, music and dance. Narrative knowledge has no recourse to legitimation – its legitimation is immediate within the narrative itself, in the “timelessness” of the narrative as an enduring tradition – it is told by people who once heard it to listeners who will one day tell it themselves. There is no question of questioning it. Indeed, Lyotard suggests that there is an incommensurability between the question of legitimation itself and the authority of narrative knowledge.

In scientific knowledge, however, the question of legitimation always arises. Lyotard says that one of the most striking features of scientific knowledge is that it includes only denotative statements, to the exclusion of all other kinds (narrative knowledge includes other kinds of statements, such as prescriptives). According to the “narrative” of science, however, only knowledge which is legitimated is legitimate – i.e. is knowledge at all. Scientific knowledge is legitimated by certain scientific criteria – the repeatability of experiments, etc. If the entire project of science needs a metalegitimation, however (and the criteria for scientific knowledge would itself seem to demand that it does) then science has no recourse but to narrative knowledge (which according to scientific criteria is no knowledge at all). This narrative has usually taken the form of a heroic epic of some kind, with the scientist as a “hero of knowledge” who discovers scientific truths. The distinction between narrative and scientific knowledge is a crucial point in Lyotard’s theory of postmodernism, and one of the defining features of postmodernity, on his account, is the dominance of scientific knowledge over narrative knowledge. The pragmatics of scientific knowledge do not allow the recognition of narrative knowledge as legitimate, since it is not restricted to denotative statements). Lyotard sees a danger in this dominance, since it follows from his view that reality cannot be captured within one genre of discourse or representation of events that science will miss aspects of events which narrative knowledge will capture. In other words, Lyotard does not believe that science has any justification in claiming to be a more legitimate form of knowledge than narrative. Part of his work in The Postmodern Condition can be read as a defence of narrative knowledge from the increasing dominance of scientific knowledge. Furthermore, Lyotard sees a danger to the future of academic research which stems from the way scientific knowledge has come to be legitimated in postmodernity (as opposed to the way it was legitimated in modernity).

In modernity the narrative of science was legitimated by one of a number of metanarratives, the two principal ones being respectively Hegelian and Marxist in nature. The Hegelian metanarrative speculates on the eventual totality and unity of all knowledge; scientific advancement is legitimated by the story that it will one day lead us to that goal. The Marxist metanarrative gives science a role in the emancipation of humanity. According to Lyotard, postmodernity is characterised by the end of metanarratives. So what legitimates science now? Lyotard’s answer is – performativity. This is what Lyotard calls the “technological criterion” – the most efficient input/output ratio. The technical and technological changes over the last few decades – as well as the development of capitalism – have caused the production of knowledge to become increasingly influenced by a technological model. It was during the industrial revolution, Lyotard suggests, that knowledge entered into the economic equation and became a force for production, but it is in postmodernity that knowledge is becoming the central force for production. Lyotard believes that knowledge is becoming so important an economic factor, in fact, that he suggests that one day wars will be waged over the control of information.

Lyotard calls the change that has taken place in the status of knowledge due to the rise of the performativity criterion the mercantilization of knowledge. In postmodernity, knowledge has become primarily a saleable commodity. Knowledge is produced in order to be sold, and is consumed in order to fuel a new production. According to Lyotard knowledge in postmodernity has largely lost its truth-value, or rather, the production of knowledge is no longer an aspiration to produce truth. Today students no longer ask if something is true, but what use it is to them. Lyotard believes that computerization and the legitimation of knowledge by the performativity criterion is doing away with the idea that the absorption of knowledge is inseparable from the training of minds. In the near future, he predicts, education will no longer be given “en bloc” to people in their youth as a preparation for life. Rather, it will be an ongoing process of learning updated technical information that will be essential for their functioning in their respective professions.

Lyotard does not believe that the innovations he predicts in postmodern education will necessarily have a detrimental effect on erudition. He does, however, see a problem with the legitimation of knowledge by performativity. This problem lies in the area of research. Legitimation by performativity lends itself to what Lyotard calls “terror” – the exclusion of players from language games or the exclusion of certain games entirely. Most true “discoveries,” Lyotard argues, are discoveries by virtue of the fact that they are so radical that they change the rules of the game – they cannot even be articulated within the rules of the “dominant” game (which is dominant because it draws the consensus of opinions). Many discoveries are not found to have a use until quite some time after they are made; therefore they seem to be of little value by the performativity criterion. Furthermore, for economic reasons, legitimation by performativity tends to follow the consensus opinion – that which is perceived by the majority of experts to have the most efficient input/output ratio is considered most likely in fact to be most performatively efficient, and hence the safest investment.

Lyotard argues that legitimation by performativity is against the interests of research. He does not claim that research should be aimed at production of “the truth”; he does not try to re-invoke the metanarratives of modernity to legitimate research. Rather, he sees the role of research as the production of ideas. Legitimation of knowledge by performativity terrorises the production of ideas. What, then, is the alternative? Lyotard proposes that a better form of legitimation would be legitimation by paralogy. The etymology of this word resides in the Greek words para – beside, past, beyond – and logos in its sense as “reason.” Thus paralogy is the movement beyond or against reason. Lyotard sees reason not as a universal and immutable human faculty or principle but as a specific and variable human production; “paralogy” for him means the movement against an established way of reasoning. In relation to research, this means the production of new ideas by going against or outside of established norms, of making new moves in language games, changing the rules of language games and inventing new games. Lyotard argues that this is in fact what takes place in scientific research, despite the imposition of the performativity criterion of legitimation. This is particularly evident in what Lyotard calls “postmodern science” – the search for instabilities [see Science and Technology]. For Lyotard, knowledge is not only the known but also the “revelation” or “articulation” of the unknown. Thus he advocates the legitimation of knowledge by paralogy as a form of legitimation that would satisfy both the desire for justice and the desire for the unknown.

c. The Differend

Lyotard develops the philosophy of language that underlies his work on paganism and postmodernism most fully in The Differend: Phrases in Dispute. This book is, by Lyotard’s own estimation, both his most philosophical and most important. Here he analyses how injustices take place in the context of language. A differend is a case of conflict between parties that cannot be equitably resolved for lack of a rule of judgement applicable to both. In the case of a differend, the parties cannot agree on a rule or criterion by which their dispute might be decided. A differend is opposed to a litigation – a dispute which can be equitably resolved because the parties involved can agree on a rule of judgement. Lyotard distinguishes the victim from the plaintiff. The later is the wronged party in a litigation; the former, the wronged party in a differend. In a litigation, the plaintiff’s wrong can be presented. In a differend, the victim’s wrong cannot be presented. A victim, for Lyotard, is not just someone who has been wronged, but someone who has also lost the power to present this wrong. This disempowerment can occur in several ways: it may quite literally be a silencing; the victim may be threatened into silence or in some other way disallowed to speak. Alternatively, the victim may be able to speak, but that speech is unable to present the wrong done in the discourse of the rule of judgement. The victim may not be believed, may be thought to be mad, or not be understood. The discourse of the rule of judgement may be such that the victim’s wrong cannot be translated into its terms; the wrong may not be presentable as a wrong.

Lyotard presents various examples of the differend, the most important of which is Auschwitz. He uses the example of the revisionist historian Faurisson’s demands for proof of the Holocaust to show how the differend operates as a sort of double bind or “catch-22.” Faurisson will only accept proof of the existence of gas chambers from eyewitnesses who were themselves victims of the gas chambers. But of course, any such eyewitnesses are dead and are not able to testify. Faurisson concludes from this that there were no gas chambers. The situation is this: either there were no gas chambers, in which case there would be no eyewitnesses to produce evidence, or there were gas chambers, in which case there would still be no eyewitnesses to produce evidence (since they would be dead). Since Faurisson will accept no evidence for the existence of gas chambers except the testimony of actual victims, he will conclude from both possibilities (i.e. gas chambers existed; gas chambers didn’t exist) that gas chambers didn’t exist. The situation is a double bind because there are two alternatives – either there were gas chambers or there were not – which lead to the same conclusion: there were no gas chambers (and no Final Solution). The case is a differend because the harm done to the victims cannot be presented in the standard of judgment upheld by Faurisson. Lyotard presents the logic of the double bind involved in the differend in general as follows: either p or not p; if not-p, then Fp; if p, then not-p, then Fp. The two possibilities (p or not-p) both lead to the same conclusion (Fp). Lyotard gives a further example of the logic of the double bind: it is like saying both either it is white, or it is not white; and if it is white it is not white.

Another example of the differend which commentators on Lyotard often invoke is that of indigenous peoples’ claims to land rights in colonised countries. This example shows the relevance of Lyotard’s work for practical problems of justice in the contemporary world. Let us take Australian Aborigines as an example. Many tribal groups claim that land which they traditionally inhabited is now owned and controlled by the descendants of European colonists. They claim that the land was taken from them wrongfully, and that it should be given back to them. There is a differend in this case because Aboriginal land rights are established by tribal law, and evidence for such rights may not be presentable in the law of the Australian government. The court of appeal in which claims to land rights are heard functions entirely according to government law, and tribal law is not considered a valid system of judgment. In the case of a dispute over a certain area of land by farmers who are descendants of colonists on the one hand, and a tribe of Aborigines on the other hand, the court of appeal will be the one which involves the law that the farmers recognise (government law), while the law that the Aborigines recognise (tribal law) will not be considered valid. It may be the case that the only evidence for the claim to land rights that the Aborigines have will not be admissible as evidence in the court of government law (though it is perfectly acceptable in tribal law). Hence, we have a case of a wrong which cannot be presented as a wrong; a differend.

Lyotard develops the theory of the differend through a complex analysis of language, drawing heavily on analytic philosophers as well as ancients and early moderns. Lyotard’s ontology of events is developed here in terms of the phrase as event, and the limits of representation are seen in the indeterminacy involved in the linking of phrases. Phrases, on Lyotard’s account, may be extralinguistic, and can include signs, gestures, or anything that happens. Every event is to be understood as a phrase in the philosophy of the differend. This characterisation of events as phrases may be understood as a theoretical fiction or “a way of speaking” which allows Lyotard to develop a theory of events through the analysis of language, just as the libidinal philosophy does using libidinal energy. Lyotard calls the way phrases are linked together in series, one after the other, the concatenation of phrases. The law of concatenation states that these linkages must be made – that is, a phrase must be followed by another phrase – but that how to link is never determinate. There are many possible ways of linking on to a phrase, and no way is the right way.

In order to characterise phrases as events which are beyond full understanding and accurate representation, Lyotard undermines the common view that the meanings of phrases can be determined by what they refer to (the referent). That is, for Lyotard the meaning of a phrase as event (something happens) cannot be fixed by appealing to reality (what actually happened). He develops this view of language by appealing to Saul Kripke’s concept of the proper name as a “rigid designator” and by defining “reality” in an original way. Proper names pick our referents in a way that is rigid and consistent but, according to Lyotard, empty of sense. For example, the name Fred may consistently pick out a particular person, but there are many different senses or meanings which may be attached to this person. Only phrases carry sense (i.e. tell us something meaningful about Fred). The proper name may fix reference, but does nothing to fix sense. The name acts as a point which links the referent and the many senses which may be attached to it. Lyotard then defines reality as this complex of possible senses attached to a referent through a name. The correct sense of a phrase cannot be determined by a reference to reality, since the referent itself does not fix sense and reality itself is defined as the complex of competing senses attached to a referent. The phrase event remains indeterminate.

Lyotard uses the concepts of a phrase universe and of the difference between presentation and situation in order to show how phases can carry meanings and yet be indeterminate. Every phrase presents a universe, composed of the following four elements or, as Lyotard calls them, instances:

  1. The sense (the possible meanings of the phrase)
  2. The referent (the thing to which the phrase refers)
  3. The addressor (that from which the phrase comes)
  4. The addressee (that to which the phrase is sent)

In the initial presentation of the phrase, the instances of the universe are equivocal. That is, there are many possible ways in which the instances may be situated in relation to each other. Who or what uttered the phrase, and to whom? To what does the phrase refer? What sense of the phrase is meant? This equivocation means that the meaning of the phrase is not fixed in the initial presentation, and only becomes fixed through what Lyotard calls situation. Situation takes place when the instances of the phrase universe are fixed through the concatenation of phrases. That is, when the phrase is followed by another phrase. When phrases are concatenated, they follow rules for linking called phrase regimens. Phrase regimens fix the instances of the phrase universe within a concatenation; these regimens are syntactic types of phrases such as the cognitive, the descriptive, the prescriptive, the interrogative, the evaluative, and so on. Any situation of a phrase within a concatenation will only be one possible situation of the initial presentation of the phrase, however. It is always possible to situate the phrase in a different way by concatenating with a different phrase regimen. In other words, the presentation of the phrase event is not able to be accurately represented by any particular situation. This also means that there is no “correct” way of concatenating a phrase, no correct phrase regimen to be employed in following one phrase with another.

Lyotard insists that phrase regimens are heterogenous and incommensurable. That is, they are of radically different types and cannot be meaningfully compared through an initial presentation of the phrase event of which they are situations. However, different phrase regimens can be brought together through genres. Genres supply rules for the linking of phrases, but rather than being syntactic rules as phrase regimens are, genres direct how to concatenate through ends, goals, or stakes. What is at stake in the genre of comedy, for example, is to be humorous, to make people laugh. This goal directs how phrases are linked on from one to another. As an example, Lyotard suggests that the phrase “To arms!” might be followed by the phrase “You have just formulated a prescription” if the goal is to make people laugh, but not if the goal implied by the genre is to inspire direct action (such as may be the case if it is uttered by a military commander on a battlefield). Genres of discourse can bring heterogenous phrase regimens together in a concatenation, but genres themselves are heterogenous and incommensurable. This means that there is no “correct” genre in which to situate the initial phrase which is presented, and no genre has more validity than others. The differend arises on this level of genres when the phrase event gives rise to different genres, but one genre claims validity over the others. That is, one genre claims the exclusive right to impose rules of concatenation from the initial phrase.

How do we know when a differend has occurred? Lyotard says that it is signalled by the difficulty of linking on from one phrase to another. A differend occurs when a discourse does not allow the linkages which would enable the presentation of a wrong. Lyotard insists that phrases must, of necessity, follow other phrases – even silence is a kind of phrase, with its own generic effects. A silent phrase in the context of a dispute may be covering four possible states of affairs, corresponding to each of the instances in the phrase universe:

  1. The sense: The meaning of the referent cannot be signified.
  2. The referent: The referent (the wrong, etc.) did not take place.
  3. The addressor: The addressor does not believe that the referent falls within the competence of him/her self to present.
  4. The addressee: The addressor does not believe that the referent (the wrong, etc.) falls within the competence (to hear, to understand, to judge, etc.) of the addressee.

In order for the referent to be expressed, these four silent negations must be withdrawn. The referent must have reality, must be presentable in the rules of the discourse, and the addressor must have confidence in the competence of both him/her self and the addressee. Through the idea of the differend, Lyotard has drawn particular attention to the problems of the presentability of the referent when the parties in dispute cannot agree on a common discourse, or rule of judgement (i.e. cannot agree on the genre(s) of phrase linkage). Justice demands, however, that wrongs be presented – we must at least try to “present the unpresentable.” How is this possible? Lyotard does not believe that there is any easy answer. But for the sake of justice, we must try. We must identify differends as best we can – sometimes, no more than vague feelings attest to the existence of a differend. It may be the feeling of “not being able to find the words.” Lyotard associates the identification of a differend with the feeling of the sublime, the mixture of pleasure and pain which accompanies the attempt to present the unpresentable. He privileges art as the realm which is best able to provide testimony to differends through its sublime effects [see Reason and Representation; Politics; Art and Aesthetics].

5. Reason and Representation

Lyotard’s philosophy frequently calls into question the powers of reason, rejecting many of the claims that have been made about it in the history of philosophy. The limitations of reason are particularly evident for Lyotard in regard to the problems of representation. Since Descartes, the dominant model of rational thought in Western philosophy has been that of the human subject representing the objective world to its self. It has frequently been claimed that in this way complete and certain knowledge is possible, at least in theory. Lyotard calls such claims into doubt through his thesis that events exceed representation. Furthermore, Lyotard draws attention to the fact that reason tends to operate with structured systems of concepts which exclude the sensual and emotional, but that these exclusions can never be entirely maintained. On the one hand, any representation will miss something of the event, and on the other, non-rational forces such as feelings and desires will arise to disrupt rational schemas of thought.

Lyotard’s analysis of the limits of reason and representation is played out in Discours, figure through the terms of the discursive and the figural. The discursive is the term used for reason and representation here; it is the rational system of representation by concepts that forms a system of oppositions. The figural is what exceeds rational representation; it appeals to sensual experience, emotions and desires. Lyotard uses the metaphors of flatness and depth to refer to discourse and figure, respectively. The opposition between discourse and figure is deconstructed, however, since to maintain it as an opposition would be to remain within the logic of discourse (and to retain discourse as primary). Lyotard introduces a distinction between opposition and difference to account for the differing ways in which the discursive and the figural function. Difference corresponds to figure, and the distinction between discourse and figure itself is said to be one of difference rather than opposition. In opposition, two terms are rigidly opposed and quite distinct; in difference, the two terms are mutually implicated, yet ultimately irreconcilable. Difference is a disruptive force at the limits of discourse, indicating that no rational system of representation can ever be closed or complete, but is always opened up to forces (sensual, emotional, figural) that it cannot enclose within itself.

In Discours, figure, Lyotard takes structuralism (still a dominant intellectual trend in France in the early seventies when the book was written) as an example of the excesses of reason and representation. Structuralism seeks to explain everything in terms of underlying, conditioning structures that take the form of rigid systems of oppositions. His aim is to show that structuralism ignores the figural elements at work both outside and within representational structures. Lyotard shows that discourse and figure are mutually implicated (thus deconstructing the opposition) by examining the relationship of Ferdinand de Saussure’s linguistics and Merleau-Ponty’s phenomenology. For Saussure, language is a “flat” system of opposing terms that gain meaning from each other, rather than from referents outside the system. Merleau-Ponty’s phenomenology suggests that we experience the world on a pre-cognitive level as ambiguous and somewhat chaotic sense data which must be synthesized by the perceiving subject in order to structure the world in a meaningful way. Saussure’s linguistics suggests that our understanding of the world is given as a structure to begin with, while Merleau-Ponty’s phenomenology suggests that we first encounter an unstructured world, which we must work to structure. Drawing on Merleau-Ponty’s phenomenological analysis of the depth of the visual field, Lyotard posits an interruption of the supposedly flat system of language by this depth. This takes place through the deictic terms in language (such as here, now, I, you, this) which gain meaning by referring to temporal and spatial specificities in the world of the language-user. The discursive structure of language, therefore, needs reference at some points to sensual experience. The opposition is further deconstructed by Lyotard’s insistence that our experience of space may also be structured in a discursive fashion. Space can be broken into ordered elements related to each other in a structured and organised way, such as by mapping it with a three dimensional grid. A rigid theory of how the body interacts with space, as Merleau-Ponty may arguably be accused of developing, also exhibits structuralist tendencies. This leads Lyotard to a criticism of phenomenology as well, on the grounds that its descriptions of the body in the world are also too structural and do not account for the disruptive force of the figural. Lyotard sees Lacan’s application of Saussurean linguistics to psychoanalysis as particularly worrisome. He attacks Lacan’s famous dictum that ‘the unconscious is structured like a language’ on the grounds that it is an over-rationalisation that posits representational structures to the exclusion of the figural. Returning to Freud, Lyotard develops a theory of libidinal forces as figural, as disruptive of reason and representation.

Reason and representation are further “critiqued” in the libidinal philosophy of Libidinal Economy and the related essays, although here the very idea of critique itself is called into question, since insofar as it remains theory, it remains within the oppositional logic of representational rationality. Rather than opposing the libidinal to the rational, then, Lyotard develops his theory of dissimulation, the mutual enfoldment of the libidinal and the rational which is similar to the deconstructive logic of difference worked out in Discours, figure. Lyotard’s main criticism of representation in the libidinal philosophy is that it is nihilistic. He draws an analogy between representational structures and Friedrich Nietzsche’s characterisation of religion and transcendental philosophy as forms of nihilism. For Nietzsche religion is nihilistic because it places the highest values (as the ground for all values) in a transcendent realm which cannot be accessed, thereby cutting us off from the highest values and devaluing the realm of our actual experience. According to Lyotard, representational theory follows this model by placing the reality that representation refers to in a transcendent realm. Lyotard expresses this nihilism in terms of what he calls “the Great zero.” This zero is the divide between representation and what it represents. Representation is nihilistic because it can never close the divide between representation and reality, effectively cutting off representational thought from access to reality. What is represented is constantly deferred. For Lyotard semiotics is a prime example of representational nihilism, because the definition of the sign is that it replaces something (negating that which it replaces).

In the libidinal philosophy Lyotard does not reject theory and representation itself as necessarily nihilistic; rather, it is representational theory’s own understanding of itself – how it represents itself – that is the focus of Lyotard’s attack. Instead of opposing theory with alternative practises which are more libidinal, Lyotard asserts that theory itself is a libidinal practice which denies that it is libidinal. The nihilistic aspect of representational theory is this denial of the libidinal. Theory attempts to be detached and “cold,” and takes itself to be a stable and consistent structure which represents stable structures in the world. Lyotard’s response to the nihilism of representational theory is not to propose an “other” to it (which he believes is impossible), but to inscribe theory itself into the libidinal economy. It is the concept of dissimulation which makes this possible. Systems dissimulate affects. Representational theory is itself a libidinal dispositif, and Lyotard accentuates the libidinal aspects of theory in order to combat its nihilistic tendencies. Against the nihilism of the semiotic sign Lyotard proposes a reinterpretation of the sign: the tensor. The tensor is a duplicitous sign. One of its sides (or potentialities) is the semiotic sign; this side is the potential to be inscribed in an existing structure of meaning. The other side of the tensor contains residual potentialities for other meanings. This side of the tensor disrupts and escapes the system, flowing into new systems and structures. The tensor expresses the theory of dissimulation at work in the sign. We might think of the tensor as the semiotic sign dissimulating affects which might disrupt its meaning and flow into new systems.

The critique of reason and representation shift in Lyotard’s postmodern philosophy from a focus on the figurative and libidinal forces which disrupt systems to an analysis of incommensurability in language and the limits of the rational faculty. Lyotard uses Wittgenstein’s idea of language games to show that reason and representation cannot be totalizing. The end of metanarratives means that no single overarching theory can pretend to account for everything. Rather, the postmodern condition is composed of fragmented language games attached to incommensurable forms of life. For Lyotard language is composed of a multiplicity of phrase regimes which cannot be translated into each other. Some are descriptive, some prescriptive, etc. These phrase regimes have no outside criteria for comparison. Between them lies the differend, an absolute difference which cannot be reconciled. In Lyotard’s postmodern philosophy, then, reason and representation are set limits by the incommensurability of language games; it is not possible for reason to understand everything through a representational system. In the postmodern philosophy events are analyzed as phrases, and again Lyotard asserts that events exceed representation in that no representational system can account for all phrases.

Furthermore, Lyotard’s postmodernism draws attention to the limits of reason through its focus on the sublime. The differend is experienced as a feeling of not being able to find the words to express something; it signals the limits of one language game or phrase regime and the attempt to move on to another one. Lyotard analyses this experience in terms of Kant’s idea of the sublime, which is itself an experience of the limits of reason. In Kant’s philosophy, the sublime is the mixed feeling of pleasure and pain that we feel in the face of something of great magnitude and grandeur. We can have an idea of such things, but we cannot match up that idea with a direct sensory intuition since sublime objects surpass our sensory abilities. An example of a sublime object for Kant would be a mountain; we can have an idea of a mountain, but not a sensory intuition of it as a whole. We feel pain at the frustration of our faculties to fully grasp the sublime object, but a pleasure as well in the attempt to do so. Lyotard extends the notion of the sublime from that which is absolutely great to all things which confound our abilities to synthesize them into knowledge. Thus the sublime is situated at the differend between language games and phrase regimes; we feel a mixture of pleasure and pain in the frustration of not knowing how to follow on from a phrase but feeling that there is something important that must be put into words. In Lyotard’s postmodern philosophy the sublime is the feeling that indicates the limits of reason and representation.

6. The Subject and the Inhuman

Like many other prominent French thinkers of his generation (such as Michel Foucault, Jacques Derrida and Gilles Deleuze), Lyotard develops critiques of the subject and of humanism. Lyotard’s misgivings about the subject as a central epistemological category can be understood in terms of his concern for difference, multiplicity, and the limits of organisational systems. For Lyotard the subject as traditionally understood in philosophy acts as a central point for the organisation of knowledge, eliminating difference and disorderly elements. Lyotard seeks to dethrone the subject from this organisational role, which in effect means decentring it as a philosophical category. He sees the subject not as primary, foundational, and central, but as one element among others which should be examined by thought. Furthermore, he does not see the subject as a transcendent and immutable entity, but as produced by wider social and political forces. In the libidinal philosophy, the subject is construed as one organisational structure or dispositif which channels and exploits libidinal energies. Like other structures which threaten to be hegemonic, Lyotard proposes its disruption through the release of the libidinal forces it contains which are not consistent with it. That is, the opening of the subject to forces which are deemed irrational, such as feelings and desires. Furthermore, Lyotard’s insistence that the freeing of dissimulated libidinal forces can only be passively done and not actively controlled is motivated by his identification of wilful acts with the organisational subject.

In Lyotard’s postmodern philosophy, the fragmentation of language games also means the social subject fragments and seems to dissolve. The subject cannot be seen as a master of language games, a unifying power, but is rather a node at which different incommensurable language games intersect. Lyotard furthermore asserts that avant-garde art works of the twentieth century do not reinforce the subject, but call it into question through the unsettling effect of the sublime. Humanism is also called into question in Lyotard’s later philosophy through the term “Inhuman.” Lyotard objects to humanism on the grounds that it depends upon a definition of the human which is exclusionary of difference. He asks why, if humanism is correct that there is a human nature, we are not born human but rather have to go through a terroristic education in order to become acceptably human. The term “Inhuman” has two meanings for Lyotard. Firstly, it refers to the dehumanising effects of science and technology in society. Secondly, it refers to those potentially positive forces that the idea of the human tries to repress or exclude, but which inevitably return with disruptive effects. Lyotard tries to show the limit of the humanistic ideal by imagining a science-fiction-like scenario in which, in 4.5 billion years time when our sun explodes, the human race will have developed the ability to survive without the Earth. In one sense this survival is the humanist dream (since survival is essential for the central importance of the human race in the universe), but in another sense it might constitute the end of the human, since the changes required to survive in space would be so radical as to erase anything we currently recognise as human. On the one hand Lyotard criticises the dehumanising effects of the progress of science and technology that are themselves bound up with the idea of human progress, and on the other he affirms the dehumanising forces that open up our thinking to more than a simple definition of the human.

7. Science and Technology

Lyotard develops some reflections on science and technology within the scope of his postmodern philosophy [see The Postmodern Condition]. The changing status of science and technology is a primary feature of the postmodern condition, and Lyotard calls certain new forms of science postmodern. His concern with an ontology of events and a politics of competing representations of those events underlies his theorization of science and technology in postmodernity, in which the collapse of metanarratives has meant the proliferation of multiple, incommensurable language games (of which science is only one). We should interpret Lyotard as taking this to be a good thing, since such a proliferation more accurately reflects his general ontological view of the world as composed of events which give rise to multiple interpretations, and which can never be accurately captured by a single narrative. Metanarratives do violence to alternative representations of events that are valid in their own right. Lyotard sees the rise of capital, science and technology linked through legitimation by performativity as a similar threat, however. He calls this threat “terrorism”: the threat of exclusion from playing a language game.

The principle of legitimation functioning in capitalism is efficiency or performativity [see The Postmodern Condition], and this principle attempts to be hegemonic. Science and technology are prime candidates for this attempted hegemony, since they contribute to the growth of capital. Lyotard accepts that performativity is a legitimate criterion for technology, but argues that it is not proper to science. He develops his argument around what he calls postmodern science, by which he means recent sciences such as Benoit Mandelbrot’s fractal theory and Rene Thom’s catastrophe theory that search for instabilities rather than regularities in systems. Following to some extent philosophers of science Thomas Kuhn and Paul Feyerabend, Lyotard argues that the performativity criterion does not accurately capture the kind of knowledge developed in the sciences nor the way such knowledge develops. For Lyotard, science is a language game to which legitimation by performativity is not proper. Such performativity merely subordinates science to capital. According to Lyotard, it is the idea of a deterministic system that allows performativity in science, since determinism allows the prediction and calculation of input/output values.

Postmodern science, however, does not function according to a legitimation by performativity precisely because it undermines determinism. Postmodern science searches for instabilities in systems, undermining predictability. Lyotard cites thermodynamics as the beginning of performativity in terms of determinism, and suggests that quantum mechanics and atomic physics have limited the applicability of this principle. Postmodern sciences, which concern themselves with undecidables, the limits of precise control, conflicts characterized by incomplete information, “fracta,” catastrophes, and pragmatic paradoxes, continue to undermine performativity in the form of determinism. Furthermore, postmodern science is undermining legitimation by performativity by retheorizing the way science itself develops: science does not develop in a progressive fashion and towards a unified knowledge, but in a discontinuous and paradoxical manner, undermining previous paradigms by the development of new ones. This is what Lyotard calls legitimation by paralogy. He suggests that science may be undergoing a paradigm shift from deterministic performativity to the paralogy of instabilities. Yet this is only a possibility: performativity still looms large on the horizon. Lyotard suggests science could go either way. He champions paralogy over performativity, since it contributes to healthy research in the sciences and undermines the hegemonic control capital attempts to have. Postmodern science is about the generation of new ideas rather than the efficient application of existing knowledge.

Lyotard is also concerned about the social impact of science and technology in postmodernity. He sees the performativity criterion as applying not just to science, technology, and capital, but to the State as well. According to the performativity criterion, society is seen as a system which must aim for efficient functioning, and this efficiency is a kind of terror which threatens to exclude inefficient elements. Furthermore, in post-industrial society information has become a primary mode of production, and Lyotard is concerned that in the interests of maximising profits information will become increasingly privatised by corporations. He proposes the possibility of IBM having exclusive control of databases and satellites. In response to these threats, Lyotard proposes that the public be given free access to memory and data banks. This will allow computerization to contribute to knowledge functioning by paralogy rather than by performativity, and to the free functioning of society as a set of heterogenous elements rather than an efficient system, removing the threat of terror.

8. Politics

Lyotard’s early political commitments were to revolutionary socialism and a relatively orthodox Marxism (see Biography and Early Works (b) Algeria). Despite his radical disillusion with these early political commitments, however, a strong political concern remains a central feature of all of Lyotard’s mature works. Lyotard’s notion of the political, however, must be understood as quite distinct from that employed in much traditional and contemporary politics and political theory. Having rejected the possibility of a politics based on a single theory that will accurately capture the truth of all social events (such as Marxism), Lyotard’s later concern is to do justice to multiple social realities. He is concerned with the free proliferation of heterogenous elements in society, and for him the institutions of politics and traditional political theory limit multiplicities and differences. Lyotard’s politics can be traced back to his general concern for events and the limits of representation. There is a strong correlation between his concern that events are not done justice by any one theoretical, representational system, and his concern that events of political import are not done justice by the way any particular political party or philosophy represents them.

The politics of the libidinal philosophy revolves around a nuanced reading of Marx and a duplicitous relation to capitalism. While Lyotard has given up on the possibility and desirability of a socialist revolution, he is still interested in the deployment of revolutionary desires. Libidinal Economy contains a reading of Marx’s texts as works of art, an emphasis which seeks to release the libidinal aspects of Marx, the desire for revolution. Lyotard’s interpretation of capitalism in the libidinal economy sees two possibilities inherent in capitalism, each entwined and inextricable. On the one hand, capitalism is a good system for the circulation of libidinal energies; it encourages enterprising explorations of and investments in new areas. On the other hand, capitalism tends to hoard up libidinal energy into structured and regulated systems, restricting its flow. This latter tendency is at work in the capitalist exploitation that Marx rallied against. Lyotard interprets these two tendencies of capitalism in terms of the theory of dissimulation. For Lyotard, there is no possible society that is not open to the desire to exploit and hoard libidinal energy in the way the capitalist does. This means that there is no utopian society free from exploitation, either pre-capitalist or post-revolutionary. Lyotard’s libidinal politics is not aimed at overthrowing capitalism, then, but of working within it to release the libidinal energies dissimulated within its structures. Practically, this also means working within existing political institutions, but “passively,” so as to release as much desire dissimulated within those institutions as possible, without constraining desires through planned outcomes.

Lyotard’s postmodern politics involves the attempt to rethink the political after the death of metanarratives such as Marxism and liberalism. Lyotard rejects all dominant political ideologies as master-narratives which exclude minorities and do violence to the heterogenous nature of social reality. This rejection is manifested in the philosophy of paganism that preceded Lyotard’s postmodernism. Here, the notion of “impiety” associated with the pagan is a rejection of “pious” political ideologies which unquestioningly assert principles and values as universally and unquestioningly true. In its mature form, Lyotard’s postmodern politics deals with the concern for justice and the need to bear witness to the differend. In the case of a differend, a wrong is done to a party who cannot phrase their hurt (See Postmodernism (c) The Differend). For Lyotard, no just resolution of a differend is possible. Because of the radical incommensurability of phrase regimes in the case of a differend, any “resolution” would only assert the legitimacy of one phrase regime at the cost of silencing the other, thus deepening the wrong. Justice demands a witnessing and a remembering of the fact that there is a differend. This means presenting the fact that a wrong has been done which cannot itself be presented. This is then the contradictory task of presenting the unpresentable, a task Lyotard sees as best accomplished in the arena of art.

9. Art and Aesthetics

Lyotard was a prolific writer on both art and philosophical aesthetics. An aesthetic theory focusing on the avant-garde deeply informs both major phases of his philosophical thought (the libidinal and the postmodern). Examples from particular movements in art and individual artists and writers are common in his philosophical works, and in addition he wrote a number of books on individual artists, including Georges Guiffrey, Albert Ayme, Gian-franco Baruchello, Jacques Monory, Valerio Adami, Shusaku Arakawa, and Daniel Buren. Lyotard also organised an art exhibition, Les immatériaux, at the Centre Georges Pompidou in 1985. The exhibition collected works which explored connections between the media, art, space, and matter.

Art has a privileged place in Lyotard’s philosophy of events, since it calls attention to the limits of representation. In the earlier phase of his work, art is celebrated for its figural and libidinal aspects that oppose and deregulate systems of discourse and rational thought. In Lyotard’s postmodern period, art is privileged for its sublime effects and the attention it calls to the differend. It is not all kinds of art that Lyotard celebrates; he is particularly interested in the avant-garde. Some forms of art can reinforce structured systems of meaning, but the special feature of avant-garde art is to disrupt expectations, conventions, and established orders of reception. In Discours, figure, visual arts are associated with the figural and the process of seeing. However, poetry is also privileged as a manifestation of the figural in the way it upsets established orders of meaning, following Lyotard’s move from the figural as simply sensuous to the figural as disruptive force in any system. The libidinal philosophy engages with art on the level of its affective force: shapes and colours act as tensors within the system of signification that the artwork forms, and unlike more rigidly structured systems, artworks more readily release their affective energy into different systems of interpretation, reception, and influence. Furthermore, the process of painting exemplifies the ambiguously passive yet active way in which Lyotard sees the release of libidinal energies as most effective. A painting is not a rigidly pre-planned structured piece of work in which the outcome is determined beforehand, but a process of experimentation. In this process, affects are inscribed on a surface without being strictly controlled by an actively willing and organising subject. The most important artists for Lyotard in this period include Paul Cézanne, Marcel Duchamp, and Robert Delaunay.

In Lyotard’s philosophy of postmodernism and the differend, he develops an aesthetic theory of postmodern art. It is essential to distinguish Lyotard’s concept of postmodern art from other ideas of postmodern art. There are many theories of postmodernism in the arts, literature, architecture, and other areas of cultural practise. Other theorists (such as Jean Baudrillard) have also proposed aesthetic theories of postmodernism which differ from Lyotard’s understanding of postmodernism in the arts. In particular, Lyotard’s postmodern art must be distinguished from the stylistic trends often called postmodern in the art world (such as the anti-modern return to representational realism or the simulationism of Peter Halley, Sherrie Levine, Jeff Koons and others). Lyotard’s concept of postmodernism in the arts relates more to what is usually called modernism in the arts. It focuses on the experimentation of the avant-garde, and Lyotard takes as privileged examples Abstract Expressionism and particularly the work of Barnett Newman. Lyotard makes his own distinction between the categories of modern and postmodern in art, however, in a couple of ways. Firstly, postmodernism is said to be the avant-garde movement always at work within modernism itself. It is that which is so new and different it can only be called modern in retrospect. In this sense, postmodernism is the spirit of experimentation that drives modernism into ever-changing forms; it is the disruptive force that unsettles accepted rules for reception and meaning. For Lyotard something must be postmodern before it can become modern. That is, it must be unsettling before it becomes an accepted norm.

Secondly, however, according to Lyotard postmodern avant-garde art never entirely loses its ability to disturb. This power of disturbance is related to the feeling of the sublime, and it is an indication of the differend. In this context, modern and postmodern art can be distinguished in the following way. Both are concerned with the unpresentable: that which cannot be presented (or represented) in art. Modern art, however, presents the fact that there is an unpresentable, while postmodern art attempts to present the unpresentable. This is a paradoxical task, and arouses in the viewer the mixture of pleasure and pain that is the sublime. Lyotard takes Barnett Newman’s work as a paragon of postmodern, avant-garde art. Newman consciously seeks to achieve the sublime in his paintings, and Lyotard believes he achieves this by making his viewers feel that something profound and important is going on in his works, but without being able to identify what this is. Postmodern art has a political importance for Lyotard, since it can call attention to differends through the feeling of the sublime, showing us that a wrong has been done. Bearing witness to the differend is the primary focus of Lyotard’s postmodern politics, and art is the privileged arena in which this witnessing takes place.

10. Late Works

a. Malraux

Two of Lyotard’s latest works were on the French writer, activist, and politician, André Malraux. Signed, Malraux is an unconventional autobiography. Lyotard’s philosophical commitments distance him from the presuppositions underlying the traditional genre of biography, where the subject is assumed to be unified and the text is taken to represent the truth about that subject. Lyotard instead takes Malraux as a set of heterogenous elements (texts, political activities, personal relationships, etc), which he, as author, consciously unifies through the creation of a fictional character. Lyotard’s interest in Malraux may be explained through the commonalities they share, in particular a problematic relation to the political and an attempted solution to this problem through art. Soundproof Room: Malraux’s Anti-Aesthetics situates Malraux’s work in a nihilist and abjectivist tradition of writers that includes Louis Céline, Georges Bataille, Antonin Artaud, and Albert Camus. What these writers share is a concern with the decline of belief in objective values (the “death of God”) and the strangeness and nausea of the human body.

b. Augustine

The Confession of Augustine was incomplete at the time of Lyotard’s death, and has been published posthumously in partial form, with working notes appended. At first glance this somewhat cryptic, poetic, and quasi-religious work seems to bear little resemblance to any other piece in Lyotard’s oeuvre. On closer inspection, however, the themes Lyotard works through in his reading of Augustine’s Confessions can be recognised as those already touched on in earlier works. The discussion of signs recalls Lyotard’s analysis of the nihilism of semiotics in Libidinal Economy, where he refers to Augustine, and what is perhaps the main theme of this work – Augustine’s writing as a study in the phenomenology of time – is referred to in the earlier paper “The Sublime and the Avant-Garde.” Lyotard reads Augustine as the precursor to the phenomenological studies of time developed by Edmund Husserl, Martin Heidegger, and Jean-Paul Sartre. This study problematises the temporal mode of the ‘now’, the present, in its relations to the past and the future. The problematic of time is a recurring feature in Lyotard’s work, and thus The Confession of Augustine can be seen as a further investigation into one of Lyotard’s ongoing concerns.

11. References and Further Reading

The following is a list of books by and about Lyotard available in English. For further bibliographical references, including further original French editions, journal articles, and contributions by and about Lyotard, see Lyotard’s  Peregrinations and Joan Nordquist’s Jean-François Lyotard: A Bibliography.

a. Books by Lyotard

  • Phenomenology, trans. Brian Beakley (Albany: State University of New York Press, 1991). Trans. of La Phénoménology (Paris: Presses Universitaires de France, 1986). [1st. ed. 1954]
  • Discourse, Figure, trans. Antony Hudek and Mary Lydon (Minneapolis: University of Minnesota Press, 2011). Trans. of Discours, figure (Paris: Klincksieck, 1971).
  • Driftworks, ed. Roger McKeon (New York: Semiotext(e), 1984). Trans. of several essays from Dérive à partir de Marx et Freud (Paris: Union Général d’Editions, 1973) and Des Dispositifs Pulsionnels (Paris: Union Général d’Editions, 1973).
  • Libidinal Economy, trans. Iain Hamilton Grant (London: Athlone, 1993). Trans. of Économie libidinale (Paris: Minuit, 1974).
  • Duchamp’s TRANS/formers, ed. Herman Parret, trans. Ian McLeod. Jean-François Lyotard: Writings on Contemporary Art and Artists vol. III (Leuven: Leuven University Press, 2010). Bilingual edition with trans. of Les Transformateurs Duchamp (Paris: Galilée, 1977).
  • Pacific Wall, trans. Bruce Boone (Venice: Lapis Press, 1990). Trans. of Le Mur du Pacifique (Paris: Galilée, 1979).
  • (With Jean-Loup Thébaud) Just Gaming, trans. Wlad Godzick (Minneapolis: University of Minnesota Press, 1985). Trans. of Au juste: conversations. (Paris: Bourgois, 1979).
  • The Postmodern Condition: A Report on Knowledge, trans. Geoff Bennington and Brian Massumi (Manchester: Manchester University Press, 1984). Trans. of La Condition postmoderne: rapport sur le savoir (Paris: Minuit, 1979).
  • The Differend: Phrases in Dispute, trans. Georges Van Den Abbeele (Manchester: Manchester University Press, 1988). Trans. of Le Différend (Paris: Minuit, 1983).
  • The Assassination of Experience by Painting, Monory, trans. Rachel Bowlby and Jeanne Bouniort, ed. Sarah Wilson (London: Black Dog, 1998). Bilingual edition with trans. of L’Assassinat de l’expérience par la peinture, Monory (Paris: Le Castor Astral, 1984). Also forthcoming as Vol. VI of Jean-François Lyotard: Writings on Contemporary Art and Artists (Leuven: Leuven University Press).
  • Enthusiasm: The Kantian Critique of History, trans. Georges Van Den Abbeele (Stanford: Stanford University Press, 2009). Trans. of L’Enthousiasme: la critique kantienne de l’histoire (Paris: Galilée, 1986).
  • The Postmodern Explained to Children, ed. Julian Pefanis and Morgan Thomas (Sydney: Power Publications, 1992). Trans. of Le Postmoderne expliqué aux enfants: correspondance 1982-1985 (Paris: Galilée, 1986).
  • What to Paint? Adami, Arakawa, Buren, ed. Herman Parret. Jean-François Lyotard: Writings on Contemporary Art and Artists vol. V (Leuven: Leuven University Press, forthcoming). Bilingual edition with trans. of Que peindre? Adami. Arakawa. Buren (Paris: Éditions de la Différence, 1987).
  • Peregrinations: Law, Form, Event (New York: Columbia University Press, 1988).
  • Heidegger and “The Jews”, trans. Andreas Michel and Mark S. Roberts (Minneaplis: University of Minnesota Press, 1990). Trans. of Heidegger et “les juifs” (Paris: Galilée, 1988).
  • The Inhuman: Reflections on Time, trans. Geoffrey Bennington and Rachel Bowlby (Cambridge: Polity Press, 1991). Trans. of L’Inhumain: causeries sur le temps (Paris: Galilée, 1988).
  • Lessons on the Analytic of the Sublime: Kant’s Critique of Judgment, 23-29, trans. Elizabeth Rottenberg (Stanford: Stanford University Press, 1994). Trans. of Leçons sur l’Analytique du sublime: Kant, Critique de la faculté de juger, 23- 29 (Paris: Galilée, 1991).
  • Sam Francis: Lesson of Darkness, trans. Geoffery Bennington, ed. Herman Parret. Jean-François Lyotard: Writings on Contemporary Art and Artists vol. II (Leuven: Leuven University Press, 2010). Bilingual edition. First edition: Sam Francis: Lesson of Darkness, trans. Geoffery Bennington (Los Angeles, CA: Lapis Press, 1993).
  • Postmodern Fables, trans. Georges Van Den Abbeele (Minneapolis: University of Minnesota Press, 1997). Trans. of Moralités postmodernes (Paris: Galilée, 1993).
  • (with Eberhard Gruber) The Hyphen: Between Judaism and Christianity, trans. Pascale-Anne Brault and Michael Naas (Atlantic Highlands, NJ: Humanity Books, 1999). Trans. of Un trait d’union (Sainte-Foy, Quebec: Editions Le Griffon d’argile, 1994).
  • Signed Malraux, trans. Robert Harvey (Minneapolis: University of Minnesota Press, 1999). Trans. of Signé Malraux: biographie (Paris: Grasset, 1996).
  • Karel Appel: A Gesture of Colour, ed. Herman Parret, trans. Vlad Ionescu and Peter W. Milne. Jean-François Lyotard: Writings on Contemporary Art and Artists vol. I. (Leuven: Leuven University Press, 2009). Bilingual edition. Original German edition: Karel Appel: Ein Farbgestus, Essays zur Kunst Karel Appels mit einer Bildauswahl des Autors (Berlin: Gachnang & Springer, Bern, 1998).
  • Soundproof Room: Malraux’s Anti-aesthetics, trans. Robert Harvey (Stanford: Stanford University Press, 2001). Trans. of La Chambre sourde: L’Antiésthetique de Malraux (Paris: Galilée, 1998).
  • The Confession of Augustine, trans. Richard Beardsworth (Stanford: Stanford University Press, 2000). Trans. of La Confession d’Augustin (Paris: Galilée, 1998).
  • The Lyotard Reader, ed. Andrew Benjamin (Oxford: Blackwell, 1989).
  • Toward the Postmodern, ed. Robert Harvey and Mark S. Roberts (New Jersey: Humanities Press, 1993).
  • Jean-François Lyotard: Political Writings, trans. and ed. Bill Readings and Kevin Paul Geiman (London: UCL, 1993).
  • The Lyotard Reader and Guide, Ed. Keith Crome and James Williams (Edinburgh: Edinburgh University Press, 2006).
  • Miscellaneous Texts I: Aesthetics and Theory of Art, ed. Herman Parret, trans. Vlad Ionescu, Erica Harris and Peter W. Milne. Jean-François Lyotard: Writings on Contemporary Art and Artists vol. IVa (Leuven: Leuven University Press, 2012).
  • Miscellaneous Texts II: Contemporary Artists, ed. Herman Parret, trans. Vlad Ionescu, Erica Harris and Peter W. Milne. Jean-François Lyotard: Writings on Contemporary Art and Artists vol. IVb (Leuven: Leuven University Press, 2012).

b. Books about Lyotard

  • Benjamin, Andrew (ed.), Judging Lyotard (London: Routledge, 1992).
  • Bennington, Geoffrey, Lyotard: Writing the Event (Manchester: Manchester University Press, 1988).
  • Bennington, Geoffrey, Late Lyotard (CreateSpace, 2008).
  • Browning, Gary K., Lyotard and the End of Grand Narratives (Cardiff: University of Wales Press, 2000).
  • Carrol, David, Paraesthetics: Foucault, Lyotard, Derrida (London: Routledge, 1987).
  • Crome, Keith, Lyotard and Greek Thought: Sophistry (Houndmills, Basingstoke: Palgrave Macmillan, 2004).
  • Curtis, Neal, Against Autonomy: Lyotard, Judgement and Action (Aldershot, Hants & Burlington, VT: Ashgate, 2001).
  • Dhillon, Pradeep A. and Paul Standish, eds., Lyotard: Just Education (London & New York: Routledge, 2000).
  • Grebowicz, Margaret (ed.), Gender After Lyotard (Albany: SUNY, 2007).
  • Haber, Honi Fern, Beyond Postmodern Politics : Lyotard, Rorty, Foucault (New York : Routledge, 1994).
  • Harvey, Robert, ed., Afterwords: Essays in Memory of Jean-François Lyotard (Stony Brook, NY: Humanities Institute, 2000).
  • Harvey, Robert and Lawrence R. Schehr, eds., Jean-François: Time and Judgment (New Haven & London: Yale University Press, 2001).
  • Jones, Graham, Lyotard Reframed (London: I. B. Tauris, forthcoming).
  • Kearney, Richard, Poetics of Imagining: From Husserl to Lyotard (London: HarperCollins Academic, 1991).
  • Kilian, Monika, Modern and Postmodern Strategies: Gaming and the Question of Morality: Adorno, Rorty, Lyotard, and Enzensberger (New York: Lang, 1998).
  • Malpas, Simon, Jean-François Lyotard (New York: Routledge, 2002).
  • Nordquist, Joan, Jean-François Lyotard: A Bibliography (Santa Cruz, CA: Reference and Research Services, 1991).
  • Nouvet, Claire, Zrinka Stahuljak and Kent Still (eds.), Minima Memoria: Essays in the Wake of Jean-François Lyotard (Stanford, CA: Stanford University Press, 2006).
  • Pefanis, Julian, Heterology and the Postmodern Bataille, Baudrillard, and Lyotard (Durham: Duke University Press, 1991).
  • Peters, Michael (ed.), Education and the Postmodern Condition (Wesport, Connecticut & London: Bergin & Garvey, 1995).
  • Raffel, Stanley, Habermas, Lyotard and the Concept of Justice (London: Macmillan Press, 1992).
  • Readings, Bill, Introducing Lyotard: Art and Politics (London: Routledge, 1991).
  • Robbins, Derek (ed.), Jean-François Lyotard. 3 vols. (London; Thousand Oaks: Sage, 2004).
  • Rojeck, Chris and Turner, Bryan S. (ed.) The Politics of Jean-François Lyotard. (London: Routledge, 1998).
  • Sheilds, Rob and Heidi Bickis (eds.), Listening to the Late: New Encounters with Jean-François Lyotard (Surrey: Ashgate, forthcoming).
  • Silverman, Hugh J. (ed.), Lyotard: Philosophy, Politics and the Sublime (New York: Routledge, 2002).
  • Sim, Stuart, Jean-François Lyotard (New York: Prentice Hall/Harvester Wheatsheaf, 1995).
  • Sim, Stuart, Lyotard and the Inhuman (Cambridge: Icon/Totem, 2000).
  • Sim, Stuart (ed.), The Lyotard Dictionary (Edinburgh: Edinburgh University Press, 2011).
  • Slade, Andrew, Lyotard, Beckett, Duras, and the Postmodern Sublime (New York: Peter Lang, 2007).
  • Steuerman, Emilia, The Bounds of Reason: Habermas, Lyotard, and Melanie Klein on Rationality (London & New York: Routledge, 2000).
  • Taylor, Victor E. and Gregg Lambert (eds.), Jean-François Lyotard: Critical Evaluations in Cultural Theory (London; New York: Routledge, 2005).
  • Williams, James, Lyotard: Towards a Postmodern Philosophy (Cambridge: Polity Press, 1998).
  • Williams, James, Lyotard and the Political (London: Routledge, 2000).
  • Woodward, Ashley, Nihilism in Postmodernity: Lyotard, Baudrillard, Vattimo (Aurora, Colorado: The Davies Group, 2009).

Author Information

Ashley Woodward
Email: phallacy@tpg.com.au
The Melbourne School of Continental Philosophy
Australia