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VOLUME I
Associate Editors
HERMAN BERNICK OTTO BIRD PETER WOLFF
Editorial Staff
ROBERT ANDERSON DONALD HOLLENHORST DANIEL FETLER
AARON BELL LEONARD OLSEN NORMAN ATWOOD GARIS
SAUL BELLOW JANET POLLAK JOHN HARMON
JOAN BERNICK JOHN SLEDGE GERTRUDE JAEGER
SEYMOUR CAIN WILLIAM SPARKS JACK LANDAU
ROBERT CAMPBELL DOROTHY HODSON VINING RICHARD LEWIS
FREDERIC CAMPER URSULA VON ECKARDT WERNER Low
JOYCE CONNOR ELEANOR FRANK WHITE CHARLES NELSON
MARY JANE DEICHES BENJAMIN ZIMMERMAN HELOISE OLSEN
GORDON DUPEE MARY REIS
RAYMOND ELLINWOOD THOMAS COSGROVE lOLA SCOFIELD
WILLIAM GERHARD JAMES DOYLE SHIRLEY SHAPIRO
ROBERT HEMENWAY JAMES ELLINGTON MARGARET STERN
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VOLUME I
PREFACE Xl
VOLUME II
EXPLANATION OF REFERENCE STYLE IX
INVENTORY OF TERMS .
CONTENTS
B.
y calling this work "a Syntopicon of Great Books of the Western
. World," the editors hope to characterize its nature, to indicate the
function it performs in relation to the set as a whole, and to assert its
originality as an intellectual instrument. The relation of these two volumes
of The Great Ideas to the rest of the set is the key to the nature of the Syn-
topicon and its originality as an instrument. Apart from this relation, The
Great Ideas, though to some extent readable in itself, does not perform
the function for which it was created-to show that the 443 works which
comprise Volumes 4 to 54 can be seen and used as something more than a
collection of books.
The great books are pre-eminently those which have given the western
tradition its life and light. The unity of this set of books does not consist
merely in the fact that each member of it is a great book worth reading.
A deeper unity exists in the relation of all the books to one tradition, a
unity shown by the continuity of the discussion of common themes and
problems. It is claimed for this set of great books that all the works in it
are significantly related to one another and that, taken together, they ade-
quately present the ideas and issues, the terms and topics, that have made
the western tradition what it is. More than a collection of books, then, this
set is a certain kind of whole that can and should be read as such.
The Great Ideas results froni and records such a reading of the great
books. The aim of this "syntopical reading" was to discover the unity and
continuity of western thought in the discussion of common themes and
problems from one end of the tradition to the other. The Syntopicon does
not reproduce or present the results of this reading in a digest to save
others the trouble of reading the great books for themselves. On the con-
trary, it only lays down the lines along which a syntopical reading of the
great books can be done, and shows why and how it should be done. The
Xl
xii THE GREAT IDEAS
various uses of the Syntopicon, described in Section III of this Preface, all
derive from its primary purpose-to serve as a guide to the reading of
Great Books of the Western World as a unified whole.
The lines along which a syntopical reading of the great books can and
should be done are the main lines of the continuous discussion that runs
through the thirty centuries of western civilization. This great conversa-
tion across the ages is a living organism whose structure the Syntopicon
tries to articulate. It tries to show the many strands of this conversation be-
tween the greatest minds of western civilization on the themes which have
concerned men in every epoch, and which cover the whole range of man's
speculative inquiries and practical interests. To the extent that it succeeds,
it reveals the unity and continuity of the western tradition.
It was with these considerations in mind that the editors called The
Great Ideas a syntopicon of th~ great books-literally, a collection of the
topics which are the main themes of the conversation to be found in the
books. A topic is a subject of discussion. It is a place at which minds meet
-to agree or disagree, but at least to communicate with one another
about some common concern. Just as a number of minds, or what they
have to say, can be related by their relevance to a common theme, so a
number of topics can be related by their relevance to a common term-a
single concept or cat~gory which generates a number of problems or
themes for discussion. Hence the Syntopicon is organized, first, by a list-
ing of the ideas that ~re the important common terms of discussion; and,
then, by an enumeration of the topics that are the various particular points
about which the discussion of each of these ideas revolves.
The full title of this work-The Great Ideas, a Syntopicon of Great
Books of tM Western World-thus indicates not only that its structure
consists of terms and topics, but also. that it functions as a guide to the
great books from which its terms and topics are drawn. But the title may
fail to indicate another equally important function which the Syntopicon
performs when it is taken together with the great books. By serving as a
guide to the syntopical reading of the great books, it, does more than trans-
form them from a mere collection of books into a unified whole; it trans-
forms them into a new kind of encyclopaedic whole-:-a new kind of
reference library. Without in any way interfering with all the values the
great books have as books to be read individually, the Syntopicon gives
J,lREFACE xiii
The Great Ideas consists of 102 chapters, each of which provides a syn-
topical treatment of one of the basic terms or concepts in the great books.
As th~ Table of Contents indicates, the chapters are arranged in the alpha-
betical order of these. 102 terms or concepts: from ANGEL to LOVE in V01-
ume I, and from MAN to WORLD in Volume II. "
Following the chapter on WORLD; there are twp appendices~ Appendix I
is a Bibliography of Additional Readings. Appendix II is an essay on the
Principles and Methods of Syntopical Construction .. These two appendices
:U;~ in turn followed by an Inventory of Terrp.s.
content, will find in its subordinate topics references to the great books
on various aspects of the general subject he has in mind.
term is a principal element. It cites these by giving the name of the chapter
in which the topic appears, and the number of the topic in that chapter.
The reader can find the topic in which he is interested by looking in the
Ihventory for the term or terms that would appear in a statement of the
subject.
The user of the Syntopicon may have a broader interest than can be ex-
pressed in a particular topic. He may wish to examine the whole range of
discussion of a basic concept, whether that be one of the great ideas or
some other term. This may involve, not one or two topics, but a large
number, as is certainly the case for the great ideas, and for many other
important concepts as well. Since the Inventory of Terms cites all the top-
ics in which each term is significantly involved, it enables the reader to
investigate the whole range of the discussion in the great books relevant to
that term.
Among the terms listed in the Inventory are the names of the 102
great ideas. This does not duplicate the information furnished by the
Table of Contents. For each of the great ideas, the Table of Contents lo-
cates only the whole chapter which deals with that great idea; whereas
the Inventory of Terms usually cites topics in many other chapters, in ad-
dition to the chapter on that idea itself. For the reader who wishes to ex-
plore the discussion of a great idea as thoroughly as possible, the Inven-
tory of Terms supplements the topics to be found in the chapter on that
idea, and even those mentioned in the Cross-References of that chapter.
The 1800 terms in the Inventory are listed alphabetically, and for each
term the relevant topics are cited in the alphabetical order of the chapters
in which the topics occur. Sometimes the topics are divided into two
groups, of primary and secondary importance. Within each group, the
chapters are alphabetically arranged.
The Inventory is likely to present only one difficulty to the person who
consults it in order to find a particular topic. The first step in the location
of a topic is accomplished when the reader turns in the Inventory to the
term that he thinks is involved in a statement of the subject of his interest.
But, finding a number of topics cited there, he must choose among them:.
There are two ways for him to proceed: (1) he can examine the topics
one after another, until he finds the one which satisfies him as a state-
ment of the subject; or (2) he can use the names of the chapters in which
the topics occur as a clue to finding the topic which states the subject of
xx THE GREAT IDEAS
his inquiry. Since the content of particular topics is largely determined by
the idea under which they fall, the chapter names will quite frequently
prove a reliable guide.
A brief note, at the beginning of the Inventory of Terms, explains its
construction and furnishes directions for its use. Nothing more need be
said here of its. structure, or of its utility in making the Syntopicon a ref-
erence book.. But a word should be added about the significance of the In-
ventory in relation to the great ideas.
The division of the Syntopicon into 102 chapters may give rise to the
notion that its editors think there are only 102 ideas worth discussing. The
number of really great, that is, primary or pivotal ideas may be smaller or
larger than 102. That number represents an editorial judgment which was
made in the course of constructing the Syntopicon. How it was reached is
explained elsewhere (see Appendix II, Section I); but here it should be
said that it does not represent a judgment by the editors that the 102 terms
selected by them are the only concepts or ideas which have notable sig-
nificance in the tradition of western thought. The Inventory of Terms
manifests exactly the opposite judgment. Its 1800 words or phrases express
important concepts. Though many of these will immediately be seen to
have much less comprehensive or critical meaning than the 102 major
terms of the Syntopicon, they all have general currency or importance
in some special field of inquiry. They also represent notions or topics
which fall under one or more of the 102 great ideas.
the principles. adopted. While freeing the Preface from the burden of
fuller explanations, they nevertheless hoped to provide systematic an-
swers to questions which might arise in the reader's mind as a result of
using the Syntopicon.
FOR THE BEGINNING READER-in the extreme case, a person who has read
none of the great books-a syntopical reading, done in accordance with
the references under even a few topics, works in three ways: initiatively,
suggestively, and instructively.
It works initiatively by overcoming the initial difficulty that anyone
faces when confronted by a collection of books as vast and, in a sense, as
overpowering as Great Books of the Western World. The problem is
where to begin and in what order to proceed. There are many solutions to
this problem, usually in the form of courses of reading based on different
principles of selection; but these usually require the reading of whole
books or, at least, the integral reading of large parts of them.
It is a matter of general experience that this kind of solution seldom
achieves the intended result. A syntopical reading of the great books pro-
vides a radically different sort of solution. which promises to be more ef-
fective. It initiates the reading of the great books by enabling persons to
read in them on the subjects in which they are interested; and on those
subjects, to read relatively short passages from a large number of authors.
It assumes only that every educable mind has some interest in one or more
of the themes, problems, or ideas on which the great books touch.
A syntopical reading may also work suggestively. Starting from a read-
er's existing interest in a particular topic, it may arouse or create an interest
in other topics related to those which initiated his reading in the great
books. The syntopical reading of a collection of authors under a particular
topic may also impel the reader to look beyond the passages cited. Except
XXVi THE GREAT IDEAS
when they cite whole works, the references cite passages which neces-
sarily exist in a context, ultimately the context of the whole book. Few of
these passages are absolutely self-contained. For few of them can it be said
that it will be finally satisfactory to read them without looking further
into the author's thought. Hence, proceeding along the natural lines of
his own interests, the reader may be led from reading small parts of cer-
tain books to reading larger parts and, eventually, to reading whole books.
If this process is repeated, each syntopical reading may occasion and stimu-
late a more and mQre extensive integral reading of the great books.
Working initiatively and suggestively, syntopical reading opens the
great books at the pages of maximum interest to the individual and, by
the force of the passages read and their dependence on context, carries him
from reading parts to reading whole works. Syntopical reading works in-
structively when it guides the mind in interpreting and understanding .the
passages or works being read. It does this in three ways.
First, the topic in connection with which the passage is being read serves
to give direction to the reader in interpreting the passage. But it does not
tell him what the passage means, since the passage cited may be relevant
to the topic in anyone of a number of ways. Hence the reader is called
upon to discover precisely what relevance the passage has to the topic. To
learn to do this is to acquire a major skill in the art of reading.
Second, the collection of a number of passages on the same topic, but
from different works and different authors, serves to sharpen the reader's
interpretation of each passage read. Sometimes, when passages from the
same book or author are read in sequence and in the context of one an-
other, each becomes clearer. Sometimes the meaning of each of a series of
contrasting or conflicting passages from different books or authors is ac-
centuated when they are read against one another. And sometimes the
passages from one author, by amplifying or commenting on the passages
cited from another, materially help the reader's understanding of the sec-
ond author.
Third, if the individual does a syntopical reading of the great books
under a number of distinct topics, the fact that the same passage will often
be found cited under two or more topics will have its instructive effect.
As relevant to distinct topics, the passage must have an amplitude of
meaning which the reader will come to perceive when he interprets it
somewhat differently in relation to different topics. Such multiple inter-
PREFACE XXVll
pretation not only is a basic exercise in the art of reading, but also tends
to make the mind habitually alert to the many strains of meaning which
any rich or complex passage can contain.
In this description of the ways in which a syntopical reading instructs in
the art of reading the great books, we have emphasized only the influence
of the topic under which the reading is done and the effect of reading one
passage in relation to another or in relation to several distinct topics. But
to assure or reinforce its instructive effect, two other factors may operate
in the background of a syntopical reading. One is the whole Outline of
Topics, which places a particular topic.in the context of other topics under
the same idea. The other is the Introduction to that idea, which may help
the reader to interpret the particular topic, thereby increasing the effective-
ness of that topic as a guide to the interpretation of the works or passages
referred to under it.
IF WE TURN NOW FROM THE BEGINNING READER to the more mature student
or scholar-in the extreme case, a person who has read through many, if
not all, of the great books-we shall see that a syntopical reading works
in a different way. It no longer need function initiatively or suggestively;
nor, for the competent reader, need it serve instructively, to develop skill
in the art of reading. But it does provide the occasion and ,the materials
for a more intepsive and critical reaping of passages already read; and it
supplements the reading of whole works independently of one another by
requiring an examination of these works, or passages from them, in mu-
tual relation, as relevant to the same topic.
It is the general experience of highly competent readers that a great
book can be read through many times without the attainment of such
complete mastery that the reader knows the relevance of every passage in
it to every theme it touches. On the contrary, the integral reading of a
great book, even when done more than once, seldom reveals even a large
part of its meaning. Only the most intensive scholarly study of a particu-
lar book or author ever arrives at such mastery.
Short of that, reading a great book through one or more times will in-
evitably leave unnoticed or only partly recognized many passages of criti-
cal significance to a particular theme or problem. Only when the book is
read with that particular subject in mind will these passages, hitherto
unobserved, be found.
XXVlll THE GREAT IDEAS
The truth of this can be verified by accomplished readers of 'the great
boaks if they will examine, under particular topics, passages from books
they have already read or even studied to some extent. Unless their previ-
ous reading of the books was done' in the light of the particular intellec-
tualinterestrepresented by this topic, they are likely to find some passages
that they never saw before, or at least never fully recognized as having
the significance they take on when read syntopically-in the light of this
topic and in relation to other works and passages relevant to the same
theme.
The Syntopicon can thus serve those who have already done, to a greater
or less extent, an integral reading of the great books. The method of syn-
topical reading not only provides a different and rewarding way of read-
ing them, but also carries the study of them to deeper and deeper levels of
understanding. It overcomes the defects of the ordinary integral reading
in several ways. It involves reading the great books in relation to one
another rather than' in isolation. It supplements the knowledge of whole
works by concentration on the significance of parts. Taking each of 3000
topics as the occasion for a purposeful reading in all the great books, it
makes possible the close study of each work in relation to all the problems
or issues on which it bears.
There is still another way in which the method of syntopical reading
can advance the study of the great books, or rather a studious use of them.
Here the aim is not to study the books themselves, but to consider a prob-
lem or an issue to the solution or Clarification of which they contribute.
The particular problem may involve many topics in one or morechap-
ters. It may involve a number of great ideas and many subordinate terms.
The organizati()n of the Syiltopicon enables the student of such a~ problem
to discover the range of the terms and topics traditionally involved in its
consideration. The References enable him to examine systematically, in
their chronological order or in any order he wishes, the record of western
thought concerning this problem, so far as it is contained in the great
books. The Additional Readings supplement these materials by citing
other books which bear upon the problem more or'less directly.
It does not seem an exaggeration to say that a person who has done all
the syntopical reading suggested by the References arid the Additional
Readings on' a particular problem, will have a fairly adequate knowledge
of that problem and its proposed solutions in the development of western
PREFACE XXIX
thought. The Syntopicon should be able to save the person who is begin-
ning his inquiry into a certain problem much of the preliminary labor of
research, and advance him rapidly to the point where he can begin to
think independently about it, because he knows what thinking has been
done. For the scholar, already advanced in his research on a given problem,
it may still be possible for the Syntopicon to serve some good purpose as
a reminder or a check ; it may even uncover a neglected passage, or throw
new light upon one by placing it in the context of other passages.
WHAT HAS JUST BEEN SAID about the studious or scholarly Use of the Syn-
topicon suggest,s how it may serve .as an instrument in teaching the great
books, or in using them as teaching materials. For the most part, the great
books enter the curricula of schools and colleges engaged in liberal
education only by way of courses in which some of these books, or most
of them, are read integrally. Ev>en when they are read in selections rather
than as wholes, they are, for the most part, used as materials in a general
course of study rather than as applicable to the study of particular subject
matters.
Without detracting from or competing with the unquestionable value
of such procedures, the Syntopicon offers another pedagogical use of the
great books. The method. of syntopical reading makes them available in
the teaching of. courses concerned with particular subject matters, or in
the conduct of seminars devoted to the study of particular problems. In
certain cases, it may encourage the reading of the great texts in place of
textbooks.
For a particular problem or subject matter, whose name is either one of
the great ideas or a major term in the Inventory of Terms, the Syntopicon
suggests some, if not all, .of the topics which deserve to be studied, and
some, if not all, of the works which deserve to be read in whole or part.
It thus provides a set of materials organized so as to be adaptable to the
method and interest of the individual teacher. For example, at one ex-
treme, the teacher can use the Syritopicon merely as a guide to supplemen-
taryreading; at the other extreme, he can use it to construct his own set
of textual materials, selected from the References and the Additional
Readings and organized in the framework of a sequence of topics.
xxx THE GREAT IDEAS
the passage cited begins in the upper half of page 116 and ends in the
lower half of page 119. In the reference:
7 PLATO: Symposium, 163b-164c
the passage cited begins in the lower half of the left-hand column of page
163 and ends in the upper half of the right-hand column of page 164.
In references to works printed in two columns, the format of the page
XXXVi THE GREAT IDEAS
sometimes places continuous reading matter in the a and c sections of the
upper half of the page, or in the band d sections of the lower half of the
page. This occurs when a work or an author's division begins in the lower,
or ends in the upper, half of the two-column page. Where continuous read-
ing matter thus appears in discontinuous page sections, it is indicated by
a,c or b,d. For example:
14 PLUTARCH: Solon 64b,d-77a,c
means that the work cited begins in the lower half of page 64 and ends in
the upper half of page 77.
Footnotes or notes are sometimes specifically cited by themselves in the
references, in which case the page sections given correspond to their loca-
tion on the pages referred to. When a footnote or a note is not specifically
cited, the page sections given mark the beginning and the end of the text
referred to. The reader is expected to consult the footnotes or notes indi-
cated in the body of that text.
Chaucer's works (in Volume 22) are printed in two columns; the inside
column of each page contains the Middle English text, the outside column
a Modern English version. Since both columns contain equivalent pas-
sages, the references to this volume employ page sections (a and b) which
divide each page only into an upper and a lower half.
the passages from Plutarch are only a part of Lycurgus, and the passage
from Swift is only a few pages from Part II of Gulliver's Travels.
When the title of a work, or an author's division of a work, is not
separated by a comma from the page sections which follow, the reference
is to the whole work or to the whole of the indicated author's division.
For example, in the references:
14 PLUTARCH: Lycurgus 32a-48d
36 SWIFT: Gulliver, PART II 4Sa-87b
(2) Symbols
esp: The abbreviation "esp" precedes one or more especially relevant
passages which are contained within the page boundaries of a larger pas-
sage or a whole work that has just been cited.
Whenever passages contained within a single reference are especially
referred to, a comma after the page sections separates these passages. For
example:
42 KANT: Science of Right, 435a-441d esp 435c-436b, 437c-d, 438d-441d
(3) Abbreviations
The following is a list of the abbreviations used in the references. Unless
an abbreviation for the plural is listed below, the singular abbreviation is
used for both singular and plural words.
A ARTICLE [nJ note
AA ARTICLES aT. OLD TESTAMENT
ANS ANSWER par. paragraph
APH APHORISM PREF PREFACE
BK BOOK PROP PROPOSITION
CH CHAPTER Q QUESTION
COROL COROLLARY QQ QUESTIONS
(D) . DoUAY REP REPLY
DEF. DEFINITION SC SCENE
DEMONST DEMONSTRA TION SCHOL SCHOLIUM
DIV. DIVISION SECT SECTION
EXPL EXPLANATION SUPPL SUPPLEMENT
[fnJ . footnote TR TRACTATE
INTRO INTRODUCTION
REFERENCE STYLE xxxix
A dash in the column headed "Author's Divisions Cited" means that references
to the work or works in question cite page sections only. Where the author's divisions
cited are the same for several titles, they are named only once, either opposite the set
of titles as a whole, or opposite the last title in the group.
Titles in brackets are collective titles which appear on the title page of the work,
but do not appear in the references. The names of the authors of The Federalist (in
Volume 43) are bracketed because they do not appear in the references.
4 HOMER
The Iliad The Odyssey BOOK. Line
5 AESCHYLUS (c. 525-456 B.C.)
The Suppliant Maidens Agamemnon
The Persians Choephoroe
The Seven Against Thebes Eumenides Line
Prometheus Bound
xl THE GREAT IDEAS
Charmides Phaedo
Lysis Gorgias
Laches The Republic
Protagoras Timaeus
Euthydemus Critias
Cratylus Parmenides
Phaedrus Theaetetus
Ion Sophist
Symposium Statesman
Meno Philebus
Euthyphro Laws
Apology The Seventh Letter - - except Republic
Crito and Laws, BOOK
REFERENCE STYLE xli
Prior Analytics
Posterior Analytics BOOK, CHAPTER, Line
Topics
Sophistical Refutations--On Sophistical Refutations
f CHAPTER, Line
Physics
Heavens--On the Heavens
Generation and Corruption--On Generation and Corruption
BOOK, CHAPTER, Line
Meteorology
Metaphysics
Soul--On the Soul
Sense and the Sensible--On Sense and the Sensible
Memory and RJ:miniscence-On Memory and Reminiscence
Sleep--On Sleep and Sleeplessness
Dreams-On Dreams
CHAPTER, Line
Prophesying--On Prophesying by Dreams
Longevity-On Longevity and Shortness of Life
Youth, Life, and Breathing--On Youth and Old Age, On
Life and Death, On Breathing
9 ARISTOTLE
History of Animals
Parts of Animals--On the Parts of Animals } BOOK, CHAPTER, Line
Motion of Animals--On the Motion of Animals
Gait of Animals--On the Gait of Animals } CHAPTER, Line
Generation of Animals--On the Generation of Animals
Ethics-Nicomachean Ethics BOOK, CHAPTER, Line
Politics f
The Athenian Constitution CHAPTER, paragraph
Rhetoric BOOK, CHAPTER, Line
Poetics--On Poetics CHAPTER, Line
10 HIPPOCRATES (continued)
17 PLOTINUS (25-27)
First-Sixth Ennead--The Six Enneads TRACTATE, CHAPTER
27 SHAKESPEARE, WILLIAM
Twelfth Night--Twelfth Night; Antony and Cleopatra
or, What You Will Coriolanus
Hamlet--Hamlet, Prince of Denmark Timon of Athens
The Merry Wives of Windsor Pericles--Pericles, Prince of Tyre
Troilus and Cressida Cymbeline
All's Well That End>" Well The Winter's Tale
Measure for Measure The Tempest
Othello--Othello, the Moor of Venice Henry VIll--The Famous History
King Lear of the Life of King Henry
Macbeth the Eighth PROLOGUE, ACT, "SCENE, EPILOGUE, Line
Sonnets Number of Sonnet
41 GIBBON, EDWARD
Decline and Fall--The Decline and Fall of the
Roman Empire (continued), Chapters 41-71
REFERENCE STYLE xlix
44 (1740-1795)
BOSWELL, JAMES
Johnson--Life of Samuel Johnson, L.L.D.
48 (1819-1882)
MELVILLE, HERMAN
INTRODUCTION
I NFLUENCED by a long tradition of reli-
gious symbolism in painting and poetry,our
of its existence; anll, so considered, it functions
as an hypothesis in political and economic
imagination responds to the word "angel" by thought. What sort of being an angel would be
picturing a winged figure robed in dazzling if one existed can likewise serve as an hypothe-
white and having the bodily aspect of a human sis in the examination of a wide variety of
being. theoretical problems.
This image, common to believers and unbe- The idea of angels does in fact serve in pre-
lievers, contains features which represent some cisely this way as an analytical tool. It sharpens
of the elements of meaning in the abstract con- our understanding of what man is, how his mind
ception of angels as this is found in the writings operates, what the soul is, what manner of ex-
of Jewish and Christian theologians and in re- istence and action anything would have apart
lated discussions by the philosophers. The hu- from matter. Hence it suggests how matter and
man appearance suggests that angels, like men, its motions in time and space determine the
are persons; that they are most essentially char- characteristics of corporeal existence. Pascal's
acterized by their intelligence. The wings sug- remark-that "man is neither angel nor brute,
gest the function of angels-their service as and the unfortunate thing is that he who would
messengers from God to man. The aura of light act the angel acts the brute"-points to the
which surrounds them signifies, according to different conceptions of man which result from
established conventions of symbolism,' the spir- supposing him to be either angel or brute rather
ituality of angels. It suggests that to imagine than neither. Such views of human nature, con-
angels with bodies is 'to use a pictorial metaphor. sidered in the chapters on ANIMAL and MAN,
Another interpretation- might be put upon cannot be fully explored without reference to
this aura oflight if one considers the role which theories of the human mind or soul in its rela-
the notion of angel has played in the history of tion to matter and to body. As the chapters on
thought. Wherever that notion has entered in- MIND and SOUL indicate, theories carrying the
to discussions of God and man, of matter, names of Plato and Descartes, which attribute
mind, and soul, of knowledge and love, and to the human mind or soul the being and pow-
even of time, space, and motion, it has cast ers of a purely spiritual substance or entity,
light upon these other topics. The illumination seem to place man in the company of the angels.
which has been and can be derived from the In this tradition Locke applies the word "spir-
idea of angels as a special kind of being or nature its" equally to human minds and to supra-
is in no way affected by doubts or denials of human intelligences.
their existence.
Whether such beings exist or not, the fact IT WOULD BE misleading to suppose that the
that they are conceivable has significance for idea of angels is primarily a construction of the
theory and analysis. Those who do not believe philosophers-a fiction invented for their ana-
in the existence-or even the possible exist- lytical purposes; or that it is simply their con-
ence-of utopias nevertheless regard them as ception of a supra-mundane reality, concerning
fictions useful analytically in appraising ac- the existence and nature of which they dispute.
cepted realities. What an ideal society would be In the literature of western civilization, angels
like can be considered apart from the question first appear by name or reference in the Old
2 THE GREAT IDEAS
and the New Testaments. Readers of the Bible Old Testament, which the Church of England
will remember many scenes in which an angel holdeth for Canonical, from which we can con-
of the Lord performs the mission of acquainting clude, there is, or hath been created, any per-
man with God's will. Among the most memor- manent thing (understood by the name of Spirit
able of such occasions are the visits of the angels or Angel) that hath not quantity ... and, in
to Abraham and Lot and the angelic ministry sum, which is not (taking Body for that which
of Gabriel in the Annunciation to Mary. is somewhat or somewhere) Corporeal."
In one book of the Bible, Tobias (Tobit, as All the passages can be interpreted, Hobbes
it is called in the King James Apocrypha), one thinks, simply in the sense in which "angel"
of the leading characters is the angel Raph- means "messenger" and "most often, a messen-
ael. Through most of the story he appears as ger of God," which signifies "anything that
a man, but at the end, after he has accomplished makes known his extra-ordinary presence." If,
his mission, he reveals his identity. "I am the instead of existing only when they carry God's
angel Raphael," he declares, word to men, the angels are supposed to have
one of the seven, who stand before the Lord. permanent being, then they must be corporeal.
And when they had heard these things they were As "in the resurrection men shall be permanent
troubled; and being seized with fear they fell upon and not incorporeal," Hobbes writes, "so there-
the ground on their face. fore also are the angels ... To men that under-
And the angel said to them: Peace be to YOll.
Fear not. stand the signification of these words, suhstance
For when I was with you, I was there by the will and incorporeaf'-and mean by "incorporeal"
of God: bless ye him and sing praises to him. having no body at all, not just a suhtle body-
I seemed to eat and to drink with you; but I use the words taken together "imply a contradic-
an invisible meat and drink, which cannot be seen
by men. tion." Hence Hobbes argues that to say "an
It is time therefore that I return to him that sent angel, or spirit, is (in that sense) an incorporeal
me .... substance, is to say in effect that there is no
And when he had said these things, he was taken angel or spirit at all. Considering therefore the
from their sight; and they could see him no more. signification of the word angel in the Old Testa-
As A RESULT of scriptural exegesis and commen- ment, and the nature of dreams and visions that
tary, the angels become a fundamental topic for happen to men by the ordinary way of nature,"
Jewish theologians from Philo to Maimonides, Hobbes concludes that the angels are "nothing
and for such Christian theologians as Augustine, but supernatural apparitions of the fancy, raised
Scotus Erigena, Gregory the Great, Aquinas, by the special and extraordinary operation of
Luther, Calvin, Pascal, and Schleiermacher. God, thereby to make his presence and com-
They figure in the great poetry of the Judaeo- mandments known to mankind, and chiefly to
Christian tradition-in the Divine Comedy of his own people."
Dante, in Paradise Lost of Milton, and in Locke seems to take the exactly opposite po-
Chaucer's Canterhury Tales and Goethe's Faust. sition. Asserting that we have "no clear or
The philosophers, especially in the 17th and distinct idea of substance in general," he does
18th centuries, are motivated by Scripture or not think spirits any less intelligible than bodies.
provoked by theology to consider the existence, "The idea of corporeal suhstance," he writes, "is
the nature, and the activity of angels. Hobbes, as remote from our conceptions and apprehen-
for example, attacks the supposition that angels sions, as that of spirifual suhstance or spirit; and
are immaterial on the ground that the notion therefore, from our not having any notion of
of incorporeal substance is self-contradictory, the substance of spirit, we can no more con-
and undertakes to re-interpret all the scriptural clude its non-existence, than we can, for the
passages in which angels are described as spirits. same reason, deny the existence of body." Just
After examining a great many, he says that "to as we form the complex idea of bodies by sup-
mention all the places of the Old Testament posing their qualities, such as figure and motion,
where the name of Angel is found, would be or color and weight, to co-exist in some sub-
too long. Therefore to comprehend them all at stratum; so by supposing the activities we find
once, I say, there is no text in that part of the in ourselves-such as "thinking, understanding,
CHAPTER 1: ANGEL 3
willing, knowing, and the power of beginning (the bestower and creator of forms), and per-
motion, etc."-to co-exist in some substance, haps for angels or intelligences at once to recog-
"we are able to frame the complex idea of an nize forms affirmatively at the first glance of
immaterial spirit." contemplation. "
Not only does Locke think that "we have as
dear a perception and notion of immaterial sub- UNLIKE MOST of the great ideas with which
stances as we have of material," but he also we are concerned, the idea of angel seems to be
finds the traditional doctrine of a hierarchy of limited in its historical scope. It is not merely
angels quite acceptable to reason. "It is not im- that since the 18th century the discussion has
possible to conceive, nor repugnant to reason, dwindled, but also that the idea makes no ap-
that there may be many species of spirits, as pearance in the great books of pagan antiquity
much separated and diversified one from an- -certainly not in the strict sense of the term,
other by distinct properties whereof we have whereby "angel" signifies a creature of God,
no ideas, as the species of sensible things are dis- spiritual in substance and nature, and playing
tinguished one from another by qualities which a role in the divine government of the universe.
we know and observe in them." There are, nevertheless, analogous concep-
Locke goes even further-beyond the mere tions in the religion and philosophy of the an-
possibility of angels to the likelihood of their cients; and in philosophy at least, the points of
real existence. His reasoning resembles the tra- resemblance between the analogous concepts
di tional argument of the theologians on this dif- are sufficiently strong to establish a continuity
ficult point. "When we consider the infinite of discussion. Furthermore, elements in the
power and wisdom of the Maker," he writes, thought of Plato, Aristotle, and Plotinus exer-
"we have reason to think tha tit is sui table to cise a critical influence on Judaeo-Christian
the magnificent harmony of the Universe, and angelology.
the great design and infinite goodness of the Gibbon rela tes how the early Christians made
Architect, that the species of creatures should the connection between the gods of polytheism
also, by gentle degrees, ascend upward from us and their doctrine about angels. "It was the
toward his infinite perfection, as we see they universal sentiment both of the church and of
gradually descend from us downwards." heretics," he writes, "that the daemons were
Such speculations concerning the existence the authors, the patrons, and the objects of
and the order of angels are usually thought to idolatry. Those rebellious spirits who had been
be the province of the theologian rather than degraded from the rank of angels, and cast
the philosopher. But Bacon, like Locke, does down into the infernal pit, were still permitted
not think it unfitting for the philosopher to in- to roam upon the earth, to torment the bodies
quire into such matters. In natural theology- and to seduce the minds of sinful men. The
for him a part of philosophy-Bacon thinks it is daemons soon discovered and abused the nat-
improper "from the contemplation of nature, ural propensity of the human heart towards
and the principles of human reason, to dispute devotion, and, artfully withdrawing the adora-
or urge anything with vehemence as to the tion of mankind from their Creator, they
mysteries of faith." But "it is otherwise," he usurped the place and honors of the Supreme
declares, "as to the nature of spirits and angels; Deity."
this being neither unsearchable nor forbid, but In the polytheistic religions of antiquity, the
in a great part level to the human mind on demi-gods or inferior deities are beings supe-
accoun t of their affinity." rior in nature and power to man. "The poly-
He does not further instruct us concerning theist and the philosopher, the Greek and the
angels in the Advancement of Learning, but in barbarian," writes Gibbon, "were alike accus-
the Notlum Organum he throws light on their tomed to conceive a long succession, an infinite
nature as well as ours by touching on one char- chain of angels, or daemons, or deities, or aeons,
acteristic difference between the human and or emanations, issuing from the throne of light."
the angelic mind. Discussing there the theory of In Plato's Symposium, for example, Diotima
induction, he holds that "it is only for God tells Socrates that Love "is intermediate be-
4 THE GREAT IDEAS
tween the divine and the mortal ... and inter- are they an order of knowers as well as a realm
prets between gods and men, conveying and of knowables? Can they be regarded as sub-
taking across to the gods the prayers and sacri- stances? And if so, do they have a mode of ac-
fices of men, and to men the commands and re- tion appropriate to their mode of being-action
plies of the gods; he is the media tor who spans which is other than knowing, action which in
the chasm which divides them." Love, Diotima some way impinges on the course of events or
explains, is only one of "these spirits and inter- the motions of the physical world?
mediate powers" which "are many and diverse." Plotinus answers affirmatively that the pure-
Such demi-gods are intermediate by their ly intelligible beings are also pure intelligences,
very nature. Although superhuman in knowl- but he does not conceive them as having any
edge and action, they still are not completely power or action except that of knowledge. An-
divine. Occupying a place between men and other answer to these questions given in antiq-
gods, they are, according to Plato, "by nature uity and the Middle Ages is that the intelli-
neither mortal nor immortaL" Their existence gences are the celestial motors, the movers of
is necessary to fill out the hierarchy of natures. the heavenly bodies. "Since we see," Aristotle
They are links in what has come to be called writes, "that besides the simple spatial move-
"the great chain of being." ment of the universe, which we say that the
The analogy with the angels arises primarily first and unmovable substance produces, there
from this fact of hierarchy. Both pagan and are other spatial movements-those of the
Christian religions believe in an order of super- planets-which are eternal (for a body which
natural or at least superhuman beings graded in moves in a circle moves eternally), each of these
perfection and power. In both, these beings movements also must be caused by a substance,
serve as messengers from the gods to men; they both unmovable in itself and eternal." These
act sometimes as guardians or protectors, some- secondary movers, Aristotle thinks, are "of the
times as traducers, deceivers, and enemies of same number as the movements ot the stars,"
man. But the analogy cannot be carried much and not only must they be eternal and unmov-
further than this. The angels, according to able, as is the prime mover, but alsO "without
Christian teaching, are not inferior gods,or magnitude" or immaterial.
even demi-gods. As compared with the "inter- Plato offers an alternative hypothesis-that
mediate spirits" of pagan religion, they are less the celestial bodies are alive and have souls.
human in character, as well as less divine. This hypothesis, like Aristotle's, tends in the
Nevertheless, the reader of the great poems of Middle Ages to be restated in terms of the
antiquity will find a striking parallelism be- theory of angels. Aquinas reports Augustine as
tween the heavenly insurrection which under- thinking that "if the heavenly bodies are really
lies the action of Prometheus Bound and the living beings, their souls must be akin to the
angelic warfare in Paradise Lost. angelic nature." He himself holds that "spirit-
ual substances are united to them as movers to
IN THE WRITINGS of Plato, Aristotle, and Ploti- things moved," the proof of which, he says,
nus, philosophical inquiry turns from the sensi- "lies in the fact that whereas nature moves to
ble world of material things to consider the ex- one fixed end, in which having attained it, it
istence and nature of an order of purely intelli- rests; this does not appear in the movement of
gible beings. As there is an inherent connection the heavenly bodies. Hence it follows that they
between being perceptible to the senses and be- are moved by some intellectual substances."
ing material, so that which is purely intelligible The question whether intelligences govern
must be completely immaterial. If ideas exist the planets also occupies the attention of an
independently-in their own right and apart astronomer like Kepler. Although he denies
from knowing or thinking minds-then they any need for such intelligences-among other
constitute such an order of purely intelligible reasons because planetary motion is not circular
entities. but elliptical-he argues that the celestial
At this point a number of difficult questions movements are the work either "of the natural
arise. Are the intelligibles also intelligences, i.e., power of the bodies, or else a work of the soul
CHAPTER I: ANGEL 5
acting uniformly in accordance with those bod- sweetness of that most happy contemplation 01
ily powers." But whether or not they are to be Thyself ... cleaving close unto Thee, placed be-
regarded as movers, as well as knowers and k!zOtlJ- yond all the'rolling vicissitudes of times." It is
ables, the intelligences represent for ancient and for this reason that the angels are spoken of as
mediaeval thought a mode of being exempt "aeviternal. "
from the vicissitudes of physical change even as The familiar question concerning the num-
it is separate from matter. ber of angels able to stand on a needle's point-
if it was ever asked by mediaeval theologians-
WHEN MODERN philosophers consider spirits or merely poses the problem' of how an incorpo-
spiritual being, they seldom deal with the an- real substance occupies space. The way in which
cientspeculations about pure intelligibles or Aquinas discusses "angels in relation to place"
separate intelligences without being influenced discloses how the question serves to raise gen-
by the theological doctrine of angels which de- erally significant issues concerning the na ture of
veloped in mediaeval thought. space and quantity, and their relation to causal-
The extent of this doctrine may be judged ity. He points out thata body occupies place in
from the fact that the Summa Theologica of a circumscribed fashion, i.e., its dimensive
Aquinas contains a whole treatise on the angels, quantity is contained'within the space; whereas
as well as additional questions on the speech of "an angel is said to be in a corporeal place by
angels, their hierarchies and orders, the division application of the angelic power in any manner
between the good and the bad angels, and whatever to the place.... An incorporeal sub-
their action on men-the guardianship of the stance virtually contains the thing wi th which it
good angels and the assaults of the demons. comes into contact, and is not contained by it."
That these additional questions are contained To an objector who thinks that since, unlike
in the treatise on divine government throws bodies, angels do not fill a place, several can be
some light on their theological significance. in the same place at the same time, Aquinas re-
The primary fact about the angelic nature is plies that two angels cannot be in the same
immateriality. An angel is immaterial both in place because "it is impossible for two complete
its substantial being and in its characteristic ac- causes to be immediately the cause of one and
tivity which, says Aquinas, is "an altogether the same thing." Since an angel is where he
immaterial mode of operation." Being imma- acts, and since by the power of his action he
teri.al, they are also incorruptible. "Nothing is contains the place at which he acts, "there can-
corrupted except by its form being separated not be but one angel at one place."
from the matter ... Consequently," Aquinas Angels are also said to go from one place to
writes, "a subject composed of matter and form another without traversing the intervening
ceases to be actually when the form is separa ted space and without the lapse of time. Consider-
from the matter. But if the form subsists in its ing their immateriality, such action is less re-
own being, as happens in the angels, it cannot markable for angels to perform than is the ac-
lose its being." To signify that they are intelli- tion of electrons, which, according to modern
gences existing apart from matter, the angels quantum mechanics, jump from outer to inner
are sometimes called "subsisting forms" and orbits of the atom without taking time or pas-
sometimes "separate substances." sing through inter-orbital space.
Although they are imperishable in being and The immateriality of angels has other conse-
have immortal life, the angels are not, like God, quences which throw comparative light on the
truly eternal. "That heaven of heavens which conditions of corporeal existence. In the world
Thou createdst in the beginning is some in tellec- of physical things we ordinarily think of a
tual creature," Augustine writes, but it is in species as including a number of individuals.
"no ways coeternal untoThee." As created, the While all men have the same specific nature,
angels have a beginning. Yet, while not eternal, they differ numerically or individually. But be-
neither are they temporal creatures in contin- cause angels are immaterial substances, it is
ual flux, but, according to Augustine, they held that each angel is a distinct species.
"partake of Thy eternity . through the "Things which agree in species but differ in
6 THE GREAT IDEAS
number," Aquinas explains, "agree in form but as they are exalted to see. Those other loves,
are distinguished materially. If, therefore, the which go around them, are called Thrones of
angels are not composed of matter and form ... the divine aspect, because they terminated the
it follows that it is impossible for two angels to first triad .... The next triad, that in like man-
be of one species." ner bourgeons in this sempiternal spring which
Furthermore, as Aquinas states in another the nightly Aries despoils not, perpetually sing
place, among "incorporeal substances there can- Hosannah with three melodies, which sound in
not be diversity of number without diversity the three orders of joy ... first Dominations,
of species and inequality of nature." Each and then Virtues; the third order is of Powers.
species is necessarily higher or lower than an- Then in the two penultimate dances, the Prin-
other, so that the society of angels is a perfect cipalities and Archangels circle; the last is
hierarchy in which each member occupies a dis- wholly of Angelic sports. These orders all gaze
tinct rank. No two angels are equal as, on the upward, and downward so prevail, that towards
supposition that they share in the same specific God all are drawn, and all draw."
humanity, all men are. Yet such names as "sera-
phim" and "cherubim" and the distinction be- THE THEORY of angels raises many questions
tween archangels and angels indicate an organi- regarding the similarity and difference between
zation of spiritual substances into various them and disembodied souls. But for compari-
groups-according to the tradition, into nine son with men, perhaps the most striking conse-
orders or subordinate hierarchies. quences of the theory of angels as bodiless in-
The nine orders or ranks of angelic being are telligences concern the manner of their knowl-
described by Dante in the Paradiso as dis- edge and government. The comparison can be
tinct circles of love and light. Using these meta- made on quite different views of the nature of
phors he thus reports his vision of the heavenly man and the soul. In fact, diverse conceptions
hierarchy. "I saw a Point which was raying out of man or the soul can themselves be compared
light so keen that the sight on which it blazes by reference to the angelic properties which
must needs close because of its intense bright- one conception attributes to human nature and
ness. . . . Perhaps as near as a halo seems to another denies.
girdle the light which paints it, when the vapor Lacking bodies, the angels are without sense-
that bears it is most dense, at such distance perception and imagination. Not being im-
around the Point a circle of fire was whirling so mersed in time and motion, they do not reason
rapidly that it would have surpassed that mo- or think discursively as men do by reasoning
tion which most swiftly girds the world; and from premises to conclusion. Whereas "human
this was girt around by another, and that by intellects," according to Aquinas, "obtain their
the third, and the third then by the fourth, by perfection in the knowledge of truth by a kind
the fifth the fourth, and then by the sixth the of movement and discursive intellectual opera-
fifth. Thereon the seventh followed, so wide- tion ... as they advance from one known thing
spread now in compass that the messenger of to another," the angels, "from the knowledge
Juno entire would be narrow to contain it. So of a known principle ... straightway perceive
the eighth and ninth." as known all its consequent conclusions ... with
Beatrice explains to him how the relation of no discursive process at all." Their knowledge
the circles to one another and to the Point is intuitive and immediate, not by means of
which is God depends upon their measure of concepts abstracted from experience or other-
love and truth, whereby there is "in each wise formed, but through the archetypal ideas
heaven a marvellous agreement with its Intelli- infused in them at their creation by God. That
gence, of greater to more and of smaller to less." is why, Aquinas goes on to say, angels "are
She then ainplifies her meaning: "The first cir- called intellectual beings" as contrasted with
cles have shown to thee the Seraphim and the such rational natures as "human souls which ac-
Cherubim. Thus swiftly they follow their own quire knowledge of truth discursively." If men
bonds, in order to liken themselves to the Point "possessed the fulness of intellectual light, like
as most they can, and they can in proportion the angels, then in the first grasping of princi-
CHAPTER 1: ANGEL 7
pIes they would at once comprehend their the writers of The Federalist remark that "if
whole range, by perceiving whatever could be men were angels, no government would be
reasoned out from them." necessary." If they had considered that the an-
It would appear from this that conceptions of gelic society is governed by love alone and
the human intellect which minimize its depend- without force, they might have said, "if men
ence on sense and imagination, and which em- were angels, no coercion would be necessary in
phasize the intuitive rather than the discursive their government."
character of human thought, attribute angelic
power to man. The same may be said of theories ONE OF THE GREAT theological dogmas asserts
of human knowledge which account for its ori- that, from the beginning, the angels are divided
gin in terms of innate ideas or implanted prin" into two hosts-the good and evil spirits. The
ciples. Still another example of the attribution sin of Lucifer, or Satan, and his followers is that
of angelic properties to man is to be found in of disobedience, or rebellion against God, moti-
the supposition that human beings can commu- vated by a pride which refuses to be satisfied
nicate with one another by telepathy. The an- with being less than God. As Satan himself says,
gels are telepathic; one angel, it is said, can in Paradise Lost,
make its ideas known to another simply by an '.. pride and worse Ambition threw me down
act of will and without any exterior means of Warring in Heav'n against Heav'ns matchless King.
communication. .. All his good prov'd ill in me,
Lacking bodies, the angels are wi thou t bodil y And wrought but malice; lifted up so high
emotions, free from the human conflict be- I 'sdeind subjection, and thought one step higher
Would set me highest, and in a moment quit
tween reason and passion, and completely di- The debt immense of 'endless gratitude ...
rected in their love-or the motion of their will ........ And that word
-by what they know. In the Divine Comedy Disdain forbids me, and my dread of shame
Beatrice speaks of the angelic society as one in Among the spirits beneath, whom I seduc'd
which "the Eternal Love disclosed himself in Then to submit, boasting I could subdue
Th' Omnipotent.
new loves." Adverting to the division between
the good and the bad angels, she tells Dante, The theologians try to define precisely the
"those whom thou seest here were modest in nature of Satan's pride in wishing to be God;
grateful recognition of the Goodness which had "To be as God," Aquinas explains, "can be un-
made them apt for intelligence so great, where- derstood in two ways: first, by equality; sec-
fore their vision was exalted with illuminant ondly, by likeness. An angel could not seek to
grace and by their merit, so that they have full be as God in the first way, because by natural
and steadfast will." Yet their vision and love of knowledge he knew that this was impossible ...
God is not equal. In heaven "the Primal Light And even supposing it were possible, it would
that irradiates it all is received in it by as many be against natural desire, because there exists in
modes as are the splendors with which the everything the natural desire to preserve its
Light pairs Itself. Wherefore, since the affection own nature which would not be preserved were
follows upon the act that conceives, in this na- it to be changed into another nature. Conse-
ture the sweetness of love diversely glows and quently, no creature of a lower nature can ever
warms." covet the grade of a higher nature, just as an ass
Such a society, governed by knowledge and does not desire to be a horse."
love, has no need for the application of coercive It must be in the other way, then, Aquinas
force, for angels are ordered to one another in thinks, that Satan sinned by wishing to be like
such a way that no misunderstandings or dis- God. But this requires further explanation. "To
agreements can occur among them. The philo- desire to be as God according to likeness can
sophical anarchist who proposes the ideal of a happen in two ways. In one way, as to that
human society without restraint or coercion likeness whereby everything is likened unto
seems, therefore, to be angelicizing men, or at God. And so, if anyone desire in this way to be
least to be wishing for heaven on earth. Con- Godlike, he commits no sin; provided that he
ceiving government on earth in other term~, desires such likeness in proper order, that is to
8 THE GREAT IDEAS
say, that he may obtain it from God. But he commanded to." If it were otherwise, the war-
would sin were he to desire to be like God even fare between the powers oflight and darkness
in the right way, but of his own power, and not would have to be construed asa battle between
of God's. In another way; he may desire to be equals, which, according to Christian ortho-
like God in some respect which is not natural doxy, is the Manichean heresy that regards the
to one; e.g., if one were to desire to create world as the battle ground of the forces of good
heaven and earth, which is proper to God, in and evil.
which desire there would be sin." The word "angelic" usually has the connota-
In this last way, Aquinas asserts, "the devil tion of perfect moral goodness, but that must
desired to be as God. Not that he desired to not lead us to' forget that the demons are an-
resemble God by being subject to no one else gelic in their ilature although of a diabolical or
absolutely, for thus he would be desi'ring; his evil will. Nor should the fact of Satan's subser-
own non-being, since no creature canexist ex- vience to God cause us to forget that Christian
cept by participating under God." But he "de~ theology tries not to underestimate the power
sired as the last end of his beatitude something of the devil in his goings and comings on earth.
which he could attain by virtue of his own na- Satan tried to tempt even Christ, and through-
ture, turning his appetite away from the super- out the New Testament the destruction ofthe
natural beatitude which is attained by God's diabolical influence over men occupies a promi-
grace." nent place. The intervention of the devil in
In the original sin of Lucifer arid the other man's life provides, if not the theme, the back-
fallen angels, as well as in all subsequent inter- ground of Goethe's Faust.
vention by Satan or his demons in the affairs As the theory of demonic influences and dia-
of men, lie the theological mysteries of the ori- bolical possession is an integral part of the tra-
gin of evil in a world created by God's love and ditional doctrine of angels, so, in modern times,
goodness, and of the liberty of those creatures demonology has been a major focus of attack
who, while free, can only do God's w'ill. As in- upon theological teaching concerning spirits.
dicated in the chapter on SIN, the fall of Adam Moralists have thought it' possible to' explain
from grace and innocence involves the same human depravity without recourse to the se-
mysteries. Man's destiny is connected with the ductions of the devil, and psychiatrists have
career of Lucifer in traditional Christian teach- thought it possible for men to go mad or to
ing, not only on the side of sin, but also with behave as if bewitched without the help of evil
regard to man's redemption-salvation replac- spirits. The idea of the devil, according to
ing the fallen angels by the souls ofthe elect in Freud, is a religious fiction-"the best way out
the heavenly choir. in acquittal of God" for those who try "to rec-
Among the most extraordinary moments in oncile the undeniable existence ... of evil with
our literature are those in which Lucifer talks His omnipotence and supreme goodness." ,
with God about mankind, as in Paradise Lost; The characteristic skepticism of our age has
or about a particular man, as in the Book of been directed against the belief in angels gener-
Job or in the Prologue in Heaven in Faust. ally. It casts doubt by satire or denies byargu-
Their pagan parallel is the speech of 'Prome- ment the existence of spirits both good and evil.
theus to a silent Zeus, but Prometheus, un- Yet, all arguments considered, it may be won-
like Satan, is man's benefactor and he can defy dered whether the' existence of angels"":'or, in
Zeus because the Fates, ''Whose secret he philosophical terms, the existence of pure intelli-
knows, rule over the gods. Lucifer, on the gences-is or is not still a genuine issue. Or are
contrary, seems always to be in the service of there twO issues here, one philosophical and the
God. When he appears to Ivan in the Brothers other theological, one to be resolved or left un-
Karamazov, he protests, "I love men genuinely resolved on the level of argument, the other to
. . and against the grain I serve to produce be answered dogmatically by the declarations
events and do what is irrational because I am ef a religious fai th ?
CHAPTER 1: ANGEL 9
OUTLINE OF TOPICS
PAGE
1. Inferior deities or demi-gods in polytheistic religion 10
2a. The celestial motors or secondary prime movers: the intelligences attached to
the celestial bodies
2b. Our knowledge of immaterial beings 12
4. Comparison of angels with men and with disembodied souls: their relation to the
blessed in the heavenly choir 14
5. The distinction and comparison of the good and the bad angels
5a. The origin of the division between angels and demons: the sin of Lucifer or
Satan 15
5b. The society of the demons: the rule of Satan over the powers of darkness
8. Criticism and satire with respect to the belief in angels and demons
10 THE GREAT IDEAS
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-283] 12d, the
number 4 is the number of the volume ill the set: the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower hal ves of the page. For example, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letterscand d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases: e.g., Iliad, BK II [265-283) 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows: e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) 11 Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference: "passim" signifies that the topic is discussed intermit~ .
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style: for general guidance in the use of The GreatJdeas, consult the Preface.
CROSS-REFERENCES
For: Other discussions relevant to the theory of angels. see ETERNITY 4a; IDEA Ie; KNOWLEDGE
7b; MIND JOc; SOUL 4d( 2); and fonhe metaphysical consideration of immaterial substances.
see BEING 7b(2).
The theological doctrine of the fallen angels. see SIN 3. 3b; and for the related doctrines of
Heaven and Hell. see ETERNITY 4d; GOOD AND EVIL Id. 2b; IMMORTALITY se-sf; PUNISH-
MENT se(l).
The theory of the celestial motors. see ASTRONOMY 8b; CHANGE 14.
ADDITIONAL READINGS
Listed below are works not included in Great Books of the Western World. but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
1. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date. place. and other facts concerning the publication of the works cited. consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
ALPHABETICAL ordering places ANIMAL his own traits, his intelligence and freedom,
1""\. after ANGEL in this list of, ideas. There even his moral qualities and political propensi-
is a third term which belongs with these two ties. Nevertheless, he has seldom ceased to re-
and, but for the alphabet, might have come be- gard himself as the paragon of animals, possess-
tween them. That term is MAN. ing in a higher degree than other animals the
These three terms-and a fourth, GOD, characteristic properties of all.
which rounds out the comparison-are con- There are exceptions to this, however. Ani-
joined in Shakespeare's 'statement of what is mals have been glorified by man for skeptical
perhaps the most universal reflection of man or satiric purposes.
upon himself. "What a piece of work is man!" Montaigne, for example, doubts that man
says Hamlet, "How noble in reason! how infi- can lay claim to any special attributes or excel-
nite in faculty! in form and moving, howex- lences, and further suggests that, in some par-
press and admirable! in action, how like an an- ticulars at least, men are less able and less noble
gel! in apprehension, how like a god! the beau ty than the beasts. Relying on legends found in
of the worldl the paragon of animals!" Animal, Pliny and Plutarch which describe the marvel-
angel, god~in each of these man has seen his ous exploits of animals, he argues that "it is not
image. And at different moments in the history upon any true ground of reason, but by a fool-
of thought, he has tended to identify himself ish pride and vain opinion, that we prefer our-
with one to the exclusion of the others. selves before other animals, and separate our-
Yet predominantly man has regarded him- selves from their conditions and society."
self as an animal, even when he has understood Why, Montaigne asks, "should we attribute
himself to be created in God's image, and to to I know not what natural and servile inclina-
share with the angels, through the possession of tion the works that surpass all we can do by na-
intellect, the dignity of being a person. A~ his ture and art" ? We have no grounds for believ-
understanding of himself has varied, so has he ing that "beasts, by natural and compulsory
altered his conception of what it is to be an tendency, do the same things that we do by our
animal. choice and industry." Rather "we ought," he
In terms of a conception of personality which continues, "from like effects, to conclude like
involves the attributes of reason and free will, faculties, and consequently confess that the
man has legally, as well as morally and meta- same reason, the same method, by which we op-
physically,drawn a sharp line between persons erate, are common with them, or that they have
and things, and placed brute animals in the others that are better."
class of things. According to the principle of Nor can we excuse our presumption of su-
this distinction, being alive or even being sen- periority by the fact that we are compelled to
sitive does not give animals, any more than look at animals from our human point of view.
plants and stones, the dignity or status of per- "When I play with my cat," Montaigne writes,
sons. "who knows whether I do not make her more
When man's animality-either in terms of sport than she makes me? We mutually divert
his biological affinities or his evolutionary ori- one another with our monkey tricks; if I have
gins-has seemed an adequate definition of his my hour to begin or to refuse, she also has hers."
nature, man has attributed to animals many of Suppose animals were to tell us what they
19
20 THE GREAT IDEAS
thought of us. "The defect that hinders com- animals, never to plants. On either approach
munication betwixt them and us, why may it the issue remains whether plants and animals
not be on our part as well as theirs? 'Tis yet to are different in kind, not merely in degree.
determine," Montaigne thinks, "where the fault On the one hand, it may be argued that sensi-
lies that we understand not one another; for we tivity, desire, and locomotion (even perhaps
understand them no more than they do us; by sleeping and waking) are, in some form or de-
the same reason they may think us to be beasts gree, to be found in all living things. On the
as we think them." other hand, it may be argued that such func-
If Montaigne's view were to prevail, no spe- tions as nutrition, growth, and reproduction,
cial significance could be given to "brute" as though obviously common to plants and ani-
opposed to "rational" animal. For that matter, mals, are performed by animals ina distinctive
the same holds true whenever man is conceived manner. If plants manifest all the vital powers
as just an animal, paragon or not. Animals are or activities present in animals; or if in func-
brute only when man is not-only when to be tions common to both, animals differ only in
human is to be somehow more than an animal. degree, then the scale oflife would seem to be a
different in kind, not merely in degree. continuous gradation rather than a hierarchy.
Satirists like Swift idealize an animal nature The opposite position, which affirms a differ-
to berate the folly and depravity of man. In his ence in kind and consequently a hierarchy, is
last voyage, Gulliver finds in the land of the taken by Aristotle. In his biological writings, as
Houyhnhnms a, race of human-looking crea- well as in his treatise ,On the Soul, he draws a
tures, the Yahoos, who by contrast with their sharp line between plant and animal life by ref-
noble masters, the horses, are a miserable and erence to facul ties or func tions absen t in the one
sorry lot. Here it is the Yahoos who are brutes, and found in the other. Aristotle first points out
bereft as they are of thr intelligence and virtue that "living may mean thinking or perception
which grace the splendid Houyhnhnms. or local movement and rest, or movement in the
sense of nutrition, decay, and growth. Hence,"
THE COMPARISON of men and animals takes still he goes on, "we think ofplants also as living,
another direction in the allegories of fable and for they are observed to possess in themselves
poetry. From Aesop to the mediaeval Bestiaries, an originative power through which they in-
there is the tradition of stories in which animals crease or decrease in all'spatial directions; they
are personified in order to teach a moral lesson. grow up and down, and everything that grows
In the Divine Comedy Dante uses specific ani- increases its bulk alike in both directions or in-
mals to symbolize the epitome of certain pas- deed in all, and continues to live so long as it
sions, vices, and virtues. The intent of his alle- can absorb nutriment."
gory is, however, never derogatory to man as This leads him to assign to plants what he
man. But when Machiavelli allegorizes the qual- calls a nutritive or vegetative soul, whereby
ities required for political power, he advises the they have the three basic faculties common to
prince "knowingly to adopt the beast" and "to all living things-nutrition, growth, and repro-
choose the fox and the lion." This tends to re- duction. But Aristotle does not find in plants
duce human society to the jungle where strength any evidence of the functions performed by
and guile compete for supremacy. animals, such as sensation, appetite, and local
The comparison of men and animals fails to motion. These are the characteristic powers of
touch the distinction, or lack of distinction, be- the animal soul, called by him the "sensitive
tween animals and plants. This is basic to the soul" because sensation is the source both of
definition or conception of animal nature. As in animal desire and animal movement.
the case of men and animals, this problem can Galen follows Aristotle in this distinction. In
be approached in two ways: either from the side his Natural Faculties he limits his investigations
of plant life, and with respect to those functions to the functions common to all living things.
which seem to be common to all living things; He uses the word "natural" for those effects,
or from the side of animal life, and with respect such as "growth and nutrition ... common to
to those functions which seem to belong only to plants as well as animals," which, in his view,
CHAPTER 2: ANIMAL 21
are opposed to such activities as "feeling and The fact that organisms exist which do not
voluntary motion ... peculiartoanimals," that readily fall into either classification may signify
he calls "effects of the soul," or "psychic." It con tinuity rather thansepara tion between plants
may seem surprising at first that Galen's study and animals; but it may also be taken to mean
of nutrition, growth, and reproduction-not that more acute observations are required to
only of the functions themselves but of the classify these so-called "intermediate forms."
bodily organs and processes involved in these Plant tropisms mayor may not require us to
functions-should be restricted to their mani- deny that sensitivity belongs to animals alone.
festation in animals, and not in plants as well. The apparent local motion of plants may be a
The reason may be that for the naturalists of mode of growth or a random movement rather
antiquity, the biological functions of vegetable than a directed change from place to place; and
matter did not yield their secrets readily enough the attachment to place of apparently station-
to observation. A treatise on plants, not written ary animals, such as barnacles and mussels, may
by Aristotle but attributed to his school, be- be different from the immobility of rooted
gins with the remark that "life is found in ani- plants.
mals and plants; but whereas in animals it is
clearly manifest, in plants it is hidden and less AGAINST THE BACKGROUND of these major issues
evident." concerning plants, animals, and men as con-
This view of the world of living things as di- tinuous or radically distinct forms of life,the
vided into the two great kingdoms of plant and study of animal organisms-their anatomy and
animal life prevailed through centuries of spec- physiology-acquires much of its critical sig-
ulation and research. But from the time that nificance.
Aristotle began the work of classification, it has Anatomy is an ancient science. Several sur-
been realized that there exist numerous exam- gical treatises of Hippocrates display an exten-
ples of what Bacon called "bordering instances sive knowledge of the human skeletal structure
... such as exhibit those species of bodies which and the disposi tion of some of the organs of the
appear to be composed of two species, or to be human body. The dissection of animals, as well
the rudiments between the one and the other." as gross observation, provides Aristotle with a
Within the last hundred years the difficulty basis for the comparative anatomy of different
of classifying such specimens, particularly those species of animal. For Galen as well as Aris-
which seem to fall between plant and animal, totle, much of this anatomical study was mo-
has raised the question whether the traditional tivated by an interest in the structure and rela-
distinction can be maintained. "If.we look even tion of the organs involved in the local motion
to the two main divisions, namely, to the ani- of the body as a whole, and in local motions
mal and vegetable kingdoms," writes Darwin, within the body, such as the motions of the
"certain low forms are so far intermediate in alimentary or reproductive systems.
character that naturalistshavedispu ted to which I t remains for a later investigator, schooled in
kingdom they should belong. " Yet Darwin the tradition of ancient biology, to make the
does not find the evidence available to him suf- startling discovery of the circulation of the
ficient to determine whether all living things blood through the motions of the heart. Harvey
have descended "from one primordial form" or not only does this, but he also suggests the
whether the evolution of life is to be represented functional interdependence of respiration and
in two distinct lines of development. circulation, based on his observation of the in-
Since Darwin's day the researches of scien- timate structural connections between heart,
tists like Loeb and Jennings on the behavior of arteries, veins, and lungs. His contribution is at
micro-organisms, and the phenomena of tro- once a departure from and a product of the
pisms (e.g., the sunflower's turning toward the scientific tradition in which he worked, for
sun), and the study of what appears to be local though his conclusions are radically new, he
motion in plants, have contributed additional reaches them by a method of research and rea-
evidence relevant to the issue. It is, however, soning which follows the general principles of
still considered open and arguable. Aristotle and Galen. His insistence, moreover,
22 THE GREAT IDEAS
on the necessity of finding a functional purpose duction, with all the relevant considerations of
for an organic structure stands as the classic sexual differentiation and sexual characteristics,
rejoinder to Francis Bacon's recommendation is to be found in Aristotle, Darwin, and Freud.
that formal and final causes be separated from Questions of heredity, though they are raised
material and efficient causes in the study of with new significance by Darwin and William
nature. Bacon assigns the first two types of James, have a lineage as ancient as Plato.
cause to metaphysics, and limits physics to the Scientific learning has, of course, advanced
last two. in recent times with regard to the nature and
Harvey's work on the generation of animals behavior of animals. On such topics as heredi ty,
is another example of the continuity between the work of Mendel, Bateson, and Morgan is
ancient and modern biology. In some respects, crucial; or, to take another example, our
Aristotle's researches on the reproductive or- knowledge of the functioning of the respira-
gans and their functions are more general than tory and the nervous system has been greatly
Harvey's. They represe~t for him only part of enlarged by the researches of Haldane, Sher-
the large field of comparative anatomy, and rington, and Pavlov. Yet even in these areas,
have significance for the study of mating habits the background of recent scientific contribu-
in different classes of animals. Yet on the prob- tions is to be found in the great books-in the
lem of the act of generation itself, its causes and writings, for example, of Harvey, Darwin, and
consequences, especially the phenomena of em- William James.
bryonic development, Harvey's treatise reads
partly as a conversation with Aristotle, and ANOTHER INTEREST which runs through the
partly as the record of original observations un- whole tradition of man's study of animals lies
dertaken experimentally. in the problem of their classification-both
"Respect for our predecessors and for antiq- with respect to the principles of taxonomy it-
uity at large," he writes, "inclines us to defend self, and also in the systematic effort to con-
their conclusions to the extent that love of struct schemes whereby the extraordinary va-
truth will allow. Nor do I think it becoming in riety of animal types can be reduced to order.
us to neglect and make little of their labors and In this field Aristotle and Darwin are the two
conclusions, who bore the torch that has lighted great masters. If the names of Buffon and Lin-
us to the shrine of philosophy." The ancients, naeus also deserve to be mentioned, it must be
in his opinion, "by their unwearied labor and with the double qualification that they are fol-
variety of experiments, searching into the na- lowers of Aristotle on the one hand, and pre-
ture of things, have left us no doubtful light cursors of Darwin on the other.
to guide us in our studies." Yet, Harvey adds, The Aristotelian classification is most fully
"no one of a surety will allow that all truth was set forth in the History of Animals. There one
engrossed by the ancients, unless he be utterly kind of animal is distinguished from another by
ignorant ... of the many remarkable discoveries many "properties": by locale or habitat; by
that have lately been made in anatomy." Re- shape and color and size; by manner of locomo-
ferring to his own method of investigation, he tion, nutrition, association, sensation; by or-
proposes as a "safer way to the attainment of ganic parts and members; by temperament, in-
knowledge" that "in studying nature," we stinct, or characteristic habits of action. With
"question things themselves rather than by respect to some of these properties, Aristotle
turning over books." treats one kind of animal as differing from an-
It is particularly with respect to animal gen- other by a degree- by more or less-of the same
eration that the great books exhibit continuity trait. With respect to other properties, he finds
in the statement of basic problems in biology, the difference to consist in the possession by one
as well as indicate the logical conditions of their species of a trait totally lacking in another. He
solution. The issue of spontaneous generation speaks of the lion as being more "ferocious"
as opposed to procreation runs through Aris- than the wolf, the crow as more "cunning"
totle, Lucretius, Aquinas, Harvey, and Dar- than the raven; but he also observes that the
win. The problem of sexual and asexual repro- cow has an "organ of digestion" which the spi-
CHAPTER 2: ANIMAL 23
der lacks, the lizard an "organ of locomotion" wide opposition in value between analogical or
which the oyster lacks. The sponge lives in one adaptive characters, and characters of true af-
manner so far as "locale" is concerned, and the finity." Furthermore, "the importance of em-
viper in another; reptiles have one manner of bryological characters and of rudimentary or-
locomotion, birds another. So ample were Aris- gans in classification" becomes "intelligible on
totle's data and so expert were his classifica- the view that a natural arrangement must be
tions, that the major divisions and sub-divisions genealogical." By reference to "this-element of
of his scheme remain intact in the taxonomy descent," not only shall we be able to "under-
constructed by Linnaeus. stand what is meant by the Natural System,"
The radical character of Darwin's departure but also, Darwin adds, "our classifications will
from the Linnaean classification stems from a come to be, as far as they can be so made, gene-
difference in principle rather than a correction alogies; and will then truly give what may be
of observational errors or inadequacies. Where called the plan of creation."
Aristotle and all taxonomists before Darwin Whereas the Aristotelian classification is static
classify animals by reference to their similarities in principle, having no reference to temporal
and differences, Darwin makes inferred geneal- connections or the succession of generations,
ogy or descent the primary criterion in terms the Darwinian is dynamic-almost a moving
of which he groups animals into varieties, spe- picture of the ever-shifting arrangement of ani-
cies, genera, and larger phyla. mals according to their affinities through com-
Naturalists, according to Darwin, "try to ar- mon ancestry or their diversities through ge-
range the species, genera, and families in each netic variation. Connected with this opposition
class, on what is called the Natural System. But between static and dynamic principles of clas-
what is meant by this system? Some authors sification is a deeper conflict between two ways
look at it merely as a scheme for arranging to- of understanding the nature of scientific classi-
gether those living objects which are most alike, fica tion itself.
and for separating those which are most unlike. The point at issue is whether the classes which
... The ingenuity and utility of this system are the taxonomist constructs represent distinct
indisputable," but Darwin thinks that its rules natural forms. Do they exist independently 'as
cannot be explained or its difficulties overcome objects demanding scientific definition or are
except "on the view that the Natural System is the scientist's groupings somewhat arbitrary
founded on descent with modification-that and artificial? Do they divide and separate
the characters which naturalists consider as what in nature is more like a continuous distri-
showing true affinity between any two or more bution with accidental gaps and unevennesses?
species, are those which have been inherited This issue, in turn, tends to raise the metaphysi-
from a common parent, all true classification cal question concerning the reality and fixity of
being genealogical-that community of descent species, which relates to the problem of the dif-
is the hidden bond which naturalists have been ference between real and nominal definitions,
unconsciously seeking, and not some unknown and the difference between natural and arbi-
plan of creation, or the enunciation of general trary systems of classification.
propositions, and the mere putting together On these matters Aquinas and Locke have
and separating objects more or less alike." much to say, as well as Aristotle "and Darwin.
In Darwin's opinion, classification "must be Fuller discussion of such questions is to be found
strictly genealogical in order to be natural." in the chapters on DEFINITION and EVOLU-
Only by the principle of descent-"the one TION. Insofar as problems of classification and
certainly known cause of similarity in organic the nature of species have a bearing on evolu-
beings" -can we arrange "all organic beings tion, they are treated in that chapter, as are the
throughout all time in groups under groups"; related issues of continuity or hierarchy in the
see "the nature of the relationships by which all world of living things, and of difference in de-
living and extinct organisms are uni ted by com- gree or kjnd as between plants and animals, ani-
plex, radiating, and circuitous lines of affinities mals and men. The last two problems also occur
into a few grand classes"; and understand "the in the chapters on LIFE and MAN.
24 THE GREAT IDEAS
ON THE THEME of comparisons between ani- nerves, but so many strings; and the joints, but
mals and men, two further point$ should be so many wheels, giving motion to the whole
noted. body?" The animal is thus pictured as an elab-
The first concerns the soul of animals. When orate system of moving parts, inflexibly de-
soul is conceived as the principle or source of termined to behave in certain ways under the
life in whatever is alive, plants and animals can impact of stimulation by external forces.
be said to have souls. Like Aristotle, Augustine The doctrine of the animal automaton is
distinguishes "three grades of soul in universal sometimes generalized, as by La Mettrie, a
nature": one which has "only the power of follower of Descartes, to include the conception
life ... the second grade in which there is sen- of man as a machine. The same conclusions
sation ... the third grade ... where intelli- which are reached from the denial of soul in
gence has its throne." animals seem to follow also from the theory
. Though he also follows Aristotle in defining that the soul, even in the case of man, is ma-
three kinds of soul, Aquinas distinguishes four terial or a function of matter. According to
grades oflife, and in so doing differentiates be- those who, like Lucretius, hold this view, the
tween perfect and imperfect animals. "There are phenomena of life, sensation, and thought can
some.living things," he writes, "in which there be explained by the movement of atomic par-
exists only vegetative power, as the plants. ticles and their interaction.
There are others in which with the vegetative The second point concerns the relation be-
there exists also the sensitive, but not the loco- tween instinct and intelligence in animals. The
motive power; such are immovable animals, as nature of animal instincts (or innate habits) is
shellfish. There are others which besides this considered in the chapters on EMOTION and
have locomotive power, as perfect animals, HABIT, as is the nature of animal intelligence
which require many things for their life, and in the chapters on MAN and REASONING. But
consequently movement to seek the neces- here we face the issue whether instinct func-
saries of life from a distance. And there are tions in animals,. as reason does in man, to meet
some living things which with these have in- the exigencies of life; or whether in both,
tellectual power-namely, men." though varying in degree, intelligence cooper-
On this theory, man, viewed in terms of his ates with instinct to solve the problems of ad-
animal nature, is a perfect animal. Viewed in justment to environment.
terms of his reason or intellect, he stands above Th,ose who, like Aquinas, regard instinct and
the highest animals. Yet having a soul is not reason as the alternative and exclusive means
peculiar to man, just as being alive, or sensi- which God provides for the ends of animal and
tive, or mobile, is not. But when, as with Des- human life, necessarily tend to interpret ani-
cartes, soul is identified with intellect-as "a mal behavior in all its detail as pre-determined
thing which thinks, that is to say a mind ... or by elaborate instinctive endowments. Accord-
an understanding, or a reason" -and, in addi- ingly, animal behavior, even when voluntary
tion, soul is conceived as a spiritual and im- rather than purely the action of physiological
mortal substance, then the conclusion seems reflexes, is said not to be free, or an expression of
to follow that animals do not have souls. free choice on the part of the animal; for, as
For Descartes, the theory of the animal as a is pointed out in the chapter on WILL, Aquinas
machine or automaton follows as a further cor- calls behavior "voluntary" if it involves some
ollary. "If there had been such machines, pos~ knowledge or consciousness of the objects to
sessing the organs and outward form of a mon- which it is directed.
key or some other animal without reason," Instinctive behavior, such as an animal's
Descartes claims that "we should not have had flight from danger or its pursuit of food or a
any means of ascertaining that they were not mate, involves sense-perception of the objects
of the same nature as those animals." Hobbes of these actions, as well as feelings or emotions
likewise would account for all the actions of about them. But though it is "voluntary" in
animal life on mechanical principles. "For what the sense in which Aquinas uses that word, in-
is the heart, but a spring," he asks, "and the stinctive behavior is, according to him, the
CHAPTER 2: ANIMAL 25
exact opposite of action based upon free will. with foresight of its 'end' just so far as that end
It is completely determined by the inborn pat- may have fallen under the animal's cognizance."
tern of the instinct. It may vary in operation Ifinsti~ct, in animals or men, were sufficient
with the circumstances of the occasion, but it for solving the problems of survival, there
does not leave the animal the freedom to act would be no need for what James calls "sagac-
or nm to act, or to act this way rather than ity" on the part of animals, or of learning from
that. Such freedom of choice, Aquinas holds, experience. Like Montaigne, James assembles
depends on reason's ability to contemplate al- anecdotes to show that animals exercise their
ternatives, to none of which is the human will wits and learn from experience. "No matter
bound by natural necessity. how well endowed an animal may originally be
Aquinas does not' limit human reason and in the way of instincts," James declares, "his
will to a role analogous to the one he ascribes resultant actions will be much modified if the
to instinct and emotion in animal life. Their instincts combine with experience, if in addi-
power enables man to engage in speculative tion to impulses he have memories, associations,
thought and to seek remote ends. Never- inferences, and expectations, on any consider-
theless, on the level of his biological needs, man able scale."
must resort to the use ofhis reason and will where In his consideration of "the intellectual con-
other animals are guided by instinct. "Man trast between brute and man," James places
has by nature," Aquinas writes, "his reason and "the most elementary single difference between
his hands, which are the organs of organs, since the human mind and that of brutes" in the
by their means man can make for himself in- "deficiency on the brute's part to associate
struments of an infinite variety, and for any ideas by similarity," so that "characters, the
number of purposes." Just as the products of abstraction of which depends on this sort of
reason ,take the place of hair, hoofs, claws, association, must in the brute always remain
teeth, and horns-"fixed means of defense or drowned." Darwin similarly makes the differ-
of clothing, as is the case with other animals"- ence in degree between human and animal in-
so reason serves man's needs, in the view of telligence a matter of greater or less power to
Aquinas, as instinct serves other animals. associate ideas. In consequence, human in-
Others,like Darwin, James, and Freud, seem stincts are much more modified by learning
to take a different view. They attribute in- and experience than the ins'tincts of other ani-
stinct to men as well as to animals. In their mals, as in turn the higher animals show much
opinion instinctively determined behavior is greater variability in their instinctive behavior
influenced by intelligence, and affected py than do lower organisms.
memory and imagination, in animals as well as It is not necessary to deny that men alone
in men. They recognize, however, that instinct have reason in order to affirm that, in addition
predominates in some of the lower forms of to instinct, animals have intelligence in some
animal life, and acknowledge that the contribu- proportion tq the development of their sensi-
tion of intelligence is great only among the tive powers, especially their memory and im-
more highly developed organisms. agination. The position of Aristotle and Aqui-
"Man has a far greater variety of impulses nas seems to involve both points. But if we at-
than any lower animal," writes James; "and any tribute the extraordinary performances of ani-
one of these impulses taken in itself, is as 'blind' mals to their intelligence alone, rather than
as the lowest instinct can be; but, owing to primarily to instinct, then we are led to con-
man's memory, power of reflection, and power clude with Montaigne that they possess not
of inference, they come each one to be felt by merely a sensitive intelligence, but a reasoning
him, after he has once yielded to them and ex- intellect.
perienced their results in connection with a "Why does the spider make her web tighter
foresight of those resul ts." On the same grounds, in one place and slacker in another?" Mon-
James argues tha t "every instinctive act, in an ani- taigne asks. "Why now one sort of knot and
mal wzih memory, must cease to be 'blind' after then another, if she has not deliberation,
being once repeated, and must be accompanied thought, and conclusion?" And in another
26 THE GREAT IDEAS
place he asks, "What'is there in our intelli- The use, or even the exploitation, of animals
gence that we do not see in the operations of by man seems to be justified by the inferiority
animals? Is there a polity better ordered, the of the brute to the rational nature. As plants
offices better distributed, and more inviolably exist for the sake of animals, so animals, accord-
observed and maintained than' that of bees? ing to Aristotle, "exist for the sake of man, the
Can we imagine that such and so regular a dis- tame for use and food, the wild, if not all, at
tribution of employments can be carried on least the greater part of them, fot food, and for
without reason and prudence?" the provision of clothing and various instru-
ments." Aristotle's conception of the natural
GREGARIOUSNESS in animals and the nature of slave, discussed in the chapter on SLAVERY,
animal communities are considered in the chap- uses the domesticated animal as a kind of
ter on STATE, in connection with the formation model for the treatment of human beings as
of human society. But so far as human society tools or iitstruments.
itself is concerned, the domestication of ani- Though he does not share Aristotle's view
mals signifies an advance from primitive to that some men are by nature slaves, Spinoza
civilized life and an increase in the wealth and takes a comparable position with regard to
power of the tribe or city. man's domination and use of animals. "The
Aeschylus includes the taming of animals law against killing animals," he writes, "is
among the gifts of Prometheus, who "first based upon an empty superstition and woman-
brought under the yoke beasts of burden, who ish tenderness, rather than upon sound reason.
by draft and carrying relieved men of their A proper regard, indeed, to one's own profit
hardest labors ... yoked the proud horse to teaches us to unite in friendship with men, and
the chariot, teaching him obedience to the not with brutes, nor with things whose nature
reins, to be the adornment of wealth and lux- is different from human nature ... I by no
ury." The Iliad pays eloquent testimony to the means deny," he continues, "that brutes feel,
change in the quality of human life which ac- but I do deny thaton this account it is unlaw-
companied the training of animals to respond ful for us to consult our own profi t by using
to human command. Homer's reference to them for our pleasure and treating them as is
Castor as "breaker of horses" indicates the most convenient to us, inasmuch as they do not
sense of conquest or mastery which men felt agree in nature with us."
when they subdued wild beasts; and the oft- But other moralists declare that men can be-
repeated Homeric epithet "horse-taming," friend animals, and insist that charity, if not
which is intended as a term of praise for both justice, should control man's treatment of
the Argives and the Trojans, implies the rise of beasts. Nor is such contrary teaching confined
a people from barbarous or primitive condi- to Christianity, or to the maxims of St. Francis,
tions-their emancipation from the discom- who would persuade men to love not only their
forts and limitations of animal life. neighbors as themselves, but all of God's crea-
Aristotle points out that one mark of wealthy tures. Plutarch, for instance, argues that al-
men is "the number of horses which they keep, though "law and justice we cannot, in the na-
for they cannot afford to keep them unless they ture of things, employ on others than men,"
are rich." For the same reason, he explains, nevertheless, "we may extend our goodness and
"in old times the cities whose strength lay in charity even to irrational creatures." In kind-
their cavalry were oligarchies." , ness to dumb animals he finds the mark of the
Legend and history are full of stories of the "gentle nature"-the sign of a man's humane-
loyalty and devotion of animals to their human ness. "Towards human beings as they have
masters, and of the reciprocal care and affection reason, behave in a social spirit," says Marcus
which men have given them. But, motivated as Aurelius; but he also writes: "As to animals
it is by their utility for economic or military which have no reason, and generally all things
purposes, the breaking of animals to human will and objects, do thou, since thou hast reason and
also frequently involves a violent or wanton they have none, make use of them with a gen-
misuse. erous and liberal spirit."
CHAPTER 2: ANIMAL 27
OUTLINE OF TOPICS
PAGE
1. General theories about the animal nature
Ia. Characteristics of animal life: the animal soul
(I) Animal sensitivity: its degrees and differentiations 30
(2) Animal memory, imagination, and intelligence
(3) Animal appetite: desire and emotion in animals
(4) Locomotion: degrees of animal motility 31
(5) Sleeping and waking in animals
rb. The distinction between plants and animals in faculty and function: cases difficult
to classify
IC. The distinction between animal and human nature 32
(I) Comparison of brutes and men as animals 33
(2) Comparison of animal with human intelligence 34
Id. The habits or instincts of animals: types of animal habit or instinct; the habits
or instincts of different classes of animals
re. The conception of the animal as a machine or automaton 35
2. The classification of animals
2a. General schemes of classification: their principles and major divisions
2b. Analogies of structure and function among different classes of animals
2C. Continuity and discontinuity in the scale of animal life: gradation from lower
to higher forms 36
4. Animal movement
4a. Comparison of animal movement with other kinds of local motion
4b. The cause of animal movement: voluntary and involuntary movements
4C' The organs, mechanisms, and characteristics of locomotion
6. Animal nutrition
6a. The nature of the nutriment
6b. The process of nutrition: ingestion, digestion, assimilation
10. Heredity and environment: the genetic determination of individual differences and
similari ties
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-2831 12u, the
number 4 is the number of the volume in the setj the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in S3 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page II6 and ends in the lower half of page II9. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters e and d to the upper and lower halves of the right-hand side of
the page. Forexample, in 7 PLATO: Symposium, 163b-164e, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the referencej line numbers, in brackets, are given in cer-
tain caseSj e.g., Iliad, BK II [265-2831 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), followsj e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole referencej "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning. the style of the references, see the Explanation of
Re(erence Stylej for general guidance in the use. of The Great Ideas, consult the Preface.
1. General theories about the animal nature 18 AUGUSTINE: Confessions, BK x, par II 74a-b /
City of God, BK VII, CH 23, 2S6b-e
1a. Characteristics of animal life: the animal 19 AQUINAS: Summa Theologica, PART I, Q 18,
soul A I 104c-l0Sc; Q 72, A I, REP I 368b-369d;
7 PLATO: Cratylus, 93e-d / Phaedo, 233b-e / Q 75, A 3 380e-381bj A 6, REP I 383e-384cj
Republic, BK x, 440b-e / Timaeus,476d-477a,e Q 78, A I 407b-409aj Q 1I8, A I 600a-601cj
8 AlliSTOTLE: Metaphysics, BK v, CH 8 [IOI7blO- PART I-II, Q 17, A 2, REP 2 687d-688b
171 538b / Soul 631a-668d esp BK II, CH 2 20 AQUINAS: Summa Theologica, PART III SUPPL,
[4I3B2o-b41643b-e Q 79, A r, ANS 9S1b-9S3b
9 ARISTOTLE: History of Animals, BK I, CH I 21 DANTE: Divine Comedy, PURGATORY, xxv
[487BIO-488b291 7d-9dj BK VIll, CH I 114b,d- [34-78j91d-92a
USb / Parts ofAnimals, BK I, CH !.[64I"33-blOj 24 RABELAIS: Bargantua and Pantagruel, BK III,
164b-cj CH 5 [645bI4-646B5j 169c-d;BK Ill, 138a-b; 192d
CH 5 [667b2I-32j 196a./ Motion of Animals, 28 HARVEY: Motion ofthe Heart, 302d-303a / On
CH 6-1I 23Sd-239d esp CH 10 238c-239a / Animal Generation, 369d-370bj 372b; 384d-
Generation of Animals, BK I, CH 23 [73I"24-b8j 390b passim; 403 d-404b j 418b-419d; 431b-
271c-d; BK II, CH 3 [736B24-737BI91276d-278aj 434a esp 433c-dj 4S6b-458a esp 4S7a-dj 488d-
CH 5 [74 IB6-3 Ij282a-b 496d
10 GALEN: Natural Faculties, BK I, CH I 167a-bj 30 BACON: Novum Organum, BK II, APH 48, 186a
CH 12 172d-173c 31 DESCARTES: Rules, XII, 19d-20a / Discourse,
12 LUCRETIUS: Nature of Things, BK III [94-416] PART V, S6a-bj S9a-60e / Objections and
31b-3Se Replies, 156a-d; 208cj 226a-d
12 AURELIUS: Meditations, BK III, SECT 16, 262dj 3S LOCKE: Human Understanding, BK II, CH IX,
BK IX, SECT 9 292b-d SECT 12 140Cj CH XXVII, SECT 3-5 219d-220e
16 KEPLER: Epitome, BK IV, 8SSa-b passimj BK Ill, CH VI, SECT 33 278b-c
17 PLOTINUS: First Ennead, TR I, CH II Sb-e / 53 JAMES: Psychology, 4a-6b; 8a-14b passim, esp
Fourth Ennead, TR III, CH 23 IS3d-1S4b llb-12aj 47b-52a passim
30 THE GREAT IDEAS la(l) to la(3)
38 ROUSSEAU: Inequality, 337c-d
(1. General theories abo111 the animal nalllre. 1a. 48 MELV[LLE: Moby Dick, 244a-245b
Characteristics of animal life: the animal 49 DARW[N: Descent of Man, 261e-262a; 301e-
sOIlI.) 302a; 397d-398a: 402b-c; 406c: 432e-434c
54 FREUD: Beyond the Pleasure Prindple, 651d- passim; 447b-d: 474a-b; 480a-482b passim;
657d esp 65Id-652c, 655b-656a / Net/! Intro- 529a-b; 553d-554a; 568d-569b; 595b-596a
ductory Lectures, 851a-c esp 595d
53 JAMES: Psychology, 8a: 9b-13a passim, esp 13a;
1a(1) Animal sensitivity: its degrees and differ- 27a-42b passim
entiations 54 FREUD: Beyond the Pleasure Principle, 647a-
7 PLATO: Timaeus, 453b-454a 648a
8 ARISTOTLE: Soul, BK II, CH 2 14l.3bl-I.~)
643c-d; [41481-3) 644a; BK Il, CH 5-BK Ill, 1a(2) Animal memory, imagination, and in-
CH 3 647b-66Ib; BK 1Il, CH 8-1~ 664b668d I telligence
Sense and the Sensible 673a-689a,c 4 HOMER: Odyssey, BK XVII [290-327J 280a-e
9 ARISTOTLE: History of Animals, UK I. CH 3 6 HERODOTUS: Historv, BK III, U2b-c
[489817-20) lOb; CH 4 [489"23-27) 10e; eH 7 PLATO: Republic, Bi< II, 31ge-320b
9-11 13b-15a; CH 15 [49ibII-I8J 16d: BK II. 8 ARISTOTLE: Metaphysics, BK I, CH I [980828-
CH 10 25b-c; CH 12 [50i819-29J 26e'd; CH q b27] 499a-b I Soul, BK 1Il, CH 3 [427b14-429891
[505833-39) 27d-28a; BK IV, CH 6 [,3I827-biJ 660a-66Ib; CH 10 [43388-12] 665d; CH 10
58b; CH 7 [53285-10) 58d-59a; CH 8 59d-62a; [B3b27]-CH II (434 89) 666e-d I Memory and
BK V, CH 16 [548blO-I5] 75b-e; BK "Ill, eH I Reminiscence 690a-695d
[588bI7-3I) 115a-b; BK IX, CH 3i [620"1 -5) 9 AR[STOTLE: History of Animals, BK I, CH I
145e I Parts of Animals, BK n, CH I [64781- blO) [488b25-27) 9d; BK VIlI, CH I [588818-31)
171a-d; CH 8 [653b22-29] 179b; eH IO-I718Id- U4b,d; [58981-3] U5b; BK IX, CH I [608 811_
188a,e esp CH 10 [6568I4]-CH 12 [657"251182b- 32) 133b,d; CH 7 [612bI8-32] I38b-c; CH 46
183d, CH 16-17 185d-188a,e; BK 1II. CH -+ [630bI7-23] 156a I Ethics, BK VII, CH 3
[666'34-bIl194b; [667810-15) 195b; BK IV, Cll [I1t7b)-S) 397d
5 [68IbI4-68289)212b-d; CH I I [690bI7-69I"28) 12 LUCRETIUS: Nature of Things, BK [V [962-
222d-223c I Gait of Animals, CH -+ [7oSb9-q] 1036) 56d-57e
244b / Generation of Animals, BK I, CH 2) 18 AUGUSTINE: Confessions, BK x, par 26, 78b
[73I'24-b8) 271c-d; BK II, CH I [732812--14] 19 AQUINAS: Summa Theologica, PART I, Q 78,
272e; CH 3 [736825-bI4] 276d-277b: CM 5 A 4, ANS and REP 3,5-6 411d-413d; PART I-II,
[741"6-3) 282a-b; CH 6 [743b25-744bIlj 285a- Q 13, A 2, REP 3 673e-674e
d; BK V, CH I [778b201-CH 2 [78 Ib,\O] 321a-324a 23 HOBBES: Let'iathan, PART I, 50a-5Ib; 52b;
/ Ethics, BK I, CH 7 [I097b33-I098821 343b; 53d; 64b
BK III, CH 10 [II I88I7-b8) 364d-365a; BK VI, 2S MONTAIGNE: Essays, 2ISe-219b; 229d-230b
CH 2 [1139817-21) 387d: BK IX, CM 9 [I 170"IJ- 28 HARVEY: On Animal Generation, 454a
19] 423d-424a; BK X, Cll i [1I74bl'j -1I7:;"2J 31 DESCARTES: Rules, XII, 19d-20a
429a-b 32 M[LTON: Paradise Lost, BK VIII [369-451J
10 GALEN: Natural Faculties, UK I, CII [ 167a-b 240a-242a
12 LUCRETIUS; Nature of Things, BK.I1 [398. 477) 3S LOCKE: Human Understanding, BK II, CH x,
20a-21a; BK lit [231-287] 33a-d; [,\2J-4I6] SECT 10 143e-d
34b-35e; BK IV [216-268] 47a-d; [')24548J 3S HUME: Human Understanding, SECT [X, DIV 83
51a-b; [615-721] 52b-53d 487e-d
12 AURELIUS: Meditations, BK Ill, SECT [0. 262d 36 SWIFT: Gulliter, PART IV, 163b-164b
16 KEPLER: Epitome, BK IV, 855a 38 ROUSSEAU: Inequality, 337d-338a; 341d-342a
18 AUGUSTINE: Confessions, BK x. par II 74ab 49 DARWIN: Descent of Man, 291d-294c; 296c-
19 AQUINAS: Summa Theologica, PART I, Q Ill, 297b; 400a-e; 412d; 447b-c; 480a-481b
A .3, ANS 106b-107e; Q 75, A 3, ANS and REP 2 53 JAMES: Psychology, 3b-6b esp 5b; 13a-14a;
380c-381b; Q 78, AA 3-4 410a-413d; Q 1)1, .\ .)' 49a-50a; 51a-52a: 679a-683a; 704a-706b
REP 1,3 486b-487d
23 HOBBES: Leviathan, PART I, 49a-d la(3) Animal appetite: desire and emotion in
25 MONTAIGNE: Essavs, 286a-287b; 29Oc-291b .animals
28 HARVEY: On Animal Generation, 369d-370b; 4 HOMER: Iliad, BK XVII [4'1-6-4551 126c-d /
433e-435a; 456b-458a esp 457a-d Odyssey, BK XVII [29-327) 280a-e
30 BACON: NotJum Organum, BK Il, AI'H 27, 6 HERODOTUS: History, BK IV, 146e-d
157b-d; APH 40, 173c-d 7 PLATO: Symposium, 165c-166b I Republic, BK
31 DESCARTES: Discourse, PART V, 59a-c II, 319c-320b / Laws, BK VI, 712b
35 LOCKE: Human Understanding, UK ii, Ctl IX, 8 ARISTOTLE: Soul, BK III, CH 9-11 664d-667a
SECT 11-15 140b-141a 9 ARISTOTLE: History of Animals, BK VI, CH ,8
38 MONTESQUIEU: Spirit of LaU's, UK X[\', 103a-c 97b-9ge; BK VIII, CH I (588b2i-58qalO]1l5b;
1a(4) to Ib CHAPTER 2: ANIMAL 31
BK IX, CH 4 [6II"9-14] 136d; CH 37 [62I b28- 12 LUCRETIUS: Nature of Thi1lgs, BK V [837-859]
622"10] 147c / Parts of Animals, BK II, CH 4 72a-b
[65ob20-651"15] 175c-176a; BK III, CH 4 19 AQUINAS: Summa Theologica, PART I, Q 18,
[667"10-22] 195b; BK IV, CH 5 [679"5-32] A I, ANS 104c-l05c; A 2, REP I 105e-l06b; A 3,
209a-c; CH II [692"22-27] 224b-c / Motion of ANS 106b-l07c; Q 78, A I, ANS and REP 4 407b-
Animals, CH 6-11 235d-239d / Ethics, BK III, 409a
CH 8 [1I16b23-1 117"9] 363a-c; CH 10 [1118"17- 24 RABELAIS: Gargantua and Pantagruel, BK III,
b8]364d-36Sa; BK VII, CH 6 [I 149b30-36]400c; 192d
CH 12 [IIS3"27-35] 404c-d 31 DESCARTES: Rules, XII, 19d-20a
10 GALEN: Natural Faculties, BK III, CH 6 202d- 35 LOCKE: Human Understanding, BK II, CH IX,
203a; CH 8, 206b-c SECT II 140b-c; SECT 13 l40d
12 LUCRETIUS: Nature of Things, BK III [136-160] 49 DARWIN: Descent of Man, 279a-280c; 371d-
31d-32a; [288-322] 33d-34b; [741-753] 39c-d 372c
13 VIRGIL: Aeneid, BK XI [745-760] 348b; BK XII 53 TAMES: Psychology, 10a-12b esp 12a-b; 699a
[5-11] 354a
17 PLOTINUS: Fourth Ennead, TR III, CH 23, 154b la(5) Sleeping and waking in animals
19 AQUINAS: Summa Theologica, PART I, Q 6, A I, 8 :\RISTOTLE: Sleep 696a-701d
REP 2 28b-d; QQ 80-81 427a-431d; PART I-II, 9 ARISTOTLE: History of Animals, BK III, CH 19
Q 6, A 2 646a-c; Q II, A 2 667b-d; Q 12, A 5 [S21"IS-17] 46a; BK IV, CH 10 63c-64b; BK VI.
672a-c; Q 13, A 2 673c-674c; Q 15, A 2682a-c; CH 12 [566bI3-IS] 92d; BK VIII, CH 14 [599820]-
Q 16, A 2 684d-685b; Q 17, A 2 687d-688b; CH 17 [600bI5] 125b-126d / Parts of Animals.
Q 40, A 3 794c-795a; Q 46, A 4, ANS and REP 2 BK II, CH 7 [653810-20] 178b-c / Motion of
815b-d Animals, CH II [703b8-IS] 239b / Generation
22 CHAUCER: Manciple's Tale [17,I04-135] 490a-b of Animals, BK V, CH I [778b20-779"28] 321a-c
23 HOBBES: Leviathan, PART I, 61a-d; 64a-c 12 LUCRETIUS: Nature of Things, BK IV [907-961]
25 MONTAIGNE: Essays, 224c-225b 56a-d
27 SHAKESPEARE: King Lear, ACT IV, sc VI [109- 20 AQUINAS: Summa Theologica, PART III SUPPL.
125] 274c Q 81, A 4, ANS 966d-967d; Q 82, A 3, ANS 971a-
28 HARVEY: On Animal Generation, 346a-347d; 972d
349a-350a; 391a-c; 402a-d; 40Sc-406a; 476c- 38 ROUSSEAU: Inequality, 337e
477a
31 SPINOZA: Ethics, PART III, PROP S7, SCHOL 415b lb. The distinction between plants and animals
38 ROUSSEAU: Inequality, 343d-345a in faculty and function: cases difficult to
44 BOSWELL: Johnson, 215d-216a classify
48 MELVILLE: Moby Dick, 289b-291a 7 PLATO: Timaeus, 469d-470a
49 DARWIN: Descent of Man, 289a-291a; 303c; 8 ARISTOTLE: Topics, BK VI, CH 10 [148"23-38]
305c-309d; 371c-372c; 447b-c; 480a-481b; 202b-e / Physics, BK II, CH 8 [I 99"20-b13]
543d-54Sd 276e-d / Heavens, BK II, CH 12 [292bl-lI] 384a
51 TOLSTOY: War and Peace, BK XIII, 575b; BK / Soul, BK I, CH 5 [4IObI6-4""2] 640d-641a;
xlv,605d-606a BK II, CH 2 [413a20_blO] 643b-e; CH 3 644e-
53 JAMES: Psychology, 14a-b; 49b-51a; 700b-711a 645b; BK III, CH 12 [434"22-b9] 667a-c / Sleep,
passim, esp 702a-703a; 717b; 723b-725a; 729b CH I 696a-697e
54 FREUD: General Introduction, 607d-609b esp 9 ARISTOTLE: History of A1limals, BK IV, CH 6
609b / Inhibitions, Symptoms, and Anxiety, [53Ib8-9] 58b; BK V, CH I [539aIS-2S] 65b-d;
721a; 737c-d BK VIII, eH I [S88b4-S8982] 114d-1l5b / Parts
of Animals, BK II, CH 3 [6so"I-37] 174c-175a;
l.a( 4) Locomotion: degrees of animal motility CH 10 [655b27-656"8] 181d-182a; BK IV, CH 4
8 ARISTOTLE: Soul, BK III, eH 9-11 664d-667a; [)77b36-678"IS] 207d-208a; CH S [68I aIO-b9]
CH 12 [434"30-b9] 667b-c ~lle-212b; CH (j [682b26-28] 213d; CH 10
9 ARISTOTLE: History of Animals, BK I, CH I lC86b23-687al] 218b-e / Gait of A1limals, CH 4
[487b5-34] 8b-d; BK II, CH I [497bI8-498bI01 [70S826-b9] 244a-b / Generation of Animals,
20a-d; BK IV, CH I [523b20-524a24] 48d-49d; BK I, eH I [7ISbI8-716"1] 255d-256a; CH 23
CH 4 [528"30_bII] 55b; BK VIII, CH I [588bII- 271b-d; BK II, CH I [732aI2-14] 272c; [73S816-
24] 115a; BK IX, CH 37 [62 Ib2-I31 147a-b; CH 19] 275d; eH 3 [736"2S-bI4] 276d-277b; eH 4
48 [631"20-3] 156c-d / Parts of Animals, BK [74 0b2 5]-CH 5 [74183] 281d-282b; BK III, CH 7
IV, CH 6-9 213b-217b passim; CH 10 [686"2S- [7S7bIS-30] 298e-d; CH I I 302b-304d; BK V,
b35 ] 217d-218c; CH 12 [693"25]-CH 13 [696834] CH I [778b30-77984] 321a-b
225b-228a / Motion of Animals, CH 1-2 233a- 10 GALEN: Natural Faculties, BK I, CH I 167a-b
234a; CH 8 [702"22]-CH 10 [703bI] 237e-239a / 12 LUCRETIUS: Nature of Things, BK II [7-710]
Gait of Animals 243a-252a,c / Generation of 23d-24a
A1limals, BK II, eH I [732"12-241 272c 12 AURELIUS: Meditations, BK VIII, SECT 7 286a;
10 GALEN: Natural Faculties, BK II, CH 8, 193b-e BK IX, SECT 9, 292e
32 THE GREAT IDEAS Ie
12 EPICTETUS: Discourses, BK I, CH 3 108b-c;
(1. General theories about the animal nature. lb. CH 6, ll1a-c; CH 9, 114c-llSa; CH 16 121d-
The distinction between plants and animals 122d; CH 28, 134a-b; BK II, CH 8, 146a-c;
in faculty and function: cases diffiCIIlt to BK III, CH 7, 183d; BK IV, CH 5, 228c-d; CH 7,
classify.) 233a-b; CH II, 240d-241a
18 AUGUSTINE: City ofGod, BK VII, CH 23, 256b-c 12 AURELIUS: Meditations, BK III, SECT 16 262d-
19 AQUINAS: Summa Theologica, PART I, Q 18, 263a,c; BK v, SECT 16 271c-d; BK VI, SECT 23
A I, REP 2 104c-105c; A 2, REP I 105c-l06b; 276b; BK IX, SECT 9 292b-d
A 3, ANS 106b-107c; Q 69, A 2, REP I361c-362c; 18 AUGUSTINE: Confessions, BK x, par II 74a-b;
Q 72, A I, REP I 368b-369d; Q 78, A I, ANS BK XIII, par 35-37 120b-121a esp par 37, 121a
407b-409a / City of God, BK VII, CH 23, 256b-c; BK XI,
28 HARVEY: Motion of the Heart, 278b / Circula- CH 27-28 337b-338d; BK XXIX, CH 24, 610c-d
tion of the Blood, 327d-328a / On Animal / Christian Doctrine, BK I, CH 8 626c-627a;
Generation, 368a-b; 369d-370b; 372b; 397c- CH 22, 629b-c
398c; 457c-d; 461b-d 19 AQUINAS: Summa Theologica,l'ART I, Q 3, A I,
30 BACON: Novum Organum, BK II, APH 30 REP 2 14b-15b; A 4, REP I 16d-17c; Q 18, A 2,
159c-d REP I 105c-106b; A 3, ANS l06b-l07c; Q 19,
35 LOCKE: Human Understanding, BK II, CH IX, A 10, ANS 117d-1l8b; Q30, A 2, REP 3168a-
SECT II~I5 140b-141a; BK III, CH VI, SECT 12 169b; Q 59, A 3, ANS 308b-309a; Q 72, A I,
271d-272b REP 1,3 368b-369d; Q 75, AA 2-3 379c-381b;
43 FEDERALIST: NUMBER 37, 119c A 6, REP I 383c-384c; Q 76, A 5, REP 4 394c-
49 DARWIN: Origin of Species, 241b-c / Descent of 396a; Q 78, A I, ANS 407b-409a; A 4, ANS
Man, 372b-c 4Ud-413d; Q 79, A 8, REP 3 42lc-422b; Q 81,
53 JAMES: Psychology, 8a A 3, ANS and REp2 430c-431d; Q 83, A I, ANS
54 FREUD: Unconscious, 429c-d 436d-438a; Q 91, A 3, REP 1-3 486b-487d;
Q 92, A I, ANS 488d-489d; Q 96, A I SlOb-SUb;
lc. The distinction between animal and human Q lIS, A 4, ANS 589d-590c; Q II8, AA 1-2
nature 600a-603b; PART I-II, Q I, A I, ANS 609b-610b;
OLD TESTAMENT: Genesis, 1:20-3/ Psalms, 8 esp A 2, ANS and REP 1,3 610b-611b; Q 2, A 5,
8:4-8-(D) Psalms, 8 esp 8:5-9 / Ecclesiastes, CONTRARY 618d-619c; Q 6, A 2 646a-c; Q 10,
3:18- 22 A 3, ANS 664d-665c; Q II, A 2 667b-d; Q 12,
5 AESCHYLUS: Prometheus Bound [436-505]44c- A 5 672a-c; Q 13, A 2 673c-674c; Q IS, A 2
45a 682a-c; Q 16, A 2 684d-685b; Q 17, A 2 687d-
5 EURIPIDES: Trojan Women [669-672] 275d 688b
7 PLATO: Laches, 35b-d / Protagoras, 44a-45a / 20 AQUINAS: Summa Theologica, PART I-II, Q 50,
Cratylus, 93a-b / Timaeus, 452d-453a / Laws, A 3, REP 2 8b-9a; Q IIO, A 4, REP 3350d-3S1d;
BK II, 653b-c; BK VlI, 723c-d PART III, Q 2, A 2, REP 2 711d-712d; Q 7, A 9,
8 ARISTOTLE: Topics, BK V, CH 3 [132817-22] ANS 751d-752c; PART III SUPPL, Q 79, A I,
183a / Heavens, BK II, CH 12 [292bl-II]384a / ANS 951b-953b
Metaphysics, BK I, CH I [980~8-b27J 499a-b / 21 DANTE: Divine Comedy, HELL, XXVI [1I2-I20]
Soul, BK II, CH 3 [4I4bI7-20j644d; [41587-12] 39b; PURGATORY, XXV [34-78] 91d-92a; PARA-
645b; BK III, CH 3 [427b7-I4] 659d-660a; DISE, v [I9-24j112b; VlI [121-148] 116b-c
[428820-24] 660c; CH 10 [43388-13] 665d / 22, CHAUCER: Knight's Tale [133-1333] 181b-
Memory and Reminiscence, CH 2 [45385-14] 182a
695b 23 HOBBES: Leviathan, PART I, 52b; 53a-b; 54a;
9 ARISTOTLE: History of Animals, BK I, CH I S9b-c; 63a; 79b-c; PART II, 100a-c
[488b20-27]9d; BK IV, CH 9 [536834-b8] 63a-b; 25 MONTAIGNE: Essays, 207a-c; 215a-232c
BK VlII, CH I [5888I8-b4] 114b,d / Parts of 27 SHAKESPEARE: Hamlet, ACT IV, sc IV [32-39]
Animals, BK I, CH I [64 Ib5-IOI 164b-c; BK II, 59a
CH 10 [65684-14] 182a-b; BK III, CH 10 [6738 4- 31 DESCARTES: Rules, XII, 19d-20a / Discourse,
10] 20Id-202a; BK IV, CH 10 [686825~87b5] PART I, 41d; PART V, 56a-b; 59a-60b / Objec-
217d-219a / Generation of Animals, BK v, CH 7 tions and Replies, 156a-d; 226a~d; 276c
[786bI5-22] 328c-d / Ethics, BK I, CH 7 31 SPINOZA: Ethics, PART III, PROP 57, SCHOL
[I097b33-I09884] 343b; BK III, CH 2. [IIII b6-9] 415b; PART IV, PROP 37, SCHOL I, 435a-b
357b; BK VI, CH 2 [II398~7-20] 387d; CH 13 32 MILTON: Paradise Lost, BK VII [449-549] 227a-
[II44bI-IO] 394b; BK VII, CH I [II458I5-26] 229a; BK VIII [369-451] 240a-242a; BK IX
395a; CH 5 399a-d; CH 6 [II49b24-II5088] [549-566] 259b
400b-c; BK x, CH 8 [II78b23-32] 433c / Poli- 33 PASCAL: Pensees, 140 199a-b; 339-344 233a-b;
tics, BK I, CH 2 [I253B7-I8] 446b-c; BK III, CH 9 418 243a / Vacuum, 357a-3S8a
[128083I-~4] 477d-478a; BK VII, CH 13 35 LOCKE: Human Understanding, INTRO, SECT I
[1332839- 5] 537a-b / Rhetoric, BK I, CH I 93a-b; BK II, CH XI, SECT 4-II 144d-146a pas-
[I355bI-3j594d / Poetics, CH 4 [I448b4-8j682c sim, esp SECT 10-II 145d-146a; CH XXVII, SECT
lc(l) CHAPTER 2: ANIMAI. 33
8 221a-222a; SECT 12 223a-b; BK III, CH I, [669b4-8] 197d-198a; BK IV, CH 10 [686&25-
SECT 1-3 251b,d-252a; CH VI, SECT 12 271d- 690blO] 217d-222c / Gait of Animals 243a-
272b; SECT 22 273d-274a; SECT 26-27 274d- 252a,c esp CH 4 [705b30-706&25] 244c-245a,
276a; SECT 29 276b-d; SECT 33 278b-c; CH XI, CH 5 [706b7-16] 245b, CH 11-12 248d-249d /
SECT 20 304c-d; BK IV, cli .XVI, SECT 12, Generation of Animals 255a-331a,c esp BK II,
370c-371a; CH XVII, SECT I 371c-d CH 4 278b-282a, CH 6 [744&15-31] 285b-c /
35 BERKELEY: Human Knowledge, INTRO, SECT Ethics, BK III, CH 10 [II18&I8-b7] 364d-365a;
II 407b-40Ba CH II [1119&5-11] 365c; BK VIII, CH 12 [1162&16-
35 HUME: Human Understanding, SECT IX 487b- 25] 414e / Politics, BK I, CH 2 [1253&29-39]446d
488c 10 HIPPOCRATES: Articulations, par 8 93c-94b;
38 MONTESQUlEU: Spirit of Laws, BK I, 1d-2a par 13 96b-e; par 46, 106a / Instruments of
38 ROUSSEAU: Inequality, 334d-335a; 337d-338d; Reduction, par I, 122b
341d; 357c-d / Social Contract, BK I, 393b-c 12 LUCRETIUS: Nature of Things, BK II [251-293]
39 SMITH: Wealth o..fNations, BK I, 6d-8b 18b-d; BK III [288-322] 33d-34b; BK IV [962-
42 KANT: Pure Reason, 164a-c; 199c-20Oc / Prac- 1036] 56d-57c; [1192-1208] 59d-60a; [1251-
tical Reason, 316c-317a -I ?ref. Metaphysical 1267)60c-d; BK V [878-900] 72c-d; [1028-109]
Elements of Ethics, 372a-b / Intra. Metaphysic 74c-75b
of Morals, 385c-386d / Judgement, 479a-e; 19 AQUINAS: Summa Theologica, PART I, Q 75,
584d-585c; 587a-588a; 602b,d [fn I) A 6, REP I 383e-384e; Q 76, A 5, ANS and REP
43 MILL: Utilitarianism, 448a-449c passim; 3-4 394e-396a; Q 78, A 4, ANS 411d-413d; QQ
469b-d 80-81 427a-431d; Q 91, A 3, REP 1-3 486b-
46 HEGEL: Philosophy of Right, PART I, par -17 487d; Q 98, A 2, ANS and REP 3 517d-519a;
24a-b; PART II, par 132 46b-47a; par 139 48d- Q 99, A I, ANS and REP 2 519b-520a; PART I-II,
49):>; PART III, par 190 66a-b; par 211, 70a-b; Q 2, A 5, CONTRARY 618d-619c; A 6, CONTRARY
ADDITIONS, 4-5, 116a-d; 8 117c-d; 10 117d- 619d-620d
llBa; 28121b; 62126a; 118136a-b; 121 136c-d 20 AQUINAS: Summa Theologica, PART III, Q 2,
/ Philosophy of History, INTRO, 156c; 168d; A 2, REP 2 711d-712d
178a-b; 186a; PART I, 257d-25Ba; PART III, 22 CHAUCER: Manciple'S Tale [17,10-1-144]
304d-305a 490a-b
49 DARWIN: Descent of Man, 255a-b; 27Ba-e; 25 MONTAIGNE: Essays, 215a-232c passim; 286a-
287a-e; 294c-305c esp 294c-295a, 297a-29Ba, 287b; 290c-291b; 424d-425c
304a; 311d-312e; 319b-d; 349d; 591d-593c 27 SHAKESPEARE: King Lear, ACT IV, SC VI [109-
SO MARX: Capital, 85b-e; 86b-e 125]274c
51 TOLSTOY: War and Peace, EPILOGUE II, 68ge- 28 HARVEY: Motion ofthe Heart, 268d-304a,e esp
690a 280e-283a / On Animal Generation, 338a-496d
52 DOSTOEVSKY: Brothers Karamazov, BK VI, 167c esp 449a-454a, 463d-464a, 470c-472c
53 JAMES: Psychology, 85a-b; 677a; 678b-686b 30 BACON: Novum Organum, BK II, APH 40,
esp 678b, 683b-684a, 686a-b; 691a-b; 704a- 173c-d
706b esp 704a-b; 721a; 873a 31 DESCARTES: Rules, XII, 19d-20a / Discourse,
54 FREUD: Sexual Enlightenment of Children, 122c PART V, 56a-b; 59a-60b / Objections and
/ Interpretation of Dreams, 385b-c / General Replies, 156a-d; 226a-d
Introduction, 616b-c 31 SPINOZA: Ethics, PART III, PROP 57, SCHOL 415b
35 LOCKE: Civil Government, CH VII, SECT 78-80
lc(l) Comparison of brutes and men as ani- 42b-43a / Human Understanding, BK II, CH IX,
mals SECT 12-15 140c-141a
4 HOMER: Iliad,BK III [1-35) 19a-b; BK V [133- 36 SWIFT: Gulliver, PART II, 58a-b; PART IV, 147b-
143) 31e; [159-165] 3Id; BK VI [503-516] 148b
45b-c 38 ROUSSEAU: Inequality, 334b,d-337d; 338c;
8 ARISTOTLE: Soul, BK II, CH 9 [421"'6-26] 652e- 346b-d; 348d-349c
d; [421b8-33] 653a-b / Sense and the Sensible, 47 GOETHE: Faust, PROLOGUE [28I-292]Ba
CH I [436bI7-437&I71673d-674a; CH 4 [440b25- 48 MELVILLE: Moby Dick, 284a
441&3) 678b-e; CH 5 [443bI7-445a3I) 681c- 49 DARWIN: Descent of Man, 255a-286d esp
683b 265c-d, 273d-275c, 285c-286d; 287d-290c;
9 ARISTOTLE: History of Animals 7a-158d pas- 310a-312d; 331a-336a; 590a-593a
sim, esp BK I, CH I [488&5-IO)8d-9a, BK I, CH 6 51 TOLSTOY: War and Peace, EPILOGUE II, 689c-
[49IaI4)-BK III, CH 22 [523&271 12d-48a,c, BK 690a
VII 106b,d-114a,e, BK IX, CH I [608&IO-bI9) 52 DOSTOEVSKY: Brothers Karamazov, BK V,
133b,d-134a / Parts of Animals, BK II, CH 7 122d-123a
[653&29-b5) 178d; CH 9 [655b3-16) 181c; CH 10 53 JAMES: Psychology, 49a-50a; 702a-b; 704a-
[656a3-14) 182a-b; CH 14 184d-185e;cH 16 706b
[659b281-cH 17 [660b31186d-187c; BK III, CH I 54 FREUD: Civilization and Its Discontents, 782a-d
[66Ib5-15) 188b,d; [662b17-23) 190a; CH 6 [fn 11; 785a-b,d [fn I)
34 THE GREAT IDEAS 1c(2) to 1d
(lc. The distinction between animal and human 43 MILL: Utilitarianism, 469c-d
nature.) 46 HEGEL: Philosophy of Right, ADDITIONS, 25
121a; 121 136c-d
lc(2) Comparison of animal with human in- 48 MELVILLE: Moby Dick, 134b-135a
telligence 49 DARWIN: Descent of Man, 287a-303d esp 291c-
7 PLATO: Republic, BK II, 319c-320c 297b; 319b-d; 591d-S92a
8 ARISTOTLE: Physics, BK II, CH 8 [199820-23] 51 TOLSTOY: War and Peace, EPILOGUE II, 689c-
276c I Metaphysics, BK I, CH I [980828-981812] 690a
499a-c 53 JAMES: Psychology, 5a-6b; 13a-15a passim;
9 ARISTOTLE: History of A.nimals, BK I, CH I 49a-50a; 85a-b; 665a-666b; 677a; 678b-686b;
[488b20-27] 9d; BK VIII, CH I [588&18-b-l] 704a-706b; 873a
114b,d; BK IX, CH I [608&IO-bI9] 133b,d-134a; 54 FREUD: Interpretation of Dreams, 385b-c
CH 7 [612b I8-]2] 138b-c I Parts of Animals,
BK I, CH I [64Ib5-1O] 164b-c; BK IV, CH 10 Id. The habits or instincts of animals: types of
[686b22-687823] 218b-d I Generation of Ani- animal habit or instinct; the habits or in-
mals, BK I, CH 23 [731"24-b8] 271c-d; BK II, stincts of different classes of animals
CH 6 [744&27-31] 285c I Ethics, BK VI, CH 7 6 HERODOTUS: History, BK II, 62c-64c passim;
[11.1'&20-35] 390a-b; BK VII, CH 3 [II47 b ,-S] 67b-c; BK III, ll1d-1l2c; BK VII, 236c
397d I Politics, BK I, CH S [I25-1b20-25] 448b 7 PLATO: Republic, BK II, 320b
10 GALEN: Natural Faculties, BK I, CH 12.I72d- 8 ARISTOTLE: Physics, BK II, CH 8 [199820-3]
173c 276c
12 AURELIUS: Meditations, BK IX, SECT 9 292b-d 9 ARISTOTLE: History of Animals, BK I, CH I
19 AQUINAS: Summa Theologica, PART I, Q 59, [48781O-488b29] 7d-9d; BK IV, CH 9 62a-63c;
A 3, ANS 308b-309a; Q 76, A 5, REP -I 394c- BK V-VI 65a-l06d esp BK V, CH 8 [54'2&18-b2)
396a; Q 79, A 8, REP 3 421c-422b; Q 8" A I, 68d-69a; BK VIJI-IX 114b,d-158d espBK VIII,
ANS 436d-438a; Q 96, A I, ANS and REP 4 CH I [588b2]-589"9] 115b, CH 12 [596b20-28]
510b-511b; PART I-II, Q 12, A 5 672a-c; Q 17, 122d I Parts of Animals, BK II, CH 4 [650bI9-
A 2687d-688b 65185] 175c-d; 8K IV. CH 5 [679"5-32] 209a-c I
20 AQUINAS: Summa Theologica, PART III SUPPL, Generation of Animals, BK III, CH 2 [75388-17]
Q 79, A I, ANS 951b-953b 294a-b I Politics, BK I, CH 5 [1254b23-24] 448b;
23 HOBBES: Leviathan, PART I, 52b; 53a-b; 53d- CH 8 [1256&18-3] 450a; BK VII, CH 13 [1332b3-
54a; 59b-c; 63a; 64b-c; 79b-c; PART II, 100a-c; -I] 537b
PART IV, 267b 10 GALEN: Natural Faculties, BK I, CH 12,
25 MONTAIGNE: Essays, 215a-224a; 231d-232c 173a-c
28 HARVEY: On Animal Generation, 428a-b; 454a 12 LUCRETIUS: Nature of Things, BK II [333-370]
30 BACON: Novum Organum, BK I, APH 73 117d- 19b-d; [661-668] 23b-c
118a; BK II, APH 3S, 163d-164a 19 AQUINAS: Summa Theologica, PART I, Q 19,
31 DESCARTES: Rules, XII, 19d-20a I Discourse, A 10, ANS 117d-118b; Q 59, A 3, ANS 308b-309a;
PART v, 59d-60b I Objections and Replies, Q 78, A 4, ANS 411d-413d; Q 81, A 3, ANS and
156a-d; 226a-d REP 2 430c-431d; Q 83, A I, ANS 436d-438a;
32 MILTON: Paradise Lost, BK VIII [369-451] 240a- Q 96, .~ I, ANS and REP 2,4 510b-511b; Q "5,
242a; BKIX [549-566] 259b A 4, ANS 589d590c; PART I-II, Q 12, A 5, ANS
33 PASCAL: Pensees, 3.)9-344 233a-b I Vacuum, and REP 3 672a-c; Q 13, A 2 esp REP 3 673c-
357a-358a 674c; Q 15, A 2, ANS 682a-c; Q 16, A 2, REP 2
35 LOCKE: Human Understanding, BK II, CH IX, 684d-685b; Q 17, A 2, REP 3 687d-688b; Q 40,
SECT 12-15 140c-141a; ell X, SECT 10 143c-d; A 3 794c-795a; Q 41, A I, REP 3 798b-d; Q 46,
CH XI, SECT 'I-II 144d-146a passim; CH XXVII, A 4, REP 2 815b-d
SECT 8 221a-222a; SECT 12 223a-b; BK III, 20 AQUINAS: Summa Theologica, PART I-II, Q 50,
CH VI, SECT 12 271d-272b; BK IV, CH XVI, A 3, REP 28b-9a
SECT 12, 370c-371a; CH XVII, SECT I 371c-d 22 CHAUCER: Nun's Priest's Tale [15,282-287)
35 BERKELEY: Human Knowledge, INTRO, SECT 457b I Manciple'sTale [17,14-144] 490a-b
I I 407b-408a 23 HOBBES: Leviathan, PART II, 100a-c
35 HUME: Human Understanding, SECT IX 487b- 24 RABELAIS: Gargantua and Pantagruel, BK IV,
488c; SECT XII, DIV 118, 504c 247d-248b
36 SWIFT: Gulliver, PART IV 135a-184a esp 151b- 25 MONTAIGNE: Essays, 184a-b; 216b-219a
152a, 159b-160a 26 SHAKESPEARE: Henry V, ACT I, sc II [187-24]
38 ROUSSEAu: Inequality, 337d-338a; 341d-342a 535d536a
I Social Contract, BK I, 393b-c 27 SHAKESPEARE: Timon of Athens, ACT IV, sc
39 SMITH: Wealth of Nations, BK I, 6d-8b III [320-3481 414b-c
42 KANT: Pure Reason, 199c-200c; 235c-d I Prif 28 HARVEY: On Animal Generation, 339ab;
Metaphysical Elements of Ethics, 372a-b I 346a-347d; 349a-350a; 361c-362a; 402a-d;
Judgement, 479a-c; 584d-585c; 602b,d [fn I] 405c406a; 428a-c; 476b-477b
Ie to 2h CHAPTER 2: ANIMAL 35
30 BACON: Advancement of Learning, 72c / No- 2. The classification of animals
vum Organum, BK I, APH 73 117d-118a
31 DESCARTES: Discourse, PART v, 60b / Objec- 2a. General schemes of ..classification: their
tions and Replies, IS6a-d principles and major divisions
31 SPINOZA: Ethics, PART JJJ, PROP S7, SCHOL OLD TESTAMENT: Genesis, 1:20-31; 2:19-20 /
415b Leviticus, JI
33 PASCAL: Pensees, 342-344 233b 8 ARISTOTLE: Posterior Analytics, BK JJ, CH 13
35 HUME: Human Understanding, SECT v, DlV 38, [96h2S-97"6] 132a-bj CH 14 133c-134a / Top-
466b; DlV 4S 469c; SECT IX, DlV 85 488c; ics, BK VI, CH 6 [144&27-14S"2] 197d-198c
SECT XJJ, DIV Jl8, 504c passim / Metaphysics, BK V, CH 28 546b-c;
36 SWIFT: Gulliver, PART IV, 162a-b BK VJJ, CH 12 [1037b28-1038&3S] 56lc-562a /
38 ROUSSEAU: Inequality, 334d-335a;337d-338a; Soul, BK JJ, CH 3 644c-645b
343d-344a 9 ARISTOTLE: History of Animals, BK I, CH I
42 KANT: .Fund. Prin. Metaphysic of Morals, [486&IS]-CH 6 [491&S]7b-12c esp eH I [486&IS-
256d-257a / Practical Reason, 316c-317a -l87&1]7b-d; BK JJ, CHI [497b4-18] 19b,d-20a;
43 MILL: Utilitarianism,469c-d CH IS [SOSb2S- 32] 28b-c; BK IV, CH I [523&3-
.44 BOSWELL:lohnson, 221b-d . b20] 48b,dj BK V, CH I [S39&4-15] 65b; BK
48 MELVILLE: Moby Dick, 144a-b; 146b-147a; VJJJ, CH I [S88b4]-CH 2 [S90&18] 114d-116c /
283b-28'k!;289b-292a Parts ofAnimals, BK I, CH 2-4 165d-168c; CH 5
49 DARWIN: Origin of Species, 66a-69c passim; [645b20-28] 169c-d; BK JJJ, CH 6 [669b7-14l
82d-85c; 108d-l11b; 119a-135a,c esp 119a- 198a / Generation of Animals, BK I, CH I
122d, 134d-135a,c / Descent of Man, 287d- [7IS&18-b25] 25Sb-d; BK JJ, .CH I [732&13-
289a; 304b-310d esp 308a-310a; 312c-d; 733b17] 272c-274a; BK nI', CH JI [76Ib9-24j
369b-371b; 456b-457c; 463a-464b; 470d-475c 302c-d I Politics, BK IV, CH 4 [1290b25-36]
passim, esp 475c; 504d-50.7a passim, esp 506c; 489d-490a
583a 19 AQUINAS: Summa Theologica, PART I, Q 3,
51 TOLSTOY: War and Peace, BK XI, 499c-500c A 4, REP I 16d-17c; Q So, A 4, REP I 273b-274b;
53 JAMES: Psychology, 49b-50a; 68a-73b; 700a- QQ 71-'J2 367a-369d
711a; 724a-b; 730a-b; 890b-891b [fn 31 28 HARVEY: On Animal Generation, 468b-
54 FREUD: Narcissism, 401a-c / Instincts, 412b- 469b
415d / General Introduction, 615b-616c / Be- 30 BACON: Novum Organum, BK JJ, APH 27,
yond the Pleasure Prinaple,65Oc-662b esp 651d- 158b-cj APH 30 159c-d
654a / Group Psychology, 684d-686c esp 684d- 35 LOCKE: Human UnderstandiT)g, BK JJI, CH VI
685b / Ego and Id, 711c-712a / New Introduc- 268b-283a passim, esp SECT 7 270b, SECT 36-
tory Lectures, 846a-851d esp 846b-d, 849c- 37 279a-b; CH XI, SECT 19-20 304b-d
850a, 851a 42 KANT: Pure Reason, 193a-200c / Judgement,
579b-c
Ie. The conception of the animal as a machine 48 MELVILLE: Moby Dick, 9Sbc l05b .
or automaton 49 DARWIN: Origin of Species, 24a-b;25d-29a
9 ARISTOTLE: Parts of Animals, BK I, CH I esp 28c-29a; 30d-31d; 63d-64d; 207a-212c;
[640bS-18jl63a-b / Motion of Animals, CH 7 215b-217b; 224d-225b; 228c-229a,c; 238b-
[70Ibl-13] 236d-237a / Generation of Animals, 239a; 241d-242a / Descent of Man, 331a-341d
BK JJ, CH I [734b3- 20] 275a-b; CH S [74Ibs-JO] esp 331b-333a, 337a-338c; 342a-350b passim,
282c esp342a-b
10 GALEN: Natural Faculties, BK JJ, CH 3,
185a-b 2b. Analogies ofstructure and function among
23 HOBBES: Leviathan, INTRO, 47a different classes of animals
31 DESCARTES: Discourse, PART V, 56a-b; 59a- 8 ARISTOTLE: Posterior Analytics, BK JJ, CH q
60c / Objections and Replies, 156a-d; 226a-d [98"20-23] 134a / Youth, Lift, and Breathing
33 PASCAL: Pensees, 340 233a 714a-726d passim
35 LoCKE: HU1n(Zn Understanding, BK n, CH x, 9 ARISTOTLE: History of Animals 7a-158d esp
SECT 10 143c-d; CH XI, SECT II 145d-146a; BK I, CH 1-6 7a-13a, BK II, CH I 19b,d-23d,
CH XXVJJ, SECT S 220b-c BK IV, CH 8-BK V, CH I 59d-66a, BK VIII, CH I
38 ROUSSEAU: Inequality, 337d-338a 114b,d-llSb / Parts ofAnimals 161a-229d pas-
42 KANT: Judgement, 558b-559a; 575b-578aj sim, esp BK I, CH 4 167d-I68c, CH 5 [645bl-
578d-582c 646&5] 169b-d / Gait of Animals 243a-2S2a,c /
50 MARX: Capital, 190d [fn 2] Generation of Animals 255a-331a,c esp BK II,
51 TOLSTOY: War and Peace, BK X, 449b-Cj CH I 272a-276a
EPILOGUE JJ, 689c-690a 10 GALEN: Natural Faculties, BK JJI, CH 2 199d-
53 JAMES: Psychology, 3b-6b passim, esp 5b-6bj 200a
lla-12a; 47b-52b esp 51a-52a; 84a-94b; 700a- 28 HARVEY: Motion of the Heart, 274b-d; 277b-
706b esp 705a-706b 278dj 28Oc-283a; 299b-302c / On Animal
36 THE GREAT IDEAS 2c to 3b
9 ARISTOTLE: History of Anima/s, BK I-IV 7a-
(2. The classification of animals. 2b. Analogies 65a,c esp BK I, CH 1-6 7a-13a / Parts of Ani-
oj structure and function amongdijjerent mats, BK II-IV 170a-229d
classes of animals.) 19 AQUINAS: Summa Theologica, PART I, Q 91,
Generation, 336b-d; 338a-496d esp 449a-454a, A 3 486b-487d
463d-464a, 468b-472c 24 RABELAIS: Gargantua and Pantagruel, BK IV, .
30 BACON: Novum Organum, BK II, APH 27, 157b- 271a-272d
158c 28 HARVEY: On Animal Generatioll, 343b-345d;
35 LOCKE: Human Understanding, BK III, CH VI, 377c-380c passim; 485a-d
SECT 12 271d-272b 30 BACON: Advancement of Learning, 52b-c /
35 HUME: Human Understanding, SECT IX, DIV 82 Novum Organum, BK II, APH 7 139c-140a
487b-c 31 DESCARTES: Discourse, PART V, 56b-57a
42 KANT: Judgement, 579b-c 42 KANT: Judgement, 579b-c
48 MELVILLE: Moby Ditk, 273a-b; 279b 48 MELVILLE: Moby Dick, 243b-252a
49 DARWIN: Origin of Species, 75b-78c; 82d-94c; 49 DARWIN: Origin of Species, Hc-15b passim;
112b-113c; 212d-215a; 217b-219d; 225c-228c; 85d-87b; 89b-9Oc; 217b-219d / Descent of
238c-239a I Descent of Man, 255a-265d; 271c- Man, 255c-265a passim; 266a-c; 271c-274d;
275c; 279a-284b; 331a-335a; 338d-340c pas- 278c-284b
sim; 348b-c 54 FREUD: Beyond the Pleasure Principle, 647a-
648a
2c. Continuity and discontinuity in the scale of
animal life: gradation from lower to 3a. Physical elements. of the animal body: kinds
higher fo,ms oftissue
OLD TESTAMENT: Genesis, 1:20-2S 7 PLATO: Timaeus, 468a-469d
8 ARISTOTLE: Soul, BK II, CH 2 [413b4-IO) 643c; 8 ARISTOTLE: Meteorology, BK IV,CH 10 [389aI9-
[41481-3) 644a; BK III, CH II [433b32-43489) 23) 493b; CH II L,89b7-18) 493c-d; CH 12
666d; CH 12 [434b9-30) 667c'd / Sense and the 493d-494d
Sensible, CH I [436bI2-437aI7) 673c-674a; CH 5 9 ARISTOTLE: History of Animals, BK I, CH I
[443bI7-44S83) 681c-682d [486aS-IS) 7a; [487al-IO) 7d; BK III, CH 2
9 ARISTOTLE: History of Animals, BK VIII, CH [ [SlIbl-1O) 35a; CH S [SISa27)-CH 20 [S21b17)
114b,d-115b / Parts of Animals, BK IV, CH 10 39c-46c / Parts ofAnimals, BK I, CH I [640bll-
[686b23-68781 ) 218b-c / Generation ofAnimals, 24) 163a-b; BK II, CH I [646a7)-CH 2 [648a20J
BK I1,CH I [732813-733bI7) 272c-274a 170a-172c; CH 3 [649b22 )-CH 9 [655b26) 174b-
19 AQUINAS: Summa Theologica, PART I, Q 18, 181d; BK III, CH 2 [663b22-36) 191b-c /
A 2, REP I 105c-106b; A 3, ANS 106b-107c; Generation of Animals, BK I, CH I [715a8-II)
Q 50, A 4, REP I 273b-274b; Q 71, A I, REP 4-S 255a; CH 18 [722a,8-bIJ 262a-b; BK II, CH 6
367a-368b; Q 72, A I, REP I 368b-369d; Q 76, [743aI-bI8) 284b-d
A S, REP 3 394c-396a; Q 78, A I, ANS and REP 4 10 GALEN: Natural Faculties, BK I, CH 6 169c-
40.7b-409a 170c; BK II, CH 6 188c-191a; BK III, CH II
28 HARVEY: On Animal Generation, 336b-d; 207d-208b; CH IS, 215a-b
400d-401a; 412c-413a 20 AQUINAS: Summa Theologica, PART III SUPPL,
30 BACON: Novum Organum, BK II, APH 30 Q 79, A 3, ANS and REP I 955c-956b
159c-d 28 HARVEY: Motion of the Heart, 274d-275c;
35 LOCKE: Human Understanding, BK II, CH IX, 302c-d / Circulation of the Blood, 316d / On
SECT II-IS 140b-141a passim, esp SECT 12 Animal Generatioll, 414c-415b
140c; BK III, CH VI, SECT 12 271d-272b; BK 45 LAVOISIER: Elements of Chemistry, PART I,
IV, CH XVI, SECT 12, 370c-371a 39a-41a
42 KANT: Pure Reason, 199c-200c /. Judgement, 48 MELVILLE: Moby Dick, 226b-228b; 276b-
578d'580a esp 579b-c 277b
49 DARWIN: Origin of Species, 3a-b; 55b-62a esp 53 JAMES: Psychology, 53a-b; 118a
60b-61a; 64a-d; 80a-82d; 117a-118d; 167a- 54 FREUD: Beyond the Pleasure Principle, 647a-d
180d esp 180a~d; 207a-208a; 224d-225b;
228c-229a,c; 238b-243d esp 241a-d, 243b-c / 3b. The skeletal structure
Descent of Man, 337a-338c; 340d-341c 6 HERODOTUS: History, BK III, 91b-c; 112a;
53 JAMES: Psychology, 41b; 51a-52b; 95b-98a; BKIX,306b
705b-706b 7 PLATO: Timaeus, 468a-469d
54 FREUD: Civilization and Its Discontents, 768d- 9 ARISTOTLE: History of Animals, BK I, CH 7
769a 13a-b; CH 13 [493a21-24) 15b; CH IS [493bI2-
494al8) 15d-16b; BK II, CH I [499818-S00aI4)
3. The anatomy of animals 21c-22b; [soob20- 2S ) 23a; CH I [SOla2)-CH 5
6 HERODOTUS: History, BK II, 63b-64c passim [5283) 23b-24b; CH 15 [506a7-loJ 28c; BK III,
7 PLATO: Timaeus, 466a-469c CH 7-9 40b-41d; CH 20 [52Ib4-17) 46c; BK IV,
3c to 4b CHAPTER 2: ANIMAL 37
CR I [S23bl-IS] 48b,d; [S24b21-30] 50c-d; CR
2 [S2Sb ll-14] SId; CR 4 [S2S81-30] 54d-'55b; 3d. The utility or adaptation of bodily struc
CR 7 [S32831-bS] 59b; BK VII, CR 10 [SS7bll-IS] tures
113d-114a / Parts of Animals, BK II, CR 6 9 ARISTOTLE: History of Animals, BK IV, CR 4
176d-l77c; CR 7 [6S3834-b2] 178d; CR S [S28b29-S2981] 55d; CR S [S30bI9-24] 57c;
[6S3b30]-CR 9 [6SSblo] 179b-181c; BK III, CR BK IX, CR 37 [620blO-33] 146b-c; [622b9-IS]
1-2 188b,d-191d; CRA [666bI7-22] 194c-d; BK 14Sa / Parts of Animals, BK II-IV 170a-229d
IV, CR S [679bI3-3S]209d-210a; CR 10 [6908S- passim / Gait of Animals 243a-252a,c esp CR I
29] 221d-222b; CR 12 [69S81-26] 226c-227a; 243a-b / Generation of Animals, BK I, CR 2
CR 13 [696bl-7] 22Sa-b / Motion of Animals, [7 I 68IS-b2] 256b-c; CR 4-13 257a-260b; BK IV,
CR I [69S8IS-b9] 233b-c / Gait of Animals, CR I [76Sb33-76681O] 307a-b; BK V, CR S
CR II 248d-249a / Generation of Animals, BK 330b-331a,c
II, CR 6 [744b2S-74Sb9] 286a-d 10 GALEN: Natural Faculties, BK I, CR 6, 170b-c;
10 HIPPOCRATES: Injuries of the Head, par 1-2 CR 10 171b-172b; CR 13, 173d-174d; BK II,
63b,d-64c; par IS 69a-b / Fractures 74b,d-91d CR 4, 187c-d; BK III, CR 3 200a-201a; CR S
esp par 2-4 75a-76c, par 9-12 78c-SOa, par IS 205a-207b; CR II 207d-208b
82b-c, par 20 83a, par 37 89a-b / Articulations 12 LUCRETIUS: Nature of Things, BK IV [S23-SS7]
91b,d-121d passim / Instruments of Reduction 55a-b; BK V [S37-8771 72a-c
121b,d-130d passim, esp par I 121b,d-122c 18 AUGUSTINE: City of God, BK XXII, CR 24,
10 GALEN: Natural Faculties, BK III, CR IS, 610c-611b
215a-b 28 HARVEY: Motion of the Heart, 269a-b; 299b-
28 GALlLEO: Two New Sciences, FIRST DAY, 132c; 304a,c / On Animal Generation, 390b-c; 401 b;
SECOND DAY, 187b-188c; 195c-d 402c; 418b-c; 453c-454c
28 HARVEY: On Animal Generation, 443d-444c 34 NEWTON: Optics, BK Ill, 529a
48 MELVILLE: Moby Dick, 333b-33Sa 48 MELVILLE: Moby Dick, 227b-228a; 277b-
49 DARWIN: Origin of Species, 15a-b; 94a; 107a- 279b 0
113c passim; 217b-219d / Descent of Man, 49 DARWIN: Origin of Species, lc; 10d-llb; 38c;
263c-264d; 273a; 280c-282c 0 41c-44c esp 43a-b, 43d-44a; 66a-68b; 82d-
9Sa,c esp 97b-98a,c; 103c-113c; 115c-116b;
3c. The visceral organs 225c-228c / Descent ofMan, 258b-259a; 320b;
7 PLATO: Timaeus, 466a-468a 532d-543d
8 ARISTOTLE: Metaphysics, BK VII, CR 10 53 JAMES: Psychology, 701a
[103Sb26-2S] 559b / Soul, BK II, CR S [420b23-
27] 652a-b / Sleep, CR 3 [4SS814-19] 701c / 4. Animal movement
Youth, Life; and Breathing, CR 3 [46Sb2S]-CR
4 [469b20]715b-716b; CR J4 720d-721a 4a. Comparison of animal movement with other
9 ARISTOTLE: History ofAniT/'lIls, BK I, CR 16-17 kinds of local motion
16d-19d; BK II, CR IS-BK Ill, CR I 28b-35a; 8 ARISTOTLE: Physics, BK VUI, CR 4 [2S4b12-33]
oBK III, CR 3 [SI3822-39] 36d-37a; CR 13-IS 339a-b / Heavens, BK II, CR 2 376b-377c
44a-c; BK IV, CR I [S24bl-22] 50a-c; CR 2 9 ARISTOTLE: Motion oof Animals, CR I 233a-c;
[S26b22-S2~0] 53b-d; CR 3-7 54b-59d pas- CR 4 [7&5-27] 235b-c; CR 6 235d-236b; CR 7
sim / Parts ofAnimals, BK III, CR 4 193a-195d; [70Ibl]-CR S [702bI2] 236d-238a
CR 6-14197b-205c; BK IV, CR I-S 205b,d-213b 19 AQUINAS: Summa Theologica, PART I, Q IS,
/ Generation of Animals, BK I, CR 3-16 256c- A I, REP 1-3 l04c-l05c; Q 70, A 3 365b-367a
261b passim 31 DESCARTES: Discourse, PART V, 59a-d
10 HIPPOCRATES: Ancient Medicine, par 22 Sa-d / 35 LocKE: Human Understanding, BK II, CR
Sacred Disease, 156a 0 XXVII, SECT 4-S 220a-c
10 GALEN: Natural Faculties, BK I, CR 13 173d 49 DARWIN: Origin of Species, 115b
177a; BK III, CR S 205a-207b; CR II 207d-208b 53 JAMES: Psychology, 4a-6b
20 AQUINAS: Summa Theologica, PART UI SUPPL,
QSo, A 2, ANS 957c-958b 4b. The cause of animal movement: voluntary
o 24 RABELAIS: Gargantua and Pantagruel, BK I, and involuntarY movements
14a-b 0
7 PLATO: Phaedo, 241d-242a
28 HARVEY: Motion of the Heart, 271b-273a; 8 ARISTOTLE: Physics, BK VUI, CR 2 [2S2bI6-
274d-275c; 278b-c; 299b-302d / On Animal 2S] 336c-d; [2S3&6-21] 337a-b; CR 4 [2S4b
Generation, 339c-343a; 344d-345a; 350a-352d; 12-33] 339a-b / Soul, BK III, CR 9-11 664d-
375d-376c; 450d-451b; 452c-453b; 473b- 667a
476b; 485a-b 9 ARISTOTLE: Parts of Animals, BK I, CR I
31 DESCARTES: Discourse, PART V, 56a [640b30-64IblO] 163c-l64c / Motion of Ani-
49 DARWIN: Descent of Man, 266c; 281a-c mals, CR 6-1 I 235d-239d / Ethics, BK Ill, CR 2
53 JAMES: Psychology, 19a-42b; lISa [lIl1 b6-91 357b
54 FREUD: Beyond the Pleasure Principle, 647a-b 10 GALEN: Natural Faculties, BK I, ciI: I 167a-b
38 THE GREAT IDEAS 4c to 5a
16 KEPLER: Epitome, BK IV, 855b
(4. Animal movement. 4b. The Calise of animal 19 AQUINAS: Summa Theologica, PART I, Q 71,
movement: fIO/llntary and involuntary move- A I, REI' 2 367a-368b; Q 99, A I, ANS 519b-
ments.) 520a
12 LUCRETIUS: Nature of Things, BK II [251-293) 20 AQUINAS: Summa Theologica, PART III SUPPL,
18b-d; BK III [161-167] 32b; BK IV [877-906) Q 84, A I, REP 4983c-984c
55d-56a 28 HARVEY: Motion of the Heart, 30ld-302a /
19 AQUINAS: Summa Theologica, PART I, Q 18, Circulation of the Blood, 319b / On Animal
A 3, ANS 106b-l07c; Q 78, A I, ANS and REP 4 Generation, 450a-b
407b-409a; Q 80, A 2, REP 3 428a-d; Q 115, 31 DESCARTES: Rules, XII, 19d-20a / Discourse,
A 4, ANS 589d-590c; PART I-II, Q 6, A 2 646a-c; PART V, 58d-59a I Objections and Replies,
Q 12, A 5 672a-c; Q 13, A 2 673c-674c; Q 15, 156a-d
A 2 682a-c;Q 16, A 2 684d-685b; Q 17, A 2 34 NEWTON: Principles, COROL II 15a-16b esp 16b
687d-688b 48 MELVILLE: Moby Dick, 276b-278a
23 HOBBES: Leviathan, PART I, 61a-b 49 DARWIN: Origin of Species, 23a-b; 66a-67a;
24 RABELAIS: Gargantua and Pantagmel, BK III, 83b-84b; 93b-c; 94d-95a; 105c-l06a I Descent
192d-193a of Mal" 278c-280c; 365b-c
28 HARVEY: Motion of the Heart, 267a-b; 285d- 53 JAMES: Psychology, 9a-12b; 19b-26b; 714a-
286a; 302d-303a I Circulation of the Blood, 715b passim
316d; 325d-326d I On Animal Generation,
369d-370b; 415b-429c esp 417a-419b, 423b- 5. Local motion within the animal body
424a, 427c-428c; 456b-458a; 488d-496d
31 DESCARTES: Rules, XII, 19d-20a I Discourse, 5a. The ducts, channels, and conduits involved
PART V, 58d-59a; 60b I Objections and Replies, in interior bodily motions
156a-d 7 PLATO: Timaeus, 470a-471b
35 LOCKE: Human Understanding, BK II, CH XXI, 8 ARISTOTLE: Youth, Life, and Breathing, CH 14
SECT 5 179c-d; SECT 7-11 180a-d; CH XXXIII, [474b2 -9] 720d; CH 17 [476826-b8) 722b-c;
SECT 6 249a-b; BK IV, CH X, SECT 19 354a-c CH 22 724b-d passim
35 HUME; Human Understanding, SECT VII, DIV 9 ARIsTo'rLE: History of Animals, BK I, CH 2
51-52472b-473c [4 88b2 9)-CH 3 [489"I4)9d-l0b; CH 4 [489820-
42 KANT: Pure Reason, 164b-c I Intro. Metaphysic 23) 10b-c; CH 12 15a; CH 16 [4958I8)-CH 17
of Morals, 386b-d [497"29) lrb-19d; BK II, CH 15-BK III, CH 4
49 DARWIN: Origin of Species, U5b 28b-39c; BK III, CH 20 [52Ib4-8] 46c; BK V,
53 JAMES: Psychology, 3b; Sa; 8a-15a esp 12a-b, CH 5 [540b29-S4IaI2) 67b-c; BK VI, CH I I
15a; 7lb [fn I); 694a-702a; 705a-706b; 761a- [566a2-I4) 92a-b; BK VII, CH 8 [586bI2-24)
765b; 767b-768a; 827a-835a U2d-1l3a I Parts of Animals, BK II, CH 9
54 FREUD: Interpretation of Dreams, 351d-352a; [654a~I_bI21 180a-b; BK III, CH .3 191d-193a;
363b-d I Instincts, 412b-414b passim CH 4 [66S biOl-cH 5 [668b3I) 193b-197b; CH 7
[67087-181 198c-d; CH 8 [67ob34)-CH 9 [67 Ib28)
4c. The organs, mechanisms, and characteris- 199c-200c; CH 14 203b-205c; BK IV, CH 2
tics of locomotion [676bI6--677"24] 206b-207a; CH 4 [677b36-
7 PLATO: Timaeus, 454b 678"20] 207d-208a I Generation of Animals,
8 ARISTOTLE: Soul, BK III, CH 10 [433bI3-27) BK I, CH 2 [7I68.D)-CH 16 [721"26) 256b-261a
666b-c passim; BK II, CH 4 [73889-739a2) 278d-279d;
9 ARISTOTLE: History of Animals, BK I, CH I [74821 - 35 ] 281a-b; CH 6 [743aI-II] 284b; CH 7
[487bI4-34)8c-d; CH 4 [489827-29]10c; CH 5 [74Sb22-746"I9] 287a-c; BK IV, CH 4 [773813-
[489b20-490b6)Ua-12a; CH 15 [493b26-494818) 291 315a-b
16a-b; BK II, CH I [497bI8-498blO) 20a-d; 10 HIPPOCRATES: Ancient Medicine, par 22 8a-dl
CH 12 26b-27a passim; BK III, CH 5 39c-40a; Sacred Disease,156a-b
BK IV, CH I [523b21-524"32) 48d-50a; CH 2 10 GALEN: Natural Faculties, BK I, CH 10 171b-
[525bI5-526bI8) 51d-53b; CH 4 [528829-bll) 172b; CH 13 173d-l77a; BK I, CH I5-BK II, CH
55b; CH 7 [5328I9-29159a-b I Parts ofAnimals, 3, 179d-185b; BK II, CH 5-6 188b-191a; CH 9
BK II, CH 9 [65483I-b35) 180a-d; BK IV, CH 6-9 195c-199a,c; BK III 199a-215d passim
213b-217b passim; CH 10 [69084-bll) 221d- 28 HARVEY: Motion ofthe Heart, 268d-304a,c esp
222c; CH 12 (693824)-CH 13 (696834) 225b- 295d-296a / Circulation of the Blood 305a-
228a I Motion of Animals, CH 1-2 233a-234a; 328a,c / On Animal Generation, 339c-340c;
CH 7 [70\bI-I3) 236d-237a; CH 8 [72822)- 342d-345a; 347d; 350a-353b; 368b-371c;
CH 10 [703bl) 237c-239a I Gait of Animals 373b-374d; 378b-d; 379b-c; 388d-389a; 401c-
243a-252a,c 402c; 430b-d; 438c-441a; 449c-d; 473d-476b;
10 HIPPOCRATES: Articulations, par 60 U3b-d 485a-487b
12 LUCRETIUS: Nature of Things, BK IV [877-897) 31 DESCARTES: Discourse, PART V, 56b-59a
55d-56a 49 DARWIN: Descent of Man, 257c
5b to 5f CHAPTER 2: ANIMAL 39
49 DARWIN: Origin of Species, 1l0e-l11a / Descent
5h. The circulatory system: the motions of the of Man, 339d-340e; 547e-548e
heart, blood, and lymph 53 JAMES: Psychology, 66b-67a; 696b-697b
7 PLATO: Timaeus, 466e-d; 471e-d
8 ARISTOTLE: Youth, Life, and Breathing, CH 26 5d. The respiratory system: breathing, lungs,
725d-726b gills
9 ARISTOTLE: History of Animals, BK III, CH 19 7 PLATO: Timaeus, 470b-471b
[S2I"6:-3I] 45d-46b; BK VI, CH 3 [S6I"9-I5]87e 8 ARISTOTLE: Youth, Life, and Breathing, CH 7-
/ Parts of Animals, BK III, CH 4-S 193a-197b / 27 717a-726d
Generation of Animals, BK II, CH I [73S"IO-26] 9 ARISTOTLE: Hi_~tory of Animals, BK I, CH I
275d-276a; CH 5 [74IbIS-24] 282d; CH 6 [487"I4-b3]8a-b; CH 5 [489a34-b6]10d; CH II
[742b33-743aI] 284a; BK IV, CH I [766"3o_b2] [492bS-I2] 14b-e; CH I(i [495"20-bI9] 17b-d;
307e-d CH 17 [496"27-34] 18e; BK II, CH 13 [504b27-
10 HIPPOCRATES: Sacred Disease, 160a 50SaI9] 27b-e; CH IS [SoSb32-S06a4] 28e; BK
10 GALEN: Natural Faculties, BK I, CH I5-BK II, IV, CH 2 [S26b I8-22] 53b; BK VI, CH 12 [566b2-
CH 2 179d-185a; BK II, CH 4-6, 188a-d; BK III, q]92e-d; BK VIII, CH 2 [589alO_b29]1l5e-1l6b
CH I3-IS, 213a-215d / Parts of Animals, BK II, CH 16 [6S8 b26-
17 PLOTINUS: Fourth Ennead, TR III, CH 23, 154b 659bI9] 185d-186e; BK III, CH I [662"16-28]
19 AQUINAS: Summa Theologica, PART I-II, Q 17, 189b-e; CH j 191d-193a; CH 6 197b-198a;
A 9, REP 2 6nd-693d BK IV, CH 13 -[696a37-b24] 228a-e; [697aI6-h]
24 RABELAIS: Gargantua and Pantagruel, BK III, 229a-b / Motion of Animals, CH I I [703b3-I5]
138a-d 239a-b
28 HARVEY: Motion of the Heart, 268d-304a,e esp 10 HIPPOCRATES: Prognostics, par S 20b-e /
285b-296a / Circulation of the Blood 305a- Articulations, par 41 103e-l04b
328a,e esp 309b-d, 324a-326d / On Animal 10 GALEN: Natural Faculties, BK III, CH 13,
Generation, 368a-371 b; 374a-d; 42ge-441a; 211b-d
44ge-d; 456b-d; 488d-496d 28 HARVEY: Motion of the Heart, 268d-273a pas-
30 BACON: Novum Organum, BK II, APH 48, sim; 282b-285b; 303d-304a,e / Circulation of
186d the Blood, 30ge; 317e-d; 324a; 325d / On
31 DESCARTES: Discourse, PART V, 56b-59a / Animal Generation, 33ge-340e; 458a
Objections and Replies, 156e-d 30 BACON: Novum Organum, BK II, APH 12,
53 JAMES: Psychology, 64a-65a; 695a-696a 141d-142a
31 DESCARTES: Discourse, PART V, 58b-e
5c. The glandular system: the glands of in- 33 PASCAL: Weight of Air, 415a-b
ternal and external secretion 48 MELVILLE: Moby Dick, 272b-276b
7 PLATO: Timaeus, 472a-474b 49 DARWIN: Origin of Species, 87d-88e; 90e-91a;
9 ARISTOTLE: History of Animals, BK I, CH 12 238d / Descent of Man, 339a
[493"10-16] 15a; BK II, CH 13 [S04b22-27] 27a- 53 JAMES: Psychology, 696a-b; 740b [fn I]
b; BK III, CH 2 [5IIbI-IO] 35a; CH 20 [52Ib2Ij-
CH 21 [523"13] 46d-48e; BK VI, CH 20 [574b7- 5e. The alimentary system: the motions of the
I3]lOOb; CH 21 [S75b9-I2]101b; CH 26 103d; digestive organs in the nutritive process
CH 33 [58o"2-4]105e-d; BK VII, CH 3 [583"26- 7 PLATO: Timaeus, 467d-468a
34]108d-l09a; CH 5 [58Sa29-32] III b; CH II 9 ARISTOTLE: Parts of Animals, BK II, CH 3
114a,e / Parts of Animals, BK II, CH 7 [653b8- [6S0 aI-37] 174e-175a; BK III, CH I [66I"34-bI2]
19] 179a; BK III, CH 5 [668b I-101196d; CH IS 188b; CH 3 191d-193a; CH q 203b-205e; BK
205d; BK IV, CH 10 [688"I9-b34] 219d-220d / IV, CH I I [69obI8-69I"I] 222d-223a; [69Ia28-
Generation of Animals, BK I, CH 20 [727b34- b27 ] 223e-d
728"9] 268a-b; BK III, CH 2 [752b23-24] 293d; 10 HIPPOCRATES: Ancient Medicine, par II 4b
BK IV, CH 8318b-31ge 10 GALEN: Natural Faculties, BK I, CH 9-10 171b-
10 HIPPOCRATES: Ancient Medicine, par 19 6d-7b 172b; CH 16, 180e-181b; BK III, CH 4-5 201b-
/ Airs, Waters, Places, par 8, 12a-b / Prognos- 202d; CH 7-8 203b-207b; CH 13, 211d-212d
tics, par 6 20e 28 HARVEY: Motion of the Heart, 279a-b / On
10 GALEN: Natural Faculties, BK I, CH 13, 175d- Animal Generation, 350a-e; 451 b; 452d-453a;
Ina; BK II, CH 2 184b-185a; CH 4-5, 188a-e; 456d; 460a-461a
CH 8-9 191b-199a,e; BK III, CH 5 202e-d; CH 31 DESCARTES: Discourse, PART V, 58e-d
I2,209a-b
28 HARVEY: Motion of the Heart, 288d / Circula- 5/. The excretory system: the motions of elim-
tion ofthe Blood, 320a-b / On Animal Genera- ination
tion, 396e-d; 435a-e; 451b; 461b; 464e-d; 9 ARISTOTLE: History of Animals, BK III, CH IS
487e-488a 44b-e; BK IV, CH I [S24"9-I4] 49d; BK VI,
31 SPINOZA: Ethics, PART V, PREF 451a-452e CH 20 [574bI9-2S]100b-e; BK VII, CH 10 [587a
34 NEWTON: Optics, BK III, 538a 27-33j1l3e; BK VIII, CH 5 [594b2I-26j 120d;
40 THE GREAT IDEAS 5g to 6b
(5. Local motion within the animal body. 5/. The 6. Animal nutrition
excretory system: the motions 0/ elimination.)
BK IX, CH 45 [63ob7-I7] 155d-156a / Parts of 6a. The nature of the nutriment
Animals, BK III, CH 7 [67ob23]-CH 9 [672&26] OLD TESTAMENT: Genesis, 1:29-3
199b-201a; CH 14 [675&3I-b38] 204d-205c; BK 5 ARISTOPHANES: Peace [1-172] 526a-527d
IV, CH I [676&29-35] 206a; CH 2 206b-207b; 7 PLATO: Timaeus, 469d-470a; 471d-472a
CH5 [679&5-32]209a-c; CH 10 [689&3-34] 22Od- 8 ARISTOTLE: Generation and Corruption, BK I,
221b / Generation of Animals, BK I, CH 13 CH 5 [322&4-28] 419d-420b / Metaphysics, BK
[7I9b29-720&1I] 259d-260a I, CH 3 [983bI9-25] 501d-502a / Soul, BK II,
10 HIPPOCRATES: Airs, Waters, Places, par 912d- CH 4 [4I6&I8-b3I] 646c-647b / Sense and the
. 13b / Prognostics, par II-Ii 21c-22b Sensible, CH 4 [44 Ib24-442&I2] 619b-d
10 GALEN: Natural Faculties, BK I; CH 13, 173d- 9 ARISTOTLE: History oJ Animals, BK I, CH I
175d;cH 15-17 179d-183d; BK II, CH 2 184b- [488&15-20] 9a; BK, III, CH 20 [52Ib2I]-CH 21
185a; BK III, CH 5 202c-d; CH i2-'I3 208b-213b [523&13] 46d-48c; BK VIII, CH 2 [590&I8]-CH II
19 AQUINAS: Summa Theologica, PART I, Q 119, [596bI9] 116d-122d; CH 21 [603b25-34] 129d;
A I, REP I 604c-607b BK IX, CH I [608bI9]-cn 2 [6IObI91134a-136b;
20 AQUiNAS: Summa Theologica, PART III SUPPL, cn 9 140a-b / Parts of Animals, BK II, cn 4
Q 80, A 2, REP I 957c-958b; A 3, ANS and REP 2 [65I&i2-I9] 176a / Generation of Animals, BK
958b-959c IV, cn 8 [777&4-19] 319a>b I Politics, BK I, CH 8
24 RABELAIS:' Gargantua and Pantagruel, BK I, [1256&18-3] 450a; [I256bll-20] 450b-c -
16c-18b; BK III, 138b-c; BK IV, 293a-b; .310d- 10 HIPPOCRATES: Ancient Medicine, par 3-8 Id-
311d 3b; par 13-15 4c-5d / Regimen in Acute Dis-
28 HARVEY: Motion of the Heart, 273b-c; 283a-b eases, par 4 27c-28a; par 14-17 32c-34c;
/ On Animal Generation, 344b-345a; 351a-b; APPENDIX, par 18 41a-d
356c-d; 380c 10 GALEN: Natural Faculties, BK I, CH 2, 168a-b;
36 SWIFT: Gulliver, PART I, 26a-b ClI 10-11 171b-172d; BK II, CH 8, 191b-193d
45 LAVOISIER: Elements of Chemistry, PART I, esp 192d-193b
45c-d . 12 LUCRETIUS: Nature of Things, BK IV [633-672]
49 DARWIN: Origin of Species, I11b-c; 120b-c 52c-53a
19 AQUINAS: Summa Theologica, PART I, Q 97,
5g. The brain and nervous system: the excita- A 3, REP 2 515a-d; A 4 515d-516d; Q 119, A I
tion and conduction of nervous im- 604c-607b
pulses 24RABELAIS: Gargantua and Pantagruel, BK III,
9 ARISTOTLE: Parts of Animals, BK II, CH 7 138b .
177c-1798.; CH 10 [656&q_b28] 182b-183a . 28 HARVEY: On Animal Generation, 378b-d;
10 HIPPOCRATES: Sacred Disease, 156a-160b' 398d-399c; 40~c-d; 409c-d; 414a-b; 435a-
10 GALEN: Natural Faculties, BK II, CH 6 188c- 438b; 439a-440a; 448a-c; 461a-d; 463b-466b;
191a . 486c-d; 487c-48Ba;494a-496d esp 494b,
16 KEPLER: Epitome, BK IV, 855a-b 495c-496a
17 PLOTINUS: Fourth Ennead, TR III, cn 23, 153d- 30 BACON: Novum Organum, BK II, APH 50,
154a - 193b-c
19 AQUINAS: Summa Theologica, PART I, Q 99, 38 ROUSSEAU: Inequality, 337d
A I, ANS 519b-520a
23 HOBBEs: Leviathan, PART I, 49b-d 6b. The process of nutrition: ingestion, diges-
24 RABELAIS: Gargantua and Pantagruel, BK III, tion, assimilation '
190a-c 7 PLATO: Timaeus, 467d-468a; 471c-472a
28 HARVEY: On Animal Generation, 456b-458a .8 ARISTOTLE: Meteorology, BK IV, CH 2 [379bIO-
31 DESCARTES: Rules, XII, 19d-20a / Discourse, 24] 483d-484a / Soul, BK II, CH 4 [4I6&I8-b29]
PART V, 58d-59a / Meditations, VI, l02a-d / 646c-647b / Sleep, cn 3 699b-701d passim
Objections and Replies, 156a-d 9 ARISTOTLE: History of Animals, BK VIII, CH 4
31 SPINOZA: Ethics, PART V, PREF 451a-452c [594&11-21] 120a-b; CH 6 [595&6-13] 121a; CH
34 NEWTON: Optics, BK. III, 518b-519b; 522a-b 17 [6oob7-I2] 126c / Parts 'Of Animals, BK II,
45 FARADAY: Researches in Electricity, 540a-541a,c CH 3 [650&I-bn] 174c-175b; BK III, CH I
53 JAMES: Psychology, 2b-3a; Ba-67b esp 9b-17a, [66I&36-bI2] 188b; CH 3 191d-193a; CH 14
42a-b, 46b-47a; 70a-77b esp 70a-71a; 152a- 203b-205c; BK IV, CH 3 [677b30]-CH 4 [678&20]
153a; 497a-501b esp SOOb-501b; 694e,-695a; 207d-208a; CH II [690b20-69I&I] 222d-223a;
698b-699a; 705a-b; 758b-759a; ~27b-835a [69I&28-b27] 223c-d
54 FREUD: Hysteria, 87a / Interpretation ofDreams, 10 HIPPOCRATES: Ancient Medicine, par II 4b /
351c-352d; 363c-364b; 378a-b / Instincts, Regimen in Acute Diseases, APPENDIX, par 18
413a-d / Unconscious, 431d / Beyond the 41a-d
Pleasure Principle, 646b-649d / Ego and Id, 10 GALEN: Natural Faculties, BK I, CH 2 167b-
700a-b 168c; CH 7-12 170c-173c esp CH 10-11 171b-
7 to 8b CHAPTER 2: 41
172d; CH 16, 180e-181b;'BK II, CH 4, 187a-b; MELVILLE: Moby Dick, 338a-339a
'CH 6-7 188c-191b; BK III, CH I 199a-c; CH 4 9 DARWIN : Origin ofSpecies, 71a-d: 227c-228b I
201b-202c; CH 6-9 202d-207b; CH 13 209b- Descent of Man, 402a-b; 405a-d: 540a-541c
213b esp 211d-213a ' , FREUD: Civilization and Its Discontents, 770b
12 LUCRETIUS: Nature of Things, BK iI [S7I-8S2]
26a; [mS-II47] 29b-c: BK IV [S5S-S76] 55b-c 8. The generation of animals
19 AQUINAS: Summa Theologica, PART I, Q 97,
A 3, Rl!P 2 515a-d; A 4,515d-516d; Q uS, A I, Sa. The origin of animals: creation or evolu-
ANS and REP 3-4 600a-601c; Q II9, A I 604c- tion
607b ' OLD TESTAMENT: Genesis, I':U-I2,20-2S: 2:4-
20 AQUINAS: Summa Theologica, PART III SUPPL, 9,19-23
Q So, A 3, ANS 958b-959c; A4 959c-963a 7 PLATO: Timaeus, 452c-454a: 476b-477aic
24 RABELAIS: Gargantua and Pantagruel, BK III, 9 ARISTOTLE: Generation of Animals, BK III, CH
134d-135a: 138a-139b II [762b2S-763aS]303d-304a
27 SHAKESPEARE: Coriolanus, ACT I, sc I [92-15] 12 LucRimus: Nature of Things, BK V [7S3-836]
352b-353a ' 7lb-72a
28 HARVEY: Motion of the Heart, 279a-b; 296a- 18 AUGUSTINE: City of God, BK XII, CH 21 357a-
297a esp 296d-297a; 297d-298b I Circulation b: CH 27 359c-360a,c: BK XVI, CH 7 427a-b
aflhe Blood, 307c-308c; 319b: 320a;b I On 19 AQUINAS: Summa Theologica, PART I, QQ 71-
Animal Generation, 350a-c; 408c-d; 4138.-415a: 72367a-369d
435a-438b; 441b-443b; 446c-447a; 455c-d; '32 MILTON: Paradise Lost, BK VII 13S7-550]
460b-461d: 465b 225b-229a
30 BACON: Novum Organum, IiK II, APH 4S, 34 NEWTON: Optics. BK III, 542b
184a-c 42 KANT: Judgement,' 578d-580a esp 579b-c;
31 DES~ARTES: Discourse, PART V, 58c-d 581b-582c
47 GOETHE: Faust, PART II [S245-S264] 201a
7. AninutlgrOwth or augmentation: its nature, 49 DARWIN: Origin of Species 1a-251a,': esp 1a-
causes, and limits 7d, 63b-64d, 85b-c, 217d;219a, 230a~243d I
6 HERODOTUS: History, BK II, 63b Descent of Man, 265a-d
7 PLATO: Timaeus, 471d-472a
8 ARISTOTLE: Physics, BK II, CH I [I93bIJ-19] 8b. Diverse theories of animal generation: pro-
269d-270a; BK VI, CH 10 [24Ia27-b2] 325b-c: creation and spontaneous generation
Bi< VIII, CH 7 [260a27-bI] 346b-c I Generation 7 PLATO: Timaeus, 476b-477a,c
and Corruption, BK I, CH 5 417b-420b I Meta- 8 ARISTOTLE: Meteorology, BK IV, CH I 1379b6-
physics, BK V; CH 4 [Ioqb20- 261 535a Sl483c: CH 3 [3SIbg-I31485d: CHII 13S9~8-
9 ARISTOTLE: History of Animals, BK V, CH 19 b7]493c I Metaphysics, BK VII, CH 9 [1034a32-
[55ob26-3r] 77d; CH 33 [55sarS-24184d-85a I I bS] S57c-d: BK XII, CH 6 [I07Ib29-3I] 601c:
CROSS-REFERENCES
For: The general discussion of the grades of life anJ the kinds of soul, see LIFE AND DEATH 3, 3b;
SOUL 2C-2C(3).
Other considerations of the issue concerning continuity or discontinuity in the relation of
plants, animals, and men, as well as between living and non-living things, see EVOLUTION
3e, 7a-7b; LIFE AND DEATH 2, 3a; MAN la-Ic; NATURE 3b; SENSE 2a.
The comparison of men ;lnd animals, or of different species of animals, with respect to
sensitivity, memory, imagination, and intelligence, see MEMORY AND IMAGINATION I;
MIND 3a-3b; REASONING la; SENSE 2b-2C.
The general theory of instinct, see HABIT 3-3e; and for the emotional aspect of instincts, see
EMOTION IC.
Diverse theories of classification, see DEFINITION 2a-2e; EVOLUTION la-I b.
Alternative theories of the origin and development ofliving organisms, see EVOLUTION 4a, 4c.
Other discussions of heredity, see EVOLUTION 3-3ej FAMILY 6b.
Other discussions of sexual attraction, mating, and reproduction, see CHANGE lOb; FAMILY 7aj
LOVE 2a(I), 2d.
The causes of animal movement, see CAUSE 2; DESIRE 2C; WILL 3a(I), 6c.
Another consideration of sleeping and waking, see LIFE AND DEATH Sb.
The comparison of human and animal societies, see STATE la.
CHAPTER 2: ANIMAL 49
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
OUTLINE OF TOPICS
PAGE
1. The general theory and evaluation of aristocracy
la. Aristocracy as a good form of government
lb. Criticisms of aristocracy as unrealizable or unjust 59
2. The relation of aristocracy to other forms of government
2a. Aristocracy and monarchy
2b. Aristocracy and constitutional government: the polity or mixed constitution
2e. Aristocracy and democracy 60
2d. Aristocracy and oligarchy
ufo Aristocracy and tyranny
6. The selection of the best men for public office: the aristocratic theory of representation
in modern constitutional government
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [26S-283112d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. Forexample, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
handsideofthe page, the letters e and d to the upper and lower halves of the right-hand side of
the page. Forexample, in 7 PLATO: Symposium, 163b-164e, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [26S-283j12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of cha pters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:4S-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
1. The general theory and evaluation of aristoc- 1a. Aristocracy as a good form of government
racy OLD TESTAMENT: Exodus, 18:13-26 I Deuteron-
6 HERODOTUS: History, BK III, 107e-108e omy, 1:9-17 I Proverbs, 29:2
7 PLATO: Republic, BK II-VII, 316a-401d I ApOCRYPHA: Ecclesiasticus, Ioa-2-(D) aT,
Statesman, 598b-604b I Laws, BK III, 665e- Ecclesiasticus, 10:1-2
666e; 669d-672a 6 HERODOTUS: History, BK III, 107d-108a
9 ARISTOTLE: Ethics, BK VIll, CH IO [1160b32- 6 THUCYDIDES: Peloponnesian War, BK IV, 478d-
I l 6 1"'2] 413a-b; CH 11 [n61&23-2SJ 413e I Poli- 479b
tics, BK Ill, CH 7 [1279&33-37] 476d; CH 9 7 PLATO: Republic, BK III-IV, 339b-350a; BK
[1281&2-8) 478e-d; CH IS [1286h4-S) 484d; CH VIII , 401d-402d / Timaeus, 442a-443b /
17 [1288&8-10] 486d; CH 18 487a,e; BK IV, CH 7 Statesman, 598b-604b esp 603d-604b
493a-b; CH 8 [1294&9-24] 493d-494a; CH 14 9 ARISTOTLE: Ethics, BK VIII, CH II [1161&23-24]
[1298bS-IO) 499a I Rhetoric, BK I, CH 8 413e I Politics, BK Ill, CH 7 [1279&28-38] 476d;
[136Sb32-39] 608a-b CH IS [I286b3-7] 484d; CH 18 487a,c; BK IV,
20 AQUINAS: Summa Theologica, PART I-II, Q 9S, CH 7 493a-b; CH 8 [1294&9-241 493d-494a
A 4, ANS 229b-230e; Q lOS, A I, ANS 307d- 14 PLUTARCH: Lycurgus, 47a-48d
309d 15 TACITUS: Annals, BK XI, 106a-107b
23 HOBBES: Leviathan, PART II, 104d-105a 18 AUGUSTINE: City of God, BK V, CH 12, 218d-
33 PASCAL: Pensees, 319-324 229b-230b; 33S 219b
232b; 337-338 232b-233a 20 AQUINAS: Summa Theologica, PART I-II, Q 9S,
35 LOCKE: Civil Government, CH x, SECT 132 A 4, ANS 229b-230e; Q lOS, A I, ANS 307d-309d
55a-b 27 SHAKESPEARE: Coriolanus 351a-392a,e esp
38 MONTESQUIEU: Spirit of Laws, BK II, 6b-7e; ACT I, SC I [SI-192] 351d-353e
BK lII, 10e-11a; BK v, 23a-25a; BK VII, 38 MONTESQUIEU: Spirit of Laws, BK II, 7e
45b-e 38 ROUSSEAU: Social Contract, BK Ill, 411e-412a
38 ROUSSEAU: Inequality, 359a-e I Social Con- 43 MILL: Representative Government, 340a-c;
tract, BK Ill, 410b-e; 411c-412e; 418e 353b-354b; 363d-364b
42 KANT: Science of Right, 450a-d 44 BOSWELL:Johnson, 125e-d; 141a; 211b-e; 220b
Ib to 2b CHAPTER 3: ARISTOCRACY 59
46 HEGEL: Philosophy oJRight, PART III, par 273,
lb. Criticisms of aristocracy as unrealizable or 90d-91c; par 279, 94b
unjust
6 HERODOTUS: History, BK Ill, 108b-c 2a. Aristocracy and monarchy
6 THUCYDIDES: PeloponnesiatJ War, BK VI, 6 HERODOTUS: Historv, BK III, 107c-l08c
520a-c 7 PLATO: Republic, BK IV, 355d-356a / States-
7 PLATO: Republic, BK V, 368c-369c; BK VI, man, 598b-604b
380b-383a; BK VII, 401c-d; BK IX, 426d-427b 9 ARISTOTLE: Politics, BK III, CH 7 476c-477a;
9 ARISTOTLE: Politics, BK III, CH 10--13 478d- CH 13 [1284"3-35] 482a-c; CH 15 [1286"23-b8]
483a; BK IV, CH 8 [I293b2I-28) 493c 484c-d esp [1286b4-8] 484d; CH 16 [1287b8-35]
15 TACITUS: Histories, BK I, 193c-194a 486a-c; CH 17 [1288"5-25] 486c-487a; CH 18
23 HOBBES: Leviathan, PART II, 105a; PART IV, 487a,c; BK IV, CH 2 [1289826-35) 488b; BK V,
273a-b CH 10 [I3IOa39-bI4] 512d-513a; [I3IOb3I-
35 LOCKE: Civil Government, CH XI, SECT 138 I3IIa8) 513b / Rhetoric, BK I, CH 8 608a-c
57b-c 15 TACITUS: Annals, BK VI, 97b
38 MONTESQUIEU: Spirit oJLaws, BK II, 7c 18 AUGUSTINE: City oJGod, BK V, CH 12, 218d-
38 ROUSSEAU: Social Contract, BK III, 411d 219b
42 KANT: Science oj Right, 442c-d; 445a-c 20 AQUINAS: Summa Theologica, PART I-II, Q 95,
43 MILL: Representative Government, 366a-367b A 4, ANS 229b-230c; Q 105, A I, ANS and REP
46 HEGEL: Philosophy oj Right, PART III, par 297 I-2307d-309d
99b / Philosophy oj History, PART IV, 356c- 23 MACHIAVELLI: Prince, CH IV 7a-8a; CH IX
357a;365a 14c-16a passim; CH XIX, 27a-b
50 MARX-ENGELS: Communist Manifesto, 420c 23 HOBBES: Leviathan, PART II, 104d-l09a pas-
sim; PART III, 201a
2. The relation of aristocracy to other forms of 38 MONTESQUIEU: Spirit oj Laws, BK II, 6b-8c;
government BK III, lOc-lld; BK V, 23a-25d; 32b-c; BK VIII,
6 HERODOTUS: History, BK III, 107c-l08c 53d-54a; BK XI, 75b-d; 77b-c; BK XII, 90c;
6 THUCYDIDES: Peloponnesian War, BK VIII, BK XX, 147a-d
579c-590c passim 38 ROUSSEAU: Social Contract, BK III, 418c
7 PLATO: Republic, BK I, 301c-d; BK VIII-IX, 39 SMITH: Wealth oj Nations, BK V, 308b-c
401d-421a esp BK VIII, 401d-402d / Statesman, 41 GIBBON: Decline and Fall, 81c-d
598b-604b / Laws, BK III, 669d-672a 43 FEDERALIST: NUMBER 17, 70a-d
9 ARISTOTLE: Ethics, BK V, CH 3 [113182+-29) 43 MILL: Representative Government, 351d-352b;
378d; BK VIII, CH 10-1 I 412c-413d / Politics, 366a-c
BK III, CH 5 [1278"15-34) 475b-c; CH 7 476c- 46 HEGEL: Philosophy oJRight, PART III, par 273,
477a; CH 13 [1284"3-b34) 482a-483a; CH 15 90c-91d; par 279, 94b / Philosophy oJHistory,
[I286b8-22) 484d-485a; CH 17 [1287b37)-CH 18 PART IV, 356d-357a
[I288837) 486c-487a,c; BK IV, CH 2 [1289"26-b4) 51 TOLSTOY: War and Peace, BK VI, 241c-242b;
488b-c; CH 3 [129"13-29) 489b; CH 14 [1298" BK IX, 384c-388a,c; EPILOGUE I, 668a-669c
34-blO) 498d-499a; CH 15 [1299b20-13ooa8)
500b-d; CH 16 [130IalO-16]502c / Rhetoric, BK 2b. Aristocracy and constitutional government:
I, CH 8 608a-c the polity or mixed constitution
14 PLtTTARCH: Lycurgus, 34d-35d 6 THUCYDIDES: Peloponnesian War, BK VIII,
20 AQUINAS: Summa Theologica, PART I-II, Q 95, 579d-580d; 581b-c; 582a; 587a-b; 58Ba-589a;
A 4, ANS 229b-230c; Q 105, A I, ANS 307d- 590a-b
309d 9 ARISTOTLE: Politics, BK III, CH 7 476c-477a;
23 HOBBES: Leviathan, PART I, 73b; PART II, BK IV, CH 8 493c-494a; CH II [1295831-.34)
104d-l08b passim; 154b-c 495b-c; CH 14 [I298b5-IO] 499a; BK V, CH 7
33 PASCAL: Pensees, 304227b-228a [137"5-27) 509a-b / Rhetoric, BK I, CH 8
35 LocKE: Civil Government, CH x, SECT 132 [I365b22-1366a2) 60Ba-b
55a-b; CH XI, SECT 138 57b-c 14 PLUTARCH: Lycurgus, 34d / Dion, 800c
38 MONTESQUIEU: Spirit oj Laws, BK II-III 4a- 15 TACITUS: Annals, BK IV, 72a-b
13d esp BK II, 4a, 6b-7c, BK III, 10c-lla; 20 AQUINAS: Summa Theologica, PART I-II, Q 95,
BK VI, 34d-35a; BK VIII, 56b-57c; BK XII, A 4, ANS 229b-230c; Q 105, A I, ANS 307d-
90b-c; BK XV, 109a-b; BK XVIII, 125a-b 309d
38 ROUSSEAU: Inequality, 359a-c / Social Con- 38 MONTESQUIEU: Spirit oj Laws, BK II, 4a;
tract, BK III, 410b-c; 415d; 418c; BK IV, 427a-d 6b-8c; BK V, 21d-22c; BK VIII, 52c; BK XI,
41 GIBBON: Decline and Fall, 81c-d 7ld-72b; 75b-d; 76c-77c
42 KANT: Science oj Right, 450a-452a esp 450b-d 41 GIBBON: Decline and Fall, 81c-d
43 FEDERALIST: NUMBER 39, 125b-d 42 KANT: Science oj Right, 439c-440a; 450a-d
43 MILL: Representative Government, 363b-369b 43 FEDERALIST: NUMBER 39, 125b-d; NUMBER
passim; 387c-d 63, 194b-195b; NUMBER 71, 216a-b
60 THE GREAT IDEAS 2c to 3
[1160b32-1 161 82] 413a-b / Politics, BK II, CH 10
(2. The relatitm of aristocracy to other forms oj [I 272827-b 10] 468c-469a; CH I I 469a-470b;
government. 2b. Aristocracy and ctmstitu- BK III, CH 5 [12788IS-24] 475b-c; CH 7 476c-
tional government: the polity or mixed con- 477a esp [I 279b4-1O] 476d-477a; CH 13
stitution.) [1283~S_b26]481b-d; CH IS [1286bl2-16] 485a;
43 MILL: Representative Government, 353d-354b; BK IV, CH 2 [1289"26-b4] 488b-c; CH 4
406a-409c; 419b-c [1290bI7-20] 489d; CH 5 [1292839-h6] 491d-
46 HEGEL: Philosophy of Right, PART III, par 279, 492a; CH 7 [I 293b2-12] 493a-b; CH 8 [1293h30-
94b / Philosophy of History, PART II, 275b- 1294828] 493c-494a; CH 12 [129786-9] 497b;
276a; 277c-d; PART IV, 356d-357a BK v, CH 7 508c-509d; CH 12 [1316839-blO]
51 TOLSTOY: War and Peace, BK VI, 238c-243d 519c / Rhetoric, BK I, CH 8 [I365b22-1~66a6]
passim, esp 241c-242b; BK IX, 384c-388a,c 60Sa-b
passim 14 PLUTARCH: Lycurgus, 36a-37b; 47a-48a
15 TACITUS: Annals, BK II, 35d
2c. Aristocracy and democracy 20 AQUINAS: Summa Theologica, PART I-II, Q 9S,
6 HERODOTUS: History, BK III, 107c-l08c A 4, ANS 229b-230c
6 THUCYDIDES: Peloponnesian War, BK VI, 520a- 21 DANTE: Divine Comedy, HELL, XVI [64-78]
c; 533a-c; BK VIII, 579c-581c; 582b-c; 590a-b 23a-b
7 PLATO: Republic, BK VIII, 401d-402d; 408b- 23 HOBBEs: Letiathan, PART II, 104d-l05a; PART
409d / Statesman, 598b-604b IV, 273a-b
9 ARISTOTLE: Politics, BK III, CH II [1281839- 38 MONTESQCIEV: Spirit of Laws, BK II, 7b-c;
b25 1479b-c; CH 13 [128483-b25] 482a-d; BK IV, BK v, 23a-25a: BK XX, 151c-152a
CH 7 [1293bl2-18] 493b; BK V, CH 7 [13785-27] 38 ROUSSEAV: Social Contract, BK III, 419b
509a-b; CH 8 [1307b39-1308824] 51Oa-b; 39 SMITH: Wealth of Nations, BK III, 165c-166a;
[1308b31-130981O] 511a-b / Rhetoric, BK I, CH 8 BK v, 309c-310d
[1365b22-I36682] 608a-b 42 KANT: Science of Right, 450a-c
14 PLUTARCH: Lycurgus, 34d / Lycurgus-Numa, 43 FEDERALIST: NUMBER 63, 194d
62b-c / Dion, 792d-802a,c esp 800c 43 MILL: Representative Government, 363d-364d
15 TACITUS: Annals, BK VI, 97b 46 HEGEL: Philosophy of History, PART II, 277c-d;
20 AQUINAS: Summa Theologica, PART I-II, Q 95, PART Ill, 292d-293b
A 4, ANS 229b-230c; Q 105, A I, ANS 307d-309d
23 MACHIAVELLI: Prince, CH IX 14c-16a passim 2e. Aristocracy and tyranny
23 HOBBES: Leviathan, PART II, 104d-l05a 6 THUCYnJDEs: Peloponnesian War, BK VI.
27 SHAKESPEARE: Coriolanus, ACT I, SC I [1-47] 533a-c
351a-d; ACT II, sc I [1-106] 361a-362a; ACT III, 7 PLATO: Republic, BK VIII, 401d-402d; BK VIlI-
SC I [140-161] 370d-371a IX, 411d-421a / Statesman, 598b-604b passim,
33 PASCAL: Pensees, 294 225b-226b esp 603b-604b / Laws, BK IV, 679c-680b
38 MONTESQUIEU: Spirit of Laws, BK II, 4a-7c; 9 ARISTOTLE: Politics, BK v, CH 10 [1310840-
BK III, 9b-lla; BK V, 23a-b; 23d; BK VII, 44d- I3I187] 512d-513b / Rhetoric, BK I, CH 8
45c; BK VIII, 51d; 53d-54a; BK IX, 58b; BK X, [1365b32-1366B6] 608a-b
64a-d; BK XII, 90b-c; BK XV, 109b 15 TACITUS: Histories, BK I, 193c-194a
38 ROUSSEAU: Political Economy, 369c-d / Social 20 AQUINAS: Summa Theologica, PART I-II, Q 95,
Contract, BK IV, 427a-d A 4, ANS 229b-230c
41 GIBBON: Decline and Fall, 8lc-d 23 HOBBES: Leviathan, PART IV" 273a-b
42 KANT: Science of Right, 450a-d 33 PASCAL: Pensees, 380 238a
43 FEDERALIST: NUMBER 39, 125b-d; NUMBER;7 35 LOCKE: Civil Government, CH XVIII, SECT 201
176d-179b passim; NUMBER ;8, 181b-c; NUM- 71c
BER 60, 185b-187a 38 MONTESQUlEU: Spirit of Laws, BK II, 4a; BK
43 MILL: Liberty, 298b-299a / Representatite VI, 34d-35a; BK VIII, 52c-d; BK XI, 70c; 78d-
Government, 353b-354b; 364b-d; 366a-369b 79b: BK XV, 109a-b
passim; 376b-c 43 FEDERALIST: NUMBER 47, 153d: NUMBER 48,
44 BOSWELL: Johnson, 125c-d; 141a; 21lb-c 157b-c; NUMBER 70, 213d-214a
46 HEGEL: Philosophy of Right, PART III, par 273, 46 HEGEL: Philosophy of Right, PART III, par 27~,
91b-c; par 279, 94b / Philosophy of History, 91c / Philosophy of History, PART II, 277c-d
PART II, 275b-276a; 277c-d; PART III, 285b-d; 51 TOLSTOY: War and Peace,BK I, 9b-c; EPILOGUE
310a-c I, 668a-669d
2d. Aristocracy and oligarchy 3. The causes of degeneration or instability in
7 PLATO: Republic, BK VIII, 401d-402d; 405c- aristocracies: aristocracy and revolution
407a / Statesman, 598b-604b OLD TESTAMENT: 1 Samuel, 7:IS-8:S-(D)
9 ARISTOTLE: Ethics, BK Vi CH 3 [1131824-29] 1 Kings, 7:IS-8:S
378d; BK VIII, CH 10 [1I60b ll-16] 412d; 6 HERODOTUS: History, BK III, 108b-c
4 to 6 CHAPTER 3: ARISTOCRACY 61
6 THUCYDIDES: Peloponnesian War, BK v, 482d- Timaeus, 442e-d / Statesman, 607b-608a /
483a; BK VIlI, 57ge-583e; 587a-589a; 590a-e Laws, BK VII, 728b; BK XII, 794b-798b esp
7 PLATO: Republic, BK III-IV, 339b-350a; BK 796d-798b
VIII, 403a-404a / Critias, 485a-e / Seventh 9 ARISTOTLE: Politics, BK III, CH 4 [I277&I4-bI5j
Letter, 806d-807b 474a-d; CH 18 487a,e; BK IV, CH 15 [1300&3-8]
9 ARISTOTLE: Politics, BK II, CH 9 [127ob7-34] 500d; BK VI,CH 8 [1322b37-I323&6] 526d; BK
466d-467a; CH 12 [1273b36-1274a7] 470e; BK VII, CH 14 [I332bl 3-1 333&16] 537b-538a _/
III, CH 15 [I286b12-16] 485a; BI' V, CH 3 Rhetoric, BK I, CH 8 [I365b32-39] 608a-b
[1303&2-10] 504b-e; CH 4 [134&18-29] 505d- 14 PLUTARCH: Lycurgus, 38a-45e / Alcibiades,
506a; CH 7 508e-509d; cR8 [I307b39..,I308&24] 156b-158b / Marcus Cato, 286e-287b / Lysan-
510a-b; CH 12 [1316&39-b3] 51ge der, 354b,d-355a / Dion, 781b,d-788b
14 PLUTARCH: Lycurgus, 35e-d; 47a-48a / Corio- 15 TACITUS: Annals, BK II, 34e-d; BK XIII, 125d-
lanus, 180a-184a / Lysander, 361a-368a,e / 126a / Histories, BK IV, 267e
Caius Gracchus, 683b-e / Cicero, 708a-b 21 DANTE: Divine Comedy, PARADISE, VIII [II5-
15 TACITus: Annals, BK I, 1b-2a; 3a-b / His- 148) 118b-e
tories, BK I, 193e-194a 23 HOBBES:. Leviathan, INTRO, 47b-d; PART I,
21 DANTE: Divine Comedy, HELL, XVI [64-78] 94b-e; PART II, 112d; 154a; 158e-d; 164a,e
23a-b; PARADISE, XV-XVI 128b-132a 24 RABELAIS: Gargantua and Pantagruel, BK I,
23 MACHIAVELLI: Prince, CH IV 7a-8a; CH IX 18b-19d; 24a-30e; BK II, 75a-77a; 78b-83b
14e-16a 25 MONTAIGNE: Essays, 60a-62a; 63d-64a; 7ld-
36 SWIFT: Gulliver, PART IV, 158a-b 72b
38 MONTESQUlEU: Spirit of Laws, BK II, 6e-7b; 26 SHAKESPEARE: Taming of the Shrew, ACT I,
BK III, 10e-Ua; BK V, 23a-25a; BK VII, 45b; sc I [I'-45)202e-203a / 1st Henry IV, ACT I, SC
BK VIII, 52e-53a; BK X, 64a-d; BK XII, 91e- II [2I8-240j437e-d / Henry V, ACT I, SC I [22-
92b; BK XIlI, 96d-97a; BK XX, 151e-152a 66) 533b-e / As You Like It, ACT I, sc I [1-28]
38 ROUSSEAU: Social Contract, BK III, 411e-d; 597a-b
418c-419b 29 CERVANTES: Don Quixote, PART II, 332e-
39 SMITH: Wealth of Nations, BK V, 420b-e 336a; 362a-e
42 KANT: Science of Right, 451a 36 SWIFT: Gulliver, PART I, 29b-31a; PART IV,
43 FEDERALIST: NUMBER 17, 70a-d 158a-b; 166b-167a
43 MILL: Representative Government, 366a-367b 38 MONTESQUIEU: Spirli of Laws, BK V, 18d
46 HEGEL: Philosophy of Right, PART III, par 273, 39 SMITH: Wealth of Nations, BK V, 347e-d
91e / Philosophy of History, PART IV, 355d- 40 GIBBON: Decline and Fall, 86e
357a esp 356e-357a; 364a-b 41 GIBBON: Decline and Fall, 508d-509d
50 MARX-ENGELS: Communist Manifesto, 423d- 43 MILL: Liberty, 298b-299a / Representativt
424b; 42ge-430b Government, 384a-387d; 415a-417e
51 TOLSTOY: War and Peace, EPILOGUE I, 666e- 46 HEGEL: Philosophy of Right, ADDITIONS, 169
669d 145d / Philosophy of History, PART III, 310a-e;
PART IV, 368a-b
4. Aristocracy and the issue of rule by men as 51 TOLSTOY: War and Peace, BK VI, 244d-245e
opposed to rule by law
7 PLATO: Republic, BK VI, 380b-e / Statesmall, 6. The selection of the best men for public
598b-604b / Seventh Letter, 806d-807b office: the aristocratic theory of repre-
9 ARISTOTLE: Politics, BK III, CH 10 [1281&29-38) sentation in modern constitutional gov-
479a; CH 13 [1284&3-I8j482a-b;cH 15 [1286&7- ernment
b8] 484b-d; CH 17 486e-487a esp [1288&5-14) OLD TESTAMENT: Genesis, 41 :33-40 / Exodus,
486c-d 18:13-26/ Deuteronomy, 1:9-18/ Judges esp
23 HOBBES: Leviathan, PART IV, 273a-c 9:8-15 / I Samuel, J:I-25:I-(D) I Kings,
35 LOCKE: Civil Government, CH XVIII, SECT 199- 1:1-25:1 / I Kings, 3 :5-I5-(D) III Kings,
20271a-72a 3:5-15 / II Chronicles, I :7-I2-(D) II Para-
38 MONTESQUIEU: Spirit of Laws, BK II, 4a; BK lipomenon, 1:7-12 / Proverbs, 29:2 / Daniel,
VIII, 52e; BK XI, 69a-e 6:1-4
42 KANT: Science of Right, 450d-451d ApOCRYPHA: Wisdom of Solomon, 6; 9-(D) OT,
Book of Wisdom, 6; 9/ Ecclesiasticus, 10 :1-3-
S. The training of those fitted for rule: aristo- (D) OT, Ecclesiasticus, 10:1-3
cratic theories of education 5 EURIPIDES: Electra [367-400] 330e-d
OLD TESTAMENT: Exodus, 18:13-26/ Deuteron- 6 HERODOTUS: History, BK III, 93e; 107d-108a
omy, 1:9-17 6 THUCYDIDES: Peloponnesian War, BK II, 396e-
ApOCRYPHA: Ecclesiasticus, 38:24-34-(D) OT, d; BK III, 425b-e; BK IV, 478d; BK VI, 520b-e
Ecclesiasticus, 38 :25-39 7 PLATO: Protagoras, 44d-45b / Republic, BK II,
7 PLATO: Republic, BK II-III, 320c-339a; BK VI- 319a-320e; BK III, 339b-341a; BK V, 36ge-
VII, 383b-401d esp BK VII, 389d-401d / 370a; BK VI, 373c-375b; 383b-d; BK VII,
62 THE GREAT IDEAS 6 to 7
103a; ADDITIONS, 169 145d; 182 148c-d /
(6. The selection oj the best men jor public office: Philosophy of History, PART II, 277c-d; PART
the aristocratic theory I;j representation in IV, 368b-d
modern constitutional govl!rnment.) 51 TOLSTOY: War and Peace, BK VI, 241c-242b
390b-391b / Statesman, 598b-604b; 608c-d /
Laws, BK VI, 697a-705c passim; BK XII, 786b- 7. Historic and poetic exemplifications of
787b; 794b-799a,c esp 796d-798b / Seventh aristocracy
Letter, 807a-b 6 HERODOTUS: History, BK III, 107c-l08dj BK v,
9 ARISTOTLE: Politics, BK II, CH 9 [1270b7- 160d-161a
1271817] 466d-467b; CH II [1272b33-127382] 6 THUCYDIDES: Peloponnesian War, BK I, 355a-
469b-c; [1273"22-b7] 469d-470a; BK III, CH -I 356a; BK II, 409a; BK III, 434c-438b passim;
[1277aI~-23]474a-b; CH 5 [127884o_bS] 475d; BK IV, 458d-459cj 463a-b; 465c; 478d-479b;
CH 7 [1279"24-b4] 476c-d; CH 10-13 478d- BK v, 482d-483a; BK VI, 533a-c; BK VIII, 568d-
483a; CH 15 [1286822-bI4] 484c-485a; CH 16 s69a; s79c-590c
[I287bI2-14] 486a; CH 18 487a,c; BK IV, CH 7 9 ARISTOTLE: Politics, BK II, CH 9 [1270b7-341
[1293b2-21] 493a-b; CH 8 [129489-24] 493d- 466d-467a; BK v, CH 7 [1307827-b241509b-d /
494a; CH 14 [1298b5-101499a; CH IS [130089- Athenian Constitution, CH 1-41 553a-572a
b4] 500d-501b; BK v, CH 8 [1308b31-I309alO] passim, esp CH 2.3-26 563c-565a
5Ua-b; CH 9 [1309833-bI3] sllc-d; BK VI, CH-I 14 PLUTARCH: Theseus, 9a-d / Romulus, 20c-21a
[1~18b21-13I984] 522b-c; BK VII, CH 9 [1328b / Lycurgus 32a-48d / Pericles 121a-141a,c esp
33-1329"171 533b-c / Rhetoric, BK I, CH 8 126d-127a / Coriolanus, 174b,d-184a / Aris-
[136Sb32-39]608a-b tides, 263c-266a
l4 PLUTARCH: Lycurgus, 45c-d / Lysander, 365a- 15 TACITUS: Annals, BK I, 1b-2aj 3a-b; BK II,
366a / Lysander-Sulla, 387 d-388a 32b-d; 34a-cj BK IV, 6Sa-c; 72a-b; BK VI, 97b;
l5 TACITUS: Annals, BK XI, 105d-107b BK XI, 10Sd-107b / Histories, BK I, 193c-194a;
ZO AQUINAS: Summa Theologica, PART I-II, Q 92, 212a-b
A I, REP 3 213c-214c; Q 105, A I, ANS and REP 18 AUGUSTINE: City of God, BK V, CH 12, 218d-
1-2307d-309d 219b
Z3 HOBBES: Leviathan, PART II, 136b 21 DANTE: Divine Comedy, PURGATORY, VIII
Z5 MONTAICNE: Essays, 364b-365a; 4Ua-d; [II2-I39165c-d
452a-d 22 CHAUCER: Tale of Wife of Bath [6701-6758]
27 SHAKESPEARE: Coriolanus, ACT I, SC 1[9-166] 274b-27Sb
352b-353a; ACT II 361a-369a , 25 MONTAIGNE: Essays, 181d-183c
35 LOCKE: Civil Government, CH VII, SECT 94, 27 SHAKESPEARE: Troilus and Cressida, ACT I,
46b; CH VIII, SECT 105-112 48c-s1b passim SC III [33-54]108c / All's Well That Ends Well,
36 SWIFT: Gulliver, PART I, 28b-29a; PART II, ACT II, SC III [lIS-I 51] 152c-153a / Coriolanus
73a-b 3S1a-392a,c esp ACT I, SC I [1-47] 3s1a-d, ACT
38 MONTESQUIEU: Spirit of Lows, BK II, 4d-5a; II, SC I [1-106] 361a-362a
BK III, 10c-Ua; BK v, 21d-22c; BK XI, 7la-72b 36 SWIFT: Gulliver, PART II, 73a-76b; PART IV,
38 ROUSSEAU: Social Contract, BK III, 412b-c; 157a-158b
BK IV, 427a-d 38 MONTESQUlEU: Spirit of Laws, BK II, 6b-7c;
39 SMITH: Wealth of Natiolls, BK IV, 269d-271d; BK v, 23a-25a; BK VII, 45b-c; BK XI, 76c-84c
BK v, 309c-311c 38 ROUSSEAU: Political Economy, 369c-d / Social
40 GIBBON: Decline and Fall, 61d-62a Contract, BK III, 418c-d [fn 2]
43 CONSTITUTION OF THE U.S.: ARTICLE I, SECT 2 39 SMITH: Wealth of Nations, BK III, 165b-181a,c
[11-16] Ub; SECT 3 [67-72] 12a; ARTICLE II, passim
SECT I 14b-15a; SECT 2 [424-439] Isb; 40 GIBBON: Decline and Fall, 61d-62a
AMENDMENTS, XII 18a-c 41 GIBBON: Decline and Fall, 7ld-73c passim;
43 FEDERALIST: NUMBER 3, 33d-34a; NUMBER 217d-219a; 387d-390b passim; 427d-428aj
10, sld-53a; NUMBER 28, 98a; NUMBER 35, 452d-456a,c esp 452d-453a,c,453a-bj s70dj
U3a-U4b; NUMBER S2-63 165a-195b passim, 574b-582cj 58Ba-589a
esp NUMBER 57, 176d-177a; NUMBER 68 205b- 43 FEDERALIST: NUMBER 17, 70a-d
207a; NUMBER 76-77, 225a-229b 43 MILL: Representative Government, 363d-364d
43 MILL: Liberty, 290d-291a; 320c-322a / Repre- 46 HEGEL: Philosophy ofHistory, PART II, 277c-d;
sentative Government, 336b-337a; 33Ba-b; PART III, 285b-dj 310a-c; PART IV, 368b-d
341d-424c passim, esp 363b-366a, 384a-387d; 50 MARX: Capital, 355d-364a esp 356a-357a,
439d-442a 359a-c
44 BOSWELL: Johnson, 125c-d; 141a; 178b'c; 191c 50 MARX-ENGELS: Communist Manifesto, 419b,d;
46 HEGEL: Philosophy of Right, PART III, par 279, 420b-cj 423d-424b; 429c-430b
94b-c; par 291-295 97d-99a; par 308 102c- 51 TOLSTOY: War and Peace, BK IX, 384c-388a,c
CHAPTER 3: ARISTOCRACY 63
CROSS-REFERENCES
For: The general theory of the forms of government, see GOVERNMENT 2-2e.
Other chapters on particular forms of government, see CONSTITUTION; DEMOCRACY; MON-
ARCHY; OLIGARCHY; TYRANNY; and for the conception of the ideal state, see STATE 6-6b.
The comparison of aristocratic with democratic theories of education, see EDUCATION Sd.
Discussions of the role of virtue in political theory, in relation to citizenship and public
office, see CITIZEN 5; VIRTUE AND VICE 7-7d.
Another discussion of the theory of representation, see CONSTITUTION 9-9b.
The role of honor in the organization of the state, and the theory of timocracy, see HONOR 4a.
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
MONTALEMBERT. On Constitutional Liberty
I. .'\RNOLD. Culture and Anarchy
DANTE. Convivio(The Banquet), FOURTH TREATISE, WHITMAN. Democratic Vistas
CH 10-14 RENAN. The Future of Science
SPINOZA. Tractatus Politicus (Political Treatise), CH - - . Philosophical Dialogues
8-10 H. JAMES. The American
T. H. HUXLEY. Methods and Results, VI-VII
II. IBSEN. An Enemy of the People
Viilsung Saga NIETZSCHE. Thus Spake Zarathustra
SPENSER. The Faerie Queene MOSCA. The Ruling Class
CAMPANELLA. A Discourse Touching the Spanish MALLOCK. Social Equality
Monarchy - - . Aristocracy and Evolution
FILMER. Patriarcha T. VEBLEN. The Theory of the Leisure Class
HARRINGTON.' Oceana SANTAYANA. Reason in Society, CH 4
SEVIGNE. Letters BOUGLE. Essais sur Ie regime des castes
A. SIDNEY. Discourses Concerning Government SOREL. Rejlexions on Violence
MILLAR. Observations Concerning the Distinction of WENDELL. The Privileged Classes
Ranks in Society SHAW. Socialism and Superior Brains
PAINE. Common Sense WELLS. The New Machiavelli
J. ADAMS. A Defense ofthe Constitutions of Govern- WEBER. Essays in Sociology, PART IV
ment of the United States of America PONSONBY. The Decline of Aristocracy
JEFFERSON. Notes on the State of Virginia P. E. MORE. Aristocracy and Justice
SIEyES. An Essay on Privileges PARETO. The Mind and Society
GODWIN. An Enquiry Concerning Political Justice, BRYCE. Modern Democracies, PART I, CH 7; PART III,
BK v, CH IO-II, 13 CH 75
BURKE. An Appeal from the New to the Old Whigs DEWEY. The Public and Its Problems
- - . Letter to Sir Hercules Langrishe MAl RET. Aristocracy and the Meaning of Class Rule
- - . Letter to a Noble Lord TAWNEY. Equality
AUSTEN. Pride and Prejudice BERGSON. Two Sources of Morality and Religion,
J. MILL. An Essayon Government, III-V CH I, pp 62-82
STENDHAL. The Red and the Black J. B. S. HALDANE. The Inequality of Man
BALZAC. Gobseck NOCK. The Theory of Education in the United States
TOCQUEVILLE. Democracy in America MADARIAGA. Anarchy or Hierarchy ,
THACKERAY. Vanity Fair LANDTMAN. The Origin ofthe Inequality ofthe Social
GOBINEAU. The Inequality of Human Races Classes
EMERSON. "Aristocracy," in English Traits T.S.ELIoT. Notes Towards the Definition of Culture
Chapter 4: ART
INTRODUCTION
OUTLINE OF TOPICS
PAGE
I. The generic notion of art: skill of mind in making 73
2. Art and nature
2a. Causation in art and nature: artistic production compared with natural generation
2b. The role of matter and form in artistic and natural production 74
2C. The natural and the artificial as respectively the work of God and man
3. Art as imitation 75
4. Diverse classifications of the arts: useful and fine. liberal and servile
12. The history of the arts: progress in art.as measuring stages of civilization
CHAPTER 4: ART 73
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-283] 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page u6 and ends in the lower half of page II9. When the text is
printed in two columns. the letters a and b refer to the upper and lower halves of the left-
handsideofthe page, the letters e and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164e, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [26'5-283] 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: The conception of art as a habit of mind or an intellectual virtue, see HABIT sa, Sd; VIRTUE
AND VICE 2a(2).
The applications of science in the useful arts, see KNOWLEDGE Sa; PHYSICS S; ScIENCE I b( I),
3b; and for the dependence of science on art, see PHYSICS 4a; SciENCE Sb, 6a.
The distinction between art and prudence and the spheres of making and doing, see
PRUDENCE 2b.
Other discussions of art and nature, see NATURE 2a; and for the comparison of artistic pro-
duction, natural generation, and divine creation, see FORM Id(I)-Id(2); WORLD 4e(I).
Experience as a source of art, see EXPERIENCE 3; for the distinction between artist and
empiric, see EXPERIENCE 3a; and for the opposition between art and chance, see CHANCE 5.
The enjoyment of beauty in nature and in art, see BEAUTY 2; PLEASURE AND PAIN 4C(I); and
for discussions of the aesthetic judgment or the judgment of taste, see BEAUTY S.
Other considerations of the educational influence of the arts, see EDUCATION 4d; POETRY 9a;
VIRTUE AND VICE 4d(4); and for the problem of political regulation or censorship of art,
see EMOTION se; POETRY 9b.
More extended treatments of the liberal arts, see LANGUAGE 4-8; LOGIC; MATHEMATICS;
RHETORIC; and for an analysis of one of the fine arts, see POETRY.
Discussions of the useful and industrial arts, see EDUCATION sa-5b; LABOR 2b; MEDICINE;
. PROGRESS 3C, 4a, 6a; STATE Sd-Sd(3); WAR AND PEACE IO-lOf; WEALTH 3c-3d.
ADDITIONAL READINGS
Listed below are works not included in Great Book! ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date. place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
ASTRONOMY could take its place in this immense persistence. They calculated and pre-
.L\. catalog of ideas on the ground tha t several dieted. They turned their predictions to 'use
of the great books are monuments of astronom- through the priestly office of prophecy to fore-
ical science, exemplifying the imaginative and tell eclipses, tides; and floods, and' they' em-
analytical powers which have made it one of the ployed their calculations in the mundane arts of
most remarkable triumphs of the human mind. navigation and surveying to guide travel and
Its claim might further be supported by the fix boundaries. But they did not, like the Greeks,
fact that other great books-of mathematics, develop elaborate theories which soughtto or-
physics, theology, and poetry-have a context ganize all the observed facts systematically.
of astronomical imagery and theory. But the in- With the Greeks, the down-to-earth, every-
clusion of astronomy can be justified by what is day utility of astronomy seems to count for
perhaps an even more significant fact, namely, less than its speculative grandeur. The dignity
thilt astronomical speculation raises problems which they confer upon astronomy among the
and suggests conclusions which have critical rel- disciplines reflects the scope and majesty of its
evance for the whole range of the great ideas. subject matter. The Greek astronomer, con-
Man has used astronomy to measure, not only cerned as he is with figuring motions that range
the passage of time or the course of a voyage, through the whole of space and are as old as
but also his position in the world, his power of time or as interminable, takes for his object the
knowing, his relation to God. When man first structure of the cosmos.
turns from himself and his immediate earthly Aristotle and Plato pay eloquent tribute to
surroundings to the larger universe of which he the special worth of astronomy. In the opening
is a part, the object which presses on his vision chapters of his Metaphysics, Aristotle associates
is the overhanging firmament with its luminous astronomical inquiry with the birth of philos-
bodies, moving with great basic regularity and, ophy. "Apart from usefulness," he says, "men
upon closer observation, with certain perplex- delight ... in the sense of sight" and, he adds,
ing irregularities. Always abiding and always "it is owing to their wonder that men both now
changing, the firmament, which provides man begin and at first began to philosophise." They
with the visible boundary of his universe, also wondered first about "the obvious difficulties,"
becomes for him a basic, in fact an inescapable, but little by little they advanced to "greater
object of contemplation. matters," and "stated difficulties ... about the
Careful and precise' astronomical observa- phenomena of the moon and sun and stars, and
tions antedate the birth of astronomy as a about the genesis of the universe." In his own
science. The early interest in the heavenly bod- philosophical thought, Aristotle's treatise On
ies and their motions is often attributed to the the Heavens is not only one of the basic natural
usefulness of the predictions which can be made sciences, but certain of its principles have gen-
from a knowledge of celestial phenomena. eral significance for all the other parts of his
Whether their motive was entirely utilitar- physical science.
ian, or partly religious and speculative, the A wider view of the importance of astronomy
Egyptians and Babylonians, we learn from is taken by Plato. In the Timaeus, he dwells on
Herodotus, undertook patient study of the "the higher use and purpose for which God has
heavens. They observed and recorded with given eyes' to us .... Had we never seen the
87
88 THE GREAT IDEAS
stars, and the sun, and the heaven," Timaeus Copernicus, and Kepler, for all their differences
says, "none of the words which we have spoken on points of scientific theory, seem to concur in
about the universe would ever have been ut- reaffirming Plato's conception of the bearing of
tered .... God invented and 'gaveus sight," he their science on religion and morals. Lucretius
continues, "to the end that we might behold and Augustine, on the other hand, while not
the courses of intelligence in the heaven, and agreeing with each other, seem to disagree with
apply them to the courses of our own intelli- Plato.In the tradition of western thought, they
gence which are akin to them, the unperturbed represent different types of opposition to the
to the perturbed; and that we, learning them Platonic view.
and partaking of the natural truth of reason, Where Plato and his followers, including re-
might imitate the absolutely unerring courses ligious Christians like Copernicus. and Kep-
of Gpdand regulate our own vagaries." ler, hold that true piety profits fromastronom-
For Plato, then, man's intellectual relation to icalstudy, Lucretius hopesthat astronomy may
the heavens does more than initiate philosoppy. help to free men from religious superstitions. If
Man's self-rule, his purity and peace of soul, is when they "gaze on the heavenly quarters of the
at stake in that relation. That is one reason why, great upper wodd'.' and direct their thoughts
in both the Republic and the Laws, Plato makes "to the courses of the sun and moon," they do
astronomy a required part of the curriculum so with "a mind at peace" because they see only
for the education of rulers. "He who has not ~he workings of na turallaw and no evidences of
contemplated the mind of nature which is said a controlling power in the will of the gods, then
to exist in the stars ... and seen the connection men achieve the natural piety of the scientist
of music with these things, and harmonized -different in the opinion of Lucretius from the
them all with laws and institutions, is not able," false worship which is based on fear.
the Athenian Stranger says in the Laws, "to From his own experiences in dealing with the
give a reason for such things as have a reason." astronomy of the Manichean sect in relatipn to
Plato considers the opposition to astron,omy their religious doctrine, Augustine insists that
on religious grounds by t.hose who think that the teachings of religion in no way depend upon
men who approach celestial phenomena by the astronomy. He. denies. that such knowledge is in
methods of astronomy "may becQmegodless any way essential to true piety. Though a man
because they see ... things happening by ne- does not know ".even the circles of the Great
cessity, and not by an intelligent will accom- Bear, yetis it folly to doubt," he writes, ."that
plishing good." His answer points out that one he is in a better state than one who can ~easure
of the "two things which lead men to believe in .tJ:te hea~ens and number the stars, and poise the
the gods ... .is the argument from the order of elements, yet neglecteth Thee 'Who hast made
the motion of the stars and of all things under all things in number, weight, and measure.' "
the dominion ofthe mind which ordered the When ~austus, the leader of the Manicheans,
universe." I t was a false understanding of these "was found out to have taught falsely of the
matters which "gave rise to much atheism and heaven and stars, and of the motions of the sun
perplexity. " . aI).d II).oon (although these.things pertain not to
the doctrine of religion)," his religious teach-
THE ISSUES RAISED by Plato concerning the im- ings, according to Augustine, inevi ta hi y suffered
portance of astronomy for purification and pi- ridicule because of his pretension that they de-
ety, for ed uea tion and politics, run through the rived support from a science of the heavenly
tradi tion of western though t. Though they are bodies. Augustine would disengage theology
somewhat transformed in the context ofJewish from astronomy~His position anticipates that
and Christian beliefs, and altered by later de- later taken by Cardinal Barberini who, during
velopments in the science of astronomy itself, the controversy over the Copernican hypothe-
they remain as matters on which an author's sis, is n;ported to have told Galileo that as-
strong assent or dissent forcefully reflects his ,tronomy and religion have.quite separate tasks,
whole intellectual position. the one teaching how the heavens go, the other
On the one hand, astronomers like Ptolemy, how to go to heaven.
CHAPTER 5: ASTRONOMY 89
Still another point of view on the importance courses of our own intelligence." But in one
of astronomy is represented in the skeptical and passage of Freud we find an almost complete re-
humanist attitude of Montaigne. "I am very turn to the Platonic insight. "Order has been
well pleased with the Milesian girl," he remarks, imitated from nature," he writes; "man's ob-
"who ... advised the philosopher Thales rather servations of the great astronomical periodici-
to look to himself than to gaze at heaven." In ties not only furnished him with a model, but
saying this, or in quoting with approval the formed the ground plan of his first attempts to
question asked of Pythagoras by Anaximenes- introduce order into his own life."
"To what purpose should I trouble myself in
searching out the secrets of the stars, having ASTRONOMY HAS connections with biology and
death or slavery continually before my eyes?" psychology, as well as with mathematics and
-Montaigne intends more than a preference physics. The obvious fact that the sun supports
for the moral over the natural sciences. He re- terrestrial life-operating here as a unique and
gards astronomical inquiry as a prime example indispensable cause-occasions the inference by
of man's "natural and original disease-pre- Aquinas that it may also operate as a cause in
sumption." It is presumptuous to suppose that the production of new species by spontaneous
our minds can grasp and plot the course of the generation from putrefying matter. This no-
heavens when we fail to comprehend things tion bears some resemblance to the theory in
much nearer at hand. Hence Montaigne ad- contemporary genetics of the effect of cosmic
vises everyone to say, in the spirit of Anaxi- radiations upon gene mutations.
menes: "Being assaulted as I am by ambition, Unlike these notions in biology, speculations
avarice, temerity, superstition, and having so concerning celestial influences upon psycho-
many other enemies of life, shall I go cudgel logical phenomena seem to cross the line be-
my brains about the world's revolutions?" tween astronomy and astrology. Sometimes the
Kant can be as critical as Montaigne of the influence upon man and his actions is found in
frailty of human knowledge. "The investiga- the constellations attending a nativity; some-
tions and calculations of the astronomers," he times it is a particular influence of the sort still
writes, have shown us "the a.byss of our igno- signified by the meaning of the word "lunacy";
rance in relation to the universe." But Kant-an and sometimes omens and auguries are read in
astronomer himself as well as a moralist-does the aspect of the heavens.
not, therefore, advise us to forsake the study of The chapters on PROPHECY and SIGN AND
the heavens. On the contrary, he recommends SYMBOL deal with the issues raised by astrol-
it not only for its scientific value, but for its ogy. Problems more closely associated with
moral significance. astronomical science and speculation are treat-
"Two things," Kant declares in a passage ed in other chapters. The cosmological prob-
which has become famous, "fill the mind with lem of the origin of the material universe
ever new and increasing admiration and awe, is discussed in the chapters on ETERNITY,
the oftener and more steadily we reflect on TIME, and WORLD; the question of its size in the
them: the starry heavens above and the moral chapter on SPACE; the question of whether the
law within." The two fit together to produce a celestial spheres are themselves alive or are
single effect. Astronomy with its view "of a moved by intelligences or spirits in the chapters
countless multitude of worlds annihilates, as it on ANGEL and SOUL; and the question of the
were, my importance as an animal creature." nature of the heavenly bodies in the chapter on
Morality "elevates my worth as an intelligence MATTER.
by my personality, in which the moral law re- This last problem is of crucial significance in
veals to me a life independent of animality and the history of astronomy itself. Opposed the-
even of the whole sensible world." ories of the motions of the heavenly bodies be-
Kant's association of the starry heavens with come correlated with opposed theories con-
the moral life is not so much an echo of, as a cerning their matter-whether that is different
variant upon, Plato's precept that we apply in kind from terrestrial matter or the same. It
"the courses of intelligence in heaven ... to the is with reference to these related issues that what
90 THE GREAT IDEAS
has come to be called "the Copernican revo- which humanity "had to endure from the
lution" represents one of the great crises, cer- hands of science."
tainly one of the most dramatic turning points, It has been questioned whether this interpre-
in the development of astronomy, and of phys- tation of the Copernican revolution fits all the
ics and natural science generally. documents in the case. Freud may be accurately
The Copernican revolution did not take place reporting a popular feeling which, since the I 8th
by the improvement and enlargement of astro- century, has become a widespread consequence
nomical observations alone, nor even by the ef- of Copernican and post-Copernican astronomy.
fect of these on alternative mathematical for- But in earlier centuries when the Ptolemaic
mulations. If it had not been accompanied by system prevailed, or even after Copernicus, the
the radical shift from ancient to modern physics appraisal of man's rank seems to depend more
-especially with regard to the diversity or uni- upon the position he occupies in the hierarchy
formity of the world's matter-the Copernican of God's creatures-below the angels and above
hypothesis concerning the celestial motions the brutes-than upon the place or motion of
would have been no more than a mathematical the earth, or the size of the world.
alternative to the Ptolemaic hypothesis. Coper- Boethius, for example, finds the Ptolemaic
nicus seems to advance it only as such, but in the universe large enough to remind man of the
hands of Kepler, Galileo, and Newton it be- infinitesimal space he occupies. Dante, too,
comes much more than that. They, rather than comments on the smallness of the earth in the
Copernicus, seem to accomplish the revolution scheme of things. When in his visionary travel
connected with his name. Dante reaches the Empyrean, he looks down
When their contribution is neglected or in- upon the earth and "with my sight," he tells us,
adequately grasped, the Copernican revolution "I returned through all and each of the seven
appears to be, as is often popularly supposed, spheres, and saw this globe, such that I smiled at
merely a shift in astronomical theory. The prob- its mean semblance; and that counsel I approve
lem being to organize mathematically the ap- as best which holds it of least account."
parent motions of the heavens, Copernicus of- Kepler, a passionate Copernican deeply con-
fers an alternative solution to that of Ptolemy. cerned with the human significance of astron-
Instead of treating the earth as stationary and omy, can be found arguing that the new hy-
central in the cosmic system, Copernicus at- pothesis involves something more fitting for
tributes three motions to the earth by treating man than the old. In his last argument in de"
it asa planet which revolves around the sun, fense of the Copernican view against that of
spins on its axis, and varies the inclination of its Tycho Brahe as well as that of Ptolemy, he de-
axis with reference to the sun. clares, "it was not fitting that man, who was
What is usually supposed to be revolutionary going to be the dweller in this world and its
about this hypothesis is its effect on man's esti- contemplator, should reside in one place as in a
mate of himself and his place or rank in the closed cubicle . . . . It was his office to move
universe. On either of the rival hypotheses, the around in this very spacious edifice by means of
apparent motions of the heavens remain unal- the transportation of the Earth his home." In
tered, but not man's conception of himself, of order properly to view and measure the parts
his earth, or of the universe in which the earth's of his world, the astronomer "needed to have
orbit cuts so small a figure. As Kant suggests, the Earth a ship and its annual voyage around
man's stature seems to shrink. He becomes "a the sun."
mere speck in the universe" which has been en- Yet the very fact that Kepler argues in this
larged to infinity, or at least to an unimaginable manner may be interpreted as indicating his
immensity. He is displaced from its center to sense of the drastic implications for man of the
become a wanderer with his planet. Humanity's altered structure of the universe. Kepler may
self-esteem, according to Freud, was thus for even be thought to announce the problemof the
the first time deeply wounded; he refers to the so-called "Copernican revolution" when, in de-
theory that "is associated in our minds with the nying that the earth can any longer "be reck-
name of Copernicus" as the "first great outrage" oned among the primary parts of the great
CHAPTER 5: ASTRONOMY 91
world," since it is only a part of a part, i.e., the gnawing loneliness, born of the doubt that so
planetary region, he deliberately adds the quali- vast a cosmos-if cosmos it is rather than chaos
fication: "But I am speaking now of the Earth -can have been beneficently designed as man's
in so far as it is a part of the edifice of the world, habitation.
and not of the dignity of the governing crea-
tures which inhabit it." WHATEVER THE TRUTH about the effect of the
Whether or not it was the traumatic blow to Copernican theory in the order of opinion, im-
the human ego which Freud conjectures, there agination, and feeling, it did produce a direct
can be little doubt that the shift from Ptolemy result on the intellectual plane. It, more than
to Copernicus involved a real shock to the imag- any other single factor, led to the overthrow of
ination. The Ptolemaic system conforms to the certain crucial doctrines which had been linked
look of the world, which is indeed the reason together in the physics and astronomy of Aris-
why it is still the one used in practical courses in totle; it thus radically changed the fundamen-
navigation. Here again Kepler defends Coperni- tal principles in terms of which man had under-
cus by explaining why "our uncultivated eye- stood the order and unity of nature. That scien-
sight" cannot be other than deceived and why tific event deserves not only the name but the
it "should learn from reason" to understand fame of the "Copernican revolution."
tha t things are really different from the way they The revolution in the realm of theory goes
appear. much deeper than the substitution of one math-
A certain disillusionment may result from ematical construction for another to describe
this affirmation-repeated by every schoolboy the motions of the world's great bodies. As
who is taught the Copernican system-that, de- Freud points out, the heliocentric hypothesis
spite what we see, the sun does not move around associated with the name of Copernicus was
the earth, and the earth both rotates and re- known to the Alexandrian astronomers of anti-
volves. It undermines the trust men placed in quity. It is, for example, attributed to Aris-
their senses and the belief that science would tarchus by Archimedes in the Sand-Reckoner.
describe the world as they saw it. In order to As far as the earth's rotation is concerned,
"save the appearances," that is, to account for Ptolemy admits it is quite "plausible" to sup-
the phenomena, science might henceforward be pose "the heavens immobile and the earth turn-
expected to destroy any naive acceptance of ing on the same axis from west to east very
them as the reality. nearly one revolution a day .... As far as the
Furthermore, though the Ptolemaic world appearances of the stars are concerned," he goes
was very large, the Copernican universe was on, "nothing would perhaps keep things from
much larger. Whereas in the former the radius being in accordance with this simpler con-
of the earth was deemed negligible in relation 'to jecture."
the radius of the sphere of the fixed stars, in the Why, then, does Ptolemy reject a supposi-
new universe the radius of the earth's orbit tion which is not only plausible but also, in
around the sun was negligible in relation to the accounting for the appearances, simpler? In part
same radius of the sphere of the fixed stars. It the answer may be that he does so because the
can hardly be doubted that this intensified some contrary supposition conforms to our ordinary
men's sense of almost being lost in an abyss of sense-experience of the earth's immobility and
infinity. "I see those frightful spaces of the uni- the motions of the heavens from east to west.
verse which surround me," Pascal writes, "and But that is far from being the most important
r fmd myself tied to one corner of this vast ex- part of the answer. Ptolemy indicates the cru-
panse, without knowing why I am put in this cial part when he tells us that the otherwise
place rather than in another." When he regards plausible supposition of a rotating earth be-
the world's immensity as "the greatest sensible comes "altogether absurd" when we consider
mark of the almigh ty power of God," Pascal ex- the speed and direction of the motions of bodies
periences an awe which for him is qualified by within the earth's own atmosphere. His strong-
reverence. Other men may experience the same est count against the supposition is that it does
feeling, but less with reverence than with a not conform to the Aristotelian physics which
92 THE GREAT IDEAS
distinguishes between natural and violent mo- Two other observations exercise a decisive
tions, assigns certain fixed directions to the nat- influence on Aristotle's theory. The naked eye
ural motions. of each of the four elements of sees no type of change in the heavenly bodies
matter, and denies that these elementary kinds other than local motion or change of place. Un-
of terrestrial matter enter into the composition like terrestrial bodies, they do not appear to
of the heavenly bodies. come into being or perish; they do not change
That Aristotle's physics and cosmology lie at in size or quality. Furthermore, whereas the
the very heart of the issue is confirmed by the natural local motion of sub-lunary bodies ap-
way in which Kepler later argues for the Coper- pears to approximate the path of a straight line,
nican theory against Ptolemy. He does not de~ the local motion of the celestial bodies appears
fend its truth on the ground that it accounts for to be circular rather than rectilinear.
observable facts which the Ptolemaic hypoth- To cover these observations, Aristotle's the-
esis cannot handle. Nor does he prefer it merely ory posits a different kind of matter for celestial
because it is mathematically the simpler hy- and terrestrial bodies. An incorruptible matter
pothesis. On the contrary, he specifically notes must constitute the great orbs which are sub-
that anything which can be claimed on math- ject to local motion alone and have the most
ematical grounds for Copernicus over Ptolemy perfect kind of local motion-that of a circle.
can be equally claimed for Tycho Brahe over Since they ar!! subject to generation and cor-
Ptolemy. (Brahe's theory was that while the ruption, to change of quality and quantity, and
other planets revolve around the sun, the sun, are in local motion along straight lines, terres-
with its planets, revolves around a stationary trial bodies are of a corruptible matter.
earth.) According to Kepler, the truth of these The interconnection of all these points is
competing theories must finally be judged phys- marked by Aquinas when he summarizes Aris-
ically, not mathematically, and when the ques- totle's doctrine. "Plato and all who preceded
tion is put that way, as it is not by Copernicus Aristotle," he writes, "held that all bodies are
himself, Copernicans like Kepler, Galileo, and of the nature of the four elements" and con-
Newton take issue with what had been asso- sequently "that the matter of all bodies is the
cia ted with the Ptolemaic theory-the physics same. But the fact of the incorruptibility of
of Aristotle. some bodies was ascribed by Plato, not to the
condition of matter, but to the will of the
IN ORDER TO EXAMINE this issue, it is necessary artificer, God .... This theory," Aquinas con-
to state briefly here certain features of Aris- tinues, "Aristotle disproves by the natural
totle's physics which are more fully discussed movements of bodies. For since he says that
in the chapters on CHANGE, ELEMENT, ME- the heavenly bodies have a natural movement,
CHANICS, and PHYSICS. different from that of the elements; it follows
Just as Ptolemy's astronomy conforms to that they have a different nature from them.
what we see as we look at .the heavens, S() Aris- For movement in a circle, which is proper to
totle's physics represents a too simple conform- the heavenly bodies, is not by contraries, where-
ity with everyday sense-experience. We observe as the movements of the elements are mutually
fire rising and stones falling. Mix earth, air, and opposite, one tending upwards, another down-
water in a closed container, and air bubbles will wards .... And as generation and corruption
rise to the top, while the particles of earth will are from contraries, it follows that, whereas the
sink to the bottom. To cover a multitude of elements are corruptible, the heavenly bodies
similar observations, Aristotle develops the are incorruptible."
theory of the natural motions and places of the The same points which Aquinas relates in his
four terrestrial .elements-earth, air, fire, and defense of the Aristotelian theory, Kepler also
water. Since bodies move naturally only to at- puts together when he expounds that theory in
tain their proper places, the great body which order to attack it and the Ptolemaic astronomy
is the earth, already at the bottom of all things, which tries to conform to it. "By what argu-
need not move at all. Being in its proper place, ments did the ancients establish their opinion
it is by nature stationary. which is the opposite of yours?" he asks. "By
CHAPTER 5: ASTRONOMY 93
four argumen ts in especial : (1 ) From the na- Ignoring the supposition that simplicity must
ture of moveable bodies. (2) From the nature be judged differently indifferent spheres,Co-
of the motor virtue. (3) From the nature of the pernicus challenges Ptolemy on his own grounds
place in which the movement occurs. (4) From when he proposes "simpler hypotheses" to fit
the perfection of the circle." He then states each "the movements of the heavens." But in doing
of these arguments, and answers each in turn. so, he seems to adopt the traditional view of the
mathematical characte~ of astronomical hy-
WHAT IS EXTRAORDINARY. about Kepler's attack potheses. Yet~ ,as will appear , he does not adopt
upon the Ptolemaic astronomy cannot ,be un- this view in the unqualified form in which
derstood without examining Ptolemy's defense Osiander states it in his Preface to the Revolu-
of his theory. a defense which Copernicus meets tions of the Heavenly Spheres.
in Ptolemy's own. terms rather than, .as Kepler "It is the job of the astronomer," Osiander
does, by going outside them. writes, "to use painstaking and skilled observa-
Though his expressed intention was to con. tion in gathering together the history of the
struct a mathematical theory of the celestial celestial movements, and then-since he cannot
motions which would also conform to Aris- by any line of reasoning reach the true causes
totle's physics, Ptolemy, when he finished, of, these movements-to think or construct
recognized that the complications he had been whatever causes or hypotheses he pleases, such
compelled to add in order "to save the appear- that, by the assumption of these causes, these
ances" left him with a theory that did not con- same movements can be calculated from the
form,to Aristotle's doctrine of the perfect cir- principles of geometry, for the past and for the
cular motion of the heavenly spheres. Instead future too.
of abandoning Aristotle's physics, he defended "It is not necessary," he adds, "that these
his theory on the ground that astronomy, being hypotheses should be true, or even probable;
mathematical rather than physical, could ad- it is enough if they provide a calculus which
mit such "unrealistic" complications if they fits the observations. When for one and the
served the purposes of calculation and of "sav- same movement varying hypotheses are pro-
ing the appearances." , posed, as eccentricity or epicycle for the move-
In the thirteenth and last book of the Almac ment of the sun, the astronomer much prefers
gest, when he faces the fact that his mathemat- to take the one which is easiest to grasp."
ical devices have become exceedingly difficult What distinguishes Keplerfrom both Ptol-
-and strained from the point of view of the emy and Osiander is the way in which he is
Aristotelian reality-Ptolemy writes: "LetnQ concerned with the truth of alternative hypoth-
one, seeing the difficulty of our devices, find eses in astronomy. He looks upon the truth of
troublesome such hypotheses... " It is proper an hypothesis as something to be judged not
to try and fit as far as possible the simpler merely in mathematical terms according to the
hypotheses to the movements of the heavens; adequacy and simplicity of a calculating de-
and if this does not succeed, then any hypoth- vice, but .to be measured by its conformity to
eses possible. Once all the appearilncesare all the physical realities. At the very beginning
saved ,by ,the consequences of the hypotheses, of his Epitome o/Copernican Astronomy, he
why should it seem strange that such compli- flatly declares that '.'astronomy is part of phys-
cations ,can come about in the movements of ics." And in the opening pages of the fourth
heavenly things?" We ought not to judge the book, he insists that astronomy has not one,
simplicity of heavenly things by comparison but "two ends: to save the,appearances and to
with what seems to be simple in the explanation contemplate the true fonn of the edifice of the
of earthly phenomena. "We should instead World." He follows this immediately by ob-
judge their simplicity from the unchangeable- serving that, if astronomy had only the first
ness of the natures in the heavens and their end, Tycho Brahe's theory would be as satis-
movements .. For thus they would all appear factory as that of Copernicus.
simple, more than those things which seem so Early in his scientific career, before writing
here with us." the Epitome, Kepler asserts that "one cannot
94 THE GREAT IDEAS
leave to the astronomer absolu te license to feign on the earth-or of the earth, such as Gilbert's
no matter what hypotheses." He complains that theory of the magnetic fields generated by the
astronomers "too often ... constrain their earth's axial rotation-could be equally true of
though t from exceeding the limi tsofgeometry. " all the other planets.
It is necessary to go beyond geometry into "Read the philosophy of magnetism of the
physics to test the consequences of competing Englishman William Gilbert," writes Kepler;
hypotheses which are equally good mathemat- "for in that book, although the author did not
ically. "You must seek the foundations of your believe that the Earth moved .. nevertheless
astronomy," he tells his fellow scientists, "in he attributes a magnetic nature to it by very
a more elevated science, I mean in physics or many arguments. Therefore, it is by no means
metaphysics. " absurd or incredible that anyone of the pri-
Because Kepler thus conceives the task and mary planets should be, what one of the pri-
truth of astronomy, Duhem in his great history mary planets, namely, the Earth, is." Such a
of astronomy calls him a "realistic Copernican." statement plainly shows that when the earth
Galileoalso, Duhem thinks, was a realistic becomes a planet, as it does in Copernican
Copernican. "To confirm by physics the Co- theory, no obstacle remains to the assertion of
pernican hypotheses," he writes, "is the center a homogeneity between the earth and the other
towards which converge Galileo's observations planets both in matter and motion. The old
as an astronomer and his terrestrial mechanics." physical dualism of a supralunar and a sublunar
Newton was the third member of this trium- world is abandoned.
virate. For him there remained the solution of "Not the movement of the earth," White-
the problem of deducing Kepler's formulation head remarks, "but the glory of the heavens
of the planetary orbits in a manner consistent was the point at issue," for to assert the heavens
with Galileo's laws of motion in the dynamics to be of the same stuff and subject to the same
of bodies falling on the earth's surface. But the laws as the rest of nature brings them down to
very posing of this problem itself depended on the plane of earthly physics. That is precisely
the insight that terrestrial and celestial me- what Newton finally does when, in the enun-
chanics can proceed according to the same prin- ciation of his Third Rule of reasoning in natural
ciples and laws. That insight entailed the com- philosophy, he dryly but explicitly completes
plete overthrow of the ancient physics, with its the Copernican Revolution. Those "qualities
division of the universe into two distinct parts, of bodies ... which are found to belong to all
having different kinds of matter and different bodies within the reach of our experiments,
laws of motion. are," Newton maintains, "to be esteemed the
universal qualities of all bodies whatsoever."
COPERNICUS, WHO, despite Osiander's' apolo- In the bifurcated world of ancient theory,
getics, believed his theory to be true, did not astronomy had a very special place among the
himself face the great point at issue in the natural sciences, proportionate to the "glory
Copernican revolution-the material uniform- of the heavens." But with Newton it could be
ity of the physical universe. We shall subse- completely merged into a general mechanics
quently consider the question of the truth of whose laws of rnotion have universal applica-
astronomical hypotheses" but whether or not tion. That merger, begun by Newton, has been
Copernicus and the Copernicans had in their perfected since his day. The last obstacle to the
own day a right to believe their theory true, generalization lay in the apparent discrepancies
it was the acceptance of the Copernican hy- between electrical phenomena on the subatomic
pothesis as true which led Kepler and Galileo scale and gravitational phenomena on the astro-
to deny the truth of Aristotelian physics. nomic scale. But in our own time the unified field
If the earth is not at the center and station- equations of Einstein's theory of relativity em-
ary, then the basic doctrine of a natural direc- brace the very large and the very small motions
tion in motion and a natural place of rest for of matter within a single conceptual scheme,
the various elements is completely upset. If the with radical consequences for the revision of
earth is one of the planets, then anything true the Newtonian or classical mechanics.
CHAPTER 5: ASTRONOMY 95
But the unification of nature which Kepler Darwin argues, if it has the power to explain
began and Newton completed, when set against several large classes of facts, which "it can
Aristotle's physics, may be even more radical. hardly be supposed that a false theory would
Newton's theory, because of the amazing way explain" in so satisfactory a manner. Darwin
in which it covered the widest variety of phe- defends the theory of natural selection as having
nomena by the simplest, most universal for- such power. To those who object that "this is
mula, is considered by Kant to have "estab- an unsafe method of argUing," he replies-
lished the truth of that which Copernicus at citing an example from astronomy-that "it
first assumed only as an hypothesis." But the has often been used by the greatest natural
larger contribution, in Whitehead's opinion, is philosophers. "
"the idea of the neutrality of situation and the
universality of physical laws ... holding indif- THE GREAT BOOKS of astronomy most lucidly
ferently in every part." exhibit the essential pattern of that kind of nat-
Whatever position we take today concerning ural science which has, in modern times, come
the kind of truth which is possessed by hypoth- to be called "mathematical physics." Though
eses in mathematical physics, we now demand, that phrase may be modern, the ancients recog-
in the spirit of the three Copernicans-Kepler, nized the special character of the sciences which
Galileo, and, above all, Newton-that physical apply mathematics to nature and which consult
hypotheses account at once for all the phenom- experience to choose among hypotheses arising
ena of the inanimate universe. Whatever the from different mathematical formulations.
truth of modern as opposed to ancient physics, Outlining a curriculum for liberal education,
the Newtonian universe is so thoroughly estab- Plato, in the Republic, groups music and astron-
lished in our minds and feelings that, when we omy along with arithmetic and geometry as
are reminded of the other universe in which mathematical arts or sciences. In that context
men lived before the Copernican revolution, he treats them as pure mathematics. Astronomy
we tend to think it quaint, incredible, prepos- is no more concerned with the visible heavens
terous, superstitious, none of which it was. than music is with audible tones. Music is
Finally, from the point of view of our under- rather the arithmetic of harmonies, astronomy
standing of natural science itself, the astro- the geometry of motions. But in the Timaeus
nomical controversy we have been considering Plato turns mathematical formulae and calcula-
is almost an archetypical model. It is necessary, tions to use in telling what he calls "a likely
of course, to appreciate the real achievement of story" concerning the formation and structure
Ptolemy as well as of Copernicus and Kepler in of the sensible world of becoming. Here rather
order to realize how genuine and difficult the than in the Republic we have, according to
issues were. Facts unknown to all of them may Whitehead, the initial conception of mathe-
now have closed the dispute decisively, but matical physics as well as deep insight into its
issues in other spheres of modern science, almost nature and pattern.
identical in pattern with that great astronom- Aristotle criticizes the notion of astronomy
ical one, are not yet closed; and to the degree as a purely mathematical science. Just as "the
that we are able to re-enact in our minds the things of which optics and mathematical har-
motion of thought on both sides of the Coper- monies treat" cannot be divorced from the
nican controversy, we can confront comparable sensible, so the objects of astronomy are also
scientific issues-still open-with open minds; the visible heavens. "Astronomical experience,"
Darwin, for example, finds in the astronomi- Aristotle writes, "supplies the principles of
cal controversy a precedent to which he can astronomical science." Yet, though its subject
appeal in the defense of natural selection against matter is physical and its method is in patt em-
its adversaries. "The belief in the revolution of pirical, astronomy like optics and harmonics
the earth on its own axis," he writes, "was until takes the form of mathematical demonstration;
lately not supported by any direct evidence." and it is for this reason that Aquinas later calls
But the absence of direct evidence does not such disciplines "mixed and intermediate
leave a scientific theory without foundation, sciences. "
96 THE GREAT IDEAS
The development of astronomy from Plato in the Milky Wayan infinity of small stars whose
and Aristotle through Ptolemy, Copernicus, more abundant splendor has made us recognize
and Kepler to Galileo and Newton thus con- the real cause of this whiteness."
stitutes an ~xtraordinary set of "case histories"
for the study of what J. B.-Conant calls the BECAUSE IT IS a mixed science, both empirical
"tactics and strategy" of science, and especially and'mathematical, astronomy advances not
mathematical physics. But astronDmy has .one .only with the imprDvement and enlargement
peculiar feature which distinguishes it from of observation, but also with new insights or
other branches of mathematical physics. It is developments in mathematics. Kant ,gives us
empirical rather than experimentaL The astron- striking examples of how the work of the pure
Dmer does not control the phenomena he ob- mathematicians cDntributes to the advance of
serves. He does not, like the physicist, chemist, physics and astronomy. Their discoveries are
or physiologist, produce an isolated system of often made without any knowledge of their ap-
events by means of the labDratory arts. plicatiDn tD natural phenDmena. "They inves-
Harvey comments on this aspect of astron- tigated the properties of the parabola," he
omy when he proposes an experiment that will writes, "in ignorance of the law of terrestrial
enable the physiologist to do what the astron- gravitation which would have shown them its
omer cannot do, namely, deliberately prepare application to the trajectory of heavy bodies.
phenomena for examination by the senses. The ... Soagain they investigated the properties of
astronomer must be content with the appear- the ellipse without a suspicion thatagravitation
ances as they are given. Defending psycho- was also discoverable in the celestial bodies, and
analysis against attack "on the ground that it without knowing the law that governs it as the
admits of no experimental proof," Freud points distance from the point .of attraction varies, and
out that his cr~tics "might have raised the same that makes the bodies describe this curve in free
objection against astronomy; experimentation motion."
with the heavenly bodies is, after all, exceedingly So amazing are such mathematical anticipa-
difficult. There one has to rely on observation." tiDns that Kant thinks Plato may be pardoned
Since the inventiDn .of the telescope, the fDr supposing that pure mathematics "cDuld
astronomer has had instrumen ts of-all sorts to dispense with all experience" in discovering the
increase the range and accuracy of his observa- cDnstitutiDn of things. Whether or not PlatD
tions; but the fact that the place where he uses goes tD this extreme, he dDes, in the Republic,
such apparatus is called an .observatory rather seem tD suggest the reverse .of Kant's CDncep-
than a laboratoty indicates that these instru- tiDn .of the reiatiDnship between mathematics
ments do nDt make astronomy an experimental and astronDmy. "The spangled heavensshDuld
science. Nevertheless, as BacDn pDin:ts .out, the be used as a pattern," he writes, "and with a
telescope enabled Galileo to do more than im~ view tD that higher knowledge"-mathemat-
prove upon the accuracy of prior observations. ics. AstronDmy shDuld be used tD instigate dis-
It brought within the range of observation cDveries in pure rna thema tics by suggesting good
certain celestial phenomena, hitherto imper- prDblems and by requiring fDrmulatiDns which
ceptible to the naked eye, such as the phases of transcend an interest in the truth about the
Venus, the satellites of Jupiter, and the con- heavens.
stitution .of the Milky Way. This tWDfDld relatiDn between mathematical
Concerning the last of these, Pascal later ,re- discDvery and empirical DbservatiDn is pres-
marks that the ancients can be excused for the ent in the develDpment .of astronDmy itself, and
idea they had of the cause of its color. "The of all branches .of mathematical physics. But
weakness of their eyes not yet having been there is anDther aspect .of therelatiDnshipwhich
artificially helped, they attributed this color to must be taken intD aCCDunt if we are to consider
the great solidity of this part of the sky"; but it the problem .of truth in such sciences. The way
would be inexcusable for us, he adds, "to retain in which mathematical fDrmulatiDns fit the
the same thought now that, aided by the ad- phenomena measures the truth .of rival hypDth-
vantages of the telescope, we have discovered eses with respect tD the same reality.
CHAPTER 5: ASTRONOMY 97
The logic of such verification has already esis was devised. The word "consilience" has
been suggested in the discussion of the geo- been used to name the property of an hypoth-
centric and heliocentric hypotheses. It is fur- esis which, in addition to saving a limited field
ther considered in the chapter on HYPOTHESIS. of appearances, succeeds in fitting many other
To be satisfactory, an hypothesis must-in the phenomena which seem to have become related
language used ever since Simplicius-"save the -to have jumped together under its covering ex-
appearances," that is, account for the relevant planation. The heliocentric hypothesis, as de-
phenomena. But two hypotheses (as for exam- veloped by Newton's laws of motion and theory
ple the geocentric and heliocentric) may, at a of gravitation, certainly has this property of
certain time, do an equally good job of saving consilience to a high degree, for it covers both
the appearances. Then the choice between them celestial and terrestrial phenomena, and a wide
becomes a matter of the greater mathematical variety of the latter.
elegance of one than the other. Is the heliocentric hypothesis true then? If
That, however, does not give the mathe- the truth of an hypothesis depends on the range
matically superior theory a greater claim to of the phenomena it fits or saves, it might seem
truth. So far as reality is concerned, it is only, to be so, for by its consilience it accounts for
in Plato's words, "a likely story"; or as Aquinas phenomena that the Ptolemaic theory cannot
points out with reference to the geocentric handle. But though this may cause us to reject
hypothesis, "the theory of eccentrics and epi- the unsuccessful hypothesis, does it establish
cycles is considered as established because there- beyond doubt the truth of the successful one?
by the sensible appearances of the heavenly Or, to put the question another way, is not our
movements can be explained; not however, as judgment here a comparative one rather than
if this reason were sufficient, since some other absolute? Are we saying more than that one
theory migh t explain them." hypothesis is more successful than another in
Two hypotheses may be equally satisfactory doing what an hypothesis should do? Are we
for the range of phenomena they were both de- logically entitled to regard that success as the
vised to fit. But only one of them may have the sign of its exclusive truth, or must we restrict
quite amazing virtue of fitting other sets of ourselves to the more modest statement that,
observations not originally thought to be re- as the better hypothesis, it simply tells a more
lated to the phenomena for which the hypoth- likely story about reality?
OUTLINE OF TOPICS
PAGE
I. The end, dignity, and utility of astronomy 99
2. The method of astronomy
2a. Observation and measurement: instruments and tables
2b. The use of hypotheses: the heliocentric and geocentric theories 100
Ja. Formal archetypal causes: the number and the music of the spheres
Jb. Physical efficient causes: gravitation and action-at-a-distance
4. The relation of astronomy to the other liberal arts and sciences: the place of astronomy
in the educational curriculum
5. Astronomy and cosmology: the theory of the world or universe as reflecting astronomi-
cal conceptions
9S THE GREAT IDEAS
PAGE
6. Astronomy and theology: astronomy as affecting views of God, creation, the divine
plan, and the moral hierarchy 102
7. Astronomy and the measurement of time: calendars and clocks; days and seasons
II. The influence of the stars and planets upon the character and actions of men
12. The worship of the earth, sun, moon, and stars 109
13. The history of astronomy
CHAPTER 5: ASTRONOMY 99
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the. volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II I26s-283112d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12. ..
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves ofthe page. For example, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns; the letters a and b refer to the upper and lower halves of the left-
hand side ofthe page, the letters c and d to the upper and lower halves of the right-hand side of
thepage. Forexample, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [26S-283112d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:4S-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
1. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
T RUTH, goodness, and beauty form a triad
of terms which have been discussed to-
seems good to one man may seem evil to anoth-
er. What seems ugly or false may also seem
gether throughout the.tradition of western beautiful or true to different men or to the
thought. same man at different times.
They have been called "transcendental" on Yet it is not altogether true that these three
the ground that everything which is is in some;! terms have always suffered the same fortunes.
measl!re or manner subject to denomination For Spinoza goodness and beauty are subjec-
as tru~ or fa1s~, good or evil, beautiful or ugly. tive, but not truth. Because he "has persuaded
But they ha'vealso been assigned to special himself that all things which exist are made for
spheres of being or subject inatter-'-the true him," man, Spinoza says, judges that to be "of
to thought and logic, the good to action and the greatest importance which is most useful to
morals, the beautiful to enjoyment and aes- him, and he must esteem that to be of surpass-
thetics. ing worth by which he is most beneficially
They have been called "the three fundamen- affected." The notions of good and evil,beauty
tal values" with the implication that the worth and ugliness, do not conform to anything in the
of anything can be exhaustiveiyjudged by nature of things. "The ignorant," says Spinoza,
reference to these three standards-and no nevertheless, "call the nature of a thing good,
others. But other terms, such as pleasure .or evil, sound, putrid, or corrupt just as they are
utility, have been proposed, either as additional affected by it. For example, if the motion by
values or as significan t varian ts of the so-called which the nerves are affected by means of ob-
fundamental three; or even sometimes as more jects represented to the eye conduces to well-
fundamental. Pleasure or utility, for example, being, the objects by which it is caused are
has been held by men like Spinoza or Mill to be called beautiful; while those exciting a con-
the ultimate criterion of beauty or goodness. trary motion are called diformed."
Truth, goodness, and beauty, singly and to-
gether, have been the focus of the age-old con- BEAUTY HAS BEEN most frequently regarded as
troversy concerning the absolute and the rela- subjective, or relative to the individual judg-
tive, the objective and the subjective, the uni- ment. The familiar maxim, de gustibus non dis-
versal and the individual. Ai: certain times it has putandum, has its original application in the
been thought that the cJistinction of true from sphere of beauty rather than truth and good-
false, good from evil, beautiful from ugly, has ness. "Truth is disputable," Hume writes, "not
its basis and warranty in the very nature of taste ... No man reasons concerning another's
things, and that a man's judgment of these mat- beauty; but frequently concerning the justice
ters is measured for its soundness or accuracy by or injustice of his actions." Thus even when it
its conformity to fact. At other times the oppo- was supposed that judgments of the true and
site position has been dominant. One meaning the good could have a certain absoluteness or
of the ancient saying that man is the measure of universality-or at least be considered as some-
all things applies particularly to the true, good, thing about which men might reach agreement
and beautiful. Man measures truth, goodness, through argument-opinions about beauty
and beauty by the effect things have upon him, were set apart as useless to dispute. Beauty
according to wha t they seem to him to be. What being simply a matter of individual taste, it
112
CHAPTER 6: BEAUTY 113
could afford no basis for argument or reasoning of these related problems. The degree to which
-no objective ground for settling differences the three problems must be considered inter-
of opinion. dependently is determined by the extent to
From the ancient skeptics down to our own which each of the three terms requires the con-
day, men have noted the great variety of traits, text of the other two for its definition and anal-
often sharply opposed, which have been con- ysis.
sidered beautiful at different times and places.
"We fancy itsforms," Montaigne says of beau- BEAUTY IS, PERHAPS, not definable in any strict
ty, "according to our appetite and liking ... sense of definition. 'But there have been, never-
Indians paint it black and tawny, with great theless, many attempts to state, with the brevi-
swollen lips, big flat noses, and load the carti- ty ofdefinition, what beauty is. Usually notions
lage betwixt the nostrils with great rings ofgold of goodness, or correlative notions of desire and
to make it hang down to the mouth ... In love, enter into the statement.
Peru, the greatest ears are the most beautiful, Aquinas, for example, declares that "the
and they stretch them out as far as they can by beautiful is the same as the good, and they
art . There are; elsewhere, nations that take differ in aspect only .. The notion of good is
great care to blacken, their teeth; and hate to that which calms the desire, while the notion
see them white; elsewhere, people that paint of the beautiful is that which calms the desire,
them red The Italians fasliion beauty gross by being seen or known." This, according to
and massive; the Spaniards, gauntand slender; Aquinas, implies that "beauty a:lds to goodness
among.us one makes it 'white, another brown; a relation to the cognitive faculty; so that good
one soft and delicate, another strong and vig- means that which simply pleases the appetite,
orous . Just as the preference in beauty is while the beautiful is something pleasant to
given by Plato to the spherical figure, the apprehend."
Epicureans give it to the py.ramidal or the Because of its relation to the cognitive pow-
square, and cannot swallow'a god in the form er, Aquinas defines the beautiful as "that which
of a ball." , pleases upon being seen" (itJ quod visum placet).
Like Montaigne, Darwin gives an extensive Hence, he continues, "beauty consists in due
account of the things men have foundbeauti- proportion, for the senses delight in things duly
ful, many of them so various and contradictory proportioned . . because the sense too is a
that it would seem there could be no objective sort of reason, as is' every cognitive power."
basis for judgments of beauty. If any consensus The pleasure or delight involved in the per-
is found among individuals about. what is beau- ception of beauty belongs to the order of know-
tiful or ugly, the skeptics or relativists usually ing ratherthan to desire or action. The know-
explain it by reference to the prevalence of ing, furthermore, seems to be different from
certain prejudices, or customary standards, that which is ,proper to science, for it is con-
which in turn vary with different tribes and cerned with the individual thing rather than
cultures, and at different times and places. with universainatures, and it occurs intuitively
Beginning in the sphere of beauty, subjec- ,or contemplatively, rather than by judgment
tivism or relativism spreads first to judgments and reasoning. There isa mode of truth pe-
of good and evil, and then to statements about culiar to the beautiful, as well as a special kind
truth, never in the oppOsite direction. It be- of goodness.
comes complete when, as so frequently happens , Fully to understand what Aquinas is saying
in our own time, what is good or true is held about beauty weare .required to understand
to be just as much a matter of private taste or his theory of goodness and truth. But enough
customary opinion as what is beautiful. is immediately clear to give meaning to Eric
The problem of the objectivity or subjec- Gill's advice to those who are concerned with
tivity of beauty can, of course, be separated making things beautiful: "Look after goodness
from similar problems with regard to truth and and truth," he says, "and beauty will take care
goodness, but any attempt to'solve it will neces- of herself. "
sarily both draw on and bear on the discussion To define beauty in terms of pleasure would
114 THE GREAT IDEAS
seem to make it relative to the individual, for surd; for it is notorious how seldom natural ex-
what gives pleasure-even contemplative pleas- periences come up to our aesthetic demands."
ure-to one man, may not to another. It should To the extent that aesthetic judgments "ex-
be noted, however, that the pleasure in ques- press inner harmonies and discords between
tion is attributed to the object as its cause. It objects of thought," the beautiful, according
may be asked, therefore, what in the object is to James, has a certain objectivity; and good
the cause of the peculiar satisfaction which con- taste can be conceived as the capacity to be
stitutes the experience of beauty? Can the same pleased by objects which should elicit that re-
object just as' readily arouse displeasure in action.
anotherindividual, and a consequent judgment
of ugliness? Are these opposite reactions en- KANT'S THEORY OF the beautiful, to take
tirely the result of the wayan individual feels? another conception, must also be understood in
Aquinas appears to meet this difficulty by the general context of his theory of knowledge,
specifying certain objective elements of beau- and his analysis of such terms as good, pleasure,
ty, or "conditions," as he calls them. "Beauty and desire. His definition, like that of Aquinas,
includes three conditions," he writes: "integ- calls an object beautiful if it satisfies the ob-
rity or perfection, since those things which are server in a very special way-not merely pleas-
impaired are by that very fact ugly; due pro- ing his senses, or satisfying his desires, in the
portion or harmony; and lastly, brightness or ways in which things good as means or ends fit
clarity, whence things are called beautiful which a 'man's interests or purposes. The beautiful,
have a bright color." Quite apart from indi- according to Kant, ~'pleases immediately ...
vidual reactions, objects may differ in the de- apart from all interest." The pleasure that re-
gree to which they possess such properties- sults from its contemplation "may be said to be
traits which are capable of pleasing or displeas- the one and only disinterested andfree delight;
ing their beholder. for, with it, no interest, whether of sense or
This does not mean that the individual re- reason, extorts approval."
action is invariably in accordance with the ob- The aesthetic experience is for Kant also
jective characteristics of the thing beheld. Men unique in that its judgment "is represented as
differ in the degree to which they possess good universal, i.e. valid for every man," yet at the
perception-and sound critical judgment- same time it is "incognizable by means of any
even as objects differ in the degree to which universal concept." In other words, "all judge-
they possess the elements of beauty. Once ments of taste -are singular judgements"; they
again in the controversy concerning the objec- are without concept in the sense that they do
tivity or subjectivity of beauty, there seems to not apply to a class of objects. Nevertheless,
be a middle ground between the two extreme they have a certain universality and are not
positions, which insists upon a beauty intrinsic merely the formulation of a private judgment.
to the object but does not deny the relevance When "we call the object beautiful," Kant
of differences in individual sensibility. says, "we believe ourselves to be speaking with
William James would seem to be indicating a universal voice, and lay claim to the concur-
such a position when, in his discussion of aes- rence of everyone, whereas no private sensa-
thetic principles, he declares: "We are once and tion would be decisive except for the observer
for all so made that when certain impressions alone and his liking."
come before our mind, one of them will seem to In saying that aesthetic judgments have sub-
call for or repel the others as its companions." jective, not objective, universality, and in hold-
As an example, he cites the fact that "a note ing that the beautiful is the object of a neces-
sounds good with its third and fifth." Such an sary satisfaction, Kant also seems to take the
aesthetic judgment certainly depends upon in- middle position which recognizes the subjec-
dividual sensibility, and, James adds, "to a cer- tivity of the aesthetic judgment without deny-
tain extent the principle of habit will explain ing that beauty is somehow an intrinsic prop-
[it]." But he also points out that "to explain all erty of objects. With regard to its subjective
aesthetic judgements in this way would be ab- character, Kant cites Hume to the effect that
CHAPTER 6: BEAUTY 115
"although critics are able to reason more plau- thetic" has progressively narrowed, until now
sibly than cooks, they must still share the same it refers almost exclusively to the appreciation
fate." The universal character of the aesthetic of works of fine art, where before it connoted
judgment, however, keeps it from being com- any experience of the beautiful, in the things
pletely subjective and Kant goes to some length of nature as well as in the works of man.
to refute the notion that in matters of the beau- The question is raised, then, whether natural
tiful one can seek refuge in the adage that beauty, or the perception of beauty in nature,
"everyone has his own taste." involves the same elements and causes as beau-
The fact that the aesthetic judgment re- ty in art. Is the beauty of a flower or of a flower-
quires universal assent, even though the uni- ing field determined by the same factors as the
versal rule on which it is based cannot be beauty of a still life or a landscape painting?
formulated, does not, of course, preclude the The affirmative answer seems to be assumed
failure of the object to win such assent from in a large part of the tradition. In his discus-
many individuals. Not all men have good taste sion of the beautiful in the Poetics, Aristotle
or, having it, have it to the same degree. explicitly applies the same standard to both
nature and art. "To be beautiful," he writes,
THE FOREGOING CONSIDERATIONs-selective "a living creature, and every whole made up
rather than exhaustive-show the connection of parts, must not only present a certain order
between definitions of beauty and the problem in its arrangement of parts, but also be of a
of aesthetic training. In the traditional discus- certain magnitude." Aristotle's notion that art
sion of the ends of education, there is the prob- imitates nature indicates a further relation be-
lem of how to cultivate good taste-the ability tween the beautiful in art and nature. Unity,
to discriminate critically between the beautiful proportion, and clarity would then be elements
and the ugly. common to beauty in its every occurrence,
If beauty is entirely subjective, entirely a though these elements may be embodied dif-
matter of individual feeling, then, except for ferently in things which have a difference in
conformity to standards set by the customs of their mode of being, as do natural and artificial
the time and place, no criteria would seem to things.
be available for measuring the taste of individ- With regard to the beauty of nature and of
uals. If beauty is simply objective-something art, Kant tends to take the opposite position.
immediately apparent to observation as are the He points out that "the mind cannot reflect on
simple sensible qualities-no special training the beauty of nature without at the same time
would seem to be needed for sharpening our finding its interest engaged." Apart from any
perception of it. question of use that might be involved, he
The genuineness of the educational problem concludes that the "interest" aroused by the
in the sphere of beauty seems, therefore, to beautiful in nature is "akin to the moral," par-
depend upon a theory of the beautiful which ticularly from the fact that "nature ... in her
avoids both extremes, and which permits the beautiful products displays herself as art, not as
educator to aim at a development of individual a mere matter of chance, but, as it were, design-
sensibilities in accordance with objective cri- edly, according to a law-directed arrangement."
teria of taste. The fact that natural things and works of art
stand in a different relation to purpose or in-
THE FOREGOING CONSIDERATIONS also provide terest is for Kant an immediate indication that
background for the problem of beauty in na- their beauty is different. Their susceptibility
ture and in art. As indicated in the chapter on to disinterested enjoyment is not the same. Yet
ART, the consideration of art in recent times for Kant, as for his predecessors, nature pro-
tends to become restricted to the theory of the vides the model or archetype which art fol-
fine arts. So too the consideration of beauty has lows, and he even speaks of art as an "imi-
become more and more an analysis of excellence ta tion" of na ture.
in poetry, music, painting, and sculpture. In The Kantian discussion of nature and art
consequence, the meaning of the word "aes- moves into another dimension when it con-
116 THE GREAT IDEAS
siders the distinction between the beautiful ject through both knowledge and love. Here
and the sublime. We must look for the sub- again the context of meaning favors the align-
lime, Kant says, "not ... in works of art ... ment of beauty with love, at least for theories
nor yet in things of nature, that in ,their very which make beauty primarily an object of con-
concept import a definite end, e.g. animals of templation. In Plato and Plotinus, and on
a recognized natural order, but in rude nature an~ther level in the theologians, the two con-
merely as involving magnitude." In company siderations-of love and beauty-fuse together
with Longinus and Edmund Burke, Kant char- inseparably.
acterizes the sublime by reference to the limi- It is the "privilege of. beauty," Plato thinks,
tations of human powers. Whereas the beauti- to offer man the readiest access to the world of
ful "consists in limitation," the sublime "im" ideas. According to the myth in the Phaedrus,
mediately involves, or else by its presence. pro- the contemplation of beauty enables the soul
vokes, a representation of limitlessness," which to "grow wings." This experience, ultimately
"may appear, indeed, in point of form to con- intellectual in its aim, is described by Plato as
travene the ends of our power of judgement, identical with love.
to be ill-adapted to our faculty of presentation, The observer of beauty "is amazed when he
and to be, as it wer~, an outrage on the imagi- sees anyone having a godlike face or form,
nation." which is the expression of divine beauty; and
Made aware of his own weakness, man is at first a shudder runs through him, and again
dwarfed by nature's magnificence, but at that the old awe steals over him; then looking upon
very moment he is also elevated by realizing the face of his beloved as of a god, he reverences
his ability to appreciate that which is so much him, and if he were not afraid of being thought
greater than himself. This dual mood signal- a downrightmadman, he. would sacrifice to his
izes man's experience of the sublime. Unlike beloved as to the image of a god." When the
the enjoyment of beauty, it is neither disin- soul bathes herself "in the waters of beauty, her
terested nor devoid of moral tone. constraint is loosened, and she is refreshed, and
has no more pangs and pains." This state of
TRUTH IS USUALLY connected with perception the soul enraptured by beauty, Plato goes on
and thought, the good with desire and action. to say, "is by men called love."
Both have been related to love and, in different Sharply opposed to Plato's intellectualiza-
ways, to pleasure and pain. All these terms nat- tion of beauty is that conception which con-
urally occur in the traditional discussion of nects it with sensual pleasure and sexual attrac-
beauty, partly by way of definition, but also tion .. When Darwin, for instance, considers the
partly in the course of considering the faculties sense of beau ty , he confines his a tten tion almost
engaged in the experience of bea u ty . entirely to the colors and sounds used as "at-
. Basic here is the question whether beauty is tractions of the opposite sex." Freud, likewise,
an object of love or desire. The meaning of while admitting that "psycho-analysis has less
any answer will, of course, 'vary with different to say about beauty than about most things,"
conceptions of desire and love. claims that "its derivation from the realms of
Desire is sometimes thought of as funda- sexual sensation ... seems certain."
mentally acquisitive, directed toward the ap- Such considerations may not remove beauty
propriation of a good; whereas love, on the from the sphere of love, but, as the chapter on
contrary, aims at no personal aggrandizement LOVE makes clear, love has many meanings,
but rather, with complete generosity, wishes and is of many sorts. The beautiful which is
only the well-being of the beloved. In this sexually attractive is the object of a love which
context, beauty seems to be more closely assO- is almost identical with desire~sometimes with
ciated with a good that is loved than with a lust-and certainly involves animal impulses
good desired. and bodily pleasures. "The taste for the beau-
Love, moreover, is more akin to knowledge tiful," writes Darwin, "at least as far as female
than is desire. The act of contemplation is beauty is concerned, is not of a special nature in
sometimes understood as a union with the ob- the human mind."
CHAPTER 6: BEAUTY 117
On the other hand, Darwin attributes to of ideas; the great poems which crystallize
man alone an aesthetic faculty for the appre- beauty in a scene, in a face, in a deed; and,
ciation of beauty apart from love or sex. No above all, the writings of the theologians which
other animal, he thinks, is "capable of admiring do not try to do more than suggest the ineffable
such scenes as the heavens at night, a beautiful splendor of God's infinite beauty, a beauty
landscape, or refined music; but such high fused with truth and goodness, all absolute in
tastes are acquired through culture and depend the one absolute perfection of the divine be-
on complex associations-; they are not enjoyed ing. "The Divine Goodness," observes Dante,
by barbarians or by uneducated persons." For "which from Itself spurns all envy, burning in
Freud, however, the appreciation of such beau- Itself so sparkles that It displays the eternal
ties remains ultimately sexual in motivation, beauties. "
no matter how sublimated in effect. "The love Some of the grea t books consider the various
of beauty," he says, "is the perfect example of kinds of beauty, not so much with a view to
a feeling with an inhibited aim. 'Beauty' and classifying their variety, as in order to set forth
'attraction' are first of all the attributes of a the concordance of the grades of beauty with
sexual object." the grades of being, and with the levels oflove
The theme of beauty's relation to desire and and knowledge.
love is connected with another basic theme- The ladder of love in Plato's Symposium de-
the relation of beauty to sense and intellect, scribes an ascent from lower to higher forms of
or to the realms of perception and thought. beauty. "He who has been instructed thus far
The two discussions naturally run parallel. in the things of love," Diotima tells Socrates,
The main question here concerns the exist- "and who has learned to see beauty in due or-
ence of beauty in the order of purely intelli- der and succession, when he comes toward the
gible objects, and its relation to the sensible end will suddenly perceive a nature of won-
beauty of material things. Plotinus, holding drous beauty ... beauty absolute, separate,
that beauty of every kind comes from a "form" simple, and everlasting, which without diminu-
or "reason," traces the "beauty which is in tion and without increase, or any change, is
bodies," as well as that "which is in the soul" imparted to the ever-growing and perishing
to its source in the "eternal intelligence." This beauties of all other things. He who from these,
"intelligible beauty" lies outside the range of ascending under the influence of true love, be-
desire even as it is beyond the reach of sense- gins to perceive that beauty, is not far from
perception. Only the admiration or the adora-_ the end."
tion of love is proper to it. The order of ascent, according to Diotima,
begins "with the beauties of earth and mounts
THESE DISTINCTIONS in types of beauty-nat- upwards forthe sake of that other beauty," go-
ural and artificial, sensible and intelligible, ing from one fair form to "all fair forms, and
even, perhaps, material and spiritual-indicate from fair forms to fair practises, and from fair
the scope of the discussion, though not all practises to fair notions, until from fair notions"
writers on beauty deal with all its manifes- we come to "the notion of absolute beauty and
tations. at last know what the essence of beauty is. This,
Primarily concerned with other subjects, my dear Socrates," she concludes, "is the life
many of the great books make only an indirect above all others which man should live, in the
contribution to the theory of beauty: the moral contemplation of beauty absolute."
treatises which consider the spiritual beauty of For Plotinus the degrees of beauty corre-
a noble man or of a virtuous character; the spond to degrees of emancipation from matter.
cosmologies of the philosophers or scientists "The more it goes towards matter ... the
which find beauty in the structure of the world feebler beauty becomes." A thing is ugly only
-the intelligible, not sensible, order of the because, "not dominated by a form and reason,
universe; the mathematical works which ex- the matter has not been completely informed
hibit, and sometimes enunciate, an awareness by the idea." If a thing could be completely
of formal beauty in the necessary connection "without reason and form," it would be "abso-
118 THE GREAT IDEAS
lute ugliness." But whatever exists possesses the type of supernatural knowledge promised
form and reason to some extent and has some to the souls of the blessed-the beatific vision in
share of the effulgent beauty of the One, even which God is beheld intuitively, not known
as it has some share through emanation in its discursively, and in which knowledge united
overflowing being-the grades of beauty, as of with love is the principle of the soul's union
being, signifying the remotion of each thing with God.
from its ultimate source. An analogy is obviously implied. In this life
Even separated from a continuous scale of and on the natural level, every experience of
beauty, the extreme terms-the beauty of God beauty-in nature or art, in sensible things or
and the beauty of the least of finite things- in ideas-occasions something like an act of
have similitude for a theologian like Aquinas. vision, a moment of contemplation, of enjoy-
The word visum in his definition of the beauti- ment detached from desire or action, and clear
ful (id quod visum placet, "that which pleases without the articulations of analysis or the
upon being seen") is the word used to signify demonstrations of reason.
OUTLINE OF TOPICS
PAGE
I. The general theory of the beautiful
10. The beautiful and the good: beauty as a kind of fitness or order
rb. Beauty and truth: the beautiful as an object of contemplation r20
-\
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [26S-283] 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halves ofthe right-hand side of
the page. Forexample, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [26S-283] 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douav versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) Il Esdras, Tf6.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For addi tiona I informa tion concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: Other discussions of the relation of beauty to goodness and truth, see GOOD AND EVIL IC;
TRUTH IC; and for the relation of grades of beauty to degrees of perfection in being, see
BEING 3a.
Unity, order, and proportion as elements of beauty, see RELATION 5c.
The consideration of beauty as an object of love or desire, see DESIRE 2b; LOVE Id.
The theory of the aesthetic judgment or the judgment of taste, see SENSE 6; and for the
controversy over the objectivity and universality of such judgments, see CUSTOM 9a;
RELATION 6c; UNIVERSAL AND PARTICULAR 7c.
The problem of cultivating good taste and critical judgment in the field of the fine arts, see
ART 7b; POETRY 8a-8b.
The context of the comparison of beauty in nature and in art, see ART 2a-3; NATURE ~a, 5d;
PLEASURE AND PAIN 4c(I).
Consideration of the kind of knowledge which is involved in the apprehension of beauty, see
KNOWLEDGE 6a(2), 6c(I).
Another discussion of sensible and intelligible beauty, see SENSE 6; and for the intelligible
beauty of God and of the universe, see GOD 4h; WORLD 6d.
CHAPTER 6: BEAUTY l25
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection ..
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
T HE words "is" and "(is) not" are probably
the words most frequently used by anyone.
philosophy. Though it often leads to subtleties,
it also keeps the philosopher in deepest touch
They are unavoidable, by implication at least, with common sense and the speculative wonder
in every statement. They have, in addition, of all men.
a greater range of meaning than any other
words. As A TECHNICAL concept in philosophy, being
Their manifold significance seems to be of a has been called both the richest and the empti-
very special kind, for whatever is said not to be est of all terms in the vocabulary of thought.
in one sense of being can always be said to be in Both remarks testify to the same fact, namely,
another of its senses. Children and practiced that it is the highest abstraction, the most uni-
liars know this. Playing on the meanings of be- versal of predicates, and the most pervasive
ing. or with "is" and "not," they move smooth- subject of discussion.
ly from fact to fiction, imagination to reality, \yilliam James is in that long line of philoso-
or truth to falsehood. phers which began with the early Greeks when
Despite the obviousness and commonplace- he points out that "in the strict and ultimate
ness of the questions w4ich arise with any con- sense of the word 'existence,' everything which
sidera tion of the meanings of "is," the study of can be thought of at all exists as some sort of
being is a highly technical inquiry which only object, whether mythical object, individual
philosophers have pursued at length~ Berkeley thinker's object, or object in outer space and
gives one reason why they cannot avoid this for intelligence at large." Even things which do
task. "Nothing seems of more importance," he not really exist have being insofar as they are
says, "towards erecting a firm system of sound objects of thought-things remembered which
and real knowledge ... than to lay the begin- once existed, things conceivable which have
ning in a distinct explication ofwhat is meant the possibility of being, things imaginary which
by thing, reality, existence; for in vain shall we have being at least in the mind that thinks
dispute concerning the real existence of things, them. This leads to a paradox which the an-
or pretend to any knowledge thereof, so long cients delighted in pondering, that even noth-
as we have not fixed the meaning of those ing is something, even non-being has being, for
words." before we can say "non-being is not" we must
In the whole field of learning, philosophy is be able to say "non-being is." Nothing is at least
distinguished from other disciplines-from his- an object of thought.
tory, the sciences, and mathematics-by its Any other word than "being" will tend to
concern with the problem of being. It alone classify things. The application of any other
asks about the nature of existence, the modes name will divide the world into things of the
and properties of being, the difference between sort denominated as distinct from everything
being and becoming, appearance and reality, else. "Chair," for example, divides the world
the possible and the actual, being and non- into things which are chairs and all other ob-
being. Not all philosophers ask these questions; jects; but "being" divides something or any-
nor do all who ask such questions approach or thing from nothing and, as we have seen, even
formulate them in the same way. Nevertheless, applies to nothing.
the attempt to answer them is a task peculiar to "All other names," Aquinas writes, "are
126
CHAPTER 7: BEING 127
either less universal, or, if convertible with it, in this sense, 'being' becomes the richest of
add something above it at least in idea; hence terms-the one which has the greatest ampli-
in a certain way they inform and determine tude of meaning.
it." The concepts which such words express
have, therefore, a restricted universality. They BOTH WAYS OF thinking about being are rele-
apply to all things af a certain kind, but not to vant to the problem of the relations among the
all things, things of every kind or type. With various meanings of 'being.' Both are also re-
the exception of a few terms inseparably associ- lated to the problem of whether being is one or
ated with 'being' (or, as Aquinas says, converti- many-the problem first raised by the Eleatics,
ble with it), only being is common to all kinds exhaustively explored in Plato's Parmenides,
of things. When every other trait peculiar to a and recurrent in the thought of Plotinus, Spi-
thing is removed, its being remains-the fact noza, and Hegel.
that it is in some sense. The two problems are connected. If every-
If we start with a particular of any sort, clas- thing that is exists only as a part of being as a
sifying it progressively according to the char- whole, or if the unity of being requires every-
acteristics which it shares with more and more thing to be the same in being, then whatever
things, we come at last to being. According to diversities there are do not multiply the mean-
this method of abstraction, which Hegel fol- ings of being. Although he speaks of substance
lows in his Science afLagic, 'being'is the empti- rather than of being, Spinoza argues that
est of terms precisely because it is the com- "there cannot be any substance excepting God,
monest. It signifies the very least that can be and consequently none other can be con-
thought of anything. On this view, if all we are ceived." From this it follows that "whatever
told of something is that it is-that it has being is, is in God, and nothing can be or be con-
-we learn as little as possible about the thing. ceived without God."
We have to be told that a thing is a material or Since "there cannot be two or more sub-
a spiritual being, a real or an imaginary being, a stances of the same nature or attribute," and
living or a human being, in order to apprehend since God is defined as a "substance consisting
a determinate nature. Abstracted from every- of infinite attributes, each one of which ex-
thing else, 'being' has only the positive meaning presses eternal and infinite essence," it is ab-
of excluding 'non-being.' surd, in Spinoza's opinion, to think of any
There is an opposite procedure by which the other substance. "If there were any substance
term being has the maximal rather than the besides God, it would have to be explained,"
minimal significance. Since whatever else a he says, "by some attribute of God, and thus
thing is, it is a being, its being lies at the very two substances would exist possessing the same
heart of its nature and underlies all its other attribute," which is impossible.
properties. Being is indeterminate only in the Spinoza's definition of substance, attribute,
sense that it takes on every sort of determina- and mode or affection, combined with his axi-
tion. Wherever being is found by thought, it om that "everything which is, is either in itself
is understood as a determined mode of being. or in another," enables him to embrace what-
To conceive being in this way, we do not re- ever multiplicity or diversity he finds in the
move every difference or determination, buton world as aspects of one being. Everything
the contrary, embrace all, since all are differ- which is not substance, existing in and of itself,
ences or determinations of being. exists in that one substance as an infinite attri-
Aquinas, for example, conceives "being tak- bute ar a finite mode. "The thing extended
en simply as including all perfections of being"; (rem extensam) and the thinking thing (rem
and in the Judaeo-Christian tradition, 'being' cagitantem)," he writes, "are either attributes
without qualification is taken as the most prop- of God or affections of the attributes of God."
er name for God. When Moses asked God His If, on the contrary, there is no unitary whole
name, he received as answer: "I AM THAT I of being, but only a plurality of beings which
AM ... Thus shalt thou say unto the children are alike in being and yet are diverse in being
of Israel, I AM hath sent me unto you." Used from one another. then our conception of being
128 THE GREAT IDEAS
must involve a system of meanings, a stem of Again and again Aristotle insists .that "there
many branches. Descartes, for example, dis- are many senses in which a thing is said to be
tinguishes between an infinite being, whose ... Some things are said to be beca4se they are
essence involves its existence, and finite beings, substances, others because they are affections
which do not necessarily exist of themselves of s~bstance, others because they are in process
but must be caused to exist. The infinite being towaJ;ds substance, or destructions or priva-
which is God causes, but does not contain with- tions or qualities ,Qf substance, or productive or
in itself, other finite substances; and among generative of substance, or of things which are
finite things, Descartes holds, "two substances relative to substance, or negations of one of
are said to be really distinct, when each of them these things or of substance itself. It is for this
can exist apart from the other." reason," he continues, "that we say even of
In addition to God-"thatsubstance which non-being that it is non-being"; and, in another
we understand to be supremely perfect"--:-Des- place, he adds that "besides all these there is
cartes defines two kinds of fini te substance. that which 'is' potentially or actually."
"That substance in which thought immediately All these senses of being, according to Aris-
resides, I call Mind," he writes; and "that sub- totle, '~refer to one starting point," namely,
stance, which is the immediate subject of ex- substance, or that which has being in and of
tension in space, and of the accidents that pre- itself. "That which is primarily, i.e., not in a
suppose extension, e.g., figure, situation, move- qualified sense," he writes, "must be a sub-
ment in space, etc., is called Body." All these stance." But when he also says that "that
substances, and even their accidents, have be- which 'is' primarily is the 'what' which indi-
ing, but not being of the same kind or to the cates the substance of a thing," he seems to be
same degree. "There are," according to Des- using the words "substance" and "essence"
cartes, "diverse degrees of reality, or (the qual- interchangeably. This, in turn, seems to be re-
ity of being an) entity. For substance has more lated to the fact that, although Aristotle dis-
reality than accident or mode; and infinite sub- tinguishes between actual and potential being,
stance has more than finite substance." Its be- and between necessary or incorruptible and
ing is independent, theirs dependent. contingent or corruptible beings, he, like Plato
The issue between Spinoza and Descartes-a and unlike Aquinas, Descartes, or Spinoza,
single substance or many-is only one of the does not consider whether the essence and exist-
ways in which the problem of the unity or di- ence of a being are identical or separate.
versity of being presents itself. Both Plato and It may be held that this distinction is im-
Aristotle, for example, affirm a multiplicity of plied, since a contingent being is one which is
separate existences, but though both are, in able not to exist, whereas a necessary being
this sense, pluralists, being seems to have one cannot nOt exist. A contingent being is, there-
meaning for Plato, many for Aristotle. fore, one whose essence can be divorced from
According to Plato's distinction between be- existence; a necessary being, one which must be
ing and becoming, only the immutable es- precisely because its essence is identical with
sences, the eternal ideas, are.heings, and though its existence. But the explicit recognition of a
they are many in number, they all belong to real distinction between essence and existence
one realm and possess the same type of being. seems to be reserved for the later theologians
But for Aristotle, not only do perishable as well and philosophers who conceive of an infinite
as imperishable substances exist; not only is being, as Aristotle does not.
there sensible and mutable as well as immaterial The infinity of a being lies not only in its
and eternal being; but the being which. sub- possession of all perfections, but even more
stances possess is not the same as that of acci- fundamentally in its requiring no cause outside
dents; essential is not the same as accidental itself for its own existence. "That thing," says
being; potential being is not the same as being Aquinas, "whose being differs from its essence,
actual; and to be is not the same as to be con- must have its being caused by another .... That
ceived, that is, to exist in Teality is not the which has being, but is not being, is a being by
same as to exist in mind. participation." Where Aristotle makes sub-
CHAPTER 7: BEING 129
stance the primary type of being, and the being qua being-both what it is and the prop-
"starting-point" of all its other meanings, erties which belong to it qua being."
Aquinas makes the infinite being of God, As pointed out in the chapter on META-
whose very essence it is to be, the source of PHYSICS, it is an historical accident that this
all finite and participated beings, in which there inquiry concerning being came to be called
is a composition of existence and essence, "metaphysics." That is the name which, ac-
or "of that whereby they are and that which cording to legend, the ancient editors gave to a
they are." collection of writings in which Aristotle pur-
Since "being itself is that whereby a thing sued this inquiry. Since they came after the
is," being belongs to God primarily and to all books on physics, they were called "meta-
other things according to modes of derivation physics" on the supposition that Aristotle in-
or participation. God and his creatures can be tended the discussion of being to follow his
called "beings" but, Aquinas points out, not in treatise on change and motion.
the identically same sense, nor yet with utter If one were to invent a word to describe the
diuersity of meaning. A similarity"'-a sameness- science of being, it would be "ontology," not
in-diversity or analogy-obtains between the "metaphysics" or even "theology." Yet "meta-
unqualified being of God and the being of all physics" has remained the traditionally accept-
other-things, which have being subject to vari- ed name for the inquiry or-science which goes
ous qualifications or limitations. beyond physics-or all of natural science-in
All other questions about being are affected that it asks about the very existence of things,
by the solution of these basic problems con- and their modes of being. The traditional con-
cerning the unity of being, the kinds of being, nection of metaphysics with theology, discussed
and the order of the various kinds. If they are in the chapters on THEOLOGY and META-
solved in one way-in favor of unity- certain PHYSICS, seems to have its origin in the fact
questions are not even raised, for they are gen- that Aristot1e~s treatise on being passes from a
uine only on the basis of the other solution consideration of sensible and mutable substan-
which finds being diverse. The discussion, in the ces to the problem of the existence of imma-
chapters on SAME AND OTHER, and on SIGN terial beings, and to the conception of a divine
AND SYMBOL,.of sameness, diversity, and anal- being, purely actual, absolutely immutable.
ogy is, therefore, relevant to the problem of In a science intended to treat "of that which
how things are at once alike and unlike in being. is primarily, and to which all the other cate-
gories of being are:referred, namely, substance,"
THE GREEKS, NOTABLY Plato and Aristotle, Aristotle says, "we must first sketch the nature
began the inquiry about being. They realized of substance." Hence he begins with what he
that after all other questions are answered, calls "the generally recognized substances.
there still remains the question, What does it These are the sensible substances." He post-
mean to say of anything tha t it is or is nat? After pones until later his critical discussion of "the
we understand what it means for a thing to be Ideas and the objects of mathematics, for some
a man, or to be alive, or to be a body, we must say these are substances in addition to the sen-
still consider what it means for that thing sim- sible substances"; yet he directs his whole in-
ply to be in any way at all; or to be in one sense, quiry to the ultimate question "whether there
and not to be in another. are or are not any besides sensible substances."
The discussion of being, in itself and in rela- His attempt to answer this question in the
tion to unity and truth, rest and motion, runs twelfth book makes it the theological part of
through many dialogues of Plato. It is central his Metaphysics.
in the Sophist and Parmenides. The same terms
and problems appear in Aristotle's scientific THOUGH THEIR ORDER of discussion is different,
treatise which makes being its distinctive sub- the metaphysicians of the 17th century, like
ject matter, and which. he sometimes calls "first Descartes, Spinoza, and Leibnitz" deal with
philosophy" and sometimes "theology." It be- many, if not all, major points in the analysis
longs to this science, he declares, "to consider of being which the Greek philosophers initi-
130 THE GREAT IDEAS
ated and the mediaeval theologians developed. Freedom, and Immortality, and it 'aims at
Later philosophers, whose main concern is with showing that the second conception, conjoined
the origin and validity of human knowledge, with the first, must lead to the third as a neces-
come to the traditional metaphysical questions sary conclusion."
through an analysis, not of substance or essence; Hegel, on the other hand, does not'approach
existence or power, but of-our ideas of substance the problem of being or reality through a cri-
and power. tique of knowledge. For Hegel, as for Plotinus
This transformation of the ancient problem before him, the heart of metaphysics lies in
of being is stated by Berkeley in almost epi- understanding that "nothing is actual except
grammatic form. Considering "what is meant the Idea" or the Absolute, "and the great thing
by the term exist," he argues from the experi- is to apprehend in the show of the temporal
ence of sensible things that "their esse is percipi, and the transient, the substance which is imma-
nor is it possible they should have any exist- nent, and the eternal which is present." Plo-
ence, out of the minds or thinking things which tinus calls the absolute, not the Idea, but the
perceive them." Locke, too, although he does All-one, yet he tries to show that the One is the
not identify being with perception, makes the principle, the light, and the life of all things,
same shift on the ground that "the first step just as Hegel reduces everything to a manifes-
towards satisfying several inquiries the mind of tation of the underlying reality of the Absolute
man was apt to run into, was to make a ,survey Idea.
of our own understandings, examine our own Despi te all such changes in terminology, de-
powers, and see to what things they were spi te radical differences in philosophical princi-
adapted." ple or conclusion, and regardless of the attitude
Once the problems of being are viewed 'first taken toward the possibility of metaphysics as a
in terms of the mind, the questions for the science, the central question which is faced by
philosopher become primarily those of the rela- anyone who goes beyond physics, or natural
tion of our defini tions to real and nominal es- philosophy, is a question about being or exist-
sences, the conditions of our knowledge of ex- ence. It mayor may not be asked explicitly,
istence, and the identification of the real and but it is always present by implication.
ideal with perceptible matters of fact and intel- The question about God, for example, or
ligible relations between ideas. free will or immortality, is first of all a question
For Kant the basic distinction is between about whether such things exist, and how they
the sensible and supra-sensible, or the phenom- exist. Do they have reality or are they only
enal and noumenal, realms of being. From an- fictioris of the mind? Similarly, questions about
other point of view, Kant considers the being the infinite, the absolute, or the unconditioned
of things in themselves apart from human ex- are questions about that primary reality apart
perience and the being of natural things or, from whose existence nothing else could be or
what is the same for him, the thingsof-experi- be conceived, and which therefore has an exist-
ence. The former are unconditioned, the latter ence different from the things dependent on it
conditioned, by the knowing mind which is for their being. Here again the first question is
formative or constitutive of experience. whether such a reality exists.
"The sole aim of pure reason," Kant writes, Enough has been said to indicate why this
"is the absolute totality of the synthesis on the discussion cannot consider all topics which have
side of the conditions ... in order to preposit some connection with the theory of being. To
the whole series of conditions, and thus present try to make this Introduction adequate even
them to the understanding a priori." Having for the topics outlined here, under which the
obtained these "conditions," we can ascend references to the great books are assembled,
through them "until we reach the uncondi- would be to make it almost co-extensive in scope
tioned, that is, the principles." It is with these with the sum of many other Introductions-all,
ideas of pure reason that metaphysics, accord- in fact, which open chapters dealing with meta-
ing to Kant, properly deals. Instead of being, its physical concepts or problems.
object consists in "three grand ideas: God, It is to be expected, of course, that the special
CHAPTER 7: BEING 131
problems of the existence of God, of an immor- criticisms. Yet his opponents tried to preserve
tal soul, and of a free will should be treated in the reality of change, without having to accord
the chapters on GOD, IMMORTALITY, and WILL. it the fullness of being. The Greek atomists, for
But it may not be realized that such chapters example, think that change cannot be explained
as CAUSE, ETERNITY, FORM; INFINITY, IDEA, except in terms of permanent beings-in fact
MATTER, ONE AND MANY, SAME AND OTHER, eternal ones. Lucretius, who expounds their
RELATION, UNIVERSAL AND PARTICULAR-all views, remarks that in any change "something
these and still others cited in the Cross-Refer- unchangeable must remain over, that all things
ences below-include topics which would have be not utterly reduced to nothing; for when-
to be discussed here if we, were to try to cover ever a thing changes and quits its proper limits,
all relevant considerations. at once this change of state is the death of that
Reasons of economy and intelligibility dic- which was before." The "something unchange-
tate the opposite course. Limiting the scope of able" is thought to be the atom, the absolutely
this Introduction to a few principal points in indivisible, and' hence imperishable, unit of
the theory of being, we can also .exhibit, matter. Change does not touch the being of the
through the relation of this chapter to others, atoms, "but only breaks up the union amongst
the interconnection of the great ideas. The var- them, and then joins anew the different ele-
ious modes of being (such as essence and exist- ments with others; and thus it comes to pass
ence, substance and accident, potentiality and that all things change"-that is, all things com-
actuality, the real and the ideal) and the basic posite, not the simple bodies of solid singleness
correlatives of being (such as unity, goodness, ~"when the clashings, motions, arrangement,
truth) are, therefore, left for fuller treatment position, and shapes of matter change about."
in other contexts. But two topics deserve fur- In a conversation with Cratylus, who favors
ther attention here. One is the distinction be- the Heraclitean theory ofa universal flux, Soc-
tween being and becoming, the .other the rela- rates asks, "How can that be a real thing which
tion oLbeing to knowledge. is never in the same state?" How "can we
reasonably say, Cratylus," he goes on, "that
THE FACT OF CHANGE or. motion~of coming to there is any. knowledge at all, if everything is in
be and passing away-is so evident to the senses a state of transition and there is nothing
that it has never been denied, at least not as ail abiding" ?
experienced phenomenon. But it has been re- When he getsGlaucon to admit in the Repub-
garded as irrational and unreal, an illusion per- lic that "being is the sphere or subject matter of
petrated. by the senses. Galen, for instance, knowledge, and knowing is to know the nature
charges the Sophists with "allowing that bread of being," Socrates leads him to see the correla-
in turning into blood becomes changed as re- tion of being, not-being, and becoming with
gards sight, taste, and touch," but denying knowledge, ignorance, and opinion. "If opinion
that "this change occurs in reality." They ex- and knowledge are distinct faculties then the
plain it away, he says, as "tricks and illusions of sphere of knowledge and opinion cannot be the
our senses ... which are affected now in one same ... If being is the subject matter of
way, now in another, whereas the underlying knowledge, something else must be the subject
substance does not admit of any of these matter of opinion." It cannot be not-being, for
changes;" "of not-being ignorance was assumed to be the
The familiar paradoxes of Zeno are reductio necessary correlative."
ad absurdum arguments to show that motion is Since "opinion is not concerned either with
unthinkable, full of self-contradiction. The way being or with not-being" because it is obviously
of truth, according to Parmenides, Zeno's mas- intermediate between knowledge and igno-
ter in the Eleatic school, lies in the insight that rance, Socrates concludes that "if anything ap-
whatever is always was and will be, that noth- peared to be of a sort which is and is not at the
ing comes into being out of non-being, or same time, that sort of thing would appear also
passes out of being into nothingness. to lie in the interval between pure being and
The doctrine of Parmenides provoked many absolute not-being," and "the corresponding
132 THE GREAT IDEAS
faculty is neither knowledge nor ignorance, but If to exist is to be completely actual,. then
will be found in the interval between them;" changing things and change itself do not fully
This "intermediate flux" or sphere of becom" exist. They exist only to the extent that they
ing, this ~'region of the many and the variable," have actuality. Yet potentiality, no less than
can yield only opinion. Being, the 'realm of the actuality, is a mode of being. Tha t potentiality
"absolute and eternal and immutable [Ideas]," -power or capacity-belongs to being seems
is the only object that one "may be said to also to be affirmed by the Eleatic Stranger in
know." Plato's Sophist. "Anything which possesses any
Aristotle would seem to agree with Plato sort of power to affect another, or to be affected
that change "partakes equally of the nature of by another," he says, "if only for a single mo-
being and not-being, and cannot rightly be ment, however trifling the cause and however
termed either, pure and simple." He points slight the effect, has real existence ... I hold,"
out that his predecessors, particularly the Eleat- he adds, "that the definition of being is simply
ics, held change to be impossible, because they power."
believed that "what comes to be must doso The basic issue concerning being and becom-
either from what is or from what is not, both of ing, and the issue concerning eternal as opposed
which are impossible." It is impossible, so they to mutable existence, recur again and again in
argued, since "what is cannot come to be (be- the tradition of western thought. They are in-
cause it is already), and from what is not noth- volved in the distinction between corruptible
ing CQuid have come to be:}', Aristotle concedes and incorruptible substances (which is in turn
the cogency of this argument on one condition, connected with the division of substances into
namely, that the terms 'being' and 'not-being' corporeal and spiritual), and with the nature of
are taken "without qualification." But his God as the onl)" purely actual, or truly eternal,
whole point is that they need not be taken with- being. They are implicit in Spinoza's distinc-
out qualification and should not be; if we wish tion between natura naturans and natura natu-
to explain change rather than make a mystery rata, and in his distinction between God's
ofit. knowledge of things under the aspect of eter-
The qualification Aristotle introduces rests nity and man's temporal view of the world in
on the distinction between two modes of being process. They are relevant to Hegel's Absolute
-the potentiality and actuality correlative Idea which, while remaining fixed, progressively
with matter and form. This makes it possible reveals itself in the ever-changing face of nature
for him to maintain that "a thing may come to and history. In our own day these issues engage
be from what is not. .. ina qualified sense." He Dewey, Santayana, and Whitehead in contro-
illustrates his meaning by the' example of the versy, as yesterday. they engaged Bradley,
bronze, which from a mere lump of metal comes William James, and Bergson.
to be a sta tue under the hands of the artist. The
bronze, he says, was "potentially a statue," and As ALREADY NOTED, Plato's division of reality
the change whereby it came to be actually a into the realms of being and becoming has a
statue is the process between potentiality and bearing on his analysis of knowledge and opin-
actuality. While the change is going on, the ion. The division relates to the distinction be-
bronze is neither completely potential nor fully tween the intelligible and the sensible, and be-
actual in respect of being a statue. tween the opposed qualities of certainty and
Like Plato, Aristotle recognizes that there is probability, or necessity and contingency, in
"something indefinite" about change. "The our judgments about things. The distinctions
reason," he explains, "is that it cannot' be between essence and existence and between
classed simply as a potentiality or as an actuali- sl:lbstance .and accident separate aspects or
ty-a thing that is merely capable of having a modes of being which function. differently as
certain size is not undergoing change, nor yet objects for the knowing mind.
a thing that is actually of a certain size." Change Aristotle, for example, holds that "there can
is "a sort of actuality, but incomplete ~ .. hard be no scientific treatment of the accidental ...
to grasp, but not incapable of existing." for the accidental is practically a mere name.
CHAPTER 7: BEING l33
And," he adds, "Plato was in a sense not wrong ultimate reality we can know. "The secondary
in ranking sophistic as dealing with that which sensible qualities," he writes, "are nothing but
is not. For the arguments of the sophists deal, the powers" which corporeal substances have
we may say, above all, with the accidental." "to produce several ideas in us by our sense,
That the accidental is "akin to non-being," which ideas" -unlike the primary qualities-
Aristotle thinks may be seen in the fact that "are not in the things themselves, otherwise
"things which are in another sense come into than as anything is in its cause."
being and pass out of being by a process, but Hobbes exemplifies still another view. "A
things which are accidentally do not." But man can have no thought," he says, "represent-
though he rejects the accidental as an object of ing anything not subject to sense." Hobbes
science, he does not, like Plato or Plotinus, ex- does not object to calling bodies "substances,"
clude the whole realm of sensible, changing but thinks that when we speak of "an incorpo-
things from the sphere of scientific kriowledge. real body, or (which is all one) an incorporeal
For him, both metaphysics and physics treat of substance," we talk nonsense; "for none of these
sensible substances, the one with regard to their things ever have, or can be incident to sense;
mutable being, the other with regard to their but are absurd speeches, taken upon credit
being mutable-their becoming or changing. (without any signification at all) from deceived
ForPlotinus, on the other hand, "the true Philosophers, and deceived, or deceiving,
sciences have an intelligible object and contain Schoolmen. "
no notion of anything sensible." They are di- He enumerates other absurdities, such as "the
rected, not "to variable things, suffering from giving of names of bodies to accidents, or of
all sorts of changes, divided in space, to which accidents to bodies," e.g., by those who say
the name of becoming and not being belongs," tha t "extension is body. " Criticism of the fallacy
but to the "eternal being which is not divided, of reification-the fallacy first pointed out by
existing always in the same way, which is not Ockham and criticized so repeatedly in con-
born and does not perish, and has neither space, temporary semantics-also appears in Hobbes'
place, nor situation ... but rests immovable in warning against making substances out of ab-
itself. " stractions or universals "by giving the names of
According to another view, represented by bodies to names or speeches."
Locke, substance is as such unknowable, wheth-
er it be body or spirit. We use the word "sub- WHENEVER ATHEORY of knowledge is concerned
stance" to name the "support of such qualities, with how we know reality, as opposed to mere
which are capable of producing simple ideas in appearances, it considers the manner in which
us; which qualities are commonly called acci- existing beings can be known-by perception,
dents." The sensible accidents are all that we intuition, or demonstration: and with respect
truly know and "we give the general name sub- to demonstration, it attempts to formulate the
stance" to "the supposed, but unknown, sup- conditions of valid reasoning about matters of
port of those qualities we find existing." Some fact or real existence. But it has seldom been
of these sensible accidents are what Locke calls supposed that reality exhausts the objects of
"primary qualities"-the powers or potentiali- our thought or knowledge. We can conceive
ties by which things affect one another and also possibilities not realized in this world. We can
our senses. imagine things which do not exist in nature.
But to the extent that our senses fail to dis- The meaning of reality-of real as opposed
cover "the bulk, texture, and figure of the mi- to purely conceptual or ideal being-is derived
nute parts of bodies, on which their constitu- from the notion of thinghood, of having being
tions and differences depend, we are fain to outside the mind, not merely in it. In tradition-
make use of their secondary qualities, as the al controversies about the existence of ideas-
characteristical notes and marks whereby to or of universals, the objects of mathematics, or
frame ideas of them in our mind." Neverthe- relations-it is not the being of such things
less, powers-which are qualities or accidents, which is questioned, but their reality, their
not substances-seem to be, for Locke, the existence outside the mind. If, for example,
134 THE GREAT IDEAS
ideas exist apart from minds, the minds of men pe:sonal need, and second, to whatever farther
and God, they have real, not ideal, existence. things continuously belong with these."
If the objects of mathematics, such as numbers The self or ego is the ultimate criterion of
and figures, have existence only as figments of being or reality. "The world of living realities
the mind, they are ideal beings. as contrasted with unrealities," James writes,
The judgment of the reality of a thing, James "is thus anchored in the Ego.... That is the
thinks, involves "a state of consciousness sui hook from which the rest dangles, the absolute
generis" about which not much can be said support. And as from a painted hook it has
"in the way of internal analysis." The focus of been said that one can only hang a painted
this problem in modern times is indicated by chain, so conversely from a real hook only a
James' phrasing of the question, "Under what real chain can properly be hung. Whatever things
circumstances do we think things real?" And have intimate and continuous connection with my
James gives a typically modern answer to the lift are things of whose reality I cannot doubt.
question. Whatever things fail to establish this connection
He begins by saying that "any object which are things which are practically no better for
remains uncontradicted is ipso facto believed me than if they existed not at all." James
and posited as absolute reality." He admits would be the first to concede to any critic of his
that "for most men ... the 'things of sense' ... position, that its truth and good sense depend
are the absolutely real world's nucleus. Other upon noting that word "practically," for it is
things," James writes, "may be real for this "the world of 'practical realities'" with which
man or that-things of science, abstract moral he professes to be concerned.
relations, things of the Christian theology, or
what not. But even for the special man, VIlE CAN IN CONCLUSION observe one obvious
these things are usually real with a less real measure of the importance of being in philo-
reality than that of the things of sense." But sophical thought. The major isms by which the
his basic conviction is that "our own reality, historians of philosophy have tried to classify
that sense of our own life which we at every its doctrines represent affirmations or denials
moment possess, is the ultimate of ultimates for with respect to being or the modes of being.
our belief. 'As sure as I existl'-this is our utter- They are such antitheses as realism and ideal-
most warrant for the being of all other things. ism; materialism and spiritualism; monism, du-
As Descartes made the indubitable reality of alism, and pluralism; even atheism and theism.
the cogito go bail for the reality of all that the Undoubtedly, no great philosopher can be so
cogito involved, so all of us, feeling our own simply boxed. Yet the opposing isms do indi-
present reality with absolutely coercive force, cate the great speculative issues which no mind
ascribe an all but equal degree of reality, first to can avoid if it pursues the truth or seeks the
whatever things we lay hold on with a sense of ultimate principles of good and evil.
4a. Being as the pervasive object of mind, and the formal object of the first philoso-
phy, metaphysics, or dialectic 14 0
4b. Being as the measure of truth in judgments of the mind: clarity and distinctness
as criteria of the reality of an idea
5. Being and becoming: the reality of change; the nature of mutable being
6. The cause of existence
7. The divisions or modes of being
7a. The distinction between essence and existence: existence as the act of being
7b. The distinction between substance and attribute, accident or modification:
independent and dependent being
(I) The conceptions of substance
(2) Corporeal and spiritual substances, composite and simple substances: the
kinds of substance in relation to matter and form
(3) Corruptible and incorruptible substances
(4) Extension and thought as dependent substances or as attributes of infinite
substance
(5) Substance as subject to change and to different kinds of change: the role of
accidents or modifications 145
(6) The nature and kinds. of accidents or modifications
7e. The distinction between potentiality and actuality: possible and actual being
(I) The order of potentiality and actuality
(2) Types of potency and degrees of actuality
(3) Potentiality and actuality in relation to matter and form 147
7d. The distinction between real and ideal being, or between natural being and
being in mind
(I) The being of the possible
(2) The being of ideas, universals, rights
(3) The being of mathematical objects 149
(4) The being of relations
(5) The being of fictions and negations
7e. The distinction between appearance and reality, between the sensible and supra-
sensible, between the phenomenal and noumenal orders
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-2831 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in 53 JAMES: P_'ychology, 116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halves of the right-hand side of
the page. Forexample, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left:hand side of page 163 and ends in the upper half of the right-hand side of page ,64.
AUTHOR'S DIVISIONS: One or more of the main divisions of a worK (such as PART, BK, CH,
SECT) are sometimes included in the reference: line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-283] 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., 'OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46. , "
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style: for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: 'Being' as a transcendental term or concept, see IDEA 4b(4); METAPHYSICS 2b; OPPOSITION
2C; for the analysis of the meaning of words like "being," and for the theory of 'being' as an
analogical term or concept, see RELATION Idj SAME AND OTHER 4Cj SIGN AND SYMBOL 3d.
The discussion of unity, goodness, and truth as properties of being, or as convertible with
being, see GOOD AND EVIL Ibj ONE AND MANY Ij SAME AND OTHER la, 2ej TRUTH lb.
Other treatments of the distinction between being and becoming, and of the problem of the
reality of mutable as compared with immutable being, see CHANGE I, IOCj ETERNITY 4a-
4b; MATTER I j NECESSITY AND CONTINGENCY 2C.
Considerations relevant to the distinction between essence and existence, see FORM 2aj GOD
2a-2b, 4aj NECESSITY AND CONTINGENCY 2a-2bj SOUL 4bj UNIVERSAL AND PARTICULAR
2aj for considerations relevant to the distinction between substance and accident, or
between the essential and the accidental, see FORM 2C(2)j MATTER Ibj NATURE la(l)j
NECESSITY AND CONTINGENCY 2dj QUALITY I j QUANTITY I j SAME AND OTHER 3a;
SOUL 2aj and for the problem of the being of qualities, quantities, and relations, see
QUALITY I j QUANTITY I; RELATION la. ..
Considerations relevant to the distinction between potentiality and actuality, or matter and
form, see CHANGE 2aj DESIRE 2aj FORM 2C(I)j HABIT laj INFINITY Ib, 4Cj MATTER I-la,
3bj MIND 2b, 4Cj NECESSITY AND CONTINGENCY I j for considerations relevant to the dis-
tinction between the real and the ideal, see IDEA 3C, 6a-6bj KNOWLEDGE 6a(3); and for the
controversy over the real existence of ideas, forms, mathematical objects, universals, see
FORM la, '2aj MATHEMATICS 2bj SPACE 5j UNIVERSAL AND PARTICULAR 2a-2C.
Considerations relevant to the distinction between sensible and supra-sensible being, see
KNOWLEDGE 6a(I), 6a(4)j MIND Ia(I).
Elaborations of the theory of substance and treatments of the distinction between material and
immaterial, corruptible and incorruptible substances, see ANGEL 2; CHANGE lac; ELEMENT
5a; FORM 2d; MAN 3a-3a(r)03b; MATTER 2, 2d03a; MIND I b, 2a, IOc-Iod; SOUL 3a-3c, 4b.
The relation of being and becoming as objects of knowledge to the faculties of sense and
reason, see CHANGE I I ; KNOWLEDGE 6a( I) j OPINION I j SENSE lb.
Essence in relation to the natures of things and to their definitions, see DEFINITION la; FORM
3Cj KNOWLEDGE 6a(2)j NATURE la, Ia(2), 4a.
The relation of the concept 'being' to the principle of contradiction, both as a principle of
being and of thought, see OPPOSITION 2a; PRINCIPLE IC.
Logical problems concerning judgments of existence and proofs of existence, see GOD 2C;
JUDGMENT 8c; KNOWLEDGE 6a(3); NECESSITY AND CONTINGENCY 2b; REASONING 6a.
154 THE GREAT IDEAS
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevan t to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other faqs concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
E XPLANATION is an inveterate human
tendency. Even philosophers who think
give the genesis of our opinion. Things as differ-
ent as a logical demonstration and a piece of
that we cannot attain to knowledge of causes autobiography seem to be relevant in account-
get involved in explaining why that is so. Nor ing for our convictions; as, in accounting for
will their disputes about the theory of causes our behavior, we may refer to our purposes and
ever remove the word "because" from the vo- to our past.
cabulary of common speech. It is as unavoid-
able as the word "is." "The impulse to seek THE GREEK WORD for cause, from which our
causes," says Tolstoy, "is innate in the soul of English word "aetiology" is derived, came into
man. " the vocabulary of science and philosophy from
The question "Why?" remains after all other the language of the law courts. In its legal sense
questions are answered. It is sometimes the only it was used to poin t ou t whe re the responsi bili ty
unanswerable question-unanswerable either in lay. A suit at lawis based upon a cause of action;
the very nature of the case or because there are he who demands redress for an injury suffered
secrets men cannot fathom. Sometimes, as Dan- is expected to place the blame. The charge of
te says, man must be "content with the quia," responsibility for wrongdoing-the blame or
the knowledge that something is without know- fault which is the cause for legal redress or pun-
ing why. "Why?" is the one question which it ishment-naturally calls for excuses, which may
has been deemed the better part of wisdom not include a man's motives.
to ask; yet it has also been thought the one In the context of these legal considerations,
question which holds the key to wisdom. As two different meanings of cause begin to ap-
Virgil writes, in one of his most famous lines, pear. One man's act is the cause of injury to
Felix, qui potuit rerum cognoscere causas (Happy another, in the sense of being responsible for
the man who has been able to know the causes its occurrence. If the act was intentional, it
of things). probably had a cause in the purpose which mo-
The question "Why?" takes many forms and tivated it.
can be answered in many ways. Other knowl- These two types of cause appear in the ex-
edge may prove useful in providing the answers. planations of the historians as well as in trials at
A definition, for example, which tells us what a law. Herodotus and Thucydides, trying to ac-
thing is, may explain why it behaves as it does count for the Persian or the Peloponnesian war,
or why it has certain properties. A narrative, enumerate the incidents which led up to the
which tells us how something happened by de- outbreak of hostilities. They cite certain past
scribing a succession of events, may also be part events as the causes of war-the factors which
of the total explanation of some event in ques- predisposed the parties toward conflict, and
tion. even precipitated it. The historians do not
In other circumstances, a demonstration or a think they can fully explain why the particular
statement of grounds or reasons may be ex- events become the occasions for war except by
planatory. "How do you know?" is often a con- considering the hopes and ambitions, or, as
cealed form of the "Why" question. To answer Thucydides suggests, the fears of the contest-
it we may have to give our reasons for thinking ants. Forthe ancient historians at least, finding
that something or other is the case; or perhaps the causes includes a search for the motives
155
156 THE GREAT IDEAS
which underlie other causes and help to explain hausts the number of ways in which the term
how other factors get their causal efficacy. 'cause' is used."
Thucydides explicitly distinguishes these two The production of works of art, to which
kinds of causes in the first chapter of his history. Aristotle himself frequently turns for examples,
After noting that the "immediate cause" of the most readily illustrates these four different
war was the breaking of a treaty, he adds that kinds of causes. In making a shoe, the material
the "real cause" was one "which was formally cause is that out of which the shoe is made-the
most kept out of sight," namely, the "growth leather or hide. The efficient cause is the shoe-
of the power of Athens, and the alarm which maker, or more precisely the shoemaker's acts
this inspired in Lacedaemon." which transform the raw material into the
It is .SQmetimes supposed that Thucydides finished product. The formal cause is the pat-
owes his conception of causes to the early medi- tern which directs the work; it is, in a sense,
cal tradition. That might very well be the case, the definition or type of the thing to be
for flippocrates constantly seeks the "natural made, which, beginning as a plan in the artist's
causes" of disease; and in his analysis of the mind, appears at the end of the work in the
various factors involved in any particular dis- transformed material as its own intrinsic form.
ease, he tries to distinguish between the pre- The protection of the foot is the final cause or
disposing and the exciting cause~. end-that for the sake of which the shoe was
But the classification of causes was not com- made.
pleted in the Athenian law courts, in the Greek Two of the four causes seem to be less dis-
interpretation of history, or in the early prac- cernible in nature than in art. The material and
tice of medicine. Causes. were also the pre- efficient causes remain evident enough. The
occupation of the pre-Socratic physicists. Their material cause can usually be identified ilS that
study of nature was largely devoted, ,to an anal- which undergoes the change-the thing which
ysis of the principles, elements, and causes of grows, alters in color, or moves from place to
change. Concerned with t4e problem of change place. The efficient cause is always that by
in general, not merely with human action, or which the change is produced. It is the
particular phenomena such as crime, war, or moving cause working on that which is sus-
disease, Greek scientists or philosophers, from ceptible to change, e.g., the fire heating the
Thales and Anaxagoras to Empedocles, Democ- water, the rolling stone setting another stone
ritus, Plato, and Aristotle, tried to discover the in motion.
causes involved in any change. Aristotle carried But the formal cause is not as apparent in
the analysis furthest and set a pattern for all nature as in art. Whereas in art it can be iden-
later discussions of cause. tified by reference to the plan in the maker's
mind, it must be discovered in nature in the
THE EXPLANATION OF a thing, according to change itself, as that which completes the pro-
Aristotle, must answer all of the queries "com- cess. For example, the redness which the apple
prehended under the question 'why.' " This takes on in ripening is the formal cause of its
question can be answered, he thinks, in at least alteration in color. The trouble with the final
four different ways, and these four ways of say- cause is that it so often tends to be inseparable
ing why something is the case constitute his fa- from the formal cause; for, unless some extrinsic
mous theory of the four causes. purpO&e' can be found for a natural change-
"In one sepse," he writes, "that out of which some end beyond itself which the change serves
a thing comes to be and which persists, is called -the final cause, or that for the sake of which
'cause'" -the material cause. "In another sense, the change took place, is no other than the
the form or the archetype" is a cause-the for- quality or form which the matter assumes as a
mal cause. "Again the primary source of the result of its transformation.
change or coming to rest" is a cause7"the effi-
cient cause~ "Again the end or 'that for the THIS SUMMARY of Aristotle's doctrine of the
sake of which' a thing is done" is a cause-the four causes enables us to note some of the basic
final cause. "This," he concludes, "perhaps ex- issues and shifts in the theory ofcilusation.
CHAPTER 8: CAUSE 157
The attack on final causes does not, at the whole of nature exhibits the working out of a
beginning at least, reject them complc;tely. divine plan 01: design.
Bacon, for example, divides natural philosophy Spinoza answers such questions negatively.
into two parts, of which one part, "physics, "Nature has set no end before herself," he de-
inquireth and handleth the material and effi- clares, and "all final causes are nothing but
cient causes; and the other, which is meta- human fictions." Furthermore, he insists, "this
physics, handleth the formal and final causes." doctrine concerning an end altogether over-
The error of his prejiecessors, of which he com- turns nature. For that whiCh is in truth the
plaills, is their failure to separate these. two cause it considers as the effect, and vice versa."
types of inquiry. The study of final causes is He deplores those who "will not cease from
inappropriate in physics, he thinks. asking the causes of causes, until at last you fly
"This misplacing," Bacon comments,.."hath to the will of God, the refuge of ignorance."
caused a deficiency, or at least a great impro~ Spinoza denies that God acts for an end and
ficiency in the sciences themselves. For the that the universe expresses a divine purpose.
handling of final causes, mixed with the rest in He also thinks. that final causes are illusory even
physical inquiries, hath intercepted the severe in the sphere of human action. When we say
and diligent inquiry of all real and physical that "having a house to live in was the final
causes, and given men the occasion to stay upon cause of this or that house/' we do no more than
these satisfactory and specious causes, to the indicate a "particular desire, which is:really an
great arrest and prejudice of further discov- efficient cause? and is considered as primary, be-
ery." On this score, hecharges Plato, Aristotle, cause men are usually ignorant of the causes of
and Galen with impeding the development of their desires."
science, not because ~'final causes. are not true, Though Descartes repl~es to Pierre Gassen-
and worthy to be inquired, being kept within di's arguments ~'on behalfof final causality," by
their own province; but because their excur- saying that they should "be referred to the
sions into the limits of physical causes hath bred efficient cause," his position more c.losely re-
a vastness and solitude in that tract." sembles that of Bacon than of Spinoza. When
Suchstatement~as "the hairs of the eyelids we behold "the uses of the various parts in
are for a quickset and fence about the sight," plants and animals," we may be led to admire
or that "the leaves of ~rees. are for protecting of "the God who brings these into existence," but
the fruit,"or that "the clouds are for watering "that does not imply," he adds, "thllt we can
of the earth," are, in Bacon's opinion, "imper- divine the purpose for which He made each
tinent" in physics. He therefore praises the thing. And although in Ethics, where it is often
mechanical philosophy of Democritus. It seems allowable to employ conjecture, it is at times
to him to inquire into the "particularities of pious to consider the end which we may con-
physical causes" better "than that of Aristotle jecture God set before Himself in ruling the
and Plato, wherl!of both intermingled final universe, certainly in Physics, where every-
causes, the one as a part of theology, the other thing should rest upon the securest arguments,
as a part of logic." it is futile to do so."
As Bacon's criticisms indi<;ate, the attack on The elimination of final causes from natural
final causes in nature raises a whole series of science l(!ads Descartes to: formulate Harvey's
questions. Does every natural. change serve discoveries concerning the motion of the heart
some purpose, either for the good of the chang- and blood in purely mechanical terms. :eut
ing thing or for. the order of nature itself? Is Harvey himself, as Boyle points out in his Dis-
there a plan, analogous to that of an artist, quisition About the Final Causes of Natural
which orders the parts of nature, and their ac- Things, interprets organic structures in terms of
tivi ties, to one another as means to ends? A their functional utility; and Boyle defends the
natural teleology, which attributes final causes soundness of Harvey's method-employing fi-
to everything, seems to imply that every nat- nal causes-against Descartes.
ural thing is governed by an indwelling form Guided as it is by the principle of utility or
working toward a definite end, and that the function, Harvey's reasoning about the circula-
158 THE GREAT IDEAS
tion of the blood-especially its venal and ar- explanation. Spinoza, in fact, claims that the
terial flow in relation to the action of the lungs reliance upon final causes "would have -been
-appeals to final causes. He remarks upon the sufficient to keep the human race in darkness
need of arguing from the final cause in his work to all eternity, if mathematics, which does not
on animal generation. "It appears advisable to deal with ends, but with the essences and prop-
me," he writes, "to look back from the perfect erties of forms, had not placed before us another
animal, and to inquire by what process it has rule of truth."
arisen and grown to maturity, to retrace our Nevertheless, the tendency to restrict causal-
steps, as it were, from the goal to the starting ity to efficiency-a motion producing a motion
place." - -gains headway. By the time Hume questions
Kant generalizes this type of argument in his man's ability to know causes, the term cause
Critique of Teleological /udgement."No one has signifies only efficiency, understood as the energy
ever questioned/' he says, "the correctness of expended in producing an effect. Hume's doubt
the principle that when judging certain things concerning our ability to know causes presup-
in nature, namely organisms and theirpossi- poses this conception of cause and effect, which
bility, we must look to the conception of final asserts that "there is some connection between
causes. Such a principle is admittedly necessary them, some power in the one by which it in-
even where we require no more than a guiding- fallibly produces the other." The identification
thread for the purpose of becoming acquainted of cause with the efficient type of cause becomes
with the character of these things by means of a commonly accepted notion, even among those
observation." Kant criticizes a mechanism who do not agree with Hume that "we are ig-
which totally excludes the principle of finality norant'. .. of the manner in which bodies oper-
-whether it is based on the doctrine of "blind ate on each other"; and that "their force and
chance" of Democritus and Epicurus, or the energy is entirely incomprehensible" to us.
"system of fatality" he attributes to Spinoza. The narrowing of causality to efficiency also
Physical science; he thinks, can be extended by appears in the doctrine, more prevalent today
the principle of final causes "without interfer- than ever before, that natural science describes,
ing with the principle of the mechanism of but does not explain-that it tells us how things
physical causality." happen, but not why. If it does not require the
scientist to avoid all reference to causes, it
THE TENDENCY -TO dispense with final causes does limit him to the one type of causality
seems to prevail, however, in the science of me- which can be expressed in terms of sequences
chanics and especially in the domain of inani- and correlations. The exclusion of all causes ex-
mate nature. Huygens, for example, defines cept the efficient tends furthermore to reduce
light as "the motion of some sort of matter." the causal order to nothing but the relation of
He explicitly insists that conceiving natural cause and effect.
things in this way is the only way proper to The four causes taken together as the suffi-
what he calls the "true Philosophy, in which cient reason for things or events do not as such
one conceives the causes of all natural effects in stand in relation to an effect, in the sense in
terms of mechanical motions." which an effect is something separable from and
Mechanical explanation is distinguished by externally related to its cause. That way of con-
the fact that it appeals to no principles except ceiving causation-as a relation of cause to
matter and motion. The material and the mov- effect-is appropriate to the efficient cause
ing (or efficient) causes suffice. The philosoph- alone. When the efficien t cause is regarded as
ical thought of the I 7th century, influenced by the only cause, having a power proportionate to
tha teen tury' s brillian t accomplishments in me- the reality of its effect, the very meaning of
chanics, tends to be mechanistic in its theory cause involves relation to an effect.
of causation. Yet, being also influenced by the In the other conception of causation, the
model and method of mathematics, thinkers causal order relates the four causes to one an-
like Descartes and Spinoza retain the formal other. Of the four causes of any change or act,
cause as a principle of demonstration, if not of the first, says Aquinas, "is the final cause; the
CHAPTER 8: CAUSE 159
reason of which is that matter does not receive and instrumental causes-become of great sig-
form, save in so far as it is moved by an agent, nificance in arguments, metaphysical or theo-
for nothing reduces itself from potentiality to logical, concerning the cause of causes-a first
act. But an agent does not move except from or ultimate cause. Aristotle's proof of a prime
the intention of an end." Hence in operation mover, for example, depends upon the proposi-
the order of the four causes is final, efficient, tion that there cannot be an infinite number of
material, and formal; or, as Aquinas states it, causes for a given effect. But since Aristotle
"first comes goodness and the end, moving the also holds that the world is without beginning
agent to act; secondly the action of the agent or end and that time is infinite, it may be won-
moving to the form; thirdly, comes the form." dered why the chain of causes cannOt stretch
back to infini ty.
THE THEORY OF causes, as developed by Aris- If time is infinite, a temporal sequence of
totle and Aquinas, proposes other distinctions causes reaching back to infinity would seem to
beyond that of the four causes, such as the dif- present no difficulty. As Descartes points out,
ference between the essential cause or the cause you cannot "prove that that regress to infinity
per se and the accidental or coincidental cause. is absurd, unless you at the same time show that
As indicated in the chapter on CHANCE, it is in the world has a definite beginning in time."
terms of coincidental causes that Aristotle Though it is a matter of their Jewish and Chris-
speaks of chance as a cause. tian faith that the world had a beginning in
A given effect may be the result of a number time, theologians like Maimonidesand Aquinas
of efficient causes. Sometimes these form a se- do not think the wodd'sbeginning can be
ries, as when one body in motion sets another in proved by reason. They do, however, think that
motion, and that moves a third; or, to take an- the necessity of a first cause can be demon-
other example, a man is the cause of his grand- strated, and both adopt or perhaps adapt the
son only through having begotten a son who argument of Aristotle which relies on the im-
later begets a son. In such a succession of causes, possibility of an infinite regression in causes.
the first cause may be indispensable, but it is The argument is valid, Aquinas makes clear,
not by itself sufficient to produce the effect. only if we distinguish between essential and
With respect to the effect which it fails to pro- accidental causes. "It is not impossible," he
duce unless other causes intervene, it is an ac- says, "to proceed to infinity accidentally as re-
cidental cause. In contrast, an essential cause is gards efficient causes .... It is not impossible
one which, by its operation, immediately brings for man to be generated by man to infinity."
the effect into existence. But, he holds, "there cannot be an infinite num-
Sometimes, however, a number of efficient ber of causes that are per se reqUired for a cer-
causes may be involved simultaneously rather tain effect; for instance, that a stone be moved
than successively in the production of a single by a stick, the stick by the hand, and so on to
effect. They may be related to one another as infinity." In the latter case, it should be ob-
cause and effect rather than by mere coinci- served, the cooperating causes are simultaneous
dence. One cause may be the essential cause of and so if there were an infinity of them, that
another which in turn is the essential cause of would not require an infinite time. The crux of
the effect. When two causes are thus simulta- the argument, therefore, lies either in the im-
neously related to the same effect, Aquinas calls possibility of an infinite number of simulta-
one the principal, the other the instrumental neous causes, or in the impossibili ty of an infinite
cause; and he gives as an example the action of number of causes related to one another as in-
a workman sawing wood. The action of the saw strumental to principal cause.
causes a shaping of the wood, but it is instru- 'Among causes so related, Descartes, like
mental to the operation of the principal cause, Aquinas, argues that there must be one first or
which is the action of the workman using the principal caUse. "In the case of causes which are
saw. so connected and subordinated to one another,
These two distinctions-between essential that no action on the part of the lower is possi-
and accidental causes and between principal ble without the activity of the higher; e.g., in
160 THE GREAT IDEAS
the case where something is moved by a stone, On the assumption that God created the
itself impelled by a stick, which the hand moves world in the beginning, it is,perhaps, easy
... we must go on until we come to one thing enough to see ~ith Augustine how "the creat-
in motion which first moves." But for Des- ing and originating work which gave being to
cartes, unlike Aquinas, this method of proving all natures, differs from all other types of causa-
God.as the first cause of all observable effects tion which cause motions or changes, or even
has less elegance than the so-called "ontological the generation of things, rather than their very
argument" in which the conception of God as existence." It may, however, be more difficult
a necessary being, incapable of not existing, to understand the creative action of God in re-
immediately implies his existence. lation to a world already in existence.
The argument from effect tocause is tradi- But a theologian like Aquinas explains that
tionally called a posteriori reasoning, in contrast "as long as a thing has being, so long must God
to a priori reasoning from cause to effect. Ac- be present to it" as the cause of its being-a
cording to Aristotle and Aquinas, the latter doctrine which Berkeley later reports by saying
mode of reasoning can only demonstrate the that this makes "the divine conservation ... to
nature of a thing, not its existence. Aquinas, be a continual creation." Aquinas agrees that
furthermore, does not regard the ontological "the conservation of things by God is not by a
argument as. a form of reasoning at all, but new action, but by the continuation of that
rather as the assenion that God's existence is action whereby He gives being." But in the
self-evident to us, which he denies. conservation of things Aquinas thinks that God
The various forms which these arguments acts through natural or created causes, \.Vhereas
take and the issue concerning their validity are in their initiation, being is the proper effect of
more fully discussed in the chapters on BEING, God alone.
GOD, and NECESSITY AND CONTINGENCY. But The dogma of divine providence also requires
here it is worth noting that Kant questions a theory of the cooperation of the first cause
whether the a posteriori method of proving with natural or secondary causes. Dante, in de-
God's existence really diff!!rs from the ontologi- scribing the direction which providence gives
cal argument. It is, according to him, not only to the course of nature, uses the image of a bow.
"illusory and inadequate," but also "possesses "Whatsoever this bow shoots falls disposed to
the additional blemish of an ignoratio elenchi- its foreseen end, even as a thing directed to its
professing to conduct us by a new road to the aim." That God governs and cares for all things
desired goal, but bringing us back, after a short may be supposed to reduce nature to a puppet
circuit, to the old pa,th which we had deserted show in which every action takes place in obe-
at its call." Hence the causal proof does not, in dience to the divine will alone. Natural causes
Kant's opinion, suc<:eed in avoiding the fallacies would thus cease to be causes or to have any
which he, along with Maimonides and Aquinas, genuine efficacy in the production of their own
finds in the ontological argument. effects.
Some theologians have tended toward this
THE ANALYSIS OF CAUSATION figures critically extreme position, but Aquinas argues contrari-
in the speculation of the theologians concerning wise that natural causes retain their efficacy as
creation, providence, and the government of instrumental causes, subordinate to God's will
the world. as the one. principal cause. "Since God wills
The dogma of creation, for example, requires that effects be because of their causes," he
the conception of a uniq.ue type of cause. Even writes, "all effects that presuppose some other
if the world always existed-a supposition effect do not depend solely on the will of God" ;
which, as we have seen, is contrary to Jewish and, in another. place, he says, "whatsoever
and Christian. faith but not to reason-the re- causes He assigns to certain effects, He gives
ligious belief in a Creator would re~in a belief them the, power to produce those effects ... so
in that unique cause without whose action to that the dignity of causality is imparted even to
preserve its being at every moment the world crea tures."
would cease to be. In addition to the role of divine causality in
CHAPTER 8: CAUSE 161
the regular processes of nature, still another and until the separation widens between the ex-
kind of divine causation is presupposed by the perimental and the philosophical sciences, the
religious belief in supernatural events, such as possibility of knowing causes is not generally
the elevation of nature by grace and the devia- doubted ..
tions from the course of nature which are called Galileo's exposition of the new mechanics
"miracles.". All these considerations, and espe- explicitly announces a departure from the tra-
cially the matter of God's miraculous interven- ditional interest of the natural philosopher in
tion in the regular course of nature, have been the discovery pf causes. The aim, he says in his
subjects of dispute among theologians and phi- Two New Sciences, is not "to investigate the
l()sophers (and sometime physicists and histo- cause of the acceleration of, natural motion,
rians). Some of those who do not deny the ex- concerning which various opinions have been
istence of a Creator, or the divine government expressed by various philosophers"; bu t ra ther
of the universe throl,lgh natural law, nevet:the- "to investigate and to demonstrate some of the
less question the need for divine cooperation properties of accelerated motion." The "var-
with the action of every natural cause, or God's ious opinions" about .causes are referred to as
intervention in the order of nature. "fantasies" which it is "not really worth while"
Throughout. these controversies, the theory for the scientist to examine.
of causes defines the issues and determines the This attitude toward causes, especially effi-
lines of opposing argument. But since other cient causes, characterizes the aim of mathe-
basic notions are also involved in the debate of matical physics, both in astronomy and me-
these issues, the further consideration of them chanics. For Newton it is enough-in fact, he
is reserved for other chapters, especially GOD, says, it "would be a very great step in philos-
NATURE,and WORLD. ophy" - "to derive two or three general prin-
ciples of motion from phenomena ... though
THE DIS~USSION OF CAUSE tlJkes anew turn in the causes of those principles were not yet dis-
modern times. The new issues arise, not from covered.And, therefore, I scruple not to pro-
different interpretations of the principle of pose the principles of motion . . . and leave
causality, but from the skeptic's doubts con- theiq:auses tobe found out." In other passages,
cerning our ability to know the causes of things, Newton disparages the search for "hidden or
and from the tendency of the physical sciences occult causes" as no part of the business of
to limit or even to aba,ndon the investigat~on of sCience.
causes. Hume goes further. He insists that all causes
According to the ancient conception of sci- are hidden. By the very nature pf what causes
ence, knowledge, to be scientific, must state the are supposed to be anckbecause of the manncr
causes of things. The essence of scientific meth- in which the human hund knows, man can
od, according to the Posterior Analytics of Aris- have no knowledge of how causes really pro-
totle, consists in using ~uses both to define and duce their effects. "We never can, by our ut-
to demonstrate: Sometimes genus and differ- most scrutiny," he says, "discover anything
entia are. translated into material and. formal but one event following another, without
cause; sometimes a thing is defined genetically being able .to comprehend any force or power
by refer~ncetoits efficientcause, and sometimes by whi~h the cause operates, or any connexion
teleologically by referen~e to its final cause. between it and its supposed effect."
The degree to which this conception of sci- All that men can be referring to when they
ence is realized in particular fields may be ques- use the words "cause" and "effect," Hume
tioned. The treatises of the astronomers, for thinks, is the customary sequence of "one ob-
example, do not seem to exemplify it as much ject followed by another, and where all objects
as do Aristotle's own physical treatises or Har- similar to the first are followed by objects simi-
vey's work on the circulation of the blood. Yet lar to the second." So far as any knowledge
until modern developments in mathematical based upon reason or experience can go, the
physics, the ascertainment of causes seems to be relation of cause and effect is simply one of
the dominant conception of the scientific task; succession, impressed upon the mind "by a
162 THE GREAT IDEAS
customary transition." That one event leads to contingency in the happenings of nature.
another becomes more and more probable-but Against Hume's reduction of statements about
never more than probable-as the sequence causes to probable opinion, Kant insists that,
recurs more and more frequently in experieoce. in the metaphysics of nature, such judgments
Hume's skepticism about causes, and his re- can be made with absolute certainty. These
interpretation of the meaning of cause, gains related issues are discussed in the chapters on
wide acceptance in subsequent thought, es- CHANCE, FATE, and NECESSITY AND CONTIN-
pecially among natural scientists. William GENCY.
James, for example, considering "the principle In the development of the natural sciences
that 'nothing can happen without a cause,' " since Bume's day, his translation 'Of cause and
declares that "we have no definite idea of what effect into observed sequences or correlations
we mean by cause, or of what causality consists reinforces the tendency, which first appears
in. But ,the principle expresses a demand for with Galileo and Newton, to describe rather
some deeper sort of inward connection between than to explain natural phenomena. Yet to th~
phenomena than their merely habitual time- extent that the findings of science bear fruit
sequence seems to be. The word 'cause' is, in in technology; man's control over nature seems
short, an altar to an unknown god; an empty to confirm Bacon's view of science rather than
pedestal still marking the place for a hoped-for Hume's-at least to the extent that the appli-
statue. Any really inward belonging-together cation of scientific knowledge to the production
of the sequent terms," he continues, "if dis- of effects implies a knowledge of their causes.
covered, would be accepted as what the word
cause was meant to Stand for." THE PRINCIPLE OF CAUSALITy-that nothing
Though Hume holds that we cannot pene- happens without a cause or sufficient reason,
trate beyond experience to the operation of or, as Spinoza puts it, "nothing exists from
real causes imbedded in the nature of things, whose nature an effect does notfollow"-has
he does not deny the reality of causation as a been made the basis for denials of human free-
principle of nature. On the contrary, he denies dom as well as of chance or contingency in the
that anything happens by chance or that any order of nature. The problem of man's free will
natural occurrence can be uncaused. "It is uni- is discussed in the chapters on FATE, LIBERTY,
versally allowed," Hume says with approval, and WILL, but we can here observe how the
"that nothing exists without a cause of its exist- problem is stated in terms of cause, with re-
ence, and that chance, when strictly examined, spect to both divine providence and natural
is a mere negative word, and means not any causation.
real power which has ~ywhere a being in na- If God's will is the cause of everything which
ture." But "though t1'lere is no such thing as happens, if nothing can happen contrary to His
chance in the world, our ignorance of the real will or escape the foresight of His providence,
cause of any event has the same influence on then how is man free from God's foreordination
the understanding, and begets a like species of when he chooses between good and evil? If, as
belief or opinion." the theologians say, "the very act of free choice
In other words, Hume's position 'seems to be is traced to God as to a cause," in what sense
that man's ignorance of real' causes, arid the can the act be called "free"? Is it not neces-
mere probability of his opinions about custom- sarily determined to conform to God's will and
ary sequences of "cause" and "effect," indicate to His plan? But, on the other hand, if "every-
human limitations, not limits to causal deter- thing happening from the exercise of free
mination in the'orderof nature itself. Adversar- choice must be subject to divine providence,"
ies of Hume, coming before as well as after must not the evil that men do be attributed to
him in the tradition of the great books, take God as cause?
issue with him on both points. The problem takes another form for the scien-
Against Hume's determinism, which is no tist who thinks only in terms of natural causes,
less complete than Spinoza's, Aristotle, for especially if he affirms a reign of causality in
example, affirms the existence of chance or real nature from which nothing is exempt-just as,
CHAPTER 8: CAUSE 163
for the theologian, nothing is exempt from God's give to these questions have profound conse-
will. Since the realm of nature includes human quences for man's view of himself, the universe,
nature, must not human acts be caused as are and his place in it. As the issue of necessity and
all other natural events? Are some human acts chance is central in physics or the philosophy of
free in the sense of being totally uncaused, or nature, so the issue of determinism and freedom
only in the sense of being caused differently is central in psychology and ethics, in political
from the motions ofmatter? Are causality and theory and the philosophy of history, and above
freedom opposed principles within the order of all in theology. It makes opponents of James
nature, appropriate to physical and psychologi- and Freud, of Hegel and Marx, of Hume and
cal action; or do they constitute distinct realms Kant, of Spinoza and Descartes, of Lucretius
-as for Kant, the realms of phenomena and and Marcus Aurelius. It raises one of the most
noumena, the sensible and the supra-sensible; perplexing of all theological questions for Au-
or as for Hegel, the realms of na ture and gustine, Aquinas, Pascal, and for the two great
history ? poets of God's will and man's freedom-Dante
The different answers which the great books and Milton.
OUTLINE OF TOPICS
PAGE
I. The general theory of causation
la. The kinds of causes: their distinction and enumeration
lb. The order of causes: the relation of cause and effect
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-283] 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology,116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halves of the right hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 16, and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers. in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-283112d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" 'calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES (.
For: The consideration of cause in relation to principle and element, see ELEMENT 2; PRINCIPLE la.
The distinctionbttween necessary and contingent causes, and for the conception of chance
in relation to cause, see CHANCE la-rb; NATURE 3c-3c(I); NECESSITY AND CONTINGENCY
3a-3c.
The issue concerning determinism in nature or history, see FATE S-6; HISTORY 4a(r);
MECHANICS 4c(I);NATURE 2f, 3C(2). .
Other discussions of the controversy concerning causality and free will, and of the pr~blem
of man's freedom in relation to God's will, see FATE 2,4; HISTORY 4a(I); LIBERTY 4a-4b,
sa, Sd; WILL sa(3)-sa(4), Sb(2),SC, 7c.
The theory of divine ((ausality in creation, providence, and the performance of miracles, see
ASTRONOMY Sd; GOD sa, 7a-7e; MATTER 3d; NATURE 3C(4); WORLD 4b, 4d-4e.
The role of ends or final causes in the order of nature and the structure of the universe, see
DESIRE I; GOD Sb: NATURE 3C(3); WORLD I C, 6c; and for the general theory of means and
ends, see GOOD AND EVIL 4b, sc; JUDGMENT 3; PRUDENCE 3a, 4b; WILL 2C(2)-2C(3).
The discussion of cause as anobject of knowledge and in relation to the methods and aims of
philosophy, science, and history, see ASTRONOMY 3a-3b; DEFINITION 2d: HISTORY 3b;
KNOWLEDGE sa(3): MECHANICS 2C; PHYSICS 2b: REASONING Sb(4)-:-Sb(s): SCIENCE Ib(I),
4C'
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with .which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
I. II.
AQUINAS. Summa Contra Gentiles, BK III, CH 1-16, SEXTUS EMPIRIC US. Outlines of Pyrrhonism, BK III,
64-83, 88-98 CH 1-20
DESCARTES. The Principles of Philosophy, PART I, 28 - - . Against the Physicists, BK I (Concerning Cause
HOBBES. Concerning Body, PART II, CH 9 and the Passive)
HUME. A Treatise of Human Nature, BK I, PART III, PROCLUS. The Elements of Theology, (B,G,I)
SECT II-IV, XV MAIMONIDES. The Guide for the Perplexed, PART I,
BERKELEY. Siris CH 69; PART II, CH 48
KANT. Metaphysical Foundations of Natural DUNS SCOTUS. Tractatus de Primo Principio (A
Science, DIV III Tract Concerning the First Principle)
GIBBON. An Essay on the Study of LiteratUTe, XLVIII- BRUNO. De la causa, principio, e uno
LV, LXXVIII-LXXXII SUAREZ. Disputationes Metaphysicae, XI (3), XII-
HEGEL. Science of Logic, VOL I, BK II, SECT I, CH 3; XXVII,XXIX,XXXI (8-10), XXXIv(6-7) ,XLVIII (I)
SECT III, CH 3(B); VOL II, SECT II, CH 3 JOHN OF SAINT THOMAS. Cursus Philosophicus Tho-
J. S. MILL. A System of Logic, BK III, CH 4-6, !lIO, misticus, Philosophia Naturalis PART I, QQ 10-13,
15,21 25-26
- - . An Examination of Sir William Hamilton's BOYLE. A Disquisition About the Final Causes of
Philosophy, CH 16 Natural Things
FREUD. The Psychopathology of Everyday Lift, CH 12 MALEBRANCHE. De la recherche de la verite, BK VI(II),
W. JAMES. Some Problems of Philosophy, CH 12-13 CH 3; Eclaircissement 15
178 THE GREAT IDEAS
MALEBRANCHE. Dialogues on Metaphysics and Reli. FRAZER.The Golden Bougll, PART I, CH 3
gion,
VII PEARSON. The Grammar of Science, CH 4
LEIBNITZ. Discourseon Metaphysics, XV-XXII BRADLEY. The Principles of Logic, BK In, PART II,
- - . New Essays Concerning Human Understanding, CH 2
BK II, CM 26 - - '. Appearance and Reality, BK I, CH 6
VOLTAIRE. Candide BOSANQUET. Science and Philosophy, 8
- - . "Change or Generation of Events," "Final BERGSON. Creative Evolution
Causes," in A Philosophical Dictionary BROAD. Perception, Physics, and Reality, CH 1-2
T. REID. Essays on the Active Powers of the Human HENDERSON. The Order of Nature
Mind, I W. E. JOHNSON. Logic, PART III, CH 3-1 I
SCHOPENHAUER. On the Fourfold Root of the Princi MEYERSON. Identity and Reality, CH I
pie of Sufficient Reason - - . De l' explication dans les sciences
- - ; The World as Will and Idea, VOL III,SUP, CH DUCASSE. Causation and the Types of Necessity
26; APPENDIX WHITEHEAD. An Enquiry Concerning the Principles of
BROWN. An Inquiry into the Relation of Cause and Natura/Knowledge, CH 16 _
Effect - - . Symbolism,' Its Meaning and Effects
- - . Lectures on the Philosophy ofthe Human Mind, EDDINGTON. The Nature of the Physical World,
VOL I, pp 189""220; VOL II, pp I28-I34 CH 14
COMTE. The Positive Philosophy, INTRO, CH I; BKIn, McTAGGART. The Nature, of Existence, CH 24-26
CH I SANTAYANA. The Realm of Matter, CH 7
W. HAMILTON. Lectures on Metaphysics and Logic, M. R. COHEN. Reason and Nature, BK I, CH 4(2);
VOL I (38-40) BK II, CH 2
WHEWELL. The Philosophy of the Inductive Sciences, LENZEN. The Nature of Physical Theory, PART IV,
VOL I, BK III, CH 1-4; BK IX, CH 6; BK x, CH 5; VOL CH 16
II, BK XI, CH 7 WEYL. The Open World, LECT II
HELMHOLTZ. Popular Lectures on Scientific Subjects, MARITAIN. A Preface to Metaphysics, LECT V-VII
VIII A. J. TOYNBEE. A Study of History
WUNDT. Die Prinzipien tier mechanischen Naturlehre PLANCK. Where Is Science Going?, CH 4-5
J EVONS.The Principles of Science, CH I I - - . The Philosophy of Physics, CH 2
LOTZE. Logic, BK I, CH 2 (B) DEWEY. Logic, the Theory of Inquiry, CH 22
P. A. JANET. Final Causes B. RUSSELL. Principles of Mathematics, CH 55
C. S. PEIRCE. Collected Papers, VOL VI, par 66-87, -'- . Our Knowledge of the External World, VIII
393-394 - - . Mysticism and Logic, CH 9
DOMET DE VORGES. Cause e.Jficiente et cause finale - - . The Analysis of Matter, CH 3 0 -3 1 , 35
WATTS. The Reign of Causality - - . Human Knowledge, Its Scope and Limits,
VENN. Principles of Empirical or Inductive Logic, CH 2 PART IV, CH 9-10; PART VI, CH 5-6
Chapter 9: CHANCE.
INTRODUCTION
O NE sense in which we use the word
"chance" does not exclude the operation
The swerve of the atoms, according to Lu-
cretius, accounts for the origin of the world,
of causes. The chance event, in this sense, is the motions of nature, and the free will of man.
not uncaused. But 'within this meaning of But nothing accounts for the swerve of the
chance, there is the question of how the chance atoms. It is uncaused, spontaneous, fortuitous.
event is caused. "When the atoms are being carried downwards
On one view, what happens by chance is dis- straight through the void by their own weight,
tinguislied from what happens by nature in they push a little from their path at times quite
terms of ~ difference in manner of causatioh- undetermined and at undetermined places,
the difference between the contingent and the yet only just so much as you would call a
necessary. On another view, the chance event change of trend. If they did not swerve, all
does not differ causally from that which hap- things would fall downward through the deep
pens regularly or uniformly. The difference lies void like drops of rain, nor could collision come
not in the pattern of causes, but in our knowl- to be, nor blows be brought to pass among the
edge of them. The chance event is unpredict- atoms; thus nature would never have brought
able or less predictable because of our ignorance anything to being."
of its causes, not because of any real contingency Since the atoms differ in shape, size, and
in the order of nature. weight, it might be supposed that the heavier
There is still a third sense of "chance" in atoms, falling straight yet more rapidly, would
which it means that which happens totally overtake and hit the lighter atoms, thus bring-
without cause-the absolutely spontaneous or ing about their grouping or interlocking. But
fortuitous. . . this supposition, says Lucretius, is contrary to
These three meanings of chance at once in- reason. It may hold for things falling through
dicate the basic issues in which the concept is water or thin air, but through the empty void
involved. The third meaning is the most radi- "all things, even of unequal weight, move with
cal. It stands in opposition to the other two. an equal velocity through the unresisting void."
Their opposition to one another can be con- Therefore heavier things will never be able to
sidered after we examine the sense in which fall on the lighter from above nor of themselves
chance excludes every tyPe of cause. bring about the blows sufficient to produce the
varied motions by which nature carries things
THE DOCTRINE OF absolute fortuitousness IS on. Wherefore, Lucretius concludes, the atoms
indeterminism in its most extreme form. The "must swerve a little."
familiar phrase, "a fortuitous concourse of Once the atoms have collided, the way in
atoms," indicates the classical statement of which they are locked together in the patterns
this doctrine, and identifies it in the great books of composite things, and all the subsequent nlo-
with the theory of atomism. It would be more tions of these things, can be accounted for by
precise to say "with Lucretius' version of that reference to the natural properties of the atoms.
theory," because it is with regard to chance The atomic sizes, shapes, and weights determine
that he departs from the teachings of Democ- how they behave singly or in combination. But
ritus and Epicurus, and adds an hypothesis of the swerve of the atoms is not so determined.
his own. . . It is completely spontaneous.
179
180 THE GREAT IDEAS
"If each motion is always due to another, and accidents happen. The chance meeting of old
the new always springs from the old in a deter- friends who run across each other in a railroad
mined order, and if the atoms do not byswerv- station after a separation of many years is a
ing break through the decrees of fate, so that . coi'ncidence-a coinciding of the two quite
cause does not follow cause through infinite separate and independent lines of action which
time"; whence, llsks Lucretius, "is it wrested brought each of tl).em to the same station at
from fa te, this will whereby we move forward the same time, coming from different places,
where pleasure leads each one of us, and swerve going to different places, and proceeding un-
likewise in our motions, neither at a fixed time der the influence of different causes or pur-
nor at a fixed place, but only when and where poses. That each is there can be explained by
thl! mind itself has prompted us?" The anSwer the operation of causes. That both are there
he gives is that there must be "in the atoms ... together cannot be explained by the causes
another cause of motion .besides blows and determining their independent paths.
weights, whence comes this power born in us, So understood, the chance event exemplifies
since we see that nothing can come to be from what Aquinas calls a "clashing of two causes."
nothing." And what makes ~t a matter of chance is the
fact that "the clashing of these two causes, in~
BEING ABSOLUTELY fortuitous, the swerve of asmuch as it is accidental, has no cause." Pre-
the atoms is absolutely unintelligible. There is cisely be~ause it is accidental, "this dashing of
no ans\Ver to the question why they chance to causes is not to be reduced to a further pre-ex-
swerve at undetermined times and places. This isting ca1,lse from which it follows of necessity."
unintelligibility may not, Jtowever, make the The illustration is not affectedlly comidera-
fortuitous either unrear or impossible. It can tions of free will. Whether men have free will
be argued that chance may exist even though, or not, whether free acts are caused or are, as
for our limited understanding, it remains mys- Kant suggests, uncaused and spontaneous, the
terious. . event we call a "chimce meeting" remains acci-
The same problem of intelligibility arises dental or, more precisely, a coincidence. What-
with respect to that meaning of chance wherein ever the factors are which control the motions
it is identified with coincidence or contingency. of each m<J.n, they operate entirely within that
Here, as in .the case of the absolutely fortuitous, single man's line of action. Prior to the meeting,
chance belopgs .to reality or nature. "Some they do not influence the other man's conduct.
things always come to pass in the same way, and I( we could state the cause for the coincidence
others for the most part," writes Aristotle as an of the two lines of motion, it would have to be
observer of nature, but there is also "a third some factor which influenced both lines. Were
class of events besides these two-events which there such a cause and were it known to us, we
all say are. 'by chance.' " Things of tJtis last could not say that the meeting happened by
kind, he goes on to say, are thqse.which "CtllDe chance. it would still be a coincidence in the
to pass incidentally"-or accidenta~y; . merely physical sense of coming together, but
According to this theory, a real or objective it would not be a coincidence causally.
indeterminism exists. Chance or contingency is That free will is irrelevant to this meaning of
not just an expression of human u~certainty chance can be seen from the fact that the col-
born of insufli,cient knowledge. Contingency, lision of particles whic,hproduces atomic fission
however, differs from the fortuitousness or is regarded as resul~ing from chance or coinci-
spontaneity of the atom's swerve, in that it is dence in a manner no different from the acci-
a product of .c~uses, not their total absence. dental meeting of friends. Causes control the
Of the contingent event, "there is no definite speeds and directions of the colliding particles,
cause," in Aristotle's opinion, but there is "i. put no cause determines their collision; or, in
chance cause, i.e., an indefinite one." other words, there is no cause for the coinci-
In the,chance happening, two lines of action dence of two separate lines of cau~tion. Con-
coincide and thereby produce a.single result. temporary physics affirms a real or oqjective
This is our ordinary understanding of the way indeterminism insofar as it does not merely say
CHAPTER 9: CHANCE 181
that the cause of the coincidence is unknown A world in which chance really exist~ is re-
to us, but rather holds that-no such cause exists markably different from a world in which neces-
to be known. sity prevails, in which everything is determined
by causes and there are no uncal.1sed coinci-
THlE .COj)/CEPTION OF THE .chance event as an dences. WilliamJiunes vividly epitomizes their
u~caused coincidence of causes is an ancient as difference by calling the world of absolute ne-
well as a modern doctrine. In his Physics, Aris- cessity or determinism::;-the .world of Spinoza
totle distinguishes between what happens by or Hegel-a "block universe" in contrast to
natllfe and wha,t happens by chance in terms of what he describes as a "concatenated universe."
different types of causality. "Chance," he Voltaire before him, in his Philosophical Dic-
writes, is "reckoned among causes; many things tionary, had used t~e phrase "the concatenation
are said both to be and .to come to be as a result of events" to express the meaning of chance.
of chance." But the fact that its. effects cannot The phrase evokes the right image, the pic-
be "identified with any of the things that come ture of a world in which many concurren t lines
to pass by necessity and always, or for the most of causality, exercising no influence upon one
part" at once distinguishes the causality of another, may nevertheless concatenate or be
chance from that of nature. joined together .to produce a chance result.
"The early physicis~s," Aristotle observes, The block universe presents the contrasting pic-
"found no place for chance among the causes ture of a world in which each motion or act de-
which they recognized ... Others there are termines and is determined by every other in
who, indeed, believe that chance is a cause, but the fixed structure of the whole.
that it is inscrutable to human intelligence, as Spinoza claims, for example, that "in nature
being a divine thing and full ofmystery. "But to there is nothing contingent, but all things are
Aristotle himself "it is clear that chance is an determined from the necessity of the divine
incidental cause" and "that the causes of what nature to exist and act in a certain manner."
comes to pass by chance are infinite." For this Chance, in other words, dees not exist in nature.
reason, h\! explains, "chance is supposed to be~ A thing is said to be contingent, Spinoza writes,
long to the class of the ind!=finite, and to be in- only "with reference to a deficiency in our
scrutable to man." Though he distinguishes be- knowledge. For if we do not know that the es-
tween spontaneity and chance, he says that both sence of a thing involves a contradiction, or if
"are causes of effects which, though they might we actually know that it involves no contra-
resultfrominteUigence or nature, have in fact diction, and nevertheless we can affirm nothing
been caused by something incidentally." with certainty about its existence because the
What happens by nature happens regularly, order of causes is concealed from us, that thing
or for t,he most part, through causal necessity. can never appear. to ~s either. as necessary or
This necessity results from the operation of es- impossible, and therefore we call it either con-
sential causes, causes in the very nature of the tingent or possible." Hence, for Spinoza, con-
moving things. When the regularity fails, it is tingency or chance is illusory rather than real
due to the intervention of some accidental -a projection of the mind's ignorance or of its
cause.. What happens by chance, then, or con- inadequate knowledge of causes.
tingently, is always due to an accidental (or The issue between real indeterminism and
better, incidental) cause. As indicated in the absolute determinism-further discussed in the
chapter on CAUSE, an .accidental as opposed to chapters on FATE and NECESSITY AND CON-
an essential cause is, in Aristotle's theory, one TINGENCy-inevitably raises theological ques-
which does not by itselfproduce the given effect. tions. Just as the theologian must reconcile
It dees so only through the conjunction of other man's free will with God's predestination, so
causes. But since it does not determine these must he, if he accepts its reality, also reconcile
other causes to operate, the effect-contingent chance with divine providence, apart from
on their combined activity-is produced by which nothing can happen either necessarily
chance, that is, by the contingency of several or contingently.
incidental causes working coincidentally. For Augustine it would seem that divine
182 THE GREAT IDEAS
providence leaves no room for chance among nature where no natural causes determine the
natural things; After rioting that 'causes are coincidence, while not real-'-at least not in the
sometimes divided into a'''fortuitous cause, a same sense-for God? Or does the statement
natural cause, and a voluntary cause," he dis' that what "divine providence plans to happen
misses "those causes which an! called fortui- contingently. happens contingently" mean that
tous" by saying that they "are riot a mere name chance remains a real feature of the universe
for the absence of cause~, but are only latent, even for God?
and we attribute them either to the will of the One thing is clear. In one sense of the word,
true God, or to that of spiri'ts of some kind or the Christian theologians completely deny
other." chance. If "chance" means something which
In 'certain places Aquinas seems to talk in God does not foresee, something unplanned
much the same fashion-as though chance by His providence, then according to their
existed only for our limited intellects and not faith nothing happens by chance. It is in this
for God. "Nothing," he deciares, "hinders sense also that what happens by chance is
certain things from happening by luck or opposed to what happens on purpose; or has a
chance, if compared to their proximate caUSes; final as well as an efficient cause. As the chapter
but not if compared to divine providence, ac- on CAUSE indicates, those who deny final causes
cording to which 'nothing happens at random in nature sometimes use the word "chance" to
in the world,' as Augustine says."'The example signify not lack of cause, nor even contingency,
he uses to illustrate his point inhat of two serv- but only the blindness of causality-working
ants who have been sent by their master to the to"noend.
same place: "the meeting of the two servants, The controversy discussed in the chapter on
although to them it appears a chance circum- WORLD-between those who see in the struc-
stance, has been fully foreseen by their master, ture of the universe the grand design of a di-
who'has purposely sent "them to meet at one vine plan and those who attribute whatever
place;'in such a way that one has no knowledge order there is in nature to blind chance-further
of the other." In such a way alsO "all things indicates the sense in which theologians like Au-
must of necessity come under God's ordering," gustine and Aquinas deny" chance. But if
from which it follows that God directly causes "chance" means no more than contingency, then
the action of even accidental causes, and their to affirm chance excludes, not providence, but
coincidence. The chance event would then be fate, at least that sense of "fate" according to
necessitated by God. It would be determined which everything is blindly necessitated. Here
by His will, however indeterminate it might ap- it is Spinoza's statement that "in natuie there
pear'to us. is nothing contingent, but all things are de-
Yet iri other places Aquinas writes that "(;od termined from the riecessity of the divine na-
wills some things to be done necessarily, some ture" which opposes the statement of Aqui-
contingently .... To some effects He has'at- nas that "the mode both of necessity and con-
tached unfailing necessary causes, from which tingency falls under the foresight of God."
the effects follow necessarily; but to other
defectible and contingent causes, from which THE THEORY OF chance has obvious bearings on
"effects arise contingently." For some minds the theory of knowledge, especially with regard
this may only deepen the mystery rather than to the distinction between knowledge and opin-
solve it. At least it leaves many questions un- ion and between certainty and probability.
answered. On any vie\\'of chance-whether it is real or
Does Aquinas mean that a coincidelll'e of illusory-when men call a future event con-
causes is not itself uncaused? Does he mean that tingent they mean that they cannot predict it
God causes the concatenation of events, and with certitude. So far as human prediction goes,
that a sufficient reason for every contingency it makes no difference whether the future event
exists in God's will? If so, is chance an illusion, is necessarily determined and we lack adequate
a function of our ignorance of divine provi- knowledge of its causes. or the event has a gen-
dence? May chance be quite real on the level of uine indeterminacy in the way it is caused or
CHAPTER 9: CHANCE 183
uncaused. Regardless of what the objective comparison. To the question "whether our
situation is, the assurance with which we pre- intellect can know contingent things," he re-
dict anything reflects the state of our knowl- plies that "the contingent, considered as such,
edge about it. is known directly by sense and indirectly by
The ancients who, for the most part, regard the intellect, while the universal and necessary
chance as real and objective, treat probability principles of contingent things are known by
as subjective. For them, the different degrees of the intellect. Hence," he goes on, "if we con-
probability which men attach to their state- sider knowable things in their universal prin-
ments measure the inadequacy of their knowl- ciples, then all science is of necessary things.
edge and the consequent uncertainty of their But if we consider the things themselves, thus
opinions about matters which cannot be known some sciences are of necessary things, some of
but only guessed. Holding different theories con tingen t things."
of the distinction between knowledge and Among the sciences of contingent things,
opinion, both Plato and Aristotle exclude the Aquinas includes not only "the sciences of na-
accidental and the contingent, along with the ture" but also "the moral sciences," because the
particular, from the objects of science. Since in latter, dealing with human action, must reach
their view certitude belongs to the essence of down to contingent particulars. In the sphere
science-or of knowledge as. contrasted with of morals as of na ture, certainty can be achieved
opinion-science for them deals not only with only on the level of universal principles. De-
the universal but with the necessary. liberation about particular acts to be done
In the Republic Socrates assigns opinion to moves on the level of probable opinion. In con-
the realm of becoming-the realm of changing trast to the moral scientist, the man of action
and contingent particulars. Unlike Plato, Aris- must weigh chances and make decisions with
totle does not restrict knowledge to the realm of regard to future contingencies. It would be as
eternal and immutable being, but he does in- foolish, Aristotle says, to expect the certitude
sist that physics, as a science of changing things, of scientific demonstration from an orator or a
preserve the certitude of science by concerning judge, as "to accept probable reasoning from a
itself only with the essential and the necessary. mathematician. "
"That a science of the accidental is not even
possible," he writes, "will be evident if we try IT IS NOT SURPRISING that the modern theory of
to see what the accidental really is." It is a rnat- probability-or, as it was later called by Boole,
terof chance that cold weather occurs during the Venn, and others, the "logic of chance"-
dog-days, for "this occurs neither always and should have its origin in the sphere of practical
of necessity, nor for the most part; though it problems. Pascal's correspondence with Fermat
might happen sometimes. The accidental, then, illustrates the early mathematical speculations
is what occurs, but not always nor of necessity, concerning formulae for predicting the out-
nor for the most part. Now. ... it is obvious come in games of pure chance. For Pascal the
why there is no science of such a thing." logic of chance also has moral implications. If
Though he disagrees with Aristotle and we are willing to risk money at the gaming
Aquinas about the reality of chance or con- table on the basis of calculated probabilities,
tingency, Spinoza agrees with them that knowl- how much more willing should we be to act
edge-at least adequate knowledge-has the decisively in the face of life's uncertainties,
necessary for its object. Of individual things, even to risking life itself on the chance of eternal
he says, "we can have no adequate knowledge salvation.
... and this is what is to be understood by us as When we act "on an uncertainty, we act
their contingency." To be true to itself and to reasonably," Pascal writes, "for we ought to
the nature of things, reason must "perceive work for an uncertainty according to the doc-
things truly, that is to say, as they are in them- trine of chance." If the chance of there being
selves, that is to say, not as contingent but as an after-life is equal to the chance of there
necessary. " being none-if the equiprobability reflects our
The position of Aquinas is worth stating for equal ignorance of either alternative-then,
184 THE GREAT IDEAS
Pascal argues, we ought to wager in favor of Humeasserts, "is the same with the probability
immortality and act accordingly. "There is of causes, as with that of chance."
here the infinity of an infinitely happy life to Since Hume'sday, the theory of probability
gain, a chance to gain against a finite number of has become an essen tial ingredient of empirical
chances of loss, and what you stake is finite." science. The development of thermodynamics
Like Pascal, Hume thinks that we must be in the 19th century would have been impossible
content with probability as a basis for action. without it. This is also true of the quantum
"The great subverter of Pyrrhonism or the ex- mechanics and atomic physics of our own time;
cessive principles of skepticism," he writes, "is But like the doctrine of chance, the theory of
action, and employment, and the occupations probability tends in one of two directions:
of common life." But unlike the ancients, either toward the subjective view that proba-
Hume also thinks we should be content with bility is only a quality of our judgments, meas-
probabilities in the sphere of the natural sci- uring the degree of our ignorance of the real
ences. Certitude is attainable only by the causes which leave 'nothing in nature unde-
mathematician who deals with' the relations be- termined; or toward the objective view that
tween ideas. Since the. na tural sciences deal there is genuine indeterminism in nature and
with matters of fact or real existence, and since that mathematical calculations of probability
to know such things we must rely entirely upon estimate the real chance of an event's occurring.
our experience of cause and effect, we cannot
reach better than probable conclusions. THE ELEMENT OF chance also has a bearing on
The scientist, according to Hume, "weighs the general theory of art. The hypothesis of the
opposite,experiments. He considers which side melody which a kitten might compose by walk-
is supported by the greater number of experi- ing on the keyboard, is obviously intended to
ments; to that side he inclines, with doubt and contrast a product of chance with a work of
hesitation; and when at last he fixes his judg- art. The competent musician knows with
ment, the evidence exceeds not what we prop- certainty that he can do what the meandering
erly call probability. All proQability, then, sup- kitten has only one chance in many millions
poses an opposition of experiments and observa- of ever accomplishing.
tions ... A hundred instances or experiments In proportion as an art is developed, and to
on one side, and fifty on another; afford a the degree that its rules represent a mastery of
doubtful expectation of any event; though a the medium in which the artist works, chance
hundred uniform experiments, with only 'one is excluded from its productions. This point is
that is contradictory, reasonably beget a pretty strikingly exemplified in the history of medi,
strong degree of assurance." cine. "If there had been no such thing as medi-
Hume applies the logic of chance to weighing cine," Hippocrates suggests, "and if nothing
the evidence against and the testimony in had been investigated or found out in it," all
favor of miracles, as well as to contraryhy- practitioners "would have been equally un-
potheses in science. As much as Spinoza, he skilled and ignorant of it, and everything con-
denies the existence of chance or contingency cerning the sick would have been directed
in the order of nature. Chance is entirely sub- by chance.',' On the same principle, Galen dis-
jective. It is identical with the probability of tinguishes the physician from the empiric, who,
our opinions. In the throw of dice, the mind, he "without knowing the cause," pretends that he
says, "considers the turning up of each particu- is ''able to rectify the failures of function."
lar side as alike probable; and this is the very The empiric works by trial and error-the very
nature of chance;, to render all the particular opposite of art and science, for trial. and error
events, comprehended in it, entirely equaL" can succeed only by: chance. The physician,
But there may also be "a probability, which learned and skilled in medicine, works from a
arises from a superiority of chances on any side; knowledge of causes and by rules of art which
and according as this superiority increases, and tend to eliminate chance.
surpasses the opposite chances, the probability Augustine reports a conversation with the
receives a proportionate increase ... The case," proconsul concerning' the relative merits of
CHAPTER 9: CHANCE 185
medicine and astrology. When the proconsul that fortune, unlike chance, receives personifi-
tells him that, as compared with medicine, cation in myth and legend. Fortune is a goddess
astrology is a false art, Augustine, at this time or, like the Fates whom she combats, a power
himself "much given to the books of the horo- with which even the gods must reckon.
scope-casters," asks how the fact that "many The doctrine of chance or fortune occupies
things were foretold truly by [astrology]" can be an important place in moral theory. Aristotle's
explained. The proconsul "answered, very rea- classification of goods tends to identify external
sonably, that it was due to the force of chance, goods with goods of fortune-the goods which,
which is always to be allowed for in the order of unlike knowledge and virtue, we cannot ob-
things." Thus, Augustine says later, "1 saw it tain merely by the exercise of our will and
as obvious that such things as happened to be faculties. Considering the elements of happi-
said truly from the casting of horoscopes were ness, Aquinas groups together wealth, honor,
true not by skill but by chance; and such things fame, and power as goods of the same sort be-
as were false were not due to want of skill in the cause they are "due to external causes and in
art but merely that luck had fallen the other most cases to fortune."
way." The goods of fortune, as well as its ills, con-
Neither art itself, nor skill in its practice, sist in things beyond man's power to command
can ever be perfect enough to remove chance and, in consequence, to deserve. Recognizing
entirely, for the artist deals with particulars. the unpredictable operation of fortune, Epicte-
Yet the measure of an art is the certainty which tus, the Stoic, argues that "we must make the
its rules have as directions for achieving the de- best of those things that are in our power, and
sired result; and the skill of the artist is meas- take the rest as nature gives it." We have "the
ured by the extent to which he succeeds by power to deal rightly with our own impres-
rule and judgment rather than by chance. sions." Hence the Stoics advise us to control our
When Aristotle quotes Agathon's remark that reactions to things even though we cannot con-
"art loves chance and chance loves art," he ex- trol the things themselves. Yet men will always
plains its sense to be that "chance and art are ask, as Hamlet does, "Whether 'tis nobler in
concerned with the same objects"-that which the mind to suffer the slings and arrows of out-
does not come to be by nature nor from neces- rageous fortune, or to take arms against a sea of
sity. Hence art sometimes fails, either from un- t rou bles, and by opposing end them?"
controllable contingencies or from insufficient The fact that the goods and ills of fortune are
knowledge of causes. "All causes," says Hume, beyond our power to control raises the fur-
"are not conjoined to their usual effects with ther question of man's responsibility regarding
like uniformity. An artificer, who handles only them. We can hardly be held responsible for
dead matter, may be disappointed of his aim, as everything that happens to us, but only for
well as the politician, who directs the conduct those things which are subject to our will.
of sensible and intelligent agents." This traditional moral distinction between the
good or evil which befalls us by fortune and
IN THE REALM OF human affairs-in morals, that which we willfully obtain or accomplish,
politics, and history-the factor of chance is parallels the legal distinction between acciden-
usually discussed in terrns of good and bad for- tal and intentional wrongdoing.
tune. The word "fortune"-as may be seen in What is true of the individual life seems to
the root which it shares with "fortuitous"- apply to history- the life of states and the de-
has the same connotations as "chance." Aris- velopment of civilization generally. For the
totle treats fortune as the kind of chance that most part, the historians-Herodotus and
operates in the sphere of human action rather Thucydides, Plutarch, Tacitus, and Gibbon-
than natural change. Fortune, he thinks, can find fortune a useful principle of interpretation.
be attributed properly only to intelligent be- To Machiavelli history seems to be so full of
ings capable of deliberate choice. The sense of accidents and contingencies-"great changes in
this distinction between chance and fortune affairs ... beyond all human conjecture"-
seems to be borne out in history by the fact that he tries to advise the prince how to make
186 THE GREAT IDEAS
use of fortune in order to avoid being ruined by shall not be obliged to have recourse to chance
it. Such advice can be followed because, in his for an explanation of those small events which
opinion, "Fortune is the arbiter of one half of made these people what they were, but it will
our actions, but still leaves us to direct the be clear that all those small events were inevi-
other half, or perhaps a little less." table."
Hegel, on the contrary, does not admit chance As the contingent is opposed to the neces-
or fortune in his view of world history as a sary, as that which happens by chance is op-
"necessary development out of the concept of posed to that which is fully determined by
the' mind's freedom alone." For Tolstoy also, causes, so fortune is opposed to fate or destiny.
either necessity or freedom rules the affairs of This opposition is most evident in the great
men. Chance, he writes, does "not denote any poems, especially the tragedies, which depict
really existing thing," but only "a certain stage man's efforts to direct his own destiny, now
of understanding of phenomena." Once we pitting his freedom against both fate and for-
succeed in calculating the composition of forces tune, now courting fortune in his struggle
involved in the mass movements of men, "we against fate.
OUTLINE OF TOPICS
PAGE
I. The conception of chance
I a. Chance as the coincidence of causes
rb. Chance as the absolutely fortuitous, the spontaneous or uncaused
3. Chance, necessity, and design or purpose in the origin and structure of the world 189
4. Cause and chance in relation to knowledge and opinion: the theory of probability
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK " [265-283jI2d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SE'CTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halvesof the page. Forexample, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 16~ and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in. brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-'283112d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James'version is cited first and the Douay, indicated by a (D), follows; e.g:, OLD TESTA-
MENT: Nehemiah. 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: Other discussions of the issue of determinism and chance, see FATE 3,5-6; HISTORY 4a(I);
NATURE 3c-3c(I); NECESSITY AND CONTINGENCY .3a-3c; and for the relation of chance to
free will, see LIBERTY 4a; WILL 5a(3), 5C.
The general theory of cause and its bearing on the concept of chance, see CAUSE I-I b, 5d-6;
NATURE 3c(3).
The theological problems of chance in relation to fate, providence, and predestination, see
CAUSE 7b-7c; FATE 4; GOD 7b.
Other discussions of the theory of probability, see JUDGMENT 6c; KNOWLEDGE 4b, 6d(I)-
6d(3); NECESSITY AND CONTINGENCY 4a; OPINION I, 3b; SCIENCE 4e; TRUTH 4d.
Discussions bearing on the relation of art to chance, see ART I, 2a; and for the role of chance
in the sphere of prudence, see PRUDENCE 4a-4b, sa.
The theory of the goods of fortune, see GOOD AND EVIL 4d; HAPPINESS 2b(I); VIRTUE AND
VICE 6c; WEALTH loa.
192 THE GREAT IDEAS
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups: .
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
VENN. The Logic of Chance
I. WHITWORTH. Choice and Chance
PLUTARCH. "Of Fortune," "Of the Tranquillity of BOUTROUX. The Contingency of the Laws of Nature
the Mind," in Moralia JEVONS. The Principles of Science, CH 10-12
F. BACON. "Of Fortune," in Essays BRADLEY. The Principles of Logic, Terminal Essays,
HUME. A Treatise of Human Nature, BK I, PART III, VIII
SECT Xl-XIII C. S. PEIRCE. Collected Papers, VOL II, par 645/54;
KANT. Introduction to Logic, x VOL VI, par 35--65
J. S. MILL. A System of Logic, BK lIl, CH 17-18 T. HARDY. Life's Little Ironies
FREUD. The Psychopathology of Everyday Lift, CH 12 PEARSON. The Chances of Death
W. JAMES. "The Dilemma of Determinism," in MEYERSON. Identity and Reality, CH 9
The Will to Believe POINCARE. Science and Hypothesis, PART IV, CH I I
- - . Some Problems of Philosophy, CH g-I3 --. Science and Method, BK I, CH 4
HENDERSON. The Fitness ofthe Environment
II. N. R. CAMPBELL. Physics; the Elements, CH 7
BOETHIUS. The Consolation of Philosophy, BK II, W. E. JOHNSON. Logic, PART III, CH 2
IV-V J. M. KEYNES. A Treatise on Probability, PART I-II,
SUAREZ. Disputationes Metaphysicae, XIX (12) IV-V
J. BUTLER. The Analogy of Religion, INTRO G. N. LEWIS. The Anatomy of Science, ESSAY VI
VOLTAIRE. "Change or Generation of Events," DEWEY. The Quest for Certainty, CH I
"Necessary-Necessity," "Power-Omnipotence," HEISENBERG. The Physical Principles ofthe Quantum
in A Philosophical Dictionary Theory
SCHOPENHAUER. On the Fourfold Root of the Princi- NAGEL. On the Logic of Measurement
ple of Sufficient Reason M. R. CoHEN. Reason and Nature, BK I, CH 3(4)
LAPLACE. A Philosophical Essay on Probabilities MARITAIN. A Preface to Metaphysics, LECT VII
DE MORGAN. An Essay on Probabilities REICHENBACH. Theory of Probability
CoURNOT. Exposition de la tMorie des chances et des SANTAYANA. The Realm of Truth, CH II
probabilites VON NEUMANN and MORGENSTERN. Theory ofGames
BOOLE. An Investigation ofthe Laws of Thought, CH and Economic Behavior
16--18, 21 JEFFREYS. Theory of Probability
TODHUNTER. History ofthe Mathematical Theory of B. RUSSELL. Human Knowledge, Its Scope and
Probability Limits, PART V
Chapter 10: CHANGE
INTRODUCTION
F ROM the pre-Socratic physicists and the
ancient philosophers to Darwin, Marx, and
natura from which "nature" comes. In their
original significance, both words had reference
James-and, in our own day, Dewey and Whi te- to the sensible world of changing things, or to
head -the fact of change has been a maj or focus its underlying principl~-to the ultimate source
of speculative and scientific inquiry. of change. The physics of the philosopher and
Except by Parmenides and his school, the the physics of the empirical scientist are alike
existence of change has never been denied. Nor inquiriescond:rning the nature of things, not in
can it be without rejecting all sense-perception every respect but in regard to their change and
as illusory, which is precisely what Zeno's para- motion. The conclusions of both inquiries have
doxes seem to do, according to one interpreta- metaphysical implications for the nature of the
tion of them: But if argument cannot refute physical world and for the character of physi-
the testimony of the senses, neither can reason- cal existence.
ing support it. The fact of change, because it The philosopher dtaws these implications for
is evident to the senses, does not need proof. being from the study of becoming. The scien-
That change is, is evident, but what change is, tist, in turn, draws upon philosophical dis-
is neither evident nor easy to define. What prin- tinctions in order to define the objects of his
ciples or factors are common to every sort of study. Galileo, for example, in separating the
change, how change or becoming is related to problem of freely falling bodies from the
permanence or being, what sort of existence be- motion of projectiles, employs the traditional
longs to mutable things and to change itself- philosophical distinction between natural and
these are questions to which answers are not violent motion. The analysis of time and space
obtainable merely by observation. Nor will (basic variables in Newtonian mechanics), the
simple observation, without the aid of experi- distinction between discontinuous and contin-
ment, measurement, and mathematical calcu- uous change, arid the problem of the divisibili ty
lation, discover the laws and properties of mo- of a continuous motion-these are philosoph-
tion. ical 'considerations pre-supposed by the scien-
The analysis of change or motion has been a tific measurement of motion.
problem for the philosophers of nature. They
have been concerned with the definition of WE HAVE so FAR used the words "change" and
change, its relation to being, the classification "motion," as wdl as "becoming," as if all three
of the kinds of change. The measurement of were interchangeable in meaning. That is
motion, on the other hand, and the mathemat- somewhat inaccurate, even for the ancients
ical formulation of its laws have occupied the who regarded all kinds of change except one
experimental natural scientists. Both natural as motions; it is much less accurate for the
philosophy and natural science share a common moderns who have tended to restrict the mean-
subject matter, though they approach it by dif- ing of "motion" to local motion or change of
ferent methods and with different interests. place. It is necessary, therefore, to examine
Both are entitled to use the name "physics" briefly the kinds of change and to indicate the
for their subject matter. problems which arise with these distinctions.
The Greek word phiisis from which "phys- In his physical treatises, Aristotle distin-
ics" comes has, as its Latin equivalent, the word guishes four kinds of change. "When the change
193
194 THE GREAT IDEAS
from contrary to contrary is in quantity," he which undergoes transformation-and the
writes, "it is 'growth and diminution'; when starting-point and goal of motion. "Every mo-
it is in place, it is 'motion'; when it is ... in tion," he says, "proceeds from something and
quality, it is 'alteration'; but when nothing per- to something, that which is directly in motion
sists of which the resultant is a property (or an being distinct from that to which it is in mo-
'accident' in any sense of the term), it is 'com- tion and that from which it.is in motion; for in-
ing to be,' and the converse change is 'passing stance, we may take the three things 'wood,'
away.''' Aristotle also uses other pairs of words 'hot,' and 'cold,' of which the first is that which
-"generation" and "corruption," "becom- is in motion, the second is that which to which
ing" and "perishing"-to name the last kind of the motion proceeds, and the third is that from
change. which it proceeds."
Of the four kinds ,of change, only the last is In the alteration which occurs when the
not called "motion." But in the context of wood changes quality, just as in the increase
saying that "becoming cannot be a motion," or decrease which occurs with a body's change
Aristotle also remarks that "every motion is a in quantity and in the local motion which
kind of change." H~ does not restrict the mean- occurs with a body's change of place, that which
ing of motion to change in place, which is usu- changt:s persists throughout the change as the
ally called "local motion" or "locomotion." same kind of substance. The wood does not
There are, then, according to Aristotle'svocab- cease to be wood when it becomes hot or cold;
ulary, three kinds of motion: (I) local motion, the stone does not cease to be a stone when it
in which bodies change from place to place; rolls from here to there, or the organism all
(2) alteration or qualitative motion, i,n which animal of a certain kind when it grows in size.
bodies change with respect ,to such attributes In all these cases, "the substratum"-that
as color, texture, or temperature; (3) increase which is the subject of change-"persists and
and decrease, or quantitative motion, in which changes in its own properties.... The body,
bodies change in size. And, in addition, there although persisting as the same body, is now
is tile one kind of change which is not motion- healthy and now ill; and the bronze is now
generation and corruption. This consists in the spherical and at another time angular, and yet
coming to be or passing away of a body which, remains the same bronze."
while it has being, exists as an individual sub- Because the substance of the changing thing
stance of a certain sort. remains the same while changing in its proper-
Becoming and perishing are most readily ex- ties-i.e., in such attributes or accidents as
emplified by the birth and death of living quality, quantity, and place-Aristotle groups
things, but Aristotle also includes the transfor- the three kinds of motion together as acczdental
mation of water into ice or vapor as ~xamples of change. The changing thing does not come to be
generation and corruption. One dis~inctiye or pass away absolutely, but only in a certain
characteristic of generation and cor;uption, respect. In contrast, generation and corruption
in Aristotle's conception of this type of change, involve a change in the very substance of a
is their instantaneity. He thinks that the Qther thing. "When nothing perceptible persists in
three kinds of change are ,continuous processes, its identity as a substratum, and the thing
taking time, whereas things come into being changes as a whole." then, according to Aris-
or pass away instantaneously. Aristotle thus totle, "it is a coming-to-be of one substance,
applies the word "motion" only to the con- and the passing-away of another."
tinuouschanges which time can measure. He In such becoming or perishing, it is matter
never says that time is the measure of change, itself rather than a body or a substance which
but only of motion. is transformed. ,.Matter takes on or loses the
But the contrast between the one mode of form of a certain kind of substance. For exam-
change which is not motion and the three kinds ple, when the nutriment is assimilated to the
of motion involves more than this difference form of a living body, the bread or corn be-
with regard to time and continuity. Aristotle's comes the flesh and blood of a man. When an
analysis considers the subject of change-that animal dies, its body decomposes into the ele-
CHAPTER 10: CHANGE 195
ments of inorganic matter. Because it is a mode of change which is local motion? Even
change of substance itself, Aristotle calls the supposing that the kinds of change are not re-
one kind of change which is not motion sub- ducible to one another, is local motion pri-
stantial change, and speaks oEit as "a coming-to- mary in the sense that it is involved in all the
be or passing-away simply"-that is, not in a others? .
certain respect, but absolutely or "without When mechanics dominates the physical
qualification. " sciences (as has been so largely the case in
These distinctions are involved in a long modern times), there is a tendency to reduce all
tradition of discussion and controversy.' They the observable diversity of change to various
cannot be affirmed or denied without opposite appearances of local motion. Newton, for ex-
sides being taken on the fundamental issues ample, explicitly expresses this desire to formu-
concerning substance and accident, matter and late all natural phenomena in terms of the
form, and the catises of change or motion. The mechanics of moving particles. In the Preface
adoption or rejection of these distinctions af- to the first edition of his Mathematical Princi-
fects one's view. ofthe difference between inor- ples, after recounting his success in dealing with
ganic and organic change, and the. difference celestial phenomena, he says, "I wish we could
between the motions of matter and the changes derive the rest of the phenomena of Nature by
which take place in mind. The statement of the same kind of reasoning from mechanical
certain problems is determined accordingly; principles, for I am induced by many reasons
as, for example, the problem of the transmu- to suspect that they may all.depend upon cer-
tation of the elements, which persists in various tain forces by which the particles of bodies, by
forms from the physics of the ancients through some causes hitherto unknown, are either mu-
mediaeval alchemy and the beginnings of tually impelled towards one another, and co-
modern chemistry to present considerations here in regular figures, or are repelled and re-
of radioactivity and atomic fission. cede from one another."
The notion that all change can be reduced to
SINCE THE 17TH CENTURY, motion has been the results of local motion is not, however, of
identified with local motion. "I can conceive modern origin. Lucretius expounds the theory
no other kind" of motion, Descartes writes, of the Greek atomists that all the phenomena
"and do not consider that we ought to conceive of change can be explained by reference to the
any other in nature." As it is expressed "in com- local motion of indivisible particles coming to-
monparlance," motion, he says, "is nothing gether and separating. Change of place is the
more than the action by which any body passes only change which occurs on the level of the
from one place to another." ultimate physical reality. The atoms neither
This can hardly be taken to mean that come to be nor pass away, nor change in quality
change of place is the only observable type of or Size.
change. That other kinds of change are ob- But though we find the notion in ancient
servable cannot be denied. The science of atomism, it is only in modern physics that the
mechanics or dynamics may be primarily or ex- emphasis upon local motion tends to exclude all
clusively concerned with local motions, but other kinds of change. It. is characteristic of
other branches of natural science, certainly what James calls "the modern mechanico-
chemistry, deal with qualitative transforma- physical philosophy" to begin "by saying that
tions; and the biological sciences study growth the only facts are collocations and motions of
and decay, birth and death. primordial solids,. and the only laws the changes
The emphasis on local motion. as the only of motion which changes in collocation bring."
kind of motion, while it does not exclude ap- James quotes Helmholtz to the effect that "the
parent changes of other sorts, does raise a ques- ultimate goal of theoretic physics is to find the
tion about their reality. The question can be last unchanging causes of the processes of Na-
put in several ways. Are the various apparently ture." If, to this end, "we imagine the world
different kinds of change really distinct, or can composed of elements with unalterable quali-
they all be reduced to aspects of one underlying ties," then, Helmholtz continues, "the only
196 THE GREAT IDEAS
changes that can remain in such a world are is it, an unconnected fact that the analytical
spatial changes, i.e., movements, and the only geometry prepares the way for the differential
outer relations which cail modify the action of calculus that is needed to measure variable mo-
the forces are spa tial too, or,' in other words, the tions, their velocities, and their accelerations.
forces are motor forces dependent for their ef- The central point on which the two defini-
fect on spatial relations." tions are opposed constitutes one of the most
In the history of physics, Aristotle represents fundamental issues in the philosophy of na:ture.
the opposite view. No one of the four kinds of Does motion involve a transition from poten-
change which he distinguishes has for him; tial to actual existence, or only the substitution
greater physical reality than the others. Just as of one actual state for another-only a "trans-
quality cannot be reduced to quantity, or either portation," as Descartes says, from one place to
of these to place, so in his judgment the mo- another?
tions associated with these terms are irreducible While motion is going on, the moving thing,
to one another. Yet Aristotle does assign to lo- according to Aristotle's definition, must be
cal motion a certain primacy. "Motion in its partly potential and partly actual in the same
most general and primary sense," he writes, "is respect. The leaf turning red, while it is altering,
change of place, which we call locomotion." He has not yet fully reddened. When it becomes
does not mean merely that this is the primary as red as it can get, it can no longer change in
sense of the word, but rather that no other that respect; Before it began to change, it was
kind of motion can occur without local motion actually green; and since it could become red,
being somehow involved in the process. Show- it was potentially red. But while the change is
ing how increase and decrease depends on alter- ' in process, the potentiality of the leaf to be-
ation, and how that in turn depends on change come red is being actualized. This actualization
of place, he says that "of the three kinds of progresses until the change is completed.
motion ... it is this last, which we calliocomo- The same analysis would apply to a ball in
tion, that must be primary." motion. Until it comes to rest in a given place,
its potentiality for being there is undergoing
THE SHIFT IN MEANING of the word "motion" progressive actualization. In short, motion in-
would not by itself mark a radical departure in volves some departure from pure potentiality
the theory of change, but it is accompanied by in a given respect, and never complete attain-
a shift in thought which has the most radical ment of full actuality in that same respect.
consequences. At the same time that motion is When there is no departure from potentiality,
identified with local motion, Descartes con- motion has not yet begun; when the attain-
ceives motion as something completely, actual ment of actuality is complete, the motion has
and thoroughly intelligible. For the ancients, terminated.
becoming of any sort had both less reality and The Aristotelian definition of motion is the,
less intelligibility than being. object of much ridicule in the 17th century.
Aristotle had defined motion as the actuality Repeating the phrasing which had become tra-
of that which is potential in a respect in which ditional in the schools-"the actualization of
it is still potential to some degree. According what exists in potentiality, in so far as it is
to what Descartes calls its strict as opposed to potential"-Descartes asks: "Now who under-
its popular meaning, motion is "the transfer- stands these words? And who a t the same time
ence of one part of matter or one body from does not know what motion is? Will not every-
the vicinity of those bodies tha t are in immedi- one admit that those philosophers have been
ate contact with it, and which we regard as in, trying to find a knot in a bulrush?" Locke also
repose, into the vicinity of others." This defi- finds it meaningless. "What more exquisite
nition-contrasted with the Aristotelian con- jargon could the wit of man invent than this
ception which it generally supersedes in the' definition ... which would puzzle any rational
subsequent tradition of natural science-is as man to whom it was not already known by its
revolutionary as the Cartesian analytical geom- famous absurdity, to guess what word it could
etry' is by comparison with the Euclidean. Nor ever be supposed to be the explication of. If
CHAPTER 10: CHANGE 197
Tully, asking a Dutchman what beweeginge stated by Newton as the first of his "axioms or
was," Locke continues, "should have received laws of motion." "Every body," he writes,
this explication in his own language, that it "continues in its state of rest, or of uniform
was actus entis in potentia quatenus in potentia; motion in a right line, unless it is compelled to
I ask whether anyone can imagine he could change that state by fortes impressed upon it."
thereby have guessed what the word beweeginge As applied to the motion of projectiles, the
signified ?" law declares that they "continue in their mo-
Locke does not seem to be satisfied with any tions, so far as they are not retarded by the re-
definition of motion. "The atomists, who define sistance of air, or impelled downwards by the
motion to be 'a passage from one place to an- force of gravity."
other,' what do they more than put one synon- In his experimental reasoning concerning the
ymous word for another? For what is passage acceleration of bodies moving down inclined
other than motion? .. Nor will 'the successive planes, Galileo argues that a body which has
application of the superficies of one body to achieved a certain velocity on the descent
those of another,' which the Cartesians give us, would, if it then proceeded along a horizontal
prove a much better definition of motion, when plane, continue infinitely at the same velocity
well examined." But though Locke rejects the -except for the retardation of air resistance
definition of the atomists and the Cartesians and friction. "Any velocity once imparted to a
on formal grounds, he accepts their idea of moving body," he maintains, "will be rigidly
motion as simply change of place; whereas he maintained as long as the external causes of ac-
dismisses the Aristotelian definition as sheer celeration or retardation are removed." So in
absurdity and rejects the idea that motion or the case of projectiles, they would retain the
change necessarily involves a potentiality capa- velocity and direction imparted to them by the
ble of progressive fulfillment. cannon, were it not for the factors of gravity
As we have already .remarked, the omission and air resistance. Bodies actually in motion
of potentiality from the conception of motion possess their motion in themselves as a complete
is a theoretical shift of the deepest significance. actuality. They need no causes acting on them
It occurs not only in Descartes' Principles of to keep them in motion, but only to change
Philosophy and in the atomism of Hobbes and their direction or bring them to rest.
Gassendi, but also in the mechanics of Galileo The motion of proj ectiles presents a difficulty
and Newton. According to these modern philos- for the theory which describes all motion as a
ophers and scientists, a moving body is always reduction of potency to act. "If everything that
actually somewhere. It occupies a different is in motion, with the exception of things that
place at every moment in a continuous motion. move themselves, is moved by something else,
The motion can be described as the successive how is it," Aristotle asks, "that some things,
occupation by the body of different places at e.g., things thrown, continue to be in motion
different times. Though all the parts of the mo- when their movent is no longer in contact with
tion do not coexist, the moving particle is com- them?" This is a problem for Aristotle precisely
pletely actual throughout. It loses no reality because he supposes that the moving cause
and gains none in the course of the motion, must act on the thing being moved throughout
since the various positions the body occupies the period of the motion. For the potentiality
lie totally outside its material nature. It would, to be progressively reduced to actuality, it
of course, be more difficult to analyze altera tion must be continuously acted upon.
in color or biological growth in these terms, but Aristotle's answer postulates a series of causes
it must be remembered that efforts have been so that contact can be maintained between the
made to apply such an analysis through the re- projectile and the moving cause. "The original
duction of all other modes of change to local movent," he writes, "gives the power of being
motion. a movent either to air or to water or to some-
The principle of inertia, first discerned by thing else of the kind, naturally adapted for
Galileo, is critically relevant to the issue be- imparting and undergoing motion .... The mo--
tween these two conceptions of motion. It is tion begins to cease when the motive force pro--
198 THE GREAT IDEAS
duced in one member of the consecutive series the matter undergoes a transformationin which
is at each stage less than that possessed by the it comes to have the form of which it was de-
preceding member, and it finally ceases when prived by the possession of a contrary form.
one member no longer causes the next member Neither of the contrary forms changes. Only
to be a movent but only causes it to be in mo- the thing composite of matter and form changes
tion." It follows that inertia must be denied by with respect to the forms of its matter. Hence
those who hold that a moving body always re- these principles of change are themselves un-
quires a mover; or even that a body cannot sus- changing. Change takes place through" not in,
tain itself in motion beyond a point propor- them. As constituents of the changing thing,
tionate to the quantity of the impressed force they are the principles of its mutable being,
which originally set it in motion. principles of its being as well as of its being
mutable.
FOR mE ANCIENTS, the basic contrast between The explanation of change by reference to
being and becoming (or between the permanent what does not change seems to be common to
and the changing) is a contrast between the in- all theories of becoming. Lucretius, as we hve
telligible and the sensible. This is most sharply already seen, explains the coming to be and
expressed in Plato's distinction between the passing away of all other things by the motions
sensible realm of material things and the intel- of atoms which neither come to be nor pass
ligible realm of ideas. "What is that which al- away. The eternity of the atoms underlies the
ways is and has no becoming," Timaeus asks; mutability of everything else.
~'and what is that which is always becoming Yet the atoms are not completely immutable.
and never is?" He answers his own question by They move forever through the void which,
saying that "that which is apprehended by in- according to Lucretius, is required for their
telligence and reason is always in the same state; motion. Their local motion is, moreover, an
but that which is conceived by opinion with actual property of the 'atoms. For them, to be
the help of sensations and without reason, is al- is to be in motion. Here then, as in the Cartesian
ways in a process of becoming and perishing, theory, no potentiality is involved, and motion
and never really is." is completely real and completely intelligible.
Even though Aristotle differs from Plato in
thinking that change and the changing can be THE NOTIONS OF time and eternity are insep-
objects of scientific knowledge, he, too, holds arable from the theory of change or motion. As
becoming to be less intelligible than being, pre" the chapters on TIME and SPACE indicate,local
cisely because change necessarily involves po- motion involves the dimensions of space as well
tentiality. Yet becoming can be understood to as time, but all change requires time, and time
the extent that we can discover the principles itself is inconceivable apart from change or mo-
of its being-the unchanging principles of tion. Furthermore, as appears in the chapters
change. "In pursuing the truth," Aristotle re- on TIME and ETERNITY, the two fundamentally
marks-and this applies to the truth about opposed meanings of eterni ty differ according to
change as well as everything else-"one must whether they imply endless change or absolute
start from the things that are always' in the changelessness.
same state and suffer no change." Eternity is sometimes identified with infinite
For Aristotle, change is intelligible through time. It is in this sense that Plato, in the Ti~
the three elements of permanence which are its maeus, refers to time as, "the moving image of
principles: (I) the enduring substratum of eternity" and implies that time, which belongs
change, and the contraries-(2) that to which, to the realm of ever-changing things, resembles
and (3) that from which, the change takes the eternal only through its perpetual endur-
place. The same principles are sometimes stated ance. The other sense of the eternal is also im-
to be (I) matter, (2) form, and (3) privation; plied-the sense in which eternity belongs to
the matter or substratum being that which the realm of immutable being. The eternal in
both lacks a certain form and has a definite p0- this sense, as Montaigne points out, is not mere-
tentiality for possessing it. Change occurs when ly that "which never had beginning nor never
CHAPTER 10: CHANGE 199
shall have ending," but rather that "to which who affirm, as an article of their religious faith,
time can bring no mutation." that "in the beginning God created heaven and
There are two great problems which use the earth." The world's motions, like its existence,
word "eternity" in these opposite senses. One have a beginning in the act of creation. Crea-
is the problem of the eternity of motion: the tion itself, Aquinas insists, is not change or mo-
question whether motion has or can have either tion of any sort, "except according to our way
a beginning or an end. The other is the prob- of understanding. For change means that the
lem of the existence of eternal objects-im- same thing should be different now from what
mutable things which have their being apart it was previously .... But in creation, by which
from time and change. the whole substance of a thing is produced, the
The two problems are connected in ancient same thing can be taken as different now and
thought. Aristotle, for example, argues that "it before, only according to our way of under-
is impossible that movement should either have standing, so that a thing is understood as first
come into being or cease to be, for it must al- not existing at all, and afterwards as existing."
ways have existed." Since "nothing is moved Since creation is an absolute coming to be from
at random, but there must always be something non-being, no pre-existent matter is acted upon
present to move it," a cause is required to sus- as in generation, in artistic production, or In
tain the endless motions of nature. This cause, any of the forms of motion.
which Aristotle calls "the prime mover," must
be "something which moves without being THE PHILOSOPHICAL and theological issues con-
moved, being eternal, substance, and actual- cerning creation and change, eternity and time,
ity." are further discussed in the chapters on CAUSE,
Aristotle's theory of a prime mover sets up a ETERNITY, and WORLD. Other problems aris-
hierarchy of causes to account for the different ing from the analysis of change must at least
kinds of motion observable in the universe. The be briefly mentioned here.
perfect circular motion of the heavens serves to Though less radical than the difference be-
mediate between the prime mover which is tween creation and change, the difference be-
totally unmoved and the less regular cycles of tween the motions of inert or non-living things
terrestrial change. The" "constant cycle" of and the vital activities of plants and animals
movement in the stars differs from the irregular raises for any theory of change the question
cycle of "generation and destruction" on whether the same principles apply to both. The
earth. For the first, Aristotle asserts the neces- rolling stone and the running animal both move
sity of "something which is always moved with locally, but are both motions locomotion in the
an unceasing motion, which is motion in a cir- same sense? Augmentation occurs both in the
cle." He calls this motion of the first heavenly growth of a crystal and the growth of a plant,
sphere "the simple spatial movement of the but are both of them growing in the same sense?
universe" as a whole. Besides this "there are In addition, there seems to be one kind of
other spatial movements-those of the planets change in living things which has no parallel in
-which are eternal" but are "always acting in the movements of inert bodies. Animals and
different ways" and so are able to account for men learn. They acquire knowledge, form hab-
the other cycle in nature-the irregular cycle its and change them. Can change of mind be
of generation and corruption. explained in the same terms as change in mat-
In addition, a kind of changelessness is attrib- ter?
uted to all the celestial bodies which Aristotle The issues raised by questions of this sort are
calls "eternal." Eternally in motion, they are more fully discussed in the chapters on ANIMAL,
also eternally in being. Though not immovable, HABIT, and LIFE. Certain other issues must be
they are supposed to be incorruptible sub- entirely reserved for discussion elsewhere. The
stances. They never begin to be and never special problems of local motion-such as the
perish. properties of rectilinear and circular motion,
The theory of a world eternally in motion is the distinction between uniform and variable
challenged by Jewish and Christian theologians motion, and the uniform or variable accelera-
zoo THE GREAT IDEAS
tion of the latter-are problems which belong sions, without business, without diversion,
to the chapters on ASTRONOMY and ME- without study. He then feels his nothingness,
CHANICS. Change, furthermore, is a basic fact his forlornness, his dependence, his weakness,
not only for the natural scientist, but for the his emptiness." Darwin does not think that the
historian-the natural historian or the histori- desire for change is peculiar to man. "The lower
an of man and society. The considerations animals," he writes, "are ... likewise capricious
relevant to this aspect of change receive treat- in their affections, aversions, and sense of beau-
ment in the chapters on EVOLUTION, HISTORY, ty. There is also reason to suspect that they love
and PROGRESS. novelty for its own sake."
Even these ramifications of discussion do not But men also wish to avoid change. The old
exhaust the significance of change. The cyclical Prince Bolkonski, in War and Peace, "could not
course of the emotions and the alternation of comprehend how anyone could wish to alter his
pleasure and pain have been thought inexpli- life or introduce anything new into it." This is
cable without reference to change of state in re- not merely an old man's view. For the most
gard to desire and aversion-the motion from part, it is permanence rather than transiency,
want to satisfaction, or from possession to dep- the enduring rather than the novel, which the
rivation. Change is not only a factor in the poets celebrate when they express man's dis-
analysis of emotion, but it is also itself an object content with his own mutability. The with-
of man's emotional attitudes. It is both loved ering and perishing of all mortal things, the
and hated, sought and avoided. assault of time and change upon all things fa-
According to Pascal, man tries desperately to miliar and loved, have moved them. to elegy
avoid a state of rest. He does everything he can over the evanescent and the ephemeral. From
to keep things in flux. "Our nature consists in Virgil's Sunt lacrimae.rerum et mentem mortalia
motion," he writes; "complete rest is death .... tangunt to Shakespeare's "Love is not love
Nothing is so insufferable to man," he contin- which alters when it alteration finds," the poets
ues, "as to be completely at rest, without pas- have mourned the inevitability of change.
OUTLINE OF TOPICS
PAGS
I. The nature and reality of change or motion 202
3. Cause and effect in motion: the relation of mover and moved, or action and passion
8. Change of size 20 9
8a. The IOcreaseand decrease of inanimate bodies
8b. Growth in living organisms
9. Change of quality
9a. Physical and chemical change: compounds and mixtures 210
14. The theory of the prime mover: the order and hierarchy of Illovers and moved 214
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-2831 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12. "
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in 53 JAME:;: Psychology, 116a-119b,the passage
begins in the upper half of page 116 and ends in the Ipwer half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the lettersc and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page .164.
AUTHOR'S DIVISIONS: One or more of the main divisIOns of a work (such as PART,BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer
tain cases; e.g., Iliad, BK II [265-283) 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited. "
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: The broad philosophical context of the theory ofchange, see BEING 5; DESIRE I; FORM I~Ib;
MATTER I-I b, 2b.
The distinction between the mutable and the immutable, see ASTRONOMY 8a; BEING 7b(3);
ELEMENT 5a; ETERNITY 4-4d; FORM Ia; TRVTH 5.
The issue concerning time and eternity in relation to change, see ASTRONOMY 8C(I); ETER-
NITY I; TIME 2, 2b; WORLD 4a.
A discussion relevant to the theory of the prime mover, see ANGEL 2a.
The mathematical and experimental approach to the study of local motion and the formula-
tion of its laws, see ASTRONOMY 8c-8c(3); MECHANICS 5-5f(2), 6c-6e; ONE AND MANY
3a(2); QUANTITY 5c; SPACE 2a. ,. .
The discussion of biological and psychological change, see ANIMAL 4a, 6bj, 8b; CAUSE 2;
DESIRE 2c-2d; EDUCATION 4, 5c, 6; EMOTION Ib, 2b; HABIT 4b; REASONING Ib; TIME 7;
VIRTUE AND VICE 4b-4C.
Other discussions of the distinctiori between generation and other kinds of change, see ART
2a; FORM Id(2); WORLD 4e(I); and for the problem of the transmutation of the elements,
see ELEMENT 3c.
The theory of historical change in nature and society, see EVOLUTION 4d,6a, 7c;HISTORY
4b; PROGRESS la, IC-2; TIME 8a.
The consideration of economic, political, and cultural change-, see CONSTITUTION 7,a,
8-8b; PROGRESS '>4C, 6-6b; REVOLUTIOK 2-2C, 4-4b; WEALTH 12.
The discussion of change or becoming as an object of knowledge; see BEING 8a-8b; KNOWL-
EDGE 6a(I); OPINION I.
Other considerations of man's attitude toward change and mutability, see CUSTOM AND
CONVENTION 8; PROGRESS 5; TIME 7.
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
I. II.
AQUINAS. De Principiis Naturae SEXTUS EMPIRICUS. Against the Physicists, BK II,
DESCARTES. The Principles of Philosophy, PART II, 5
CH 2,
24-53 --, Outlines of Pyrrhonism, BK III, CH 1-2.0
H.oBBES. Concerning Body, PART III, CH 15-16,21-22 CRESCAS. Or Adonai, PR.oP.oSITI.oNS 4-9, 13-14,
BERKELEY, Siris 17,25
KANT. Metaphysical Foundations of Natural SUAREZ. Dispue'ationes Metaphysicae, XVIII (I I),
Science XXX (8-9), LX (8), XLVI (3), XLVIII-L
HEGEL. The Phenomenology of Mind, III J.oHN .oF SAINT TH.oMAS. Cursus Philosophicus Tho-
- - . Science of Logic, V.oL I, BK I, SECT I, CH I (C) misticus, Philosophia Naturalis, PART I, QQ 14, 19,
- - . Logic, CH 7 22-24; PART III, QQ 1-2, 1.0-12
W. JAMES. Some Problems of Philosophy, CH 9-1.0, LEIBNITZ. Discourse on Metaphysics, XV-XXII
12 - - . Monadology, par 10-18
CHAPTER 10: CHANGE 217
VOLTAIRE. "Motion," in A Philosophical Dictionary G. N. The Anatomy of Science, ESSAY III-IV
LEWIS.
SCHOPENHAUER. The World as Will and Idea HElD EGGER.Sein und Zeit
WHEWELL. The Philosophy of the Inductive Sciences, B. RUSSELL. Principles of Mathematics, CH 54.
VOL I, BK II, CH I3 56-59
HELMHOLTZ. Popular Lectures on Scientific Subjects, - - . The Analysis of Matter, CH 27, 33-34
VII EDDINGTON. The Nature of the Physical World,
MAXWELL. Matter and Motion CH 5
CLIFFORD. The Common Sense ofthe Exact Sciences, DEWEY. Experience and Nature, CH 2
CH 5 - - . The Quest for Certainty, CH 2
LOTZE. Metaphysics, BK I, CH 4-5; BK II, eH 4 WHITEHEAD. The Concept of Nature, CH 5
BRADLEY. Appearance and Reality, BK I. CH 5 - - . Process and Reality, PART II, CH 10
CROCE. History, Its Theory and Practice . SANTAYANA. Scepticism and Animal Faith, CH 5
BERGSON. Creative Evolution - - . The Realm of Matter, CH 5-6
- - . The Creative Mind, CH 5 RIEZLER. Physics and Reality
Chapter I I: CITIZEN
INTRODUCTION
"CITIZEN," like "comrade," has been and CONSTITUTION. It is sufficient here to note that
still is a revolutionary word. Both words the difference in the authority and power pos-
have been titles proudly adopted by men to sessed by rulers-according as it is absolute or
mark their liberation from the yoke of despo- limited-corresponds with a difference in the
tism or tyranny. Both titles are still sought by status, the degree of freedom, and the rights
those who have not yet gained admission to the and privileges of the people ruled.
fraternity of the free and equal.
The rank and status of citizenship first ap- IN ORDER TO UNDERSTAND citizenship it is neces-
peared in the ancient world with the begin- sary to understand the several ways in which
ning of constitutional government in the city- men can belong to or be parts of a political
states of Greece. The Greeks were conscious community. There are two divisions among
of this fact, and proud of it. In terms of it, men within a community which help us to
they set themselves apart from the barbarians define citizenship.
who were subjects of the Great King of Persia According to one of these divisions, the
or the Egyptian Pharaoh. The Spartan heralds, nati ve-born are separa ted from aliens or foreign-
according to Herodotus, thus address the ers. In the Greek city-states it was almost im-
Persian commander: "Thou hast experience possible for aliens to become citizens. Plutarch
of half the matter; but the other half is beyond notes that Solon's law of naturalization, which
thy knowledge. A slave's life thou under- he qualifies as "of doubtful character," would
standest; but, never having tasted liberty, not allow strangers to become citizens unless
thou canst not tell whether it is sweet or no. "they were in perpetual exile from their
Ah I hadst thou known what freedom is, thou own country, or came with their whole family
wouldst have bidden us fight for it, not with to trade there." The metics, or aliens, who
the spear only, but with the battle-axe." were allowed in the city were usually a class
Not only Herodotus and Thucydides but apart.
also the great tragic poets, notably Aeschylus In Rome the situation was different; it was
in the Persians, record this Hellenic sense of possible for outsiders to receive the high honor
distinction from the surrounding peoples who of Roman citizenship. "The aspiring genius of
still lived in childlike submission to absolute Rome," Gibbon writes, "sacrificed vanity to
rule. But the Greeks were also conscious that ambition, and deemed it more prudent, as well
their political maturity as self-governing cit- as honourable, to adopt virtue and merit for
izens was, as Aristotle intimates in the Politics, her own wheresoever they were found, among
a recent development from the primitive con- slaves or strangers, enemies or barbarians."
dition in which tribal chieftains ruled despot- Most modern republics set up naturalization
ically. proceedings for the regular admission of some,
The basic distinction between subjection and if not all, immigrants to membership in the
citizenship is inseparable from the equally basic state. Yet a difference always remains between
distinction between absolute and limited, or a citizen and a denizen, or mere resident. Ac-
between despotic and constitutional, govern- cordingly, Rousseau criticizes Bodin for con-
ment. The difference between these two modes fusing citizens with townsmen. "M. D'Alem-
of government is treated in the chapter on bert," he says, "has avoided this error, and in
218
CHAPTER 11: CITIZEN 219
his article on Geneva, has clearly distinguished THE DISTINCTION OF citizen from slave, infant,
the four orders of men (or even five, counting or alien does not complete the picture. The
mere foreigners) who dwell in our town, of subjects of a king are not slaves, nor are they
which two only compose the Republic." citizens of a republic. Yet like citizens, subjects
According to a second way in which men have membership in the political community.
are divided within the political community, They constitute the people the king serves as
free men are separated from slaves. The latter, well as rules, unless he is a tyrant, for only if he
though they may be native-born, are not is a tyrant does he treat them as if they were
members of the political community, but his property, to be used for his own pleasure or
merely part of its property. A slave, accord- interest. Sometimes a distinction is made be-
ing to Aristotle, is one "who, being a human tween first- and second-class citizens, and then
being, is also a possession." But, he says in the latter, who occupy'an intermediate position
another place, "property, even though living between citizenship and slavery, are regarded
beings are included in it, is no part of a state; as subjects. "Since there are many forms of
for a state is not a community of living beings government," Aristotle writes, "there must be
only, but a community of equals." many varieties of citizens, and especially of cit-
On this principle, Aristotle excludes more izens who are subjects; so that under some gov-
than the chattel slave from the status and priv- ernments the mechanic and the laborer will be
ilege of citizenship. "We cannot consider all citizens, but not in others." The whole meaning
those to be citizens," he writes, "who are neces- of citizenship changes for Aristotle when the
sary to the existence of the state; for example, working classes are admitted to it.
children are not citizens equally with grown-up From a somewhat different point of view,
men .... In ancient times, and among some Aquinas holds that a man can be "said to be a
nations," he continues, "the artisan class were citizen in two ways: first, absolutely; secondly,
slaves or foreigners, and therefore the majority in a restricted sense. A man is a citizen abso-
of them are so now. The best form of state will lutely if he has all the rights of citizenship; for
not admit them to citizenship." instance, the right of debating or voting in the
The "slaves who minister to the wants of popular assembly. On the other hand, any man
individuals," and the "mechanics or laborers may be called citizen only in a restricted sense
who are the servants of the community" are if he dwells within the state, even lowly people,
to be counted as its "necessary people" but not or children, or old men, who are not fit to enjoy
as members of the state. When he discusses the power in matters pertaining to the common
size and character of the population for an ideal welfare." Those Who are thus disfranchised, but
state, Aristotle says, "we ought not to include are not slaves, are subjects rather than citizens
everybody, for there must always be in cities a in the full sense.
multitude of slaves and sojourners and foreign- It is possible, of course, for men to have the
ers; but we should include only those who are dual status of subject and citizen, as is the case
members of the state, and who form an essential now in England and the self-governing domin-
part of it." ions of the British commonwealth. This double
The exclusion of slaves and resident aliens status does not blur the distinction between cit-
from membership in the political community izen and subject; rather it signifies the mixed
has a profound bearing on the meaning of the nature of a form of government which is both
political concept expressed by the words "the royal-at least in its vestiges of monarchy-and
people." The people is not the same as the pop- constitutional. In the time of Locke, when a
ulation-all those human beings who live with- great constitutional victory had been won
in the state's borders. Even in societies which against the despotism of the last Stuart, the
have abolished chattel slavery and in which English people did not yet regard themselves
suffrage tends to be unrestricted, infants and as citizens. Observing that the title of citizen
aliens remain outside the pale of political life. has never been given "to the subjects of any
The people is always a part-the active polit- prince, not even the ancient Macedonians,"
ical part-of the population. Rousseau finds himself compelled to add: "not
220 THE GREAT IDEAS
even the English of today, though they are the slave as he .manages and uses other instru-
nearer liberty than anyone else." ments-inanimate tools or domesticated ani~
Unlike citizens, the subjects of a king, espe- mals. "The rule of a master," Aristotle declares,
cially of one claiming absolute power, have no is "exercised primarily with a view to the in-
voice in their own government, and no leglll terest of the master." Yet it "accidentally con-
means for protecting their natural rights as siders the slave, since, if the slave perish, the
men. So long as the absolute ruler does not rule of the master perishes with him."
tyrannize, he governs for the welfare of his Thus conceived, the slave lacks every vestige
people; and so, though a despot in the sense of of political liberty. He is treated as radically
wielding absolute power over political inferiors, inferior to his master-almost as if he were
he is benevolent in the sense of serving rather something less than a man. He has no voice in
than using them. But if he ceases to be benevo- his own government, nor is his welfare the para-
lent and turns tyrannical, his subjects have no mount consideration of his ruler. In short, we
recourse except rebellion. They must resort to have slavery when one man governs another in
violence in order to emancipate themselves the way in which a man manages his property,
from a condition which amounts to slavery. using it for his own good.
A citizen, on the other hand, is safeguarded When one man governs another in the way
in his legal.as well as in his natural rights and, in which good parents administer the affairs of
in some modern republics .at least, he is pro~ childrenas members of the household, we have
vided with juridical means for rectifying sup- the type of rule which also appears in the rela-
posed injustices. For citizens, the right of re- tion between absolute kings or benevolent des-
bellion is the last, not the only, resort. pots and. their subjects. "The rule of a father
over his children is royal," Aristotle writes, "for
THE DISTINCT .CONDITIONS of slavery, subjec- he rules by virtue of both love and of the re-
tion, and citizenship can be summarized by de- spect due to age, exercising a kind of royal
fining three ways in which rulers are related to power.... A king," Aristotle a,dds, "is the nat-
the persons they rule. These three relations ural superior of his subjects, but he should be
seem to have been first clearly differentiated by of the same kin or kind with them, and such is
Aristotle. the relation of elder and younger, father and
He finds all three relationships in the struc- son. "
ture of the household, as that is constituted in From the analogous type of rule in the fam-
an tiqui ty. Of household managemen t, he wri tes, ily, we see two differences between the condi-
"there are three parts-one is the rule of a tion of a slave and that of a subject under abso-
master over slaves ... another ot a father, and lute or despotic rule in the state. The inferiority
a third of:} husband." In each case, "the kind of of children, unlike that of slaves, is not their
rule differs: the freeman rules over the slave permanent condition. I t is an aspect of their
after another manner from that in which the immaturity. They are temporarily incapable
male rules over the female, or the man over the of judging what is for their good, and so need
child." the direction of their superiors in age, ex-
As we have already seen, Aristotle conceives perience, and prudence. But children have
the slave asa piece of property. When he says some equality with their parents, to the ex-
that the slave "wholly belongs to his master" tent that their hu~anity is recognized as the
or that "he is a part of his master, a living but reason why they should not be ruled as slaves,
separated part of his bodily frame," he is ob- but governed for their own welfare.
viously considering only the chattel slave. The government of children, Aristotle de-
There are, as the chapter on SLAVERY indicates, clares, "is exercised in the first instance for the
other kinds or degrees of slavery less extreme good of the governed, or for the common good
than this. of both parties, but essentially for the good of
But chattel slavery, more. clearly than the the governed." In the same way, the subjects of
attenuated forms of servitude, defines the na- a benevolent despot, or of any absolute mon-
ture of mastery. The master manages or uses arch who rules paternalistically, are said to be
CHAPTER 11: CITIZEN 221
governed for their own good. They are served, FOR THE SAME REASON that the revolutionists
not used, by their rulers; and to this extent against absolutism or despotism in the 18th cen-
they have a degree of political liberty. But they tury use the phrase "free government" for re-
do not have the complete liberty which exists publica~ institutions, they also use "citizen" to
only with self~government. designate a free man, a man who possesses the
That occurs only under constitutional rule, political liberty and equality which they re-
which for Aristotle has an imperfect analogue. gard .as the natural right of men because they
in the family in the relation of husband and are men. In this respect they do not differ
wife. In the state, however, it is perfectly repre- substantially from their Greek or Roman an-
sented by the relation between the hdlders of cestors who prize constitutional government
public office and other citizens. "In the consti- and citizenship as conditions offreedom and
tutional state," Aristotle says; "the citizens rule equality.
and are ruled by turns; for the idea of a consti- Furthermore, like the constitutionalists of
tutional state implies that the natures of the antiquity, the republicans of the 18th century
citizens are equal, and do not differ at all." The are, with few if any exceptions, not democrats
citizen, in other words, is one "who has the in the sense of extending the rights and privi-
power to take part in the deliberative or judi- leges of citizenship to, all adults. In the 18th
cial administration of the state." Rousseau century slavery still exists; and a large part even
seems to have a similar conception of the citi- of those who are not in economic bondage re-
zen as both ruling and ruled, though he uses mains' outside the pale of citizenship, disqual-
the word "subject" to designate the citizen as ified by accidents of birth such as race or sex,
ruled. "The people," he ,writes, "are called and by the lack of sufficient wealth or property
citizens, as sharing in the sovereign power, and which makes it necessary for them to labor in
subjects, as being under the laws of the State." order to live. It is not only an ancient ohgarch
Because the man who holds office in a con- like Aristotle who thinks that "the ruling class
stitutional.government is first of alla.citizen should be the owners of property, for they are
himself, and only secondly an official vested citizens, and the citizens of a state should be in
with the authority of a political office, the citi- good circumstances; whereas mechanics" should
zen is a man ruled by his equals and ruled as an have "no share in the state." In the 18th cen-
equal. Observing these facts, Aristotle describes tury, as weiLas in ancient Greece, extending the
citizenship as the one "indefinite office" set up privileges of citizenship to indentured appren-
by a constitution. It is indefinite both in tenure tices, day laborers, or journeymen, is a form of
and by comparison with the v.arious magistra- radicalism known as "extreme democracy."
cies or other offices which have more definitely Kant may be taken 'as representative of an
assigned functions. Since a citizen is ruled only enlightened point of view in the I 8th century.
by other cit,izens,and since he has the oppor- He finds that there are "three juridical. attri-
tunity of ruling others in turn, citizenship in- butes" that belong by right to the citizens:
volves political liberty in the fullest sense. This "I. constitutional freedom, as the right of
does not mean freedom from government, but every citizen to have to obey no other law than
freedom through selj-gOtJernment-all the free- that to which he has given his consent or ap-
dom a man canhave in society, liberty under proval; 2. civil equality, as the right of the
law and proportioned to justice. citizen to recognize no one as a superior among
Two of these three political conditions- the people in relation to himself ... and 3.
slavery and subjection-naturally receive fuller political independence, as the right to owe his
treatment in the chapter on SLAVERY. The existence and continuance in society not to the
discussion of the third, citizenship, belongs not arbitrarywill of another, but to his own rights
only to this chapter, but also to the chapter and powers as a mem ber of the commonwealth. "
on CONSTITUTION, and to other chapters.which The last attribute leads Kant to distinguish
deal with forms of constitutional government, between "active and passive citizenship." Al-
such as ARISTOCRACY, DEMOCRACY, and OLI- though he admits that this "appears to stand in
GARCHY. contradiction to the definition of a citizen as
222 THE GREAT IDEAS
such," he concludes that there are some in the the fight against franchise restrictions and for
community not entitled to the full privileges universal suffrage. which would admit every
of citizenship. It is his contention, widely shared normal, adult human being to the freedom and
in the 18th century, that suffrage, which "prop- equality of citizenship.
erly constitutes the political qualification of a The first revolution has a long history. It be~
citizen," presupposes the "independence or gins with the Greek city-states which, having
self-sufficiency of the individual citizen among won this victory against the Persians, lost it to
the people." the Macedonian conquerors. It happens again
Consequently he denies suffrage to "every- with the establishment of the Roman republic
one who is compelled to maintain himself not after the expulsion of the Tarquins. and again it
according to his own industry, but as it is ar- is undone when the Caesars assume absolute
ranged by others." Such a restriction, he says, power. This part of the story is told with vary-
includes "the apprentice of a merchant or ing emotions by Plutarch and Polybius. Tacitus
tradesman, a servant who is not in the employ and Gibbon. During the Middle Ages the same
of the state. a minor" and "all women." They struggle appears in the various efforts to estab-
are "passive parts" of the state and do not have lish the supremacy of law. particularly through
"the right to deal with the state as activemem- the development of customary and canon law.
bers of it, to reorganize it, or to take action by The revolution still continues in the 17th and
way of introducing certain laws." Kant insists. 18th centuries and the new heights it reaches
however, that "it must be made possible for are reflected in the writings of a constitution-
them to raise themselves from this passive con- alist like Locke and republicans like Rousseau,
dition in the State, to the condition of active Kant. and the American Federalists. The Dec-
citizenship.ft. laration of Independence and the Constitution
of the United States are perhaps the classic
THE FOREGOING DISCUSSION shows the connec- documents of this historical phase.
tion between the idea of ci tizenshipand the t,'I'O The second revolution, particularly as iden-
revolutionary movements which John Stuart tified with the fight for universal suffrage, is a
Mill notes in the history of political thought relatively recent event. Its roots may go back
and action. The first is the movement to obtain as far as Cromwell's time to the activity of the
"recognition of certain immunities, called po- Levellers, and in the 18th century to the writ-
liticalliberties or rights. which it was to be re- ings of John Cartwright. But what is, perhaps.
garded as a breach of duty in the ruler to in- its first full expression does not appear until
fringe. and which if he did infringe. specific Mill'~ Representative Government. In that book,
resistance. or general rebellion. was held to be Mill lays down the principles of the franchise
justifiable." This is the revolutionary effort to reforms which began in the 19th century, but
overthrow despotism and to establish constitu- which, ~ in the case of woman suffrage or the
tional government. with the status of citizen- repeal of the poll tax, were carried through only
ship for at least some part of the population- yesterday or are still in progress.
frequently much less than half of the total. Yet the struggle for universal suffrage-or.
The second revolutionary movement goes as Mill would say. against treating any human
further. It presupposes the existence of govern- being as a "political pariah"-does have an an-
ment by law and aims to perfect it. It therefore cient parallel in the conflict between demo-
seeks to obtain "the establishment of constitu- cratic and oligarchical constitutions in Greek
tional checks. by which the consent of the com- political life and thought. These two types of
munity. or of a body of some sort, supposed to constitution were opposed on the qualifications
represent its interests. is made a necessary con- for citizenship and public office. The oligarchi-
dition to some of the more important acts of the cal constitution restricted both to men of con-
governing power." Since. according to Mill. it siderable wealth. At the other extreme, as Aris-
aims to make the consent of the governed ef- totle observes, the most radical forms of Greek
fective through an adequate representation of democracy granted citizenship to the working
their wishes. this movement inevitably leads to classes, and gave no advantage to the rich in
CHAPTER 11: CITIZEN 223
filling the magistracies, for they selected offi- give the citizen additional protection against
cials from the whole citizenry by lot. interference in the performance of his civic
The parallelism goes no further than that. duties, such as independent political thought
Greek democracy, even when it denied special and action, or in the exercise of his human
privileges to the propertied classes, never con- privileges, such as freedom of religious worship.
templated the abolition of slavery or the polit- The invention of these constitutional devices
ical emancipation of women. sprang from the bitter experience of coercion
and intimidation under Star Chamber proceed-
THERE ARE OTHER differences between ancient ings, royal censorship, and unlimited police
and modern institutions which affect the char- power. A citizen who can be coerced or intim-
acter of citizenship. The problem of who shall idated by his government differs only in name
be admitted to citizenship is fundamental in from the subject of an absolute despot.
both epochs. Insofar as it connotes the condi- In addition to having these legal safeguards.
tion of political liberty and equality, the status modern differs from ancient citizenship in the
of citizenship remains essentially the same. But way in which its rights and privileges are exer-
the rights and duties, the privileges and im- cised. The machinery of suffrage is not the same
munities, which belong to citizenship vary with when citizens act through elected representa-
the difference between ancient and modern tives and when they participate directly in the
constitutionalism. deliberations and decisions of government, by
Even if they had been written, the consti- voting in the public forum.
tutions of the ancient world would not have
declared the rights of man and the citizen, THE PROBLEM OF EDUCATION for citizenship i..;
nor would they have had bills of rights ap- in some respects stated in almost identical terms
pended to them. The significance of these by such different political philosophers as Plato
modern innovations (which begin, perhaps, with and John Stuart Mill.
Magna Carta) lies, not in a new conception In both the Republic and the Laws, Plato
of citizenship, but in the invention of juridical emphasizes that "education is the constraining
means to endow the primary office of citizen- and directing of youth towards that right reason
ship with sufficient legal power to protect it which the law affirms." By this he means not
from invasion by government. only that education will affect the laws, but
In The Federalist, Hamilton maintains that also that the laws themselves have -an educa-
"bills of rights are, in their origin, stipulations tional task to perform. The educational pro-
between kings and their subjects, abridgments gram is thus planned and conducted by the
of prerogative in favour of privilege, reserva- state. The guardians-the only citizens in the
tions of rights not surrendered to the prince." Republic in the full sense of the term-are
Defending the absence of a special bill of rights trained for public life, first by the discipline of
in the original Constitution, he insists that "the their passions, and second by the cultivation of
Constitution is itself, in every rational sense, their minds. Their passions are disciplined by
and to every useful purpose, a bill of rights." music and gymnastics, their minds cultivated
It declares and specifies "the political privileges by the liberal arts and dialectic.
of the citizens in the structure and adminis- In the democracy which Mill contemplates as
tration of the government," and "defines cer- an ideal, "the most important point of excel-
tain immunities and modes of proceeding, lence ... is to promote the virtue and intelli-
which are relative to personal and private gence of the people themselves." He does not
concerns. " outline a specific curriculum for the training of
Nevertheless, the right of free speech and citizens, but it is clear that he thinks their edu-
free assembly and the right to trial by a jury cation cannot be accomplished in the schools
of peers, along with the immunity from un- alone. The superiority of democracy, according
warranted searches and seizures or from ex post to Mill, lies in the fact that it calls upon the
facto laws and bills of attainder, provided by citizen "to weigh interests not his own; to be
the early amendments to the C'..onstitution, do guided, in case of conflicting claims, by another
224 THE GREAT IDEAS
rule than his private partialities; to apply at of the good man who is free and also a subject,
every turn, principles and maxims which have e.g. his justice, will not be one but will comprise
for their reason of existence the common good; distinct kinds, the one qualifying him to rule,
and he usually finds associated with him in the the other to obey."
same work minds more familiarized than his The virtues of the citizen direct him pri-
own with these ideas and operations, whose marily in the performance of his obligations to
study it will be to supply reasons to his under- the state. But if the welfare of the state is not
standing, and stimulation to his feeling for the the ultimate end of man, if there are higher
general interest." In this "school of public goods which command human loyalty, if man's
spirit" a man becomes a citizen by doing the common humanity takes precedence over his
work of a citizen and so learning to act like one. membership in a particular state, then civic
1 the future citizen is to act like a free man, virtue does not exhaust human excellence. More
must he not also be trained in youth to think may be morally required of the good man than
like one? Vocational training prepares a man of the good citizen. The virtues of the saint and
to be an artisan, not a citizen. Only liberal the patriot may be of a different order.
education is adequate to the task of creating On this question, the great books reveal a
the free and critical intelligence required for fundamental disagreement among moralists and
citizenship. Hence in a state which rests on political philosophers, who differ as Plato and
universal suffrage, the educational problem be- Hegel differ from Augustine and Aquinas, or
comes greatly enlarged in scope, if not in from Locke and Mill, on the place of the state
intrinsic difficulty. in human life.
With the advent of universal suffrage, which The ancients frequently appeal to a law high-
Mill advocates, the state must face the re- er than that of the state. Socrates forever stands
sponsibility for making liberal education avail- as the classic example of one who would rather
able to every future citizen. To say that all die than disobey his inner voice-the command
normal children have enough intelligence to of his conscience. A Stoic like Marcus Aurelius
become citizens, but to regard the native en- is willing to give unqualified allegiance to the
dowment of a large number of them as in- political community only when it is the ideal
capable of liberal education; makes a travesty city of man, embracing the whole human broth-
of citizenship. Will the child who cannot profit erhood. "My city and my country, so far as I
by liberal education be able to discharge the am Antoninus," he says, "is Rome, but so far as
duties of the office to which he will be ad- I am a man"-whose "nature is rational and
mitted upon coming of age? social"-"it is the world."
For Christian theologians, membership in the
THE TRAINING OF CHARACTER is always more dif- city of God is a higher vocation than citizen-
ficult than the training of mind. In education ship in any earthly community-even when
for citizenship, the problem of moral training that is the city of man at its best. The city of
involves the question-discussed in the chapter God demands a higher order of virtue than the
on VIRTuE-whether the good man and the city of man. Referring to the earthly city, Au-
good citizen are identical in virtue. gustine says that "the things which this city de-
For Aristotle, and seemingly also for Mill, sires cannot justly be said to be evil, for it is it-
the virtue of the good man under an ideal con- self, in its own kind, better than all other human
stitution would be identical with that of the goods. For it desires earthly peace for the sake
good citizen. As both ruling and being ruled, of enjoying earthly goods." It is all right for
"the good citizen ought to be capable of both," men to seek "these things" for they "are good
Aristotle writes. "He should know how to gov- things, and without doubt the gifts of God."
ern like a freeman, and how to obey like a free- But, Augustine goes on to say, "if they neglect
man-these are the virtues of a citizen. And al- the better things of the heavenly city, which
though the temperance and justice of a ruler are secured by eternal victory and peace never-
are distinct from those of a subject, the virtue ending, and so inordinately covet these present
of a good man will include both; for the virtue good things that they believe them to be the
CHAPTER II: CITIZEN 225
only desirable things," then, in Augustine's sire and political obligation. Whatever form
opinion, they are misdirected in their love. this takes, the conflict confronts the political
In giving precedence to the commandments philosopher with all the questions that consti-
of God, the theologians do not deprecate the tute the problem of the individual and society,
commands of the state or the obligations of or man and the state.
citizenship. But those who belong to both cities To what extent and in what respects is the
may find themselves faced with a conflict be- individual's personality sacred and inviolable
tween the law of the state and the divine law. by the state? How much freedom from govern-
In such circumstances, the faithful have no ment has the individual a right to demand?
choice. They must obey God before man. How much individual sacrifice has the state a
"Laws that are contrary to the commandments right to expect? Is the state merely a means in
of God," Aquinas holds, do not "bind a man the individual's pursuit of happiness, or the end
in conscience" and "should not be obeyed." to which all other goods must be ordered? Is
man made for the state, or the state for man?
THIS CONFLICT BETWEEN human and divine law To questions of this sort, the answers range
finds expression in antiquity in the Antigone of from philosophical anarchism at one extreme to
Sophocles. "It was not Zeus who had pub- equally philosophical totalitarianism at the
lished me that edict," Antigone says of the other, with all degrees of individualism and
human law she disobeys; "nor deemed I that communism in between. The general problem
the decrees were of such force, that a mortal of man and the state, with all its controversial
could override the unwritten and unfailing issues, runs through many other chapters-such
statute.s of heaven. For their life is not of as CONSTITUTION, GOOD AND EVIL, LAW, LIB-
to-day or y~sterday, but from all time, and ERTY, and STATE-but we have placed its prin-
no man knows when they were first put forth." cipal formulation in this chapter because the
The problem which Antigone faces can occur concept of citizenship signifies the ideal con-
in as many other ways as there are possibilities dition of the human individual as a member
of tension between individual conscience or de- of the political community.
OUTLINE OF TOPICS
PAGE
I. The individual in relation to the state 226
2C. The character and extent of citizenship under different types of constitutions
3. The qualifications for citizenship: extent of suffrage
4. The rights, duties, privileges, and immunities of citizenship
5. The virtues of the citizen and the virtues of the good man 229
REFERENCES
To find the passages cited, use the. numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II.[265-z83] 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and brefer to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page II6 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the lettersc and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One of more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g.) Iliad, BK II [26S-283] 12d.
BIBLE REFERENCES :The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows: e.g., OLD TESTA-
MENT: Nehemiah, 7:4S-(D) II Esdras, 7:46. .
SYMBOLS: The ab\>reviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference: "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited ..
For additional information concerning the style of the references, see the Explanation of
Reference Style: for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: Other considerations of the issues involved in the relation between the individual and the
state, see GOOD AND EYIL 5d; HAPPINESS 5b; JUSTICE lOb; STATE 2f, 3c, 3<:' 8e.
The context of the concept of citizenship in the theory of constitutional government or
government by law rathetthan by men, see CoNSTITUTION; LAW7a-7b;LIBERTY Id, If-Ig;
MONARCHY Ia(I); TYRANNY 5-5d.
Other comparisons of citizens with subjects or slaves, see JUSTICE 9d; SLAVERY 6a-6c.
The bearing of different types of constitution on the character of citizenship and especially
on the extent of the franchise, see CONSTITUTION 5-5b; DEMOCRACY 4-4a(2), 5b(2);
OLIGARCHY 5-5a.
The political machinery, such as elections and representation, by which the citizen exerCises
his suffrage, see CONSTITUTION 9"j)b; DEMOCRACY 5b-5b(4); GOVERNMENT Ih.
The consideration of civic virtue in relation to virtue generally, see VIRTUE AND VICE 7b; and
for the problem of education for citizenship, see ARISTOCRACY 5; DEMOCRACY 6; EDUCA-
TION Sd; STATE 7d; VIRTUE AND VICE 7a.
Another discussion of the distinction between ~he city of man and the. city of God, see
STATE 2g; and for matters relevant to the ideal of world citizenship, see LOVE 4c; STATE IOf;
WAR AND PEACE lId.
Descriptions of the historical struggle for citizenship, and for the extension of the franchise,
see LABOR 7d; LIBERTY 6b; SLAVERY 6c; TYRANNY S.
ADDITIONAL READINGS
Listed below are works not incl~ded in Great Book! ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. WorkS by authors not represen ted in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
PAINE. Rights of Man .
I. GODWIN. An Enquiry Concerning Political Jllstice,
MACHIAVELLI. The Discourses, BK I BK IV, CH 2, SECT I
MONTESQUIEU. Considerations on the Causes of the TOCQUEVILLE. Democracy in America
Grandeur and Decadence of the Romans THOREAU. Civil Disobedience
J. S. MILL.The Subjection of Women FUSTEL DE COULANGES. The Ancient City
T. H. GREEN. Principles of Political Obligation, (8)
II. SPENCER. The Man Versus the State
CICERO. De Officiis (On Duties), I JELLINEK. The Declaration ofthe Rights of Man and
BODIN. The Six Bookes of a Commonweale, BK I, Citizens
CH 6-7; BK III, CH 8 BOSANQUET. Science and Philosophy, 16
HOOKER. Of the Laws of Ecclesiastical Polity HOBHOUSE. The Metaphysical Theory of the State
PUFENDORF. De Officio Hominis et Civis Juxta Legem BRYCE. The Hindrances to Good Citizenship
Naturalem (OftheDuties of Man and ofthe Citizen - - . Modern Democracies
According to Natural Law) G. NEWMAN. Citizenship and the Survival of Civili-
DIDEROT. Citoyen zation
MADLY. Des droits et devoirs du citoyen MERRIAM. The Making of Citizens
CARTWRIGHT. Take Your Choice! TAWNEY. Equality
BURKE. Letter to the Sherifft of Bristol MARITAIN. The Rights of Man and Natural Law
- - . On the Reform of the Representation in the EWING. The Individual, the State and World
House of Commons Government
Chapter 12: CONSTITUTION
INTRODUCTION
T HE idea of a constitution as establishing
and organizing a political comrriunity; the
inally formed-or at least differentiated from
the tribe and family.
principle of constitutionality as determining a Kant gives explicit expression to the notion
generic form of government having many that the invention of constitutions is coeval
varieties; and the nature of constitutional with the formation of states. "The act by which
government-these three problems are so inti- a People is represented as constituting itself in-
mately connected that they must be treated to a State," he writes, "is termed the Original
together. We have used the word "constitu- Contract" and this in turn signifies "the right-
tion" to express the root notion from which all fulness of the process of organizing the Consti-
other matters considered in this chapter are tution."
derived. In this sense, the constitution appears to be
It is impossible to say precisely what a con- identical with the organization of a state. It
stitution is in a way that will fit the political would then seem to follow that every state, no
reality of the Greek city-states, the Roman re- matter what its form of government, is consti-
public and its transformation into the empire, tutional in character. But this would leave no
mediaeval kingdoms and communes and their basis for the fundamental distinction between
gradual metamorphosis into the limited mon- constitutional andnon-constitutional-or what
archies and republics of modern times. No defi- is usually called "absolute," "royal," or "des-
nition can adequately comprehend all the vari- potic" -government.
ations of meaning to be found in the great That basic distinction among forms of gov-
works of political theory and history. But there ernment is as old as Plato and Aristotle. It is
are a number of related points in the various first made by Plato in the Statesman in terms
meanings of "constitution" which. indicate of the role of law in government. It occurs at
what is common to the understanding of such the very opening of Aristotle's Politics with
diverse thinkers as Plato and Locke, Aristotle his insistence on the difference between the
and Rousseau, Kant and Mill, Montesquieu king and the statesman, and between royal and
and Hegel, Aquinas, Hobbes, and the American political government. But Locke seems to go
Federalists. further than the ancients when he says that
"absolute monarchy ... is inconsistent with
IT HAS BEEN SAID that the constitution is the civil society, and so can be no form of civil
form of the state. This can be interpreted to government at alL"
mean that the political, as opposed to the do- In addition to affirming the gravity of the
mestic, community requires a constitution in distinction between constitutional and non-
order to exist; just as a work of art has the very constitutional government, he seems to be
principle of its being in the form which the denying that the latter can constitute the form
artist imposes upon matter. In the context of of a truly avil society, as opposed to a domestic
his general theory of political association, Aris- society or the primitive patriarchate of a tribe.
totle's remark that "the man who first founded Yet Locke obviously does not deny the his-
the state was the greatest of benefactors," may toric fact that there have been communities,
imply that the idea of a constitution is the which otherwise appear to be states, that have
creative principle by which the state was orig- their character or form determined by absolute
233
234 THE GREAT IDEAS
government. His point, therefore, seems to be ten or unwritten, whether a product of custom
that among types of government, absolute or explicit enactment, a constitution, Aristotle
monarchy does not fit the nature of civil writes, "is the organization of offi~es in a state,
society. and determines what is to be the governing
If "constitution" is used merely as a syno- body, and what is the end of each community."
nym for "form" or "type," then even a state The idea of political office-of officials and
under absolute monarchy or despotic govern-. official status-is inseparable from the idea of
ment can be said to have a constitution. Since constitution. That is why the concept of citi-
every state is of some type, it can be said that zenship is also inseparable from constitution.
it has a certain constitution, or tha t it is con- As the chapter on CITIZE:-: indicates, citizen-
stituted in a certain way. If, however, we use ship is the pfimary or indefinite office set up by
the word "constitution" to conform to the dis- a constitution. Citizenship is always the pre-
tinction between constitutional and non-con- requisite for holding any other more definite
stitutional government, we are compelled to office in a constitutional government, from
say that there are states which do not have juryman to chief magistrate. In specifying the
constitutions. qualifications for citizenship, a constitution
With this distinction in mind, the statement sets the minimum qualifications for all other
that "the constitution is the form of the state" offices which usually, though !lot always, de-
takes on a different and more radical meaning. mand more than citizenship of the man who is
It signifies that there are communities, larger to fill them.
than and distinct from the family or the tribe, A political office represents a share of polit-
which cannot be called "states" in the strict ical power and authority. "Those are to be
sense because they do not have constitutions. called offices," Aristotle explains, "to which
Hegel, for instance, points out that "it would the duties are assigned of deliberating about
be contrary even to .commonplace ideas to call certain measures and of judging and command-
patriarchal conditions a 'constitution' or a ing, especially the last; for to command is the
people under patriarchal government a 'state' especial duty of a magistrate." As representing
or its independence 'sovereignty.'" In such a share of political power and authority, a
conditions, what is lacking, he writes, is "the political office can be said to constitute a share
objectivity of possessing in its own eyes and in of sovereignty. That would not seem to be true,
the eyes of others, a universal and universally however, for those who, like Rousseau, main-
valid embodiment in laws." Without such an .tain that "sovereignty is indivisible." Yet
"objective law and an explicitly established ra- Rousseau also admits that "each magistrate is
tional constitution, its autonomy is ... not almost always charged with some governmental
sovereignty." function" and exercises a "function of sover-
From this it would appear that a despotically eignty."
governed community, such as ancient Persia, Since it is an arrangement of offices, a con-
is a political anomaly. It is intermediate be- stitution is, therefore, also a division or parti-
tween the family and the state, for it is like a tion of the whole sovereignty of government-
state in its extent and in the size and character or at least of the exercise of sovereignty-into
of its population, yet it is not a state in its po- units which have certain functions to perform,
litical form. The truly political community is and which must he given the requisite power
constitutionally organized and governed. In and authority to perform them. These units are
this sense, the English words "political" and political offices, defined according to their
"constitutional" become almost interchange- functions, and vested with a certain power and
able, and we can understand how these two authority depending on their place and pur-
English words translate a single word in Greek pose within the whole.
political discourse. Hamilton's maxim that "every power ought
to be in proportion to its object" formulates
As THE FORM of the state, the constitution is the equation by which. the function of an office,
the principle of its organization. Whether writ- or its duties, determines its rights and powers,
CHAPTER 12: CONSTITUTION 235
privileges and immunities. And except for the constitution is judged to be unconstitutional
provision of a temporary dictatorship in the and is deprived thereby of the authority of law.
early Roman constitution, or its modern con- "Every act of a delegated authority," Hamil-
stitutional equivalent in emergency grants of ton writes in The Federalist, "contrary to the
power, political offices under constitutional tenor of the commission under which it is
government always represent limited amounts exercised, is void. No legislative act, therefore,
of power and authority-limited in that each contrary to the Constitution can be valid. To
is always only a part of the whole. deny this would be to affirm that the deputy is
greater than his principal; that the servant is
A CONSTITUTION defines and relates the various above his master; that the representatives of
political offices. It determines the qualifica- the people are superior to the people them-
tions of office-holders. But it does not name the selves; that men acting by virtue of powers may
individuals who, from all those qualified, shall do not only what their powers do not authorize.
be selected for any office. Because its provisions but what they forbid."
have this sort of generality, a constitution has
the character of law. This is equally true of THE CONCEPTION of a constitution as a law or
written and unwritten constitutions, of those set oflaws antecedent to all acts of government
shaped by custom and those enacted by con- inevitably raises the question of how or by
stituent assemblies. whom constitutions are made. If the provisions
Unlike all other man-made laws, a constitu- of a constitution were precepts of natural law,
tion is the law which creates and regulates they would, according to the theory of natural
government itself, rather than the law which a law, be discovered by reason, not positively in-
government creates and by which it regulates stituted. But though constitutions have the
the conduct of men, their relation to one an- character of positive law, they cannot be made
other and to the state. This is perhaps the basic as other positive laws are made-by legislators,
distinction with regard to the laws of the state. i.e., men holding tha t office under the consti-
"The fundamental law in every common- ttltion.
wealth," says Hobbes, "is that which being The generally accepted answer is that a con-
taken away the commonwealth faileth and is stitution is made by the people who form the
utterly dissolved." Montesquieu distinguishes political community. But, as Madison observes,
what he calls "the law politic," which consti- some evidence exists to the contrary. "It is not
tutes the state, from ordinary legislation; and a little remarkable," he writes, "that in every
Rousseau likewise divides the laws into the case reported by ancient history, in which
"political" or "fundamental" laws and the government has been established with delibera-
"civil laws"-those "which determine the tion and consent, the task of framing it has not
form of the government" and those which the been committed to an assembly of men, but has
government, once it is constituted, enacts been performed by some individual citizen of
and enforces. pre-eminent wisdom and approved integrity."
In addition to being the source of all other He cites many examples from Plutarch to sup-
positive laws of the state-for it sets up the port this observation, but he adds the comment
very ma~hinery of lawmaking-a constitution that it cannot be ascertained to what e:;tent
is fundamental law in that it establishes the these lawgivers were "clothed with the legiti-
standard of legality by which all subsequent mate authority of the people." In some cases,
laws are measured. Aristotle observes that "the however, he claims that "the proceeding was
justice or injustice of laws varies of necessity strictly regular."
with constitutions." What may be a just enact- The writers of The Federalist are, of course,
ment in one state may be unjust in another primarily concerned with a constitution that is
according to the difference of their consti- not the work of one man but the enactment of
tutions. a constituent assembly or constitutional con-
In American practice and that modeled upon vention. From their knowledge of British law,
it, a law which violates the letter or spirit of the they arc also well aware that a constitution may
236 THE GREAT IDEAS
sometimes be the product of custom, growing The reality and significance of the difference
and altering'with change of custom. But how- between these three political philosophers
ever it is exercised, the constitutive power is would'seem to depend on the precise historical
held by them to reside in the constituents of meaning each gives to the hypothesis of men
the state, the sovereign people. This power may living in a state of nature prior to political
be exercised through force of custom to pro- association. If, prior to the state, men live in
duce an unwritten' constitution, or through non-political societies, and if the state, as op-
deliberative processes to draft a written one; posed to the family or the despotically niled
but it can never be exercised by a government community, begins to exist only when it is
except with popular consent, since all the powers constituted, then the formation of the state
of a duly constituted government derive from and the formation of its government would
its constitution. In the American if not the seem to be the product of a single convention.
British practice, the amendment of the con-
stitution also involves, at least indirectly, an THE PRINCIPLE OF constitutionality is also
appeal to the people. necessary in order to understand the familiar
Rousseau assigns the constitutive power to a distinction between government by laws and
mythical figure he calls "the legislator" or "the government by men. Except for the divine
law-giver,'" describing him as the man who sort of government which is above both law
"sets up the Republic." Yet Rousseau says of and lawlessness, Plato employs "the distinction
this special office that it "nowhere enters into of ruling with law or without law" to divide the
the constitution." He thus reaffirms the essen- various forms of government into two groups.
tial point that a constitution cannot create the "The principle of law and the absence of law
office of constitution-making. will bisect them all," the Eleatic Stranger says
These remarks in the Social Contract have in the Statesman.
another significance. Rousseau tries to distin. In the ordinary meaning of law as an instru-
guish the formation' of a government by the ment of government, it is difficult to conceive
constitution (the political or fundamental law government by laws without men to make and
made by the legislator) from the formation of administer them, or government by men who
the state by the social contract entered into by do not issue general directives which have the
the people in their original act of association. character of law. Government always involves
But is not the constitution also a formative con- both laws and men. But not all government
tract or convention? If it is popular in origin, rests upon the supremacy of law, a supremacy
either through custom or enactment, is there which consists in the equality of all before the
more than a verbal difference between these law and the predominance of regular law as
two contracts-the one which establishes a opposed to arbitrary decision. Nor is all govern-
political society and the one,which establishes ment based upon a law that regulates the offi-
its government? cials of government as well as the citizens, and
For Hobbes, and seemingly also for Locke, determines the legality of official acts, legisla-
the compact by which men abandon the state tive, judicial, or executive. That law is, of
of nature and establish a civil soCiety results at course, the constitution.
the same time in the establishment of a govern- Locke makes a distinction between govern-
ment. It is, Hobbes writes, "as if every man ing by "absolute arbitrary power" and govern-
should say to every man, I authorize and give ing by "settled standing laws." It is his con-
my right of governing my self, to this Man or tention that "whatever form the common-
to this Assembly of men, on this condition, wealth is under, the ruling power ought to
that thou give up thy right to him, and author- govern by declared and received laws, and not
ize all his actions in like manner." According to by extemporary dictates and undetermined
Rousseau, "there is only one contract in the resolutions, for then mankind will be in a far
State, and that is the [original] act of associa- worse condition than in a state of Nature ...
tion." For him, "the institutioil of government All the power the government has, being only
is not a contract." for the good of the society, as it ought not to
CHAPTER 12: CONSTITUTION 237
be arbitrary and at pleasure; so it ought to be type of democracy, the combination proposed
exercised by established and promulgated laws, would seem to be a mixture of absolute with
that both the people may know their duty, constitutional government. But the Athenian
and be safe and secure within the limits of the Stranger also says that "there ought to be no
law, and the rulers, too, kept within their due great and unmixed powers" if the arbitrary is
bounds." to be avoided; and since the whole tenor of the
As Locke states the distinction between book, as indicated by its title, is to uphold the
government bylaws and government by men, supremacy of law, it is doubtful that a truly
it seems to be identical with the distinction be- mixed regime is intended-a government which
tween constitutional and non-constitutional is partly absolute and partly constitutional.
government. In the latter, an individual man Aristotle, furthermore, gives us reason to
invests himself with sovereignty and, as sover- think that such a mixture would be unthink-
eign, puts himself above all human law, being able to a Greek. At least in his own vocabulary,
both its source and the arbiter of its legality. the terms royal and political are as contradictory
Such government is absolute, for nothing limits as round and square. Royal, or kingly, govern-
the power the sovereign man exercises as a ment for Aristotle is "absolute monarchy, or
prerogative vested in his person. In constitu- the arbitrary rule of a sovereign over all." In
tional government, men are not sovereigns but royal government, there are no political offices,
office-holders, having only a share of the sov- and no citizens. The ruler is sovereign in his
ereignty. They rule not through de facto pow- own person and the ruled are subject to his
er, but through the juridical power which is will, which is both the source of law and
vested in the office they hold. That power is exempt from all legal limitations.
both created and limited by the law of the con- To Aristotle, political government means
stitution which defines the various offices of pure constitutionalism. It exists only where
government. "the ci tizens rule and are ruled in turn," for
"when the state is framed upon the principle of
ALTHOUGH ABSTRACTLY or in theory absolute equality and likeness, the citizens think they
and constitutional government are clearly dis- ought to hold office by turns." To the generic
tinct-more than that, opposed-political his- form of constitutional government, Aristotle
tory contains the record of intermediate types. sometimes gives the name of "polity," though
These can be regarded as imperfect embodi- he also uses this name for the mixed constitu-
ments of the principle of constitutionality, or tio~ which combines democratic' with oligar-
as attenuations of absolute rule by constitu- chical criteria for citizenship and public office.
tionalencroachments. Despite their incompati- The mixed constitution is not to be confused
bility in principle, historic circumstances have with the mixed regime, for it is a mixture of
managed to combine absolute with constitu- different constitutional principles, not of con-
tional government. It is this combination which stitutionalism itself with absolute government.
mediaeval jurists and philosophers call "the When the word "polity" signifies constitutional
mixed regime" or the regimen regale et politi- government generally, it has the meaning
cum, "royal and political government." which the Romans express by the word "re-
It may be thought that a foreshadowing of public" and which the constitutionalists of the
the mediaeval mixed regime can be found in 18th century call "free government."
Plato's Laws, in the passage' in which the The distinctive characteristics of such gov-
Athenian Stranger says that monarchy and ernment-whether it is called political, repub-
democracy are the "two mother forms of states lican, constitutional, or free-lie in the fact
from which the rest may be truly derived." He that the citizens are both rulers and ruled; that
then asserts that, to combine liberty with wis- no man, not even the chief magistrate, is above
dom, "you must have both these forms of gov- the law; that all political power or authority is
ernment in a measure." Since the Persian des- derived from and limited by the constitution
potism is cited as the "highest form" of monar- which, being popular in origin, cannot be
chyand the Athenian constitution as the arche- changed except by the people as a whole.
238 THE GREAT IDEAS
It is perhaps only in the Middle Ages that MEDIAEVAL IN ORIGIN, the institution of a
we find the mixed regime in actual existence. government both royal and political, or what
"That rule is called politic and royal," Aquinas Fortescue, describing England in the 15th cen-
writes, "by which a man rules over free sub- tury, called a "political kingdom," exerted
jects who, though subject to the government of great influence on modern constitutional de-
the ruler, have nevertheless something of their velopments. As late as the end of the 17th cen-
own, by reason of which they can resist the tury, Locke's conception of the relation of king
orders of him who commands." These words and parliament, royal prerogative and legal
seem to present an accurate picture of the pe- limitations, may emphasize the primacy of law,
culiarly mediaeval political formation which but it does not entirely divest the king of per-
resulted from the adaptation of Roman law (it- sonal sovereignty. Locke quotes with approval
self partly republican and partly imperial) to the speech from the throne in 1609, in which
feudal conditions under the influence of local James I said that "the king binds himself by a
customs and the Christian religion. double oath, to the observation of the funda-
The mediaeval mixed regime is not to be con- mental laws of his kingdom. Tacitly, as by
fused with modern forms of constitutional being a king, and so bound to protect as well
monarchy any more than with the mixed con- the people, as the laws of his kingdom, and ex-
stitution or polity of the Greeks. "The so- pressly by his oath at his coronation." To this
called limited monarchy, or kingship according extent the British kingdom is, as Fortescue had
t~ law," Aristotle remarks, "is not a distinct said, "political." But the king also retains the
form of government." The chapter on MON- prerogative to dispense with law and to govern
ARCHY deals with the nature of constitutional in particular matters by decree apart from law,
monarchy and its difference from the mixed and to this extent the government still remains
regime as well as its relation to purely republi- royal.
can government. The mediaeval king was not a Locke recognizes the difficulty of combining
constitutional monarch, but a sovereign person, the absolute power of the king in administra-
in one sense above the law and in another tion with the limitations on that power repre-
limited by it. sented by Parliament's jurisdiction over the
To the extent that he had powers and pre- laws which bind the king. To the question,
rogatives unlimited by law, the mediaeval king Who shall be judge of the right use of the royal
was an absolute ruler. He was, as Aquinas says, prerogative? he replies that "between an execu-
quoting the phrase of the Roman jurists, legibus tive power in being, with such prerogative, and
solutus-exempt from the force of all man- a legislative that depends upon his will for their
made law. Aquinas also describes him as "above convening, there can be no judge on earth ...
the law" insofar as "when it is expedient, he The people have no other remedy ... but to
can change the law, and rule without it accord- appeal to heaven."
ing to time and place." Yet he was also bound Montesquieu as well as Locke can conceive
by his coronation oath to perform the duties of monarchy, as distinct from despotism, in no
his office, first among which was the mainte- other terms than those of the mixed regime.
nance of the laws of the realm-the immemorial He separates despotism as lawless, or arbitrary
customs of the people which define their and absolute, government from all forms of
rights and liberties. The king's subjects could government by law, and divides the latter into
be released from their oa th of allegiance by his monarchies and republics. Montesquieu insists
malfeasance or dereliction in office. that the ancients had no notion of the kind
To this extent, then, the mediaeval king was of monarchy which, while it is legal govern-
a responsible ruler, and the mixed regime was ment, is not purely constitutional in the sense of
constitutional. Furthermore, the king did not being republican. He calls this kind of mon-
have jurisdiction over customary law; yet archy "Gothic government," and, as Hegel
where custom was silent, the king was free to later points out, it is clear that "by 'monarchy'
govern absolutely, to decree what he willed, he understands, not the patriarchal or any an-
and even to innovate laws. cient type, nor on the other hand, the type or-
CHAPTER 12: CONSTITUTION 239
ganized into an objective constitution, but only IN THE HISTORY of political change, it is neces-
feudal monarchy." sary to distinguish change from or to constitu-
It is not until the I 8th century that the tional government and, within the sphere of
slightest vestige of royal power comes to be re- constitutional government, the change of con-
garded as inimical to law. For Rousseau "every stitutions.
legi tima te governmen t is repu blican" ; for Kan t, Republics are set up and constitutions estab-
"the only rightful Constitution ... is that of a lished by the overthrow of despots or with their
Pure Republic," which, in his view, "can only abdication. Republics are destroyed and consti-
be constituted by a representative system of the tutions overthrown by dictators who usurp the
people." The writers of The Federalist take the powers of government. Violence, or the threat
same stand. They interpret the "aversion of the of violence, usually attends these changes.
people to monarchy" as signifying their espousal The other sort of change may take place in
of purely constitutional or republican govern- two ways: either when one constitution re-
ment. In the tradition of the great books, only places another, as frequently occurs in the revo-
Hegel speaks thereafter in a contrary vein. lutions of the Greek city-states; or when an
Constitutional monarchy represents for him enduring constitution is modified by amend-
the essence of consti tu tionalism and the onl y ment, as is customary in modern republics.
perfect expression of the idea of the state. Every constitutional change is in a sense revo-
Because modern republics, and even modern lutionary, but if it can be accomplished by due
constitutional or limited monarchies, have de- process of law, violence can be avoided.
veloped gradually or by revolution out of mixed All the changes in which constitutional gov-
regimes; and because thi~ development came ernment or constitutions are involved raise
as a reaction against the increasing absolutism fundamental questions of justice. Is republican
or despotism of kings, the principle of constitu- government always better than absolute mon-
tionality has been made more effective in mod- archy and the mixed regime-better in the
ern practice than it was in the ancient world. sense of being more just, better because it gives
In addition to asserting limitations upon gov- men the liberty and equality they justly de-
ernments, constitutions have also provided serve? Is it better relative to the nature and
means of controlling them. They have been condition of certain peoples but not all, or of a
given the force, as well as the authority, of people at a certain stage of their development,
positive law. They have made office-holders ac- but not always? In what respects does one con-
countable for their acts; and through such ju- stitution embody more justice than another?
ridical processes as impeachment and such po- What sorts of amendment or reform can rectify
litical devices as frequent elections and short the injustice of a constitution? Without an-
terms of office, they have brought the adminis- swering such questions, we cannot discriminate
tration of government within the purview of between progress and decline in the history of
the law. consti tu tionalism.
Following Montesquieu, the Federalists rec- Divergentanswers will, of course, be found in
ommend the separation of powers, with checks the great books. Among the political philoso-
and balances, as the essential means of enforc- phers, there are the defenders of absolutism
ing consti tutionallimitations of office and of pre- and those who think that royal government is
venting one department of government from most like the divine; the exponents of the su-
usurping the power of another. The citizens are premacy of the mixed regime; the republicans
further protected from the misuse of power by who insist that nothing less than constitutional
constitutional declarations of their rights and government is fit for free men and equals. And
immunities; and constitutional government is there are those who argue that the justice of
itself safeguarded from revolutionary violence any form of government must be considered
by such institutions as judicial review and by relative to the condition of the people, so that
the availability of the amending power as a republican government may be better only in
means of changing the constitution through some circumstances, not in all.
due process of law. The issue arising from these conflicting views
240 THE GREAT IDEAS
concerning constitutional and absolute govern- ditions. The territorial extent and populousness
ment is treated in the chapters on CITIZEN, of the nation-state as compared with the an-
MONARCHY; and TYRANNY. But one other cient city-state makes impossible direct partici-
issue remains to be discussed here. It concerns pation by the whole body of citizens in the
the comparative justice of diverse constitutions. major functions of government.
Consti tutions can differ from one another in the Considering the ancient republics of Sparta,
way in which they plan the operations of gov- Rome, and Carthage, the writers of The Fed-
ernment, or in the qualifications they set for eralist try to explain the sense in which the
citizenship and public office. Usually only the principle of representation differentiates the
second mode of difference seriously affects American republic from these ancient consti-
their justice. tutional governments. "The principle of repre-
In Greek political life, the issue of justice as sentation," they say, "was neither unknown to
between the democratic and the oligarchical the ancients nor wholly overlooked in their
constitution is a conflict between those who political constitutions. The true distinction be
think that all free men deserve the equality of tween these and the American government lies
citizenship and the opportunity to hold office, in the total exclusion ofthe people, in their collec-
and those who think it is unjust to treat the tive capacity, from any share in the latter, and
rich and the poor as equals. The latter insist not in the total exclusion of the representatil'es of
that citizenship should be restricted to the the people from the administration of the
wealthy and that the magistracies should be former."
reserved for men of considerable means. The Federalists then go on to say that "the
Finding justice and injustice on both sides, distinction ... thus qualified must be admitted
Aristotle favors what he calls "the mixed con- to leave a most advantageous superiority in
stitution." This unites the justice of treating favor of the United States. But to insure to
free men alike so far as citizenship goes, with this advantage its full effect, we must be careful
the justice of discriminating between rich and not to separate it from the other advantage of
poor with respect to public office. Such a mix- an extensive territory. For it cannot be be-
ture, he writes, "may be described generally as lieved that any form of representative govern-
a fusion of oligarchy and democracy," since it ment could have succeeded within the narrow
attempts "to unite the freedom of the poor and limits occupied by the democracies of Greece."
the wealth of the rich." The mixed consti tu tion, In their opinion, representative government
especially if accompanied by a numerical pre- is not merely necessitated by the conditions of
dominance of the middle class, seems to him to modern society, but also has the political ad-
have greater stability, as well as more justice, vantage of safeguarding constitutional govern-
than either of the pure types of constitution ment from the masses. As pointed out in the
which, oppressive to either poor or rich, pro- chapter on ARISTOCRACY, where the theory of
voke revolution. representation is discussed, the officers of gov-
In modern political life, the issue between ernment chosen by the whole body of citizens
oligarchy and democracy tends toward a differ- are supposed-at least on one conception of
ent resolution. The last defenders of the oligar- representatives-to be more competent in the
chical constitution were men like Burke, Ham- business of government than their constituents.
ilton, and John Adams in the 18th century. It is in these terms that the Federalists advo-
Since then, the great constitutional reforms cate what they call "republican government"
have progressively extended the franchise al- as opposed to "pure democracy."
most to the point of universal suffrage. These Like the idea of political offices, the prin-
matters are, of course, further treated in the ciple of representation seems to be inseparable
chapters on DEMOCRACY and OLIGARCHY. from constitutionalism and constitutional gov-
ernment. Though the principle appears to a
POLITICAL REPRESENTATION, with a system of certain extent in ancient republics-whether
periodic elections, seems to be indispensable to oligarchies or democracies..!..:...ancient political
constitutional government under modern con- writing does not contain a formal discussion of
CHAPTER 12: CONSTITUTION 241
the theory of representation. That begins in representative assemblies-that the idea of rep-
mediaeval treatises which recognize the consul t- resentation and the theory of its practice as-
ative or advisory function of those who repre- sume a place of such importance that a political
sent the nobles and the commons at the king's philosopher like Mill does not hesitate to iden-
court. But it is only in recent centuries-when tify representative with constitutional govern-
legislation has become the exclusive function of ment.
OUTLINE OF TOPICS
PAGE
I. The difference between government by law and government by men: the nature of
constitutional government 242
6. The origin of constitutions: the lawgiver, the social contract, the constituent assembly 246
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-283] 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology, 116a-119b,the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halves of the right-hand side of
the page. Forexample, in 7 PLATO: Symposium,l63b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-283] 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versionsditfer in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style: for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
Por: Other considerations of the distinction between government by law and government by men,
and for the comparison of constitutional government with other forms of government, see
ARISTOCRACY 4; LAW 6b, 7a-7b; LIBERTY Id, If; MONARCHY Ia-Ia(2), 4c-4e(4);
TYRANNY 5-5d.
The exposition' of different types of constitutions and different forms of constitutional govern-
ment in themselves and in relation to one another, see ARISTOCRACY I-2e; CITIZEN 2c-3;
DEMOCRACY .r3c, 4a(I)-4a(2), 4d; OLIGARCHY 1-2, 4, 5a.
Other discussions of the mixed regime and the mixed constitution, see ARISTOCRACY 2b;
DEMOCRACY 3a-3b; GOVERNMENT 2b; MONARCHY Ib(I)-lb(2).
The idea of citizenship in relation to constitutional government, see CITIZEN 2a-2b; and for
the conception of the statesman as a constitutional office-holder, see STATE 8.
The conception of constitutional law and its relation to other bodies of law and legal justice,
see JUSTICE 9C, lOa; LAW 7a.
Matters relevant to the conventional character of constitutions and the relation of the idea of
a constitution to the theory of the social contract, see CUSTOM AND CONVENTION 6a; LAW
7c; NATURE 2b; STATE 3d.
Constitutional government in relation to the theory of sovereignty, see DEMOCRACY 4b;
GOVERNMENT Ig(I)-Ig(3); LAW 6b; MONARCHY 4e(3); STATE 2C; TYRANNY 5c.
Other discussions of the safeguards of constitutional government and of the theory and
machinery of representation, see ARISTOCRACY 6; DEMOCRACY 4b, 5-5C; GOVERNMENT Ih;
LIBERTY Ig.
The problem of constitutional change and the stability of different types of constitution, see
ARISTOCRACY 3; DEMOCRACY 7ja; REVOLUTION 2a, 3C(2); STATE 3g.
The issues involved in the development of constitutional government and the establishment
of liberty under law, see GOVERNMENT 6; LIBERTY 6b; MONARCHY 4e(2); PROGRESS 4a;
REVOLUTION 3a; TYRANNY 4b, 8.
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
FORTESCUE. Governance of England.
I. GUICCIARDINI. Dialogo e discorsi del reggimento di
MACHIAVELLI. The Discourses, BK I Firenze
MILTON. The Tenure of Kings and Magistrates BODIN. The Six Bookes of a Commonweale
HUME. Idea of a Perfect Commonwealth BELLARMINE. The Treatise on Civil Government (De
Laicis)
II. HOOKER. Of the Laws of Ecclesiastical Polity
POLYBIUS. Histories, VOL I, BK VI BOLINGBROKE. Dissertation upon Parties, LETTER 18
CICERO. De Republica (The Republic) VATTEL. The Law of Nations, BK I, CH 3
MARSILIUS OF PADUA. Defensor Pads J. WILSON. Works, PART I, CH II, v, X-XI; PART II
CHAPTER 12: CONSTITUTION 251
BENTHAM. Fragment on Government, CH I (36-48),3 DICEY. Introduction to the Study of the Law of the
J. ADAMS. A Defense ofthe Constitutions of GOt'ern- Constitution
ment of the United States of America MOSCA. The Ruling Class
PAINE. Rights of Man JELLINEK. Allgemeine Staatslehre
BURKE. Letter to the Sheriffs of Bristol BRYCE. The American Commonwealth
- - . On the Reform of the Representation in the - - . Studies in History and Jurisprudence
House of Commons BEARD. The Supreme Court and the Constitution
- - . An Appealfrom the. New to the Old Whigs DUGUIT. Law in the Modern State
- - . Letter to Sir Hercules Langrishe FARRAND. The Framing of the Constitution of the
GODWIN. An Enquiry Concerning Political Justice, BK United States
VI, CH 7 J. DICKINSON. Administrative Justice and the Su-
SIEyES. Discours dans les debats constitutionels de l'an premacy of Law in the United States
III MERRIAM. The Written Constitution and the Unwrit-
JEFFERSON. Notes on the State ofVirginza ten Attitude
- - . Democracy, CH 3 MciLWAIN. The Fundamental Law Behind the
WHEWELL. The Elements of Morality, BK v, CH 4-5 Constitution
CALHOUN. A Disquisition on Government - - . Constitutionalism and the Changing World
- -. .A Discourse on the Constitution and Got'ern- - - . Constitutionalism, Ancient and Modern
ment of the United States KELSEN. General Theory of Law and State
TOCQUEVILLE. Democracy in America ROSSITER. Constitutional Dictatorship
- - . L'ancien regime (Ancient Regime) BORGESE et af. Preliminary Draft of a World
BAGEHOT. The English Constitution Constitution
Chapter 13: COURAGE
INTRODUCTION
T HE heroes of history and poetry may be
cruel, violent, self-seeking, ruthless, intem-
it is not because nothing affrights them or turns
their blood cold. Fear seizes them, as does anger,
perate, and unjust, but they are never cowards. with all its bodily force. They are fearless only
They do not falter or give way. They do not in the sense that they do not act afraid or fail
despair in the face of almost hopeless odds. They to act. Their courage is always equal to the
have the strength and stamina to achieve what- peril sensed or felt, so that they can perform
ever they set their minds and wills to do. They what must be done as if they had no fear of pain
would not be heroes if they were not men of or death.
courage. Yet brave men often speak of courage as if it
This is the very meaning of heroism which were fearlessness and mark the coward as one
gives the legendary heroes almost the stature who is undone by fear. An ambush, Indomen-
of gods. In the Homeric age they do in fact con- eus says in the Iliad, will show "who is coward-
tend with gods as well as men. The two Homeric ly and who is brave; the coward will change
epics, especially the Iliad, are peopled with men color at every touch and turn; he is full of fears,
who cannot be dared or daunted. In Tenny- and keeps shifting his weight first on one knee
son's poem, Ulysses, now restive in Ithaca, and then on the other; his heart beats fast as he
remembering the years at Troy and the long thinks of death, and one can hear the chatter-
voyage home, says to his companions, ing of his teeth." The brave man, mastering
fear, will appear to be fearless.
Some work of noble note may yet be done
Not unbecoming men that strove with Gods This is the courage of men of action, men in
...................... and though war, found not only in the heroes of Troy's
We are not now that strength which in old days siege, but in the stalwarts of all other battles-
Moved earth and heaven; that which we are, we are: Leonidas at Thermopylae, Aeneas and Turnus
One equal temper of heroic hearts, engaged in single combat, the conquerors in
Made weak by time and fate, but strong in will
To strive, to seek, to find, and not to yield. Plutarch, the warrior-nobility in Shakespeare,
the civilized Prince Andrew and young Rostov
In the Iliad, courage is the quality above all in War and Peace. It is the sort of courage which
others which characterizes the great figures of goes with physical strength, with feats of en-
Achilles and Hector, Ajax, Patroclus, and Dio- durance; and, as signified by the root-meaning
medes, Agamemnon and Menelaus. The only of "fortitude," which is a synonym for courage,
other quality which seems to be equally prized, it is a reservoir of moral or spiritual strength to
and made the subject of rivalry and boast, is sustain action even when flesh and blood can
cunning-the craft of Odysseus, that man of carryon no further. Such courage is a virtue in
many devices, and the cleverness in speech of the primary sense of the Latin word virtus-
Nestor. Yet the best speech is only the prelude manliness, the spirit, or strength of spirit, re-
to action, and except for the night expedition quired to be a man.
of Odysseus and Diomedes into the Trojan
camp, the great actions of the Iliad are un- THERE ARE OTHER sorts of courage. The courage
planned deeds of prowess-stark, not stealthy. of the tragic hero, of Oedipus and Antigone,
The heroes have boundless passions, and fear goes with strength of mind, not body. This,
is among them. When they are called fearless, perhaps even more than being lion-hearted, is
252
CHAPTER 13: COURAGE 253
a specifically human strength. Courage does not and indolence cowardice is engendered, and
consist only in conquering fear and in with- from laborious exertions and pains, courage."
holding the body from flight no matter what This, according to Hippocrates, partly explains
the riskofpain. It consists at least as much in why the Asiatics readily submit to despotism and
steeling the will, reinforcing itsresolutions,and why the Europeans fight for political liberty.
turning the mind relentlessly to seek or face But the character of the Europeans, he adds, is
the truth. also the result of "their insti tu tions, because
Civil no.less than martial action requires cour- they are not governed by kings ... for where
age. Weary of empire, Marcus Aurelius sum- men are governed by kings, there they must be
mons courage each day for the performance of very cowardly ... and they will not readily
an endless round of duties. "In the morning undergo dangers in order to promote the power
when thou risest unwilling," he reminds him- of another; but those that are free undertake
self, "let this thought be present- I am rising dangers on their own account ... and thus
to the work of a human being," How he. con- their institutions contribute not a little to their
ceives the work of an erpperor, he makes plain. courage."
"Let the deity which is in thee be the guardian For Hegel, on the contrary, civic courage
of a living being, manly and of ripe age, and en- consists in undertaking dangers, even to the
gaged in matter political, and a Roman, and a point of sacrifice, for the state. Moreover, for
ruler, who has taken his post like a man waiting him true courage is.entirely a civic virtue. "The
for the signal which summons him from life, intrinsic worth of courage as a disposition of the
and ready to go, having need neither of oath mind," he writes, "is to be found in the gen-
nor of any man's testimony." The burdens are uine, absolute, final end, the sovereignty of the
heavy, the task difficult but not impossible, for state. The work of courage is to actualize this
a man "can live well even in a palace." final end, and the means to this end is the sacri-
Civil courage is as necessary for the citizen as fice of personal actuality." Though he admits
for the ruler. This virtue, in Mill's opinion, is that courage "is multiform," he insists that
especially necessary for citizens of a free gov- "the mettle of an animal or a brigand, courage
ernment. "A people may prefer a free govern- for the sake of honor, the courage of a knight,
ment," he writes, "but if, from indolence, or these are not true forms of courage. The true
carelessness, or cowardice, or want -of public courage of civilized nations is readiness for sac-
spirit, they are unequal to the exertions neces- rificein the servi~e of the state, so that the
sary for preserving it; if they will not fight for individual counts as only one amongst many."
it when it is directly attacked; if they can be
deluded by the artifices used to cheat them out THE WORK OF MAN IS learning as well as ac-
of it; if by momentary discouragement, or tem- tion. Man has a duty to the truth as well as to
porary panic, or a fit of enthusiasm for an in- the state. The ability to face without flinching
dividual, they can be induced to lay their liber- the hard questions reality can put constitutes
ties at the feet even of a great man, or trust him the temper of a courageous mind. "Tht. huge
with powers which enable him to subvert their world that girdles us about," William James
institutions; in all these cases they are more or writes, "puts all sorts of questions to us, and
less unfit for liberty: and though it may be for tests us in all sorts of ways. Some of the tests we
their good to have had it even for a short time, meet by actions that are easy, and some of the
they are unlikely long to enjoy it." questions we answer in articulately formulated
The courage or pusillanimi ty of a people is words. But the deepest question that is ever
sometimes regarded -as the cause, and sometimes asked: admits of no reply but the dumb turning
as the effect, of their political institutions. "The of the will and tightening of our heart-strings
inhabitants of Europe," Hippocrates writes, are as we say, 'Yes, I will even have it sol' When a
"more courageous than those of Asia; for a dreadful object is presented, or when life as a
climate which is always the same induces indo- whole turns up its dark abysses to our view,
lence, but a changeable climate, laborious exer- then the worthless ones among us lose their hold
tions, both of body and mind; and from rest on the situation altogether .. But the heroic
254 THE GREAT IDEAS
mind does differently ... It can face them if which exist in the State exist also in the individ-
necessary, without for that losing its hold upon ual," Socrates says, and "they are three in num-
the rest of life. The world thus finds in the ber." There is one "with which a man reasons
heroic man its worthy match and mate ... He ... the rational part of the soul, another with
can stand this Universe." which he loves and hungers and thirsts and feels
Not only in answering questions, but in ask- the flutterings of any other desire-the irra-
ing them, courage is required. The story which tional or appetitive, the ally of sundry pleas-
St. Augustine tells in the Confessions, of his per- ures and satisfactions." The third part is "pas-
sistent questioning of doctrines and dogmas, his sion or spirit" which "when not corrupted by
refusal to rest in any creed which did not bad education is the natural auxiliary of reason."
wholly satisfy his mind, is a story of speculative Corresponding to these three parts of the
courage, capped by the fortitude with which he soul, there are, or should be, according to Plato,
bore the agony of irresolution and doubt. three classes in the sta te: the guardians or rulers,
Learning is never an easy enterprise, nor the husbandmen and artisans, or the workers,
truth an easy master. The great scientists and and the auxiliaries or the soldiers.
philosophers have shown the patience and per- The virtues which belong to the several parts
severance of courage in surmounting the social of the soul also belong to the corresponding
hardships of opposition and distrust, as well as parts of the state. Wise is the man, Socrates de-
the in tellectual difficulties which migh t discour- clares, "who has in him that little part which
age men less resolved to seek and find the truth. rules, and which proclaims commands, that
The great religious martyrs, as indomitable in part too being supposed to have a knowledge of
their humility as soldiers are in daring, have what is for the interest of each of the three
been as resolute-never yielding to a despair parts and of the whole." Courageous is he
which would have dishonored their faith. "whose spirit retains in pleasure and in pain the
In all these types of fortitude, different mo- commands of reason about what he ought or
tivations are apparent, as diverse as the forms ought not to fear."
which courage takes under the various demands Temperance, however, instead of being ex-
of life. Not all the forms of courage may be clusively the perfection of one part, pervades
equally admirable, partly because they are un- the whole, and is found, according to Socrates,
equal in degree, but also partly because the in the man "who has these same elements in
courageous acts themselves, or the purposes for friendly harmony, in which the one ruling prin-
which fortitude is needed, are not of equal ciple of reason, and the two 'subject ones of
moral worth. Yet the essence of courage seems spirit and desire are equally agreed that reason
to be the same throughout. I t sustains the honor ought to rule." Justice-"the only virtue which
of Don Quixote and in some sense even of Sir remains ... when the other virtues of temper-
John Falstaff; it burnishes the fame of Alexan- ance and courage and wisdom are abstracted"-
der and Caesar; it fortifies Socrates and Galileo "is the ultimate cause and condition of the ex-
to withstand their trials. Whether in the dis- istence of all of them, and while remaining in
charge of duty or in the pursuit of happiness, them is also their preservative." It is the virtue
courage confirms a man in the hard choices he which "does not permit the several elements
has been forced to make. within a man to interfere with one another, or
any of them to do the work of others."
As THE CHAPTER on VIRTUE indicates, the tra- The political analogy finds justice in the well-
ditional theory of the moral qualities places ordered state, where wisdom rules, courage de-
courage or fortitude among the four principal fends the laws and peace, and temperance bal-
virtues. The other three are temperance, jus- ances the economy. Wisdom would belong most
tice, and either wisdom or prudence, according properly to the guardians, courage to the aux-
to the enumeration of different writers. iliaries, while all three classes would need tem-
Plato names these virtues when, in the Re- perance. Hegel also associates courage with "the
public, he compares the parts of the state with military class"-"that universal class which is
the parts of the soul. "The same principles charged with the defence of the state" and
CHAPTER 13: COURAGE 255
whose duty it is "to make real the ideality im- nor to gratify one's lust." Not only may the
plicit within itself, i.e., to sacrifice itself." But law-abiding man be called upon to be coura~
whereas for Hegel courage seems to be the fore- geous in the respects which Aristotle indicates,
most political virtue, Plato puts it last in the but it may sometimes take great courage to up
order of goods. "Wisdom is chief," the Athe- hold the law itself against many temptations to
nian Stranger says in the Laws; "next follows the contrary. "After the death of Moses ... the
temperance; and from the union of these two Lord spake unto Joshua," and said unto him:
with courage springs justice, and fourth in the "Be thou strong and very courageous, that
scale of virtue is courage." thou mayest observe to do according to all the
In the context of a different psychological law which Moses my servant commanded thee:
analysis, and a theory of the virtues which con- turn not from it to the right hand or to the
siders them primarily as habits, Aristotle's con- left. "
ception of courage differs from Plato's in a The fourth virtue with which courage, tem-
number of respects. It is most closely allied perance, and justice are associated in the con-
with temperance. These two virtues together duct of private or public life is prudence, or
belong to the irrational part of the soul-the "practical wisdom." Though Aristotle classifies
passions or appetites-and are concerned with prudence as an intellectual virtue, consisting in
our attitude toward pleasure and pain. They the capacity for making a right judgment about
discipline us, both in feeling and action, with things to be done, he also regards prudence as
regard to the pleasurable objects of desire and inseparable in origin and exercise from these
the painful objects of fear or aversion. Aris- other three virtues which he calls "moral"
totle seems to think courage more praiseworthy rather than "intellectual." Later writers call
than temperance, "for it is harder to face what the four virtues taken together-courage, tem~
is painful than to abstain from what is pleasant." perance, justice, and prudence-the "cardinal"
Just as the temperate man is one who habit- virtues in order to signify, as Aquinas explains,
ually forgoes certain pleasures and seeks other that the whole of moral life "hinges" upon them.
pleasures moderately for the sake of achieving The theory of the cardinal virtues, and of
some greater good, so the courageous man is one their connection with one another in such wise
who can at any time endure pain and hardship, that none can be perfect in the absence of the
or overcome fear of danger and death, in order others, is treated in the chapter on VIRTUE.
to achieve a paramount end. Since death is "the The chapters on JUSTICE, TEMPERANCE, and
most terrible of all things," Aristotle declares PRUDENCE discuss the doctrine that each of
that "properly, he will be called brave who is these virtues is only a part of virtue, which
fearless in face of a noble dea th, and of all must be integrated with the other parts. The
emergencies that involve death." But it must special role which prudence plays in relation to
be "for a noble end that the brave man endures virtues like courage and temperance-at least
and acts as courage directs." according to Aristotle's view that "it is not pos-
The paramount end, the greatest good, which sible to be good in the strict sense without prac~
the moderation of temperance and the endur- tical wisdom, nor practically wise without moral
ance of courage serve, is for Aristotle happi- virtue"-must be reserved for the chapter deal-
ness. Yet through their relation to justice, ing with that virtue. Nevertheless, it is neces-
which concerns the good of others and the wel- sary to consider here how its dependence on
fare of the state, temperance and courage help prudence may qualify the meaning or nature of
a man to perform his social duties, whether courage.
as ruler or citizen, in peace or war. The man
who acts lawfully will not only be just, but also THE CONNECTION which some writers see be-
courageous and temperate, for, in Aristotle's tween courage and prudence affects the defini-
view, "the law bids us do both the acts of a tion of courage in two ways. The first involves
brave man, e.g., not to desert our post nor take the doctrine of the mean which enters into the
to flight nor throwaway our arms, and those of consideration of all the moral virtues, but espe~
a temperate man, e.g., not to commit adultery cially courage and temperance.
256 THE GREAT IDEAS
Aristotle originates the analysis of virtue as By uniting caution-and confidence, we avoid
"a mean between two vices ... because the the extremes of foolhardiness and cowardice
vices respectively fall short of or exceed what is and achieve the mean in which Aristotle says
right in both passions and actions." It requires courage consists. Both are necessary. Coward-
prudence to decide what things should be feared, ice is not the only vice opposed to courage. The
when they should be feared, and how much; man who acts without caution in the face of
and so a prudent judgment is involved in fear- danger, recklessly disregarding what might be
ing the right things at the right time and in the reasonably feared, is foolhardy rather than cou-
right manner-neither too much nor too little. rageous; even as the coward is held back by fears
"The coward, the rash man, and the brave which his reason, tells him should be overcome.
man," Aristotle writes, "are concerned with the Because he agrees that courage consists in
same objects but are differently disposed to avoiding both extremes, Spinoza writes that
them; for the .first two exceed and fall short, "flight at the proper time, just as well as fight-
while the third holds the middle, which is the ing, is to be reckoned as showing strength of
right, position; and rash men are .precipitate mind." These two acts are allied, since it is by
and wish for dangers beforehand but draw back "~he same virtue of the mind" that a man
when they are in them, while brave men are "avoids danger ... and seeks to overcome it."
keenin the moment of action, but quiet before- To determine at a given moment whether to
hand." flee or to fight, so as to avoid either foolhardi-
Aristotle is !lot the only one to define cour- ness or cowardice, obviously involves a decision
age as a middleground between contrary ex- of reaspn. Such a decision, according to Spinoza,
tremes. Most writers who devote any attention demands "strength of mind," by which he
to the nature of courage come to somewhat the means "the desire by which each person en-
same conclusion. Epictetus, for example, in de- deavours from the dictates of reason alone to
claring that we should "combine confidence preserve his own being." Without rational di-
with caution in everything we do," seems also rection or, as Aristotle would say, without
to make courage a mean. He points out that prudence, one may be fearless but not cou-
such a combination at first "may appear a para- rageous.
dox" since "caution seems to be contrary to Those whp, like Hobbes, do not include rea-
confidence, and contraries are by no means son or prudence as an essential element in their
compatible." But this, he says, is only due to conception of courage, treat courage as an emo-
"confusion." There would be a paradox "if we tion rather than a virtue, and tend to identify
really called upon a man to use caution and con- it with fearlessness, making its opposite the
fidence in regard to the same things ... as unit- condition of being over-fearful. "Amongst the
ing qualities which cannot be united." But, as passions," writes Hobbes, "courage (by which I
Epictetus explains, caution and confidence can mean the contempt of wounds and violent
be united because they concern different ob- death) inclines men to private revenges, and
jects. sometimes to endeavor the unsettling of the
The difference in objects which he has in public peace; and timoroumess many times dis-
mind becomes clear in the light of the Stoic poses to the desertion of the public defense."
maxim, "Be confident in all that lies beyond As Hobbes describes courage, it may be of
the will's control, be cautious in all that is de- doubtful value to the individual or to the state.
pendent on the will." Sharply distinguishing Melville seems to have this meaning of courage
between what does and does not lie within our in mind when he says that "the most reliable
control, Epictetus tells us to look with care and and useful courage is that which arises from the
caution only to those things in which we can do fair estimation of the encountered peril"-the
evil by making an evil choice. "In such matters lack of which makes "an utterly fearless man
of will it is right to use caution." But in other ... a far more dangerous companion than a
matters, "in things outside the will~s control, coward."
which do not depend on us ... we should use If apparent fearlessness were courage, then
confidence. " certain animals might be called "courageous."
CHAPTER 13: COURAGE 257
and men of sanguine temperament, extremely ism which knows no such motivation. and flouts
self-confident or at least free from fear, would danger in the spirit of Anzengruber's Hans the
be as courageous as those who succeed in mas- Road~Mender: 'Nothing can happen to me,' "
tering their fears in order to do what is expected But Aquinas, who emphasizes rational motiva-
of them. But, as Aristotle observes, drunken tion as much as Freud discounts it, insists that
men often behave fearlessly and we do not courageous men "face the danger on account of
praise them for their courage. Plato likewise the good of virtue, which is the abiding object
presents a view of courage which requires fore- of their will, however grea t the danger be."
thought and a genuine concern for danger.' . Courage as Aquinas conceives it, though only
"I do not call animals ... which have nQ fear a part of virtue in the sense ofheiog one virtue
of dangers, because they are ignorant of them, among many, nevertheless represents the whole
courageous," says Nicias in the Laches. They moral life from one point of view. The quality
are "only fearless and senseless ... There is a of courage, he points out, "overflows into the
difference to my way of thinking," he goes on, rest" of the virtues, as these in turn enter into
"between fearlessness and courage. I am of the courage. "Whoever can curb his desires for the
opinion that thoughtful courage is a quality pleasures of touch," Aquinas writes, "so that
possessed by very few, but that rashness and they keep within bounds, which is a very hard
boldness, and fearlessness, which has no fore- thing to do, for this very reason is more able to
thought, an! very common qualities possessed check his daring in dangers of death, so as not
by many men, many women, many children, to go too far, which is much easier; and in this
and many animals." According to this concep- sense fortitude is said to be temperate.
tion of courage, "courageous actions," Nicias "Again," he continues, "temperance is said
says, "are wise actions." to be brave because fortitude overflows into
temperance. This is true in so far as he whose
IN LINE WITH these considerations, the defini- soul is strengthened by fortitude against dan-
tion of courage would involve a reasonable, a gers, of death, which is a matter of very great
wise or prudent, discrimination between what difficulty, is more able to remain firm against
should be feared and what should be under- the onslaught of pleasures; for, as Cicero says,
taken in spi te of peril or pain. As the Parson it would be inconsisten~for a man to be unbroken
declares, in his discourse on the Seven Deadly by fear, and yet vanquished by cupidity, or that he
Sins in the Canterbury Tales, "this virtue is so should be conquered by lust, after showing himself
mighty and so vigorous that it dares to with- to be unconquered by toil,"
stand sturdily, and wisely to keep itself from As the man who is temperate because he has
dangers that are wicked, and to wrestle against rationally ordered his actions to a certain end
the assaults of the Devil. For it enhances and can be expected to be courageous for the same
strengthens the soul ... It can endure, by long reason, so, according to Aquinas, he will also be
suffering, the toils that are fitting." prudent, since both his temperance and his
To be able to make decisions of this sort in courage result from a prudent or rational choice
particular cases, a man must have some view of of means to the end he pursues.
the order of goods and the end of life. For a Writing asa theologian, Aquinas distinguishes
man to act habitually in a courageous manner, what he calls "the perfecting virtues" of the
he must be generally disposed to value certain religious life from "the social virtues" of the
things as more important than others, so that political life-the virtues with which the moral
he is willing to take risks and endure hardships philosopher is concerned. He holds courage to
for their sake. be inseparable from the other virtues on either
Freud seems to be skeptical of what he calls plane-whether directed to a natural or super-
"the rational explanation for heroism," accord- natural end-because it is the sameness of the
ing to which "it consists in the decision that the end in each case which binds the virtues to-
personal life cannot be so precious as certain gether. "Thus prudence by contemplating the
abstract general ideals." More frequent, in his things of God," he explains, "counts as nothing
opinion, "is tha t instinctive and impulsive hero- all the things of this world" and" temperance, so
258 THE GREAT IDEAS
far as nature allows, neglects the needs of the "It is the positive aspect, the end and con-
body; fortitude prevents the soul from being tent," Hegel writes, which "gives significance
afraid of neglecting the body and rising to to the spiri tedness" of courageous actions. "Rob-
heavenly things; and justice consists in the bers and murderers bent on crime as their end,
soul's giving a whole-hearted consent to follow adventurers pursuing ends planned to suit their
the way thus proposed." own whims, etc., these too have spirit enough
to risk their lives." Because their ends are
WE ARE THUS brought to the second qualifica- either malicious or unworthy, the mettle of
tion upon courage which arises from its connec- a brigand and even the courage of a knight
tion with prudence, and through prudence with do not seem to Hegel to be true forms of
the other virtues. Does it make any difference courage.
whether the end for which a man strives val- According to Kant, "intelligence, wit, judge-
iantly is itself something commendable rather ment, and other talents of the mind, however
than despicable? If not, then the thief can have they be named, or courage, resolution, perse-
courage just as truly as the man who fears dis- verance, as qualities of temperament, are un-
honor more than death; the tyrant can be cou- doubtedly good and desirable in many respects;
rageous no less and no differently than the law- but these gifts of nature may also become ex-
abiding citizen. . tremely bad and mischievous if the will which
In his advice to the prince, Machiavelli seems is to make use of them, and which, therefore,
to consider only the utility of courage: Refer- constitutes what is called character, is not good."
ring to the end which he says "every man has If a good will is necessary to make courage vir-
before him, namely glory and riches," he points tuous, then the behavior of a scoundrel may
out that men proceed in various ways: "one look courageous, but it can only be a counter-
with caution, another with haste; one by force, feit. "Without the principles of a good will,"
another by skill; one by patience, another by such things as the ability to face dangers or to
its opposite; and each one succeeds in reaching bear hardships, Kant thinks, "may become ex-
the goalby a different method." Fortune, he tremely bad ... The coolness of a villain," he
thinks, plays a large part in their success, and adds, "not only makes him far more dangerous,
for that reason he holds no method certain. but also makes him more 'lbominable in our
Any method requires us to use fortune to the eyes than he would have been without it."
best advantage. This demands courage and even It may still remain true that courage can
audacity. take many forms according to the variety of
"It is better to be adventurous than cau- objects which inspire fear, or according to the
tious," he writes, "because fortune is a woman, types of action which men find burdensome or
and if you wish to keep her under it is necessary painful. But if the truly courageous man must
to beat 'lnd ill-use her; and it is seen that she always be generally virtuous as well, then many
allows herself to be mastered by the adven- of the appearances of courage do not spring
turous rather than by those who go to work from genuine virtue. The conception of virtue
more coldly. She is, therefore, always woman- as a habit adds the criterion of a settleddisposi-
like, a lover of young men, because they are tion: even the habitual coward may perform a
less cautious, more violent, and with more single courageous act. Nor should courage be
audacity command her." , attributed to those who by freak of tempera-
I t would appear that Machia velli recommends ment are utterly fearless. The merit of virtue-
courage, or at least d'lring, to those who wish to overcoming fear-cannot be claimed by them.
succeed in great undertakings, whether the end
in view is commendable or not. In either case, IN THE GREAT political books, especially those
courage may improve the chances of success, of antiquity, the place of courage in the state
and it is success that counts. According to their and in the training of ci tizens receives particular
notions of courage as a virtue, Plato, Aristotle, attention. The constitutions of Crete and Sparta
and Aquinas sharply disagree with this, as we seem to make courage the only essential virtue
have already seen. So do Kant and Hegel. for the ci tizen.
CHAPTER 13: COURAGE 259
Plutarch, in his life of Lycurgus, shows how trained to be good citizens, not merely good
"the city was a sort of camp." The training and soldiers. Arguing that no sound legislator would
education of all was directed to military valor. order "peace for the sake of war, and not war
"Their very songs had a life and spirit in them for the sake of peace," the Athenian Stranger
that inflamed and possessed men's minds with suggests that a broader conception of courage
an enthusiasm and ardour for action ... The than the Cretans and Spartans seem to have
subject always serious and moral; most usually, would recognize its use, not only in external
it was in praise of such men as had died in de- warfare, but in the tasks of peace-in the strug-
fence of their country, or in derision of those gle to lead a good life and build a good society.
that had been cowards; the former they de- "What is there," he asks Megillus the Spartan
clared happy and glorified; the life of the latter and Cleinias the Cretan, "which makes your
they described as most miserable and abject." citizens equally brave against pleasure and pain,
The result was, according to Plutarch, that conquering what they ought to conquer, and
"they were the only people in the world to superior to the enemies who are most dangerous
whom war gave repose." and nearest home?"
Both Plato and Aristotle criticize the con- Nevertheless, through the centuries the type
stitutions of Crete and Sparta for making war of courage which the poets and historians cele-
the end of the state and exalting courage, which brate has been the bravery of men who put
is only a part, above "the whole of virtue." their very lives in jeopardy for their fellow
Courage must be joined with the other virtues to men-the courage of the citizen doing his duty,
make a man good, not only as a citizen but as a or, what is still more spectacular, of the soldier
man. "Justice, temperance, and wisdom," says confronting the enemy. This fact among others
the Athenian Stranger in the Laws, "when is one reason why many writers, from the Greeks
united with courage are better than courage to Hegel, have found a moral stimulus in war;
only." or, like William James, have sought for its moral
Furthermore, military courage is not even equivalent. On this point they are answered
the whole of courage. While recognizing the not merely by those who see only degradation
need for it, Plato thinks that a wise statesman in war, but also by the many expressions of the
would put it in its proper place, if men are to be insight that peace can have its heroes too.
OUTLINE OF TOPICS
PAGE
3. The passions in the sphere of courage: fear, daring, anger, hope, despair
5. The motivations of courage: fame or honor, happiness, love, duty, religious faith 263
6. The formation or training of the courageous man 264
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER :Iliad, BK II [265-283j12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. Forexample, in53 JAMES: Psychology,116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
c
hand side of the page, the letters and d to the upper and lower halvesoftheright-hand side of
the page. For example, in 7 PLATO: Symposittm, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
-SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer
tain cases; e.g., Iliad, BK II [265-283] 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: The general theory of virtue and the virtues, see VIRTUE AND VICE.
The virtues most closely related to courage, see JUSTICE; PRUDENCE; TEM.PERANCE.
The relation of these other virtues to courage, see PRUDENCE 3a-3b, 3e; TEMPERANCE Ia;
VIRTUE AND VICE 2-3b.
Courage and other virtues in relation to happiness and duty, see HAPPINESS 2b(3); VIRTUE
AND VICE Id, 6a.
Matters relevant to the emotional aspects of courage, see EMOTION 4b(i); PLEASURE AND
PAIN 8a; VIRTUE AND VICE sa.
The general consideration of moral training, see EDUCATION 4-4d; VIRTUE AND VICE 4-4e(3).
The general consideration of civic virtue, see CITIZEN S; STATE 8b-8c; VIRTUE AND VICE
7-7d; and for courage as a military virtue, see WAR AKD PEACE 10C.
The analysis of the heroic and the conception of the hero, see HONOR s-sa, sc.
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
I.
VAUVENARGUES. Introduction a la connaissance de
l'esprit humain, PART I, CH I
AQUINAS. Summa Theologica, PART II-II, QQ 123-140 MORGANN. Essay on the Dramatic Character of Sir
F. BACON. "Of Boldness," in Essays John Falstaff
MILTON. The Readie and Easie Way to Establish a LEOPARD!. Essays, Dialogues, and Thoughts
Free Commonwealth STENDHAL. The Charterhouse of Parma
DOSTOEVSKY. The Idiot T. CARLYLE. On Heroes, Hero-Worship and the He-
roic in History
II. EMERSON. "Courage," in Society and Solitude
THEOPHRASTUS. The Characters T. H. GREEN. Prolegomena to Ethics, IV
CICERO. De Officiis (On Duties), III CRANE. The Red Badge of Courage
SENECA. De Constantia Sapientis (On the Firmness of ROSTAND. Cyrano de Bergerac
the Wise Man) RANK. The Myth of the Birth of the Hero
Sir Gawain and the Green Knight G. W. RUSSELL. The Hero in Man
P. SIDNEY. The Countess of Pembroke'S Arcadia ROUTH. God, Man, and Epic Poetry
CORNEILLE. Polyeucte RAGLAN. The Hero
Chapter 14: CUSTOM AND CONVENTION
INTRODUCTION
T HE contrast between the artificial and the
natural is generally understood in terms of
and "convention" cannot be treated simply
as synonyms.
the contribution which man does or does not In the tradition of the great books, the word
make to the origin or character of a thing. Works "convention" has at least two meanings, in
of art are man-made. The artificial is somehow only one of which is it synonymous with "cus-
humanly caused or contrived. The contrast be- tom." When "convention" is used to signify
tween the natural and the conventional or cus- habitual social practices it is, for the most part,
tomary involves the same point of difference. interchangeable with "custom." In this signif-
Though customs are not, in the strict sense, icance, the notion of convention, like that of
made by man, as are works of art, they do grow custom, is an extension of the idea of habit.
only as the result of the kind of acts which men What habit is in the behavior of the individual,
perform voluntarily. rather than instinctively. customary or conventional conduct is in the be-
Similarly, conventions, like contracts, are so- havior of the social group.
cial arrangements or agreements into which The other meaning of "convention" does not
men enter voluntarily. connote the habitual in social behavior, but
The fundamental notions with which this stresses rather the voluntary as opposed to the
chapter deals are thus seen to be closely related instinctive origin of social institutions, arrange-
to ideas and distinctions treated in the chapters ments, or practices. For example, different sorts
on ART and NATURE. For example, the distinc- of family organization are conventional in the
tion between human action and production, or sense that at different times or in different com-
doing and making, helps us to understand how munities men have set up their domestic ar-
the conventional and the artificial differ from rangements in different ways. In each case they
one another as opposites of the natural. Art in- tend to perpetuate the particular institutions
volves voluntary making. Customs result from which they or their ancestors originated. What-
voluntary doing. In both cases, the distinction ever is conventional about social institutions
between the voluntary and the instinctive- might have been otherwise, if men had seen fit
the latter representing the natural-seems to to invent and adopt different schemes for the
be presupposed. organization of their social life. This indicates
A third term-habit-is traditionally associ- the connection between the two senses of the
ated with the consideration of the voluntary word "convention," for all customs are con-
and the instinctive. Like these others, it seems ventional in origin, and all conventions become
to have a critical bearing on the discussion of customary when perpetuated.
custom and art. Aristotle, for example, con-
ceives art as an intellectual virtue, that is, a THE FACT THAT men can depart from, as well as
habit of mind, an acquired skill. ForHume abide by, their conventions-that they can
the customary and the habitual are almost transgress as well as conform to custom-seems
the ~ame. Whether they are to be identified to indicate that custom and convention belong
or are only connected causally, the relation of to the sphere of human freedom. Yet there is
habit to custom not only throws some light also a sense in which custom is a constraining
on the nature of custom, but also calls our at- force, which reduces the tendency of individ-
tention to the fact that the words "custom" uals to differ from one another, and which has
268
CHAPTER 14: CUSToM AND CONVENTION 269
the effect of moulding them alike andregi- that no uniformity at all exists in the actions of
meriting their lives. men. "Were there no uniformity in human ac-
The repressive effect of custom can be seen, tions," Hume points out, it would be impossible
according to Freud, in the neurotic disorders "to collect any general observations concerning
from which men suffer when - their instinctive mankind." At least enough uniformity is found,
impulses come into conflict with "accepted cus- in his opinion, for it to be "universally acknowl-
tom." Discussing the influence of custom upon edged that human nature remains still the
the developing individual, he says that "its or- same." To whatever extent human behavior is
dinances, frequently too stringent, exact a great purely natural or instinctive, it is common to
deal from him, much self-restraint, -much re- all members of the species, and does not, like
nunciation of instinctual gratification." It be- customary conduct, vary remarkably from one
comes, therefore, one of the aims of psychoan- part of the human race to another, or from
alytic therapy to release the individual from generation to generation.
his bondage to custom, or at least to make him The diversity and variation of customs seems
conscious of the way in which certain desires therefore to be of their essence and to show tha t
have been submerged or distorted, and his they are both man-made and voluntary in or-
whole personality shaped, by the constraints igin. "If they were not devices of men," Augus-
which the mores and taboos of the tribe have tine writes, "they would not be different in dif-
imposed upon him. ferent nations;and could not be changed among
Considered in rehition to society, custom also particular nations." The distinction between
seems to exercise a conservative, if nor repres- nature and -convention can be formulated,
sive effect. Established customs tend to resist therefore, partly in terms of the contrast be-
change. They are sometimes thought to impede tween the constant and the variable, and partly
progress. But to the extent that they conserve in terms of the difference between the instinc-
the achievements of the past, they maybe in- tive and the voluntary.
dispensable to progress because they provide The early Greeks had an apt way of express-
the substance of what we call "tradition." A ing this. As Aristotle phrases their insight, they
passage in Bacon's Advancement of Learning il- referred to the natural as "that which every-
lustrates these apparently contrary effects of where has the same force and does not exist by
custom. people's thinking this or that," as, for example,
Over-emphasis upon either antiquity or nov- "fire burns both here and in Persia." The con-
elty seems to Bacon a disease of learning; or an ventional and those things which are "not by
obstacle to its advancement. "Antiquity en- nature but by human enactment are not every-
vieth there should be new additions," he writes, where the same." The laws of Persia differ from
"and novelty cannot be content to add but it the laws of Greece, and in Greece or in Persia,
must deface." If custom tends to support an- they change from time to time.
tiquity against novelty, it may also encourage
inventions or discoveries which genuinely en- THE VARIABILITY of custom in contrast to the
hance the tradition without defacing it. "An- constancy or uniformity of nature puts the dis-
tiquity deserveth that reverence," Bacon says, tinction between nature and convention at the
"that men should make a stand thereupon and service of the skeptic. One form of the skeptical
discover what is the best way; but when the attack upon natural law, universal moral stand-
discovery is well taken, then to make progres- ards, and the objectivity of truth or beauty
sion." As the preserver of antiquity, custom consists in making custom the only measure of
thus appears to afford a hasis for progress. the acceptability of human actions or judg-
One other fact about customs which most ments. To say, for example, as Hume does, that
commentators from Herodotus to Montaigne the connection which the mind seems to make
and Freud have observed is their variety and between cause and effect is based on custom
variability. Customs differ from time to time, rather than reason, has the skeptical effect which
and from place to place. But this diversity and Hume intends. It substitutes the arbitrary for
variation in custom does not necessarily mean the rational. It dispossesses reason as a source of
270 THE GREAT IDEAS
either the validity or the intelligibility of oUf In the Gorgt(lS, which is named after another
conclusions concerning cause and effect. of the leading sophists of the day, Plato' puts
As the cha pters on KNOWLEDGE and, ,OPINION in~o the mouth of Callicles the sophistic posi-
indicate, the skeptical argument takes other tion that there is no law or standard of justice
forms. The reduction of !Ill human judgments except the rule of the stronger. Insisting that
to opinion makes the differences between ,Olen, "convention and nature are generally at vari-
in either action or thought, unresolvable by ar- ance with one another," Callicles attempts to
gument or debate. One opinion can predomi- show that all of Socrates' efforts to discover an
nate over another only by force or by the weight ai?solute standard of justice come to naught, be-
of numbers. When it predominates by weight cause he cannot help but resort "to the popular
of numbers, it prevails by custom or conven- and vulgar notions of right, which are not natu-
tion. It is the opinion which the majority have ral, but conventional."
agreed upon at a given time or place. To settle As they appear in Plato's dialogues, the soph-
every controversy about what men should think ists are obviously impressed by the kind of in-
or do by counting heads is to hold that every- formation which fills the History of Herodotus
thing is a matter of opinion and purely conven- -information about the great diversity of hu-
tional. man beliefs and practices which anyone could
Whether the skepticreducl;!s everything to discover for himself if he traveled, as Herodotus
opinion octo convention, he achieves the same did, from people to people, observing their in-
effect. What he means by calling everything an stitutions and collecting their legends. Herodo-
"opinion" or a "convention" is equally inimical tus himself does not explicitly draw the skep-
to reason. In either case" the willful or arbitrary tical cor,clusion, yet his own suspended judg-
is enthroned in reason's place and only force can ment on many matters betokens a turn of mind
be finally decisive. The two ideas-opinion and made cautious by the impact of contrary opin-
convention-seem to be corollaries of one ions and conflicting customs.
another. Both imply a kind of relativity. Opin- In the Hellenistic period when the main stream
ion normally suggests relativity to the individ- of Greek philosophy divides into a number of
ual, custom or convention relativity to the so- Roman schools of thought, the skeptical posi-
cial group. Either may be involved in the or- tion receives what is perhaps its fullest and mQst
igin of the other. The individual may form his explicit statement. But in the writings of Lu-
opinions under the pressure of prevailing cus- cian and Pyrrho, to take two examples, it is not
toms of thought or action; the customary be- so much the conflict of customs as it is what
liefs or practices of a society or culture may, and Lucian calls "the warfare of creeds," which oc-
usually do, result from opinions which have casions universal doubt. Yet whatever the
come to prevail. source of doubt, Pyrrhonism states the tradi-
The Greek sophists, we learn from the dia- tional denials of the skeptic in their most ex-
logues of Plato, appealed to the distinction be- treme form. The senses are entirely untrust-
tween na ture and conven tion and to the distinc- worthy. Reason is both impotent and self-de-
tion between knowledge and opinion in exactly ceiving. Men possess no knowledge or science.
the same way. They used the notions of opinion No truth is self-evident; none can be demon-
and convention with equal force in their efforts strated.
to question absolute standards of conduct and
the objectivity or universality of truth. The THE CRITICA,L TEMPER of the Greek sophists,
most familiar of all the sophistical sayings,-'-the and of an observer of-men and manners like
remark attributed to Protagoras that "man is Herodotus, reappears later in the questionings
the measure of all things"-is interpreted by of Montaigne.-sharpened somewhat, perhaps,
both Plato and Aristotle to mean thatwhat men byhis acquaintance with the Roman skeptics.
wish to think or do determines for them what is In his case, perhaps more than any other, it is
true or right. Man's will governs his reason, and the implications of custom which, everywhere
convention, or the: agreement of individual expatiated on in his Essays, give them their
wills, decides what is acceptable to the group. skeptical tone. Not himself a traveler in distant
CHAPTER 14: CUSTOM AND CONVENTION 271
parts, Montaigne traverses the world of time we reduce truth and falsity "to the measure of
and space by reading. He becomes conversant our capaci ty and the bounds of our sufficiency. "
with the strange customs of the aborigines and When new ideas or the strange beliefs of others
of the Orient through the reports of returned at firSt seem incredible simply because they are
explorers. He culls from the historians and ge- not our own, "we shall find that it is rather cus-
ographers of antiquity every difference in cus- tom than knowledge that takes away their
tom which their books set forth as fact or fable. strangeness." For his own part, Montaigne
Montaigne's insatiable appetite for collecting makes his "emblem" the question, "What do I
and comparing customs is not an aimless fascina- know?" This, he says, sums up his Pyrrhonian
tion on his part with the spectacle of human va- philosophy.
riety. It steadfastly leads him to the cOQ~lusion
which is for him the only one possible. Since ACCORDING TO the modern social scientist who
every belief or practice can be paired with its claims that custom is the ultimate standard of
opposite in the customs of some other time or conduct and that it provides the only criterion
place, no belief or practice can demand unquali- of moral judgment, no questions can be raised
fied or universal assent. "There is nothing," he about the goodness or evil of particular cus-
writes, "which custom does not,or may not do; toms. The customs of one people cannot be
and therefore, with every good reason it is that judged by another, at least not objectively or
Pindar calls her the ruler of the world." impartially, for those who judge must do so on
To say, as Mon taigne does, that "the taste for the basis of their own customs. Since there is no
good and evil depends in good part upon the arbiter above conflicting customs to say which
opinion we have of them" and that "everyone is right, a particular custom has validity only
is well or ill at ease, according as he so finds him- for the group in which it prevails. Within that
self," amounts to saying that all moral judg- social group the character or conduct of its in-
m~nts are matters of opinion, either individual dividual members is measured by conformity
or customary in origin. Beauty, too, is a matter to the prevaiiing customs.
of taste. "We fancy its forms," Montaigne The descriptive science of sociology or com-
thinks, "according to our own appetite and lik- parative ethnology thus tends to replace the
ing/' As may be seen in the chapter on BEAUTY, normative science of ethics-or moral philoso-
Montaigne assembles an abundance of evidence phy. The only scientifically answerable questions
to show that standards of beauty vary with dif- about human conduct take the form of "How do
ferent peoples. The tastes or preferences of one men behave?" or "How have they acted individ-
group are as unaccountable as they are frequent- uallyor in groups?" but not "How should they?"
ly revolting to another. The study of morality, as in Sumner's Folkways,
Even in the field of speculative thought about becomes a study of the mores-how the customs
the nature of things, Montaigne regards the which measure conduct develop and dominate;
things men hold to be true as nothing more than or, as in the writings of Freud, it becomes a
prevailing opinions-the cultural conventions study of how the individual is psychologically
of a time or place. "We have no other level of formed or deformed by the mores of his tribe
truth. and reason," he declares, "than the exam- and culture, according to the way in which the
ple and idea of the opinions and customs of the growing child reacts to the pressures which the
place wherein we live: there is always the per- community imposes through parental discipline.
fect religion, there the most perfect govern- With these views, many philosophers and the-
ment, there the most exact and accomplished ologians, both ancient and modern, take issue.
usage of all things." But their opposing doctl.'ine seldom goes so far
Of all human deceptions or impostures, none as to deny that morality has certain conven-
is worse than that which flows from a man's un- tional aspects. In arguing that there are "no in-
willingness to qualify every remark with the ad- nate practical principles," Locke, for example,
mission that this is the way it seems to me. In like Montaigne, cites instances of contradictory
Montaigne's eyes, "there is no greater folly in customs to show that "there is scarce that prin-
the world" than the failure to recognize that ciple of morality to be named, or rule of virtue
272 THE GREAT IDEAS
to be thought on ... which is not, somewhere or equivalent distinction in terms oflaw rather than
other, slighted and condemned by the general justice. In his analysis, Aquinas follows the Lat-
fashion of whole societies of men, governe!3 by in, not the Greek vocabulary;
practical opinions and rules ofliving quite op- The Roman system of jurisprudence, Gibbon
posite to others." tells us, distinguished between those laws which
But Locke does not leave this observation of are "positive institutions" and those which "rea-
the dive~ity of customs unqualified. He goes on son prescribes, the laws of nature and nations."
to assert that "though perhaps, by the different The former are man-made-the "result of cus-
temper, education, fashion, maxims, or interest tom and prejudice." This holds true of both
of different sorts of men, it fell out, that what written and unwritten laws, although only the
was thought praiseworthy in one place, escaped unwritten precepts are now usually called "cus-
not censure in another; and so in different soci~ tomary laws." These customary laws are positive
eties, virtues and vices were changed: yet, asto in the sense that they are humanly instituted or
the main, they for the most part kept the same enacted-posited by the will of the legislator
everywhere. For, since nothing can be more nat- rather than merely discovered by the reason of
ural than> to encourage with esteem andreputa- the philosopher. They are conventional in the
tion that wherein every one finds his advantage, sense that they represent some voluntary agree-
and to blame and discountenance the contrary; ment on the part of the members of the com-
it is no wonder that esteem and discredit, vir- munity they govern, whether that consist in
tue and vice, should, in a great measure, every- obeying the edicts of the> emperor or iii. giving
where correspond with the unchangeable rule of consent to the enactments of the senate.
right and wrong, which the law of God hath es- So far as it is conventional, the law of one
tablished .... Even in the corruption of man- community differs from another; and within the
ners, the true boundaries of the law of nature, history ofa single community, the positive law
which ought to be the rule of virtue and vlce, changes from time to time. But such bodies of
were pretty well preferred." law, "however modified by accident or custom,"
For Locke, then, as for many others, there ap- the Roman jurists, Gibbon says, conceived as
pear to be, underlying the variety of customs, "drawn from the rule of right." The fact that
moral principles of universal validity that draw "reason prescribes" this rule was their explana-
their truth from the nature of man which rep- tion of certain common elements which all bod-
resents a constant and common factor through- ies of positive law seem to contain.
out the diversity of cultures. Accordingly, it The principles underlying all codes of civil
would seem to follow that just as habits are law, whether discovered directly by reason or
modifications of instinct or developments of the drawn inductively, as Grotius later suggests,
individual's native capacities for action, so cus- from the comparative study of diverse legal sys-
toms are conventional elaborations of what is tems, comprise the precepts of what the Ro-
natural to man as a social animal. On this mans, and later Aquinas, call "natural law."
theory, the conventional cannot be understood Thus these writers seem to re-affirm, though in
except by reference to the natural, i.e., the somewhat different language, Aristotle's point
nature of man or society. that what is naturally just is the same for all
men everywhere and always, while the laws of
THE VIEW THAT conventions have a natural Greece and Persia represent diverse' convention-
basis is most readily exemplified by Aristotle's al determinations of the universal principles of
theory of natural and legal (or conventional) justice.
justice, and by the teaching of Aquinas concern- The theory of natural right and natural law,
ing natural and positive law. For the Greeks the as expressed in the writings of Hobbes, Locke,
legal and the conventional are almost identical, and Kant, as well as in the ancient and mediae-
so that it is a kind of justice rather than a kind val tradition, is, of course, more fully treated in
of law which Aristotle calls "naturaL" Roman the chapters on JUSTICE and LAW. But one ex-
philosophers like Cicero, and Roman jurists like ample of the distinction between natural and
Gaius and Ulpian, make what seems to be an conventional justice may be instructive here.
CHAPTER 14: CUSTOM AND CONVENTION 273
Aquinas conceives positive rules as "deter- The deepest of all moral issues therefore ex-
minations" of, rather than"deductions" from, ists between thoSe who think tha t morali ty some-
natural law. He treats such precepts as "Thou how derives from nature or reason and those
shalt not kill" and "Thou shalt not steal" as who, like the ancient sophists or Montaigne or
conclusions that reason can draw deductively Freud, find its source in custom and convention.
from the first principle of natural law, which is According to the side a man takes on this issue,
sometimes stated in the form of the command: he does or does not believe it possible to discover
Do good, harm no one, and render to each his own. standards independent of custom, thereby to
Because these precepts are the prescriptions of judge whether customs are good, bad, or indif-
reason rather than enactments of the state, they ferent. On one belief, public manners are con-
can be interpreted as declaring that murder and ventional determinations of moral principles or
larceny are always and everywhere unjust. But they are sometimes violations of them, just as
what sort of kiIling and taking of what is not positive laws are either determinations or vio-
one's own shall be defined as murder and theft; lations of natural law. On the other belief, the
and how offenders shaU be tried, judged, and individual may be approved or condemned for
punished-these are matters which natural jus- conforming to or transgressing the manners or
tice or the precepts of natural law leave open for mores of his group; but those manners or mores,
determination by the positive laws of each com- whether they are liked or disliked by the in-
munity, according to its own constitution and dividual, are above any tenable, objective criti-
its local customs. cism.
The theory thus exemplified, of the relation The controversy in jurisprudence and moral-
between conventional and natural justice, or be- ity between the naturalists or rationalists who
tween positive and natural law, applies to moral appeal to man's nature or reason, and the posi-
rules and ethical standards generally. For the tivists who hold that human customs cannot be
same reason that a positive law which violates appealed from, parallels a controversy in the
natural justice cannot be called "just" even theory of knowledge or science. The parallel is-
though it is harmonious with the customs of the sue, considered at greater length in the chapters
community, so no rule of conduct, however on HYPOTHESIS and PRINCIPLE, can be stated by
much it represents prevailing custom, can be the question whether the foundation of science
approved as morally right if it violates the right -even of such sciences as logic and mathemat-
as reason sees it. The defenders of natural law, ics-consists of postulates or axioms.
which is also sometimes called "the law of rea- Axioms, like the precepts of natural law, are
son," proclaim the existence of an absolute supposed to have a universality derived from
standard, above the diversity and conflict of the nature ofhuman reason. They are self-evi-
customs, by which their soundness is measured. dent truths, compelling assent. Postulates, on
Conflicting ethical doctrines raise many is- the contrary, are like rules of positive law-vol-
sues concerning what it is right for men to do or untarily accepted assumptions which, when
good for them to seek; but the moralists at agreed upon by the experts in a certain science,
least agree that morality is based on reason or become its conventional basis. In science as in
nature. For them the facts ofhuman nature or law, the positivists recognize nothing beyond
the intuitions of reason will ultimately decide the agreement of men to determine what shall
the points in issue. However far apart Plato be t~kenfor granted as true or just. .
and Aristotle, Aquinas and Hegel, Kant and
Mill may be in their conceptions or analyses THE DIFFERENCE between nature and conven-
of the right and the good, they stand together, tion also enters into the traditional discussion of
at least negatively,:on the question of how their two of the most characteristic activities of man:
dispu tes can be resolved: not by appealing to speech and political association.
the mores of the tribe, not by looking to the No one disputes whether the faculty of speech
conventions of the community as a measure, is natural to man. It is as natural for man to
not by letting the customs of the majority speak as for dogs to bark or birds to sing. But
decide. the question is whether any human language,
274 THE GREAT IDEAS
having a certain vocabulary and syntax, is nat- ciety, the question is whether the family and
ural or conventional. The answer seems to be the state are wholly natural, wholly convention-
dictated at once by the facts of the matter. al, or partly one and partly the other-their in-
Human languages exist or have existed in stitutions being erected by choice and custom
great number and diversity, and those which upon a natural basis. And as in the case of lan-
still endure have gradually developed and are guage, here too the great books do not, for the
undoubtedly subject to further change. Hence, most part, give either of the extreme answers.
according to the traditional understanding of They 90 not say that the state is entirely natu-
the natural and the conventional, these various ral, that it is the expression of human instinct
tongues must represent conventional languages as the bee-hive and the ant-mound are instinc-
-originally invented by this human group or tive formations. Nor do they say that the state
that, perpetuated by custom, altered by the is completely conventional, that it comes into
conventions of usage. In contrast, the expres- existence only as the result of voluntary associa-
sive sounds instinctively made by other ani- tion on the part of men contracting to live to-
mals show themselves to be natural by the fact gether in a political community.
that they are common to all members of a spe- While Aristotle says that "man is by nature a
cies and do not change as long as the species poli tical animal," and tha t the sta te is, the re-
endures. fore, "a creation of nature," he also distinguishes
Nevertheless, as the chapter on LANGUAGE in- between the ways in which men and other ani-
dicates, the writers of the great books consider mals are gregarious. Unlike the association of
the hypothesis of a natural human language. animals, which he attributes to instinct, the so-
The Old Testament story of the Tower of Ba- ciety of men rests on reason and speech. "Man
bel is sometimes interpreted as implying the ex- is the only animal," he writes, "endowed with
istence of one language for all men before God the gift of speech ... intended to set forth the
confounded their speech and diyersified their expedient and the inexpedient, and therefore
tongues. The story of Adam's giving names to likewise the just and the unjust." Because of
the various speciesof plants and animals in the these things, cities differ from one another, as
Garden of Eden is also cited by those who think bee-hives or ant-mounds do not.
there can be natural as well as conventional The diversity of states representsf.or Arist.otle
signs. In Plato's Cratylus the attempt is made to a deliberate inventiveness on the part of reason
discover the natural names for things, or at least and an exercise of free choice~certainly inso-
to discern some natural basis for the words of a far as states are politically constituted, each with
conventionallangllage like Greek. its own constitution. Aristotle's remark that
These who reject the hypothesis of a single while "a social impulse is implanted in all men
human language from which all others have de- by nature," yet "he who first founded the state
veloped by diversification, orwho regard a purely was the greatest ofbenefactors," may look self-
natural language as impossible in the very na- contradictory; but its two parts can be read as
ture of the case, sometimes ackno~ledge the quite consistent with one an.other, if the first is
possibility of certain common elements-prin- taken as signifying the natural basis.of the state
ciples of syntax, if not words-present in all hu- (in a social impulse), and the second as saying
man languages. The discovery of the common that a certain convention (a c.onstitution) is re-
rules of speech was the object of the speclllative quired to shape that impulse before any state is
grammarians in the Middle Ages, and of those actually established.
who, like Arnauld and others, later tried to As Aristotle is sometimes interpreted to up-
formulate a "universal grammar." On their hold the theory that the state is entirely natu-
view, all languages, even if they are convention- ral, so Hobbes, Locke, and Rousseau are often
al as written or spoken, may have the same nat- read as maintaining the .opposite extreme-that
ural basis in the fac t tha t they a re all used to it is entirely conventional. The extreme inter-
express what men can naturally perceive or pretation is based onthe sharpness with which
think. each of them distinguishes between men living
As in the case oflanguage, soin the case of so- in a state of nature and in a state of civil society.
CHAPTER 14: CUSTOM AND CONVENTION 275
Though they differ among themselves in their longer spoken or a law no longer observed. This
exposition of these two conditions of man, they general compliance consists in nothing more
seem to agree that for men to pass from a state than a certain conformity among the habits of
of nature, whether hypothetical or historical, in individuals.
which men live in anarchy or at least in isola- The continuity between custom and statute
tion, it is necessary for them to enter into a as parts or phases of the positive law rests upon
contract or compact with one another. Since the relationofboth to habit. "Custom," accord-
this social contract is the original, or origi- ing to Aquinas, "has the force of a law, abolishes
nating, convention by which the common- law, and is the interpreter of law" precisely be-
wealth or civil society is established, it would cause it operates through the habits of the peo-
seem to follow that, on their view, the state is ple. "By repeated external actions," such as
entirely a product of convention, and in no produce a custom, "the inward movement of
way natural. the will and the conceptions of the reason are
Yet Hobbes, Locke, and Rousseau, each in most revealingly declared," and, according to
his own way, add a qualification in favor of the Aquinas, "all law proceeds from the reason and
naturalness of the state, justasAristotiequalifies will of the lawgiver." The law which a: prince or
his remark that "the state is a creation of na- a people enacts, to become effective as social
ture" by praising the man "who first founded regulation, must develop a particular habit of
the state." The exponents of the social contract conduct in many individuals. Then and only
theory of the state's origin find in the nature of then does a new enactment obtain the full force
man or in his reason an instinct, a need, or a law of law. To remain effective it must continue to
which impels or bids him to seek association have the support of "the customs of the coun-
with others for the sake of advantages which he try."
cannot enjoy apart from civil society. This suf- Without that support it may be a law on the
fices to affirm the existence of a natural basis books but not in practice, for the authority of a
for the convention or contract which establishes law cannot long prevail against a contrary cus-
the state. tom, except through a degree"of coercion so op-
These apparently opposed theoties of whatis pressive as to produce rebellion. That is also
natura) and what conventional about the state why the customary or unwritten rule-usually
rhus appear to approach each other, though one the primitive form of positive law-is less flex-
starts from an emphasis on the state's,atural- ible, less amenable to change or modification.
ness, the other from its conventional origin. The Custom is a conservative factor. "There is
whole problem is, of course, further treared in nothing more difficult to take'in hand," writes
the chapters on FAMILY and STATE; but one Machiavelli, nothing "more perilous to con-
point which the foregoing discussion suggests duct, or more uncertain in its success, than to
receives special consideration in still another take the lead in the introduction of a new order
chapter. The point concerns the relation be- of things. The innovator has for enemies all
tween the idea of a constitution and the idea of those who have done well under the old con-
a social contract. Both are conceived as the ditions, and lukewarm defenders in those who
basic or primary convention which establishes may do well under the new."
the state. The quesrion whether the two ideas Just as custom may either support the written
are interchangeable or only analogous is exam- law or render it ineffective, so custom works in
ined in the chapter on CONSTITUTION. opposite directions as a social force. It is both a
factor of cohesion and of division among men-
CUSTOM IS BOTH a cause and an effect of habit. a cause of what is called "social solidarity" and a
The habits of the individual certainly reflect the barrier separating peoples from one another.
cusroms of the community in which he lives; When the Athenians refuse to ally themselves
and in turn, the living customs of any social wirh rhe Persians, they chide the Spartans, ac-
group get their vitality from the habits of its cording to Herodotus, for fearing that they
members. A custom which does not command "might make terms with the barbarian." For
general compliance is as dead as a language no all the gold on earth, they tell the Spartan
276 THE GREAT IDEAS
envo.ys, theyco.uld no.t "take part with the The Federalists, advo.cating the po.Ii tical unio.n
Medes." To. do. so. wo.uld betray "o.ur co.mmo.n o.f the thirteen American states,co.uld urge its
brotherho.od with the Greeks, o.ur co.mmo.n feasibility o.n the gro.und that a social unio.n al-
language, the altars and sacrifices o.f which we ready existed. "Pro.vidence has been pleased to.
all partake, and the co.mmo.n character which give this o.ne co.nnected co.untry," Jay writes,
we bear." "to. o.ne unitedpeo.ple-a peo.pledescended fro.m
The barbarians o.r the gentiles-to. use the the same ancesto.rs, speaking the same language,
tradi tio.nal names fo.r aliens or fo.reigners- are professing the same religio.n, attached to. the
excluded by a social, no.t ageo.graphic, bound- same principles o.f go.vernment, very similar in
ary line, the line drawn betw~en those who. their manners and custo.ms."
share a set o.f custo.msand all o.utsiders. When the Tho.se who. today advo.cate wo.rld federal
stranger is assimilated, the group do.es no.t ado.pt unio.n canno.t similarly po.int to. a wo.rld so.ciety
him; he ado.pts the custo.ms o.f the co.mmunity. already in existence. They can o.nly ho.pe that
The very wo.rd "co.mmunity" implies a multi- if the separate states were to. unite po.litically,
tude having much in co.mmo.n. Mo.re impo.rtant ~he so.cial co.hesion o.f the wo.rld's peo.ple might
than the land they o.ccupy are the custo.ms they subsequently develo.p as a result o.f the fo.stering
share. o.f universal custo.ms by universal law.
OUTLINE OF TOPICS
PAGB
i. The distinctio.n between nature and co.nventio.n: its applicatio.n to. the o.rigin o.f the
state and o.f language 277
2. The o.rigin, develo.pment, and transmissio.n o.f custo.ms 278
3. The co.nflict o.f custo.ms: their variatio.n from place to. place
4. The change o.f custo.ms: their variatio.n from time to. time 279
5. Custo.m and co.nventio.n in the mo.ral o.rder
5a. The co.nventio.nal determinatio.n o.f mo.ral judgments: the mo.ral evaluatio.n o.f
co.nventio.ns . .
5b. The effect o.f custo.m o.n the training and character o.f men
6. Custo.m in relatio.n to. law
6a. Co.nstitutio.ns, social co.ntract~, positive laws, and manners as co.nventio.ns
6b. The fo.rce o.f custo.m with respect to. law 281
7. Custo.m in so.ciallife
7a. Custo.m as unifying a co.mmunity
7b. Custo.m as a barrier between co.mmunities 282
7(;. Custo.mas determining eco.no.mic needs o.r standards
7d. The influence o.f custo.m o.n the liberty o.f the individual
8. Custo.m in relatio.n to. o.rder and progress: the facto.rs o.f traditio.n and inventio.n 283
9. The bearing o.f custo.m o.n tho.ught
9a. Custo.m as a so.urce o.f o.pinio.n and belief: its influence o.n ju~gments o.f beauty
9b. The co.nventio.nality o.f truth: postulatio.n, cho.ice amo.ng hypo.theses 284
CHAPTER 14: CUSTOM AND CONVENTION 277
REFERENCES
To find the passages cited, .use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [26S-283] 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upperancllower halves of the page. For example, in53 JAMES : Psychology, 116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halves ofthe right-hand side of
the page. For example, in 7 PLATo:Sympo"ium, 163b164e, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISION$: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [26S-283] 12d.
BIBLE REFERENCES: The references are to book. chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the DoiJay, indicated by a (D), follo\vs; e.g., OLD TESTA-
MENT: Nehemiah, 7:-\'5-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional inform~tion concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
7b. Custom as a barrier between communities 7d. The influence of custom on the liberty of
4 HOMER: Odyssey, BK VII [27-36] 218b the individual
5 AESCHYLUS: Suppliant Maidens [825-96S111d- 6 THUCYDIDES: Pelopollnesian War, BK II, 396c-d
13b 2S MONTAIGNE: Essays, 22a-c; 42b-c; 46b-47c;
6 HERODOTUS: History, BK I, 2a; 31d-32a; BK IV, . 143c-144a; 307b; 424d-426b esp 426a-b
137a-138c; 143b-I44b; ilK VJII, 287c-d 27 SHAKESPEARE: Coriolanu>', ACT II, SC II [136-
7 PLATO: Laws, BK IV, 678c-679a 1641 365c-366a; sc III [II9-I311367b
13 VIRGIL: Aeneid, BK I [520-5431 U7b-1l8a; 38 MONTESQUIEU : Spirit of Laws, BK XII, 84b,d;
BK IX [590-620] 295a-b 8K XIX, 138a-c; 142a; 145b-c
14 PLUTARCH: Lycurgus, 46b-c I Themistocles, 3.8 ROUSSEAU: Inequality,324a.b
99b-c / Marcus Cato, 287d-288c / Alexallder, 39 SMITH: Wealth of Nations, BK I, 4Ia
562b-563c 43 MILL: Liberty, 269b-271d; 293b-302c: 307b-
15 TACITUS: Histories, BK V, 295b-296a 312a passim
18 AUGUSTINE: City of God, BK XIX, CH 7 515a-c 46 HEGEL: Philosophy of Right, PART JII, par 355
/ Christian Doctrille, BK III, CH 14 663c-d 112d-1l3a; ADDiTIONS, 123 136d-137a / Phi-
22 CHAUCER: Tale of Man of Law [4638-4644] losophy of History, PART II, 279c-281b: PART
238a Ill, 3lOd-311b; PART IV, 333b-c
23 HOIlBEs: Leviathan, PART I, 96a 51 TOLSTOY: War and Peace, BK VIJI, 303a-305b
25 MONTAIGNE: Essays, 44b-c; 46b-47a; 91d-98b 54 FREUD: Origin a1ld Development of Psycho-
esp 93b-94a; 477d-478a; 524b-d Analysis, 20c-d / General Introduction, 452c-d;
26 SHAKESPEARE: Richard II, ACT I, SC III [i54- 573c / War and Death, 755d; 757c-759d /
1731 325b / Merchant of Venice, ACT I, SC III Civilization and Its Discontents, 776b-802a,c
8 to 9a CHAPTER 14: CUSTOM AND CONVENTION 283
esp 780d-781d, 783b-785a, 788d-789b, 796b-c, 45 LAVOISIER:Elements of Chemistry, PART I, 33a
799a-801c I New Introductory Lectures, 853a-b 46 HEGEL: Philosophy of Right, PART III, par 274
92a; par 355 112d-1l3a; ADDITIONS, 166 145b-
8. Custom in relation to order and progress: c I Philosophy of History, INTRO, 166d; 187d-
the factors of tradition and invention 188bj PART I, 209b; 222a-224a; 235d-236c;
7 PLATO: Republic, BK IV, 344b-d I Laws, BK II, 257a-c; PART II, 260b-c; 280b-281b; PART IV,
654c-655b; BK IV, 678c-679a; BK V, 692b-c; 315d-316b; 35Id-353a; 367a-b
BK VII, 717d-718c 47 GOETHE: Faust, PART II [7963-7964] 194a
8 ARISTOTLE: Metaphysics, BK II, CH 3 [99583-6) 48 MELVILLE: Moby Dick, 228b-229b
513c 49 DARWIN: Descent of Man, 323a
10 HIPPOCRATES: Fractures, par I 74b,d-75a 50 MARX: Capital, 6d-7aj 234a-235a; 239b-
14 PLUTARCH: Agis 648b,d-656d passim I Cleo- 241a
menes, 663b-c 50 MARX-ENGELS: Communist Manifesto, 426b-
15 TACITUS: Annals, BK XI, 105d-l07b; BK XII, 428d
I11b-c; BK XIV, I51d-152c 51 TOLSTOY: War and Peace, BK III, 132b-c; BK
16 COPERNICUS: Revolutions of the Heavenly VI, 239a-240d; BK VIII, 305b-d; 307d-309c;
Spheres, 506a-b BK IX, 354b-c; BK x, 403a-c; BK XV, 639c;
16 KEPLER: Epitome, BK rv, 846a-850a passim EPILOGUE I, 645a-646c; 647b-c
20 AQUINAS: Summa Theologica, PART I-II, Q 97, 53 JAMES: Psychology, 79b
A 2 236d-237b 54 FREUD: Civilization and Its Discontents, 776c-
21 DANTE: Divine Comedy, PURGATORY, XIV [91- 778a; 785c I New lntroductory Lectures, 834c;
126) 74c-75a; XXVIII [7()..;126j 96d-97c; PARA- 849d
DISE, XV-XVI 128b-132a
23 MACHIAVELLI: Prince, CH VI, 9b-c 9. The bearing of custom on thought
23 HOBBES: Leviathan, PART II, 154b-c
25 MONTAIGNE: Essays, 46b-51aj 131b-132a; 9a. Custom as a source of opinion and belief:
143c-144a; 208b-cj 3I8c-319b; 458b-c; 462c- its influence on judgments of beauty
465c 6 HERODOTUS: History, BK I, 44b; BK II, 56c-d;
27 SHAKESPEARE: Corio lantis, ACT II, SC III [119- 92c-93aj 97d-98aj BK IV, 137a; 142c;
BK III,
128] 367b 144a-b; 157b
28 GALILEO: Two New Sciences, FIRST DAY, 166c- 7 PLATO: Phaedrus, 116b-d I Republic, BK III,
d; THIRD DAY, 203c-d 333b-334b I Laws, BK III, 675c-676b
28 HARVEY: Motion of the Heart, 285b-c I Circu- 8 ARISTOTLE: Metaphysics, BK II, CH 3 [994b32-
lation ofthe Blood, 306a-c; 319c-d I On Animal 995814) 513c
Generation, 364a-c;457b 9 ARISTOTLE: Politics, BK III, CH II [1281843-
30 BACON: Advancement of Learning, 14c-15d esp blO) 479b
15a-b; 16c; 29b-c; 65b-c I Novum Organum, 18 AUGUSTINE: Confessions, BK III, par 13 16c-d I
BK I, APH 39-46 109c-ll0c; APH 74 118b; APH Christian Doctrine, BK III, CH 10, 661d-662a;
77 118d-119b; APH 90 124d-125a I New Atlan- CH 12-14 662c-663d; CM 18-22 664d-666c
tis, 205d-207b passim
31 DESCARTES: Discourse, PART II, 45c-d 21 DANTE:Divine Comedy, PURGATORY, XI [73-
33 PASCAL: Pensees, 294 225b-226bj 325 230b- "7)69c-70a; XXVI [91-I26) 93d-94b
231a I Vacuum, 355a-358b 22 CHAUCER: Troilus and Cressida, BK II, STANZA
35 LOCKE: Civil Government, CH XIII, SECT 157 4-7 22a-b
61c-d; CH XIX, SECT 223 76c-d I Human 23 HOBBES: Leviathan, PART I, 78b-c; 96a; PART
Understanding, 85a-c IV, 274b-c
35 BERKELEY: Human Knowledge, PREF 404a-b 24 RABELAIS: Gargantua and Pantagruel, BKI,
36 SWIFT: Gulliver, PART III, 105a-l06b 12d-13b; BK IV, 273d-274a
38 MONTESQUlEU: Spirit of Laws, BK V, 22a-bj 25 MONTAIGNE: Essays, 43d-44c; 46b-48b; 80b-
BK XIV, 104cj BK iox, 137c-138c; 139b-140aj d; 93b; 143c-l44a; 208b-c; 209c-212a esp
BK XXVI, 217b-c 21lb-c; 230b-231a; 259d-261c; 281a-284c
38 ROUSSEAU: Inequality, 324a-b I Social Con- passim; 497d-502c passim
tract, BK II, 402b-403a; BK III, 419d-420a 26 SHAKESPEARE: As You Like lt, ACT II, sc I
39 SMITH: Wealth of Nations, BK I, 96b-97b esp [1-20) 603c-d
. 97a-b 27 SHAKESPEARE: Hamlet, ACT II, SC II [454-471]
40 GIBBON: Decline and Fall, 23d-24a; 459a-c 45a
42 KANT: Judgement, 513d-514b 28 HARVEY: Motion of the Heart; 285b-c I Cir-
43 DECLARATION OF INDEPENDENCE: [15-2211b culation of the Blood, 306a-c; 319c-d I On
43 FEDERALIST: NUMBER 14, 62a-d Animal Generation, 41lc-d
43 MILL: Liberty, 293b-302c esp 300a-302c I 29 CERVANTES: Don Quixote, PART I, xia-xvid;
Representative Government, 329a-b; 330d-331a; PART II, 251a-252b
344a-b; 352d-353a; 357c; 377b-378a 30 BACON: Advancement of Learning, 61 b-c
44 BOSWELL: Johnson, 189d-190b 31 DESCARTES: Discourse, PART II, 45b-46c
284 THE GREAT IDEAS 9a to 9b
51 TOLSTOY: War and Peace, 247a-248a;
BK VI,
(9. The bearing of custom on thought. 9a. Custom 260b-c; BK VIII, a04e-d; 309b-e; 313d-314a;
.as a source of opinion and belief: its influ- 318a-320b; 324b-325a; BK X, 403a-405a; BK
ence on judgments of beauty.) XIV, 611a-e; EPILOGUE I, 645a-646e
. 32 MILTON: Areopagitica, 408b-409a 53 JAMES: Psychology, .642a;.886b-887a
33 PASCAL: f'ensees, 33 176b; 89-96 189b-190a; 54 FREUD: Psycho-Analytic Therapy, 12Sa-126d /
98 190b; 245 218b; 252 219b-220a: 291-338 General Introduction, 452e-453a / New Intro-
22Sa-233a passim . ductory Lectures, 849d; 864a-865a
35 LOCKE: Human Understanding, 8Sa-e; BK I,
CH II, SECT 8 10Sd-106aj SECT 20-26110e-112b 9b. The conventionality of truth: postulation,
passim.; BK II, CH XXXIII, SECT 5-18 248d-251e choice among hypotheses
passim 7 PLATO: Cratylus, 85d-86d; 107d-109a /
35 HUME: Human Understanding, SECT XII, DIV Phaedrus, 131b-133b / Theaetetus, 52Se-S28e
132, 50ge-d esp 528b-c; 531a-532a
36 SWIFT: Gulliver, PART I, 21 b-23a; 27b-28a; 8 ARISTOTLE: Posterior Analytics, BK I, CH 3
PART II, 76b-77a; 'PAR,T III, 9Sa-b [72b5-I41 99b / Metaphysics, BK IV, CH 5-6
36 STERNE: Tristram Sliandy, 309b-310a 528e-53le
37 FIELDING: Tom Jones, 223a-225a 16 COPERNIC.US: Revolt/tions of the Heavenly
38 MONTESQUIEU: Spirit of Laws, BK XIX, 135h- Spheres, 505a-506a
d; 136e; 139b-140e 23 HOBBES: Leviathan, PART I, 65e
40 GIBBON: Decline and Fall, 296b-e; 464e-d 25 MONTAIGNE: Essays, 44b-e; 46b-d;240c-246a:
42 KANT: Pure Reason, 221b-222a / Judgement, 25ge-261e; 267c-d; 276b-278a: 281a-284e;
513d-514b 318a-319b
43 FEDERALIST: NUMBER 49,lS9d-160a; NUMBER 27 SHAKESPEARE: Hamlet, ACT II, SC II [254-2571
60, 184d 43b
43 MILL: Liberty, 269b-271d 30 BACON: Advancement of Learning, 57d-58b /
44 BOSWELL: Johnson, 202b Novum Organum. BK I, APH 41 109c-d.
46 HEGEL: Philosophy of Right, ADDITIONS, 160 31 DESCARTES: Discourse, PART 11, 46b-e
142d-143a / Philosophy of History, PART II, 33 PASCAL: Pensees, 72 181a-184b esp 182b
265e-266a; 273e; PART IV, 351d-353a 36 SWIFT: Gulliver, PART m,118a-119a
48 MELVILLE: Moby Dick, 60b-65a; 229a-b 45 FARADAY: Researches in Electricity, 362c-d
49 DARWIN: Origin of Species, 95a-d / Desce11t of 46 HEGEL: Philosophy of Right, PREF, 2b.e
Man, 302a-b; 462d-463a; 56ge; S71b-S77d esp 51 TOLSTOY: War and Peace, EPILOGUE I, 645a-
577b-d 646c
50 MARX-ENGELS: Communist Manifesto, 427a- 53 JAMES: Psychology,884b,886a
b; 428b-d . 54 FREUD: Instincts, 412a-b
CROSS-REFERENCES
For: Other discussions of the distinction between nature and convention, and for the examination
of related distinctions, see ART 2C; HABIT I, 7; NATURE 2a-2C.
The consideration of the natural and the conventional in language and society, see FAMILY I;
LANGUAGE 2.-2b; NATURE 2b, sc; SIGN AND SYMBOL la-rf; STATE 3b-3d.
Applications of the distinction between nature and convention in law and jurisprudence, see
JUSTICE 6a-6b, 9a, roa; LAW 4-4h, SC, 7C; and for the relation oflaw to custom and habit,
see HABIT 7; LAW Sf.
The discussion of custom as a conservative force in relation to progress, see CHJ\NGE I2b;
. HISTORY 4b; PROGRESS 4a, S.
The bearing of custom and convention on the issues of morality, see GOOD AND EVIL 3a, 6dj
NATURE sa; OPINION 6a; RELATION 6c; UNIVERSAL AND PARTICULAR. 7b.
The relativity of truth to the customs of the time and place, and for the theory that the
foundations of science are conventional, see HYPOTHESIS 3; KNOWLEDGE 4b, Sc; OPINION
3C;' PRINCIPLE 3C(2), Sj RELATION 6bj TRUTH 7ib; UNIVERSAL AND PARTICULAR 7a.
Matters relevant to the influence of custom on taste or judgments of beauty, see BEAUTY Sj
NATURE Sd; RELATION 6c; UNIVERS.AL AND PARTICULAR 7C.
The significance of nature and custom in the sphere of economic activity, see NATURE 5bj
WEALTH I, lOb.
CHAPTER 14: CUSTOM AND CONVENTION 285
ADDITIONAL READINGS
Listed bel<lw are works not included in Great Books of the Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
L Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings, which follows the last chapter of The Great Ideas.
INTRODUCTION
D EFINITION has been variously defined
in the tradition of the great books. These
Aristotle and Spinoza, Hobbes and Locke, Aqui-
nas and William James. Their views of the way
diverse conceptions of what a definition is raise in which definitions should be constructed or
man y issues. their conceptions of the function of definitions
At one extreme, writers like Hobbes look determine and reflect lines of agreement and
upon definition as nothing more than an at- opposition on many other matters. The use of
tempt to say what a word means-how it has definitions in the great works of mathematics
been or is being used. At. the other, writers like and natural science-by Euclid, Descartes,
Aquinas regard definition as that act of the Galileo, Newton, Lavoisier, and Darwin-
mind by which it expresses the nature of a thing tends to exemplify now one, now another,
or formulates its essence. theory of definition. Modern discussions of the
In one technical view associated with the nature of science and mathematics, especially
name of Aristotle, to define is to state the genus discussions influenced by the development of
and differentia by which the species of a thing mathematical logic-from Whewell, Mill, and
is constituted. In another theory of definition Poincare to Whitehead, Russell, and Dewey-
advanced by Locke and others, any combina- focus critical attention on the nature and role
tion of traits which distinguishes one' class or of definitions.
kind of thing from another defines the charac-
ter common to all members of that class. In still MANY OTHER chapters provide an illuminating
another view, to be found in Spinoza, definition context for topics discussed in this one, espe-
consists in giving the cause or genesis of a thing, cially the chapters on LANGUAGE and LOGIC,
in saying how the thing originated or was IDEA, PRINCIPLE and REASONING, PHILOSOPHY
produced. and SCIENCE, and TRUTH. Though the issues
Sometimes definition through causes employs concerning definition cannot be resolved apart
the final rather than the efficient or productive from this larger context of controversy about
cause, and characterizes the thing by the end it the mind, reality, and knowledge, we can nev-
naturally serves. And sometimes, as with Wil- ertheless formulate these issues in isolation. But
liam James, definitions simply express the pur- in doing so we ought to bear in mind that they
poses or interests which we have in mind when can be more readily understood in proportion
we classify things to suit ourselves. as they are seen in the light of other relevant
In the tradition of the liberal arts of gram- considerations.
mar, rhetoric, and logic, these various concep- There is, first of all, the question about the
tions of definition are connected with contro- object of definition. What is being defined
versies concerning the power and activity of when men make or defend definitions? This
the human mind, the relation of language to question broadens into the problem of nominal
thought, the structure of science or, more gen- as opposed to real definitions. That is a complex
erally, the nature of knowledge, and the con- problem which raises a number of further ques-
stitution of reality, with particular reference to tions. Are all definitions arbitrary, expressing
the existence of universals and individuals and the conventions of our speech or the particular
their relation to one another. purpose we have in mind when we classify
These connections appear in the thought of things? Or do some, if not all, definitions ex-
286
CHAPTER 15: DEFINITION 287
press the real natures of the things defined? Do that definitions are first principles or foundations
they classify things according to natural kinds of science. "In Geometry (which is the only sci-
which have reality apart from our mind and its ence that it hath pleased God hitherto to be-
interests? stow on mankind), men begin," he writes, "at
These issues are in turn related to the issue settling the signification of their words; which
concerning the limits of definition and its ulti- settling of significations, they call Definitions;
mate principles-whether all things, or only and place them in the beginning of their reckon-
some, are definable, and whether the indefin- ing." This shows, Hobbes thinks, "how neces-
able terms, without which definition is itself sary it is for any man that aspires to true knowl-
impossible, can be arbitrarily chosen or must edge to examine the definitions of former au-
always be terms of a certain sort. The sense in thors; and either to correct them, where they
which definitions may be true or false and the are negligently set down; or to make them him-
sense in which they cannot be either, have a self. Forthe errors of definitions multiply them-
bearing on all these issues; and through them selves, according as the reckoning proceeds."
all run the divergent conceptions of how defini- For Hobbes, then, definition is verbal; yet
tions can or should be constructed. definitions can also be true or false, and on the
truth of definitions depends the distinction be-
WHEN IN THE course of argument one man dis- tween knowledge and opinion. "In the right
misses the opinion of another by saying, "That definition of names," he says, "lies the first use
is just a matter of definition," the usual im- of speech; which is the acquisition of science."
plication is that the rejected opinion has no Only when discourse "begins with the defini-
truth apart from the way in which the man tions of words" can it reach conclusions that
who proposed it uses words. He may even be have the character of knowledge. "If the first
accused of begging the question, of framing ground of such discourse be not definitions ...
definitions which implicitly contain the con- then the end or conclusion is opinion."
clusion he subsequently draws from them. Hobbes accurately reports the nature of ge-
The underlying supposition here seems to be ometry when he says that in that science defini-
expressed by Pascal when, in his essay On Geo- tions serve as principles in reasoning or proof.
metrical Demonstration, he asserts that "there is The words "by definition" mark one of the
great freedom of definition and definitions are steps in many Euclidean proofs. Descartes and
never subject to contradiction, for nothing is Spinoza, proceeding in the geometrical man-
more permissible than to give whatever name ner, place definitions at the head of their works
we please to a thing we have clearly pointed as ultimate principles to be used in validating
out." He calls "true definitions" those which their conclusions. But, unlike Hobbes, these
are "arbitrary, permissible, and geometrical." writers do not seem to regard their definitions
The only restriction he would place upon our as merely verbal. Euclid goes further, as we
freedom to make definitions is that "we must shall presently see, and offers what amounts
be careful not to take advantage of our freedom to proofs of his definitions, or at least of their
to impose names by giving the same name to geometrical reality. Aristotle and Aquinas cer-
two different things." And even this case, he tainly take the position not only that definitions
claims, is permissible "if we avoid confusion by are principles, but also that definitions them-
not extending the consequences of one to the selves are capable of being demonstrated. But
other." they complicate the matter by insisting that
If we are free to make whatever definitions definitions are neither true nor false, since, as
we please, it would seem to follow that defini- Aristotle says, they do not involve "the asser-
tions cannot be matters of argument; and dif- tion of something concerning something."
ferences of opinion which result from differ- At least two questions seem to be involved in
ences in definition would seem to be irrecon- this familiar dispute about the arguability of
cilable by any appeal to reason or to fact. definitions and their role in argumentation. To
Such a conception of definition as verbal avoid confusion, they should be kept distinct.
does not seem to prevent Hobbes from holding One is the question of the truth and falsity of
288 THE GREAT IDEAS
definitions. It should be separated from, even But are they merely nominal? Are they en-
though it is related to, the other question about tirely arbitrary? That this word should be used
whether all definitions are nominal, i.e., con- to name this thing is arbitrary, but that when
cerned only with assigning meanings to the it is so used a certain definition also applies
words by which we name things. To under- may not be arbitrary. Among the several verbal
stand what is involved in this second question, definitions of a word, the one which applies in
it may be helpful to consider the relation of any particular case will depend upon the char-
words, thoughts, and things in the process of acter of the thing which the word is used
definition. to name.
For example, if John and James are sons of
A DICTIONARY IS supposed to contain defini- the same parents, the name "brother" applies,
tions. It does in part-insofar as the meaning of but not with the same definition which is re-
any word is expressed in a phrase containing quired for the application of the name to Mark
other words which are not synonyms for the and Matthew who, unrelated by blood, are
word in question. The combined meanings of members of the same monastic order. What the
these other words determine the meaning of word "brother" is used to mean may be arbi-
the word being defined. trary, but when it is used now of John and
For example, one definition of the word James, and now of Mark and Matthew, it
"brother" is "a male relative, the son of the would be misapplied ifit did not carry the ap-
same parents or parent." Another is "a male propriate definition. Which definition is appro-
member of a religious order." These two defini- priate in each case does not seem to be arbi-
tions give different meanings for the same word. trary, since that appropriateness depends not
The dictionary is here recording two ways in on our will but on the objective facts of the
which, as a matter of historical fact, the word case-the actual relation of the persons called
has been used. It has been and can be used in "brothers. "
still other ways. No one of these definitions can Precisely because the word is used to name a
be called "right" and the others "wrong." thing, the definition of the word as so used does
Dictionary definitions seem to be verbal and more than state the meaning of the word. It
arbitrary in a number of ways. That the word states something about the character of the
"brother" should carry any of the meanings thing named. Definitions remain merely verbal
which the dictionary records is an accident of only so long as the words they define are not
English usage. It is arbitrary that that partic- actually used to name or to signify things in
ular sound or mark should be the name for a some way. Whenever a thing is named or sig-
male relative who is the son of the same par- nified, the definition which gives the meaning
ents. It would be equally arbitrary to restrict of the word roust also signify something about
the meaning of the word "brother" to anyone the nature of the thing.
of its definitions. "In the natural order of ideas," writes Lavoi-
Nothing about a word limits the number of sier, "the name of the class or genus is that
distinct meanings with which it can be used. As which expresses a quality common to a great
Locke says, "every man has so inviolable a lib- number of individuals; the name of the species,
erty to make words stand for what ideas he on the contrary, expresses a quality peculiar to
pleases, that no one hath the power to make certain individuals only. These distinctions are
others have the same ideas in their minds that not, as some may imagine, merely metaphysical,
he has, when they use the same words that he but are established by Nature."
does," A word is thus a conventional sound or
mark, which can be given any meaning con- YET IT MAY BE said that the definition is still
vention assigns to it. When that meaning is ex- nominal, for it depends entirely on the mean-
pressed in other words, we have a verbal defini- ings of the words which express it. For example,
tion, and such definitions are certainly nominal one definition of "brother" involves the mean-
in this sense-that they state the meaning of ings of such words as "male" and "relative,"
a name. "son," "parent," and "same." If we were to
CHAPTER 15: DEFINITION 289
look these words up in a dictionary, the def- tion, impose themselves upon our minds as prin-
initions we found would involve the meanings ciples, leaving us no choice, parallels the issue
of still other words, and so on in an endlessly between the view that the principles of a sci-
circular fashion. Furthermore, we would find ence consist of postulates voluntarily assumed
the account of certain words, such as "relative" and the view that they are axiomatic or un-
and "same," somewhat unsatisfactory as defini- avoidable.
tions because the meaning of the defining words Far from regarding such basic indefinable
would immediately involve the meaning of the terms as clearest and most indisputable in mean-
word to be defined. To say that "same" means ing, Spinoza thinks that "these terms signify
"not other" or "not different" seems the same ideas in the highest degree confused." For him
as saying "same" means "same." Yet we must "the true definition of anyone thing ... ex-
know the meaning of "same," for otherwise we presses nothing but the nature of the thing de-
could not understand the meaning of" brother," fined." But to arrive at the true definition, it is
in the definition of which the word "same" necessary to discover the cause of the thing.
appears. For "every existing thing," he writes, "there is
That some words seem to have indefinable some certain cause by reason of which it exists."
meanings suggests that not all meanings are This cause "must either be contained in the
merely verbal or nominal, and that the mean- nature itself and definition of the existing thing
ing of every word cannot be found in the mean- ... or it must exist outside the thing." In the
ings of other words. In the Preface to his dic- latter case, the definition .of the thing always
tionary, Dr. Johnson observes that "as nothing involves a statement of the external cause of its
can be proved but by supposing something in- existence.
tuitively known, and evident without proof, so Accordingly, Spinoza rejects the traditional
nothing can be defined but by the use of words type of Aristotelian definition as purely sub-
too plain to admit ofdefinition." The circular- jective-a matter of individual memory and
ity of the dictionary is thus avoided. When we imagination. "Those who have more frequently
trace meanings from one worc! to another, we looked with admiration upon the stature of
finally come to words whose meanings we seem men," he writes, "by the name man will under-
to understand immediately, or at least without stand an animal of erect stature, while those
reference to the meanings of other words. who have been in the habit of fixing their
Just .as .the arbitrary character of verbal def- thoughts on something else will form another
initions seems to be removed by the considera- COmmon image of men, describing man, for in-
tion of the things which words name or signify, stance, as an animal capable oflaughter, a biped
so the purely nominal character of definitions without feathers, a rational animal, and so
seem to be removed by recourse to meanings on; each person forming universal images of
which are understood without further verbal things according to the temperament of his own
explanation-meanings which may in fact be body."
incapable of such explanation. However the issue between Spinoza and Aris-
totle is resolved, both seem to agree that more
NOT ALL WRITERS agree with Dr. Johnson. All is involved in the process of definition than the
of them would admit that some words must be statement of verbal equivalences. "We have a
left undefined in order to define others, but definition," Aristotle says, "not where we have
which shall be used as indefinable and which a word and formula identical in meaning (for in
shall be defined is, in the opinion of some, a that case all formulae or sets of words would be
matter of choice. It is not something which can definitions)." The formula which is expressed
be determined by the order intrinsic to our in a phrase or combination of words must state
ideas or meanings. The issue between the math- the nature or essence of a thing, not just the
ematical logicians who think that we are free meaning of a word. "The formula ... in which
to choose our primitive or indefinable terms, the term itself is not present but its meaning is
and those who, like Aquinas, think that cer- expressed, this," according to Aristotle, "is the
tain terms, such as being, same, one, and Tela- formula of the essence of each thing" and, he
290 THE GREAT IDEAS
adds, "there is an essence only of those things the beings to which we also arbitrarily assign
whose formula is a definition." the name "man."
Even supposing the truth of these state-
ments, which Hobbes or Locke certainly would THE PROCESS of verification by which a nom-
question, the problem of real as opposed to inal is converted into a real definition can be
nominal definition requires further examina- regarded as the demonstration of a definition.
tion. To explore the matter further, let us take Strictly speaking, it is not the definition which
two of the most famous definitions to be found is thereby proved. It is rather a proposition in
in the great books. Both are definitions of man which the subject of the definition is affirmed
-"featherless biped" and "rational animal." to exist, or in which a subject already known to
As we have seen, these definitions must remain exist is said to have a certain definition. For
purely nominal-only stating the meaning of example, it is not the definition "rational ani-
the word "man"-until that word is used to mal" which is proved, but the proposition
name some kind of thing. If, however, we apply "there exists an animal which differs from other
the word "man" to existing entities which animals in being rational," or the proposition
combine the characteristics of having two legs "the real being which we call 'man' is both an
and lacking feathers, then "featherless biped" animal and rational, and he alone is rational."
defines, not the word "man," but a class of real, If these propositions cannot be proved, "ration-
that is, existing things. In addition to being al animal" remains a purely nominal definition.
nominal, the definition is now also real in the That definitions are not as such either true or
sense that the class or kind which it determines false is unaffected by the distinction between
has existing members. real and nomina:l definitions. The point is sim-
That animals exist may similarly be a fact of ply that a definition, which is always linguisti-
observation. But "animal" is only one of the cally expressed by a phrase, never a sentence,
two terms in the other nominal definition of neither affirms nor denies anything, and so can-
"man." In order to make "rational animal" not be either true or false. "Featherless biped"
more than a nominal definition, it is necessary or "son of the same parents" makes no assertion
to verify the existence of animals which possess about reality or existence.
a certain characteristic, rationality, not pos- Yet there is a special sense in which defini-
sessed by all animals. If rationality in some de- tions can be true or false; which does have a
gree belonged to all animals, then the word bearing on the distinction between real and
"man" (nominally defined by "ratioIlalani- nominal definitions. Pascal suggests three alter-
mal") would be synonymous with "animal." natives with regard to the truth or falsity of
But, unlike feathers, the presence or absence of definitions. "If we find it impossible," he
which seems readily observable, the possession writes, "it passes for false; if we demonstrate
or lack of ra tionali ty is difficult to ascertain. that it is true, it passes for a truth; and as long
Here we face two possibilities. One is that we as it cannot be proved to be either possible or
can never be sure that some existing animals impossible, it is considered a fancy."
are and some are not rational. Then the defini- According to Aquinas, there are two ways in
tion "rational animal" will never become real. which a definition can be false. In one way,
It will always remain merely nominal, the state- when the intellect applies "to one thing the
ment of a possible meaning for "man," but one definition proper to another; as that of a circle
which we cannot employ when we apply the to a man. In another way, by composing a def-
word to name any existing thing. The other inition of parts which are mutually repugnant.
possibility is that we can infer the existence of a A definition such as 'a four-footed rational ani-
special class of animals (distinguished by the mal' would be of this kind ... for such a state-
possession of reason) from such evident facts as ment as 'some rational animals are four-footed'
the activities of reading and writing, activities is false in itself."
not performed by all animals. Then, members But the truth or falsity of that statement can
of the class defined having been found to exist, conceivably be argued, and therefore it is not
"rational animal" becomes a real definition of so clear an example of a false definition as one
CHAPTER 15: DEFINITION 291
which, in Pascal's terms, plainly represents an all sciences. Until a definition ceases to be nom-
impossibility. Suppose someone offered "round inal and becomes real, it cannot be used scien-
square" as the nominal definition of "rectacy- tifically in the demonstration of other conclu-
c1e." The phrase "round square" expresses a sions; to use a merely nominal definition in the
self-contradiction, and in consequence the defi- proof begs the question.
nition is false. Its falsity is tantamount to the If the existence of the thing defined is either
impossibility of there being any such figure as a directly observable or self-evident, no proof or
rectacycle which has the definition proposed. postulation of existence is required. In theol-
The truth of a definition-which is nothing ogy, for example, there are those who think
more than its freedom from self-contradiction that the existence of God is immediately seen
-is equivalent to the possibility, as opposed to in the definition of God. Descartes and Spinoza
the impossibility, of the thing defined. To call seem to be of this opinion.
the definition "son of the same parents" or Descartes argues that "eternal existence" is
"featherless biped" true is to say that the words necessarily included in the idea of God as "a
defined- "brother" or "man" -signify possible supremely perfect Being." This is so evident,
existences. In short, only those nominal defini- he declares, that "existence can no more be
tions which are true can ever become real, and separated from the essence of God than can its
they become real only when the possibility having its three angles equal to two right angles
they signify is actually known to be realized in be separated from the essence of a triangle, or
existence. the idea of a mountain from the idea of a val-
ley." Concerning substance or God, Spinoza
THE METHOD OF Euclid's Elements illustrates holds that, since it pertains to its nature to
the foregoing points. Euclid defines certain geo- exist, "its definition must involve necessary
metrical figures, such as triangle, parallelogram, existence, and consequently from its definition
square. These definitions may appear to be free alone its existence must be concluded."
from contradiction, but that does not tell us On the other hand, there are those who think
whether they are more than nominal. The de- that the existence of God must be proved by
fined figures are possible, but the question is inference from effect to cause. Supposing that a
whether they exist in the space determined by man understands the meanillg of the word
Euclid's postulates. "God," Aquinas maintains that it "does not
To show that they do exist, Euclid under- therefore follow that he understands that what
takes to construct them according to his postu- the name signifies exists actually, but only that
lates which permit him the use of a straight it exists mentally." Hence, he declares, it is nec-
edge and a compass for purposes of construc- essary to prove the existence of God, "accept-
tion. When in Proposition I Euclid proves that ing as a middle term the meaning of the name,"
he can construct an equilateral triangle, he es- but using an effect in "place of the definition of
tablishes the geometrical reality of the figure the cause in proving the cause's existence."
defined in Definition 20. A geometrical con- The difference between these two positions
struction is thus seen to be what is called an might be summed up by saying that Descartes
"existence proof." It converts a nominal into a and Spinoza, like Anselm before them, think
real definition. Figures which cannot be con- the definition of God is intrinsically real, where-
structed must be postulated; as, for example, as Aquinas thinks we must begin with a nom-
the straight line and the circle. Postulates I and inal definition of God, which becomes real only
3 ask us to assume that a straight line can be with proof of God's existence. For some con-
drawn between any two points and that a circle firmed atheists, any definition of God is not
can be described with any center and radius. only nominal, but false-the definition of an
These postulates give Definitions 4 and 15 their impossible being, incapable of existing.
geometrical reality.
Though the method of construction is pecu- THERE IS STILL another issue about nominal and
liar to geometry, the relation of definitions to real definitions. The point involved is the one
proofs or postulates of existence is the same for raised by Locke's discussion of nominal and real
292 THE GREAT IDEAS
essences. It is also raised by Aristotle's discrim- in the mind of the speaker, stand for we know
ination between essential and accidental uni- not what; and the extent of these species, with
ties, i.e., the difference between the unity sig- such boundaries, are so unknown and undeter-
nified by the phrase "featherless biped" and by mined; that it is impossible with any certainty
the phrase "black man." Both phrases look like to affirm, that all men are rational, or that all
definitions. Each designates a possible class of gold is yellow."
individuals and sets up the conditions for mem-
bership in that class or exclusion from it. THIS ISSUE HAS MANY ramifications. In one
The distinction between them does not rest, direction it leads into Aristotle's quarrel with
according to Aristotle, on the criterion of exist- Plato over the method of definition by division
ence. Both of the objects defined may exist, but or dichotomy. In the Sophist and the Statesman,
whereas the first is truly a species, the second is the search for definitions proceeds by the divi-
only, in Aristotle's opinion, an accidental vari- sion of a class of things into two sub-classes, one
ety within the species man. Man, being a spe- of which is then further subdivided, and so on
cies, can have a real essence, and so any defini- until a class is reached which has the character-
tion of man-whether "featherless biped" or istics of the object to be defined. The attempt
"rational animal" -can be a real definition, con- to define a sophist, for example, starts with the
stituted by genus and differentia. But negro or notion that he is a man of art, and proceeds by
aryan, not being a species, but only a race or dividing and subdividing the various kinds of
variety, has no essence as such. The definitions art. At one point in the course of doing this, the
-"black man" and "white man"-indicate Athenian Stranger summarizes the process to
this in that they are constituted by two terms that point.
which are related as substance and accident, not "You and I," he says to Theaetetus, "have
as genus and differentia. come to an understanding not only abollt the
Though Aristotle distinguishes these two name of the angler's art, but about the defini-
types of formulae as essential and accidental tion of the thing itself. One'half of all art was
definitions rather than as real and nominal defi- acquisitive-half of the acquisitive art was con-
nitions, the one principle of distinction is close- quest or taking by force, half of this was hunt-
ly related to the other, for only essential defini- ing, and half of hunting was hunting animals,
tions can have real essences for their objects. half of this was hunting water animals-of this
Accidental definitions do little more than state again, the under half was fishing, half of fishing
the meanings of words, or express what Locke was striking; a part of striking was fishing with
calls the "nominal essences" of things. He a barb, and one half of this again, being the
doubts that the definition of anything except a kind which strikes with a hook and draws the
mathematical object can ever grasp the real es- fish from below upwards, is the art which we
sence of a thing. For him all definitions are have been seeking, and which from the nature
nominal, which is equivalent to saying that we of the operation is denoted angling or drawing
never define by means of the true genus and up ... And now, following this pattern," he
differentia, but always by accidental and exter- continues, "let us endeavor to find out what a
nal signs, or by stating the component parts of Sophist is."
a complex whole. The pattern as illustrated indicates that, in
"Speaking of a man, or gold'" Locke ex- the course of division, one of the two classes is
plains, "or any other species of natural sub- discarded while the other is subject to further
stance, as supposed constituted by a precise and subdivision. Aristotle's criticism of this pro-
real essence which nature regularly imparts to cedure turns partly on the fact that the divi-
every individual of that kind, whereby it is sion is always dichotomous, or into two sub-
made to be of that species, we cannot be certain classes, and partly on the fact that the terms
of the truth of any affirmation or negation which Plato uses in a succession of subdivisions
made of it. For man or gold, taken in this sense, do not seem to have any systematic relation to
:and used for species of things constituted by one another. If the class of animals, for exam-
real essences, different from the complex idea ple, is divided into those with and those with-
CHAPTER 15: DEFINITION 293
out feet, it makes a difference, according to vary from man to man and from hour to hour."
Aristotle, what terms are then used to differ- In a footnote James adds: "A substance like
entiate footed animals into their proper sub- oil has as many different essences as it has uses
classes. to different individuals." The classification of
"It is necessary," he insists, "that the divi- natural as well as artificial objects should there-
sion be by the differentia of the differentia; e.g., fore proceed according to the advice Mephis-
'endowed with feet' is a differentia of 'animal'; topheles gives to the student in Goethe's Faust.
again the differentia of 'animal endowed with "You will have more success," he says, "if you
feet' must be of it qua endowed with feet. will learn to reduce all, and to classify each ac-
Therefore we must not say, if we are to speak cording to its use." But if this is so, then no one
rightly, that of that which is endowed with feet scheme of classification, more than any other,
one part has feathers and one is featherless (if represents the real structure or order of nature.
we do this we do it through incapacity); we NatUre indifferently submits to any and all divi-
must divide it only into cloven-footed and not- sions which we wish to make among existing
cloven; for these are differentiae in the foot; things. Some classifications may be more sig-
cloven-footed ness is a form of footedness. And nificant than others, but only by reference to
the process wants always to go on so till it our interests, not because they represent reality
reaches the species that contains no difference. more accurately or adequately. It does not mat-
And then there will be as many kinds of foot as ter, therefore, whether we define by genus and
there are differentiae, and the kinds of animals differentia, by other characteristics in combina-
endowed with feet will be equal in number to tion, or by reference to origins or functions.
the differentiae. If then this is so, clearly the Darwin's scheme of classification provides
last differentia will be the essence of the thing evidence relevant to this whole issue. As indi-
and its definition." cated in the chapters on ANIMAL and EVOLU-
As Aristotle quarrels with Plato's method of TION, Darwin thinks tha t his genealogical clas-
division, so William James takes issue with Aris- sification of plants and animals comes nearer to
totle's theory that a real essence is defined when the natural system of living organisms than the
the right differentia is properly chosen within a classifications proposed by his predecessors.
certain genus of things. He tends to follow "The Natural System," he writes, "is a genea-
Locke's notion that definitions indicate no logical arrangement, with the acquired grades
more than the nominal essences of things, but of difference, marked by the terms, varieties,
he gives this theory a special twist by adding species, genera, families, etc.; and we have to
the notion that all our definitions merely group discover the lines of descent by the most per-
things according to the interest or purpose, manent characters whatever they may be and
whether theoretical or practical, which moti- of however slight vital importance." Hence-
vates our classification of them. This has come forth, following his method, "systematists will
to be known as the pragmatic theory of have only to decide ... whether any form be
definition. sufficiently constant and distinct from other
"My thinking," writes James, "is first and forms, to be capable of definition; and if de-
last and always for the sake of my doing." After finable, whether the differences be sufficiently
pointing out that Locke "undermined the fal- important to deserve a specific name."
lacy" of supposing that we can define the real But Darwin's statement re-opens rather than
essences of things, he goes on to say that "none resolves the great traditional questions. Are the
of his successors, as far as I know, have radically various groupings made in classification divi-
escaped it, or seen that the only meaning of es- sions which the classifier finds useful to impose
sence is teleological, and that classification and on nature, or do they represent lines of real
conception are purely teleological weapons of the distinction in the very na ture of things? If the
mind. The essence of a thing is that one of its latter is the case, either wholly or in part, are
properties which is so important for my interests we able to do more than approximate real dis-
that in comparison with it I may neglect the tinction by whatever method of definition we
rest .... The properties which are important employ? Can we discover real species, essen-
294 THE GREAT IDEAS
tially distinct from one another, and can our mind to submit itself to the test of agreement
definitions formulate the essence of each? with reality. Definition helps man to ask nature
or experience the only sort of question to which
THE SEARCH FOR definitions basically belongs to answers can be found.
the activity of the human mind in all its scien- The search for definitions has, perhaps, its
tific or dialectical efforts to clarify discourse, to most dramatic exemplification in the dialogues
achieve precision of thought, to focus issues and of Plato. Socrates usually leads the conversation
to resolve them. in quest of them; though it is only in certain
Men have no other way of coming to terms dialogues, such as the Sophist and the States-
wi th one another than by defining the words man, that the making of definitions is practiced
they use to express their concepts or meanings. in detail. Two other books in this set are largely
They make terms out of words by endowing concerned with ways of reaching and defending
words with exactness or precision of meaning. definitions-Aristotle's Topics (which should be
Definition does this and makes possible the considered together with the opening chapters
meeting of minds either in agreement or in dis- of his Parts of Animals) and Bacon's Novum
pute. Definition also makes it possible for any Organum.
OUTLINE OF TOPICS
PAGB
I. The theory of definition 295
la. The object of definition: definitions as arbitrary and nominal or real and con-
cerned with essence .
lb. The purpose of definition: the clarification of ideas
IC. The limits of definition: the definable and the indefinable
Id. The unity of a definition in relation to the unity of the thing defined
Ie. The truth and falsity of definitions
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-2831 12d, the
number 4 is the number of the volume in the set: the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, inS3 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page II6 and ends in the lower half of page II9. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters e and d to the upper and lower halves of the right-hand side of
the page. Forexample,in 7 PLATO: Symposium, 163b-164e, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PAR,T, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad. BK II [265-283J 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46 .
. SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
lei. The unity of a definition in relation to the 2a. The use of division or dichotomy in defi-
unity of the thing defined nition
7 PLATO: Laches, 32a-33a / Cratylus 85a-114a,c 7 PLATO: Phaedrus,134a-c / Sophist, 552b-561d;
esp 85a-89a, 104b-U4a,c / Meno, 174a-179b 577c-579d / Statesman 580a-608d / Philebus,
/ Theaetetus, 514h-515d / Sophist, 559a-c 610d-613a
8 ARISTOTLE: Posterior Analytics, BK II, CH 6 ARISTOTLE: Prior Analytics, BK I, CH 31
8
[92&28-33] 126b; CH 10 [93b28-94&7] 128b-c; 64b-65a / Posterior Analytics, BK II, CH 5 125b-
CH 13 [97b6-25] 133a-b / Topics,BK VI, CH d; CH 13 [96h25-97b6) 132a-133a / Topics, BK
4 [I41&26-b2) 194c-d; CH 5 [14 2b3O-143&I2) VI, CH 6 [143bn-144&4)197b-c / Metaphysics,
196b-c; CH 13-14 204c-206d; BK VII, CH 3 BK VII, CH 12 [1037b28-I038&35] 561c-562a
[153&6-22] 20Sa-b; [I54&3~ii) 209b / Physics, 9 ARISTOTLE: Parts of Animals, BK I, CH 2-4
BK I, CH 3 [I86hI4"'"30) 261c-d / Metaphysics, 165d-168c
BK I, CH 5 [986h8-98~I]504c-505a; BK V, CH 17 PLOTINUS: First Ennead, TR III, CH 4 Ua-c /
6 [1016&33-bn] 536d-537a; BK VII, CH 4~ Sixth Ennead, TR III, CH 8-10 285a-286d; CH
552b-555a; CH 10-17 558a-566a,c; BK VIII, 16:-18 289c-291d
CH 2-3 566d-568d; CH 6 569d-570d; BK X, 18 AUGUSTINE: Christian Doctrine, BK II, CH 35
CH I [I052~8-37] 578d / 'Soul, BK II, CH 3 653b-c
[4I4b20-4I5&I4] 644d-645b
30 BACON: Not/um Organum, BK II, APH 35 162a- 2b. Definition by genus and differentia: proper-
164a ties
35 LoCKE: Human Understanding, BK II, CH 7 PLATO: Theaetetus, 548c-549d
XXII, SECT 4 201c-d; CH XXIII, SECT 1-2 8 ARISTOTLE: Categories, CH 3 [lbl6-24) 5d;
204a-c; BK III, CH V, SECT 4 264b; CH VI, CH 5 [2&n-3b2 4) 6a-Sa; CH 13 [14b32-I5&8)
SECT 21 273c-d; SECT 28-30 276a-277b 20c-d / Prior Analytics, BK I, CH 27 [43~5-44]
35 BERKELEY: Human Knowledge, SECT I 413a-b 60c-d / Posterior Analytics, BK I, CH 22 U3b-
53 JAMES: Psychology, 503a-b, U5b; BK II, CH 13-14 131b-134a / Topics, BK
I, CH 4-9 144b-147b; CH 18 [108&38-b9) 152d;
Ie. The truth and falsity of definitions [108b19-32) 153a,c; BK I'V-VII 168b,d-21Ia,c
7 PLATO: Cratylus 85a-1l4a,cesp 85a-89a, 104b- / Physics,BK I, CH 3 [I86bI4-3~ 261c-262a /
114i\,c / Seventh Letter, 809c-810b Metaphysics, BK III, 'CH I [995 27-31] 514b;
8 ARISTOTLE: Topics, BK VI-VII 192a-211a,c CH 3 517a-51Sa; BK V, CH 3 [IOI4b3-I3] 534d;
passim, esp BK VI, CH 4-14 194c-206d / Meta- CH 25 [I023b22-25) 545c; CH 28 [1024&37-b9)
physics, 'BK V,CH 29 [1024b27-38] 546d-547a; 546b-c; BK VII, CH 4 [1030~-14) 552d; CH
BK VI, CH 4 [I027bI7-28j550a,c; BK IX, CH 12-14 561b-563c; BK VIII, CH 3 [1043b24-I044&
10 [IO~IbI8-33] 577d-57Sa / Soul, BI<,. III, CH 14] 568b-d; CH 6 569d-570d; BK X, CH 8-9
6 [430 26-30) 663b-c 585b-586c; BK XI, CH I [1059b2I-1060&I]
19 AQUINAS: Summa Theologica, PART I, Q 2, A 587d-588a / Soul, BK I, CH I [402bI5-403&2)
I, REP 2 10d-lId; Q 17, A 3 102d-103c; Q 58, 631d-632a
A 5 303c-304c; Q 85, A 6458d-459c 9 ARISTOTLE: History of Animals, BK I, CH I
23 HOBBES: Leviathan, PART I, 56b-d [486&15-487&1) 7b-d / Parts of Animals; BK I,
298 THE GREAT IDEAS 2c to 2e
35 LOCKE: Human Understanding, BK II, CH
(2. The variolls methods of dqinition or classifi- XXII, SECT 3 201b-c; SECT 9 202c-203a; CH
cation. 2b. Dqinition by genlls and differ- XXIII, SECT 3-10 204c-206d; SECT 14-18
entia: properties.) 208b-209a; SECT 37 213d-214b; BK III, CH
Cli I [641814-31] 163d-i64a; CH 2--4165d-168c / III, SECT 10 256c-257a; CH IV, SECT 12-14
Ethics, BK II, CH 5 [II05bI9]-CH 6 [117"9] 262b-263a; CH VI 268b-283a passim, esp SECT
351b-352c 2-3 268c-d, SECT 29 276b-d; CH XI, SECT 19-
17 PLOTINUS: Sixth Ennead, TR III, CH I, 281a-b; 22 304b-305a; SECT 25 305d-306c
CH 8-10 285a-286d; CH 16-18 289c-291d 35 HUME: Human Understanding, SECT VII, DIV
19 AQUINAS: Summa Theologica, PART I, Q 3, A 49 471c -d
4, REP I 16d-17c; AS, ANS 17c-18b; Q 29, A I, 45 LAVOISIER: Elements of Chemistry, PART I,
REP 3-4 162a-163b; Q 50, A 2, REP I 270a- 21a-22c; 25c-29d ,
272a; A 4, REP I 273b-274b; Q 66, A 2, REP 48 MELVILLE: Mob), Dick, 95b-105b
2 345d-347b; Q 75, A 3, REP I 380c-381b; 49 DARWIN: Origin of Species, 207a-210b esp
Q 76, A 3, ANS and REP 2,4 391a-393a; Q 77, 207a, 208b, 210b; 212d-215a / Descent of
A I, REP 7 399c-401b; Q 85, A 3 455b-457a; Man, 332b-c
Q 88, A 2, REP 4 471c-472c; PART I-II, Q I, 53 JAMES: Psychology, 503a-b; 742a-b
A 3 611b-612a; Q 18, AA 5-11 697a-703a pas-
sim, esp A 7 698c-699c; Q 23 723c-727a pas- 2d. The appeal to genesis,' origin, cause, or
sim, esp A I 723c-724c; Q 35, A 4 774d- end in definition
775d; A 8, ANS and REP 3 779c-780c 7 PLATO: Theaetetus, 544c-548d
20 AQUINAS: Summa Theologica, PART I-II, Q 49, 8 ARISTOTLE: Topics, BK VI, CH 5 [1438g--12]
AA 1-2 1b-4a; Q 52, A I, ANS and REP 2 196c; CH 6 [145"19-27] 198d-199a; [145"32-
15d-18a; Q 53, A 2, REP 3 21a-d; Q 54 22d- b20] 199a-b; CH 8 [q6b9-147811] 200c-201a;
25d passim; Q 55, A 4, ANS and REP 1-2 CH 12 [q9b~I-39] 204b-c / Meteorology, BK
28c-29d; QQ 60-61 49d-59d passim;Q 71, A IV, CH 12 493d-494d / Metaphysics,. BK I, CH 3
6 110b-ll1b; Q 72 111b-119b passim: Q 95, [983824-29] 501c; BK v, CH 28 [1024829--b9]
A 4, ANS 229b-230c; PART II-II, Q 4, A 1 546b-c; BK VIII, CH 2 [104382-17] 567b-c;
402a-403d; PART III, Q 2, A I, ANS 710a-711c CH 4 [1044bI2-15] 569b; BK XII, CH 3 [1O~08
30 BACON: Novum Organum, BK II 137a-195d 21-24] 599c I Soul, BK I, CH I [43"25- 7]
passim, esp APH 20-52 150d-195d 632b-c; BK II, CH 2 [413811-19] 643a-b
31 DESCARTES: Objections and Replies, 154a-b 9 ARISTOTLE: politic.-, BK I, CH 1-2 445a-446d;
35 LOCKE: Human Understanding, BK III, CH III BK III, CH 9 [1280"25-128182] 477d-47Sc
254d-260a passim, esp SECT 6-10 255c-257a; 19 AQUINAS: Summa Theologica, PART I, Q 44,
CH VI 268b-283a passim, esp SECT 6 269d- A I, REP I 238b-239a;PART I-II, Q I, A 3
270a, SECT 30-32 276d-278b 611b-612a
42 KANT: Pure Reason, 193a-200c; 215d-216c 20 AQUINAS: Summa Theologica, PART I-II, Q 55,
45 LAVOISIER: Elements of Chemistry, PREF, 4a- A 4 2Sc-29d .
5c; PART I, 21d; 25c-d 30 BACON: Advancement of Learning, 43a-d / No-
46 HEGEL: Philosophy of History, INTRO, 176c vum Organum, .BK I, APH 63 113d-1l4a
48 MELVILLE: Moby Dick, 98a-b; 104a 31 SPINOZA: Ethics, PART I, PROP 8, SCHOL 2
49 DARWIN: Origin of Species, 12c-13a; 25d-29a 356d-357d; APPENDIX 369b-372d
esp 28b-29a; 30d-31d; 207d-21Ob esp 207d- 35 LOCKE: Human Understanding, BK III, CH
208a / Descent of Man, 331b-332a; 346d- IV, SECT 10 261b-d; SECT 16 263b-c; CH VI,
347c SECT 23 274b-c
53 JAMES: Psychology, 344b-345b; 669a-671a; 42 KANT: Judgement, 574a-b; 579b-c
869a-871a esp 870a-871a 49 DARWIN: Origin of Species, 207a-229a,c esp
207d-20Sa, 211b-c, 217d-21Sa, 22Sc-d; 23Sb-
2c. Definition by accidental or extrinsic signs 239a / Descent of Man. 331b-333a esp 332b-c;
or by component parts 337a-341d passim
8 ARISTOTLE: Topics, BK VI, CH 6 [144"23-27] 53 JAMES: Psychology, 742a-b
197d; [144b3-145b33] 198a-199c; CH 13 [150"rj-
CH 14 [151"32] 204c-206a / Metaphysics. BK 2e. Definition by reference to purpose or in
VII, CH 12 [103888-3oj561d-562a terest
9 ARISTOTLE: Politics, BK IV, CH 4 [129ob25-36] 31SPINOZA: Ethics, PART I, APPENDI;K 369b-372d;
489d-490a PART II, PROP 40, SCHOL I 387b-388a
19 AQUINAS: Summa Theologica, PART I, Q 29, 35 LOCKE: Human Understanding, BK II, CH
A I, REP 3 162a-163b; Q 77, A I, REP 7 399c- XVIII, SECT 7 174d-175a; CH XXII, SECT 5-7
401b; PART I-II, Q 35, A 8, ANS and REP 3 201d-202b; BK III, CH V 263d-268a passim,
779c-780c esp SECT 6 264c-265a; CH VI, SECT 30 276d
31 SPINOZA: Ethics, PART II, PROP 40, SCHOL 1-2, 277b esp ,277a-b
387b-388a 47 GOETHE: Faust, PART I [1942-1945]46a
3 to 5 CHAPTER 15: DEFINITION 299
49 DARWIN: Origin of Species, 27c-29a passim, 17 PLOTINUS: First Ennead, TR III, CH 4 Ua-c /
esp 29a Fffth Ennead, TR v, CH 6 231b-d / Sixth En
53 JAMES: Psychology, 184a-186a; 314a-b; 668&- nead, TR Ill, CH 6-10 284a-286d
671a 19 AQUINAS: Summa Theologica, PART I, Q 10,
A I 40d-41dj Q 29, A I 162a-163b
3. The grammatical or verbal aspects of defini- 20 AQUINAS: Summa Theologica, PART I-II, Q 49,
tion AA 1-2 1b-4ajQ 55, A 4 28c-29dj Q 71, A 6
7 PLATO: Charmides, 6~-d/ Cratylus85a~ll4a,c llOb-1Ub; Q 90 205a-208b: PART II-II, Q 4,
/ TheaetetZls, 544d-545b / Laws, BK x, 763c-d A I402a-403d
/ Seventh Letter, 809c-810b 25 MON'rAIGNE: Essavs, 518d-519a
8 ARISTOTLE: Categories, CH I5a-b; CH ; l3& 28 GALILEO: Two New Sciences, THIRD DAY,
32-b9] 7c-d / Posterior Analytics, BK II, CH 200a-203d esp 200a-b
13 [97b27-39] 133b-c; CH 14 [9S&13-23] 133d- 30 BACON: Advancement of Learning, 61 b-c / No-
134a / Topics, BK I, CH ; [IOIb37-102&1I] z'um Organum, BK I, APH 59 112b-cj APH 105
144d; CH I; 149d-152a; CH IS [IOS&I7-37] 128b-cj BK II, APH 10-20 140c-153a; APH 24-25
152b-d; BK IV, CH 3 [I23~7-29] 171d; CH 6 154c-155d
[I27b;-6] 177a; BK VI, CH I [139bI2-IS] 192b- 31 DESCARTES: Rules, XII, 23c-24a
c; CH 2-14 192c-206d passim, esp CH 10-11 31 SPINOZA: Ethics, PART II, PROP 40, SCHOL 1-2
202b-203d; BK VII 206b,d-211a,c passim; BK 387b-388b ' '
VIII, CH 3 [I58bS-I59~]215b-c / Metaphysics, 35 LOCKE: Human Understanding, BK III, CH XI,
BK IV, CH 4 525a-528b; CH 7 [IOI2~2-24] SECT 24 305b-d
532b; BK VII, CH 4-5 552b-554aj CH 15 35 HUME: Human Understanding, SECT VII 470d
[1040"9--14] 564aj BK x, CH I [1052bI-I5] 478a
578d-579aj BK XI, CH 5 590a-d / Soul, BK I, 38 ROUSSEAU: Inequality, 330a-d
CH I [402b;-8] 631c-d 42 KANT: Pure Reason, 215d-216d / Practical
20 AQUINAS: Summa Theologica, PART II-II,'Q Reason, 293c-294b
4, A I, ANS 402a-403d ' 43 FEDERALIST: NUMBER 37, U9b-120b
23 HOBBES: Leviathan, PART I, 56b-57c; PART 49 DARWIN: Origin of Species, 241d-242a
IV, 269b-Cj 270a-c 51 TOLSTOY: War an4 Peace, EPILOGUE II,
31 DESCARTES: Rules, XII, 23c-24aj XIII, 26b-c 683d-684cj 690b
35 LOCKE: Human Understanding, ,BK' II, CH
XXII,'SECT 3-10 201b-203c passimj BK III, CH S. Definition and demonstration: definitions as
III, SECT 10 256c-257aj CH IV, SECT 6-7 260dj principles and as conclusions
- CH V, SECT 4 264bj SECT la-II 266b-d; CH VI, 8 ARISTOTLE: Prior Ana{vtics, BK I, CH 31 64b-
SECT 32 277c-278b 65aj CH 43 68d / Posterior A11(Jlytics, BK I, CH
43 FEDERALIST: NUMBER 37, U9b-120b 2 [72&19-24] 98dj CH 8 [75b2I-32] l04aj CH
44 BOSWELL: Johnson, 82a-c 10 [76b35-7~4] 105c-dj CH 22 ll3b-U5bj
45 LAVOISIER: Elements of Chemistry, PREF, 4a- CH 33 [SSb3a-S9&I] 121b-cj [89&I7-b5] 12ld-
, 5dj PART I, 10aj 21a-22cj 25c-29d 122a,c; BK If, CH 3-10 123c-128d / Topics, BK
45 FARADAY: Researches in Electricity, 361a- VI, CH 4 [I4I~6-32] 194cj BK VII, CH 3 208a
362c 209bj CH 5 [I54&23-bI3] 209d-210aj [155&17-
53 JAMES: Psychology, 171b-172a 23] 210dj BK VIII, CH 3 [I58a3I-I5~] 214d
215c / Metaphysics, BK I, CH 9 1992b30--993&I]
4. The sear~h for definitions and the methods 5Ubj BK III, CH 2 [996bS-2I] 515a-b; BK IV,
of defending them CH 4 525a-528bj CH 7 [1012&18-24) 532a-bj
7 PLATO: Charmides, 4a-13d / Laches, 3lc-37c / CH S [IOI2b5-S) 532cj BK XI, CH 5 590a-dj
Meno 174a-19Oa,c esp 174a-179b / Republic, BK XIII, CH 4 [I07SbI7-30) 610b-c / Soul,
BK l-IV 295a-356a esp BK IV, 346&-355a / The- BK I, CH I [402alO-23) 631bj [402bI5-403~]
aetetus 512a-550a,c / Sophist, 552b-579d / 631d-632aj CH 3 [407~2-30) 636d-637aj CH 5
Statesman 58Oa-608d [409a3I-bIS) 639b-Cj BK II, CH 2 14I3&II-I91
8 ARISTOTLE: Posterior Analytics, BK II, CH 1-10 643a-b
122b,d-128dj CH 13-I4131b-134a / Topics, BK 9 ARISTOTLE: Parts of Animals, BK I, CH I
l-vlI.l43a-2Ua,c esp BK I, CH 4--9144b-147b / [639b7-642b51 161d-165c
Metaphysics, BK I, CH 5 I9S~I9-27] 505bj CH 17 PLOTINUS: Sixth- Ennead, TR V, CH 2 306a-b
6 [g87bI-IO] 505c; [9S7b3a-33] 506aj BK IX, 19 AQUINAS: Summa Theologica, PART I, Q I,
CH 6 [I04S~5-b9] 573c-574a; BK XIII, CH 4 A 7, REP 1 7a-cj Q 2, A I, REP 2 10d-lldj A 2,
[107SbIS-32] 610b-c / Soul, BK I 631a-641d REP 2 Ud-12c; Q 3, A 5, ANS 17c-18bj Q 17,
esp CH I 631a-632dj BK II, CH I [412&I]-CH 4 A 3. REP 1-2 102d-103Cj Q 5S, A 5 303c-304cj
[4I5~31642a-645c Q S5, A 6 458d-459c
9 ARISTOTLE-: Parts of Animals, BK I, CH 2-4 23 HOBBES: Leviathan, PART I, 56b-60c; 65c-d
165d-16Sc 31 DESCARTES: Objections and Replies, 12Sc
12 AURELIUS: Meditations, BK III, SECT II 262a-b 129a
300 THE GREAT IDEAS 6 to6b
19 AQUINAS: Summa Theologica, PART I, Q I,
(5. Dftfinition and demonstration: dftfinitions as A 7, REP I 7a-c; Q 2, A 2, REP 2 11d-12c; Q 3,
principles and as conclusions.) A 5, ANS 17c-18b; Q 10, A I 40d-41d; Q 29,
33 PASCAL: Pensees, I 171a-172a / .Geometrical A I 162a-163b; Q 75, A 4, ANS 381b-382a; Q
Demonstrati01z, 430b-434b passim, esp 430b, 85, A I, REP 2 451c-453c; A 8, REP 2 460b-
431b-432a; 442a-443b 461b
35 LOCKE: Human Understanding, BK III, CH IX, 23 HOBBES: Letiathan, PART I, 56b; PART IV,
SECT 15-16 288d-289c; CH XI, SECT 15-17 269b-e
303b-304a; BK IV, CH III, SECT 20, 319b 28 GALILEO: Two New Sciences, FIRST DAY,
35 HUME: Human Understanding, SECT XII, DIV 142d-143a; THIRD DAY, 197b-c; 200a-203d
131 508d-509a 30 BACON: Advancement of Learning, 43a-d
42 KANT: Pure Reason, 179d-182b; 211c"218d esp 31 DESCARTES: Rules, XII, 23c-24a; XIII, 26b-c /
215d-216d/ Practical Reason,. 293c-294b Objections .and Replies, 128c-129a
46 HEGEL.: Philosophy of Right, INTRO, par 2 9b- 31 SPINOZA: Ethics, PART I, APPENDIX 369b-
lOa 372d; PART II, PROP 40, SCHOL 1-2 387b-388b
51 TOLSTOY: War and Peace, EPILOGUE II, 690b 33 PASCAL: Pensees, I 171a-172a / Vacuum,372b-
54 FREUD: Instincts, 412a-b 373b;376b-377a / Geometrical Demonstra-
tion, 430b-434b passim, esp 430b-431b
6. The character of definitions in diverse dis- 34 NEWTON: Principles, DEFINITIONS 5a-13a / Op-
ciplipes tics, BK I, 379a-380b
35 HUME:Human Understanding,sEcTvII, DIV 48-
6a. The formulation of definitions in physics, 49 470d-471d
mathematics, and metaphysics . 42 KANT: Pure Reason, 15c-16c; 17d-19a; 68a-
7 PLATO: Setlenth Letter, 809c-810b 69c: 215d-217a; 245e-248d
8 ARISTOTLE: Topics, BK VI, CH 4 [I4Ia26-b241
194c-195a; BK VII, CH 3 [153"6-11] 208a-b / 6b. The use of definition in speculative philos-
Physics, BK I, CH 9 [I92~5-b2] 268c-d; BK ophy and empirical science
II, CH 2 270a-271a:. BK III, .CH I-2278a~279c; 7 PLATO: .Theaetetus, 544c-549d / Statesman,
CH 6. [206b33-207aI4] 285b-c; BK IV, CH 1-5 595b-c / Setlenth Letter, 80ge-810b
287a-292c; CH II 298c-300a / Meteorology, 8 ARISTOTLE: Posterior Analytics, BK II, CH 13-14
BK IV, CH 12 493d-494d / Metaphysics, BK IV, 131b-134a / Soul, BK I' 631a-641d esp CH I
CH 4 525a-528b; BK V, CH I-BK VI, CH I 631a-632d; BK II, CH 1-3 642a-645b
533a-548c; BK IX, CH 6 [I048a25-b9] 573c- 9 ARISTOTLE: Parts of Animals, BK I, CH 1-4
574a; BK XI, CH.5 590a-d; CH 7 592b-593a; 161a-168c passim / Politics, BK IV, CH 4
BK XIII, CH 2 [1077bI]-CH 3 [1078a32] 608d- [1290b25-40] 489d-490a
609d / Soul, BK I, CH I-BK II, CH 3 631a-645b 28 GILBERT: Loadstone, BK II, 43c-44d
esp BK I, CH I 631a-632d 28 GALILEO: Two New Sciences, THIRD DAY,
9 ARISTOTLE: Parts of Animals, BK I, CH 2-4 200a-203d
165d-168c / Ethics, BK I, CH 7 [I098a20_b8] 30 BACON: Novum Organum, BK I, APH 63 ll3d-
343c-344a 114a; BK II, APH 10-20 140c-153a; APH 48
11 EUCLID: Elements, BK I, DEFINITIONS 1a-2a 179d-188b
esp 1-2,4,10 la, 15 'lb, 23 2a; BK II, DEFINI- 31 DESCARTES: Rules, XII, 23e-24a; xIII,26b-c
TIONS 30a; BK III, DEFINITIONS 41a-b esp 31 SPINOZA: Ethics, PART II, PROP ,40, SCHOL 1-2
2-3 41a; BK IV, DEFINITIONS 67a-b; BK V, 387b-388b . , '- ..
DEFINITIONS 81a-82a esp 3-7 81a-b; BK VI, 33 PASCAL: Vacuum, 372b-373b;376b-377a
DEFINITIONS 99a; BK VII, DEFINITIONS 127a- 34 NEWTON: Principles, DEFINITIONS 5a-13a/ Op-
128a esp 1-2 127a, II-I2,20 127b; BK X, DEF- tics, BK I, 379a-380b
INITIONS I 191a-b esp 1,3 191a; DEFINITIONS II 35 LOCKE: Human Understanding, BK II, CH
229a; DEFINITIONS III 264b; BK XI, DEFINI- XXIIi, SECT 3~10204e-206d: SECT 14-18 208b-
TIONS 30la-302besp 14 301b, 18,21 302a 209a; SECT 37 213d-214b; BK III, CH'IX, SECT
11 ARCHIMEDES: Sphere and Cylinder, BK I, DEF- 15-17 288d-290a; CH XI, SECT 10 302b; SECT
INITIONS 404a / Conoids and Spheroids, 452a- 19-25 304b-306c
454a passim; DEFINITIONS 455a-b / Spirals, 35 HUME: Human Understanding, SECT II, DIV
DEFINITIONS 490a / Equilibrium of Planes, BK 17, 457b,d [fn I]; SECT VII, DIV 48-49 470d-
II, 511a / Sand-Reckoner, 524a-b /Quadrature 471d; SECT VIII, DIV 74 484a-c
ofthe Parabola, DEF 534b-535a 42 KANT: Pure Reason, 15c-16c; 215d-216d:
11 ApOLLONIUS: Conics, BK I, FIRST DEFINI- 243c-244c / Practical Reason, 293e-294b / In-
TIONS 604a-b esp I 604a; SECOND DEFINITIONS trOt Metaphysic of Morals, 388a-e / Judgement,
626a 603b-d
11 NICOMACHUS: Arithmetic, BK I, 814b-c 43 FEDERALIST: NUMBER 37, 119b-120b
16 KEPLER: Epitome, BK V, 986b-1004a passim 45 LAVOISIER: Elements ofChemistry, PART I, lOa-
17 PLOTINUS: Sixth Ennead, TR III, CH I, 281a-b b; 21a-22e; 25e-29d
6c CHAPTER 15: DEFINITION 301
45 FOURIER: Theory of Heat, 184a-187b lllb: Q 90 20Sa-208b; PART II-II, Q 4, A I
45 FARADAY: Researches in Electricity, 361a-d 402a-403d
46 HEGEL: Philosophy of Right, INTRO, par 2 . 23 HOBBES: Leviathan, PART I, 57d-5Sa
9b-10a 35 LoCKE: Human Understanding, BK III, CH XI,
51 TOLSTOY: War and Peace, EPILOGUE II, 690b; SECT 17 303d-304a; BK IV, CH III, SECT 20,
694b'd 319b
53 JAMES:'Psychology, 3b-4a; 869a-871a esp870a- 35 HUME: Human Understanding, SECT VII, D1V
871a 48-49 470d-471d
54 FREUD: Narcissism, 400d-401a / Instincts, 38 MONTESQUr'EU: Spirit of Laws, BK II, 4a
412a-413b 38 ROUSSEAU: ltiequality, 330a-d
42 KAI'IT: Fund. Prin. Metaphysic ofMorals, 271a-
6c. The role of definitions iO:'praaical or moral C; 280d~~81a / Practical Reason, 297a-314d;
philosophy and' the social sciences 330d-331a / Intro. MeiriphysicofMorals, 386b-
7 PLATO: Phaedrus, 120a-c I Seventh Letter, d; 390b,d-391a / Science of Right, 398c-399c
809c-810b .. 43 FEDERALIST: NUMBER 37, 119b-120b; NUMBER
9 ARISTOTLE: Ethics" BK I, CH I-BK II, CH 6 39 125a-128b passim, ,~p 125b-c;. NUMBER.42,
339a-352d passim; BK x, CH 1-8 426a,434a / 137a-b .
Politics, BK I, eH 1-2 445a~446d;' BK III, CH 43 MILL: Utilitarianism, 4.69a-b
I-6471b,c;t-476c; CH 9 [I28o"25;128~~21477d- 46 HEGEL: P.hiJosophy oj Right, Im-RO, par 2 9b-
478c lOa / Philosophy o/History, IN;TRO, 15Sa-162a
12 AURELIUS: Meditations, BK III, SECT II 262a-b SO MARX: .Capital, ..6c-lld passim; 178d-179C
18 AUGUSTINE: City of God, B~XIXj eH 21-24 passim; 265.a-266a; 267c-d ,
524b-528c esp CH 21 524b-525a, CH 24 528b-c 51 TOLSTOY: War and Peace, BK IX, 365a-b;
20 AQUINAS: Summa Theologica, PART I-II, Q 49 EPILOGUE II, 683d-684a; 690b
la-6a: Q 55, A 4 28c-29d; Q 71, A 6 llOb- 53 JAMES: Psychology, 887a-888a
CROSS-REFERENCES
For: The linguistic aspects of definition and the general theory of the meaning of words, see
LANGUAGE Ia; SIGN A~D SYMBOL 4a.
The logical aspects of definition, see IDEA 4a;
Other discUssions of the objec;:t of definition apd ,the problem. of essences or universals, see
BElNG8c;.NATURE ; UNIVERSAL AND PARTiCULAR 2a-2C.
The notions of genUs and differentia, species and property, see BEING 8d; IDEA 4b(3);
NATURE Ia(I); RELATION 5a(4); UNIVERSAL AND PARTICULAR 5b.
Other consideration~ of indefinable terms, see INFINITY 2C; PRINCIPLE 2a(J); and for .the
indefinability 0' individuals, see UNIVERSAL AND J.lARTICULAR 4e.
The use of definitions as principles in reasoning or proof, and for the problem of demonstrat-
ing definitions, see PRINCIPLE 2a(2); REASONING 5b(2).
The discussion of matters related to the truth or falsity of definitions, see IDEA 6f; TRunI
3b (I).
The role of definitions in dialectic and science, and in the various sciences, see DIALECTIC
2a(2) , 2b(I); MATHEMATICS 3a; MATTER 4b; METAPHYSICS 2b; PHILOSOPHY 3h-3c;
PHYSICS 2a; ScIENCE 4a.
302 THE GREAT IDEAS
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant.to the
idea and topic~ with which this chapter. deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Worjcs by au thors not represented in this collection.
For the date, place, and other fac.ts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
O F all the traditional names for forms of panied by the elaboration of safeguards for the
government, "democracy" has the liveli- rights of man to assure that government actu-
est currency today. Yet like all the others, it ally functions for the people, and not merely for
has a long history in the literature of political one group of them.
thought and a career of shifting meanings. How Although they are essential parts of democ-
radically the various conceptions of democracy racy, neither popular sovereignty nor the safe-
differ may be judged from the fact that, in one guarding of natural rights provides the specific
of its meanings, democracy flourished in the characteristic of democracy, since both are com-
Greek city-states as early as the fifth century patible with any other just form of government.
B.C.; while in another, democracy only began The specifically democratic element is apparent
to exist in recent times or perhaps does not yet from the fact that throughout the many shifts
exist anywhere in the world. of meaning which democracy has undergone,
In our minds democracy is inseparably con- the common thread is the notion of political
nected with constitutional government. We power in the hands of the many rather than the
tend to think of despotism or dictatorship as its few or the one. Thus at the very beginning of
only opposites or enemies. That is how the ma- democratic government, we find Pericles calling
jor political issue of our day is understood. But Athens a democracy because "its administration
as recently as the 18th century, some of the favours the many instead of the few." Close to
American constitutionalists prefer a republican our own day, Mill likewise holds that democ-
form of government to democracy; and at other racy is "the government of the whole people by
times, both ancient and modern, oligarchy or the whole people" in which "the majority ...
aristocracy, ra ther than monarchy or despotism, will outvote and prevail."
is the major alternative. "Democracy" has even According as the many exercise legal power
stood for the lawless rule of the mob-either it- as citizens or merely actual power as a mob, de-
self a kind of tyranny or the immediate pre- mocracy is aligned with or against constitution-
cursor of tyranny. al government. The quantitative meaning of
Throughout all these shifts in meaning and "many" can vary from more than theftw to all
value, the word "democracy" preserves certain or something approximating all, and with this
constant political connotations. Democracy ex- variance the same constitution may be at one
ists, according to Montesquieu, "when the body time regarded as oligarchical or aristocratic, and
of the people is possessed of the supreme power." at another as democratic. The way in which the
As the root meaning of the word indicates, de- many who are citizens exercise their power-
mocracy is the "rule of the people." While there either directly or through representatives-oc-
may be, and in fact often has been, a difference of casions the 18thcenturydistinct~on between a
opinion with respect to the meaning of "the democracy and a republic, though this verbal
people," this notion has been traditionally asso- ambiguity can be easily avoided by using the
ciated with the doctrine of pupular sovereignty, phrases "direct democracy" and "representa-
which makes the political community as such tive democracy," as was sometimes done by the
the origin and basis of political authority. In the writers of The Federalist and their American
rlevelopment of the democratic tradition, par- contemporaries.
ticularly in modern times, this has been accom- These last two points-the extension of the
303
304 THE GREAT IDEAS
franchise and a system of representation-mark said to "arise naturally out of democracy, and
the chief differences between ancient and con- the most aggravated form of tyranny and slav-
temporary institutions of democracy. Today ery out of the most extreme form of liberty."
constitutional democracy tends to be represent- Similarly, Aristotle, in the Politics, calls de-
ative, and the grant of citizenship under a dem- mocracy "the most tolerable" of the three per-
ocratic constitution tends toward universal suf- verted forms of government, in contrast to oli-
frage. That is why we no longer contrast democ- garchy, which he thinks is only "a little better"
racy and republic. That is why even the most than tyranny, "the worst of governments." Yet
democratic Greek constitutions may seem un- he also notes that, among existing governments,
democratic-oligarchical or aristocratic-to us. "there are generally thought to be two princi-
To the extent that democracy, ancient or pal forms-democracy and oligarchy, ... and
modern, is conceived as a lawful form of govern- the rest are only variations of these." His own
ment, it has elements in common with other treatment conforms with this observation. He
forms of lawful government which, for one rea- devotes the central portion of his Politics to the
son or another, may not be democratic. The sig- analysis of oligarchy and democracy. In his view
nificance of these common elements-the prin- they are equal and opposite in their injustice,
ciple of constitutionality and the status of citi- and to him both seem capable of degenerating
zenship-will be assumed here. They are dis- into despotism and tyranny.
cussed in the chapters on CONSTITUTION. and Among the political philosophers of modern
CITIZEN. The general theory of the forms of times a certain uniformity of treatment seems
government is treated in the chapter on Gov- to prevail in the context of otherwise divergent
ERNMENT, and the two forms most closely re- theories. Writers like Hobbes, Locke, and
lated to democfllcy, in the chapters on ARISTOC- Rousseau, or Machiavelli, Montesquieu, and
RACY and OLIGARCHY. Kant differ in many and profound respects. But
they classify the forms of government in much
THE EVALUATIONS of democracy are even more the same fashion. As Hobbes expresses it, "when
various than its meanings. I t has been denounced the representative is one man, then is the com-
as an extreme perversion of government. It has monwealth a monarchy; when an assembly of all
been grouped with other good, or other bad, that will come together, then it is a democracy,
forms of government, and accorded the faint or popular commonwealth; when an assembly
praise of being called either the most tolerable of a part only, then it is called an aristocracy."
of bad governments or the least efficient among Though Hobbes favors monarchy and Montes-
acceptable forms. It has been held up as the po- quieu either aristocracy or democracy, these
litical ideal, the only perfectly just state-that writers do not make the choice among the three
paragon of justice which has always been, traditional forms a significant expression of
whether recognized or not, the goal of political their own political theories. For them the more
progress. important choice is presented by other alterna-
Sometimes the Same writer will express di- tives: for Hobbes between absolute and limited
vergent views. Plato, for example, in the States- government; for Montesquieu and Locke, be-
man, claims that democracy has "a twofold tween government by law and despotism; for
meaning" according as it involves "ruling with Rousseau and Kant, between a republic and a
law or without law." Finding it "in every re- monarchy.
spect weak and unable to do either any great The authors of The Federalist definitely
good or any great evil," he concludes that it is show their preference for "popular govern-
"the worst of all lawful governments, and the ment" as opposed to monarchy, aristocracy, or
best of all lawless ones." The rule of the many is oligarchy. They usually refer to it as a "repub-
least efficient for either good or evil. But in the lic," by which they mean "a government which
Republic, he places democracy at only one re- derives all its powers directly or indirectly from
move from tyranny. On the ground that "the the great body of the people, and is administered
excessive increase of anything often causes a re- by persons holding their offices during pleasure,
action in the opposite direction," tyranny is for a limited period, or during good behavior."
CHAPTER 16: DEMOCRACY 305
Alexander Hamilton and others involved in the stitutional discriminations based on wealth, race,
American constitutional debates, as for example or previous condition of servitude.
James Wilson, occasionally call this system a With Mill, all means every human person
"representative democracy, " but in The Federal- without regard to the accidents of birth or for-
ist a republic is sharply differentiated from a tune. "There ought to be no pariahs in a full-
democracy. The "great points of difference," grown and civilized nation," he writes, "no per-
however, turn out to be only "the delegation sons disqualified, except through their own de-
of the government (in a republic) to a small fault." Under the latter condition, he would
number of citizens elected by the rest," and the withhold the franchise from infants, idiots, or
"greater number of citizens, and greater sphere criminals (including the criminally indigent),
of country" to which a republic may extend. but with these exceptions he would make suf-
The difference, as already noted, is best ex- frage universal. He sums up his argument by
pressed in the words "representative" and "di- claiming that "it is a personal inj ustice to with-
rect" democracy. hold from anyone, unless for the prevention of
In Mill's Representative Government we find greater evils, the ordinary privilege of having
democracy identified with the ideal state. "The his voice reckoned in the disposal of affairs in
ideally best form of government," he writes, "is which he has the same interest as other people,"
that in which the sovereignty, or supreme con- and whoever "has no vote, and no prospect of
trolling power in the last resort, is vested in the obtaining it, will either be a permanent malcon-
entire aggregate of the community, every citi- tent, or will feel as one whom the general affairs
zen not only having a voice in the exercise of of society do not concern." But it should be
that ultimate sovereignty, but being, at least oc- added that for Mill the franchise is not merely a
casionally, called on to take an actual part in the privilege or even a right; "it is," he says,
government, by the personal discharge of some "strictly a matter of duty." How the voter uses
public function, local or general." Though Mill the ballot "has no more to do with his personal
recognizes the infirmities of democracy and wishes than the verdict of a juryman .... He is
though he readily concedes that it may not be bound to give it according to his best and most
the best government for all peoples under all conscientious opinion of the public good. Who-
circumstances, his argument for its superiority ever has any other idea of it is unfit to have the
to all other forms of government remains sub- suffrage. "
stantially unqualified. The notion of universal suffrage raises at once
the question of the economic conditions pre-
IN MILL'S CONSTRUCTION of the democratic ideal requisite to the perfection of political democra-
as providing liberty and equality for all, the es- cy. Can men exercise the political freedom of
sential distinction from' previous conceptions lies citizenship without freedom from economic de-
in the meaning of the word all. The republicans pendence on the will of other men? It was com-
of the 18th century, in their doctrines of popu- monly thought by 18th century republicans
lar sovereignty and natural rights, understood that they could not. "A power over a man's sub-
citizenship in terms of equality of status and sistence," Hamilton declares, "amounts to a
conceived liberty in terms of a man's having a power over his will." On that basis it was urged
voice in his own government. The ancients, see- by many during the Philadelphia convention
ing that men could be free and equal members that a property qualification was necessary for
of a political community only when they lived suffrage.
as citizens under the rule of law, recognized that Kant also argues that suffrage "presupposes
the democratic constitution alone bestowed the independence or self-sufficiency of the in-
such equality upon all men not born slaves. dividual citizen." Because apprentices, servants,
But generally neither the ancients nor the 18th minors, women, and the like do not maintain
century republicans understood liberty and themsel ves, each" according to his own ind ustry,
equality for all men to require the abolition of but as it is arranged by others," he claims that
slavery, the emancipation of women from polit- they are "mere subsidiaries of the Common-
ical subjection, or the eradication of all con- wealth and not active independent members of
306 THE GREAT IDEAS
it/' being "of necessity commanded and pro- and of the country," and this, according to
tected by others." For this reason, he concludes, Montesquieu, is generally "conducive to purity
they are "passive," not "active," citizens and of morals. "
can be rightfully deprived of the franchise. Universal schooling by itself is not sufficient
For political democracy to be realized in prac- for this purpose. Democracy also needs what
tice, more may be required than the abolition Mill calls the "school of public spirit." It is only
of poll taxes and other discriminations based on by participating. in the functions of govern-
wealth. In the opinion of Karl Marx, the "bat- ment that men can become competent as citi-
tle for democracy" will not be won, nor even zens. By engaging in civic activities, a man "is
the "first step" taken towards it, until "the made to feel himself one of the public, and
working class raises the proletariat to the posi- whatever is for their benefit to be for his bene-
tion of ruling class." Quite apart from the mer- fit." The "moral part of the instruction afforded
its of the revolutionary political philosophy by the participation of the private citizen, if
which Marx erects, his views, and those of other even rarely, in public functions," results, ac-
social reformers ofthe 19th century, have made cording to Mill, in a man's being able "to
it a central issue that democracy be conceived in weigh interests not his own; to be guided, in
social and economic terms as well as political. case of conflicting claims, by another rule than
Otherwise, they insist, what is called "democ- his private partialities; to apply, at every turn,
racy" will permit, and may even try to con- principles and maxims which have for their
done, social inequalities and economic injustices reason of existence the common good." If
which vitiate political liberty. national affairs cannot afford an opportunity
for every citizen to take an active part in govern-
THERE IS ONE other condition of equality which ment, then tha~ must be achieved through local
the status of citizenship demands. This is equal- gover~ment, and it is for this reason that Mill
ity of educational opportunity. According to advocates the revitalization of the latter.
Mill, it is "almost a self-evident axiom that the
State should require and compel the education, THERE ARE OTHER problems peculiar to modern
up to a certain standard, of every human being democracy. Because of the size of the territory
who is born its citizen." All men may not be and population of the national state, democratic
endowed with the same native abilities or tal- government has necessarily become representa-
ents, but all born with enough intelligence to tive. Representation, according to The Federal-
become citizens deserve the sort of education ist, becomes almost indispensable when the
which fits them for the life of political freedom. people is too large and too dispersed for assem-
Quantitatively, this means a system of educa- bly or for continuous, as well as direct, partici-
tion as universal as the franchise; and as much pation in national affairs. The pure democracy
for every individual as he can take, both in which the Federalists attribute to the Greek
youth and adult life. Qualitatively, this means city-states may still be appropriate for local
liberal education rather than vocational train- government of the town-meeting variety, but
ing, though in contemporary controversy this for the operations of federal or national govern-
point is still.disputed. ment, the Federalists think the republican in-
The way in which it recognizes and discharges stitutions of Rome a better model to follow.
its educational responsibility tests the sincerity The Federalists have another reason for es-
of modern democracy. Nootherformofgovern- pousing representative government. The "mor-
ment has a comparable burden, for no other tal disease" of popular government, in their
calls all men to citizenship. In such a govern- view; is the "violence offaction" which decides
ment, Montesquieu declares, "the whole power measures "not according to the rules of justice
of education is required." Whereas despotism and the rights of the minor party, but by the
may be preserved by fear and a monarchy by a superior force of an interested and overbearing
system of honor, a democracy depends on civic majority." Believing the spirit of faction to be
virtue. For where "government is intrusted to rooted in the nature of man in society, the
private citizens," it requires "love of the laws American statesmen seek to cure its evil not by
CHAPTER 16: DEMOCRACY 307
"removing its causes," but by "controlling its of time and space. Far from being a leader, or
effects." The principle of representation, Madi- one of the best men, he need not even be a
son claims, "promises the cure." better man than his constituents. At the other
Representation, by delegating government extreme, it is not clear why the completely in-
to a small number of citizens elected by the dependent representative need even be popu-
rest, is said "to refine and enlarge the public larly elected. In Edmund Burke's theory of
views by passing them through the medium of virtual representation, occasioned by his argu-
a chosen body of citizens, whose wisdom may ment against the extension of the franchise, even
best discern the true interest of their country." those who do not vote are adequately repre-
From this it appears that representation pro- sented by men who have the welfare of the
vides a way of combining popular government state at heart. They, no less than voting constit-
with the aristocratic principle of government uents, can expect the representative to consider
by the best men. what is for their interest, and to oppose their
The assumption that representation would wishes if he thinks their local or special interest
normally secure the advantages of aristocratic is inimical to the general welfare.
government is not unmixed with oligarchical Between these two extremes, Mill tries to
prejudices. If, as the Federalists frankly sup- find a middle course, in order to achieve the
pose, the best men are also likely to be men of "two great requisites of government: responsi-
breeding and. property, representative govern- bility to those for whose benefit political power
ment would safeguard the interests of the gen- ought to be, and always professes to be, em-
try, as well as the safety of the republic, against ployed; and jointly therewith to obtain, in the
the demos-in Hamilton's words, "that great greatest measure possible, for the function of
beast." Their concern with the evil of factions government the benefits of superior intellect,
seems to be colored by the fear of the dominant trained by long meditation and practical disci-
faction in any democracy-the always more pline to that special task." Accordingly, Mill
numerous poor. would preserve some measure of independent
judgment for the representative and make him
THE LEAVENING OF popular government by both responsive and responsible to his constit-
representative institutions in the formation of uents, yet without directing or restraining him
modern democracies raises the whole problem of by the checks of initiative, referendum, and
the nature and function of representatives. To recall.
what extent does representation merely pro- Mill's discussion of representation leaves few
vide an instrument which the people employs to crucial questions unasked, though it may not
express its will in the process of self-govern- provide clearly satisfactory answers to all of
ment? To what extent is it a device whereby them. It goes beyond the nature and function
the great mass of the people select their betters of the representative to the problem of securing
to decide for them what is beyond their com- representation for minorities by the now famil-
petence to decide for themselves? iar method of proportional voting. It is con-
According to the way these questions are cerned with the details of electoral procedure-
answered, the conception of the representative's the nomination of candidates, public and secret
function-especially in legislative matters-will balloting, plural voting-as well as the more
vary from that of serving as the mere messenger general question of the differences among the
of his constituents to that of acting indepen- executive, judicial, and legislative departments
dently, exercising his own judgment, and rep- of government with respect to representation,
resenting his constituents not in the sense of do- especially the difference of representatives in
ing their bidding, but only in the sense that he the upper and lower houses of a bicameral
has been chosen by them.to decide what is to legislature. Like the writers of The Federalist,
be done for the common good. Mill seeks a leaven for the democratic mass in
At one extreme, the representative seems to the leadership of men of talent or training. He
be reduced to the ignominious role of a mouth- would qualify the common sense of the many
piece, a convenience required by the exigencies by the expertness or wisdom of the few.
308 THE GREAT IDEAS
THE ANCIENT ISSUE between the democratic equals. "Tried by an absolute standard," Aris-
and the oligarchical constitution turns primari- totle goes on to say, "they are faulty, and,
lyon a question of justice, not on the relative therefore, both parties, whenever their share
competence of the many and the few to rule. in the government does not accord with their
Either form of government may take on a preconceived ideas, stir up a revolution."
more or less aristocratic cast according as men Plato, Thucydides, and Plutarch, as well as
of eminent virtue or ability assume public Aristotle, observe that this unstable situation
office, but in neither case does the constitution permits demagogue or dynast to encourage
itself guarantee their choice, except possibly on lawless rule by the mob or by a coterie of the
the oligarchical assumption that the possession of rich. Either paves the way to tyranny.
wealth signifies superior intelligence and virtue. To stabilize the state and to remove injus-
The justice peculiar to the democratic con- tice, Aristotle proposes a mixed constitution
stitution, Aristotle thinks, "arises out of the which, by a number of different methods, "at-
notion that those who are equal in any respect tempts to unite the freedom of the poor and
are equal in all respects; because men are equally the wealth of the rich." In this way he hopes to
free, they claim to be absolutely equal." It does satisfy the two requirements of good govern-
not seem to him inconsistent with democratic ment. "One is the actual obedience of citizens
justice that slaves, women, and resident aliens to the laws, the other is the goodness of the
should be excluded from citizenship and public laws which they obey." By participating in the
office. making of laws, all free men, the poor included,
In the extreme form of Greek democracy, the would be more inclined to obey them. But
qualifications for public office are no different since the rich are also given a special function,
from the qualifications for citizenship. Since there is, according to Aristotle, the possibility
they are equally eligible for almost every gov- of also getting good laws passed, since "birth
ernmental post, the citizens can be chosen by and education are commonly the accompani-
lot rather than elected by vote. Rousseau agrees ments of wealth."
with Montesquieu's opinion of the Greek prac- To Aristotle the mixed constitution is per-
tice, that "election by lot is democratic in na- fectly just, and with an aristocratic aspect added
ture." He thinks it "would have few disad- to the blend, it approaches the ideal polity.
vantages in a real democracy, but," he adds, Relative to certain circumstances it has "a
"I have already said that a real democracy is greater right than any other form of govern-
only an ideal." ment, except the true and ideal, to the name of
The justice peculiar to the oligarchical con- the government of the best."
stitution is, according to Aristotle, "based on Yet the true and the ideal, or what he some-
the notion that those who are unequal in one times .calls the "divine form of government,"
respect are in all respects unequal; being un- seems to be monarchy for Aristotle, or rule by
equal, that is, in property, they suppose them- the one superior man; and in his own sketch of
selves to be unequal absolutely." The oligarchi- the best constitution at the end of the Politics-
cal constitution consequently does not grant the best practicable, if not the ideal-Aristotle
citizenship or open public office to all the free- clearly opposesadmitting all the laboring classes
born; but in varying degrees sets a substantial to citizenship.
property qualification for both.
Though he admits that the opposite claims As INDICATED IN the chapter on CONSTITU-
of the oligarch and the democrat "have a kind TION, Aristotle's mixed constitution should be
of justice," Aristotle also points out the in- distinguished from the mediaeval mixed re-
justice of each. The democratic constitution, gime, which was a combination of constitu-
he. thinks, does injustice to the rich by treating tional with non-constitutional or absolute gov-
them as equal with the poor simply because ernmen t, rather than a mixture of differen t con-
both are. freeborn, while the oligarchical con- stitutional principles. The mixed regime-or
stitution does injustice to the poor by failing "royal and political government"-seems to
to treat all free men, regardless of wealth, as have come into being noLasan attempt to
CHAPTER 16: DEMOCRACY 309
reconcile conflicting principles of justice, but to the nature of man. Peoples whose accidental
as the inevitable product of a decaying feudal- circumstances temporarily justify less just or.
ism and a rising nationalism. Yet Aquinas even unjust forms of government, such as oli-
claims that a mixed regime was established by garchy or despotism, must not be forever con-
divine law for the people of Israel; for it was demned to subjection or disfranchisement, but
"partly kingdom, since there is one at the head should rather be raised by education, experi-
of all; partly aristocracy, in so far as a number ence, and economic reforms to a condition in
of persons are set in authority; partly democra- which the ideal polity becomes appropriate for
cy, i.e., government by the people, in so far as them.
the rulers can be chosen from the people, and
the people have the right to choose their rul- THE BASIC PROBLEMS of democratic govern-
ers. " In such a system, the monarchical princi- ment-seen from the point of view of those who
ple is blended with aristocratic and democratic either attack or defend it-remain constant
elements to whatever extent the nobles and the despite the altered conception of democracy in
commons playa part in the government. But various epochs.
neither group functions politically as citizens At all times, there is the question of leader-
do under purely constitutional government. ship and the need for obtaining the political
The ques!ion of constitutional justice can, services of the best men without infringing on
however, be carried over from ancient to the political prerogatives of all men. The differ-
modern times. Modern democracy answers it ence between the many and the few, between
differently, granting equality to all men on the the equality of men as free or human and their
basis of their being .born human. It recognizes individual inequality in virtue or talent, must
in wealth or breeding no basis for special politi- always be given political recognition, if not by
cal preferment or privilege. By these standards, superiority in status, then by allocation of the
the mixed constitution and even the most ex- technically difficult problems of statecraft to
treme form of Greek democracy must be re- the expert or specially competent, with only
garded as oligarchical in character by a writer certain broad general policies left to the deter-
like Mill. mination of a majority vote. Jefferson and Mill
Yet Mill, no less than Aristotle, would agree alike hope that popular government may abol-
with Montesquieu's theory that the rightness ish privileged classes without losing the bene-
of any form of government must be considered fits of leadership by peculiarly gifted individ-
with reference to the "humor and disposition of uals. The realization of that hope, Jefferson
the people in whose favor it is established." The writes Adams, depends on leaving "to the citi-
constitution and laws, Montesquieu writes, zens the free election and separation of the
"should be adapted in such a manner to the aristoi from the pseudo-aristoi, of the wheat
people for whom they are framed that it would from the chaff."
be a great chance if those of one nation suit At all times there is the danger of tyranny
another." by the majority and, under the threat of rev-
Mill makes the same point somewhat differ- olution, the rise of a demagogue who uses mob
ently when he says, "the ideally best form of rule to establish a dictatorship. Hobbes phrases
government ... does not mean one which is this peculiar susceptibility of democracy to the
practicable or eligible in all states of civiliza- mischief of demagogues by saying of popular
tion." But although he is willing to consider assemblies that they "are as subject to evil
the forms of government in relation to the his- counsel, and to be seduced by orators, as a
toric conditions of a people, not simply by ab- monarch by flatterers," with the result that
solute standards, Mill differs sharply from democracy tends to degenerate into govern-
Montesquieu and Aristotle in one very impor- ment by the most powerful orator.
tant respect. For him, as we have seen, repre- The democratic state has seldom been tempt-
sentative democracy founded on universal suf- ed to undertake the burdens of empire without
frage is, absolutely speaking, the only truly suffering from a discordance between its domes-
just government-the only one perfectly suited tic and its foreign policy. Again and again,
310 THE GREAT IDEAS
Thucydides describes the efforts of the Atheni- to extend it, for, if we cease to rule others, we
ans to reconcile their imperialism abroad with are in danger of being ruled ourselves." In the
democracy at home. diplomatic skirmishes which precede the in-
In his oration at the end of the first year of vasion of Sicily, Hermocrates of Syracuse tries
the Peloponnesian war, Pericles praises the to unite the Sicilian cities so that they may es-
democracy of Athens and at the same time cele- cape "disgraceful submission to an Athenian
brates the might of her empire. "It is only the master." The Athenian ambassador, Euphemus,
Athenians," he says, "who, fearless of conse- finds himself compelled to speak at first of "our
quences, confer their benefits not from calcu- empire and of the good right we have to it";
lations of expediency, but in the confidence of but he soon finds himself frankly confessing
liberality." But four years later, after the re- that "for tyrants and imperial cities nothing is
volt of Mi tylene, Cleon speaks in a different unreasonable if expedient."
vein. Thucydides describes him as being "at The denouement of the Peloponnesian war,
that time by far the most powerful with the and especially of the Syracusan expedition, is
commons." He tells his fellow ci tizens of demo- the collapse of democracy, not through the loss
cratic Athens that he has "often before now of empire but as a result of the moral sacrifices
been convinced that a democracy is incapable involved in trying to maintain or increase it.
of empire," but "never more so than by your Tacitus, commenting on the decay of republi-
present change of mind in the matter of Mity- can institutions with the extension of Rome's
lene." He urges them to return to their earlier conquests, underlines the same theme. It is still
decision to punish the Mitylenians, for, he says, the same theme when the problems of British
if they reverse that decision they will be "giv- imperialism appear in MllI's discussion of how a
ingway to the three failings most fatal to empire democracy should govern its colonies or de-
-pity, sentiment, and indulgence." pendencies.
Diodotus, who in this debate recommends a The incompatibility of empire with democ-
policy of leniency, does not do so in the "con- racy is one side of the picture of the democratic
fidence of liberality" which Pericles had said state in external affairs. The other side is the
was the attitude ofa democratic state toward tension between democratic institutions and
its dependencies. "The question is not of jus- military power or policy-in the form of stand-
tice," Diodotus declares, "but how to make ing armies and warlike maneuvers. The in-
the Mitylenians useful to Athens.... We must efficiency traditionally attributed to democ-
not," he continues, "sit as strict judges of the racy under peaceful conditions does not, from
offenders to our own prejudice, but rather see all the evidences of history, seem to render de-
how by moderate chastisements we maybe en- mocracy weak or pusillanimous in the face of
abled to benefit in the future by the revenue- aggression.
producing powers of our dependencies .... It is The deeper peril for democracy seems to lie
far more useful for the preservation of our in the effect of war upon its institutions and on
empire," he concludes, "voluntarily to put up the morality of its people As Hamilton writes
with injustice, than to put to death, however in The Federalist: "The violent destruction of
justly, those whom it is our interesr to keep life and property incident to war, the continual
alive. " effort and alarm attendant on a state of con-
Twelve years later, Alcibiades, no democrat tinual danger, will compel nations the most at-
himself, urges the Athenians to undertake the tached to liberty to resort for repose and se-
Sicilian expedition by saying, "we cannot fix curity to institutions which have a tendency to
the exact point at which our empire shall stop; destroy their civil and political rights. To be
we have reached a position in which we must more safe, they at length become willing to
not be content with retaining but must scheme run the risk of being less free."
CHAPTER 16: DEMOCRACY 3U
OUTLINE OF TOPICS
PAGB
I. Conceptions of democracy: the comparison of democracy with other forms of govern-
ment 312
2. The derogation of democracy: the anarchic tendency of freedom and equality 313
2a. Lawless mob-rule: the tyranny of the majority
2b. The incompetence of the people and the need for leadership: the superiority of
monarchy and aristocracy
REFERENCES
To find t~e passages cited, use .the numbers in heavy type, .which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-283) 12d, the
number 4 is the number of the volume in the set; the numberl2d indicates that the pas
sage is in section d of.p~ge n.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page I I 9. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the..left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or lllore of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad,BK II [265-283) 12d;
BIBLE REFERENCES: The references are to book. chapter, and ve~se. When the Xing James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay. indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the ,tork or passage cited.
I. .'
For addi tional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: The general theory of government and the forms of government, see GOVERNMENT; and
for the forms of government most closely related to democracy, see ARISTOCRACY;
OLIGARCHY.
The theory of constitutional or representative government, in itself and in contrast to
monarchy or absolute government, see CONSTITUTION; MON.ARCHY.
Other discussions of the mixed constitution and the mixed regime, see ARISTOCRACY 2b;
CONSTITUTION 3a, 5b; GOVERNMENT 2b; MONARCHY Ib(I)'
Other expositions of the theory of the conditions relative to which democracy is a suitable
form of government, see MONARCHY 4e(2); SLAVERY 6c; TYRANNY 4b.
The general discussion of political liberty and equality in relation to the rights of citizenship,
see JUSTICE ge; LIBERTY If.
The problem of suffrage and the debate concerning the extension of the franchise, see CITIZEN
2<:-3; LABOR 7d; OLIGARCHY 4, 5a; SLAVERY 5b.
The relation between economic and political democracy, and the problems of economic as
well as political justice, see LABOR 7f; LIBERTY 2d; SLAVERY 5a-5b.
The theory of popular sovereignty and natural rights, see GOVERNMENT Ig(3); JUSTICE 6-6e;
LAW 7b-7c; STATE2C; TYRANNY 5c.
The consideration of majority rule and the tyranny of the majority, see OPINION 7ib;
TYRANNY 2C.
Other discussions of the theory of representation, see ARISTOCRACY 6; CONSTITUTION 9-9b.
Matters relevant to the educational problems of democracy, see ARISTOCRACY 5; EDUCATION
8d; STATE 7d ..
ADDITIONAL READINGS
Listed below are works not included in Great Books of the Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
1. Warks by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
I N Darwin, Mill, James, and Freud, at the be defined as appetite of which we are con-
modern end of the great tradition, the word scious."
"desire" primarily signifies a cause of animal and Spinoza here seems to be reflecting the dis-
human behavior. It is one Qfthe basic terms in tinction made by earlier writers between
psychological analysis, covering that whole natural appetite and conscious desire, which we
range of phenomena which are also referred to today would, perhaps, express in terms of
by such terms as wanting, needing, craving, wish- "need" and "wish." The ancient conception
ing, willing, all of which are discussed in con- of tendencies inherent in all tl~ings-inanimate
nection with theories of instinct and emotion, as well as living-which seek a natural fulfill-
libido and love, motivation and purpose. ment broadens the meaning of appetite or de-
If we turn to traditional beginnings, to the sire. When Aristotle says that "each thing seeks
writings of Plato, Aristotle, Galen, and Ploti- its own perfection" and that "nature does
nus, we find that the ,psychological considera- nothing in vain," he is thinking of non-living
tion of desire is part of a much larger context. as well as living bodies. Wherever in the phys-
The ancients are, of course, concerned with the ical world things seem to have a natural tend-
role of desire in causing animal or human be- ency to move in a certain direction or to change
havior, and with the causes of such desire, but in a certain way, there appetite, belonging to
they are also interested in cravings which seem the very nature of the moving thing, operates
to be present in plants as well as animals. Plato, as a cause. Adopting this view, Dante declares
for example, attributes to plants "feelings of that "neither Creator nor creature was ever
pleasure and pain and the desires which accom- without love, either natural or of the mind";
pany them." The vegetative activities of nu- and in hisConvivio he shows how each thing
trition, growth, and reproduction seem to has its "specific love." The love, or desire, of
spring from basic appetites-or, in modern the elements is their "innate affinity to their
phraseology, "biological needs" -inherent in proper place"; minerals desire" the place where
all living matter. their' geperation is ordained" with the result
Because hunger and thirst so readily sym- that '~the magnet ever receives power from the
bolize the essence of desire (or certainly repre- direction of its generation."
sent its most general manifestation in living According to this view it is possible to speak
things), the words "appetite" and "desire" are of the natural desire of raindrops to fall or of
frequently used as synonyms in the earlier smoke to rise. Such a manner of speaking may
phase of the tradition. As Hobbes observes, at first seem metaphorical-an expression of
when he proposes to use "appetite" and "de- primitive animism or anthropomorphism-but
sire" as synonyms, desire is "the general name," the ancients, observing different natural tend-
and appetite is "oftentimes restrained to signify encies in heavy and light bodies, mean this
the desire for food, namely hunger and thirst." literally.
So, too, Spinoza says that "there is no difference The sense of such statements is no different
between appetite and desire," yet he adds, from what is meant when it is said that the sun-
"unless in this particular, that desire is gener- flower, without consciousness, naturally tends
ally related to men in so far as they are con- to turn toward the sun, or that all men by
scious of their appetites, and it may therefore nature desire to know.
323
324 THE GREAT IDEAS
FROM ITS NARROWEST meaning with reference fies the tendency of its nature. That nature
to the behavior of animals and men, desire does nothing in vain means simply that no
gains a wider connotation when it is conceived natural desire-need or appetite-exists with-
as covering the appetites found in living organ- out the possibility of fulfillment.
isms. But in its broadest significance, it refers
to the innate tendency inherent in matter it- CONSIDERING THE DESIGN of the universe and
self. As we shall presently see, appetite; desire, the rela tion of crea tures to God, theologians like
or tendency is seated in matter according to Augustine and Aquinas use the concept of de-
that conception of matter which identif.es it sire in both its psychological and its meta-
with potentiality or potemial being. These physical sense.
considerations are more fully treated in the Considered metaphysically; desire can be
chapters on BEING, CHANGE, and MATTER, but present only in finite beings, for to be finite is
their significance for the notion of desire can to be in want of some perfection. Hence desire
be briefly indicated here. can in no way enter into the immutable, infi-
Plotinus suggests the basic insight when he nite, and perfect being of God. In desire,
describes matter as "in beggardom, striving as Aquinas points out, "a certain imperfection is
it were by violence to acquire, and always dis- implied," namely, the lack "of the good which
appointed." Matter is that in natural things we have not." Since God is perfect, desire can-
which is the reason for their motion and change. not be attributed to Him, "except metaphor-
Considering natural change, Aristotle names ically." Love, however, implies perfection
what he thinks are its three principles. In addi- rather than imperfection, since it flows from
tion to "something divine,good,and desirable," the act of the will "to diffuse its own goodness
he writes, "we hold that there are two other among others." For that reason, although the
principles, the one contrary to it, the other such infinite perfection of God precludes desire .. it
as of its own nature to desire and yearn for it." does not preclude love.
These are respectively forni, privation, and The theologian goes beyond the metaphysi-
matter. The relation between matter and form cian or physicist when he carries the analysis of
is expressed by Aristotle in terms of desire. desire to the supernatural plane. As God is the
"The form cannot desire itself," he says, "for supernatural efficiem cause of all created things,
it is not defective; nor can the contrary desire so God is also the supernatural final cause-the
it, for contraries are mutually destructive. The end or ultimate good toward which all creatures
truth is'that what desires the form is matter, tend. The metaphysical maxim that each thing
as the female desires the male." seeks its own perfection is then transformed.
Conceived most generally as natural appe- "All things," Aquinas writes, "by desiring
ti te or tendency, desire becomes a physical or their own perfection, desire God Himself, inas-
metaphysical term. "Natural appetite;" says much as the perfections of all things are so
Aquinas, "is that inclination which each thing many similitudes of the divine being. , , : Of
has of its own nature." The significance of de- those things which desire God, some know Him
sire in this sense extends, far beyond psycho- as He is Himself, and this is proper to the ra-
logical phenomena, to all things in motion tional crea ture; others know some participa tion
under the impetus or inclination of their own of His goodness, and this belongs also to sensible
natures, rather than moved violently by forces knowledge; others have a natural desire with-
impressed on them from without. ' out knowledge, as being directed to their ends
In ancient physics every natural tendency by a higher intelligence."
has an end or fulfillment in which the motion The e'xistence in the creature of a desire for
governed by that tendency comes to rest. Eros God raises difficult questions concerning the
and telos-desire and end-are complementary manner in which this desire is fulfilled. A super-
concepts, each implying the other as principles natural end cannot be attained by purely nat-
of physics, i.e., as factors operating together ural means, i.e., without God's help. The vision
throughout nature in the order of change. The of God in which the souls of the blessed come
telos of each thing is the perfection which satis- to rest is, according to the theologian, the ulti-
CHAPTER 17: DESIRE 325
mate gift of grace. Hence, in man's case at least, With regard to the frantic pursuit of diversions,
it becomes necessary to ask whether he can have he claims that "both the censurers and the cen-
a purely na tural desire to see God if the goal sured do not understand man's true nature"
of such desire cannot be achieved by purely and the "misery of man without God." In such
natural means. restlessness and vain seeking, the theologian sees
The question is not whether men to whom evidence of man's natural desire to be with God.
God has revealed the promise of ultimate glory Admitting the same facts, the skeptics inter-
can consciously desire the bea tific vision. Clear- pret the infinity of man's desire as a craving to
ly that is possible, though to sustain such desire be God. If this is not every man's desire, it is
the theological virtue of hope, inseparable from certainly Satan's in Paradise Lost. Skeptic or
faith and charity, may be required. Rather the believer, every man understands the question
question is whether the beatific vision which is which Goethe and Dante among the great
man's supernatural end can be the object of poets make their central theme. At what mo-
natural desire. On this the theologians appear ment, amid man's striving and restlessness, will
to be less clearly decided. the soul gladly cry, "Ah, linger on, thou art so
Aquinas holds that "neither man, nor any fair?" Confident that there can be no such
creature, can attain final happiness by his nat- moment, Faust makes that the basis of his
ural powers." Yet he also seems to maintain wager with Mephistopheles.
that man has a natural desire for the perfect The two poets appear to give opposite an-
happiness of eternal life. "The object of the swers to the question. Faust finds surcease in an
will, i.e., of man's appetite," he writes, "is the earthly vision of progressive endeavor. Heaven-
universal good, just as the object of the intel- ly rest comes to the soul of Dante at the very
lect is the universal truth." Man's natural de- moment it relinquishes its quest, winning peace
sire to know the truth-not just some truths through surrender.
but the whole truth, the infinite truth-would
seem to require the vision of God for its fulfill- IN THE BROADEST OR theological sense of the
ment. Aquinas argues similarly from the will's word, God alone does not desire. In the nar-
natural desire for the infinite good. "Naught rowest or psychological sense, only animals and
can lull man's will," he writes, "save the uni- men do. The contrast of meanings is useful.
versal good ... to be found not in any creature, Natural appetite or tendency throws light on
but in God alone." Some writers find this con- the na ture of conscious desire.
firmed in the fact that whatever good a man In order to "determine the nature and seat of
sets his heart upon he pursues to infinity. No desire," Socrates in the Philebus considers such
finite amount of pleasure or power or wealth things as "hunger, thirst, and the like" as "in
seems to satisfy him. He always wants more. the class of desires." He points out that "when
But there is no end to wanting more of such we say 'a man thirsts,' we mean to say that he
things. The infinity of such desires must result 'is empty.' " It is not drink he desires, but re-
in frustration. Only God, says the theologian, plenishment by drink, which is 'a change of
only an infinite being, can satisfy man's infinite state. This insight Socrates generalizes by say-
craving for all the good there is. ing that "he who is empty desires ... the op-
Seeing man's restlessness, no matter where he posite of what he experiences; for he is empty
turns to find rest, Augustine declares: "Thou and desires to be flill." In the Symposium, using
madest us for Thyself, and our heart is restless, the words "love" and "desire" as if they were
until it repose in Thee." Pascal reaches the interchangeable, Socrates declares that "he who
same conclusion when he considers the ennui desires something is in want of something" and
of men which results from the desperation of "love is of something which a man wants and
their unending search. "Their error," he has not."
writes, "does not lie in seeking excitement, if In the psychological sphere, desire and love
they seek it only as a diversion; the evil is that are often identified-at least verbally. The one
they seek it as if the possession of the objects of word is frequently substituted for the other.
their quest would make them really happy." Here the fact already noted, that God loves but
326 THE GREAT IDEAS
does not desire, suggests the root of the distinc- which we seek to avoid as somehow injurious
tion between desire and love. Desire always in- rather than beneficial to us.
volves someIack or privation to be remedied by There is no question that desire and aversion
a change; whereas love, certainly requited are psychologically connected with estimations
love, implies the kind of satisfaction which ab- of good and evil or pleasure and pain. This is
hors change. Love and .desire are, of course, the case no matter how we answer the moral-
frequently mixed, but this does not affect their ist's question, Do we desire something because
essential difference as tendencies. They are as it is good, or do we call it "good" simply be-
different as giving and getting. Love aims at cause we desire it? The ethical significance of
the well-being of the beloved, while desire seeks the question, and of the opposite answers to it,
to enjoy a pleasure or possess a good. is discussed in the chapter on GOOD AND EVIL.
Not all writers, however, contrast the gener-
osity of love with the acquisitiveness of desire. THE METAPHYSICAL conception of natural de-
Locke, for example, finds self-interest and self- sire provides terms for the psychological anal-
seeking in both. The meaning of love, he ob- ysis of conscious desire and its object. Viewed
serves, is known to anyone who reflects "upon as belonging to the very nature of a thing,
the thought he has of the delight which any appetite, according to Aristotle, consists in the
present or absent thing is apt to produce in him. tendency toward "something we do not have"
... For when a man declares in autumn when and "which we need." Both factors are essen-
he is eating them, or in spring when there are tial-the privation and the capacity, or poten-
none, that he loves grapes, it is no more but tiality, for having what is lacked. Privation in
that the taste of grapes delights him." The the strict sense is always correlative to poten-
meaning of desire is, in Locke's opinion, closely tiality.
related. It consists in "the uneasiness a man The writers who use these terms would not
finds in himself upon the absence of anything speak of the sunflower being deprived of wis-
whose present enjoyment carries the idea of dom, even as they would not call a stone blind.
delight with it." We desire, in short, the things Blindness is the deprivation of sight in things
we love bu t do not possess. which have by nature a capacity to see. So
The distinction between love and desire, the when it is said that man by nature desires to
question whether they are distinct in animals know, or that certain animals, instinctively
as well as in men, and their relation to one gregarious, naturally tend to associate with one
another when they are distinct, are matters another in herds or societies, the potentiality of
more fully discussed in the chapter on LOVE. knowledge or social life is indicated; and pre-
It is enough to observe here that when writers cisely because of these potentialities, ignorance
use the two words interchangeably, they use and solitariness are considered privations.
both words to signify wanting and seeking. We observe here two different conditions of
In the case of animals and men, the thing appetite or desire. As the opposite of privation
wanted is an object of conscious desire only if is possession-or of lacking, having-so the op-
it is something known. In addition to being posite states of appetite are the drive toward
known as an object of science is known, it must the unpossessed and satisfaction in possession.
also be deemed good or pleasant-in other We do not strive for that which we have, unless
words, worth having. For Locke, desire, as we it be to retain our possession of it against loss;
have seen, is no more than "an uneasiness of the and we do not feel satisfied until we get that
mind for want of some absent good," which is which we have been seeking.
measured in terms of pleasure and pain. "What "If a man being strong desired to be strong,"
has an aptness to produce pleasure in us is that says Socrates in the Symposium, "or being swift
we call good, and what is apt to produce pain desired to be swift, or being healthy desired to
in Us we call evil." That which we consciously be healthy, he might be thought to desire some-
desire, that which we judge to be desirable, thing which he already has or is." This would be
would thus be something we regard as good for a misconception which we must avoid. To any-
us, while the "bad" or "evil" would be that one who says "I desire to have simply what I
CHAPTER 17: DESIRE 327
have," Socrates thinks we should reply: "You, that many men also consciously seek knowl-
my friend, having wealth and health and edge, knowing what knowledge is and consider-
strength, want to have the continuance of ing it something worth having.
them .... When you say, 'I desire that which I The instinctive desires of animals are not
have and nothing else,' is not your meaning generally thought to operate apart from the
that you want to have in the future what you perception of the object toward which the an-
now have?" This "is equivalent to saying that a imal is emotionally impelled. The instinctive
man desires something which is for him non- desire works consciously, both on the side of
existent, and which he has not got"; from which perception and on the side of the emotionally
Socrates draws the conclusion that everyone felt impulse. If, because it is innate rather than
"desires that which he has not already, which is learned, or acquired through experience, we
future and not present .. and of which he is call the instinctive desire "natural," it is well
in want.", to remember that we are not here using the
The object of desire-natural or conscious- word to signify lack of consciousness. Yet both
thus seems to be an altered condition in the instinctive and acquired desires may operate
desirer, the result of union with the object de- unconsciously.
sired. Man's natural desire to know impels him What Freud means by a repressed desire
to learn. Every act -of learning which satisfies illustrates this point. The repressed desire,
this natural desire consists in a changed condi- whether instinctual in origin or the result of
tion of his mind, a change which both Plato some acquired fixation of the libido on object
and Aristotle describe as a motion from igno- or ego, would be a conscious tendency if it were
rance to knowledge. not repressed. Freud compares the process of re-
When we consciously desire food, it is not pression to the efforts of a man to get from one
the edible thing as such we seek, but rather the room to another past the guard of a door-
eating of it. Only the eating of it will quiet our keeper. "The excitations in the unconscious
desire, with that change in our condition we ... to begin with, remain unconscious. When
call "nourishment." That the edible thing is they have pressed forward to the threshold and
only incidentally the object of our desire may been turned back by the door-keeper, they are
be seen in the fact that no way in which we can 'incapable of becoming conscious'; we call
possess food, other than eating it, satisfies hunger. them then repressed .... Being repressed, when
applied to any single impulse, means being
THE DISTINCTION between na tural and con- unable to pass out of the unconscious system
scious desire is complicated by other closely re- because of the door-keeper's refusal of admit-
lated distinctions which psychologists have tance into the preconscious."
made. Freud, for example, distinguishes be- The repressed desire is made to operate un-
tween conscious and unconscious desire; Dar- consciously by being repressed, which does not
win separates instinctive from learned desires; prevent it from influencing our conduct or
and James observes how a conscious desire may thought, but only from intruding its driving
become habitual and operate almost automat- force and its goal upon our attention. In con-
ically, without our awareness of either its trast, the desire which works habitually and
object or its action. therefore to some extent unconsciously, is not
Part of the complication is verbal and can be repressed, but merely one which no longer de-
removed by referring to natural desires as non- mandsour full attention.
conscious rather than un-conscious. The word
"conscious" literally means with knowledge. DESIRE AND EMOTION are often identified in our
Creatures which lack the faculty of knowing description of the behavior of animals and men.
cannot desire consciously. It does not follow, Sometimes, however, desire along with aver-
however, that sentient or conscious beings sion is treated as just one of the emotions, and
cannot have natural appetites. Man's natural sometimes all the emotions are treated as mani-
desire to know is a case in point. That natural festa tions of just one type of conscious appeti te,
human tendency is not excluded by the fact namely, animal as opposed to rational desire.
328 THE GREAT IDEAS
The appetitive or driving aspect of emotions Those psychologists who find in man two
is indicated by William James in his analysis of distinct faculties of knowledge-the senses and
instinctive behavior. The functioning of an .the reason or intellect-also find in him two dis-
instinct may be viewed, according to James, as tinct faculties of appetite or desire. The dis-
a train of psychological events of "general re- tinction is -perhaps most sharply made by Aris-
flex type ... called forth by determinate sen- to tie and Aquinas, who claim that "there must
sory stimuli in contact with the animal's body, be one appetite tending towards the universal
or at a distance in his environment," arousing good, which belongs to reason, and another
"emotional excitements which go with them." with a tendency towards the particular good,
The emotional part of the instinctive behavior which appetite belongs to sense." The tradi-
is at once an impulse to perform certain acts tional name for the intellectual appetite, or the
and the feeling which accompanies the acts faculty of rational desire, is "will." In Spinoza's
performed. The sheep, instinctively recogniz- vocabulary, the effort of desire, "when it is re-
ing the wolf as dangerous, fears and flees. It lated to the mind alone, is called will, but when
runs away because it is afraid and feels fear in it is related at the same time both to the mind
the act of flight. When, in his theory of the and the body, is called appetite."
emotions, James goes so far as to say that the Psychologists who attribute these diverse
feeling of fear results from running away, he modes of desire, as they attribute sensation and
does not mean to deny that the emotion of fear thought, to a single faculty called "mind" or
involves the impulse to flee. "understanding," nevettheless deal with the
In its aspect as impulse-or tendency-to act whole range of appetitive "henomena, includ-
-an emotion is a desire, consciously aroused by ing both the animal passions and acts of will.
sense-perceptions and accompanied by conscious James, for example, treats the instinctive acts
feelings. This conception of emotion has been associated with the emotions as "automatic and
variously expressed in the tradition of the great reflex" movements, and separates them from
books. Aquinas, for example, calls all the emo- "voluI'ltary movements which, being desired
tions or passions "movements of the sensitive and intended beforehand, are done with full
appetite." But he also uses the words "desire" prevision of wha t they are to be." In so doing,
and "aversion" along with "love" and "hate," he draws a line between emotional impulses and
"anger" and "fear" to name specific emotions. acts of will, even though he does not distin-
Hobbes recognizes the appetitive tendency guish two appetitive faculties.
which is common to all the emotions when he With or without the distinction in faculties,
finds at their root what he calls "endeavor"- almost all observers of human experience and
"those small beginnings of motion, within the conduct seem to agree upon a distinction in
body of man, before they appear in walking, types of conscious desire, at least insofar as they
speaking, striking, and other visible actions .... recognize the ever-present conflict between the
This endeavor," he goes on to say, "when it is passions and the will. These matters are more
toward something which causes it, is called ap- fully considered in the chapters on EMOTION
petite or desire." Spinoza makes the same point and WILL.
in somewhat different terms. "Desire," he
writes, "is the essence itself or nature of a per- THE ROLE OF DESIRE in human life-especially
son in so far as this nature is conceived from its emotional desire-is so intimately connected
given constitution as determined towards any with problems of good and evil, virtue, duty,
action .... As his nature is constituted in this and happiness, that until quite recently the
or that way, so must his desire vary and the subject was discussed mainly in books on ethics,
nature of one desire differ from another, just . politics, or rhetoric rather than psychology.
as the affects from which each desire arises dif- Even Freud, who tries to separate psychological
fer. There are as many kinds of desire, there- description and explanation from moral princi-
fore, as there are kinds of joy, sorrow, love, etc., ples or conclusions, cannot avoid treating the
and in consequence ... as there are kinds of effects of morality upon the dynamics of desire
objects by which we are affected." and the life of the passions: Many of the funda-
CHAPTER 17: DESIRE 329
mental terms of psychoanalysis-conflict, re- mesticating" them, as one would train a beast
pression, rationalization, sublimation, to name to serve the ends of human life.
only some-carry the connotation of moral The implication, in Aristotle and Spinoza as
issues, even though they imply a purely psy- well as in Freud, does not seem to be that man's
chological resolution of them. animal appetites are in themselves bad, but
Contrary to a popular misconception, Freud that, if they are undisciplined or uncontrolled,
expressly declares that "it is out of the question they cause disorder in the individual life and
that part of the analytic treatment should con- in society. Some moralists, however, take an
sist of advice to 'live freely.''' The conflict "be- opposite view. For them desire is intrinsically
tween libidinal desires and sexual repression," evil, a factor of discontent, and fraught with
he explains, is "not resolved by helping one pam.
side to win a victory over the other." Although "While what we crave is wanting," Lucretius
Freud thinks that "what the world calls its writes, "it seems to transcend all the rest; then,
code of morals demands more sacrifices than it when it has been gotten, we crave something
is worth," he also declares that "we must be- else"; yet as often as a man gains something
ware of overestimating the importance of ab- new, he discovers afresh that "he is not better
stinence in effecting neurosis." off." Either our desires are unsatisfied, and then
What Freud calls emotional infantilism re- we suffer the agony of frustration; or they are
sembles to some degree what a moralist like satiated and so are we-desperate with ennui.
Aristotle calls self-indulgence or incontinence. Hence, freedom from all desires, not just their
To give vent to all the promptings of desire, moderation, seems to be recommended for
without regard to the demands of society or peace of mind; as centuries later Schopenhauer
reality is to revert to infancy-a state charac- recommended the negation of the will to live in
terized, according to Freud, by "the irrecon- order to avoid frustration or boredom.
cilability of its wishes with reality." Because Marcus Aurelius and the Stoics, and later
children "live at the beck and call of appetite, Kant, similarly urge us "not to yield to the
and it is in them that the desire for what is persuasions of the body ... and never to be
pleasant is strongest," Aristotle thinks it fitting over-powered either by the motion of the senses
that we should speak of self-indulgence when or of the appetites." But whereas the Stoics
it occurs in an adult as a "childish fault." would restrain desire "because it is animal" and
Aristotle and Freud seem to be looking at in order to avoid pain, Kant argues that the re-
the same facts of human na ture and seeing them nunciation of desire should be undertaken "not
in the same light. What Freud describes as the merely in accordance with duty ... but from
conflict between the "pleasure-principle" and duty, which must be the true end of all moral
the "reality-principle," Aristotle-and with cultivation. "
him Spinoza-treats as a conflict between the The opposition between these two views of
passions and the reason, and Kant conceives in desire in the moral life represents one of the
terms of the opposition between desire and major issues in ethical theory, further discussed
duty. What Freud says of the reality-principle in the chapters on DUTY and VIIi.TUE. The doc-
-that it "demands and enforces the postpone- trine of natural appetite is crucially relevant to
ment of satisfaction, the renunciation of mani- the issue. If the naturalist in ethics is righ t, he
fold possibilities, and the temporary endurance is so by virtue of the truth that natural tend-
of pain"-parallels traditional statements con- encies are everywhere the measure of good and
cerning the role of reason or of duty in the evil. If, however, there is no truth in the doc-
moral life. Where the moralists speak of the trine of natural desire, then the impulses which
necessity for regulating or moderating emo- spring from man's animal passions can claim no
tional desires, Freud refers to the need of "do- authority in the court of reason.
330 THE GREAT IDEAS
OUTLINE OF TOPICS
PAGE
1. Desire and the order of change: eros and telos 33 1
2. The analysis of desire or appetite 33 2
2a. The roots of desire in need, privation, or potency: the instinctual sources Qf the
libido
2b. The objects of desire: the good and the pleasant
2C. Desire as a cause of action: motivation or purpose; voluntariness 333
2d. The satisfaction of desire: possession and enjoyment 334
3. The modes of desire or appetite
3a. Natural appetite: desires determined by nature or instinct
3b. Desires determined by knowledge or judgment 335
(1) The distinction between sensitive and rational desire: emotional tendencies
and acts of the will
(2) Conscious and unconscious desires: habitual desire
3c. Desire and love: their distinction and connection
3d. Desire and aversion as emotional opposites 337
4. The economy of desire in human life
4a. The eonflict of desires with one another
4b. The attachment of desires: fixations, projections, identifications, transferences
4C' The focusing of d~sires: emotional complexes 338
4d. The discharge of desires: qltharsis and sublimation
5. Desire as ruler
sa. Desire ruling imagination: daydreaming and fantasy
Sb. Desire ruling thought: rationalization and wishful thinking
SC. Desire ruling action: the unchecked expression of desires; incontinence 339
6. Desire as subject to rule 340
6a. The regulation of desire by rcason: the discipline of moral yirtue or duty
6b. The restraint or renunciation of desire: abstention, inhibition, repression 34 I
6c. The results of repression: dreaming, symbolic over-reactions, neuroses
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-283] 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in S3 JAMES: Psychology,U6a-1l9b,the passage
begins in the upper half of page II6 and ends in the lower half of page 1I9. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
handsideof the page, the letters c and d to the upper and lower halves of the right-hand side of
the page. Forexample,iri 7 PLATO: Symposium, 163b164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164-
AUTHOR'S DivISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-28~]12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or \-erses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7 :45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
eROSS-REFERENCES
For: Matters relevant to the metaphysical conception of desire, see BEING 7c-'7c(3); CHANGE I;
MATTER la, 3b.
Discussions bearing on the theory of natural appetite or desire, see HABIT 3a; HAPPINESS I;
NATURE la, 2d, 3C(3).
Other discussions of the distinction between conscious and natural desire, and of animal
appetite in contrast to the human will, see ANIMAL Ia(3); MAN 4b; SENSE 3e; WILL I,
2b(2).
The consideration of voluntary acts or movements, see ANIMAL 4b; NATURE 3C(2); WILL
3a (I)-3a (2).
Other treatments of the objects of desire in general, see BEING 3b; GOOD AND EVIL la, 3c;
HAPPINESS I, 4-4b; PLEASURE AND PAIN 6a-6b; and for particular objects of desire, see
HONOR2h; LIFE AND DEATH 8b; WEALTH lOa-lob, Ioe(3).
The conception of pleasure as the satisfaction of desire, see PLEASURE AND PAIN 6d.
Another comparison of desire and love, see LOVE IC, 2a-2a(4).
Further psychological analysis of emotional desires and impulses, see EMOTION 3-3c(4);
LOVE 2a(3)-2a(4); MEDICINE 6C(2).
Other discussions of the influence of emotional desires on imagination and thought, see
EMOTION 3b; MEMORY AND IMAGINATION 8c, 8e; OPINION 2a; WILL 3b(I).
The psychological or ethical consideration of problems arising from the conflict between de-
sire and reason or duty, see DUTY 8; EMOTION 4-4b(2); LIBERTY 3a-3b; MIND Ie(3), 9b;
VIRTUE AND VICE 5a; WILL 2b(2), 9b.
The discussion of man's relation to the infinite, see INFINITY 6a; MAN rod; and for the theo-
logical conception of man's ultimate rest in the vision of God, see GOD 5b, 6C(4); HAPPI:-.lESS
7c-'7c(r); LOVE 5a(2); WILL 7d.
344 THE GREAT IDEAS
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
1. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
T HE words "dialectical" and "dialectician"
are currently used more often in a deroga-
the only avenue to God condemned the dia-
lecticians-the philosophers or theologians who
tory than in a descriptive sense. The person tried to use reason discursively rather than pro-
who criticizes an argument by saying, "It's just ceed by intuition and vision. With the Refor-
a matter of definition" is also apt to say, "That mation and with the Renaissance, men like Mar-
may be true dialectically, but ... " or "You're tin Luther and Francis Bacon regarded dialec-
just being dialectical." Implied in such remarks tic as the bane of mediaeval learning. Because
is dispraise of reasoning which, however excel- of its dialectical character, Luther dismissed all
lent or skillful it may be as reasoning, stands theological speculation as sophistry. Bacon, for
condemned for being out of touch with fact or the same reason, stigmatized scholastic philoso-
expenence. phy as consisting in "no great quantity of mat-
Still other complaints against dialectic are ter and infinite agitation of wit."
that it plays with words, begs the question, On grounds which were common as well as
makes sport of contradictions. When the theo- opposite, both mystics and experimentalists at-
logian Hippothadeus almost convinces Panurge tacked dialectic as a futile, if not vicious, use
that he "should rather choose to marry once, of the mind-as "hair-splitting" and "logic-
than to burn still in fires of concupiscence," chopping." Even when .they admitted that it
Rabelais has Panurge raise one last doubt might have some virtue, they approved of it as
against the proposal. "Shall I be a cuckold, a method of argument or proof, proper enough
father," he asks, "yea or no?" Hippothadeus perhaps in forensic oratory or political debate,
answers: "By no means ... will you be a cuck- but entirely out of place in the pursuit of truth
old, if it please God." On receiving this reply or in approaching reality.
Panurge cries out, "0 the Lord help us now;
whither are we driven to, good folks? To the A CERTAIN CONCEPTION of dialectic is implicit
conditionals, which, according to the rules and in all such criticisms. The dialectician is a man
precepts of the dialectic facuity, admit of all who argues rather than observes, who appeals
contradictions and impossibilities. If my Trans- to reason rather than experience, who draws
alpine mule had wings, my Transalpine mule implications from whatever is said or can be
would fly. If it. please God, I shall not be a said, pushing a premise to its logical conclusion
cuckold, but I shall be a cuckold if it please or reducing it to absurdity. This aspect of dia-
him." lectic appears to be the object of Rabelais' satire
As a term of disapproval, "dialectical" has in the famous dispute between Panurge and
been used by scientists against philosophers, Thaumast, which is carried on "by signs only,
by philosophers against theologians and, with without speaking, for the matters are so ab-
equal invective, by religious men against those struse, hard, and arduous, that words proceed-
who resort to argument concerning matters ing from the mouth of man will never be suffi-
of faith. cient for the unfolding of them."
The early Middle Ages witnessed a conflict In view of those who think that truth can be
between the mystical and the rational ap- learned only by observation, by induction from
proaches to the truths of religion. Those for particulars, or generalization from experience,
whom religious experience and revelation were the technique of dialectic, far from being a
345
346 THE GREAT IDEAS
method of inquiry, seems to have virtue only THE CONNECTION of dialectic with disputation
for the purpose of disputation or criticism. and rhetoric has some foundation in the his-
"The human faculties," writes Gibbon, "are torical fact that many of the techniques of
fortified by the art and practice of dialectics." dialectic originated with the Greek sophists who
It is "the keenest weapon of dispute," he adds, had primarily a rhetorical or forensic aim.
but "more effectual for the detection of error Comparable to the Roman rhetoricians and to
than for the investigation of truth:'" the law teachers of a later age, the sophists
Mill describes "the Socratic dialectics, so taught young men how to plead a case, how to
magnificently exemplified in the dialogues of defend themselves against attack, how to per-
Plato," as a "contrivance for making the diffi- suade an audience. Skill in argument had for
culties ohhe question ... present to the learn- them a practical, not a theoretical, purpose;
er's consciousness ... They were essentially a not truth or knowledge, but success in litiga-
negative discussion of the great questions of tion or in political controversy. The familiar
philosophy and life," he cOIHinues, "directed charge that the method they taught enabled
with consummate skill to the purpose of con- men "to make the worse appear the better rea-
vincing anyone who has merely adopted the son," probably exaggerates, but none the less
commonplaces of received opinion that he did reflects, the difference between the standards
not understand the subject ... The school dis- of probability in disputation and the standards
putations of the Middle Ages had a somewhat of truth in scientific inquiry. This has some
similar object." In Mill's opinion, "as a disci- bearing on the disrepute of sophistry and the
pline to the mind, they were in every respect derogatory light cast on the dialectical when it
inferior to the powerful dialectics which formed is identified with the sophistical.
the intellects of the 'Socratic viri'; but the But there is another historical fact which
modern mind," he says, "owes far more to both places dialectic in a different light. In the tra-
than it is generally willing to admit, and the dition of the liberal arts, especially in their
present modes of education contain nothing Roman and mediaeval development, "dialec-
which in the smallest degree supplies the place tic" and "logic" are interchangeable names for
either of the one or of the other." the discipline which, together with grammar
Disparaging comment on dialectic comes not and rhetoric, comprises the three liberal arts
only from those who contrast it unfavorably known as the "trivium." In his treatise On
with the methods of experiment or empirical Christian Doctrine Augustine uses the word
research. It is made also by writers who trust "dialectic" in this way. Whatever else it means,
reason's power to grasp truths intuitively and the identification of dialectic with logic implies
to develop their consequences deductively. its distinction from rhetoric, and certainly
Sensitive to what may seem to be a paradox from sophistry.
here, Descartes writes in his Rules for the Di- Yet Augustine does not fail to observe the
rection of the Mind: "It may perhaps strike misuse of dialectic which debases it to the level
some with surprise that here, where we are dis- of sophistry. "In the use of it," he declares, "we
cussing how to improve our power of deducing must guard against the love of wrangling, and
one truth from another, we have omitted all the childish vanity of entrapping an adversary.
the precepts of the dialecticians." The dialec- For there are many of what are called sophisms,"
tician can proceed only after he has been given he continues, "inferences in reasoning that are
premises to work from. Since, in Descartes' false, and yet so close an imitation of the true,
view, dialectic provides no me~hod for estab- as to deceive not only dull people, but clever
lishing premises or for discovering first princi- men too, when they are not on their guard."
ples, it can "contribute nothing at all to the He gives as an example the case of one man say-
discovery of the truth ... Its only possible use ing to another, "What I am, you are not." The
is to serve to explain at times more easily to other man may assent to' this, thinking, as
others the truths we have already ascertained; Augustine points out, that "the proposition is
hence it should be transferred from Philosophy in part true, the one man being cunning, the
to Rhetoric." other simple." But when "the first speaker
CHAPTER 18: DIALECTIC 347
adds: 'I am a man' " and "the other has given to it is apt to have a bad name with the rest of
his assenl to this also, the first draws his con- the world ... But when a man begins to get
clusion: 'Then you are nota man.' " older, he will no longer be guilty of such in-
According to Augustine, "this sort of en- sanity; he will imitate the dialectician who is
snaring argument" should not be called dia- seeking for truth, and not the sophist, who is
lectical, but sophistical. He makes the same contradicting for the sake of amusement."
sort of observation about the abuse of rhetoric In the hands of the philosopher dialectic is an
in speech which "only aims at verbal ornamen- instrument of science. "There is," according to
tation more than is consistent with seriousness Socrates, "no other method of comprehending
of purpose." That, too, he thinks, should be by any regular process all true existence or of
"called sophistical" in order to avoid attaching ascertaining what each thing is in its own na-
the name of rhetoric to misapplications of the ture." It passes beyond the arts at the lowest
art. level, "which are concerned with the desires or
Dialectic for Augustine is the art which opinions of men, or are cultivated with a view
"deals with inferences, and definitions, and to production and constructions." It likewise
divisions" and "is of the greatest assistance in the transcends the mathematical sciences, which,
discovery of meaning." Rhetoric, on the other while they "have some apprehension of true
hand, "is not to be used so much for ascertain- being: .. leave the hypotheses which they use
ing the meaning as for setting forth the mean- unexamined, and are unable to give an account
ing when it is ascertained." Dialectic, in other of them." Using these as "handmaids and
words, is divorced from the practical purpose of helpers," dialectic "goes directly to the first
stating and winning an argument, and given principle and is the only science which does
theoretical status as a method of inquiry. away with hypotheses in order to make her
ground secure."
THIS CONCEPTION of dialectic originates in the The dialectic of Plato has an upward and a
dialogues of Pia to. Not himself a sophist, ei ther downward path which somewhat resemble the
by profession or in aim, Socrates found other inductive process of the mind from facts to
uses for the analytical and argumen tative devices principles, and the deductive process from
inven ted by the sophists. The same skills of mind principles to the conclusions they validate.
which were practically useful in the public as- Dialectic, says Socrates, ascends by using hy-
sembly and in the law courts could be used or potheses "as steps and points of departure into
adapted for clarification and precision in specu- a world which is above hypotheses, in order
lative discussions. They could also be used to that she may soar beyond them to the first
find the truth implicit in the commonly ex- principle of the whole ... By successive steps
pressed convictions of men and to lay bare she descends again without the aid of any sensi-
errors caused by lack of definition in discourse ble object, from ideas, through ideas, and in
or lack of rigor in reasoning. ideas she ends."
In the Sophist Plato separates the philosopher As the disciplined search for truth, dialectic
from the sophist, not by any distinction in includes all of logic. It is concerned with every
method, but by the difference in the use each phase of thought: with the establishment of
makes of the same technique. And in the definitions; the examination of hypotheses in
Republic, one of the reasons Socrates gives for the light of their presuppositions or conse-
postponing the study of dialectic until the age quences; the formulation of inferences and
of thirty is that youngsters, "when they first proofs; the resolution of dilemmas arising from
get the taste in their mouths, argue for amuse- opposition in thought.
ment" and "like puppy-dogs, they rejoice in
pulling and tearing at all who come near them." WHEREAS FOR PLATO dialectic is more than the
As a result of being vainly disputatious, they whole of logic, for Aristotle it is less. Dialectic
"get into the way of not believing anything is more than the process by which the mind
which they believed before, and hence, not goes from myth and fantasy, perception and
only they, but philosophy and all that relates opinion, to the highest truth. For Plato it is the
348 THE GREAT IDEAS
ultimate fruit of intellectual labor-knowledge more easily the truth and error about the sever-
itself, and inits supreme form as a vision of be- al poin ts tha t arise."
ing and unity. That is why Socrates makes it Though it is primarily a method of arguing
the ultimate study in the curriculum proposed from assumptions and of dealing with disputes
for training the guardians to become philoso- arising from contrary assumptions, dialectic is
pher kings. "Dialectic," he says, "is the coping- also concerned with the starting points of argu-
stone of the sciences, and is set over them; no ment. The Topics considers how assumptions
other science can be placed higher-the nature are chosen, what makes them acceptable, what
of knowledge can go no further." determines their probability. Here again Aris-
For Aristotle, dialectic, far from being at the totle shows how the philosopher can make use
summit of science and philosophy, lies at their of dialectic-as that "process of criticism where-
base, and must be carefully distinguished from in lies the path to the principles of all inquiries."
sophistry, which it resembles in method. "Dia-
lecticians and sophists assume the same guise as THERE ARE FOUR major expositions of dialectic
the philosopher," Aristotle writes, "for sophis- in the tradition of the great books. It is as pivot-
tic is wisdom which exists only in semblance, al a conception in the thought of Kant and
and dialecticians embrace all things in their Hegel as it is in the philosophies of Plato and
dialectic, and being is common to all things; but Aristotle. With differences which may be more
evidently their dialectic embraces these sub- important than the similarities, the Kantian
jects because these are proper to philosophy. treatment resembles the Aristotelian, the
Sophistic and dialectic," he continues, "turn on Hegelian the Platonic.
the same class of things as philosophy, but .. Like the division between the Posterior
philosophy differs from dialectic in the nature Analytics and the Topics in Aristotle's Organon,
of the faculty required and from sophistic in the transcendental logic of Kant's Critique oj
respect of the purpose of the philosophic life. Pure Reason falls into two parts-the analytic
Dialectic is merely critical where philosophy and the dialectic. The distinction between his
claims to know, and sophistic is what appears to transcendental logic and what Kant calls "gen-
be philosophy but is not." erallogic" is discussed in the chapter on LOGIC,
but here it must be observed that for Kant
ACCORDING TO ARISTOTLE, dialectic is neither "general logic, considered as an organon, must
itself a science nor the method of science. It is always be a logic of illusion, that is, be dialecti-
that part oflogic or method which he treats in cal." He thinks that the ancients used the word
the Topics, and it differs from the scientific "dialectic" in this sense, to signify "a sophisti-
method expounded in the Posterior Analytics cal art for giving ignorance, nay, even inten-
as argument in the sphere of opinion and proba- tional sophistries, the coloring of truth, in which
bilities differs from scientific demonstration. the thoroughness of procedure which logic re-
Unlike the conclusions of science, the conclu- quires was imitated." For his own purposes,
sions of dialectical reasoning are only probable, however, he wishes "dialectic" to be under-
because they are based on assumptions rather stood "in the sense of a critique of dialectical
than self-evident truths. Since other and oppo- illusion. "
site assumptions cannot be excluded, one dia- When he comes to his own transcendental
lectical conclusion is usually opposed by another logic, therefore, he divides it into two parts.
in an issue of competing probabilities. The first part deals with "the elements of pure
Intermediate between science and rhetoric, cognition of the understanding, and the princi-
dialectic can serve both. In addition to its prac- ples without which no object at all can be
tical employment in forensics, it is useful in the thought." This is the "Transcendental Analyt-
philosophical sciences because it develops skill ic, and at the same time a logic of truth"-
in making and criticizing definitions, and in a logic of science. Since in his view "it ought
asking or answering questions. "The ability to properly to be only a canon for judging of the
raise searching difficulties on both sides of a empirical use of the understanding, this kind of
subject," Aristotle says, "will make us detect logic is misused when we seek to employ it as
CHAPTER 18: DIALECTIC 349
an organon of the universal and unlimited exer- But "transcendental illusion, on the contrary,"
cise of the understanding." he writes, "does not cease to exist c;ven after it
When it is thus misused, "the exercise of the has been exposed and its nothingness has been
pure understanding becomes dialectical. The clearly perceived by means of transcendental
second part ofour transcendental logic," Kant criticism. "
writes, "must therefore be a critique of dia- The reason for this, Kant explains, is that
lectical illusion, and this critique we shall term "here we have to do with a natural and unavoid-
Transcendental Dialectic-not meaning it as able illusion, which rests upon subjective prin-
an art of producing dogmatically such illusion ciples, and imposes these upon us as objective.
(an art which is unfortunately too current ... There is, therefore," he continues, "a
among the practitioners of metaphysical jug- natural and unavoidable dialectic of pure rea-
gling), but as a critique of understanding and son" which arises because the mind seeks to
reason in regard to their hyperphysical use." answer questions "well nigh impossible to
Kant goes further than Aristotle in separat- answer," such as "how objects exist as, things in
ing dialectic from science. With regard to the themselves" or "how the nature of things is to
sensible or. phenomenal world of experience, be subordinated to principles." In its effort to
science is possible; with regard to the mind's transcend experience-"in disregard of all the
own structure, the supreme sort of science is warnings of criticism" - the mind cannot escape
possible. But when reason tries to use its ideas the frustration, the dialectical illusion, "which
for other objects, and then regards them "as is an inseparable adjunct of human reason."
conceptions of actual things, their mode of It is not, Kant repeatedly insists, that "the
application is transcendent and delusive." Kant ideas of pure reason" are "in their own nature
explains that "an idea is employed transcen- dialectical; it is from their misemployment alone
dentally, when it is applied to an object falsely tha t fallacies and illusions arise."
believed ... to correspond to it; immanently,
when it is applied solely to the employment FOR HEGEL AS for Plato dialectic moves in the
of the understanding in the sphere of experi- realm of truth and ideas, not probabilities and
ence"; and he maintains that when ideas are illusions. But for Hegel dialectic is always the
used transcendentally, they do not give rise to process of mind, or of the Idea, in interminable
science, but "assume a fallacious and dialectical motion toward absolute truth-never resting in
character. " the intuition of that truth. The Idea, he writes,
A conclusion of dialectical reasoning, ac- "is self-determined, it assumes successive forms
cording to Kant, is either opposed by a con- which it successively transcends; and by this
clusion equally acceptable to reason-"a per- very process of transcending its earlier stages,
fectly natural antithetic"-as in the antinomies gains an affirmative, and, in fact, a richer and
of pure reason; or, as in the paralogisms, the more concrete shape."
reasoning has specious cogency which can be The dialectical process is a motion in which
shown to "conclude falsely, while the form is contrary and defective truths are harmonized.
correct and unexceptionable." In this balance The synthesis of thesis and antithesis results in
of reason against itself lies the illusory character a more complete truth. To illustrate his mean-
of the transcendental dialectic. ing, Hegel uses the example of building a house.
Where Aristotle recognizes that reason can For such a purpose, we must have "in the first
be employed on both sides of a question be- instance, a subjective aim and design" and as
cause it involves competing probabilities, Kant means, "the several substances required for
in calling dialectic "a logic of appearance" ex- the work-iron, wood, stones." In rendering
plicitly remarks that "this does not signify a these materials suitable for our purpose, we
doctrine of probability." He further distin- make use of the elements: "fire to melt the
guishes what he calls "transcendental illusory iron, wind to blow the fire, water to set the
appearance" from "empirical illusory appear- wheels in motion,. in order to cut the wood,
ance" and ordinary "logical illusion." The etc."
latter two can be corrected and totally removed. Yet the house tha t we build is, according to
350 THE GREAT IDEAS
Hegel, an opposite or antithesis of these ele- For Hegel the opposition takes the milder
ments. "The wind, which has helped to build form of contrary theses and antitheses. They
the house, is shut out by the house; so also are can be dialectically overcome by a synthesis
the violence of rains ..and floods, and the de- which remedies the incompleteness of each
structive powers of fire, so far as the house is half truth. "It is one of the most important
made fire-proof. The stones and beams obey discoveries of logic," Hegel says, "that a
the law of gravity-press downward-and so specific moment which, by standing in an
high walls are carried up." The result is that opposition, has the position of an extreme,
"the elements are made use of in accordance ceases to be such and is a moment in an organic
with their nature, and yet to cooperate for a whole by being at the same time a mean."
product, by which their operation is limited." The Hegelian opposition is thus also "media-
The initial opposition between the idea of a tion."
house and the elements is reconciled in the Dialectical opposition for Aristotle originates
higher synthesis, which is the house itself. in the disagreements which occur in ordinary
While it shows the opposing theses and the human discourse. But just as disagreement is
resulting synthesis, this example does not fully reasonable only if there are two sides to the
exhibit the dynamic character of the Hegelian question in dispute, so reason can operate dia-
dialectic. If the resulting synthesis is not the lectically only with regard to genuinely argu-
whole truth, it too must be defective and re- able matters. The familiar topics concerning
quire supplementation by a contrary which is which men disagree represent the commonplace
defective in an opposite way. These two to- issues of dialectic, since for the most part they
gether then become the material for a higher are formed from debatable propositions or ques-
synthesis, another step in that continuing dia- tions. ~'Nobody in his senses," Aristotle be-
lectical process which is the life of mind-both lieves, "would make a proposition of what no
the subjective dialectic of the human mind and one holds; nor would he make a problem of
the objective dialectic of the Absolute Mind or what is obvious to everybody or to most peo
the Idea. pie." Each of the conflicting opinions will
therefore have some claim to probability. Here
THE THREAD OF common meaning which runs the dialectical process ends neither in a synthe-
through these four conceptions of dialectic is sis of incomplete opposites nor in a rejection of
to be found in the principle of opposition. In both as illusory; but, having "an eye to general
each of them dialectic either begins or ends opinion," it seeks to ascertain the more reason-
with some sort of intellectual conflict, or de- able view-the more tenable or probable of the
velops and then resolves such oppositions. two.
For Kant dialectical opposition takes the ex- In the Platonic theory of dialectic, the ele-
treme form of irreducible. contradictions from ment of opposition appears in the tension be-
which the mind cannot escape. "It is a melan- tween being and becoming, the one and many,
choly reflection," he declares, "that reason in or the intelligible and the sensible, which is
its highest exercise, falls into an antithetic." found present in every stage of the mind's dia-
This comes about because "all statements enun- lectical ascent to the contemplation of ideas.
ciated by pure reason transcend the conditions So fundamental is this tension that Socrates uses
of possible experience, beyond the sphere of it to define the dialectician as one who is "able
which we can discover no criterion of truth, to see 'a One and Many' in Nature" -by com-
while they are at the same time framed in ac- prehending "scattered particulars in one idea"
cordance with the laws of the understanding, and dividing it "into species according to their
which are applicable only to experience; and natural formation." Here as in the Hegelian
thus it is the fate of all such speculative dis- theory the oppositions-apparent contradic-
cussions, that while the one party attacks the tions in discourse-can be resolved by dialectic,
weaker side of his opponent, he infallibly lays and through their resolution the mind then
open his own weaknesses." rises to a higher level.
CHAPTER 18: DIALECTIC 351
IT IS ONLY IN the writings of Hegel or his fol- ment," yet it is also conceived as working
lowers that the meaning of dialectic is not towards a definite end-the revolution which
limited to the activity of human thought. has as its result the peace of the classless society.
Hegel expressly warns that "the loftier dia- Bourgeois industry, by bringing about the con-
lectic ... is not an activity of subjective think- centration and association of the proletariat,
ing applied to some matter externally, but is produces "its own grave diggers; its fall and the
rather the matter's very soul putting forth its victory of the proletariat" are "equally inevi-
branches and frui t organkally." It is the "de- table."
velopment of the Idea," which is "the proper In Marx's vocabulary the phrases "historical
activity of its rationality." If the whole world materialism" and "dialectical materialism" are
in its existence and development is the thought strictly synonymous. But Marx's protest to
and thinking of an Absolute Mind, or the Idea, the contrary notwithst:mding, a comparison of
then the events of nature and of history are. Marx and Hegel seems to show that a dialectic
moments in a dialectical process of cosmic pro- of history is equally capable of being conceived
portions. The principles of dialectic become in terms of spirit or of matter.
the principles of change, and change itself is The question whether there is a dialectic of
conceived as a progress or evolution from lower nature as well as a dialectic of history remains a
to higher, from part to whole, from the inde- point of controversy in Marxist thought, de-
terminate to the determinate. spite the bearing which Hegel's Science of Logic
The dialectical pattern of history, conceived and Phenomenology of Mind might have upon
by Hegel as the progressive objectification of the question. Engels tries in his Dialectics oj
spirit, is reconstructed by Karl Marx in terms Nature to give a fuller rendering of the Hege-
of the conflict of material forces. Marx himself lian dialectic in strictly materialistic tenDS. Its
explicitly contrasts his dialectic with that of universal scope, including all of nature as well
Hegel. "My dialectic method," he writes, "is as all of history, is also reflected in certain post-
not only different from the Hegelian, but is Darwinian- doctrines of cosmic evolution.
its direct opposite." Hegel, he claims, thinks
that "the real world is only the external, CONSIDERATIONS RELEVANT to the Hegelian or
phenomenal form of 'the Idea,''' whereas Marxist dialectic will be found in the chapters
his own view is that "the ideal is nothing on HISTORY and PROGRESS. Without judging
else than the material world reflected by the the issues which Hegel and Marx have raised in
human mind, and translated into forms of the thought of the last century, it may be per-
thought." missible to report the almost violent intellectual
Nevertheless, with respect to dialectic, Marx aversion they have produced in certain quarters.
praises Hegel for being "the first to present its Freud, for example, is as unsympathetic in his
general form of working in a comprehensive criticism of Marx and as uncompromising in his
and conscious manner." The only trouble is rejection of dialectical materialism, as James be-
that with Hegel, dialectic "is standing on its fore him is extreme in the expression of his dis-
head." It must therefore "be turned right side taste for Hegel. Mocking "the Hegelizers" who
up again," a revolution which Marx thinks he think that "the glory and beauty of the psychic
accomplishes in his dialectical materialism. life is that in it all contradictions find their re-
Having put dialectic on its proper basis, conciliation," James declares: "With this intel-
Marx constructs the whole of history in terms lectual temper I confess I cannot contend."
of a conflict of material forces, or of social The Hegelian dialectic and what James calls
classes in economic strife, according to a dialec- "the pantomime-state of mind" are, in his opin-
tical pattern which provides "recognition of ion, "emotionally considered, one and the same
the existing state of things, at the same time thing. In the pantomime all common things are
also the recognition of the negation of that represented to happen in impossible ways, p::o-
state, of its inevitable breaking up." History is pie jump down each other's throats, houses turn
thus viewed dialectically "as in fluid move- inside out, old women become young men,
352 TtIE'GREAT IDEAS
everything 'passes into its opposite' with incon- object, many and one) must first be translated
ceivable. celerity and skill .... And so in the into impossibilities and contradictions, then
Hegelian logic," James continues, '~relations 'transcended' and identified by miracle, ere the
elsewhere recognized under the insipid name of proper temper is induced for thoroughly enjoy-
distinctions (such as that between knower and ing the spectacle they show.."
OUTLINE OF TOPICS
1. Definitions of dialectic 353
2. Diverse theories of dialectic
2a. Dialectic as the pursuit of truth and the contemplation of being .
(r) The ascent from appearance to reality, or from opinion to knowledge: the'
upward and downward paths of dialectiC
(2) Definition, division, hypothesis, and myth in the service of dialectic 354
2b. Dialectic as the method of inquiry, argument, and criticism in the sphere of
opinion
(I) Divisions of dialectic: the theory of the predicables
(2) The technique of question and answer
. 2C. Dialectic as the logic of semblance and as the critique of the illusory employment
6f reason beyond experience
(I) The division of logic into analytic and dialectic: the distinction between
general and transcendental dialectic
(2) The natural dialectic o(llUman reason
2d. Dialectic as the evolution of spirit or matter
(I) The distinction between subjective and objective dialectic: the realization
~~~~~ ill
(2) The dialectic of nature and of history: the actualization of freedom
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume a~d page
numbers of the passages referred to. For example, 'in 4 HOMER: Iliad, BK II [265-283j12d, the
number 4 is the number of the volume in the setj the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side ofthe page, the letters c and d to the upper and lower halves of the right-hand side of
the page. Forexample, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in 'cer-
tain caseSj e.g., Iliad, BK II [265-283j12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), followsj e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole referencej "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information conce~ning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas; consult the Preface.
CROSS- REFERENCES
For: The consideration of dialectic as logic or a part oflogic, and of its relation to the other liberal
arts, see LANGUAGE 7; LOGIC I, Ib, J-3b; RHETORIC Ia.
Other discussions of the conception of dialectic as the highest science, the supreme form of
knowledge or wisdom, see METAPHYSICS I; PHILOSOPHY 2b; SCIENCE Ia(2); WISDOM Ia.
Other discussions of dialectic as a method of argument in the sphere of opinion, see OPINION
2C; REASONING 5c; RHETORIC 4c-4c(3); and for matters relevant to the use of dialectic as
a method of inquiry, see DEFINITION 4; HYPOTHESIS I; PRINCIPLE 3C(2).
The role of dialectic in the philosophy of history, see HISTORY 4a(2)-4a(3); PROGRESS Ia.
The discussion of the types of opposition which have significance for dialectic, see OPPOSI-
TION Ie, 2b, 2e; REASONING 5c. .
Dialectic in relation to philosophy and theology, See METAPHYSICS 3C; PHILOSOPHY 3c;
THEOLOGY 5.
Discussions of sophistry, and for the condemnation of dialectic as sophistry, see LOGIC 5;
METAPHYSICS 4a; PHILOSOPHY 6b; THEOLOGY 5; TRUTH 8e; WISDOM 3.
CHAPTER 18: DIALECTIC 357
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter. deals. These wor!ts are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, con,sult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
J. G. FICHTE. The Science of Knowledge, PART III,
I. A-D
ATJGTJSTINE. Divine Providence and the Problem of SCHLEilntMACHER. Dialekfik
Evil, BK II, CH 11-16 WHEWELL. On the Philosop'hy 'of Discovery, APPEN-
- - . Concerning the Teacher DIX C
HOBBEs. The Art of Sophistry LoTZE. LogiC;BK I, CH 3 (c) .
HEGEL. The' Phenomenology of Mind C. S. PEIRCE, CoDected Papers, VOL I, par 284~72;
- - . Science of Logic VOL v, par 41-119; VOL VI, par 7-34
ENGELS. Dialectics of Nature BRUNETIERE. An Apology for Rhetoric
- - . Herr Eugen Duhn'ng's Revolution in Science, BRADLEY. Appearance and Reality
PART 1 (12-13) McTAGGART. Studies in the Hegelian Dialectic
PLEKHANOV. Fundamental Problems of Marxism
II. TROELTscH . Gesammelte SchriJten, VuL III, CH 3 (4)
SEXTUS EMPIRICUS. Outlines of Pyrrhonism, BK LENIN. Selected Works, VOL XI (On Dialectics)
I-II BUKHARIN. Historical Materialism
PHlLOSTI!.ATUS. Lives ofthe Sophists ADLER. Dialectic .
ERIGENA. De Divisione Naturae, BK v (4) BUCHANAN.Possibility
ABAlLARD. Sic et Non SANTAYANA. Reason in Science, CH 7
- - . Dialectica - - . The Realm of Essence, CH7
JOHN OF ~ALISBURY. Metalogicon WHITEHEAD. Process and Reality, PART I
NICOLAS OF CUSA. De Docta Ignorantia JACKSON. Dialectics
MELANCHTHON. Dialectica B. RUSSELL. An Inquiry into Meaning and Truth,
RAMUS. Dialecticae Institutiones CH 24
Chapter 19: DUTY
INTRODUCTION
TOCKE, discussing in the c.ourse of his essay power. Those whom the law binds in conscience
L on Human Understanding "why a man rather than by its coercive force obey the law
must keep his word," notes that we meet with because it is morally right to do so. The sense
three different answers to this question. "If a of the law's moral authority is for them the
Christian be asked, he will give as reason: Be- sense of duty from which the dictates of con-
cause God, who has the power of eternal life science flow.
and death, requires it of us. But if a Hobbist be Locke's third answer-that of the ancient
asked why? he will answer: Because the public philosophers-shows that duty is sometimes
requires it, and the Leviathan will punish you understood without reference to law, divine or
if you do not. And if one of the old philoso- human. We share this understanding whenever,
phers had been asked, he would have answered: having made a promise or contracted a debt,
Because it was dishonest, below the dignity of we feel an obligation to discharge it even if
a man, and opposite to virtue, the highest per- no superior commands the act. Here, further-
fection of human nature, to do otherwise." more, the obligation seems to be to another
With these three answers Locke introduces individual-to a person who may be our equal
us to some of the alternatiVe views on what is -rather than to the state or God.
perhaps the central problem concerning duty. As indicated by Locke's statement of this
All three acknowledge the existence of duty ancient view, it is the honest or just man who
and the force of obligation. By accepting the acknowledges such obligations apart from the
question they affirm the proposition that a man law or his relation to any superior. Virtue may,
must or ought to keep his word. But why? What of course, also direct a man to act for the com-
creates the ought or obligation? mon welfare and to obey the laws of the state
Two of the answers Locke cites-that of the or the commandments of God. But the imme-
Christian and that of the Hobbist-seem to diate source of the obligation to act in a certain
derive duty from the commands of law, the law way toward one's fellow men is placed by the
of God or of the state, in either case a law to be ancients, according to Locke, in "virtue, the
enforced by the sanctions of a superior power. highest perfection of human nature." On this
.\ccordingly, the citizen has duties to the state, view, virtue alone provides the motivation.
the religious man to God. Yet it does not seem Without it men would act lawfully only be-
to be entirely the case that such duties rest ex- cause of the law's coercive force. Without it
clusively on the superior power of God or the men would recognize no obligations to their
state. Men who obey either divine or civil law fellow men or to the state.
from fear of punishment alone, are said to act
not from duty but from expediency-in terms THESE TWO conceptions of duty-for the mo-
of a calculation of risks and consequences. ment grouping the Christian and Hobbist an-
Obedience to law would appear to be ac- swers together against the ancient view-may
knowledged as a duty only by those who recog- seem at first to be only verbally different. It
nize the authority of the law or the right of the seems certain that dutiful conduct would fre-
lawmaker to command. They would be willing quently be the same on either view. Yet they
to obey the law even if no external sanction do conflict with one another, and each, if
could be enforced against them by a superior examined further, presents difficulties.
358
CHAPTER 19: DUTY 359
The theory that duty arises from a man's and courage, do not give rise to obligations,
own virtue receives its classic expression, as unless they are somehow annexed to or uni ted
Locke intimates, in the ancient philosophers, with justice. Whenever Aristotle speaks of
particularly Plato and Aristotle. It appears in duties he does so with reference to the obliga-
the Republic, for example, when Socrates has to tions that follow from justice-"the duties of
meet Glaucon's argument that men abide by parents to children and those of brothers to
moral rules, not simply because they ought to, each other ... those of comrades and those of
but in order to avoid the pain of censure and fellow-ci tizens."
punishment. Glaucon claims that, given the Whereas for Aristotle justice always refers to
possession of Gyges' ring which can render a the good of another, or to the common good of
man invisible to others, "no man would keep all, such virtues as temperance and courage,
his hands off what was not his own when he when they are isolated from justice, concern
could safely take what he liked." He could "in the well-being of the individual himself. That
all respects be like a God among men." is why only justice entails duties, which are ob-
:\gainst this Socrates sets his conception of ligations to act in a certain way for the welfare
the "just man" who does what he ought to do of others. If the good of no other individual is
because it is just, and because justice is essential involved, it seems that a man has no duty to be
to the very life and health of the soul. Accord- tempera te or courageous, even when he possesses
ing to Socrates' way of thinking, it is ridiculous these virtues.
to ask "which is the more profitable, to be just Precisely because of the essentially social
and act justly and practise virtue, whether seen character of justice, Aristotle raises the ques-
or unseen of gods and men, or to be unjust. ... tion "whether a man can treat himself unjustly
We know that, when the bodily constitution is or not." He is willing to admit that a man can
gone, life is no longer endurable, though pam- do justice or injustice to himself only in a meta-
pered with all kinds of meat and drinks, and phorical sense. What he calls "metaphorical jus-
having all wealth and all power; and shall we be tice" is not a relation between a man and him-
told that when the very essence of the vital self, but a relation between one part of himself
principle is undermined and corrupted, life is and another.
still worth having to a man, if only he be al- Aquinas seems to follow Aristotle in connect-
lowed to do whatever he likes with the single ing duty with justice and with no other virtue.
exception that he is not to acquire justice and "Justice alone of all the virtues," he writes,
virtue, or to escape from inj ustice and vice?" "implies the notion of duty." If he also inti-
On this view, it seems to be the virtue of mates that duty may somehow enter into the
justice which lies at the root of duty or obliga- acts of other virtues-as when he says that "it
tion. But for Plato justice, though only one of is not so patent in the other virtues as it is in
the virtues, is inseparable from the other three justice" -his position still remains fundamen-
-temperance, courage, and wisdom. It is al- tally Aristotelian. Referring to that "kind of
most indifferent therefore whether one attrib- metaphorical justice" to which Aristotle ap-
utes moral obligation to the particular virtue peals in stating the sense in which a man can
of justice or to virtue in general. As the chap- treat himself unjustly, Aquinas explains how
ters on JUSTICE and VIRTUE indicate, Aristotle "all the other virtues" can be said to "involve
differs from Plato, both with respect to the the duty of the lower powers to reason." Apart
virtues in general and to justice in particular. from this metaphorical duty of the passions to
For Aristotle it is justice alone, not virtue in obey reason, duty in the strict sense comes, in
general or any other particular virtue, which the opinion of Aquinas, only from the precepts
gives rise to duty or obligation. of justice, which concern the relation of one
Justice differs from the other virtues, accord- person to another.
ing to Aristotle, in that it "alone of the virtues
is thought to consider 'another's good' because ON THIS THEORY, duty is not co-extensive with
it concerns the relation of a man to his neigh- morality, the sense of duty is not identical with
bor." The other virtues, such as temperance the moral sense, and specific duties obligate a
360 THE GREAT IDEAS
man to other men even when no general law state? Can duty-be co-extensive with morality
exists to be obeyed. Difficulty is found with if the only rules of conduct to be obeyed are
this theory by those critics who think that the laws imposed from without-regulations which
whole of morality, not simply one part of it, have authority simply because they come from
involves duties. Does not the sense of duty one who has the right to command? Again, as
operate, they ask, in matters which do not affect we shall see, Kant would say No.
any other individual or even the common good?
Does a man, for example, have a duty to tell the WE HAVE now stated the questions about duty
truth only to others, but not to seek it for him- which raise difficulties for Aristotle and Hobbes.
self? Kant, as we shall see, holds that there are Though they differ in their theories of law and
private as well as public duties, or, in;his lan- justice, as well as in their conceptions of duty,
guage, internal duties in the realm of ethics as they seem to concur in thinking that doing
well as external duties in the realm of juris- one's duty does not exhaustively solve all moral
prudence. problems.
The Hobbist theory of duty seems to face The same questions do not, however, seem to
similar difficulties. The specific duties which are present difficulties to other moralists-to Kant
determined by the precepts of justice may, as and to the Stoics of antiquity, such as Marcus
we have seen, not always be the same as the Aurelius and Epictetus. On the contrary, their
specific duties imposed by civil law, though moral philosophy, by making the sphere of duty
they will be identical whenever the law of the co-extensive with the whole of the moral life,
state is itself an expression or determination of seems to prevent such questions from being
justice. But when law rather than justice is the raised.
principle, duty seems to consist primarily in As we turn to examine their conception of
obedience to the law or rather to the lawgiver duty, we must observe that, in two respects, it
who has superior power and authority. Only alters Locke's threefold division of the answers
secondarily, or in consequence, does it involve to the question, Why must a man keep his
obligations to other men who are one's equals. word? In the first place, Locke's statement of
With Hobbes, for example, justice, and ob- the answer given by "the ancient philosophers"
ligation as well, begin only with the establish- seems to have only Plato and Aristotle in mind,
ment of a constituted authority with the power certainly not the Stoics. In the second place,
of making laws. "Where there is no Common- Locke's statement of the Christian position
wealth," he writes, "there is nothing unjust. seems to associate it with the Hobbist answer,
So that the nature of justice consisteth in keep- against that of Plato and Aristotle. That
ing of valid covenants; but the validity of cove- association may be justified on the ground that
nants begins not but with the constitution of a duty to God, like duty to the state, involves
civil power, sufficient to compel men to keep obligation to a superior. But Aquinas, as we
them." Duty and justice are both said to be have seen, seems to agree with Aristotle about
"laws of nature," but, Hobbes adds, they "are justice as a source of duty; and, as we shall see,
not properly laws, but qualities that dispose he also seems to agree with Kant and the Stoics
men to peace, and to obedience," un til "a Com- about the pervasiveness of duty in the realm of
monwealth is once settled," and then they be- morals. Locke's statement of the Christian posi-
come "the commands of the Commonwealth." tion, which selects one aspect of it only, may
In other words, "it is the Sovereign power that therefore be inadequate.
obliges men to obey them," and obedience, The point which unites Kant, the Stoics, and
which is said to be "part also of the law of Aquinas is their agreement concerning the ex-
nature," is its proper expression. istence of a law which is neither enacted by the
So far the two conceptions conflict or at least state nor proclaimed by God in his revealed
diverge. But if the legal theory of duty goes no commandments. This law the Stoics speak of as
further than the enactments of the state, the "the law of reason," Aquinas calls "the natural
same question arises here as before. Does a man law," and Kant conceives to be "the moral law
have no duties apart from his relation to the within." The common conception thus vari-
CHAPTER 19: DUTY 361
ouslyexpressed is more fully treated in the every case to obey the law. It is not a duty to
chapter on LAw; but that ampler discussion is persons, except as the moral law commands us
not needed to perceive that the law of reason to respect the dignity of the human person,
or of nature is a moral law, in that its general ourselves and others alike.
principles and detailed precepts govern the en- The element of a superior commanding an
tire range of moral acts. inferior seems to be present in this conception
"Morality," according to Kant, "consists in of duty through the relation of reason to the
the reference of all action to the legislation will and appetites of man. Acting dutifully con-
which alone can render a kingdom of ends pos- sists in the submission of the will to reason,
sible." By this he means that "the will is never and in overcoming all contrary inclinations or
to act on any maxim which could not without desires. But though Kant sometimes speaks in
contradiction be also a universal law." This law these terms, he also conceives duty as carrying
is also moral in the sense that it exercises only with it an obligation to God. "The subjective
moral authority and should prevail even with- principle of a responsibility for one's deeds be-
out the support of the external sanctions which fore God," he says, is "contained, though it be
accompany the positive commands of a supe- only obscurely, in every moral self-conscious-
rior. "The idea of duty," Kant declares, "would ness."
alone be sufficient as a spring [of action] even if Nevertheless, Kant insists that "the Christian
the spring were absent which is connected by principle of morality itself is not theological."
forensic legislation ... namely external com- It rests, in his opinion, on the "autonomy of
pulsion." pure practical reason, since it does not make
. Making the natural or moral law the princi- the knowledge of God and his will the founda c
ple of duty introduces the element of obligation tion of these laws, but only of the attainment of
into every moral act. Whatever is right to do the summum bonum, on the condition of follow-
we are obliged to do in conformity to the law ing' these laws, and it does not even place the
of nature or in obedience to the commands of proper spring of this obedience in the desired
the moral law. We need no external promulga- results, but solely in the conception of duty; as
tion of this law-i.e., no express formulation in that of which the faithful observance alone con-
words by a lawgiver-for this law is inherent in stitutes the worthiness to obtain those happy
reason itself. Its various maxims or precepts can consequences. "
be deduced from what Aquinas calls the "first It is "through the summum bonum as the
principle ... of the practical reason" and Kant object and final end of pure practical reason"
"the categorical imperative." Or, as the Stoics that, in Kant's view of Christian morality, we
say, since reason is the "ruling principle" in pass from moral philosophy to "religion, that is;
man, man's duty consists in "holding fast" to it to the recognition of all duties as divine com-
and "going straight on" so that it has "what is mands." A Christian theologian like Aquinas,
its own." however, seems to go further than Kant in
On this theory, we are obliged in conscience equating conformity to the moral law-or the
to do whatever reason declares right, whether natural law of reason-with religious obedience
or not others are directly involved. The dis- to God. Nor does he explain this equivalence
tinction between public and private morality- by reference to the fact that God has made
between the spheres of justice and the other man's attainment of the summum bonum-or
virtues-is irrelevan t to conscience. Conscience, eternal happiness-depend on his free compli-
according to Kant, functions equally in the ance with the moral law. Rather, for Aquinas,
spheres of internal and external duty. In both the natural law is' "nothing else than the ra-
the realm of ethics and the realm of jurispru- tional creature's participation in the eternal
dence, conscience, applying the moral law, dic- law" of God-the "imprint on us of the divine
tates our duty in the particular case. We stand light." As God is the author of man's nature
in no different relation to ourselves and others, and reason, so is He the ultimate authority be-
since the moral law is universally and equally hind the commands of the natural law which
binding on all persons. The obligation is in He implanted in man's reason at creation.
362 THE GREAT IDEAS
For a Christian theologian like Aquinas, duty this, that pain hold aloof from the body, and
to God involves obedience to the moral law she in mind enjoy a feeling of pleasure exempt
which reason can discover by itself, no less than from care and fear." The life he describes-so
obedience to those positive commandments disciplined and moderated that all but the
which God has revealed to man. Aquinas seems simplest pleasures are relinquished in the effort
to think that violation of the natural law is as to avoid pain-seems to leave no place for
much a sin as violation of the divine law. Both obligation or social responsibility.
involve a rupture of that order laid down by In the much more elaborate moral philosophy
God, the one "in relation to the rule of reason, of Aristotle, virtue entails moderation in the
in so far as all our actions and passions should be avoidance of pain as well as in the pursuit of
commensura te wi th the rule of reason, " the other pleasure. Though he admits that "most pleas-
"in relation to the rule of the divine law." Thus, ures might perhaps be bad without qualifica-
in all moral matters, it would appear that duty tion," Aristotle claims that "the chief good,"
is, in Wordsworth's phrase, "stern daughter of which is happiness, "would involve some
the voice of God." If the na turallaw commands pleasure." But even as a good, pleasure is
us to use our faculties to the ends for which they not the only good, for there are other objects
were created, then the possession of a mind im- of desire.
poses upon us what Socrates in the Apology The happy man, according to Aristotle, is
calls man's "duty to inquire." If we fail to seek one who somehow succeeds in satisfying aU his
the truth, we sin against God by sinning against desires by seeking the various kinds of goods in
our nature, even though "Thou shalt seek the some order and relation to one another. Happi-
truth" is nowhere explicitly prescribed in Holy ness itself is something that "we choose always
Writ. for itself and never for the sake of something
else." Although we may also choose other things
ETHICAL DOCTRINES can be classified according in some sense for themselves, such as "honor,
to the role which they assign to duty as a moral pleasure, reason, and every virtue," still they
principle. There is perhaps no more fundamen- are chosen "for the sake of happiness," ,since we
tal issue in moral philosophy than that between judge them as "the means by which we shall be
the ethics of duty and the ethics of pleasure or happy."
happiness. This issue obviously belongs to the In Aristotle's ethics of happiness, duty is not
chapters on HAPPIN,ESS and PLEASURE as well entirely excluded, but neither is it given any
as the present one. All three must be read to- independent significance. As we have seen, it is
gether-and perhaps also the chapters on DE- merely an aspect of the virtue of justice, and
SIRE, LAW, and VIRTUE-tO complete the pic- amounts to no more than the just man's ac-
ture. knowledgment of the debt he owes to others;
According to the morality of duty, every act or his recognition that he is under some obliga-
is to be judged for its obedience or disobedience tion to avoid injuring other men and to serve
to law, and the basic moral distinction is be- the common good.
tween right and wrong. But where pleasure or At the other extreme, there is the position
happiness are central, the basic distinction is which identifies the sense of duty with the
between good and evil, and desire rather than moral sense. In the Stoicism of Marcus Aurelius
law sets the standard of appraisaL An analysis and Epictetus, to live well is to do one's duty,
of means and ends and a theory of the virtues and to set aside aU contrary desires. "It is thy
are usually found in the ethics of happiness, as duty," the Emperor writes, "to order thy life
a theory of conscience and sanctions is usually well in every single act; and if every act does its
prominent in the ethics of duty. duty, as far as is possible, be content; and no one
At one extreme, there is the position which is able to hinder thee so that each act"shaU not
totally excludes the concept of duty. This fact do its duty." Man is not destined to be happy;
more than any other characterizes the Epicure- his happiness consists rather in doing what is
anism of Lucretius. The good life for him is one required of him at his post of duty in the order
where "nature craves for herself no more than of the universe. The only good is a good will,
CHAPTER 19: DUTY 363
a dutiful will, a will which conforms itself to the moral can therefore consist in nothing else than
law of nature. the conception of law in itself, which certainly
Kant's much more elaborate moral philos- is only possible in a rational being in so far as
ophy presents the same fundamental teachings. this conception, and not the expected effect,
This is indicated by the fact that he associates determines the will."
what he calls eudaemonism (i.e., the ethics of This law, which is the source of duty and of
happiness) with hedonism (i.e., the ethics of all moral action, is Kant's famous "categorical
pleasure). Happiness, he writes, is "a rational imperative"-or, in other words, reason's un-
being's consciousness of the pleasantness of life conditional command. According to its decree,
uninterruptedly accompanying his whole ex- Kant declares, "I am never to act otherwise
istence," and its basis is "the principle of self- than so that I could also will that my maxim
love." Therefore, according to Kant, both eu- should become a universal law." By obeying
daemonism and hedonism commit the same the categorical imperative, we can know and do
error. Both "undermine morality and destroy our duty and rest assured that our will is mor-
its sublimity, since they put the motives to ally good. "I do not, therefore, need any far-
virtue and to vice in the same class, and only reaching penetration to discern what I have to
teach us to make a better calculation." Both do," Kant writes, "in order that my will may
admit desire as a moral criterion of good and be morally good. Inexperienced in the course
evil. Both are utilitarian in that they are con- of the world, incapable of being prepared for
cerned with consequences, with means and ends. all its contingencies, I only ask myself: Canst
Both measure the moral act by reference to the thou also will that thy maxim should be a uni-
end it serves. versallaw? If not, then it must be rejected, and
For Kant, "an action done from duty de- that not because of a disadvantage accruing
rives its moral worth, not from the purpose from it to myself, or even to others, but because
which is to be attained by it, but from the it cannot enter as a principle into a possible
maxim by which it is determined, and there- universal legislation. "
fore does not depend on the realization of the To say that a man ought to do this or refrain
object of the action, but merely on the principle from doing that in order to achieve happiness is,
of volition by which the action has taken place, for Kant, at best a conditional obligation, ulti-
without any regard to any object of desire .... mately a specious one since he is not uncon-
Duty," he goes on to say, "is the necessity of ditionallyobliged to be happy. Kant does not
acting from respect for the law." From this he totally exclude happiness or the summum bo-
argues that duty, and consequently all moral num. In fact he says that there is no need to
action, must be done because it is right, because maintain "an opposition" between them and
the law commands it, and for no other reason. morality. But he claims that "the moment duty
The recommendation of any action solely on is in question we should take no account of
the ground that it will contribute to happiness happiness." Just as Aristotle treats duty only in
as satisfying the inclination of the person and terms of justice, so Kant considers happiness to
achieving the object of the will, is completely have a moral quality only insofar as to be
ruled out. That would be a judgment of pure worthy of it is an end set by the moral law.
expediency. Worse than not moral, it is, in the
opinion of Kant, immoral. Two OTHER voices join in this great argument
"An action done from duty," Kant writes, concerning duty and happiness. One is that of
"must wholly exclude the influence of inclina- John Stuart Mill, whose Utilitarianism recog-
tion, and with it every object of the will, so that nizes Kant as the chief opponent of an ethics of
nothing remains which can determine the will happiness. Though Mill differs from Aristotle
except objectively the law, and subjectively on many points, particularly in regard to the
pure respect for this practical law, and conse- virtues as means to happiness, Mill's answer to
quently the maxim that I should follow this Kant can be read as a defense of Aristotle as
law even to the thwarting of all my inclina- well as of his own theory.
tions .... The pre-eminent good which we call From Kant's point of view, they are both
364 THE GREAT IDEAS
utilitarians. They both argue in terms of means is a constant theme in the great poems. It is
and ends. They both make purely pragmatic, pivotal to the plot of most of the great love
not moral, judgments-judgments of expedi- stories. It is a theme of tragedy, for in which-
ency instead of judgments of right and wrong. ever direction the tension is resolved-whether
From Mill's point of view, Aristotle like him- in the line of duty (as by Aeneas forsaking
self needs no other principle of morality than Dido) or in disobedience to law (as by Adam
happiness, an ultimate end which justifies every yielding to Eve in Paradise Lost)-ruin results.
means that tends towards its realization. "The The tragedy of being both rational and ani-
ultimate sanction of all morality, external mo- mal seems to consist in having to choose between
tives apart," Mill writes, "is a subjective feeling duty and desire rather than in making any par-
in our own minds." He asserts that "when once ticular choice. It may be significant, however,
the general happiness is recognized as the ethical that the tragic heroes of poetry more frequently
standard," it will appeal to "a powerful natural abandon duty than desire or love, though sel-
sentiment." Man's nature as a social being, he dom without mortal punishment, preceded by
holds, "tends to make him feel it one of his a deep sense of their transgression. Sometimes,
natural wants that there should be harmony however, they are self-deceived, and cloak de-
between his feelings and aims and those of his sire in the guise of duty.
fellow-crea tures." There is another source of tragic conflict in
This conviction, in persons who have it, the sphere of duty. Men are torn by competing
"does not present itself to their minds as a loyalties, obligations which pull them in oppo-
superstition of education, or a law despotically site directions. In the basic relationships of the
imposed by the power of society, but as an family, the duty a man owes to his parents often
attribute which it would not be well for them cannot be discharged without violating or ne-
to be without." This conviction, rather than glecting obligations to his wife. When the moral
an internal sense of obligation or fear of external law and the law of the state command contrary
sanctions imposed by a superior power,is for actions, duty is weighed against duty in an
Mill "the ultimate sanction of the greatest hap- ordeal of conscience. Sometimes, however, one
piness morality"-which aims at the greatest obligation seems to take clear precedence over
happiness for the greatest number. another, as in the mind of Sophocles' Antigone,
Where Mill answers Kant by excluding duty for whom the king's edict loses its authority
-even from considerations of justice-Aquinas when it runs counter to the law of God. Creon
seems to develop an analysis in which every the king, not Antigone his subject, may be the
moral act can be regarded as obeying or dis- play's more tragic personage. He sacrifices a
obeying the natural law and yet, at the same dearly beloved son to uphold the authority he
time, be judged as a means which serves or fails considers it his duty asa ruler to maintain.
to serve the ultimate end of man's natural de- If man is not a rational animal or if, whatever
sire. "The order of the prei:epts of the natural his nature, reason is not its ruling principle,
law is," in the words of Aquinas, "according to then the sense of duty would appear to be an
the order of natural inclinations." The dilemma imposture that draws its driving force from
set up by the' opposition between duty and the emotional energies with which certain man-
happiness seems to be denied, or at least avoided, made rules of conduct are invested. Rather than
by a theory which finds a perfect parallelism acting as a counterweight to desire, duty is
between the precepts of natural law and the itself the shape which certain desires take to
objects of natural desire, a parallelism resulting combat others.
from their common source in the creation of Conscience, or the super-ego, according to
human nature by God. Freud, is born of the struggle between the ego
and the id. Translated into "popular language,"
THE TENSION between duty and desire-be- Freud tells us, "the ego stands for reason and
tween obedience to rules of conduct and un- circumspection, while the id stands for the un-
restrained indulgence-is one of the burdens tamed passions." What may originally have had
which no other animal except man must bear. It a necessary function to perform in the psychic
CHAPTER 19: DUTY 365
economy can grow to play too dominant a part. office as well as vested with its authority and
For the psychoanalyst, not tragedy but neurosis power. The office-holder, duty-bound by the
results from an overdeveloped sense of duty. constitution, is not an absolute ruler. He is, in
When "the ego [is] forced to acknowledge its fact, a servant of the state, not its master. The
weakness," Freud explains, it "breaks out into mediaeval king who pledged himself in his coro-
anxiety: reality anxiety in face o(the exterlU\1 nation oath to discharge the duties of his office
world, normal anxiety in face of the super-ego, may not have been bound by human law, but
and neurotic anxiety in face of the strength of so long as his conscience kept him loyal to his
the passions'in the id." pledge, he recognized the supremacy of the
natural law or of the law of God. The self-
THE RELATIO~ of ruler and ruled in the domes- governing citizen of a republic is similarly duty-
tic or the political community may seem at first bound only when he recognizes the supremacy
to impose duties or obligations only on the of the common good.
ruled. The ruler commands.' His subjects are According to the theory of constitutional
obliged to obey. Does the ruler in turn have no ' government, rights and duties are correlative.
duties, no obliga tions to thOse whom he governs? The acknowledgment of duties signifies that the
If he has none, then neither have the persons he holder of rights recognizeS their limited or con-
rules rights which he must respect. Such abso- ditional character: To consider oneself entirely
lute rule-defined by a correlative absence of exempt from duties or obligations is to regard
duties in the iuler and rights in the ruled-has one's rights as absolute. Can anyone have abso-
been one conception of the relation between lute rights except on condition of being with-
master and slave. " out a superior of any sort? One implied answer
In the state rulers who are merely office- to this question is that neither despot nor state,
holders are obligated by the duties of their but only God, is autonomous or without duty.
OUTLINE OF TOPICS
PAGE
I. The cOncept of duty or obligation: its moral significance
2. Comparison of the ethics of duty with the ethics of happiness, pleasure, or utility
3. The divisions of duty: in ternal and external duty; the realms of ethics and jurisprudence 367
S'. The tenSion between duty and insti~ct, desire, or love 370
9. The duties of command and obedience in family life 37 1
10. Political obligation: cares, functions, loyalties
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-283) i2d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS;: When the text is printed in one column, the letters a and b refer to the
. upper and lower halves of the page. For example, in 53 JAMES: Psych%gy, 116a-119b,the passage
begins in the upper half of'page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
handsideof the page. the letters c and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-l64c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-283) 12d.
. BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or \'erses, the King
James version is cited first and the Douay, indicated by a CD). follows; e.g .. OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46. '
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: Other discussions of the issue between the ethics of duty and the ethics of happiness or pleas-
ure, see HAPPINESS 3; ,PLEASURE AND PAIN 6-6a, 8b.
Matters relevant to this issue, see DESIRE 2b, 3a; GOOD AND EVIL 3a-3b(2); JUSTICE Ie-If,
4; LAW 3a(I), 4-4a, 4c-4d; TEMPERANCE 3; VIRTUE AND VICE Id, 6a; WILL 8b(2), 8c-8d.
Other treatments of conscience, both psychological and ethical, see HONOR 2a; PUNISHMENT
5C; SIN 5; TEMPERANCE 3.
The consideration of duty in relation to law, justice, and rights, see GOD 3d; JUSTICE Ie, 3,
II b; LAW 2, 4a, 4C-4d, 6a; RELIGION 2; WILL 8d.
The conflict between duty and desire or love, see DESIRE 6a-6b; LOVE 3C'
The treatment of specific duties, domestic, political, and religious, see CITIZEN 4; FAMILY 6d;
GOD 3d; JUSTICE lib; RELIGION 2; STATE 8a; TRUTH 8e.
ADDITIONAL READINGS
Listed below are works not included in Great Books of the Western World, but relevant to the
. idea and topics with which this chapter deals. These works are divided into two groups:
INTRODUCTION
T HE great books assembled in this set are Plato's Republic, Aristotle's Politics, Augustine's
offered as means to a liberal or general Christian Doctrine, Bacon's Advancement oj
education. The authors of these books were Learning,. Adam Smith's Wealth oj Nations,
educated men; more than that, they typified Hegel's Philosophy oj Right, and the psychologi-
the ideal of education in their various epochs. cal writings of James and Freud. But in no case
As their writings reveal, their minds were large- is education the principal theine of these books,
ly formed, or at least deeply impressed, by as it is for most of the works cited in the list of
reading the works of their predecessors. Many Additional Readings, among which will be
of them were related as teacher and student, found treatises on education by authors in this
sometimes through personal contact, sometimes set.
only through the written word. Many of them
were related as divergent disciples of the same EDUCATION IS not itself so much an idea or a
master, yet they often differed with him as subject matter as it is a theme to which the
well as with one another. There is scarcely one great ideas and the basic subject matters are
among them-except Homer-who was not relevant. It is one of the perennial practical
acquainted with the minds of the others who problems which men cannot discuss without
came before him and, more often than not, engaging in the deepest speculative considera-
profoundly conversant with their thought. tions. It is a problem which carries discussion
Yet not one of the writings in this set is into and across a great many subject matters-
specifically a treatise on education, except Mon- the liberal arts of grammar, rhetoric, and logic;
taigne's essay OJ the Education oj Children. psychology, medicine, metaphysics, and theol-
Some of these authors speak more or less fully ogy;. ethics, politics, and economics. It is a
of their own education, as does Marcus Aurelius problem which draws into focus many of the
in the opening book of his Meditations, Augus- great ideas-virtue and truth, knowledge and
tine in his Cotifessions, Descartes in his Dis- opinion, art and science; desire, will, sense,
course, and Boswell. Others refer to their edu- memory, mind, habit; change and progress;
cational experience in fictional guise, as does family and state; man, nature, and God.
Aristophanes in the argument in the Clouds This can be verified by noting the diverse
between the Just and Unjust Discourses; or contexts in which education is discussed in the
Rabelais when he tells of Gargantua's school- great books. In each connection we shall find
ing in Gargantua's letter to Pantagruel. Some- some of the special questions which together
times they report the way in which other men make up the complex problem of education.
were trained to greatness, as does Plutarch; For example, the nature of teaching and learn-
or, like Gibbon, Hegel, and Mill, they de- ing is examined in the wider context of psy-
scribe and comment on the historic systems of chological considerations concerning man's
education. abilities, the way in which knowledge is ac-
In still other instances the great books con- quired, and how it is communicated by means
tain sections or chapters devoted to the ends of language or other symbols. Different con-
and means of education, the order of studies, ceptions of the nature of man and of the rela-
the nature of learning and teaching, the train- tion of his several capacities surround the ques-
ing of statesmen and citizens; as for example, tion of the ends of education. In this context
376
CHAPTER 20: EDUCATION 377
questions also arise concerning the parts of takes precedence over individual happiness,
education-the training of man's body, the then education must be directed to training
formation of his character, the cultivation of men for the role they playas parts of a larger
his mind-and how these are related to one organism. Education then serves the purpose of
another. preserving the state. Of all things, Aristotle
The whole theory of the virtues. and of habit says, "that which contributes most to the per-
formation is involved in the question whether manence of constitutions is the adaptation of
virtue can be taught or must be acquired in education to the form of government .... The
some other way, and in related questions about best laws," he continues, "though sanctioned
the influence of the family and the state on by every citizen of the state, will be of no avail
the growth of character. These questions are unless the young are trained by habit and edu-
also asked in terms of general political theory. cation in the spirit of the constitution:'
Different views of the state are involved in Rousseau seems to take a similar view when
questions about the division of responsibility he calls for a system of public education run
for education among various agencies. Ques- by the state. Its object is to assure that the
tions about the purpose of education, and what citizens are "early accustomed to regard their
sort of education shall be given to the diverse individuality only in its relation to the body
classes in the state, are differently raised and of the state, and to be aware, so to speak, of
differently answered in the context of discus- their own existence merely as a part of that
sions of different forms of government. of the state." Taught in this way, the citizens,
Though they are far from exhaustive, these Rousseau claims, "might at length come to
examples should nevertheless suffice to make identify themselves in some degree with this
the point that there can be no philosophy of greater whole,; to feel themselves members of
education apart from philosophy as a whole. their country, and to love it with that ex-
It may therefore not be a disadvantage to find quisite feeling which no isolated person has
the discussion of education in the great books save for himself."
almost always imbedded in the context of some If happiness cannot be fully achieved on
more general theory or problem. earth, then whatever temporal ends education
serves must themselves be ordered to eternal
ONE OPINION FROM which there is hardly a salvation, and the whole process of human
dissenting voice in the great books is that edu- development must be a direction of the soul
cation should aim to make men good as men to God. "What did it profit me," Augustine
and as citizens. "If you askwhat is the good of asks in his Confessions, "that all the books I
education," Plato writes, "the answer is easy- could procure of the so-called liberal arts, I,
that education makes good men, and that good the vile slave of vile affections, read by myself
men act nobly, and conquer their enemies in and understood? ... For I had my back to the
battle, because they are good." Men should light, and my face to the things enlightened;
enter upon learning, Bacon declares, in order whence my .face, with which I discerned the
"to give a true account of their gift of reason, things enlightened, was not itself enlightened.
to the benefit and use of men"; while William Whatever was written, either on rhetoric, or
James stresses the need for "a perfectly-rounded logic, geometry, music and arithmetic, by my-
development." Thus it would seem to be a self without much difficulty or any instructor,
common opinion in all ages that education I understood, Thou knowest, 0 Lord my God;
should seek to develop the characteristic ex- because both quickness of understanding and
cellences of which men are capable and that its acuteness in discerning, is Thy gift; yet did I
ultimate ends are human happiness and the not thence sacrifice to Thee." Wherefore, Au-
welfare of society. gustine concludes concerning this stage of his
Within this area of general agreement there learning, "it served not to my use but to my
are, of course, differences which result from the perdition." But Augustine does not therefore
different views that are taken of man's relation conclude that, under no circumstances, can
to the state or to God. If the good of the state liberal education be put to good use. In his
378 THE GREAT IDEAS
treatise On Christian Doctrine, he considers in industry-the training they may need to per-
detail how the liberal arts, which serve so well form these functions does not fully develop
in the study of Sacred Scripture, may also serve their common humanity. It is not adequate to
to bring the soul to God. make them good as men, as citizens, or as
children of God.
SUCH DIFFERENCES DO NOT, however, annul The traditional meaning of the word "lib-
one consequence of the general agreement, eral" as applied to education entails a distinc-
namely, the conception that education is con- tion between free men and slaves. Slaves, like
cerned with the vocation of man, and pre- domesticated animals, are trained to perform
pares him in thought and action for his purpose special functions. They are not treated as ends,
and station in life. In these terms Adam Smith but as means, and so they are not educated for
argues for a minimum general education. He their own good, but for the use to which they
claims that "a man without the proper use of are put. This is true not only of slaves in the
the intellectual faculties of a man, is, if pos- strict sense of household chattel; it is also true
sible,more contemptible than even a coward, of all the servile classes in any society which
and seems to be mutilated and deformed in a divides its human beings into those who work
still more essential part of the character of in order to live and those who live off the work
human nature." He explicitly points out that of others and who therefore have the leisure in
this is the condition of "the great body of the which to strive to live well.
people," who, by the division oflabor, are con- In accordance with these distinctions, Aris-
fined in their employment "to a few very sim- totle divides education into "liberal" and "il-
ple operations," in which the worker "has no liberal." Certain subjects are illiberal by na
occasion to exert his understanding, or to exer- ture, namely, "any occupation, art, or science,
cise his invention in finding out expedients for which makes the body or soul of the freeman
removing difficulties which never occur." The less fit for the practice or exercise of virtue."
result, according to Smith, is that "the torpor In this category Aristotle includes "those arts
of his mind renders him, not only incapable which tend to deform the body, and likewise
of relishing or bearing a part in any rational all paid employments, for they absorb and
conversation, but of conceiving any generous, degrade the mind."
noble, or tender sentiment, and consequently It is not only the nature of the subject, but
of forming any just judgment concerning also the end which education serves, that de-
many even of the ordinary duties of private termines whether its character is liberal or
life. " illiberal. Even a liberal art becomes, in Aris-
When the vocation of man is thus under- totle's opinion, "menial and servile ... if done
stood, a general or liberal education is voca- for the sake of others." A man's education "will
tional in that it prepares each man for the com- not appear illiberal" only so long as "he does
mon conditions and callings of human life. In or learns anything for his own sake or for the
this sense specialized training, which by im- sake of his friends, or with a view to excel-
plication at least seems to be the object of lence." In other words, to be liberal; education
Smith's criticism, is not vocational. It fits a must serve the use of leisure in the pursuit of
man only for some specialized function, ac- excellence. It must treat man as an end, not as
cording to which he or his social class is differ- a means to be used by other men or by the
entiated from some other man or class. state.
In our day, the word "vocational" is used It follows that any society which abolishes
in the opposite sense to mean specialized train- the distinction of social classes and which calls
ing, whether it is preparation for the least all men to freedom, should conceive education
skilled of trades or for the most learned of as essentially liberal and for all men. It should,
professions. Since all men are not called to the furthermore, direct education, in all its parts
practice of law or medicine-any more than all and phases, to the end of each man's living well
are called to productive work in the various rather than to the end of his earning a living
arts and crafts, or the tasks of commerce and for himself or others.
CHAPTER 20: EDUCATION 379
IN THE CLASSIFICATION of the kinds of educa- ing of the soul." Gymnastic as well as music, he
tion, the word "liberal" is frequently used in a claims, has "in view chiefly the improvement
more restricted sense to signify not all education of the soul," and he considers the two as bal-
designed for free men, but only the improve- ancing and tempering one another.
ment of the mind through the acquisition of Whether they produce competence in gym-
knowledge and skill. In this sense liberal educa- nastic or athletic feats, or, like the manual arts,
tion is set apart from physical education which proficiency in productive work, all bodily skills,
concerns bodily health and proficiency, and even the simplest, involve the senses and the
moral education which concerns excellence in mind as well as bones and muscles. They are
action rather than in thought. arts no less than music or logic. Apart from their
These divisions are clearly made, perhaps for utility, they represent a certain type of human
the first time, in Plato's Republic. The educa- excellence, which will be denied only by those
tion described there begins in the early years who can see no difference between the quality
with music and gymnastic. Gymnastic "pre- of a racehorse and the skill of his rider. Whether
sides over the growth and decay of the body." these skills aswell as other useful arts are part of
Music, which includes literature as well as the liberal education in the broader sense depends,
arts of harmony and rhythm, is said to educate as we have seen, on the end for which they are
its students "by the influence of habit, by taught or learned, Even the arts which are
harmony making them harmonious, by rhythm traditionally called liberal, such as rhetoric or
rhythmical," and its function is to develop logic, can be degraded to servility if the sole
moral as well as aesthetic sensibilities. motive for becoming skilled in them is wealth
The second part of Plato's curriculum; won by success in the law courts.
"which leads naturally to reflection" and draws
"the soul towards being," consists in the mathe- IN THE TWO traditional distinctions so far dis-
matical arts and sciences of arithmetic, geome- cussed, "liberal education" seems to have a
try, music, and astronomy. The program is somewhat different meaning when it signifies
capped by the study of dialectic, to which all the opposite of servile training and when it
the rest is but "a prelude"; for "when a person signifies the opposite of moral cultivation. In
starts on the discovery of the absolute by the the first case, the distinction is based upon the
light of reason only, and without any assistance purpose of the education; in the second, it
of sense, and perseveres until by pure intelli- refers to the faculties or functions being cul-
gence he arrives at the perception of the ab- tivated. When the second is stated in terms of
solute good, he at last finds himself at the end the distinction between the intellectual and
of the intellectual world." the moral virtues, liberal (i.e., intellectual)
Up to this point. the program can be taken education is conceived as aiming at good habits
as liberal education in the narrow sense oflearn- of thinking and knowing, and moral education
ing how and what to think. The fifteen years of is thought of as aiming at good habits of will,
experience in civic affairs and the tasks of gov- desire, or emotion, along with their conse-
ernment, which Plato interposes at the age of quences in action.
thirty-five, seem to function as another phase Although he does not use these terms, Mon-
of moral training. This period provides "an taigne seems to have the contrast between
opportunity of trying whether, when they are moral and intellectual training in mind when
drawn all manner of ways by temptation, they he criticizes the education of his day for aiming
will stand firm or flinch." "at nothing but to furnish our heads with
To the extent that physical training aims, knowledge, but not a word of judgment and
beyond health, at the acquirement of skill in virtue." It is, to him, a "pedantic education,"
a coordinated use of one's body, it can be an- which not only fails to achieve the highest edu-
nexed to liberal rather than moral education. cational purpose, but also results in a great
Plato notes, for example, that gymnastic should evil, in that "all knowledge is hurtful to him
not be too sharply distinguished from music who has not the science of goodness."
as "the training of the body" from the "train- A too sharp separation of the intellectual
380 THE GREAT IDEAS
and the moral may be questioned;' or at least cal theories of the good man and the good life,
qualified .. by those whoi like Socrates, tend toand according to differing enumerations and
identify knowledge and virtue. Yet they sel- definitions of the virtues. It will differ even
dom go to the opposite extreme of supposing more fundamentally according to whether the
that no distinction can be made between the primary emphasis is placed on pleasure and
task of imparting knowledge to the mind and happiness or duty. The parties to this basic
that of forming character. Socrates, for exam- issue in moral philosophy, which is discussed
ple, in the Meno, recognizes that a man cannot in the chapters on DUTY and HAPPINESS, in-
be made temperate, courageous, or just in the evitably propose different ways of forming
same way that he can be taught geometry. good character-by strengthening the will in
From another point of view, the notion of obedience to law, or by habituating the ap-
moral training is questioned by those who, like petites to be moderate or reasonable in their
Freud, think that the patterns of human desire inclinations.
or emotion can be beneficially changed apart On either theory, the basic problem of moral
from moral discipline. It is the object of psy- education is whether morality can be taught
choanalysis, he writes, "to strengthen the ego, and how. The Greeks formulated this question
to make it more independent of the super-ego, in terms of virtue, by asking whether such
to widen its field of vision, and so to extend its
things as courage and temperance are at all
organization that it can take over new portions teachable, as geometry and horsemanship
of the id." To do this is radically to alter the plainly are. The problem remains essentially
individual's behavior-pattern. "It is reclama- the same if the question is how the will can be
tion work," Freud says, "like the draining of trained. Can it be trained by the same methods
the Zuyder Zee." Emotional education, so as those which work in the improvement of the
conceived, is therapeutic-more like preven- understanding?
tive and remedial medicine than moral training. The answer to the question, whichever way
Religious education is usually regarded. as it is formulated, depends on the view that is
both intellectual and moral, even as the science taken of the relation between moral knowl-
of theology is said to be both speculative and edge and moral conduct. Do those who under-
practical. Citing the admonition of St. James, stand the principles of ethics or who know the
"Be ye doers of the word, and not hearers moral law necessarily act in accordance with
only," Aquinas holds that religious education their knowledge? Can a man know what is good
is concerned with the knowledge not only of or right to do in a particular case, and yet do
"divine things" but also of the "human acts" the opposite? St. Paul seems to suggest this
by which man comes to God. Since man is when he says, "For the good that I would I do
infinitely removed from God, he needs for this not: but the evil which I would not, that I do."
purpose the grace of God, which, according to If something more than knowledge or straight
Aquinas, "is nothing short of a partaking of the thinking is needed for good conduct, how is it
divine nature." acquired and how can one man help another to
Both on the side of man's knowledge of God acquire it? Certainly not by learning and teach-
and on the side of his love and worship.of God, ing in the ordinary sense which applies to the
religious education involves the operation of arts and sciences. Then how-by practice, by
supernatural factors-revelation, grace; sacra- guidance or advice, by example, by rewards and
ments. Hence God is Himself the primary punishments; or if by none of these, then by a
source of religious education. But as the dis- gift of na ture or by the grace of God?
penser of the sacraments whereby "grace is in- These questions are necessarily prior to any
strumentally caused," the church, according to discussion of the role of the family, the state,
Aquinas, functions instrumentally in the serv- and the church in the process of moral training.
ice of the divine teacher. They alsO provide the general background for
the consideration of particular influences on
THE CONCEPTION OF THE means and ends of character formation in men and children, such
moral education will differ with different ethi- things as poetry and music, or laws and cus-
CHAPTER 20: EDUCATION 381
toms. All of these related problems of moral tract Concerning the Teacher, between the art
education have a political aspect, which ap- of teaching and the art of healing. Both are co-
pears in the issue concerning the state's right operative arts, arts which succeed only as "min-
to censor or regulate the arts for morality's isters of nature which is the principal actor,"
sake; in the question of the primacy of the and not by acting, like the art of the cobbler or
family or the state in the moral guidance of the sculptor, to produce a result by shaping plastic
young; in the distinction between the good but dead materials.
man and the good citizen or ruler, and the The comparison which Hippocrates makes of
possible difference between the training appro- instruction in medicine with "the culture of
priate for the one and for the other. the productions of the earth" exhibits the same
conception of teaching. "Our natural disposi-
THE MAIN PROBLEM of intellectual education tion," he writes, "is, as it were, the soil; the
seems to be the curriculum or course of study. tenets of our teacher are, as it were, the seed;
The traditional attempts to construct an ideal instruction in youth is like the planting of the
curriculum turn on such questions as what seed in the ground at the proper season; the
studies shall be included, what shall be their place where the instruction is communicated
order, and how shall they be taught or learned. is like the food imparted to vegetables by the
A variety of answers results from a variety of atmosphere; diligent study is like the cultiva-
views of man's faculties or capacities, the nature tion of the fields;.and it is time which imparts
of knowledge itself, the classification and order strength to'all things and brings them to ma-
of the arts and sciences. Especially important turity."
are the various conceptions of the nature and This conception of teaching as a cooperative
function of the liberal arts. Subordinate ques- art, analogous to medicine or to agriculture,
tions concern the place of the fine and useful underlies the principles of pedagogy in the
arts in liberal education, and the role of ex- Great Didactic of Comenius. It gives signifi-
perience and experiment-both in contrast to cance to the distinction that Aquinas makes be-
and in cooperation with the role of books and tween learning by discovery, or from experi-
teachers. ence, and learning by instruction, or from a
In addition to the problem of the curriculum teacher-even as a person is healed "in one way
and its materials, the rheory of intelkctual edu- by the operation of nature alone, and in
cation necessarily considers methods of teach- another by nature with the administration of
ing and learning. Here the various proposals medicine. "
derive from different views of the learning In addition to the technical considerations
process-of the causes or factors at work in raised by the nature of the learning process,
any acquisition of skill or knowledge. the discussion of teaching deals with the moral
The contribution of the teacher cannot be or emotional aspect of the relation between
understood apart from a psychological analysis teacher and student. Without interest, learn-
of learning, for the teacher is obviously only ing seldom takes place, or if it does, it cannot
one among its many causes. It makes the great- rise above the level of rote memory. It is one
est difference to the whole enterprise of learn- thing to lay down a course of study; another to
ing whether the teacher is regarded as the motivate the student. Though he does not
principal cause of understanding on the part hesitate to prescribe what is to be learned by
of the student; or whether the teacher is, as the student, Plato adds the caution that there
Socrates describes himself, merely "a midwife" must be no "notion of forcing our system of
assisting the labor of the mind in bringing education."
knowledge and wisdom to birth, and "thor- More than interest is required. Teaching,
oughly examining whether the thought which Augustine declares, is the greatest act of char-
the mind . . . brings forth is a false idol or a ity. Learning is facilitated by love. The cour-
noble and true birth." tesies between Dante and Virgil in the Divine
This Socratic insight is later reformulated in Comedy present an eloquent picture of love
the comparison which Aquinas makes, in his between student and teacher, master and dis-
382 THE GREAT IDEAS
ciple. Not only love, but docility, is required its citizen." Yet he deprecates the idea of a
on the part of the student; and respect for the "general state education" as a "mere contriv-
student's mind on the part of the teacher. In- ance for moulding people to be exactly like
tellectual education may not be directly con- one another."
cerned with the formation of character, yet the Discussing the pro's and con's of this issue,
moral virtues seem to be factors in the pursuit Mill touches upon most, if not all, of the ques-
of truth and in the discipline of the learning tions just raised. He believes that the difficul-
process. ties could be avoided if the government would
leave it "to parents to obtain the education
WE HAVE ALREADY noted some of the political where and how they pleased, and content itself
problems of education. Of these probably the with helping to pay the school fees of the
chief question is whether the organization and poorer classes of children, and defraying the
institution of education shall be private or pub- entire school expenses of those who have no
lic. Any answer which assigns the control of one else to pay for them." Schools completely
education largely or wholly to the state must established and controlled by the state, he
lead to a number of other determinations. maintains, "should only exist, if they exist at
Who shall be educated, all or only some? all, as one among many competing experiments,
Should the education of leaders be different carried on for the purpose of example' and
from the education of others? If educational stimulus, to keep the others up to a certain
opporumity is to be equal for all, must the standard of excellence."
same kind as well as the same quantity of edu- So far as the problem of adult education
cation be offered to all? And, in every case, to concerns citizenship, Mill's answer, like Mon-
wha t end shall the state direct the education tesquieu's and Plato's before him, is that noth-
of its members-to its own welfare and secur- ing can take the place of active participation
ity, or to the happiness of men and the greater in political life. Men become citizens by living
glory of God? Should education always serve and acting as citizens, under the tutelage of
the status quo by preserving extant customs good laws and in an atmosphere of civic vir-
and perpetuating existing forms of govern- tue. So far as the problem of adult education
ment; or can and should it aim at a better so- concerns the continued growth of the mind
ciety and a higher culture? throughout the life of mature men and women,
These are some of the questions with which the answer is not to be found in the grea t books
statesmen and political philosophers have dealt, in the words of their authors. Yet the great
answering them differently according to the books as a whole may constitute a solution to
institutions of their time and in accordance that problem.
with one or another theory of the state and its The authors of these books, from Homer to
government. There are still other questions. Freud, are the great original teachers in the
Is freedom of expression, in teaching and dis- tradition of our culture. They taught one
cussion, indispensable to the pursuit of truth another. They wrote for adults, not children,
and the dissemination of knowledge? To what and in the main they wrote for the mass of men,
extent shall the state control the content and not for scholars in this or that specialized field
methods of education or leave such determina- of learning.
tion to the teaching profession? How shall pub- The books exhibit these teachers at work in
lic education be supported? Should it be car- the process of teaching. They contain, more-
ried beyond childhood and youth to all the over, expositions or exemplifications of the lib-
ages of adult life; and if so, how should such eral arts as the arts of teaching and learning in
education be organized outside of schools? every field of subject matter. To make these
Mill, for example, holds it to be "almost a books and their authors work for us by working
self-evident axiom that the State should re- with them is, it seems to the editors and pub-
quire and compel the education, up to a certain lishers of this set of books, a feasible and de-
standard, of every human being who is born sirable program of adult education.
CHAPTER 20: EDUCATION 383
OUTLINE OF TOPICS
PAGE
I. The ends of education
la. The ideal of the educated man
lb. The disadvantages of being educated
3. The training of the body and the cultivation of bodily skills: gymnastics, manual work
6. The acquisition of techniques: preparation for the vocations, arts, and professions 394
7. Religious education
7a. God as teacher: divine revelation and inspiration
7b. The teaching function of the church, of priests and prophets
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-2831 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in S3 TAMES: Psychology, 116a-1l9b, the passage
begins in the upper half of page 116 and ends in the 'lower half of page 119. When the tex t is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters e and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164e, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-283] 12d.
BIBLE. REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:4S-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a wholereferencc; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: Matters relevant tophysical education or the training of bodily skills, see ART 9bj HABIT 5a j
LABOR 2b.
Matters relevant to moral education, see ART lOa; CUSTOM AND CO,,"VENTION 5bj GOOD AND
EVIL 6aj HABIT 5b; HISTORY 2; KNOWLEDGE 8b(I)j PLEASURE AND PAIN IOaj POETRY 9a j
PUNISHMENT 3aj VIRTUE AND VICE la, 4-4C, 4d(2), 4d(4), 8bj and for the training of
specific virtues, see COURAGE 6j TEMPERANCE 4.
Matters.relevant to liberal education or intellectual training, see ART 6bj HABIT 4a-:4b, 5d j
HISTORY 2j KNOWLEDGE 9aj MAN 6aj MI,,"D 4a-4cj PLEASURE AND PAIN IOaj POETRY.5a,
9aj TRUTH 3d(3)j VIRTUE AND VICE 4b-4Cj and for discussions of the liberal arts, see
LANGUAGE la, 7-8j LOGIC .,3hj MATHEMATICS I b; RHETORIC I b, 2c-2d, 6.
Matters relevant to professional education or training in the useful arts and crafts, see
LAW 9j MEDICINE i, 2Cj PHILOSOPHY 5j RH;ETORIC 6; STATE 8c.
Matters relevant to religious education, see GOD 6c(l}-6c{3); K:\"OWLEDGE 6C('5);PROPH-
ECY IC-Id; RELIGION Ia-Ib(3), 5c; THEOLOGY 2, 4a-4c; VIRTUE AND VICE 8b, 8e;
WISDOM Ie.
The consideration of factors involved in learning and teaching, see EMOTION 5d; EXPERIENCE
2-3b; HABIT 4a-4b; KNOWI-EDGE 4a-4b, 9a; LANGUAGE 8; LOGIC 4j MIND 4Cj PLEASURE
AND PAIN 4C(2); TRUTH 3d(3), 8e; VIRTUE AND VICE 4b-4c.
The role of the family in education, see FAMILY 2C, 6d; VIRTl.'E AND VICE 4d(I).
The role of the state in education, see LAW 6d; VIRTUE A,,"D VICE 4d(3), 7a; and for the
problem of education in relation to different forms of government, see ARISTOCRACY 5j
CITIZEN 6; DEMOCRACY 6; MONARCHY 3a; STATE 8c.
The discussion of freedom.in the communication of knowledge and art, see ART lOb; KNOWL-
EDGE 9bj LIBERTY 2a; OPINIO,," 5b; POETRY 9bj TRUTH 8d .
. ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and ,other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great ldeas.
F. BACON. "Of Custom and Education," "Of Stud-
I. ies." in Essays .'
PLUTARCH. "A Discourse Touching the Training of MILTON. Of Education
Children," in Moralia LOCKE. Some Thoughts Concerning Education
AUGUSTINE. Concerning the Teacher SWIFT. An Essay on Modern Education
AQUINAS. Concerning the Teacher ROUSSEAU. Emile
- - . Summa Theologica. PART II-II, QQ 166-167 GOETHE. William Meister
CHAPtER 20: EDUCATION 399
KANT. Educational Theory FROEBEL. The Education of Man
FARADAY. "Observations on Mental Education," EMERSON. The American Scholar
in Lectures on Education DICKENS. Nicholas Nickleby
J. S. MILL. "Professor Sedgwick's Discourse on the WHEWELL. Of a Liberal Education
Studies of the University of Cambridge," in VOL I, - - . The Elements of Morality, BK v, CH IS
Dissertations and Discussions SCHOPENHAUER. "On Education," in Studies in Pes-
- - . Inaugural Address simism
- - . Autobiography J. H. NEWMAN. The Idea ofa University
- - . University Sketches
SPENCER. Essays on Education and Kindred Subjects,
II.
PART I
XENOPHON. The Education of Cyrus MEREDITH. The Ordeal of Richard Feverel
CICERO. De Oratore (On Oratory) ARNOLD. Culture and Anarchy
QUINTILIAN. Institutio Oratoria (Institutes of Ora- NIETZSCHE. On the Future of Our Educational Insti-
BK I; BK II, CH 1-3; BK x, CH I
tory), tutions
SEXTUS EMPIRICUS. Outlines of Pyrrhonism, BK III, S. BUTLER. The Way of All Flesh
CH 27-32 BAIN. Education as a Science
MARTIAN US CAPELLA. De Nuptiis Philologiae et CLIFFORD. "Virchow on the Teaching of Science,"
Mercurii in VOL II, Lectures and Essays
CASSIODORUS. Institutiones (An Introduction to Di- T. H. GREEN. The Principles of Political Obliga-
vine and Human Readings) tion, (L)
HUGH OF SAINT VICTOR. Didascalicon: De Studio H. ADAMS. The Education of Henry Adams
Legendi MONTESSORI. Method of Scientific Pedagogy
JOHN OF SALISBURY. Metalogicon BRYCE. The Functions of a University
T. MORE. Utopia, BK I SHA w. Pygmalion
LUTHER. To the Councilmen of All Cities in Germany T. VEBLEN. The Higher Learning in America
That They Establish and Maintain Christian Schools WHITEHEAD. The Organization of Thought, CH 1-5
CASTIGLIONE. The Book of the Courtier - - . The Aims of Education
ERASMUS. The Education of a Christian Prince KELSO. The Doctrine of the English Gentleman in the
- - . De Pueris Statim ac Liberaliter Instituendis (On Sixteenth Century
Liberal Education) GORKY. Forty Years-the LiftofClim Samghin, VOL I,
ELYOT. The Governour Bystander
VIVES. On Education B. RUSSELL. Education and the Good Life
IoNATIUS OF LOYOLA. Constitutions - - . Skeptical Essays, XIV
LYLY. Euphues PIUS XI. Divini Illius M agistri (Encyclical on
COMENIUS. The Great Didactic Christian Ed uca tion of You th)
- - . School of Infancy ORTEGA Y GASSET. Mission of the University
FENELON. A Treatise on the Education of Daughters RANK. Modern Education
- - . Adventures of Telemachus JAEGER. Paideia
CHESTERFIELD. Letters to His Son T. S. ELIOT. "Modern Education and the Classics,"
VOLTAIRE. "University," in A Philosophical Dic- in Essays, Ancient and Modern
tionary DEWEY. The School and Society
HELVETIUS. A Treatise on .Man - - . Interest and Effort in Education
FRANKLIN. Autobiography - - . Democracy and Education
LESSING. The Education of the Human Race - - . Experience and Education
GODWIN. An Enquiry Concerning Political Justice, BK RICHARDS. Interpretation in Teaching
v, CH 2 LIVINGSTONE. On Education
SCHILLER. Letters upon the Esthetic Education of Man MEIKLEJOHN. Education Between Two Worlds
PESTALOZZI. How Gertrude Teaches Her Children HUTCHINS. The Higher Learning in America
HERBART. The Science of Education - - . Education for Freedom
JEAN PAUL. Levana MARITAIN. Education at the Crossroads
J. G. FICHTE. Addresses to the German Nation, II-III, V AN DOREN. Liberal Education
IX-XIV BARZUN. Teacher in America
DE QUiNCEY. Letters to a Young Man Whose Edu- HOOK. Educationfor Modern Man
cation Has Been Neglected CONANT. Education in a Divided World
Chapter 2.1: ELEMENT
INTRODUCTION
T HE words "atom" and "element" express
basic notions in the analysis of matter. To
composition and into them it is resolved. The
so-called four elements of the universe in gen-
some extent their meaning seems to be the eral are simple bodies, fire, water, air, and earth;
same. Atoms or elements are usually under- for out of them in the first instance we account
stood to be ultimate units, the parts out of for the constitution of the universe, and into
which other things are formed by combination. them finally we conceive of it as being re,
But as soon as further questions are asked- solved."
about the divisibility or indivisibility of these This explains why books in so many different
units, or about their number and variety-we fields have the word "element" in their titles.
are confronted with differing conceptions of There are the elements of grammar or logic, the
the atom, and with a theory of the elements elements of language or music, the elements of
which is opposed to the atomic analysis of psychology or economics. Elements in one sub-
matter. ject matter or science are analogous to elements
Even when the two notions are not opposed in another because in each sphere they stand to
to one another, they are not interchangeable. everything else as the simple to the complex,
"Atom" has a much narrower meaning. It the pure to the mixed, the parts to the whole.
usually designates a small particle of matter, Thus the factors of price may be said to func-
whereas "element" signifies the least part into tion in economic analysis as do the parts of
which anything at all can be divided. It is this speech in grammatical analysis.
broader meaning of "element" which permits Another illustration comes from the theory
Euclid to call his collection of the theorems in of the four bodily humors in ancient physiol-
terms of which all geometric problems can be ogy. In the traditional enumeration, which
solved, the "elements" of geometry. According goes back to Hippocrates, they are blood,
to Aristotle, this is true, not only of geometrical phlegm, yellow bile, and black bile, and they
proofs, but also "in general of the elements of function analytically as do fire, water, air, and
demonstration; for the primary demonstra- earth in ancient physics. They "make up the
tions, each of which is implied in many demon- nature of the body of man," according to a
strations," he says, "are called elements of Hippocratic treatise on the nature of man,
demonstration." From this it follows that ele- "and through them he feels pain or enjoys
ments will be found in any subject matter or health." Perfect health is enjoyed by a man
science in which analysis occurs, and not only "when these elements are duly proportioned
in physics. to one another in respect of compounding,
"An element," writes Nicomachus in his In- power, and bulk, and when they are perfectly
troduction to Arithmetic, "is the smallest thing mingled." Galen, in an analysis of tempera-
which enters into the composition of an object, ments, explains aU varieties of temperament and
and the least thing into which it can be ana- all complexions of physique in terms of these
lyzed. Letters, for example, are called the ele- humors, either by their mixture or by the pre-
ments of literate speech, for out of them all dominance of one or another. Thus the san-
articulate speech is composed and into them guine, phlegmatic, choleric, or melancholic
finally it is resolved. Sounds are the elements of temperament is accounted for by the excess of
all melody; for they are the beginning of its one and a deficiency of the other humors.
400
CHAPTER 21: ELEMENT 401
Still another physiological application of the The two words are often used as synonyms.
notion of element is to be found in the ancient Lavoisier, for example, says that we can use
division of tissue into flesh and bone, or in the "the term elements, or principles of bodies, to
more elaborate modern analysis of the types of express our idea of the last point which analysis
cells which comprise all living matter. is capable of reaching."
To discover any difference in the meaning of
THESE ILLUSTRATIONS indicate that the irre- "element" and "principle," it is necessary to
ducibility of elements to anything simpler than specify their correlatives precisely. Out of ele-
themselves does not necessarily mean that they ments, compounds or mixtures are formed.
are absolutely indivisible. Cells can be further From principles, consequences are derived. In
divided into nucleus, protoplasm, and mem- logic, for example, we say that terms are the
brane without ceasing to be the elements of elements of propositions (the proposition 'Soc-
tissue. The parts of speech-nouns, verbs, ad- rates is a man' comprising the terms 'Socrates'
jectives- can be further divided into syllables and 'man'), but we say that axioms are the
and letters without ceasing to be the elements principles from which conclusions are derived.
of significant utterance. Letters, treated as the This does not prevent the same thing from be-
elements of language, can be physically divided. ing viewed in different connections as both ele-
The fact that terms are sometimes regarded as ment and principle-as an element because it
the logical elements out of which propositions is the simple part out of which a more complex
and syllogisms are formed does not prevent a whole is composed, and as a principle because it
distinction from being made between simple is the source from which something else is de-
and complex terms. Nicomachus calls the tri- rived. The parts of speech in grammar are the
angle elementary among all plane figures, "for elementary components of phrases and sen-
everything else is resolved into it, but it into tences; they are also the principles from which
nothing else"; yet the triangle is divisible into the rules of syntax are derived.
the lines which compose it and these lines in The third notion which belongs with ele-
turn are divisible into points. ment and principle is cause. Its correlative is
When Nicomachus says that the triangle is effect. Again it can be said that that which is an
the element of all other figures "and has itself element in one connection and a principle in
no element," he does not mean that the tri- another can be regarded as a cause from still a
angle is absolutely indivisible, but only rela- third point of view. In Aristotle's physical trea-
tively so. Relative to the analysi~ of plane fig- tises, for example, matter is regarded inall three
ures, there is no simpler figure, out of which the ways: it is an element of all bodies, for they are
triangle can be formed. Similarly, relative to substances composed of matter and form; it is a
the analysis of significant speech, there is no principle of change, since from matter, form,
simpler part than the word. Relative to the and privation change is derived; it is a cause
analysis of melody, there is no simpleepart than (i.e., the material cause) of certain results.
the tone. Musical tones may be physically, but But it must also be observed that everything
they are not musically, complex. which is anyone of these three is not necessar-
ily both of the others also. Since an element,
THE DEFINITION OF element can also be ap- according to Aristotle, is a "component im-
proached by comparing its meaning with that manent in a thing," anything that is an extrin-
of principle and cause. All three terms are sic principle or cause cannot be an element.
brought together by Aristotle in the beginning Thus the action of one body upon another is a
of his Physics, when he declares that we attain cause and a principle, but not an element. Re-
"scientific knowledge" through acquaintance ferring to these distinctions, Aquinas declares
with the "principles, causes, and elements" of that "principle is a wider term than cause, just
things. as cause is more common than element." The
The word "principle" occurs almost as fre- chapters on CAUSE and PRINCIPLE tend to sub-
quently as "element" in the titles of books stantiate this observation about the scope of
which claim to be basic expositions or analyses. these ideas in the tradition of western thought.
402 THE GREAT IDEAS
THE BASIC ISSUES concerning elements occur In terms of these simple bodies and the ele-
in the analysis of matter. Before Plato and mentary qualities all other material things can
Aristotle, the early Greek physicists had asked be explained.
such questions as, From what do all things In contrast to the elements stand the mixed,
come? Of wha t are all things made? A number or compound, bodies, in the constitution of
of answers were given, ranging from one kind of which two or more elements combine. There
ultimate, such as earth or fire, through a small may be many kinds of mixed bodies, but none
set of ultimate kinds, to an infinite variety. is irreducible in kind, as are the four elements;
The classical theory of the four elements is the any mixed body can be divided into the differ-
middle answer, avoiding the extremes of unity ent kinds of elementary bodies which compose
and infini ty . it, whereas the elementary bodies cannot be
According to Galen, it was Hippocrates who divided into parts which are different in kind
"first took in hand to demonstrate that there from themselves. A living body, for example,
are, in all, four mutually interacting qualities" may contain parts of earth and water, but the
and who provided "at least the beginnings of parts of earth are earth, the parts of water,
the proofs to which Aristotle later set his hand" water.
in developing the theory of the four elements. It is precisely the mode of divisibility that
Galen also indicates that it was a subject of Aristotle declares is "the fundamental ques-
controversy among the ancients whether the tion." In answering this question he opposes the
"substances as well as the qualities" of the theory of the four elements to another Greek
four elements "undergo this intimate mingling" account of the constitution of matter-the
from which results "the genesis and destruc- atomic theory, developed by Leucippus and
tion of all things that come into and pass out Democritus, and expounded for us in Lucretius'
of being." poem On the Nature of Things.
Aristotle, in his treatise On Generation and
Corruption, enumerates the various senses in ACCORDING TO the Greek atomists, matter is
which the physicist considers elements. "We not infinitely divisible. "If nature had set no
have to recognize three 'originative sources' limit to the breaking of things," Lucretius
(or elements)," he writes: "firstly, that which writes, "by this time the bodies of matter could
is potentially perceptible body; secondly, the have been so far reduced ... that nothing
contrarieties (e.g., heat and cold); and thirdly, could within a fixed time be conceived out of
Fire, Water, and the like." The "potentially them and reach its utmost growth of being."
perceptible body" is identified with prime mat- There must then be "a fixed limit to their
ter, and, since this "has no separate existence, breaking" -a limit in physical division which
but is always bound up with a contrariety," ultimately reaches units of matter that are ab-
it can be ruled out from the usual notion solutely indivisible. Lucretius calls them "first
of element. The elementary qualities, the beginnings ... of solid singleness, ... not com-
"contrarieties" named secondly, are the hot pounded out of a union of parts, but, rather,
and cold and dry and moist. The so-called strong in everlasting singleness" -the "seeds of
elements, Fire, Air, Water, and Earth, are left things," or atoms. The Greek word from which
to the last, and are mentioned "only thirdly," "atom" comes literally means uncuttable.
Aristotle says, because they "change into one From this it is evident that Aristotle can
another ... whereas the contrarieties do not deny the existence of atoms while at the same
change." time he affirms the existence of elementary
The elementary qualities "attach them- bodies. The elements, unlike the atoms, are not
selves" by couples to the "apparently 'simple' conceived as indivisible in quantity, but only
bodies." In consequence, Aristotle writes, "Fire as incapable of division into diverse kinds of
is hot and dry, whereas Air is hot and moist ... matter.
and Water is cold and moist, while Earth is In the Greek conception of atom and ele-
cold and dry." Each of them, however, "is ment, the difference between them lies in this
characterized par excellence by a single quality." distinction between quantitative and qualita-
CHAPTER 21: ELEMENT 403
tive indivisibility. The atom is the least quan- still retained when we speak of men struggling
tity of matter. It cannot be broken into quan- against or battling with "the elements."
titative parts. The elementary body is not
atomic. It is always capable of division into "IT WILL NO DOUBT be a matter of surprise,"
smaller units, but all of these units must be of Lavoisier writes in the Preface to his Elements
the same kind as the elementary body under- of Chemistry, "that in a treatise upon the ele-
going division. ments of chemistry, there should be no chapter
The element is indivisible only in the sense on the constituent and elementary parts of
that it cannot be decomposed into other kinds matter; but I shall take occasion, in this place,
of matter, as a mixed body can be decom- to remark that the fondness for reducing all the
posed into its diverse elements. The atom can- bodies in nature to three or four elements,
not be divided in any way. Only compound proceeds from a prejudice which has descend-
bodies can be divided into their constituent ed to us from the Greek philosophers. The
atoms, all of which are alike in kind, differing notion of four elements, which, by the variety
only quantitatively-in size, shape, or weight. of their proportions, compose all the known
Different kinds of matter occur only on the substances in nature, is a mere hypothesis,
level of compounds and as the result of diverse assumed long before the first principles of ex-
combinations of atoms. perimental philosophy or of chemistry had
This last point indicates another contrast any existence." ,
between atoms and elements in ancient physi- This does nOt mean that Lavoisier entirely
cal theory. The elements are defined, as we have rejects the notion of elements in chemical anal-
seen, by their qualitative differences from one ysis. On the contrary, he says that "we must
another; or, more strictly, according to combi- admit, as elements, all the substances into which
nations of elementary sensible qualities-hot we are capable, by any means, to reduce bodies
and cold, moist and dry. By virtue of the quali- by decomposition." His quarrel with the an-
ties peculiar to them, the four elements stand cients chiefly concerns two points. The first is
in a certain order to one another. Water and on the number of the elements, which he thinks
air, according to Plato, are "in the mean be- experiment has shown to be much greater than
tween fire and earth" and have "the same pro- the four of classical theory. The second is on
portion so far as possible; as fire is to air so is the simplicity of the experimentally discovered
air to water, and as air is to water so is water to elements. They can be called atoms or simple
earth."The quality which two of the elements bodies only if we do not thereby imply that we
have in common provides the mean. Thus fire know them to be absolutely indivisible-either
and air are joined by the common quality of qualitatively or quantitatively. We are hot en-
hot; air and water by moist; and water and titled "to affirm that these substances we con-
earth by cold. sider as simple may not be compounded of two,
When their analysis reached its greatest re- or even of a greater number of principles"
finement, the ancients recognized that the merely because we have not yet discovered
earth, air, fire, and water of common experience "the means of separating them."
do not actually have the purity requisite for In modern physics and chemistry, the dis-
elements. They are "not simple, but blended," tinction between element and atom seems to
Aristotle writes, and while the elements "are be abolished. The same unit of matter is at once
indeed similar in nature to them, [they] are both an atom and an element. The table of
not identical with them." The element "corre- atomic weights is also a chart of the elements.
sponding to fire is 'such-as-fire,' not fire; that The classification of atoms is both quantitative
which corresponds to air is 'such-as-air,' and so and qualitative-qualitative in the sense that
on with the rest of them." Thus the four ele- the atoms of different elementary kinds of mat-
ments are only analogous to, for they are purer ter differ in their active properties.
than, ordinary earth, air, fire, and water; yet According to the ancient meaning of the
their names continued to be used as symbols terms, the molecule would seem to be both a
for the true elements, a connotation which is mixture and a compound-mixed, in that it can
404 THE GREAT IDEAS
be broken up into other kinds of matter; com- atomic change; the meaning of "element" has
pound, in that it can be divided into smaller moved equally far from its original sense.
units of matter. But in modern theory the
meanings of "compound" and "mixture" have Do THESE ALTERED meanings change the basic
also changed, the molecule being classified as a issues in the philosophy of nature? Are these
compound rather than a mixture. The combi- issues resolved or rendered meaningless by ex-
nation of the elements to form molecular com- perimental science?
pounds is determined by the proportion of The central point in the theory of elements
their weights or valences rather than by a fu- is an irreducible qualitative diversity in kinds
sion of their qualities. of matter. The elements of modern chemistry
The most radical change in theory is not may no longer be elementary types of matter in
this, however; nor is it the increase in the num- the strict sense of the word; but the kind of dif-
ber of the elements from four to more than ference which would be strictly elemental may
ninety-four; nor the ordering of the elements be found in the distinction of the positive, the
by reference to their atomic weights rather negative, and the neutral with respect to the
than by the contrariety of their qualities. It electrical charge of sub-atomic particles.
results from the discovery that an atom is not . Similarly, the central point in atomism as a
uncut table and that new elements can be pro- philosophy of nature is the existence of ab-
duced by atomic fission. Faraday's experimen- solutely indivisible units or quanta of matter;
tal work in ionization and in electro-chemical in other words, the denial that matter is in-
decomposition lies at the beginning of the finitely divisible, that any particle, no matter
physical researches which have penetrated the how small, is capable of being broken into
interior structure of the atom and isolated smaller parts. The strict conception of the
smaller units of matter. Even before atoms atom is, therefore, not invalidated by the ex-
were experimentally exploded, analysis had pic- perimental discovery that the particles called
tured them as constituted by positive and neg- "atoms" are not atomic, that they are them-
ative charges. selves complex structures of moving particles,
As the result of his researches, Faraday, for and that they can be physically divided.
example, conceives of atoms as "mere centres It makes no difference to the philosophical
of forces or powers, not particles of matter, in atomist whether the particles which constitute
which the powers themselves reside." The atom molecules or the particles-the electrons and
thus ceases to be "a little. unchangeable, im- protons, the neutrons and mesons-which con-
penetrable piece. of matter;" and "consists of stitute"atoms," are atomic. Even if further ex-
the powers" it exercises. What was ordinarily perimental work should succeed in dividing
referred to "under the term shape" becomes these "sub-atomic" particles, the question
the "disposition and relative intensity of the could still be asked: Is matter infinitely divisi-
forces" that are observed. ble, regardless of our actual power to continue
With Faraday it is evident that the meaning making divisions ad infinitum? Since the ques-
of "atom" has departed far from the sense in tion, when thus formulated, cannot be put to
which Lucretius speaks of "units of solid single- experimental test, the issue concerning atoms
ness" or Newton of "solid, massy, hard, im- would remain.
penetrable, movable particles ... incompara- That issue would not refer to any particle of
bly harder .than any porous bodies compounded matter defined at a certain stage of physical
of them; even so very hard as never to wear or analysis or experimental discovery. It would
break in pieces;.no ordinary power being able consist in the opposition of two views of the
to divide what God himself made one in the nature of matter and the constitution of the ma-
first creation." With the conception of the ele- terial. universe: the affirmation, on the one
ments as different kinds of atoms; then, with hand, that truly atomic particles must exist;
the discovery of radio-active elements under- and the denial, on the other, that no particle
going slow disintegration; finally, with the pro- of matter can be atomic. The affirmative argu-
duction of isotopes and new elements through ments of Lucretius and Newton make the con-
CHAPTER 21: ELEMENT 405
stancy of nature and the indestructibility of all "mutually penetrable." He compares the
matter depend on the absolute solidity and combination and separation of two atoms with
impenetrability of matter's ultimate parts. The "the conj\lnction of two sea waves of different
negative arguments of Aristotle and Descartes velocities into one, their perfect union for, a
proceed from the divisibility of whatever is time, and final separation into the constituent
continuous to the conclusion that any unit of waves." Such a view of the constitution of mat-
matter must have parts. ter, Faraday writes, leads to "the conclusion
The philosophical doctrine of atomism, in the that matter fills all space, or at least all space to
form in which Lucretius adopts it from Epicu- which gravitation extends."
rus, insists upon void as the other basic princi- The very continuity-:-the voidlessness or
ple of the universe. "Nature," he writes, "is lack of pores-which the opponents of atom-
founded on two things: there are bodies and ism insist is the source of matter's infinite divis-
there:is void in which these bodies are placed ibility, the atomists seem to give as the reason
and through which they move about." Com- why the ultimate particles are without parts,
pound bodies are divisible because the atoms of hence simple, solid, and indivisible.
which they are composed are not absolutely
continuous with one another, but are separated ON STILL OTHER POINTS, there is disagreement
by void or empty space. That is why they are among the atomists themselves. Not all of
not solid or impenetrable, as are the atomic them go to the extreme of denying existence or
particles which are composed of matter en- reality to anything immaterial; nor do all insist
tirely without void. In Newton's language that whatever exists is either an atom or made
hardness must be "reckoned the property of all up of atoms and void. In the tradition of the
uncompounded matter," for if "compound great books, the extreme doctrine is found in
bodies are so very hard as we find some of them Lucretius alone. Though iris shared by Hobbes,
to be, and yet are very porous," how much and is reflected in the Leviathan, it is not ex-
harder must be "simple particles which are pounded there. It is developed in his treatise
void of pores." Concerning Body.
The opponents of atomism tend to deny the For Lucretius, the atoms are eternal as well
existence not only of atoms, but of the void as as indestructible. The "first beginnings" of
well. Descartes, for example, denies that there all other things are themselves without be-
can be "any atoms or parts of matter which are ginning. "In time gone by," Lucretius writes,
indivisible of their own nature .... For how- "they moved in the same way in which now
ever small the parts are supposed to be, yet they move, and will ever hereafter be borne
because they are necessarily extended we are along in like manner" through an endless suc-
always able in thought to divide anyone of cession of worlds, each of which comes to be
them into two or more parts." For the same through a concourse of atoms, each in turn
reason, he maintains, there cannot be "a space perishing as with decay that concourse is dis-
in which there is no substance ... because the solved. Newton writes in what seems to be a
extension of space or internal place is not dif- contrary vein. "It seems probable. to me," he
ferent from that of body." The physical world, says, "that God in the beginning formed mat-
on this view, is conceived as what the ancients ter in solid, massy, hard, impenetrable, mova-
called a plenum, continuously filled with mat- ble particles." "All material things," hecontin-
ter. This controversy over void and plenum is ues, "seem to have been composed of the hard
elaborated in the chapter on SPACE. and solid particles above mentioned, variously
Although he uses the language of the atom- associated in the first Creation by the counsel
ists, Faraday seems to agree with Descartes of an intelligent Agent."
rather than with Newton. He pictures matter Nor does Newton appeal to the properties
as "continuous throughout," with no distinc- and motions of the ultimate particles except to
tion between "its atoms and any intervening explain the characteristics and laws of the phys-
space." Atoms, he thinks, instead of being ab- ical world. Unlike Lucretius and Hobbes, he
solutely hard, are "highly elastic," and they are does not-and there seems to be some evidence
406 THE GREAT IDEAS
in the Optics that he would not-reduce the smells of bodies." Furthermore, the distinction
soul of man to a flow of extremely mobile which is here implicit-between primary and
atoms, or attempt to account for all psycho- secondary sense qualities-is not peculiar to
logical phenomena (thought as well as sen- atomism. It can also be found in a critic of
sation and memory) in terms of atom buffeting atomism like Descartes.
atom. The atomistic account of sensation is, never-
The atomic theory of the cause of sensation theless, of critical significance in the contro-
is not limi ted to the rna terialists. Wri te rs like versy concerning this type of materialism. Crit-
Locke, who conceive man as having a spiritual ics of atomism have contended that the truth
nature as well as a body, adopt an atomistic of atomism as a materialistic philosophy can be
view of the material world. "The different mo- no greater than the measure of its success in ex-
tions and figures, bulk and number of such par- plaining sensation-the source upon which the
ticles," he writes, "affecting the several organs atomist himself relies for his knowledge of na-
of our senses, produce in us those different sen- ture-in terms of the properties and motions of
sations which we have from the colours and particles themselves imperceptible.
OUTLINE OF TOPICS
PAGB
I. The concept of element
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-28j112d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halvesofthe page. Forexample, in53 JAMES: Psychology,116a-1l9b, the passage
begins in the upper half of page 116 and ends in the lower half of page I I 9. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halves of the right-handsideof
the page. For example, in 7 PLATO: Symposium, l63b-16~c, the passage begins in thelower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-28j] 12d. .
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
3h. The enumeration of the elements: their 3c. The mutability of the elements: their trans-
properties and'order mutation
7 PLATO: Cratylus, 98d j Phaedo, 247b-248c / 7 PLATO.: Timaeus, 456b-c; 458d-460b
Timaeus, 448b-d; 458b-460b / Philebus, 618e- 8 ARISTOTLE: Heat'ens, BK I, CH 3 360d-362a;
619a / Laws, BK x,760a-761d BK III, CH I [298824-299al) 389b,d-390b: CH
8 ARISTOTLE: Physics, BK III, CH 5 [204blO-20," 2 [30Ib33-302&g] 393b; CH 6 [304b23]-CH II
6) 282e-283a; BK IV, CH I [208b8-22) 287b / [306b29] 396a-398a / Generation and Corrup-
Heat/ens, BK I, CH 1-8 359a-369a; CH 9 [278b tion, BK I, CH I 409a-410e; CH 6 [322bl-21)
22-35) 370a; BK II, CH 3 377c-378a; BK III, 420b-d; BK II, CH 4-6 431b-435a I Meteorol-
CH I 389b,d-391c; CH 3-5 393c-396a; BK III, ogy. BK I, CH 3 [339B36-b3] 445d / Metaphysics,
CH 7 [306aI)-BK IV, CH 6 [3I3b24) 397b-405a,c BK I, CI-l 8 [989"18-29] 507b-e ,
esp BK IV, CH 3-5 401c-404d / Generation and 10 GALEN: Natural Faculties,BK I, CH 2, 167d-
Corruption, BK I, CH I 409a-410e; BK II, CH 168b: BK II, CH 3, 185c-d
1-3 428b,d-431a / Meteorolog?: BK I, CH 2-3 12 LUCRETIUS: Nature of Things, BK I [635-829)
445b-447d; BK IV, CH I 1378 10-26) 482b,d- 8d-lIa; BK v [235-3051 64a-65a; [380-415) 66a-c
483a I Metaphysics, BK I, CH 3 [983"24)-CH 5 12 AURELIUS: Meditations, BK II, SECT 3 257a-b;
[986b8) 501e-504e; CH 7 [988"17-31) 506b-c; BK IV, SECT 46 267e; BK V, SECT 13 271b;
CH 8 506d-508e; BK V, CH 4 [1014b27-35) BK VII, SECT 18 281a; SECT 23 281b; SECT 25
535a-b / Soul, BK I, CH 2 [404b7-3I) 633d- 281c; SECT 50 283a; BK x, SECT 7 297b-e
3d to 4 CHAPTER 21: ELEMENT 409
19 AQUINAS: Summa Theologica, PART I, Q 66, 28 GILBERT: Loadstone, BK I, 13b-14d; BK II,
A 2, ANS 345d-347b 2ge-30a
20 AQUINAS: Summa Theologica, PART III SUPPL, 28 HARVEY: On Animal Generation, 495e-496d
Q 74, AA 1-6 925c-932b passim; Q 91, A 5, ASS 30 BACON: Novum Organum, BK I, APH 66 114d-
and REP 4 1024a-l025b USe; BK II, APH 7 13ge-140a; APH 40, 171a-
21 DANTE: Divine Comedy, PARADISE, VII [121- 173a; APR 4B, 181a-184a
I4B] 116b-c 33 PASCAL: Vacuum, 367a-b
22 CHAUCER: Canon's Yeoman's Prologue 47lb- 35 BERKELEY: Human Knowledge, SECT 65
474a / Canon's Yeoman's Tale 474b-487a 425d-426a
30 BACON: Advancement of Learning, 14b-c 45 LAVOISIER: Elements ofChemistry. PART I, 22e-
34 NEWTON: Optics, BK III, 531a-b 52a,e; PART II, 54b,d-55d; 57c-86a,e; PART
40 GIBBON: Decline and Fall, 148a-b III, 87e-d; 103b-e; 105d; 117a-128e esp 117a-
41 GIBBON: Decline and Fall, 299d-300a 118a
44 BOSWELL: Johnson, 262c 45 FARADAY: Researches in Electricity, 309a-312a;
45 LAVOISIER: Elements of Chemistry, PARTI,41b-c 312e-313d(314a-b; 315a-b; 327a-422a,e pas-
sim; 541b,d-584a,e passim
3d, Combinations of the elements: compounds 51 TOLSTOY: War and Peace, BK VI, 248d-249a
and mixtures 53 JAMES: Psychology, 104a-l05a; 876a
7 PLATO: Timaeus, 448b-d; 449c-450a; 452d-
454a; 460b-462c 4. The discovery of elements in other arts and
8 ARISTOTLE: Topics, BK VI, CH 14 [151"20-32) sciences
206a / Physics, BK III, CH 5 [204blO-22] 282e-d; 7 PLATO: Cratylus, 104e-110d esp 106a-107b /
BK VII, CH 3 [246b2-I9] 32ge-330a / HeatJens, Republic,BK III, 333e-d / Theaetetus, 544e-
BK I, CH 2 [26Bb27-269a30] 360a-e; CH :; 548e / Philebus, 615e-617d; 618d-619b; 635b-
[27IbIB-231362d-363a; BK III, CH 3 [32"10]- 639a,e '
CH 4 [302b2B) 393c-394a; CH B [306b22-291 8 ARISTOTLE: Categories, CH 2 [r817-I9)5b / In-
398a; BK IV, CH 4 [3IIa30-bl4) 402d-403a ! terpretation, CH 4 [r6b27-3S1 26a / Prior Analyt-
Generation and Corruption, BK I, CH I [31-1825- ics, BK I, CH I [24bI7-22] 3ge; CH 23 [40bIB-
b2]409c; CH 2 [3I5a2B-.33] 410d; CH 10 426e- 22) 57b; [4Ia4-7j57d / Posterior Analytics, BK
428d; BK II, CH 6-B 433d-436d / Meteorology, I, CH 4 [73 833-b2 ) 100b-e; CH 7 [75a3B-b7)
BK III, CH 6 [37Bal,~)-BK IV, CH 12 L~9ob2I) 103e; CH 23 [B4bI9-BSaI) 115e-116a; CH 27
482e-494d / Metaphysics, BK VII, CH 17 [104Ib 119b / Topics, BK I, CH 4-9 144b-147b esp CH
12-33) 565d-566a,e / Soul, BK I, CH 2 [404b7- 4 [IOlbII-25) 144b-e; BK vr, CH I [139824-32)
29) 633d-634a; [405b8-31] 634d-635a; CH 5 192a; CH 13 204e-206a / Metaphysic.', BK I,
[409bIB-4II"7) 63ge-641a; BK III, CH q CH 5 [985b22-9B6a2I) 503d-504b; CH 6 [9B7b
[43SaII_b4] 668a-c / Sense and the Sensible, 19-23) 505d; [9BB"7-16) 506a-b; CH 9 [992b
CH 2-3 674a-678b IB-993"1O] 511a-e; BK III, CH 3 [998"20-bII]
9 ARISTOTLE: Parts of Animals, BK I, CH I 517a-b; CH 6 [1002bII-25] 521b-e; BK V, CH 3
[640b5-IB) 163a-b; BK II, CH I [646aI2-b201 534e-d; BK XII, CH 4-5 599d-601a / Soul, BK I,
170a-d CH 2 [404b7-29] 633d-634a; CH 5 [409b23-4IIa
10 HIPPOCRATES: Ancient Medicine, par 15 5e-d 23) 639d-641b; BK III, CH 5 [43oalO-I4) 662e
10 GALEN: Natural Faculties, BK I, CH 2-3 167b- 9 ARISTOTLE: Parts of Animals, BK II,' CH [
169a; CH 616ge-170c; BK II, CH B, 193b-d [646a1o)-CH2 [647b3o])70a-172a / Politics, BK
12 LUCRETIUS: Nature of Things, BK I [635-9201 , I, CH I [I2S2"IB-24) 445b; BK III, CH I [1274b
8d-12b 31-127582) 471b; CH 3 [I276"34-bIsI473b-e /
12 EPICTETUS: Discourses, BK III, CH 13, 189a Rhetoric, BK III, CH 13 667b-d / Poetics, CH 6
12 AURELIUS: Meditations, BK x, SECT 7, 297b 684a-685a; CH 20 692b-693a
16 KEPLER: Epitome, BK IV; 929b-930a 10 GALEN: Natural Faculties, BK t, CH 6 16ge-
17 PLOTINUS: Second Ennead, TR I, CH 6-B 37d- 170e; BK II, CH 6 188c-191a; BK III, CH IS,
39d; TR VII, CH 1-2 62d-64b 215a-b
18 AUGUSTINE: City of God, BK VIII, CH 2 265b- 11 EUCLID: Elements la-396b
266a 11 NICOMACHUS: Arithmetic, BK II, 829b-d
19 AQUINAS: Summa Theologica, PART I, Q 71, 12 LUCRETIUS: Nature of Things, BK I [B23-B29)
A I 367a-368b; Q 76, A 4, REP 4 393a-394c; Ua; BK II [688-699)23d
Q 91, A I 484a-485b 16 KEPLER: Harmonies ofthe World, 1016b-l017a
20 AQUINAS: Summa Theologica, PART III, Q 2, 18 AUGUSTINE: City of God, BK XIX, CH 16, 522a
A I, ANS 710a-711e; PART III SUPPL, Q 74, A I, 19 AQUINAS: Summa Theologica, PART I, Q 1I9,
REP 3 925e-926e; A 4, ANS 928d-929d; A 5 A I, REP 3 604e-607b
929d-931b; Q 79, A I, REP 4 951b-953b; Q Bo, 20 AQUINAS: Summa Theologica, PART II-II, Q
A 3, REP 3 958b-95ge; Q B2, A I" ANS 968a- 179, A 2, REP 2 607a-e; PART III SUPPL; Q Bo,
970c; Q 91, A 5 1024a-1025b A 3 958b-95ge
21 DANTE: Divine Comedy, PARADISE, VII [121- 24RABELAIS:' Gargantua and Pantagruel, BK 1lI,
14B) 116b-e 138a-d '
410 THE GREAT IDEAS 5 to 5c
(4. The discovery of elements in other arts and 5a. The conception of atomic bodies: imper.
sciences.) ceptible, indestructible, and indivisible
28 Hi\RVEY: Circulation of the Blood, 316d / On ,8 ARISTOTLE: Generation and Corruption, BK I,
Animal Generation, 429c-438c esp 432d-433b; CH I [314"22-24]409b-c / Metaphysics, BK VII,
488d-496d esp 490d-491c, 494a-b CH 13 [1039"2-II] 562d
30 BACON: Advancement of Learning, 52b-d; 10 GALEN: Natural Faculties, BK I, CH 12 172d-
76d-77c 173c; BK II, CH 6188c-191a
31 DESCARTES:' Rules, VI, 8b-9a;, VIII, 14b-c; 12 LUCRETIUS: Nature of Things, BK 1[146--328)
XII, 21b-24c / Discourse, PART VI, 62a / Ob- 2d-5a; [483-634] 7a-8d
jections and Replies, 128a-129a 17 PLOTINUS: Second Ennead, TR IV, CH 7, 52c
35 LOCKE: Human Understanding, BK II, CH II, 34 NEWTON: Principles, BK I" PROP 73, SCHOL
SECT 1-2 127d-128b; CH VII, SECT 10 133a-b; 133b-134a; BK III, RULE III 270b-271a / Op-
CH XII, SECT 1-2 14,7b-d;SECT 8 148c-d; CH tics, BK III, 537a,b; 541b; 543a
XV, SECT 9 164b-d; CH XVI, SECT I 165c-d; 35 LOCKE: Human Understanding, BK IV, eH III,
CH XXI, SECT 75 200b-d; BK III, CH IV, SECT SECT 25 321a-b '
15-16 263a-c 45 F ARADA Y: Researches in Electricity, 386c-d;
39 SM[TH: Wealth of Nations, BK [, 20b-23b esp 850b,d-855a,c
20b-21c, 22b-c 53 hMES: Psychology, 68a
46 HEGEL: Philosophy of Right, PART III, par 3-P
110c 5b. Arguments for and against the existence of
SO MARX: Capital, 6b-c; 19c-26d passim, esp atoms: the issue concerning the infinite
20b-22a, 25d-26d; 62a; 85d-88d esp 85d, divisibility of matter
88c 8 :\RISTOTLE: Physics, BK III, CH 6-7 284b-286c
51 TOLSTOY: War and Peace, BK X'I, 469a-470c; / Heavens, BK III, CH, 6 [304b23'jOSUIO]
BK XIV, 589c-590c; EPILOGUE II, 694d-695c 396a-b; BK IV, CH 4 [3IIa30_bI] 402d-403a /
53 JAMES: Psychology, xiiib; 18b-19b; 116b-117a; Gelleration and Corruption, BK I, Cli 2 [3ISb2S-
126a; 150a 317"17] 411b,413a; CH 8 423b-425d / Sense alld
54 FREUD: War and Death, 758a the Sensible, CH 6 [445b4-446820 I 683b-684c
12 LUCRETIUS: Nature of Things, BK [ [146--328 J
5. The theory of ,atomism: critiques of atom 2d-5a; [483-920] 7a-12b; BK II [62-q[J lSd-
ism 16d
7 PLATO: Sophist, 567a-568a 12 AURELIUS: Meditations, BK X, SECT 6 297a-b
8 ARISTOTLE: Physics, BK [, CH 2 [[84bIS-22] 17PLOTINUS: Second Ennead, TR IV, Cli 7
259b-c / Heavens, BK [, CH 7 [275b3Q-276UI8) 52a-c / Third Ennead, TR I, CH 3 79b-c /
367a-b; BK III, CH " L303"3-b8] 394b-d; BK Fourth Ennead, TR II, CH I, 139d
IV, CH 2 [308b29-31O'14] 400b-401c / Genera- 19 AQUINAS: Summa Theologica, ['ART I, Q 7,
tion and Corruption, BK I, CH 2 410d-413c; A 3, REP 3 32c-33c; A 4, i\NS 33d-34c
CH 8 [325a23-bIl] 423d-424b / Metaphysics, 28 GALILEO: Two New Sciellces, FIRST DAY, 139c-
BK I, CH 4 [985b3-I9] S03c-d 141d; 147d-148b; 151d-153a
10 GALEN: Natural Faculties, BK I, CH 12-14 30 BACON: Novum Organum, BK I, APIi 66,,115c
172d-179d; BK II, CH 6 188c-191a 31 SPINOZA: Ethics, PART I, PROP IS, SCIiOL
12 LucRETlVs: N{lture of Things ia-97~,c 360b-361d
12 AURELIUS: Meditations, BK IV, SECT 3, 263b-c; 34 NEWTON: Principles, BK III, RULE III 270b-
,BK IX, SECT 39 295a; BK X, SECT 6 297a-b 271a / Optics, BK II, 478b-485b; BK Ill, 537a-
17 PLOTlNUS,: Second Ennead, TR IV, CH 7, 52c / 541b esp 541b
Third Ennead" TR .I, CH 2, 78d; C,H 3 79b-c / 35 LOCKE: Human Understanding, BK Il, CH
Fourth Ennead, TR VII, CH 2-4 192a-193c XVII, SECT 12 170d; CH XX;IX, SECT 16 237b-
19 AQUINAS: Summa Theologica, PART I, Q lIS, 238a; BK IV, CH X, SECT 10, 351c-352a
A [, ANS and REP 3,S 585d-587c 35 BERKELEY: Human Know/edge, SECT 47
25 MONTAlGNE: Essays, 263a 421c-422a
28 HARVEY: On Animal Generation, 355b-d: 42 KANT: Pure Reason, 131c; 137a-140c; 152d;
495c-496d 161d-163a
30 BACON: Novum Organum, BK II, APH 8 140b 43 FEDERALIST: NUMBER 31, 103d
34 NEWTON: Principles, BK III, RULE III 270b- 45 LAVOIS[ER: Elements of Chemistry, PART I,
271a / Optics, BK Ill, 531 b-542a 9a-d
35 LOCKE: ,Human Understanding, BK IV, CH III, 45 FARADAY: Researches in Electricitl', 386c-d;
SECT 25-26 321a-c 850b,d-855a,c -
42 KANT: Pure Reason, 161d-163a
45 FARADAY: Researches in Electricity, 850b,d- 5c. Atoms and the void as the ultimate con
855a,c stituents of reality
52 DOSTOEVSKY: Brothers Karamazov, BK, XI, 7 PLATO: Sophist, 567a-b
341d 8 ARISTOTLE: Physics, BK I, CH 5 [[88"111-23]
53 JAMES: Psychology, 876a; 882a-884b 263c; BK IV, eH 6-9 292c-297c / Heavens, BK
5d to 5g CHAPTER 21: ELEMENT 411
I, CH 7 [275b30-276&18] 367a-b; CH 9 [279&12- 19 AQUINAS: Summa Theologica, PART I, Q 84, A
18] 370b-c; BK III, CH 6 [305UI4-22] 396b-c; 6, ANS 447c-449a
BK IV, CH 2 LW8b29-3IOaI4] 400b-401c; CH 5 34 NEWTON: Optics, BK III, 518b-s19b; 522a
1312b20-313&14]404b-d / Generation and Cor- 35 LOCKE: Human Understanding, BK III, CH
ruption, BK I, CH 8 423b-425d / Metaphysics, IV, SECT 10 261b-d; BK IV, CH X, SECT 5
BK I, CH 4 [98-;b3-19] 503c-d; BK IV, CH 5 350a-b
[109&22-37] 528d; BK VII, CH 13 [1039"2:"'''] 53 JAMES: Psychology, 98a-1l7b esp 98b-103b,
562d lISa
10 GALEN: Natural Faculties, BK I, CH 12, 173a;
BK II, CH 6 188c-191a esp 189a-b 5/. The atomic constitution of mind and soul:
12 LUCRETIUS: Nature of Things, BK I [265-6341 its bearing on immortality
4b-8d esp [418-448] 6b-c 8 ARISTOTLE: Soul, OK I, CH 2 [403b28-404a
28 GALILEO: Two New Sciences, FIRST DAY, 151 633a-b; [405a8-13] 634b; CH 3 [406bIS-
141c-d 26] 636a-b; CH + [409alO]-CH 5 [409bI8]
30 BACON: Novum Organum, BK II, APH 8140b 639a-c
34 NEWTON: Principles, BK III, PROP 6, COROL 10 GALEN: Natural Faculties, BK I, CH 12 172d-
III-IV 281b / Optics, BK III, 528b 173c
45 F AR,ADAY: Researches in Electricity, 850b,d- 12 LUCRETIUS: Nature of Things, BK III [94-869]
855a,c 31b-41a esp [161-322J 32b-34b; BK IV [916 ..
53 JAMES: Psychology, 106a; 882a-883a 961] 56b-d
17 PLOTINUS: Second Ennead, TR IV, CH 7, 52c;
Sd. The number, variety, and properties of TR IX, CH 5, 68b / Third Ennead, TR I, CH 3
atoms: the production of sensible things 79b-c / Fourth Ennead, TR VII, CH 2-4 192a-
by their collocation 193c
8 ARISTOTLE: Physics, BK I, CH 2 [184bI5-22] 35 BERKELEY: Human Knowledge, SECT 93 431 b;
259b-c; CH 5 [188&18-25] 263c; BK III, CH + SECT 141 441a-b
[2038.33-b2] 281b / Heavens, OK I, CH 7 [275 b 42 KANT: Pure Reason, 126c-d
3-276"18] 367a-b; BK III. CH + L~O~&3-b8] 53 JAMES: Psychology, 95a-118b esp 9sb-98a,
394b-d; CH 7 L30Sb27-30681] 397a-b; OK IV, 103a-106b, 117a-1l8b
CH 2 [308b29-310814] 400b-401c / Generation
and Corruption, BK I, CH I Lp4&22-2+]409b-c; 5g. The explanation of natural phenomena by
CH 2 (31)83+-3'6a4] 410d-411c; CH 10 L327b reference to the properties and motions
34-328aI8] 427b-c / Metaphysic>', BK I, CH 4 of atoms
[985b3-191503c-d 8 :'\RISTOTLE: Heavens, OK IV, CH 2 [308b29-
10 GALEN: Natural Facuftie>', OK I, CH 12, 310aI-f] 400b-401c: CH + [3"a3o-bIJ 402d-
173a-b; BK II, CH 6, 189a-190a 403a; CH 5 [312b20]-CH 6 [3'3b25J 404b-
12 LUCRETIUS: Nature of Thing>', OK II [62-1+1] 405a,c / Generation and Corruption, OK I, CH
15d-16d; [184-25] 17b-18b;[333-599] 19b- 2 410d-413c; CH 8 423b-425d
22c; [73-1022] 24b-28a 10 GALEN: Natural Faculties, BK I, CH 12, 172d-
17 PLOTINUS: Third Ennead, TR I, CH 3. 79b 173b; CH 14, 177a-178d; BK II, CH 6 1BBc-
28 HARVEY: On Animal Generation, 495c-496a . 191a
34 NEWTON: Optics, BK III, 536b-537b; 539a-b 12 LUCRETIUS: Nature of Things, BK I [265-328]
34 HUYGENS: Light, CH III, 566b-569b 4b-sa; BK II [184-21 5!17b-d; [333-477] 19b-
35 LOCKE: Human Understanding, BK II, CH 21a; [522-54] 21c-d; [757-77IJ 24c-d; BK IV
XXVI, SECT 2 217b-d; OK IV, CH XX, SECT 15, [524-614] 51a-52b; 8K VI 80a-97a,c
393b 17 PLOTiNUS: Third Ennead, TR I, CH 2, 78d; CH
35 HUME: Human Understanding, SECT XI, DIV 3 79b-c
104,498c 19 AQUiNAS: Summa Theologica, PART I, Q 1/5,
45 LAVOISIER: Elements ofChemistry, PARTI,13a-d A I, ANS and REP 3,5 58sd-587c
45 FARADAY: Researches in Electric/iy, 850b,d- 28 GILBERT: Loadstone, 8K II, 34c-35a
855a,c 28 GALILEO: Two New Sciences, FIRST DAY, 139c-
53 JAMES: Psychology, 104a-b; 876a 141d; 151d-153a
28 HARVEY: On Animal Generation, 355b-d;
5e. The atomistic account of sensation and 49sc-496d
thought: the jdola 30 BACON: Advancement of Learning, 4sb-c
7 PLATO: Meno, 177b-c 34 NEWTON: Principles, 1b-2a / Optics, BK III,
12 LUCRETIUS: Nature of Things, BK II [398-4+3] 531b-542a
20a-c; [865-990] 26a-27c; BK III [231-395J 34 HUYGENs: Light, CH III, 566b-s69b
33a-35a; BK IV [26-906] 44b-56a esp [26-268J 35 LOCKE: Human Understanding, BK IV, CH III,
44b-47d, [722-817] s3d-s4d SECT 2S-26 321a-c
17 PLOTINUS: Third Ennead, TR I, CH 2, 78d; CH 45 FARADAY: Researches in Electricity, 850b,d-
3 79b-c / Fourth Ennead, TR VII, CH 6-8, 194b- 855a,c
196c 53 JAMES: Psychology, 882a-884b
412 THE GREAT IDEAS 5h
(5. The theory oj atomism: critiques of atomism.) 12 AURELIUS: Meditations, BK VI, SECT 10
274b-c
5h. The atomistic account of the origin and de- 17 Pr,OTINUS: Third Ennead, TR I, CH 3 79b-c
cay of the world, its evolution and order 19 AQUINAS: Summa Theologica, PART I, Q 47, A
12 LUCRETIJS: Nature of Things,. BK I [1008- I, ANS 256a-257b; A 3, ANS 258c-259a
1037] 13c-d; BK " [1023-I174] 28a-30a,c; BK 34 NEWTON: Optics, BK III, 541b
v [55-508] 61d-67c 53 JAMES: Psychology, 95b
CROSS-REFERENCES
For: The discussion of the ideas most closely associated with elemeilt, see CAUSE; PRINCIPLE.
Matters relevant to the conception of elements or atoms as simple parts of a whole, see
ONE AND MANY 2b-2C; and for another discussion of the distinction between elements
or atoms and compounds or mixtures, see CHANGE 9a; MATTER 2.
The problem of the transmutation of the elements, see CHANGE lOa.
The issue concerning the divisibility of matter and the existence of a void, see INFINITY
4b; ONE AND MANY 3a(3); SPACE 2b(I)-2b(3); and for the question of the number of
the elements or of the ato\lls;see INFINITY 5-5b; QUANTITY 7.
Other considerations of atomistic materialism, see MATTER 3a, 6; MECHANICS 4c; MIND 2e;
SOUL 3d; WORLD Ib, 4c.
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
1. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
OUTLINE OF TOPICS
PAGE
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-28,] 12d, the
number 4 is the number of the volume in the set: the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the le.tters a and b reler to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page II6 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, theletters c and d to the upper and lower halves of the right-hand side of
the page. Forexample, in 7 PLATO: Symposium, 163b-l64c, the passage begins in the lower half
of the left-hand side of page 16, and ends in the upper half of the right-hand side of page 164-
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference: line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-28, jl2d.
BIBLE REFERENCES: The references are 10 book, chapter. and \erse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Doua\. indicated b\ a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:4S-(D) II Esdras, 7:4('.
SYMBOLS: The abbre\'iation "esp" calls the .readers attention to one or more especially'
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the Sl yle of the references, see the Explanation of
Reference Style; for general guidance in Ihe ust' of The Greal Ideas, consult the Preface.
CROSS-REFERENCES
For: The general theory of instinct, see HABIT 3-3e; and for the consideration of instinctual drives,
see DESIRE 2a, 3a.
The relation of pleasure and pain to the emotions, see PLEASURE AND PAIN 4a.
The conception of the emotions as forms of animal appetite or sensitive desire, see DESIRE
3b(I); WILL 2b(2).
The analysis of the one emotion which is held to be the root of all the others, see LOVE
2a-2a(3)
Other discussions of the conflict between the passions and reason, or between one emotion
and another, see DESIRE 3d, 4a, 6c; DuTY 8; MIND 9b-9C; OPPOSITION 4a-4b, 4d.
Other discussions of emotional. disorder from a psychological or medical point of view, see
DESIRE 4a-4d; MEDICINE 6C(2); MIND 8b; ONE AND MANY 3b(S); OPPOSITION 4c.
The influence of the emotions upon imagination or thought, see DESIRE sa-sb, 6c; MEMORY
AND IMAGINATION 8c, 8d(I); OPINION 2a; TRUTH 3d(2).
The moral problems raised by the conflict between reason and emotion, see DESIRE 6a-6b;
DUTY 4-4b; LIBERTY 3a-3b; MIND 9c-9d; SIN s; SLAVERY 7; TYRANNY Sd; VIRTUE AND
VICE sa.
The significance of the passions in relation to Jaw, government, and the state, see LAW S' 6a;
PUNISHMENT IC-Id; STATE 3e-3f; and for the problem of political censorship or regulation
of the arts because of their emotional influence, see ART lOb; LIBERTY 2a; POETRY 9b.
The consideration of emotion by the orator, see RHETORIC 4b.
Emotion in relation to artistic inspiration or expression, see ART 8; POETRY 3.
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
GOETHE. Sorrows of Young Werther
I. HEGEL. The Phenomenology of Mind, IV, B (3)
PLUTARCH. "Whether the Passions of the Soul or DOSTOEVSKY. Notes from Underground
Diseases of the Body Are Worse," in Moralia C. R. DARWIN. The Expression of Emotions in Man
EPICTETUS. The Manual and Animals
AUGUSTINE. Of Continence W. JAMES. Collected Essays and Reviews, xv, xxv
AQUINAS. Quaestiones Disputatae, De Veritate, QQ FREUD. The Predisposition to Obsessional Neurosis
25-26
F. BACON. "Of Anger," in Essays II.
DESCARTES. The Passions of the Soul
PASCAL. Discours sur les passions de l'amour CICERO. Tusculan Disputations, III-IV
HOBBES. The Elements of Law, Natural and Politic, BEN JONSON. Every Man in His Humour
PART I, CH 12 BURTON. The Anatomy of Melancholy
- - . The Whole Art of Rhetoric, BK II, CH 1-13 MALEBRANCHE. De /a recherche de /a verite, BK v
HUME. A Treatise of Human Nature, BK II, PART III SHAFTESBURY. Characteristics ofMen, Manners, Opin-
- - . A Dissertation on the Passions ions, Times
A. SMITH. The Theory of Moral Sentiments, PART HUTCHESON. An Essay on the Nature and Conduct of
I, SECT II the Passions and Affections
STERNE. A Sentimental Journey COLLINS. The Passions
436 THE GREAT IDEAS
VOLTAIRE. "Passions," in A Philosophical Dictionary WUNDT. Outlines of Psychology, (12-13)
T. REID. Essays on the Active Powers of the Human BRADLEY. Collected Essays, VOL II (23)
Mind, III, PART II, CH 3-7 STRINDBERG. The Dance of Death
BROWN. Lectures on the Philosophy of the Human TITCHENER. Lectures on the Elementary Psychology of
Mind, VOL III, pp 26-473 Feeling and Attention
D. STEWART. Philosophy of the Active and Moral CANNON. Bodily Changes in Pain, Hunger, Fear and
Powers of Man Rage
W. HAMILTON. Lectures on Metaphysics and Logic, CRILE. The Origin and Nature of the Emotions
VOL I (41-46) CARLSON. The Control of Hunger in Health and
CoMTE. System of Positive Polity, VOL IV, Theory of Disease
the Future of Man, CH 2 PARETO. The Mind and Society, VOL III, CH 9
LOTZE. Microcosmos, BK II, CH 5 PROUST. Remembrance of Things Past
BAIN. The Emotions and the Will JUNG. Psychological Types
E. HARTMANN. Philosophy of the Unconscious, (B) McTAGGART. The Nature of Existence, CH 41,57
II-III B. RUSSELL. The Analysis of Mind, LECT 3, 14
FRAZER. The Golden Bough, PART VI, CH 8 '--. Skeptical Essays, VI
Chapter 2.3: ETERNITY
INTRODUCTION
T HE notion of eternity, like that of infinity,
has two meanings. One meaning may refer
that go beyond experience, and have some
meaning even if they lack imaginative content.
to something positive, yet both seem to be for- Locke indicates this other aspect of the matter
mulated by the human mind in a negative way. when he criticizes those who assert dogmatically
We grasp one meaning of eternity by saying that "the world is neither eternal nor infinite."
that there is no beginning or end to time's It seems to him that the world's eternity or the
process. The other sense of eternity we con- world's infinity is "at least as conceivable as
ceive by denying time itself and, with it, change the contrary."
or mutability. It may not be inconsistent, therefore, to say
Considering eternity as infinite duration, that infinite time, while unimaginable, remains
Locke says that we form this notion "by the quite conceivable; for to say that eternity is
same means and from the same original that we conceivable is simply to say that endless time
come to have the idea of time ... viz., having is neither more nor less possible than time with
got the idea of succession and duration ... we a beginning and an end. The first conception
can in our thoughts add such lengths of dura- is as meaningful as the second. It is in fact
tion to one another, as often as we please, and formed from the second by negation-by sub-
apply them, so added, to durations past or to stituting the word "withollt" for "with" with
come. And this we can continue to do, with- respect to "a beginning .and an end." But un-
out bounds or limits, and proceed in infinitum." like our conceptions, our images cannot be
The unimaginability of the infinite is no formed by negation. When we imagine, as when
different in the sphere of time than in that of we perceive, the object before us is positive
space or number. The difficulty, Locke points and definite. We cannot imagine, as we cannot
out, is the same in all three cases. "The idea experience, a duration, or a span of time, with-
of so much. is positive and clear. The idea of out a beginning and an end.
greater is also clear." But these do not yet give
us the idea of the infinite. That only comes with WITH REGARD TO the other traditional mean-
"the idea of so much greater as cannot be com- ing of "eternity," Locke takes a different posi-
prehended, and this is plainly negative, not tion. It too might be defended as a negative
positive ... What lies beyond our positive idea conception, so far as human comprehension is
towards infinity," Locke continues, "lies in ob- concerned, since it involves the denial of time
scurity, and has the indc;terminate confusion itself, i.e., of a duration comprising a succession
of a negative idea, wherein I know I neither of moments. But here Locke says that there is
do nor can comprehend all I would, it being "nothing more inconceivable to me than dura-
too large for a finite and narrow capacity." tion without succession .... If our weak appre-
In insisting that we can have no positive idea hensions," he continues, "cannot separate suc-
of infinity-whether of space, time, or number cession from any duration whatsoever, our idea
-Locke's point seems to be that it is beyond of eternity can be nothing but of an infinite
our finite capacity to form an image of an in- succession of moments of duration, wherein
finite object. But though our imaginations may anything does exist."
be limited in this way, we do seem able to con- Nevertheless, Locke affirms that "we can
struct-in a negative manner-conceptions easily conceive in God infinite duration, and
437
438 THE GREAT IDEAS
we cannot avoid doing so." Whether he means Eternity so conceived is perhaps even more
by this that God's eternity involves temporal unimaginable than the eternity which is in-
succession, must be determined by an inter- finite time. We may feel that we have some
pretation of the passage in which he maintains sense of an infinite duration when we talk, as
that "God's infinite duration being accompa- Ivan does in the Brothers Karamazov, about a
nied with infinite knowledge and infinite pow- billion years or "a quadrillion of a quadrillion
er, he sees all things past and to come; and they raised to the quadrillionth power." Infinite
are no more distant from his knowledge, no time is like that, only longer. But because all
farther removed from his sight, than the pres- our experience is temporal through and
ent; they all lie under the same view." through, it is more difficult to get any sense of
If this passage means that time stands still that which is both absolutely timeless and
for God in a single moment in which all things endlessly enduring.
are co-present, then Locke may not be as reso- Poets, and sometimes philosophers turned
lute as Hobbes in rejecting the theologian's poets, have struggled to give this concept imag-
conception of God's eternity. Criticizing the inative content by contrasting "the white radi-
Scholastics, Hobbes says that "for the meaning ance of eternity" with a "many-colored glass,"
of Eternity, they will not have it be an endless or by speaking of time itself as "the moving
succession of time." Instead, "they will teach image of eternity." When Dimmler in War and
us that eternity is the standing still of the pres- Peaee tells Natasha that "it is hard for us to
ent time, a Nune-Slans (as the Schools call it)." imagine eternity," she replies that it does not
This, Hobbes thinks, "neither they nor anyone seem hard to her-that eternity "is now today,
else understands, no more than they would a and it will be tomorrow, and always, and was
Hie-slam for an infinite greatness of place." there yesterday and the day before .... "
A theologian like Aquinas tries to avoid the These and similar attempts may not succeed
difficulty which Hobbes finds in this conception as much as the insight that if we could hold the
by distinguishing between the now of eternity present moment still, or fix the fleeting instant,
and the now of time. "The now of time is the we could draw an experience of the eternal from
same," he writes, "as regards its subject in the the heart of time. "The now that stands still,"
whole course of time, but it differs in aspect." Aquinas writes, "is said to make eternity ac-
Furthermore, "the flow of the now, as altering cording to our apprehensiori. For just as the
in aspect, is time. But eternity remains the apprehension of time is caused in us by the
saine according to both subject and aspect; and fact that we apprehend the flow of the now,
hence eternity is not the same as the now of so the apprehension of eternity is caused in us
time." by our apprehending the now standing still."
The notion of the eternal as the timeless and
the immutable does not belong exclusively to To UNDERSTAND the opposed views that con-
Christian theology. In the tradition of the stitutethe major issues with regard to eternity,
great books it is found, for example, in Plato it is necessary to hold quite separate the two
and Plotinus. Eternity, according to Plotinus, meanings of the word which have run side by
is "a Life changelessly motionless and ever side in the tradition of western thought. The
holding the Universal content in actual pres- first of these two senses, signifying interminable
ence; not this now and now that other, but time, is the meaning of "eternity" which has
always all; riot existing now in one mode and greatest currency in popular speech. This is the
now in another, but a consummation without meaning which appears in the chapters on
part or interval. All its content is in immediate INFINITY and TIME. It is also the sense in which
concentration as at one point; nothing in it philosophers and theologians debate the prob-
ever knows development: all remains identical lem of the eternity of the world-whether the
within itself, knowing nothing of change, for world ever began or will ever end.
ever in a Now since nothing of it has passed Since that which exists interminably is im-
away or will come into being; but what it is perishable; the word "eternal" is also applied
now, that it is ever." to substances which are thought to be ever-
CHAPTER 23: ETERNITY 439
lasting. Thus Ptolemy, and the ancients gen- He also includes in this meaning of "eter-
erally, think of the heavenly bodies as "beings nity" the notion of interminability; for, he
which are sensible and both moving and moved, writes, "as whatever is wholly immutable can
but eternal and impassible." Aristotle calls the have no succession, so it has no beginning, and
heavenly bodies "eternal and incorruptible." no end." Yet Aquinas preserves the sharp dis-
For Lucretius and the atomists, the atoms and tinction between the two meanings when he
the atoms alone are eternal. They are, he says, differentiates the sense in which the world
"everlasting, though all things else are dis- might be called eternal and the sense in which
solved." Unless they were eternal, "all things he would attribute eternity to God alone.
before this would have utterly returned to "Even supposing that the world always was,
nothing." If the atomic particles "were to wear it would not be equal to God in eternity," he
away, or break in pieces," Newton argues, "the writes; for "the divine being is all being simul-
nature of things depending on them, would be taneously without succession, but with the
changed .... And therefore, that nature may world it is otherwise."
be lasting, the changes of corporeal things are The conception of eternity as absolutely im-
to be placed only in the various separations and mutable existence is found in the ancient pagan
new associations and motions of these perma- writers. Plotinus, as we have already seen, makes
nent particles." immutability the mark of eternity. The un-
The heavenly bodies and the atoms may be moved prime mover of Aristotle and the Pla-
thought everlasting, but they are not immu- tonic Ideas or Forms also possess this charac-
table in all respects, for local motion is of their teristic.But it is the Jewish and Christian
very essence. Imperishable in existence, they theologians who make eternity in this sense one
are also endlessly in motion. In Aristotle's view, of the prime attributes of God.
local motion can be perpetual or eternal only Augustine, for example, invokes God as
if it is circular. Circular motion alone has "that everfixed Eternity" in whom "nothing
neither beginning nor end. passeth, but the whole is present." Since time
The eternal circular motion of the heavens, is for him inconceivable apart from change or
according to Aristotle, in turn communicates motion, that which exists immutably does not
an eternal cyclical movement to the rest of exist in time. Referring to God's eternity, he
reality. "Since the sun revolves thus, the sea- says, "Compare it with the times which are
sons in consequence come-to-be in a cycle .... never fixed, and see that it cannot be com-
and since they come-to-be cyclically, so in their pared. . .. Thy years neither come nor go;
turn do the things whose coming-to-be the whereas ours both come and go, that they all
seasons initiate." Such an eternal return, it may come.... Thy years are one day; and Thy
would seem, is also applied by Aristotle to hu- day is not daily, but To-day.... Thy To-day
man things, for he writes that "probably each is Eternity."
art and each science has often been developed Time and eternity are here conceived as two
as far as possible and has again perished." distinct orders of reality. The temporal order
is the order of things in change or motion, the
SINCE THE HEAVENS and the atoms are in mo- eternal the realm of the fixed or permanent,
tion, even though their motion is everlasting the immobile and immutable. "As eternity is
or eternal, they cannot be eternal in the second the proper measure of being," Aquinas writes,
meaning of "eternity," which is the very oppo- "so time is the proper measure of movement."
site of the first, not a variation or extension of The eternal and the temporal are similarly
it. In this meaIiing, the eternal is an existence distinguished by Plato in terms of the realms
absolutely immutable-a being which neither of being and becoming-"the world of immu-
comes to be nor passes away, nor changes, nor table being" and "the world of generation." In
moves in any respect whatsoever. Aquinas uses the one we find "the parts of time, and the past
the word in this sense when he says that "the and the future," which do not apply to the
nature of eternity" consists in "the uniformity other. "We unconsciously but wrongly transfer
of what is absolutely outside of movement." them," Plato declares, "to the eternal essence
440 THE GREAT IDEAS
... but the truth is that 'is' alone is properly As indicated in the chapter on CHANGE, the
attributed to it, and 'was' and 'will be' are only Aristotelian analysis of motion finds in matter
to be spoken of becoming in time, for they are or the substratum of change, and in the con-
motions, but that which is immovably the same trary forms from which and to which a motion
cannot become older or younger by time ... takes place, the elements of permanence under-
nor is it subject at all to any of those states lying change. When a green leaf turns red, for
which affect moving and sensible things of instance, green has not changed into red; the
which generation is the cause." leaf has changed from one color to another.
For Spinoza, the distinction consists in two The changing leaf is not eternal, but red and
ways of viewing the order of na ture. "Things green are, since they are incapable of change.
are conceived by us as actual in two ways," he This is the sense of eternity in which the un-
writes; "either in so far as we conceive them to changing instant is eternal, or the past is eter-
exist with relation to a fixed time and place, nal, even though both are somehow elements
or in so far as we conceive them to be contained or aspects of time and the process of change.
in God, and to follow from the necessity of the The past may be eternal but it no longer
divine nature." Only in the second way do "we exists. The passing moment may be eternal,
conceive things under the form of eternity." but it has no duration. Lack of existence and
We can view things under the aspect of eter- lack of duration together distinguish that
nity only insofar as we know God and, through meaning of "eternal" in which it merely sig-
knowing God, are able to know all things ac- nifies the unchanging, from the meaning in
cording as "their ideas involve the eternal and which it signifies that which exists or endures
infinite essence of God." forever without changing. It is only in the
The separation of time and eternity into dis- second of these two meanings that the eternal
tinct spheres of reality, or even into distinct can be conceived as that which exists entirely
ways of conceiving the whole of being, is chal- outside the realm of time.
lengedby thinkers who find the eternal within
the process of time. For both Jew and Christian, As WE HAVE ALREADY observed, the basic phil-
the eternal God intervenes directly in the osophical and theological issues concerning
temporal order. The most radical form which eternity cannot be intelligibly stated unless
this fusion takes is perhaps exemplified in the these meanings of "eternity" and "the eternal"
doctrine of the Incarnation of Christ, when are kept distinct.
"the Word was made flesh, and dwelt among The traditional problem of the eternity of
us." the world asks, for example, not whether the
Whitehead challenges the sharpness of the order of nature is free from change or succes-
separation from another point of view. He not sion, but whether the changing physical uni-
only makes "eternal objects" ingredients in verse ever had a beginning or ever will end.
actual occasions or temporal events; but since As indicated in the chapters on CHANGE, TIME,
the events which constitute the process of and WORLD, it is a question of the infinity of
change are themselves unchangeable, they are time; or, in another formulation, a question of
for him eternal-even though they have their the interminability of change or motion.
being within the sphere of change. Aristotle appears to answer these questions
A similar point seems to be made in Aris- affirmatively, especially in the last book of his
totle's theory of change. When change is con- Physics where he claims to demonstrate the im-
ceived as consisting in a transformation of mat- possibility of there having been a beginning to
ter, it is the thing composed of matter and form motion. Aquinas, on the other hand, does not
which changes, and neither the matter nor the think that the eternity of the world can be
form. Matter as matter, Aristotle writes, "does demonstrated; and of Aristotle's arguments he
not cease to be in its own nature, but is nec- says that they are not "absolutely demonstra-
essarily outside the sphere of becoming and tive, but only relatively so-viz., as against the
ceasing to be." The remark would seem to hold arguments of some of the ancients who asserted
true as well of the form as form. that the world began to be in some actually
CHAPTER 23: ETERNITY 441
impossible ways." In support of this conten- endless motion "cannot be decided by proof,
tion, he cites a remark made by Aristotle in neither in the affirmative nor in the negative."
the Topics, that among "dialectical problems Just as for Augustine and Aquinas, so for him
which we cannot solve demonstratively," one it is indifferent-from a philosophical point of
is "whether the world is eternal." view-whether the created world and its Crea-
For Kant the problem is typically dialectical. tor are co-eternal or whether, as Genesis says,
It occurs as part of the first antinomy in the "in the beginning God created heaven and
Transcendental Dialectic, the thesis of which earth."
asserts that "the world has a beginning in time" But both alternatives are not equally ac-
and the antithesis that "the world has no be- ceptable to the theologian. Since there is no
ginning, but is infinite in respect both to time proof on either side "sufficient to convince us,"
and space." The fact that apparently cogent ar- Maimonides writes, "we take the text of the
guments can be marshalled for both of these Bible literally, and say that it teaches us a
contradictory propositions shows, in Kant's truth which we cannot prove"-namely, that
opinion, that the reasoning on either side is the world had a beginning in time. Aquinas
not demonstrative, but only dialectical and, comes to the same conclusion. "That the
as he says, "illusory." world did not always exist," he writes, "we hold
The Jewish and Christian doctrine of the by faith alone." It is not "an object ... of dem-
world's creation by God might seem to require onstration or science." For Christian and Jew
the denial of the world's eternity. But in fact alike, the religious dogma that the world is not
the theologians find either alternative com- only created by God, in the sense of depending
patible with divine creation, which they con- for its existence upon God as cause, but was
ceive as the cause of the world's being, not also initiated by God, or caused to begin to
necessarily of its beginning. Augustine, for ex- exist and move, is based on the revealed word
ample, examines the sense in which the world of God in Holy Writ.
is held by some to be co"eternal with God, even Those who, on philosophical grounds, deny
though made or created by God. "It is as if a creation ex nihilo also deny the world's begin-
foot," he interprets them to say, "had been ning. Pursuant to his theory of the world as a
always from eternity in the dust; .there would necessary and perpetual emanation from the
always have been a print underneath it; and One, Plotinus, for example, declares that "the
yet no one would doubt that this print was Kosmos has had no beginning . . . and this is
made by the pressure of the foot, nor that, warrant for its continued existence. Why
though the one was made by the other, neither should there be in the future a change that has
was prior to the other." So, he goes on, it might not yet occurred?" For Spinoza likewise, "all
also be said that the world has always existed things which follow from the absolute nature
and yet is always, throughout eternity, created, of any attribute of God must for ever exist";
i.e., caused to exist, by God. and to this extent at least, the world is eternal
Commenting on this passage, Aquinas adds and uncreated.
the observation that if an "action is instanta- The man of faith, however, believes in a God
neous and not successive, it is not necessary for who is free to create or not to create, not one
the maker to be prior in duration to the thing from whom the world emanates as a necessary
made." Hence it does not follow necessarily, effect from its source. When, therefore, he af-
he writes, "that if God is the active cause of firms tha t God freely chose to produce the world
the world, He .must be prior to the world in out of nothing, he seems to meet the question,
duration; because creation, by which He pro- "What was God doing before He made heaven
duced the world, is not a successive change" and earth?" To the questioner Augustine does
-but an instantaneous act. not wish to give "the jesting answer-said to
Writing both as a philosopher and as a theo- have been given by one who sought to evade
logian, Maimonides-many centuries before the force of the question-'He was getting
Kant stated his antinomy-thinks he is able to Hell ready for people who pry too deep.' "
show that the question of infinite time and Instead he points out that the question itself
442 THE GREAT IDEAS
is illicit for it assumes a time before time be- To the first question, it does not suffice to
gan. "If before heaven and earth were made," reply by affirming the existence of God. Some
he writes, "there was no time, then what is modern theologians deny God's absolute im-
meant by the question 'What were You doing mutability, and so deny the eternality of His
then?' If there was not any time, there was not being in the precise sense under consideration.
any 'then.' " In the phrase "before creation" With regard to the second question, we must
the word "before" has no temporal significance. observe that, in the tradition of the great books,
It signifies a different kind of priority-the eternality has been claimed for two things other
sense in which eternity precedes time, the sense than God, namely, for truth and ideas. What-
in which Augustine says of God that "it is not ever "is produced by reasoning aright," Hobbes
in time that You are before all time .... You says, is "general, eternal, and immutable
are before all the past by the eminence of Your truth." On somewhat different grounds James
ever-present eternity." declares, "there is no denying the fact that
the mind is filled with necessary and eternal
TURNING FROM eternity in the sense of infinite relations which it finds between certain of
time to the eternal in the sense of the timeless its ideal conceptions, and which form a de-
and unchanging, the great question is whether terminate system, independent of the order of
anything eternal exists. The atoms of Lucretius frequency in which experience may have as-
are not eternal in this sense, nor are the sup- sociated the conception's originals in time and
posedly imperishable heavenly bodies. Nor is space." He quotes Locke to the effect that
it sufficient to point out that change itself in- "truths belonging to the essences of things ...
volves aspects or elements of permanence; for are eternal, and are to be found out only by the
the question, strictly interpreted, asks whether contemplation of those essences."
anything exists in and of itself which, having no The common phrase-"the eternal verities"
beginning or end, also has no past, present, or -which James uses testifies to the prevalence
future-no temporal phases in its continued of the notion that truth itself cannot change,
endurance. Only such a thing would be utterly and that when men speak of a new truth or
non-temporal or changeless. the growth of truth, the change they refer to
Since nothing made of matter is exempt from is only a change of mind with respect to what
motion, it is generally supposed that nO'ma- men think is true or false, not a change in the
terial thing is eternal in this sense. Not even truth itself. Whatever is true now, always was
God is eternal unless God is absolutely immu- true and always will be. Time and change make
table as well as spiritual. The angels are spiritual no difference to the truth'of two plus two equals
beings, yet, according to Christian theology, four.
they cannot be called "eternal" because, in But even so it can still be asked how the
the first place, they are creatures and had an truth exists, for the attribution of eternity to
origin; and, in the second place, they are sub- anything also requires us to consider its mode
ject to spiritual change even if they are not of being. If, for exainple, the truth exists only
involved in the sorts of motion to which bodies in the mind, then it exists unchangingly only
are susceptible. The theologians, therefore, use in the mind of an absolutely infallible knower,
the word "aeviternal" to signify the mode of a mind which neither learns nor forgets, nor
angelic existence in that it is "a mean between changes in any respect with regard to what it
eternity and time." Aeviternity, Aquinas ex- knows. If God is such a knower, eternal truth
plains, has "a beginning but no end," while can have existence in God's mind.
"eternity has neither beginning nor end The theologians sometimes go further and
and time both beginning and end." identify absolute truth, as they identify ab-
solute goodness, with God. Aquinas writes, for
THE QUESTION ABOUT the eternal as timeless example, that "if we speak of truth as it is in
and immutable existence has two parts: Does things, then all things are true by one primary
an immutable God exist? Does anything else truth; to which each one is assimilated accord-
exist which is immutable? ing to its entity, and thus, although the es-
CHAPTER 23: ETERNITY 443
sencesor forms of things are many, yet the theologians give it a posltIve rather than a
truth of the divine intellect is one, in con- negative significance. They mean by it the ac-
formity to which all things are said to be true." tual infinity of perfect being and absolute pow-
On this' view, it would appear that there are er, in sharp distinction from the potential in-
not two eternal beings, but only one. finity by which the mathematicians signify the
William James finds immutability not only lack of a limit in addition or division.
in the truth, but also in the concepts of the These two meanings of "infini ty" seem to par-
human mind. "Each conception," he writes, allel the two meanings of "eternity" which we
"eternally remains what it is, and never can have dealt with throughout this chapter-one
become another. The mind may change its the negative sense in which it means the lack
states, and its meanings, at different times; may of a beginning or an end to time, the other the
drop one conception and take up another, but positive sense in which God's eternity consists
the dropped conception can in no intelligible in that fullness of being which can exist apart
sense be said to change into its successor. ... from time and change. Because our intellects
Thus, amid the flux of opinions and of physical are finite, we may apprehend eternal being in a
things, the 'world of conceptions, or things in- negative manner by calling it "timeless" or by
tended to be thought about, stands stiff and conceiving it as infinite duration, butSpinoza
immutable, like Plato's Realm of Ideas." cautions us against supposing that it can be
In the case of ideas, however, the problem "explained by duration or time, even if the
is complicated by the question whether ideas duration be conceived without beginning or
exist in and by themselves, outside the mind end."
of God or man. If, according to a doctrine at- One other theological discussion raises issues
tributed to Plato and the Platonists, the Ideas which involve in a unique way the two mean-
or Forms exist separately, then they constitute ings of eternity. It deals with the revealed doc-
a realm of eternal beings, for their immutability trine of perdition and salvation as eternal death
is unquestionable. If, from an opposite point of and eternal life. Is the eternality of Hell and
view, the realm of unchanging ideas is identical Heaven equivalent to a period of endless dura-
with the divine intellect, then no eternal being tion or does it mean-more fundamentally-
or beings exist apart from God. the unchanging state of souls after the Last Judg-
ment?
THE PROPOSITION that God is the only eternal According to Augustine and Aquinas, the
being, the only uncreated and immutable exist- eternity of Heaven and Hell means the moral
ence, is inextricably connected with the propo- immutability of the immortal soul as well as the
sition that God is the only actually infinite interminability of the beatitude it enjoys or the
being, the ens realissimum having all perfec- punishment it suffers. Only in Purgatory does a
tions. "Eternity is the very essence of God," change of moral state occur, but the process of
Spinoza writes, "in so far as that essence in- purification which takes place there is always
volves necessary existence." In saying this he limited in period. Purgatory is, therefore, not
appeals to his definition of eternity, by which eternal in either sense.
we are to understand "existence itself, so far As Kant sees it, however, the after-life must
as it is conceived necessarily to follow from the not only be interminable, or of infinite duration,
definition alone of the eternal thing." For but it must also permit a progressive moral de-
Spinoza, as well as for Aquinas, the same fact velopment without end. Man is justified, ac-
which makes God eternal-namely, the iden- cording to Kant, "in hoping for an endless du-
tity of his essence and existence-also consti- ration of his existence" only on the ground that
tutes his infinity and uniqueness. It is impossi- "the holiness which the Christian law requires
ble, Spinoza argues, for there to be two infinite ... leaves the creature nothing but a progress
substances. For the same reason, there cannot in infinitum." From still another point of view,
be two eternal beings. Dr. Johnson questions the traditional Christian
As indicated in the chapter on INFINITY, dogma that the souls of the blessed are secure in
when the word "infinite" is applied to God, the a perpetual state of rectitude-in this resp~ct
444 THE GREAT IDEAS
like the good angels who are confirmed in their On Dr. Johnson's theory, the moral condi-
goodness from .the first instant of creation. tion of the damned seems to be immutable. It
Boswell had "ventured to ask hi!ll whether, is irremediable even by the punishments which,
although the words of some texts of Scripture according to him, may exercise some deterrent
seemed strong in support of the dreadful doc- effect upon the blessed who, he seems to think,
trine of an eternity of punishmeQt, we might are not as unalterably set in the path of right-
not hope that the denunciation was figurative, eousness as the wicked are in their iniquity.
and would not be literally executed." To this, On any of these conceptions of Heaven and
Dr. Johnson replied: "Sir, you are to consider Hell, and of the state of the soul in the after-
the intention of punishment in a future state. life, the meaning of "eternity" is somewhat
We have no reason to be sure that we shall then altered; for eternal life or eternal death is con-
be no longer able to offend against God. We do ceived as having a beginning, if not.an end, for
not know that even the angels are quite in a the individual soul. As in the case of all funda-
state of security.... It may, therefore, perhaps mental religious dogmas, the truth asserted re-
be necessary, in order to preserve both men and mains obscure and mysterious. It is not only
angels in a state of rectitude, that they should beyond imagination, but also beyond any ade-
have continually before them the punishment quaterational conception, analysis, or demon-
of those who have deviated from it." stration.
OUTLINE OF TOPICS
PAGE
I. Eternity as timelessness and immutability or as endless and infinite time: the distinc-
tion between eternity and time 445
la. The priority of eternity to time 446
lb. Aeviternity as intermediate between eternity and time
2. The issue concerning the infinity of time and the eternity of the world or of motion
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-28,J 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one .column, the letters a and b refer to the
upper and lower hal ves of the page. For exam pie, in 53 TAMES: Psychology,116a-119b, the passage
begins in the upper half of page II6 and ends in the lower half of page 119- When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halves of the right-hand side of
t.hepage. Forexample,in 7 PI.ATO: Symposium,163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK 1I [265-283]12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah,'7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, ,consult the Preface.'
CROSS-REFERENCES
For: Other discussions of the distinction between eternity as infinite time and eternity as time-
lessness, see TIME 2; and for the relation of eternity to time, see TIME 2C.
Another consideration of infinite time, see INFINITY 3e.
The controversy concerning the infinity of time and the eternity of the world or motion,
see ASTRONOMY 8C(I), 8d; CHANGE 13; TIME 2b; WORLD 4a; and for the relation of creation
to eternity and time, see GOD 7a; TIME 2C; WORLD 4e(2).
The notion of permanent elements or principles of change, see CHANGE 2.
Other discussions of the eternity of God, see CHANGE I sc; GOD 4d.
The conception of the angels as aeviternal, see ANGEL 3c; TIME 2a.
The discussion of imperishable or incorruptible bodies, see ASTRONOMY 8a; BEING 7b(3);
CHANGE I DC; ELEMENT sa.
The consideration of the eternality of truth and of ideas, see CHA:.IGE I 5a; FORM 2b; IDEA Ie;
IMMORTALITY 6c; TRUTH S.
The conception of the eternity of Heaven and Hell or of eternal salvation and damnation, see
HAPPINESS 7c; IMMORTALITY Se-Sf; PL'NISHMENT se( I); SIN 6d.
The problem of the knowability of the infinite, see INFINI'fY 6b; KNOWLEDGE sa(4).
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World. but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
T HIS chapter belongs to Darwin. Not that only on philosophical thought, but also on the
his writings, which are cited under almost direction of research in all the biological sciences.
all headings, stand alone in the various places
they appear. The point is rather that many of WITH REGARD TO Darwin's predecessors the
the topics are dictated by and draw their mean- question is not so much one of their influence
ing from his thought, and that he figures in all upon him as of their anticipation, in one way or
the major issues connected with the origin of another, of his discoveries, his conceptions, and
species, the theory of evolution, and the place his theory.
of man in the order of nature. With respect to The observation made in antiquity concern-
the matters under consideration in this chapter, ing a hillside deposit of marine fossils is some-
the other writers in the tradition of the great times taken as implying an early recognition of
books cannot escape from being classified as the evolution of terrestrial life. More apposite
coming before or after Darwin, or as being with perhaps is the statement by Lucretius that "the
or against' him. new earth first put forth grass and bushes, and
Darwin's influence on later writers may be next gave birth to the races of mortal creatures
Yariously estimated, but it is plainly marked by springing up many in number in many ways
their use of his language and their reference to after divers fashions." Lucretius also speaks of
his fundamental notions. James' Principles of strange monsters which nature did not permit
Psychology, especially in its chapters on instinct to survive. "Nature set a ban on their increase
and emotion, views the behavior of men and and they could not reach the coveted flower of
animals and the phenomena of intelligence or age nor find food nor be united in marriage ...
mind in evolutionary terms. The writings of And many races of living things must then have
Freud are similarly dominated by the genetic died out and been unable to beget and continue
approach and by an appeal to man's animal their breed." Those which survived, he adds,
ancestry in order to explain the inherited con- had qualities which "protected and preserved
stitution of his psyche in conformity with the each particular race."
doctrine of evolution. Apparently susceptible to similar interpreta-
Outside psychology the concept of evolution tion are Aristotle's statements that "nature
is reflected in theories of progress or of a dia- proceeds little by little from things lifeless to
lecticaldevelopment in history; as, for example, animal life"; that "there is observed in plants
in the dialectical or historical materialism of a continuous scale ofascent toward theanimal";
Marx and Engels, which is set forth in the and that "throughout the entire animal scale
latter's Dialectics of Nature. An even more there is a graduated differentiation in amount
general re-orientation of philosophy, which of vitality and in capacity for motion." Augus-
stems from an evolutionary way of thinking, is tine's commentary on the first chapter of
to be found in the writings of Bergson and Genesis seems even more explicitly to contem-
Dewey, such as Creative Evolution and The In- . plate the successive appearance of the various
jluence of Darwin on Philosophy. These, along forms oflife. Plants and animals did not actually
with many of the specifically biological works exist when the world began. Though their
cited in the list of Additional Readings, give causes were created by God and existed from
some measure of the influence of Darwin not the beginning, the actual production of plants
451
452 THE GREAT IDEAS
and animals in their various kinds is, as Aquinas but also the disposition of their remaining parts,
tells us while summarizing Augustine's view, and when we find here the wonderful simplicity
"the work of propagation"-not of creation. of the original plan, which has been able to
Like Aristotle. both Aquinas and Locke repre- produce such an immense variety of species by
sen t the world of living organisms as a graduated the shortening of one member and the length-
scale ascending from less to more perfect forms ening of another, by the involution of this part
of life. But where Aquinas tends to conceive and the evolution of that, there gleams upon
that graduated scale as a hierarchy involving the mind a ray of hope, however faint, that the
essential differences, Locke sees an almost per- principle of the mechanism of nature, apart
fect continuity involving only differences in from which there can be no na tural science at
degree. "In all the visible world," he writes, all, may yet enable us to arrive at some explana-
"we see no chasms or gaps." To illustrate this, tion in the case of organic life. This analogy of
he points out that "there are fishes that have forms, which in all their differences seem to be
wings, and are not strangers to the airy region; produced in accordance with a common type,
and there are some birds that are inhabitants strengthens the suspicion that they have an
of the water, whose blood is cold as fishes ... actual kinship due to descent from a common
There are animals so near of kin to both birds parent. This we might trace in the gradual
and beasts that they are in the middle between approximation ofone animal species to another,
both: amphibious animals link the terrestrial from that in'which the principle of ends seems
and aquatic together ... and the animal and best authenticated, namely from man, back to
vegetable kingdoms are so nearly joined, that, the polyp, and from this back even to mosses
if you will take the lowest of one and the highest and lichens, and finally to the lowest perceiv-
of the other, there will scarce be perceived any able stage of nature."
great difference between them: and so on, till
we come to the lowest and the most inorga~ical FINDING ANTICIPATIONS of Darwin involves
parts of matter, we shall find everywhere that judgments much more subject to controversy
the several species are linked together, and than tracing his influences. It is questionable,
differ but in almost insensible degrees." for example, whether the suggestive passages
But for the theory of evolution the observa- in Lucretius and Locke bear more than a super-
tion of a hierarchy in nature, or even of a con- ficial resemblance to Darwin's thought. The
tinuity in which the species differ by "almost matter is further complicated by Darwin's own
insensible degrees," constitutes only back- sense of his divergence from and disagreement
ground. What the theory of evolution brings with his predecessors-both immediate precur-
to the fore is the notion of a developmental or sors like Buffon and Linnaeus and earlier phi-
genetic relation among the various forms of losophers and theologians.
life. Because it seems to contain this insight, Darwin tells us himself of his quarrel with
the anticipation of Darwin to be found in the theologians. His followers elaborate on the
Kant's Critique of Judgement is perhaps the opposition between his conception of species
most remarkable; even though, in a closely and that of Aristotle, an opposition which Dar-
related passage in which Kant discusses epi- win intimates by the great stress he lays on the
genesis, he uses the word "evolution" in a sense difference between a static taxonomy and a
quite contrary to Darwin's conception. dynamic or genealogical classification of living
"It is praiseworthy," Kant writes, "to em- things.
ploy a comparative anatomy and go through We must therefore try to locate the central
the vast creation of organized beings in order points of Darwin's theory in order to judge
to see if there is not discoverable in it some comparable views for their agreement or dis-
trace of a system, and indeed of a system follow- agreement.
ing a genetic principle ... Whenwe consider the As the title of his major work indicates, it is
agreement of so many genera of animals in a not evolution as a grand scheme of biological,
certain common schema, which apparently un- or cosmic, history, but the origin of species with
derlies not only the structure of their bones, which Darwin seems to be principally con-
CHAPTER 24: EVOLUTION 453
cerned. He is concerned with establishing the phyla, families, and orders. But there are also
fact that new species do originate in the course smaller groupings within a species. There are
of time, against those who suppose the species races or varieties and sub-varieties, the mem-
of living things to be fixed in number and im- bers of which share the characteristics of the
mutable in type throughout the ages. He is species but differ from one another in other
concerned with describing the circumstances respects. Ultimately, of course, within the
under which new species arise and other forms smallest class the systematist bothers to define,
cease to have the status of species or become each individual differs from every other in the
extinct. He is concerned with formulating the same group with whom, at the same time, it
various factors in the differentiation of species, shares certain characteristics of the race, the
and with showing, against those who think a species, the genus, and all the larger classes to
new species requires a special act of creation, which they belong.
tha t the origin of species, like their extinction, This general plan of botanical or zoological
is entirely a natural process which requires no classification does not seem to give species pe-
factors other than those at work every day in culiar status in the hierarchy of classes or group-
the life, death, and breeding of plants and ings or to distinguish it from other classes
animals. Only as a consequence of these pri- except as these are more or less inclusive than
mary considerations does he engage in specula- itself. Why then should attention be focused
tions about the moving panorama of life on on the origin of species, rather than of varieties
earth from its beginnings to its present and its or of genera?
future. One part of the answer comes from the
Darwin looks upon the term "species" as facts of generation or reproduction. Offspring
"arbitrarily given," and for that reason does tend to differ from their parents, as well as
not attempt any strict definition of it. He uses from each other, but they also tend to re-
it, moreover, like his predecessors in systematic semble one another. "A given germ," Aristotle
biological classification, to signify "a set of in- writes, "does not give rise to any chance living
dividuals closely resembling each other"-a being, nor spring from any chance one; but
class of plants or animals having certain com- each germ springs from a definite parent and
mon characteristics. Darwin would probably gives rise to a definite progeny." This is an
agree with Locke's criticism of those who sup- early formulation of the insight that in the
pose that our definitions of species grasp the process of reproduction, the law of like generat-
real essences or relate to the substantial forms ing like always holds for those characteristics
inherent in things. As indicated in the chapter which identify the species of ancestors and
on DEFINITION, Locke insists that our notion progeny.
of a species expresses only what he calls the In other words, a species always breeds true;
"nominal essence"-a set of characteristics we its members always generate organisms which
attach to the name we give things of a sort can be classified as belonging to the same
when we group them and separate them in our species, however much they vary among them-
classifica tions. "The boundaries of species, selves as individuals within the group. Further-
whereby man sorts [things], are made by men," more, the sub-groups-the races or varieties-
he writes; "the essences of the species, dis- of a species are able to breed with one another,
tinguished by different names, are ... of man's but diverse species cannot interbreed. Organ-
making." isms different in species either cannot mate
Species is not the only term of classification. productively at all, or if crossbred, like the
A genus, for example, is a more inclusive group horse and the ass, they produce a sterile hy-
than a species. Groups which differ specifically brid like the mule.
belong to the same genus if their difference is In the hierarchy of classes, then, species
accompanied by the possession of common would seem to be distinguished from all smaller
traits. As species differ from one another within groupings by their stability from generation to
a generic group, so genera are in turn sub- generation. If species are thus self-perpetuating,
classes of more inclusive groupings, such as they in turn give stability to all the larger
454 THE GREAT IDEAS
groupings-the genera, phyla, families-which vanetles to breed true; his own observations
remain as fixed from generation to generation of the geographical distribution of species of
as the species which constitute them. Hence flora and fauna, especially those separated from
the question of origin applies peculiarly to one another by impassable barriers; the facts of
species rather than to varieties or to genera. comparative anatomy and embryology which
On the supposition stated, no origin of reveal affinities in organic structure and de-
species would seem to be possible except by a velopment between organisms distinct in
special act of creation. Either all the existing species; and the geological record which in-
species of organisms have always existed from dicates the great antiquity of life upon the
the beginning of life on earth; or, if in the earth, which gives evidence of the cataclysmic
course of ages new species have arisen, their changes in the earth's surface (with conse-
appearance cannot be accounted for by natural quences for the survival of life), and which
generation. By the law of natural generation, above all contains the fossil remains of forms of
offspring will always be of the same species as life now extinct but not dissimilar from species
the parent organisms. alive in the present age.
Spontaneous generation, of course, remains a Briefly stated, Darwin's insight is that new
possibility. A new species of organism might species arise when, among the varieties of an ex-
come to be without being generated by other isting species, certain intermediate forms be-
living organisms. But apart from the question come extinct, and the other circumstances are
of fact (i.e., whether spontaneous generation such that the surviving varieties, now become
ever does occur), such origin of a form of life more sharply separated from one another in
seems to lie outside the operation of natural type, are able to reproduce their kind, and, in
causes and to imply the intervention of super- the course of many generations of inbreeding,
na tural power. also tend to breed true. They thus perpetuate
The possibility of spontaneous generation their type until each in turn ceases to be a spe-
was entertained in antiquity and the Middle cies and becomes a genus when its own extreme
Ages, and was even thought to be supported by varieties, separated by the extinction of inter-
observation, such as that of maggots emerging mediates, become new species, as they them-
from putrefying matter. But modern science selves did at an earlier stage of history. For the
tends to affirm the biogenetic law that living or- very same reason that Darwin says "a well-
ganisms are generated only by living organisms. marked variety may be called an incipient
To Kant, the notion that "life could have species," a species may be called an incipient
sprung up from the nature of what is void of genus.
life," seems not only contrary to fact, but The point is misunderstood if it is supposed
absurd or unreasonable. Yet, while affirming that when new species originate from old, both
the principle that like produces like by insisting the new and the old continue to survive as
upon "the generation of something organic species. On the contrary, when in the course
from something else that is also organic," of thousands of generations some of the varie-
Kant does not carry that principle to the point ties of a species achieve the status of species,
where it would make the generation of a new the species from which they originated by
species impossible. "Within the class of organic variation ceases to be a species and becomes
beings," he writes, it is possible for one organ- a genus.
ism to generate another "differing specifically "The only distinction between species and
from it." well-marked varieties," Darwin writes, "is that
the latter are known, or believed, to be con-
AGAINST THE BACKGROUND of these varIOUS nected at the present day with intermediate
suppositions, Darwin is moved to a new in- gradations, whereas species were formerly thus
sight by the conjunction of certain types of connected ... It is quite possible that forms
fact: the results of breeding under domestica- now generally acknowledged to be merely
tion which exhibit the great range of variation varieties may hereafter be thought worthy of
within a species and the tendency of inbred specific names; and in this case scientific and
CHAPTER 24: EVOLUTION 455
common language will come into accordance. tween two given species must be infinite in
In short, we shall have to treat species in the number, which is impossible."
same manner as those naturalists treat genera The Russian geneticist, Theodore Dobzhan-
who admit that genera are merely artificial sky, gives an interpretation of continuity in
combinations made for convenience ... Our nature which differs from Kant's in that it
classifica tions will come to be, as far as they follows and applies Darwin's conception of
can be so made, genealogies." species and their origin. According to him, if
The origin ofspecies thus seems to be identical we suppose the extreme case of all possible
with the extinction ofintermediate varieties, com- genetic variations being alive on earth to-
bined with the survival of one or more of the gether, the result would be not an infinite
extreme varieties. These seem to be simply two number of species, but no species and genera at
ways oflooking at the same thing. Still another all. The array of plants and animals would
way of seeing the point m'ly be achieved by approach a perfectly continuous series in which
supposing, contrary to fact, the survival of all there would only be individual differences.
the varieties ever produced through the breed- There would be no specific or generic group-
ing of organisms. ings of the sort now made in our classification
"If my theory be true," Darwin writes, of the forms of life.
"numberless intermediate varieties, linking
closely together all the species of the same ON DARWIN's conception of the origin of spe-
group, must assuredly have existed; but the cies its causes divide into two sets of factors:
very process of natural selection constantly first, those which determine the extinction or
tends, as has been so often remarked, to ex- survival of organisms and, with their survival,
terminate the parent-forms and the inter- their opportunities for mating and reproduc-
mediate links." If one were to suppose the tion; second, those which determine the trans-
simultaneous co-existence of all intermediate mission of characteristics from one generation
varieties in the present day, the groups now to another and the variation of offspring from
called "species" would be continuously con- their ancestors and from each other. Without
nected by slight differences among their mem- genetic variation there would be no range of
bers and would not, therefore, be divided into differences within a group on which the factors
distinct species, as they now are because certain of selection could operate. Without the in-
links are missing. heritance of ancestral traits there would be no
In the Critique of Pure Reason, Kant states perpetuation of group characteristics in the
the principle of continuity in the following organisms which manage to survive and re-
manner. "This principle," he writes, "in- produce.
dicates that all differences of species limit each For Darwin the operation of the first set of
other, and do not admit of transition from one factors constitutes the process of natural selec-
to another by a sallus, but only through smaller tion. This may take place in many ways:
degrees of the difference between the one through geological catastrophes which make
species and the other. In one word, there are certain areas of the earth's surface uninhabit-
no species or sub-species which ... are the able for all organisms, or for those types which
nearest possible to each other; intermediate cannot adapt themselves to the radically
species or sub-species being always possible, the changed environment; through the competi-
difference of which from each of the former is tion among organisms for the limi ted food
always smaller than the difference existing supply available in their habitat; through the
between these." But, Kant adds, "it is plain struggle for existence in which organisms not
that this continuity of forms is a mere idea, to only compete for food but also prey upon one
which no adequate object can be discovered in another; through the sexual selection which
experience," partly because "the species in operates within a group when some organisms
nature are really divided ... and if the gradual are prevented by others from mating and
progression through their affinity were con- reproducing; and through all the obstacles
tinuous, the intermediate members lying be- which isolate groups from interbreeding, in-
456 THE GREAT IDEAS
cludinggeographical and physiological in- separate identities. They can therefore be re-
accessibility. assorted and enter into new genetic combina-
The struggle for existence is not only a tions in the next generation. Most important of
struggle to survive, but also a struggle to re- all, Darwin thinks that new forms of life arise
produce. Natural selection operates with re- gradually as the result of a continuous accumu-
spect to. reproduction as well as survival. lation of slight and . .imperceptible variations.
Whether the survival is of the fittest alone, or The opposite view is now taken. The discovery
whether the multiplication of inferior organ- of abrupt mutations in a single generation dis-
isms also gives evolution another direction, has countenances Darwin's maxim natura non facit
been disputed since Darwin's day; but ac- saltum-"nature does nothing by jumps."
cording to his theory, "natural selection works These advances in genetics since Darwin's
solely by and for the good of each being; all day do not alter the main outlines of his theory.
corporeal and mental endowments will tend to The mechanisms of heredity may be much
progress toward perfection ... Thus, from the more complicated than Darwin knew,and
war of nature, from famine and death ... the involve much of which he was ignorant, such
production of the higher animals directly fol- as mutation-rates, or the various. types, causes,
lows." and effects of hybridization. But that merely
With respect to the factors of heredity and leads to a more elaborate or different explana-
variation, tremendous advances since Darwin tion of genetic variation in offspring and the
in the experimental science of genetics require transmission of ancestral traits. No matter how
revisions in this part of his theory of evolution. these are explained, their occurrence is all that
This is particularly true of the researches of is needed to permit new species to originate
Mendel, Ba teson, and Morgan concerning the through natural processes of heredity and
ways in which genetic factors operate. But on selection. "If Darwin were alive today," Julian
one major point in the theory of heredity Huxley writes, "the title of his book would
Darwin holds a view which later investiga tions have to be not the 'origin' but the 'Origins of
have tended to confirm. Antedating Weismann, Species.' For perhaps the most Salient single
he nevertheless opposes Lamarck's theory of fact that has emerged from recent studies is
the inheritance of acquired characteristics. As that species may arise in a number of quite
William James expresses it, where Lamarck sup- distinct ways."
poses that environmental influences cause
changes in the structure or functioning of the THE READER MUST judge for himself to what
organism which then become hereditary, Dar- extent Darwin's theory of evolution was an-
win regards the environment merely as a selec- ticipated by those whQ, like Augustine, affirm
tive agency, acting upon variations produced the appearance of new species of life on earthat
entirely by causes operating in the breeding various stages in its history, or even by a writer
process. James thinks "the evidence for Mr. like Kant, who seems to possess the germ of its
Darwin's view ... [was] ... quite convincing," insight.
even before it received the support of. Weis- The critical test in every case is whether
mann's theory, according to which it is "a those who affirm the occurrence of new species
priori impossible that any peculiarity acquired by natural processes rather than bysp~cial
during the .lifetime by the parent should be creation, think of them as simply added to the
transmitted to the germ." organic forms already in existence .without any
The situation is not the same with regard,to change in the status as species of the pre-exist-
Darwin's views on the mechanism of heredity. ing forms. Those who think in this way do not
Writing before Mendel's classic experiments in have Darwin's idea of the origin of species; for
hybridization, Darwin seems to suppose a in, conceiving an increase in the number of
blending of hereditary factors; whereas, ac- species as merely a matter of addition, they
cording to Mendel, inheritance is particulate. necessarily attribute stability to each species,
Distinct genetic .factors combine to produce a new as well as old. By this test, not even Kant
certain somatic result without. losing their seems to be near the center of Darwin's hy-
CHAPTER 24: EVOLUTION 457
pothesis of the origin of species by the extinc- number. Analogy would lead me one step
tion of intermediate varieties. farther, namely, to the belief that all animals
In comparing Darwin with certain of his and plants are descended from some one proto-
predecessors, notably Aristotle and Aquinas, it type. But analogy may be a deceitful guide."
seems necessary to apply another kind of test. It is immaterial to the theory of evolution, he
Here the problem is not so much one of dis- adds, whether this inference, "chiefly grounded
covering affinities or disagreements, as one of on analogy ... be accepted."
determining whether they are talking about The issue between Darwin and the theo-
the same thing and therefore, when they ap- logians mayor may not be genuine according
pear to disagree, whether the issue between to the interpretation of this passage, and ac-
them is genuine. They do not seem to conceive cording to the possibility of a double use of the
a species in the same way. Certainly they use word "species"-for both the small number of
the word differently. This affects the way in progenitors from which all the extant types of
which the whole problem of origins is under- plants and animals have evolved, and for a very
stood. The controversies concerning the fixity large number of those extan t types. If the
or mutability of species, concerning evolution theologians use the word "species" in the first
and creation, and concerning the origin of man sense, and Darwin in the second, they need not
involve genuine issues only if those who seem be in disagreement. The "view of life" which
to disagree do not use the word "species" in Darwin attributes to certain eminent authori-
widely different senses. ties, he himself does not flatly reject, namely,
It is possible tha t certain forms oflife do not that life, "with its several powers [has] been
originate by descent from a common ancestor originally breathed by the Creator into a few
and do not derive their status as quite distinct forms or into one."
types from the mere absence of intermediate Is there common ground here in the' ad-
varieties-varieties which once must have ex- mitted possibility that life may have been
isted but are now extinct. If such forms were originally created in a small number of distinct
to be called "species," the word would have a forms and that these are to be regarded as
different meaning from the meaning it has species in one conception, though not in
when applied to types of pigeons, beetles, or another? If so, the affirma tion of a certain
rats. fixity t~ species would apply only to a few
The first of these two meanings may express primordial forms. Concerning forms which
the philosophical conception of a living species have appeared with the passage of time, two
as a class of organisms having the same essential questions would have to be answered. First,
nature, according to which conception there are they species in the philosopher's sense of
never could have been intermediate varieties. distinct and immutable essences, or species in
The second meaning may be that of the scien- the scheme of systematic biological classifica-
tific taxonomist in botany or zoology who con- tion? Second, is their first appearance at an
structs a system of classification, genealogical historical moment due to a special act of
or otherwise. On this meaning, one' million creation, to spontaneous generation, or to
and a half would be a conservative estimate of evolution from already existing organic forms
the number of plant and animal types classi- by "descent with modification"?
fied by the systematist as "species." In contrast, To join issue with Darwin, it would seem to
the number of species, in the philosophical be necessary for the person answering these
sense of distinct essences, would be extremely questions to use the word "species" in the
small. biologist's sense and at the same time to ac-
Darwin, for example, says, "I cannot doubt count for the historical origin of the new species
that the theory of descent with modification by special creation or spontaneous generation.
embraces all the members of the same great But in the tradition of the great books, theo-
class or kingdom. I believe that animals are logians like Augustine and Aquinas do not
descended from at most only four or five pro- attribute to God any special acts of creation
genitors, and plants from an equal or lesser after the original production of the world,
458 THE GREAT IDEAS
except to explain the origin of individual mediately from God." He does not reject the
human souls. suggestion of Augustine that the human body
"Nothing entirely new was afterwards made may have preexisted in other creatures as an
by God," Aquinas writes, "but all things dfec! preexists in its causes. But he adds the
subsequently made had in a sense been made qualification that it preexists in its causes only
before in the work of the six days ... Some ex- in the manner of a "passive potentiality," so
isted not only in matter, but also in their that "it can be produced out of pre-existing
causes, as those individual creatures that are matter only by God." A Christian theologian
now generated existed in the first of their kind. like Aquinas might entertain the hypothesis of
Species also that are new, if any such appear, emergent evolution as applied to .the human
existed beforehand in various active powers; so organism, but only with the qualification that
that animals, and perhaps even new species of natural causes by themselves do not suffice for
animals, are produced by putrefaction by the the production of man.
power which the stars and elements received at On the second view" which is Darwin's, man
the beginning. Again, animals of new kinds and the anthropoid apes have descended from a
arise occasionally from the connection of in- common ancestral form which is now e.xtinct,
dividuals belonging to different species, as the as are also many of the intermediate varieties
mule is the offspring of an ass and a mare, but in the chain of development-unless, as it is
even these existed previously in their causes, in sometimes thought, certain fossil remains sup-
the work of the six days." ply some of the missing links. "The great break
in the organic chain between man and his near-
WHETHER OR NOT the theologian's conception est allies, which cannot be bridged over by any
of an historical development of the forms oflife extinct or living species, has Qften been ad-
conforms to the evolutionist's hypothesis, even vanced," Darwin admits, "as a grave objection
though it does not Qffer the same type of ex- to the belief that man is descended from some
planation, is a matter which the reader of the lower form; but this objection," he continues,
texts must decide. But one issue, which still "will not appear of much weight to those who,
remains to be discussed, can leave little doubt from general reasons, believe in the general
of a basic controversy between Darwin and principle of evolution. Breaks often occur in all
some of his predecessors, especially the theo- parts of the series, some being wide, sharp and
logians. defined, others less so in various degrees, as
It concerns the origin and nature of man. It between the orang and its nearest allies-be-
can be stated in terms of two views of human tween the Tarsius and the other Lemuridae-
nature. One is that man is a species in the between the elephant, and in a more striking
philosophical sense, essentially and abruptly manner between the Ornithorhynchus or
distinct from brute animals; the other, that Echidna, and all other mammals." Further-
man is a species in the biologist's sense, and more, Darwin. insists, no one who has read
differs from other animals only by continuous Lyell's Antiquity of Man "will lay much stress
variation. ... on the absence of fossil remains"; for Lyell
On the first view, either man would have to be has shown "that in all the vertebrate classes the
created, in body as well as soul; or if the human discovery of fossil remains has been a very slow
species has an origin which in part or whole in- and fortuitous process. Nor should it be forgot-
volves the operation of natural causes, it must ten that those regions which are the most likely
be conceived as emerging from a lower form of to afford remains connecting man with some
life. The rational soul, Aquinas maintains, "can- extinct ape-like creature, have not as yet been
not come to be except by creation." But it is searched by geologists."
not only man's soul which, according to Aqui- On either of these two conflicting views, the
nas, "cannot be produced save immediately by organic affini ties between man and the most
God." He also insists that "the first formation highly developed mammals would be equally
of the human body could not be by the i~stru intelligible, though they would be differently
mentality of any created power, but was im- interpreted by Aquinas and Darwin. But ac-
CHAPTER 24: EVOLUTION 459
cording to the doctrine of man's creation by potentiality for a variety of forms, Darwin's
God, or even on the hypothesis of emergent theory of descent with modification seems to
evolution, there need not be-strictly speak- be definitely opposed to the hypothesis of
ing, there cannot be-a missing link between emergent evolution. Speaking as a Darwinian,
ape and man, for the emergent species is a James says that "the point which as evolution-
whole step upward in the scale of life. Man is ists we are bound to hold fast to is that all the
thus not one of several organic types which new forms of being that make their appearance
have become species through the extinction of are really nothing more than results of the
intermediate varieties, and hence he differs redistribution of the original and unchanging
from other animals not in an accidental, but materials ... No new natures, no factors not
rather in an essential manner-that is, he dif- present at the beginning, are introduced at
fers in kind rather than degree. any la ter stage."
This issue concerning human nature is dis- In this dispute between two theories of evo-
cussed from other points of view in the chap- lution, does not the solution depend in every
ters on ANIMAL and MAN. Here the issue, case upon a prior question concerning the rela-
stated in terms of man's origin, seems to in- tion of the species under consideration-
volve three possibilities: special creation, evo- whether or not it is possible for them to be or to
lution by descent from a common ancestor, have been developmentally connected by in-
and emergent evolution. But these three termediate varieties? If, for example, the
possibilities apply not only to man, but tothe evidence were to prove that man and ape, as
origin of every species which did not exist at they now exist in the world, are essentially
the first momen t of life on earth. distinct-different in kind-then no inter-
The hypothesis of special creation does not mediate varieties could ever have existed to
seem to be held by the theologians, at least not account for their descent from a common an-
in the tradition of the great books. The hy- cestor. If, on the other hand, the evidence
pothesis of emergent evolution raises questions were to prove that they differ only in degree,
concerning the factors-natural or super- then no difficulty stands in the way of the
natural-which must be operative to cause the Darwinian hypothesis. The ultimate issue con-
emergence of higher from lower forms of or- cerning the origin of species would thus seem to
ganic matter. Whether or not Aristotle and reduce to the problem of which meaning of
Aquinas can supply an answer to these ques- "species" applies to the organic types in ques-
tions in terms of their theory of matter's tion.
OUTLINE OF TOPICS
PAGE
I. The classification of animals
la. Comparison of genealogical classification with other types of taxonomy: the
phylogenetic series
lb. The criteria for distinguishing races or varieties, species, genera, and all higher
taxonomic groupings
REFERENCES 'r'
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred ,to. For example, in 4 HOMER,: Uiad,. B,K II [265-283].l2d, the
number 4 is the number of the volume in the setj the number 12d indicates that the pas-
sage is in section ,d. of page 12. , ' ,
, PAGE SECTIONs:,When the text i~ printed in one column, theIetters a and b refer to the
upper and lower halves of the pa,ge. For example, in 53 JAMES: Psychology, U6a-1l9b, the passage
begins in the upper half of page II6 and ends in the lower half of page II9. When the text is
printed in two columns, the letters a and b refer to the upper. and lower halves of the left-
hand side of the page, the letters C and d to the upper and lower halves of the right-hand side of
the page. Forexample,in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and endsin the upper half of the right~hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the referencej line numbers, in brackets, are given incer-
taiD. caseSj e.g., Iliad, BK II [26S":283112d. '
BlUE REFERENCES: The referenc~s are to book, chapter, and verse. When the King James
and Douay versions differ in title of bookS or in the.numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), followsj e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) 11 Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole referencej "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For ~dditional information concerning the style of the reference~, see i:he Explanation of
Reference Stylej for general guidance in the use of The Great Ideas, consult the Preface.
CROSS~REFERENCES.
.. :. . '
For: Other discussions of the classification of animals, seeANI~AL 2a-2Cj LIFE AND qE;AT~ ,,3bj
and for the distinction between species and genera in relation to definition and classifica-
tion; see DEFINITION la, 2b, 2dj RELATION 5a(4)j SAME AND OTHER 3a(I).
Other considerations of the problem of heredity, see ANIMAL IOj FAMILY 6b; HABlr 3e.
Matters relevant to the origin of life, and of the major forms of life, see ANIMAL I b, 8a-8bj
. LIFE AND DEATH:?, 3a,
Another treatment of the conflict of organisms in the struggle for existence, see OPPOSITION
3e.
Matters relevant to the origin of man and to his affinity withoiher animals, see ANIMAL Ie-
IC(2)j MAN la-Ic, 4b-4C, 8-8cj MIND 3a-3bj SOUL 2C(2}-:-2C(3).
Evolution'in relation to the idea of progress, see PROGRESS 2jand for.matters bearing on social
and mental evolution in human history, see HISTORY 4b; MAN 9Cj MIND 3Cj PROGRESS I b,
6j TIME 8a.
'.'
ADDITIONAL READINGS
Listed below are works nQt included i.n Great Books ofthe Western World, but ,relevant to the
idea and topics with which this chapter deals. These works are divided int,o two groups;
I. Works'by authors represented in this collection.' .
II. Works. by authors not represented in this collection.
For the date, place. and other facts concerning the publication ,of the works cited. consult
the Bibli<Jgraphy of A-dditional Readings which follows the last chapter of The Great Ideas.
E. HAIUMANN. Philosophy ofthe Unconscious. (c) x
I. LEWES. Problems of Life and Mind
A?GUSTINE. De Gene~i ad Litteram ROMANES. Mental EvolT,ltion in Animals
GOETHE. Metamorphose.der PJlan.zen S. BUTLER. Darwin Among !he Machines
C. R. DARWIN. Foundations ofthe OriginofSpecies - - . Evolution. Old and New
- - . A Posthumous Es}ay on Instinct - - . Note-Books' .
- - . The Variation of A1/imals and Plants Under C. S. PEIRCE. Collected Papers. VOL VI. par 13-17.
Domestication . 28 7-3 17
ENGELS. Dialectics of Nature FRAZER. The Golden Bough. PART'U, CH 7; PART VII
WEISMANN. Studies in the Theory of Descent
II - - . Essays upon Heredity and Kindred Biological
LINNAEUS. Systema Naturae' Problems .
E. DARWIN . Zoonomia . . - - . The Germ-Plasm
BUFFON. "Epochs of Nature,"in Naturq{History T. H. HUXLEY. Man's Place in Nature
LAMARCK. Zoological Philosophy . '--. Darwiniana
CUVIER. The Animal Kingdom . - - . Evolution and Ethics
CHAMBERS. Vestiges' of the Natural History pf Crea- CQPE. The Primary Factors of Organic Evolu#on
tion FISKE. Essays: Historical and Literary. VOL Ii (9)
TENNnoN . Locksley Hall VRIES. The Mutation Theory .
- - . In Memoriam . DEWEY. The Influence of Darwin on Philosophy,
SPENCER. .Prpgress: Its Law and Cause . Title Essay
WALLACE. Contributions to the Theory of Natural HOBHOUSE. Mind in Evolution
Selection' . ... . ' - - . Morals in Evolution
LYELL. Prineiples o/Geology ... BERGSON. Matter flnd Memory
- - . The Geological .Evidences ofthe'Antiquity of - - . Creative Evolution
Man ....., . . D~lliSCH. The Science and Philosophy of the Organ-
MENDEL. Experiments in Plant Hybridization Ism
BAGEHOT. Physics and Politics POULTON. Essays on Evolution
CHAPTER 24: EVOLUTION 467
GALTON. Natural Inheritance T. H. MORGAN. Evolution and Genetics
- - . Essays in Eugenics - - . The Physical Basis of Heredity
D. H. SCOTT. The Evolution of Plants - - . The Theory of the Gene
BATESON. Problems of Genetics . - - . The Scientific Basis of Evolution
HENDERSON. The Fitness of the Environment MARETT. Head, Heart and Hands in Human Evo-
D. W. THOMPSON. On Growth and Form lution
SHAW. Man and Superman DOBZHANSKY. Genetics and the Origin of Species
- - . Back to Methuselah . ADLER, J?roblemsfor Thomists: The Problem ofSpecies
C. L. MORGAN. Emergent Evolution MAYR. Systematics and the Origin of Species from the
L. T. MORE. The Dogma of Evolution Viewpoint of a Zoologist
SMUTS. Holism and Evolution J. S. HUXLEY. Evolution, the Modern Synthesis, CH 10
McDoUGALL. Modern Materialism and Emergent - - . Evolutionary Ethics
Evolution B. RUSSELL. Religion and Science, CH 3
H. G. WELLS, J. HUXLEY, and G. P. WELLS. Repro- - - . Human Knowledge, Its Scope and Limits,
duction, Genetics and the Development of Sex PART I, CH 4
M. R. COHEN. Reason and Nature, BK II, CH 3 KEITH. A New Theory of Human Evolution
Chapter 25: EXPERIE.NCE
INTRODUCTION
E XPERIENCE is regarded as a source of
knowledge. It is also spoken of as contain-
dictory. According to the context of the dis-
cussion or the subject matter under considera-
ing what is known. tion, the same author will shift from one mean-
Sometimes it is identified with sense-percep- ing to another.
tion; sometimes it involves more-memory and For example, in his account of the origin of
the activity of the imagination. Sometimes it science, Aristotle says that "out of sense-per-
includes thoughts, feelings, and desires as well,ception comes to be what we call memory, and
all the contents of consciousness, every phase ofout of frequently repeated memories of the
mental or psychic life. The temporal flow of same thing develops experience; for a number
experience is then identified with the stream of of memories constitute a single experience."
consciousness. The further product of experience-"the uni-
Experience may connote something which is versal stabilized in its entirety within the soul"
private or public, subjective or objective- -is obtained by abstraction and the related act
something which no man can share with an- of induction or generalization. Art or science
other or something which is common to all men arises, Aristotle writes, "when from many no-
who live in the same world and who are ac- tions gained by experience, one universal judg-
quainted with the same objects. ment about a class of objects is produced."
There are still other divisions of experience: Hence it can be said, he thinks, that from ex-
intuitive or aesthetic experience, religious ex- perience "originate the skill of the craftsman,
perience, and mystical experience. the knowledge of the man of science, skill in the
Experience is said to be tha t which makes a sphere of coming to be and science in the sphere
man expert in an art or in a sphere of practical of being."
activity. A man is better able to do or make In the study of nature, experience, according
that which he has much experience in doing or to Aristotle, is essential for "taking a compre-
making. He is also better able to judge what hensive view of the admitted facts" which can
should be undertaken or what has been ac- come only from dwelling "in intimate associ-
complished by others as well as by himself. In ation with nature and its phenomena." In the
this connection experience is called practical, context of ethical or political problems, he
both because it is the result of practice and be- treats experience as the basis for a prudent
cause it is a means to be used in directing action.
judgment, which is not "concerned with uni-
But it is also praised for the opposite reason- versals only," but "must also recognize the par-
as something to be enjoyed for its own sake, ticulars." This fact, Aristotle writes, explains
serving no end beyond itself unless it be the "why some who do not know," but who "have
enrichment of life by the widest variety of experience, are more practical than others who
experiences. know." In the field of poetry, as in moral mat-
ters, it is the man of experience, according to
THESE ARE SOME of the myriad meanings of Aristotle, who can' best judge what is good or
"experience"-not all, but those which occur bad; he can "judge rightly the works pro-
with major emphasis in the tradition of the duced ... and understand by what means or
great books. No author uses the word in all how they are achieved, and what harmonizes
these senses. Some of these senses are contra- with what," whereas "the inexperienced must
468
CHAPTER 25: EXPERIENCE 469
be content if they do not fail to see whether the The order of nature-the object of the theo-
work has been well or ill made." retic sciences-is the order of experience. In
Hobbes and William James also use the word Kant's technical sense of mogliche erfahrung,
for the possession of expertness or sound judg- nature. is the realm of all possible experience.
ment in practical affairs, as well as in connection His distinction between judgments of percep-
with the origin or nature of knowledge. Hobbes, tion and judgments of experience differentiates
like Aristotle, says that "much memory,or what for other writers is subjective sense-expe-
memory of many things, is called Experience." rience, from knowledge of reality or of objects
He connects it with prudence. It is that knowl- shared by many minds.
edge, he writes, which "is not attained by rea- Experience is the domain of such public ob-
soning, but found as well in brute beasts as in jects precisely because its sense-materials are
man; and is but a memory of successions.. of formed and ordered by the structure of the
events in times past, wherein the omission of mind itself-by the forms of intuition and the
every little circumstance altering the effect, categories of the understanding in a synthesis
frustrates the expectation of the most prudent." which Kant calls the "transcendental unity of
For James, however, experience is usually apperception." Without this synthesis, experi-
identified with the stream of consciousness. ence "would be merely a rhapsody of percep-
"Experience moulds us every hour," he writes, tions, never fitting together into any connected
"and makes of our minds a mirror of the time- text, according to rules of a thoroughly united
andcspace-connections between the things in (possible) consciousness, and therefore never
the world." He distinguishes it from concep- subjected to the transcendental and necessary
tion, reasoning, or thought, and associates it unity of apperception."
with sensation and feeling. "The way of 'experi- Though it may not seem possible, William
ence' proper is the front door," he writes, "the James goes further than Kant in the conception
door of the five senses." of experience as a realm of being. Kant does not
For the most part, experience is a term in think that all possible experience circumscribes
psychological analysis, with implications for, the reality. "That which is ,not phenomenon," he
development of theoretic knowledge or prac- writes, "cannot be an object of experience; it
tical wisdom. That is the way-it is chiefly used can never overstep the limits of sensibility,
by Aquinas, Bacon, Descartes, Spinoza, Locke, within which alone objects are presented to us."
and Hume, as well as the authors already men- In contrast to this phenomenal reality with
tioned. It is still.a term in the dimension of which ,he identifies experience, Kant posits a
psychology when it is used by Plotinus and by nci~menal world --...a world. of intelligible " or
the theologians to discuss the mystical union of supra-sensible beings. To this realm,. Kant
the soul with God. writes, belong those "possible things which are
But with Hume experience also is reality or, not objects of our. senses, but are cogitated by
in his phrase, the realm of "matters of fact and the understanding alone." Since the things
existence,~' as opposed to "relations of ideas." Kant calls ding-an-sich are unconditioned, that
He tends to identify the order oEnature with is, not subject as they are in themselves to the
the succession of events in experience, though forms ofintuition or the categories of the un-
he also seems to conceive a "pre-established derstanding, they cannot have an empirical or
harmony between the course of nature and the sensible reality, but only an intelligible exist-
succession of our ideas." Nature, he goes on to ence.
say,. "has implanted in us an instinct, which William James goes further in his Essays in
carries forward the thought in a .correspondent Radical Empiricism, ,when he takes experience
course to that which she has established among as equivalent to the whole of reality, including
external objects." the actual and the possible or imaginary, ~he
Hume's difficulty or indecision with regard concrete and the abstract, the. objec;tive and
to the objectivity of experience does not appear the subjective. All differentiations must be
in Kant, for whom experience ceases to be psy- made within experience, and experience itself
chological in any subjective sense of that word. is neutral with respect to all distinctions-re-
470 THE GREAT IDEAS
ceptive of all. There can be no meaningful dis- preached that God has revealed to man all he
tinction between experience and some other needs to know in order to live well and be saved.
realm of existence. It is in this all-inclusive sense But this extreme position rejects'the construc-
that experience is said ,to be the central term in tions of reason as well as the rna terials of ex-
the philosophy of John Dewey when it func- perience.
tions as mind does for Hegel, substance for Among philosophers and scientists, concerned
Spinoza, or being for Aquinas and Aristotle. with what man can learn by the exercise of his
own powers, the controversy over experience
WE HAVE GONE from one extreme to another usually involves a distinction between the senses
in passing from a purely psychological to some- and the reason or intellect. As indicated in the
thing like a metaphysical conception of expe- chapters on IDEA, MIND, and SENSE, whether
rience. These are opposite in a way which sug- this distinction can be validly made is itself a
gests the contrast between the practical and major issue in the tradition of the great books.
the aesthetic values of experience-the actively Those who make it, however, tend to regard
useful and the intrinsically enjoyable. At least experience as something which results from the
the metaphysical identification of experience activity of the senses. For them the problem is
with all existence seems analogous to the aes- whether our ideas-the general notions or con-
thetic ideal of a life which embraces every va- cepts that enter into our scientific judgments
riety of experience. and reasoning-come from sense-experience,
There is some intimation ofrhis ideal in the which either is or originates from the percep-
lust for adventure which motivates Ody'eus tion of particulars. The contrast between the
and his men. Dante, in fact, finds the secret of particular and the universal, between percept,
his character in the ardor of Odysseus "to be- sense-impression, or concrete image on the one
come experienced of the world, and of the vices hand, and" concept. or abstract idea, on the
of men, and of their virtue," which'leads him other, lies at the heart of the problem.
"to pursue virtue and knowledge," even to thi: One possibility is that the mind, by processes
point of his "mad flight." ofabstract ion or induction, somehow draws all
There is some suggestion of this ideal of ex- its' concepts and generalizations from experi-
perience in the unbounded vitality of Gargan- ence. Aquinas is representative of this view. He
tua and Pantagruel, and in the enterprise of the adopts Aristotle's notion that the intellect is
Wife of Bath, in Chaucer's tale. But the great "like a tablet on which nothing is written."
poetic expression of this ideal is' written in This tabula rasa depends upon the senses and
Faust-in the worlds of experience Mephistoph- the imagination fat the materials out of which
eles opens to the man who has wagered his soul concepts are formed. "For the intellect to un-
for one ultimately satisfying moment. derstand actually," Aquinas writes, "not only
Whatever toall mankind is assured, when it acquires new knowledge, but also when
I, in my inmost being, will enjoy and knowl it uses knowledge already acquired, there is
Seize with my soul the highest and most deep; need for the act of the imagination and of the
Men's weal and woe upon my bosomhe~p; other powers."
And thus this self of mine to all their selves,
'expanded, ' Without experience the mind would remain
Like them I too at last be stranded. empty, but experience itself does not fill the
intellect with ideas. The activity of the sensi-
THE BASIC ISSUE concerning the role of experi- tivefaculty is not by itself the cause of knowl-
ence in the origin of knowledge, especially' the edge. The perceptions and images furnished by
organized knowledge of the arts and sciences, sense-experience, Aquinas writes, "need to be
tums on whether it is the source or only a Source. made actually intelligible," and this requires
It is rarely if ever supposed that nothing can be the activity of the intellect, not merely its pas-
learned from experience, or that everything sivity in receiving impressions from experience.
worth learning can come to be known entirely For this reason,' he concludes, "it cannot be
apart from experience. During the early cen- said that sensitive knowledge is the total and
turies of Christianity, devoutly religious men perfect ca'use of intellectual knowledge, but
CHAPTER 25: EXPERIENCE 471
rather that it is in a way the material cause." THE FOREGOING views are not a necessary con-
Although experience is the indispensable source sequence of the distinction between the facul-
of the materials on which the intellect actively ties of sense and reason. The theory of innate
works, knowledge worthy of the name of sci- ideas presents another possibility. As expressed
ence or of art does not come from experience by Descartes, for example, this theory holds
alone. that there are "purely intellectual [ideas] which
Thus we see that those who, like Aquinas,. our understanding apprehends by means of a
affirm that there is nothing in the intellect certain inborn light." Hence it would seem that
which was not previously in the senses do not experience can be dispensed with, except for
mean to imply.that the .materials of sense- its value in dealing with particulars. But for
experience reach the intellect untransformed. most of the writers who take this view, experi-
On the contrary, the primary contribution of ence, in addition to providing acquaintance
the intellect is the translation of experienced with particulars, acts as the' stimulus or the
particulars into universal notions. Nor do those occasion for the development of the seeds of
who, like Bacon, affirm that the principles of knowledge implanted in the mind at birth. Al-
knowledge are obtained by induction from though he rests his metaphysics on the innate
experience necessarily imply that all knowl- ideas of self and God, Descartes also appeals to
edge is directly drawn from experience. To. the experimental knowledge in the sphere of natural
extent that deductive reasoning is a way of science. To answer such a question as, "what is
learning new truths, the truths thus learned the nature of the magnet ?'J the inquirer must
derive from experience only indirectly. Their "first collect all the observations with which
direct source is' truths already known, which experience can supply him about this stone,
must in turn have come from experience by and from these he will next try to deduce its
induction. character."
Harvey criticizes those who misconceive the The extreme position which denies any role
part which reason should play in relation to the to experience can be taken only by those who
senses. In the field of his own inquiries, "some think that the growth of actual knowledge
weak and inexperienced persons," he writes, from innate ideas requires no outside impetus;
"vainly seek by dialectics and far-fetched argu- and perhaps also by those who make ideas the
ments,either to upset or establish things that are objects of the mind's intuitive apprehension. It
only to be founded on anatomical demonstra- is questionable whether anyone goes to this
tion, and believed on the evidence of the senses. extreme without the qualification that, for par-
... How difficult it is," he continues, "to teach ticulars at least, sense-experience is knowledge.
those who have no experience, the things of The other extreme-that experience is the
which they have not any knowledge by their only source of knowledge-is approached by
senses!" those who deny the distinction in faculties,
As in. geometry, so in all the sciences, ac- and substitute for the duality of sense and
cording to Harvey, it is the business of reason reason, each with its characteristic contribution
"from things sensible to make rational demon- to human knowledge, a distinction between the
stration of the things that are not sensible; to function of perceiving and that of reworking
render credible or certain things abstruse and the received materials. Though in different
beyond sense from things more manifest and bet- ways. Hobbes, Locke, Berkeley, and Hume all
ter known." Science depends upon both reason appear to take this position.
and sense; but sense, not reason, is the ultimate They represent, according to James, "the
arbiter of what can be accepted as true. "To empirical school in psychology." He tries to
test whether anything has been well or ill ad- summarize their view by saying that "if all the
vanced, to ascertain whether some falsehood connections among ideas in the mind could be
does not lurk under a proposition, it is impera- interpreted as so many combinations of sense-
tive on us," Harvey declares, "to bring it to the data wrought into fixity ... then experience in
proof of sense, and to admit or reject it on the the common and legitimate sense of the word
decision of sense." would he the sole fashioner of the mind." If,
472 THE GREAT IDEAS
in other words, 'all that is done with the sensa- not the only-source of knowledge would also
tions, impressions, or ideas-whatever term is agree that some judgments, especially the basic
used for the original data of experience-con- propositions of science, are a priori. But this
sists in their reproduction by memory and im- does not appear to be the case. Bacon, for ex-
agination, and their comparison, combination, ample, like Aristotle, holds that the principles
and connection in various ways to produce of the various sciences are derived by induction
complex ideas, judgments, and trains of reason- from experience. "There are and can exist," he
ing, then the entire content of humanknowl- writes, "but two ways of investigating and dis-
edge can be reduced to elements derived ex- covering truth. The one hurries.on rapidlyfrom
elusively from experience. the senses and particulars to the most. general
Whether this position is taken with or without axioms, and from them; as principles and their
qualification depends on the disposition that is . supposed indisputable truth, derives and dis~
made of the problem of universals or abstrac- covers the intermediate axioms .... The other
tions,which is more fully discussed in the chap- constructs its axioms from the senses and par-
ters on IDEA, SENSE, and UNIVERSAL. Locke's ticulars, by ascending continually and gradu-
treatment of abstract ideas and the special con- ally, till it finally arrives at the most general
sideration given by Hume to the concepts of axioms." All.axioms, on this view, are a posteriori
mathematics'suggest that there are kinds or propositions., .
aspects of knowledge which cannot be accounted .Descartes and Kant, while differing in the
for by reduction to experience. Both men in- terms of their analysis, think, as we have seen,
troduce a certain qualification upon their em- that the mind itself provides the ground for
piricism. However slight that may be, it does certain judgments which are therefore a priori.
not appear in Hobbes and Berkeley" for .they I t does not even seem to be the case tha t those
completely deny the existence of abstract or who make experience the only source of knowl-
universal notions in the, mind. If ''abstract," edge regard all propositions as a posteriOri.
"universal," or "general" applies to names Hume's treatment of mathematical proposi-
alone," then .the mind or understanding adds tions and James' treatment of axioms or nec-
nothing to, and does not radically. transform, essary truths seem to be the exceptions here.
the materials of experience. There is still another way in which the issue
can be stated. The question is whether human
THE CONTROVERSY concerning experience' and knowledge extends to objects beyond experi-
knowledge can also be stated in terms of the ence, to things or beings which are ,not sensible
opposition between the a priori and the a poste- and which transcend all possible.exp.erience.
riori. These terms are sometimes used to signify Again it might. be supposed that those who
what is possessed before and what comes after take an a posteriori view of the origin of knowl-
or from experience, and sometimes they are edge would also limit apprehension to things
used to indicate, without reference to the time experienceable. But Aristotle and Aquinas seem
order, what is independent of and what is de- to say that the origin of knowledge from experi-
pendent upon experience. ence does not restrict the knowable to things
The distinction between the a priori and the capable of being experienced. Aquinas cites
a posteriori is not made in the same way with Aristotle's work on the heavens to show that
respect to propositions or judgments and with "we may have a scientific knowledge" of things
respect to reasoning or inference. The distinc- we cannot experience, "by way of negation and
tion and its significance for science, and phi- by their relation to material things." He would
losophy are discussed in the chapters on JUDG- hold what is true of astronomy to be even more
MENT and REASONING. It is sufficient here to the case in metaphysics and theology. Even
point out that an a priori judgment is not th.ough all our concepts are abstracted from
determined by experience nor does it need experience, we can by means of them reach be-
empirical verification. yond the sensible world to purely intelligible
It might at first be supposed that those who realities-to immaterial and non-sensible beings
agree in thinking that experience is just one- or aspects of being. Locke, wh.o may be thought
CHAPTER 25: EXPERIENCE 473
even more emphatic than Aristotle or Aquinas whether some other sphere of matter exists."
in his insistence on the empirical origin qf What transcends all possible experience, in
knowledge, goes as far as they do in affirming other words, cannot be known, at least not.in
man's knowledge of God and the soul. the manner of the speculative sciences; only the
Hume, in contrast, holds that knowledg~ moral sciences, proceeding in a different fashion,
may go beyond experience only if it is knowl- have access to the' realm of the supra-sensible.
edge of the relation of our ideas, as exemplified Kant's position seems to resemble Hume's.
in the science of mathematics. Precisely because But it involves a quite different conception of
mathematics is not knowledge of matters of mathematics and.natural science, especially the
factor real existence, its proposi~ions are,. ac- latter, which Kant divides into pure and em-
cording to Hume, "discoverable, by the mere pirical physics. Kant identifies "pure physic"
operation of thought, without dependence on with the "metaphysic of nature" in distinction
what is anywhere existent in the universe." from the "metaphysic of morals," the one a
But with regard to "matters of fact," Hume theoretic, the other a practical science. For
thinks that "experience is our only guide." Kant the principles of both mathematics and
Any science which claims to be knowledge of pure physics are a priori rather than a posteriori;
reality or existence rather than of the relations the objects of both are objects of actual or
between ideas, is thus limited to the realm of possible experience.
experienceable objects. According as the ob-
jects of a science fall within experience, so also IN THE .CLASSIFICATION of sciences, the natural
must its conclusions be verified by reference.,to sciences are usually set apart from mathematics,
experience. Experience is the ultimate test of as well as from metaphysics, by being called
what truth there is in the. propositions of natu- "empirical" or "experimental." These names
ral science. Only the propositions of mathe- signify not merely the inductive method by
matics can have .a validity which does not re- which the knowledge is obtained from experi-
quire empirical verification. ence; they also imply that hypotheses, however
By these criteria Hume challenges the valid- formulated, and conclusions, however reached,
ity of metaphysics or natural theology;. Such II\ust be verified by the facts of experience.
disciplines claim to be knowledge of real exist~ Newton states it as a.rule of reasoning "in ex-
ences, but their objects are not experienceable perimental philosophy [that] we are to look
and their conclusions cannot be empirically upon propositions inferred by general induction
verified. The existence of God, and the im- from phenomena as accurately or very nearly
mortality of the soul may be objects of faith, trl,le, notwithstanding any contrary hypotheses
but they are not verifia,ble conclusions of sci- that may be imagined, till such time as other
ence; nor for that matter can metaphysics give phenomena occur, by which they may either
us scientific knowledge of the ultimate con- be made more accurate, or liable to exceptions."
stitution of the physical world if that involves In similar tenor, Lavoisier says that "we ought,
knowledge of substances and causes which lie in every instance, to submit our reasoning to
behind the phenomena and outside of experi- the test of experiment, and never to search for
ence. "All the philosophy in the world," Burne truth but by the natural road of experiment
writes, "and aU the religion ... will never. be and observation."
able to catry us beyond the usual .course of The two words "empirical" and "experi-
experience. " mental" should not, however, be used inter-
Kant, like Hume, limits theoretic knowledge changeably. No science can be experimental
to mathematics and the study of nature. A without being empirical, but, as the chapter on
metaphysics which pretends to know objects ASTRONOMyi,ndicates, the converse does not
outside the phenomenal .order cannot be de- appear to be true.
fended. "The understanding has no power to There seem to be three different types of
decide," he writes, "whether other perceptions experience from which knowledge can be de-
besides those which belong to the total of our rived: (I) the ordinary everyday experiences
possible experience [exist], and consequently which men accumulate without making any
474 THE GREAT IDEAS
special effort to investigate, explore, or test; which are both mathematical and experimental,
(2) the special data of experience which men the experiment enables the scientist to make
collect by undertaking methodical research arid exact measurements of the phenomena and so
making systematic observations, with Of with- to determine whether one or another mathe-
out apparatus: and (3) experiences artificially matical formulation fits the observable facts of
produced by men who exercise control over the nature. Investigating accelerated motion, Gali-
phenomena and with respectto which the-ob- leo seeks not only to demonstrate its definition
server himself determines the conditions of his and its properties, but also to show that "ex-
experience. "Those experiences which are used perimental results ... agree with and exactly
to prove a scientific tnith;" James writes, "are correspond with those properties which have
for the most part artificial experiences of the been, one after another, demonstrated by us."
laboratory, gained after the truth itself has been The experiment of the inclined plane yields
conjectured. " measurements which exemplify those ratios be-
Of these three only the last is an experimental tween space and time tha t are determined by
experience. The first type of experience may be one rather than by another mathematical defini-
employed by the scientist, but it is seldom:suffi- tion of the acceleration of a freely falling body.
cient or reliable enough for his purposes. The The experiment is thus used to decide between
distinction between the empirical sciences which two competing rna thema tical theories, choosing
are and those which are not experimental turns that one "best fitting natural phenomena." In
on the difference between the second and third those sciences, Galileo writes, "in which mathe-
types. matical demonstrations are applied to natural
It is not always possible for the scientist to phenomena ... the principles, once established
perform experiments, as, for example, in as- by well-chosen experiments, become the foun-
tronomy, where the phenomena can be me- dation ofrhe entire super-structure."
thodically observed and exactly recorded, but Concerned with the phenomena of heat,
cannot be manipulated or controlled. Among Fourier makes the same point concerning the
the great books of natural science, the biological relation of mathematics and experi'ments.
writings of Hippocrates, Aristotle, Galen, and "MathematicaJ analysis," he says, "can deduce
Darwin, the astronomical works of Ptoleiny', froin general and simple phenomena the ex-
Copernicus, Kepler, and Newton,' and the clin- pressidnof the laws of nature; but the special
ical studies of Freud are examples of scientific application of these laws to very complex effects
works which are more or less empirical, but not demands a long series of exact observations"
experimental. In contrast, Galileo's Two New for which-experiments are needed.
Sciences, Newton's Optics, Harvey's Motion oJ In addition to testing hypotheses and provid-
the Reart and Blood, Lavoisier's Elements oj ing measurements whereby mathematical for-
Chemistry, and Faraday's Experimental Researches mulations can be applied to nature, experiments
in Electricity represent empirical science which function as the source of inductions. A crucial
has recourse to experimentation at crucial experiment'constitutes a single clear case from
points. which a generalization can be drawn that is
applicable to all cases. Newton's optical experi-
ON THE SIDE OF their production, experiments ments are of this sort. He calls this use of ex-
are like inventions. They do not happen by periments "the method of analysis." It consists
chance or without the intervention of art. They in "making experiments and observations, and
are usually performed under carefully controlled in drawing general conclusions from them by
conditions and by means of apparatus artfully induction .... And although the arguing from
contrived. This explains the interplay between experiments and observations by induction be
technology and experimental science. Progress no demonstration 'of general conclusions, yet it
in each occasions progress in the other. is the best way of arguing which the nature of
On the side of their utility, experiments seem things admits of."
to serve three different though related purposes A third use for experiments is in the explora-
in scientific work. In those btanchesof physics tion of new fields of phenomena, for purposes
CHAPTER 25: EXPERIENCE 475
of discovery rather than of induction or veri- Experimental exploration, apart from the
fication. Hypotheses may result from such ex- direction of hypotheses, seems to be a procedure
plora tions, but in the first instance, the experi- of trial and error. Experimentation in this sense
mentation may be undertaken without the reflects what Hippocrates had in mind when he
guidance of hypotheses. This employment of spoke of "the experiment perilous." In the
experimental technique is illustrated by Fara- . work of Hippocrates at the very beginning of
day's remark that "the science of electricity is empirical science, recourse to experiment, far
in that state in which every part of it requires from being the most prized technique, signified
experimental investigation, not merely for the a lack of scientific knowledge. Only the physi-
discovery of new effects, but what is just now cian who could not cure the patient by art
of far more importance, the development of the based on science took the risk of experimenting
means by which the old effects are produced." -bf proceeding by trial and error.
OUTLINE OF TOPICS
PAGE
I. Various conceptions of experience
REFERENCES
' . , .
To find the passages cited, use the numbers in heavy type, which ar~ the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, 11K II [265-283112d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12. .. .. , .
PAGE SECTIONS: When the text is, printed in one column, the letters a and b refer to the
upper and lower halvesofthe page. For example, in 53 JAMES: Psych%gy, 116a-1l9b,the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the -letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters e and d to the upper and lower halves of the right- hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164e, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions oCa work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g_, Iliad, BK II [265-283) 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D). follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface. .
CROSS-REFERENCES
For: The discussion of the faculties or the acts of the mind which are related to experience, see
IDEA IC, 2b, 2e-2g; INDUCTION la, 2; JUDGMENT 8c; KNOWLEDGE 6b(I), 6c(4); MEMORY
, AND IMAGINATION la, 3c, 5a-5b, 6C(I)-6c(2); MIND Ia(I)-Ia(2), Ie(I); REASONING IC, 4c,
5b(3); SENSE la, Ic-d, 3C(5), 4b, 5a; UNIVERSAL AND PARTICULAR 4c.
The consideration of the empirical foundations or sources of science and art, see ART 5;
DIALECTIC 2a(I); MEDICINE 2a; METAPHYSICS 2C; PHILOSOPHY 3a; PHYSICS 2; SCIENCE
Ib, IC, 5a; SENSE 5b-5C. .
The discussion of experience in relation to the copditions or limits of human knowledge.
see INDUCTIoN 2; KNOWLI~DGE 5a-5a(6); MEMORY AND IMAGINATION 6d; METAPHYSICS
4b; MIND 5b.
Other treatments of the empirical verification of hypotheses or theories, see HYPOTHESIS 4d;
PHYSICS 4C; SCIENCE 5e; SENSE 5c; TRUTH Ia. .
Other discussions of the role of experimentation in scientific inquiry, see iNDUCTION 5; LOGIC
4b; MECHANICS 2a; PHYSICS 4-4d; ScIENCE 5a.
Experience as a factor in education, see EDUCATION 5f.
The treatment of religious or mystical experience or of related matters, see GOD 6C(3);
PROPHECY Ib; RELIGION Ib(2)-IbC3); SIGN AND SYMBOL 5b.
ADDITIONAL 'READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by au thors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
J.MILL. Analysis of the Phenomena of the Human
1. Mind
AUGUSTINE. De Genesi ad Litteram, BK XII WHEWELL. The Philosophy of the Inductive Sciences,
DESCARTES. The Principles of Philosophy, PART III, 4 VOL I, BK I, CH 5, 7
HUME. A Treatise of Human Nature TENNYSON. Ulysses
KANT. Prolegomena to Any Future Metaphysic EMERSON. "Experience," in Essays, II
HEGEL. The Phenomenology of Mind . BERNARD. I1J!roduction to Experimental Medicine
- - . Science ofLogic, VOL I, BK II, SECT II; SECT III, CLIFFORD. "On the Nature of Things.In-Them-
CH I; VOL II, SECT III, CH 3 selves," in VOL II, Lectures and Essays
J. S. MILL. A System ,of Logic, BK III, CH 7-8 AVENARIUS. Kritik der reinen Erfahrung
W. JAMES. Essays in Radical Empiricism HODGSON. The Metaphysic of Experience
- - . The Varieties of Religious Experience ROYCE. The Warld ,!nd the Individual, SERIES I (6)
--.Pragmatism H. JAMES. The Beast in the Jungle
- - . The Meaning of Truth MACH. The Analysis of Sensations
- - . Erkenntnis und Imum
II. PEGUY. Basic Verities (Innocence and Experience)
R. BACON. Opus Majus, PART VI - - . Men and Saints (The Holy Innocents)
DUNS SCOTUS. Oxford Commentary, BK I, DIST 3, Q 4 HUGEL. The Mystical Element of Religion
(9) LENIN. Materialism and Empiriocriticism
LEIBNITZ. New Essays Concerning Human Under- BRADLEY. Appearance and Reality, BK I, CH II
standing - - . Essays on Truth and Reality, CH 6
VOLTAIRE. The Ignorant Philosopher, CH 7 BROAD. Perception, Physics, and Reality, CH 3
WORDSWORTH. The Prelude PROUST. Remembrance of Things Past
CHAPTER 25: EXPERIENCE 485
JOYCE. Ulysses DEWEY. "Experience and Objective Idealism," "The
SANTAYANA. Scepticism and Animal Faith, CH 15 Postulate of Immediate Empiricism," "'Con-
BRIDGMAN. The Logic of Modern Physics sciousness' and Experience," in The Influence of
HOOK. The Metaphysics of Pragmatism Darwin on Philosophy
J. S. HALDANE. The Sciences and Philosophy, LECT XVI - - . Reconstruction in Philosophy, CH 4
C. I. LEWIS. Mind and the World Order - - . Experience and Nature, CH I, 9
WHITEHEAD. Science and the Modern World - - . Experience and Education, CH 2-3, 8
- . Process and Reality, PART III BLANSHARD. The Nature of Thought
HUSSERL. Ideas: General Introduction to Pure Phe- MARITAIN. The Degrees of Knowledge, CH 1,5
nomenology - - . Ransoming the Time, CH 10
- - . Meditations Cartesiennes B. RUSSELL. The Problems of Philosophy, CH I
BERGSON. Time and Free Will - - . An Inquiry into Meaning and Truth, CH 8-1 I,
--. Two Sources of Morality and Religion, CH 4 16-18, 21-23 .
GILBY. Poetic Experience . - - . Human Knowledge, Its Scope and Limits,
FISHER. The Design of Experiments PART III, CH 1-5; PART VI, CH 4, 10
Chapter 26: FAMILY
INTRODUCTION
T HE human family, according to Rousseau,
is "the most ancient of all societies and the
wise Maker hath set to the works of His hands,
we find the inferior creatures steadily obey."
only one that is natural." On the naturalness Yet Locke does not reduce the association of
of the family there seems to be general agree- father, mother, and children entirely to a di-
ment in the great books, although not all would vinely implanted instinct for the perpetuation
claim, like Rousseau, that it is the only natural of the species. "Conjugal society," he writes,
society. The state is sometimes also regarded as "is made by a voluntary compact between man
a natural community, but its naturalness is not and woman, and though it consists chiefly in
as obvious and has often been disputed. such a communion and right in one another's
The word "natural" applied to a community bodies as is necessary to its chief end, procrea-
or association of men can mean either that men tion, yet it draws with it mutual support and
instinctively associate with one another as do bees assistance, and a communion of interests, too."
and buffaloes; or that the association in ques- If the human family were entirely an instinc-
tion, while voluntary and to that extent con- tively formed society, we should expect to find
ventional, is also necessary for human welfare. the pattern or structure of the domestic com-
It is in this sense of necessity or need that Rous- munity the same at all times and everywhere.
seau speaks of family ties as natural. "The chil- But since the time of Herodotus, historians and,
dren remain attached to the father only so long later, anthropologists have observed the great
as they need him for their preservation," he diversity in the institutiofls of the family in
writes. "As soon as this need ceases, the natural different tribes or cultures, or even at different
bond is dissolved." If after that "they remain times in the same culture. From his own travels
united, they continue so no longer naturally, among different peoples, Herodotus reports a
but voluntarily; and the family itself is then wide variety of customs with respect to mar-
maintained only by convention." riage and the family. From the travels of other
Locke appears to attribute the existence of men, Montaigne culls a similar collection of
the human family to the same sort of instinc- stories about the diversity of the mores with
tive determination which establishes familial respect to sex, especially in relation to the
ties among other animals, though he recognizes rules or customs which hedge the community
that the protracted infancy of human offspring of man and wife.
make "the conjugal bonds ... more firm and Such facts raise the question whether the
lasting in man than the other species of ani- pattern of monogamy pictured by Locke repre-
mals." Since with other animals as well as in sents anything more than one type of human
the human species, "the end of conjunction family-the type which predominates in west-
between male and female [is] not barely pro- ern civilization or, even more narrowly, in
creation, but the continuation of the species," Christendom. Marx, for instance, holds that
it ought to last, in Locke's opinion, "even after the structure of the family depends on the
procreation, so long as is necessary to the nour- character of its "economical foundation," and
ishment and support of the young ones, who insists that "it is of course just as absurd to hold
are to be sustained by those who got them till the Teutonic-Christian form of the family to be
they are able to shift and support for them- absolute and final as it would be to apply that
selves. This rule," he adds, "which the infinite character to the ancient Roman, the ancient
486
CHAPTER 26 : FAMILY 487
Greek, or the Eastern forms which, moreover, for Locke, the naturalness of the family not
taken together form a series in historic develop- only points to a natural development of the
ment." state, but also helps to explain how, in the
Though the observation of the various forms transition from the family to the state, paternal
which the human family takes has led some government gives rise to royal rule or absolute
writers to deny the naturalness of the family- monarchy. Even Rousseau, who thinks that the
at least so far as its "naturalness" would mean family is the only natural society, finds, in the
a purely instinctive formation-it has seldom 'correspondence between a political ruler and a
been disputed that the family fulfills a natural father, reason for saying that "the family ..
human need. Conventional in structure, the may be called the first model of political so-
family remains natural as a means indispensable cieties. "
to an end which all men naturally desire. "There
must be a union of thbsewho cannot exist wi th- IN WESTERN CIVILIZATION, a family normally
out each other," Aristotle writes, "namely, of consists of a husband andwife and their off-
male and female, that the race may continue"; spring. If the procreation and rearing of off-
and he goes on to say that this union is formed spring is the function, or even a function, which
"not of deliberate purpose, but because, in the family naturally' exists to perform, then a
common with other animals and with plants, childless family cannot be considered normal.
mankind have a natural desire to leave behind Hegel suggests another reason for offspring. He
them an image of themselves." sees in children the bond of union which makes
The human infant, as Locke observes, re- the family a community.
quires years of care in order to survive. If the "The relation of love between husband and
family did not exist as a relatively stable organi- wife," he writes, "is in itself not objective, be-
zation to serve this purpose, some other social cause even if their feeling is their substantial
agency would have to provide sustained care unity, still this unity has no objectivity. Such
for children. But wherever we find any other an objectivity parents first acquire in their
social units, such as tribes or cities, there we children, inwhom they can see objectified the
also find some form of the family in existence, entirety of their union. In the child, a mother
not only performing the function of rearing loves its father and he its mother. Both have
children, but also being the primitive social their love objectified for them in the child.
group out of which all larger groupings seem to While in their goods their unity is embodied
grow or to be formed. Aristotle, for example, only in an external thing, in their children it is
describes the village or tribe as growing out of embodied in a spiritual one in which the par-
an association of families, just as later the city entsare loved and which they love."
or state comes from a unibnof villages. Until recent times when it has been affected
We have seen that the naturalness of the by urban, industrial' conditions, the family
family-as answering a natural need-is not tended to be a much larger unit, not only with
incompatible with its also being a product of regard to the number of children, but also with
custom or convention. The facts reported by respect to other members and relationships.
Herodotus, Montaigne, and Darwin, which The household included servants, if not slaves;
show the variability of families in size and it included blood-relatives in various degrees of
membership, in form and government, do not consanguinity; its range extended over three or
exclude, but on the contrary emphasize, the even four generations. Sancho Panza's wife, for
further fact that wherever men live together instance, pictures the ideal marriage for her
at all, they also live in families. daughter as one in which "we shall have her
Whether or not the political community is always under our eyes, and be all one family,
also a natural society, and if so, whether it is parents and children, grandchildren and sons-
natural in the same way as the family, are ques- in-law, and the peace and blessing of God will
tions reserved for the chapter on STATE. But dwell among us." Even though they belong to
it should be noted here that for some writers, the nineteenth century, the families in War
for Aristotle particularly and to a lesser extent and Peace indicate how different is the domestic
488 THE GREAT IDEAS
establishment .under agrarian and semi-feudal The family was for centuries what the fic-
conditions. tory and the storehouse have only recently be-
,But even when it comprised a larger and come in an era of industrialism. For the an-
more varied membership, the family differed cients, the problems of wealth-,--its acquisition,
from other social units, such as tribe or state, accumulation, and use-,--were domestic, not
in both size and function. Its membership, poli tical. "The so-called art of getting wealth, "
determined by consanguinity, was usually more Aristotle writes; is "according to some ..
restricted than that of other groups, although identical with household management, accord-
blood-relationships, often more remote, may ing to others, a principal part of it." In his own
also operate to limit the membership of the judgment, "property is a part of the house-
tribe or the state. Its function, according to hold, and the' art of acquiring property is a
Aristotle, at least in origin, was to "supply part of the art of managing the household"-
men's everyday wants," whereas the state went but a part only, because the household includes
beyond this in aiming at other conditions "of human beings as well as property, ,and is con-
a good life.'~ cerned with the government of persons, as well
In an agricultural society of the sort we find as the' managemen t of things.
among the ancients, the household rather:. than The foregoing .throws light on the extraor-
the city is occupied with,; the ,problems ,of dinary shift in the meaning of the word "eco-
wealth. In addition .to the breeding .and rear- nomics" from ancient to modern times. In the
ing of children, and probably becalise,of this in significance of their Greek roots, the word
part, the family as a unit seems to have been "polity" signifies a state, the word "economy"
concerned with the means of subsistence, on the a family; and as "politics" referred to the art of
side of both production and consumption. Its governing the political community, so "eco-
members shared in a division of labor and in a nomics" referred to the art of governing the
division of the fruits thereof. domestic community. Only in part was it con-
Apart from those industries manned solely cerned with the art of getting wealth. As the
by slave labor in the service of the state, the chapter on WEALTH indicates, Rousseau tries to
production of goods largely. depended. on the preserve the broader meaning when he uses the
industry of the family. In modern times this phrase "political economy" for' the general
system of production came to be called, the problems of government; but for the most part
"domestic" as opposed to the "factQri! system. in modern usage "economics" refers to a science
It seems to persist even ,after the industrial or art concerned with wealth, and it is "politi-
revolution. But, according to Marx, '~this.mod cal" in the sense" that the management of
ern so-called domestic industry has nothing, wealth, and of men with respect to wealth, has
except the name, in common with the old- become the problem of the state rather than
fashioned domestic industry, ,the existence of the family. Not only has the industrial economy
which presupposes independent urban ~handi7 become more and more .a political affair, but
crafts, independ!!nt peasant farming, and above the character of the family as a social institution
all, a dwelling house for the laborer and, his has also changed with its altered economic
family." status and function.
In effect, the industrial revolution produced
an economy in which not. only agriculture but THE .CHIEF QUESTION about t/:te family in. rela-
the family ceased to be central. The .problem tion to the state has been, in ancient as well as
shifts from the wealth of families: to the wealth in modern times, whether the family has natu-
of nations, even as production s/:tifts from the ral rights which the state cannot justly invade
family to the factory. "Modern.industry," ac~ or transgress.
cording to Marx, "by ,assigning an important The proposal in Plato's Republic-'--"that the
part in the process of production, outside the wives of our gl;lardians are to be common, and
domestic sphere, to women, to young persons, their children are to be common, and no parent
and to children of both sexes, creates. a new is t.O know his own child, nor any child his
economical foundation.". parent"-was as radical in the fifth century
CHAPTER 26: FAMILY 489
B.C. as its counterpart would be today. When duties of care and obedience which bind its
Socrates proposes this, Glaucon suggests that members together. For the state to interfere in
"the possibility as well as the utility of such a those relationships between parents and chil-
l~w" may be subject to '''a good many doubts." dren or between husband and wife which fall
But Socrates does not think that '~there can be under the regulation of divine law would be to
any dispute about the very great utility of hav- exceed its authority, and hence to act without
ing wives and children in common; the possi- right and in violation of rights founded upon a
bility," he adds, "is quite another matter, and higher authority.
will be very much disputed." In the Christian tradition philosophers like
Aristotle questions both the desirability and Hobbes and Kant state the rights of the family
possibility. "The premise from which the argu- in terms of natural law or defend them as natu-
ment of Socrates proceeds," he says, is "'the ral rights. "Because the first instruction of chilo
greater the unity of the state'the better.' " He dren," writes Hobbes, "depends on the care of
denies this premise. "Is it not obvious," he their parents, it is necessary that they should be
asks, "that a state may at length attain such a obedient to them while they are under their
degree of unity as to be no longer a state?- tuition.... Originally the father of every man
since the nature of a state is to be a plurality, was also his sovereign lord, with power over
and in tending to a greater unity, from being a him of life and death." When the fathers of
state, it becomes a family, and from being a families relinquished such absolute power' iit
family, an individual." Hence "we ought not order to form a commonwealth or state,they
to attain this greatest unity even if we could, did not lose, nor did they have to give up, ac-
for it would be the destruction of the state." cording to Hobbes, all control of their children.
In addition, "the scheme, taken literally, is im- "Nor would there be any reason," he goes on,
practicable." . "why any man should desire to have children,
It is significant that Aristotle's main argu- or take the care to nourish and instruct them,
ment against Plato's "communism" (which in- if they were afterwards to have no other benefit
cludes the community of property as well as from them than from other men. And this," he
the community of women a.nd children) is says, "accords with the Fifth Commandment."
based upon the nature of the State rather than In the section of his Science of Right devoted
on the rights of the family. It seems to have been to the "rights of the family as a domestic so-
a prevalent view in antiquity, at least among ciety," Kant argues that "from the fact of pro-
philosophers, that the 'children should be "re- creation there follows the duty of preserving
garded as belonging to the state rather than to and rearing children." From this duty he de-
their parents." Antigone's example shows, how- rives "the right of parents to the management
ever, that this view was by no means without and training of the child, so long as it is itself
exception. Her defiance of Creon, based on incapable of making proper use ofits body as an
"the unwritten and unfailing statutes of organism, and of its mind as an understanding.
heaven," is also undertaken for "the majesty of This includes its nourishment and the care of
kindred blood." In this sense, it constitutes an its education." It also "includes, in general, the
affirmation of the rights and duties of the fam- function of forming and developing it practi-
ily. cally, that it may be able in the future to main-
In the Christian tradition the rights of the tain and advance itself, and also its moral cul-
family as against the state are also defended by ture and development, the guilt of neglecting
reference to divine law. The point is not that it falling upon the parents."
the state is less a natural community than the As is evident from Hobbes and Kant, the
family in the eyes of a theologian like Aquinas; rights of the family can be vindicated without
but in addition to having a certain priority in denying that the family, like the individual,
the order of nature, the family, more directly owes obedience to the state. In modern terms,
than the state, is of divine origin. Not only is it at least, the problem is partly stated by the
founded on the sacrament of matrimony, but question, To what extent can parents justly
the express commandments of God dictate the claim exemption from political interference in
490 THE GREAT IDEAS
the control of their .own children? But this is on the supposition that their "natures ... are
only part of the problem. It must also be asked equal and do not differ at alL" In the family,
whether, in addition to regulating the family however, Aristotle thinks that "although there
for the general welfare of the whole communi- may be exceptions to the order of nature, the
ty, the state is also entitled to interfere in the male is by nature fitter for command than the
affairs of the household in order to protect female." .
children from parental mismanagement or neg- According to Locke, "the husband and wife,
lect. Both questions call for a consideration of though they have but <me common concern,
the form and principles of domestic govern- yet having different understandings, will un-
ment. avoidably sometimes have different wills too.
It therefore being necessary that the last deter-
THE KINDS OF RULE and the relation between mination (i.e., the rule) should be placed some-
ruler and ruled in the domestic community where, it naturally falls to the man's share as
have a profound bearing on the theory of the abler and the stronger." But this, Locke
government in the larger community of the thinks, "leaves the wife in the full and true
state. Many of the chapters on the forms of possession of what by contract is her peculiar
government-especially CONSTITUTION, MON- right"and at least gives the husband no more
ARCHY, and TYRANNy-indicate that the great power. over her than she has over his life; the
books of political theory, from Plato and Aris- power of the husband being so far from that of
totle to Locke and Rousseau, derive critical an absolute monarch that the wife has, in many
points from the comparison of domestic and cases, a liberty to sepa~te from him where
political government. natural right or their contract allows it."
We shall pass over the master-slave relation- In the so-called Marriage Group of the Can-
ship, both because that is considered in the terbury Tales, Chaucer gives voice to all of the
chapter on SLAVERY, and because not all house- possible positions that have ever been taken
holds include human chattel. Omitting this, concerning the relation of husband and wife.
two fundamental relationships which domestic The Wife of Bath, for example, argues for the
government involves remain to be examined: rule of the wife. She claims that nothing will
the relation of husband and wife, and of satisfy women until they "have the sovereignty
parents and children. as well upon their husband as their love, and to
With regard to the first, there are questions of have mastery their man above." The Clerk of
equality and administrative supremacy. Even Oxford, in his tale of patient Griselda, presents
when the wife is regarded as the complete the wife who freely admits to her husband,
equal of her husband, the administrative ques- "When first I. came to you, just so left I my will
tion remains, for there must either be a division and all my liberty." The Franklin in his tale
of authority, or unanimity must prevail, or one allows the mastery to neither wife nor husband,
-either the husband or the wife-must have "save that the name and show of sovereignty"
the last word when disagreement must be over- would belong to the latter. He dares to say
come to get any practical matter decided. So
That friends each one the other must obey
far as husband and wife are concerned, should If they'd be friends and long keep company.
the family be an absolute monarchy, or a kind Love will not be constrained by mastery; ..
of constitutional government? Women by nature love their liberty,
Both an ancient and a modern writer appear And not to be constrained like any thrall,
And so do men, if say the truth I shall ....
to answer this question in the same way. "A Thus did she take' her servant and her lord,
husband and father," Aristotle says, "rules over Servant in love and lord in their marriage;
wife and children, both free, but the rule dif- So was he both in lordship and bondage.
fers, the rule over his children being a royal,
over his wife a constitutional rule." Yet the re- WHILE THERE MAY be disagreement regarding
lation between husband and wife, in Aristotle's the relation between husband and wife, there
view, is not perfectly constitutional. In the is none regarding the inequality between par-
state "the citizens rule and are ruled' in turn" ents and children during the offspring's imma-
CHAPTER 26: F AMIL Y 491
turity. Although every man may enjoy "equal natural master of his family. "The rights and
right ... to his natural freedom, without being consequences of both paternal and despotical
subjected to the will or authority of any other dominion," Hobbes maintains, "are the very
men," children, according to Locke, "are not same with those of a sovereign by institution."
born in this full state of equality, though they On the other hand, Rousseau, an equally
are born to it." staunch opponent of absolute rule, uses the
Paternal power, even absolute rule, over word "despotism" only in an invidious sense
children arises from this fact. So long as the for what he regards as illegitimate government
child "is in an estate wherein he has no under- -absolute monarchy. "Even if there were as
standing of his own to direct his will," Locke close an analogy as many authors maintain be-
thinks he "is not to have any will of his own to tween the State and the family," he writes, "it
follow. He that understands for him must will would not follow that the rules of conduct
for him too; he must prescribe to his will, and proper for one of these societies would be also
regulate his actions." But Locke adds the im- proper for the other."
portant qualification that when the son "comes Rousseau even goes so far as to deny that
to the estate which made his father a free man, parental rule is despotic in his sense of tha t
the son is a free man too." term. "With regard to paternal authority, from
Because children are truly inferior in com- which some writers have derived absolute gov-
petence, there would seem to be no injustice in ernment," he remarks that "nothing can be
their being ruled by their parents; or in the rule further from the ferocious spirit of despotism
being absolute in the sense that children are than the mildness of that authority which looks
precluded from exercising a decisive voice in more to the advantage of him who obeys than
the conduct of their own or their family's af- to tha t of him who commands." He agrees wi th
fairs. Those who think that kings cannot claim Locke in the observation that, unlike the politi-
the absolute authority of parental rule fre- cal despot, "the father is the child's master no
quently use the word "despotic" to signify un- longer than his help is necessary." When both
justified paternalism-a transference to the are equal, the son is perfectly independent of
state of a type of dominion which can be justi- the father, and owes him "only respect and not
fied only in the family. obedience."
The nature of despotism as absolute rule is Misrule in the family, then, would seem to
discussed in the chapters on MONARCHY and occur when these conditions or limits are vio-
TYRANNY, but its relevance here makes it lated. Parents may try to continue their abso-
worth repeating that the Greek word from lute control past the point at which the children
which "despot" comes, like its Latin equivalent have become mature and are competent to
paterfamilias, signifies the ruler of a. household take care of their own affairs. A parent who
and carries the connotation of absolute rule- does not relinquish his absolutism at this point
the complete mastery of the father over the can be called "despotic" in the derogatory
children and the servants, if not over the wife. sense of that word.
Accordingly there would seem to be nothing Applying a distinction made' by some politi-
invidious in referring to domestic government cal writers, the parent is tyrannical rather than
as despotic, at least not to the extent that, in despotic when he uses the children for his own
the case of the children, absolute rule is justified good, treats them as property to exploit, even
by their immaturity. The problem arises only at a time when his absolute direction of their
with respect to despotism in the state, when affairs would be justified if it were for the
one man rules another mature man as absolutely children's welfare. The existence of parental
as a parent rules a child. tyranny raises in its sharpest form the question
The great defender of the doctrine that the of the state's right to intervene in the family for
sovereign must be absolute, "or else there is no the good of its members.
sovereignty at all," sees no difference between
the rights of the ruler of a state-the "sovereign THE CENTRAL ELEMENT in the domestic estab-
by institution"-and those of a father as the lishment is, of course, the institution of mar-
492 THE GREAT IDEAS
riage. The discussion of marriage in the great culture to culture; but in Freud's opinion the
books deals with most of the moral and psycho- "high-water mark in this type of development
logical, if not all of the sociological and eco- has been reached in our Western European
nomic, aspects of the institution. The most pro- civiliza tion."
found question, perhaps, is whether marriage is The conception of marriage-whether it is
merely a human institution to be regulated merely a civil, or a natural, and even a divine
solely by custom and civil law, ora contract institution-obviously affects the position to be
under the sanctions of natural law, ora religious taken on monogamy, on divorce, on chastity
sacrament. signifying and imparting God's and adultery, and on the comparative merits of
grace. The last two of these alternatives may the married and the celibate condition. The pa-
not exclude one another, but those who insist gans, for the most part, regard celibacy as a mis-
upon the first usually reject the other two. fortune, especially for women, as witness the
Some, like the Parson in the Canterbury tragedy of the unwedded Electra. Christian-
Tales, consider marriage not only a natural but ity, on the other hand, celebrates the heroism
also a divine institution-a "sacrament ... of virginity and encourages the formation of
ordained by God Himself in Paradise, and con- monastic communities for celibates. Within the
firmed by Jesus Christ, as witness St. Matthew Judaeo-Christian tradition there are striking
in the,gospel: 'For this cause shall a man leave differences. Not only were the patriarchs of the
father and mother, and shall cleave to his wife; Old Testament polygamous, but orthodox
and they twain shall be one flesh,' which be- Judaism and orthodox Christianity also differ
tokens the knitting together of Christ and of on divorce.
Holy Church." Augustine explains how a Christian should
. Others, like Kant, seem to stress the charac- interpret those passages in the Old Testament
terof marriage as an institution sanctioned by which describe the polygamous practices of the
natural law. The "natural union of the sexes," patriarchs. "The saints of ancient times," he
he writes,."proceeds either according to the writes, "were under the form of an earthly
mere, animal nature (vaga libido, venustJulgivaga, kingdom, foreshadowing and foretelling the
/ornicatio); or according to law. The latter is kingdom of heaven. And on account of the
marriage (matrimonium), which is the union of necessity for a numerous offspring, 'the custom
two persons of different sex for life-long recip- of one man having several wives was at that
rocal possession of their sexual faculties." Kant time blameless; and for the same reason it was
considers offspring as a natural end of marriage, not proper for one woman to have several hus-
but not the exclusive end, for then " the mar- bands, because a woman does not in that way
riage would be dissolved of itself when the pro- become more fruitful .. In regard to matters
duction of children ceased.... Even assum- of this sort," he concludes, "whatever the holy
ing," he declares, "that enjoyment in the recip- men of those times did without lust, Scripture
rocal use of the sexual endowments is an end of passes over without blame, although they did
marriage, yet the contract of marriage is not on things which could not be done at the present
that account a matter of arbitrary will, but is time except through lust."
a contract necessary in its nature by the Law of On similar grounds Aquinas holds that "it
Humanity. In other words, if a man and a wom- was allowable to give a bill of divorce," under
an have the will to enter on reciprocal enjoy- the law of the Old Testament, but it is not al-
ment in accordance with their sexual natures, lowableunder the Christian dispensation be-
tiley must necessarily marry each other." cause divorce "is contrary to the nature of a
Still others see marriage primarily as a civil sacrament." The greatest familiarity between
contract. Freud, for example, considers the man and wife requires the staunchest fidelity
view that "sexual relations are permitted only which "is impossible if the marriage bond can
on the basis of a final, indissoluble bond between be sundered." Within the Christian tradition
a man and woman" as purely a convention of Locke takes an opposite view of divorce. He
"present-day civilization." Marriage, as a set of can see good reason why "the society of man
taboos restricting the sexual life, varies from and wife should be more lasting than that of
CHAPTER 26 : FAMILY 493
male and female amongst other creatures," but the decision of Aeneas or the indecision of
he does not see "why this compact, where pro- Hamlet; and certainly ih the reasoning of
creation and education are secured, and inheri- Panurge about whether to marry or not. In
tance taken care for, may not be made deter- each of these cases, everyone finds some aspect
minable either by consent, or at a certain time, of love in rela tion to marriage, some phase of
or upon certain conditions, as well as any other parenthood or childhood which has colored
voluntary compact, there being no necessity in his own life or that of his family; and he can
the nature of the' thing ... thatit should always find somewhere in his own experience the
be for life." Against Locke, Dr. Johnson would grounds for sympathetic understanding of the
argue that "to the contract of marriage, be- extraordinary relation between Electra and her
sides the man and wife, there is a third party- mother Clytemnestra, between Augustine and
Society; and if it be considered as a vow-God; Monica his mother, between 'Oedipus and Jo-
and therefore it cannot be dissolved by their casta, Prince Hamlet' and Queen Gertrude,
consent alone." Pierre Bezukhov and his wife, or what is per-
Laws and customs, however, represent only haps the most extraordinary case of all~Adam
the external or social aspect of marriage. The and Eve in Paradise Lost.
discussion of these externals cannot give any On one point theuniversality of the problem
impression of the inwardness and depth of the of marriage and family life seems to require
problem which marriage is for the individual qualification. The conflict between conjugal
person. Only the great poems, the great novels and illicit love exists in all ages. The entangle-
and plays, the great books of history and biog- ment ofthe bond between man and wife with
raphy can adequately present the psychological the ties-of both love and blood-which unite
and emotional aspects of marriage in the life of parents and children, is equally universal. But
individuals. Heightened in narration, they give the difficulties which arise in marriage as a re-
more eloquent testimony than the case histories sult of the ideals or the illusions of romantic
of Freud to support the proposition that mar- love seem to constitute a peculiarly modern
riage is at all times-in every culture and under problem. The ancients distinguished between
the widest variety of circumstances-one of the sexual love and the love of friendship and they
supreme tests of human character. understood the necessity for both in the con-
The relation between men and women in and jugal relationship if marriage is to prosper. But
out of marriage, the relation of husband and not until the later Middle Ages did men think
wife before and after marriage, the relation of of matrimony as a way to perpetuate through-
parents and children-these create crises and out all the years the ardor of that moment in a
tensions, conflicts between love and duty, be- romantic attachment when the lovers find each
tween reason and the passions, from which no other without flaw and beyond reproach.
individual can entirely escape. Marriage is not Matters relevant to this modern problem are
only a typically human problem, but it is the discussed in the chapter on LOVE. As is there
one problem which, both psychologically and indicated, romantic love, though it seems to be
morally, touches every man, woman, and child. of Christian origin, may also be a distortion-
Sometimes the resolution is tragic, sometimes even an heretical perversion-'of the kind of
the outcome seems to be happy, almost blessed; Christian love which is pledged in the recipro-
but whether a human life is built on this foun- cal vows of holy matrimony.
dation or broken against these rocks, it is vio-
lently shaken in the process and forever shaped. WE HAVE ALREADY considered some of the
To some degree each reader of the great problems of the family which relate to children
books has, in imagination if not in action, par- and youth-the immature members of the hu-
ticipated in the trials of Odysseus, Penelope, man race-such as whether the child belongs to
and Telemachus; in the affections of Hector the family or the state, and whether the family
and Andromache, Alcestis and Admetus, Tom is solely responsible for the care and training of
Jones and Sophia, N a tasha and Pierre Bezukhov, children, or a share of this responsibility falls to
in the jealousy of Othello, the anguish of Lear, ' the state or the church.
494 THE GREAT IDEAS
There are other problems. Why do men and versions of love, the qualitative distinctions of
women wantoffspring.andwhat satisfactions do romantic, conjugal, and illicit love, the factors
they get from rearing children? For the most which determine the choice of a mate and
part in Christendom, and certainly in antiqui- success or failure in marriage, and the condi-
ty, the lot of the childless is looked upon as a tions which determine the emergence from
grievous frustration. To be childless is not emotional infantilism-all these can be under-
merely contrary to nature, but for pagan as well stood only by reference to the emotional life of
as Christian it constitutes the deprivation of a the child in the vortex of the family.
blessing which should grace the declining years The child's "great task,"according to Freud;
of married life. The opposite view, so rarely is that of "freeing himself from the parents,"
taken, is voiced by the chorus of women in the for "only after this detachment is accomplished
Medea of Euripides. can he cease to be a child and so become a mem-
"Those who are wholly without experience ber of the social community.... These tasks
and have never had children far surpass in hap- are laid down for every man" but, Freud
piness those who are parents," the womenchant writes, "it is noteworthy how seldom they are
in response to Medea's tragic leave-taking from carried through ideally, that is, how seldom
her own babes. "The childless, because they they are solved in a manner psychologically as
have never proved whether children grow.up well as socially sa tis factory . In neurotics, how-
to be a blessing or a curse to men, are removed ever," he adds, "this detachment from the par-
from all share in many troubles; whilst those ents is not accomplished at alL"
who have a sweet race of children growing up . In one sense, it is never fully accomplished
in their houses do wear away ... their whole by anyone. What Freud calls the "ego-ideal"-
life through; first with the thought how they which represents our higher nature and which,
may train them up in virtue, next how they in the name of the reality-principle, resists in-
shall leave their sons the means to live; and stinctual compliance with the pleasure-prin-
after all this 'tis far from clear whether on good ciple-is said to have its origin in "the identifi-
or bad children. they bestow their toil." cation with the father, which takes place in the
Still other questions arise concerning chil- prehistory of every person." Even after an in~
dren, quite apart from the attitude of parents dividual has achieved detachment from the
toward having and rearing them. What is the family, this ego-ideal acts as "a substitute for
economic position of the child, both with re- the longing for a father"; and in the form of
spect to ownership of property and with respect conscience it "continues ... to exercise the
to a part in the division of labor? How has the' censorship of morals."
economic status of children been affected by
industrialism? What are the mental and moral ONE OTHER GROUP of questions which involve
characteristics of the immature which exclude the family-at least as background-concerns
them from participation in political life, and the position or role of women.' We have already
which require. adult regulation of their affairs ? considered their relation to their husbands in
What are the criteria-emotional and mental the government of the family itself. The way
as well as chronological-which determine the in which that relation is conceived affects the
classification of individuals as children or adults, status and activity of women in the larger com-
and how is the transition from childhood to munity of the state, in relation to citizenship
manhood effected economically, politically, and and the opportunities for education, to the pos-
above all emotionally? session of property and the production of
The authors of the great books discuss most wealth (for example, the role of female labor
of these questions, but among them only Freud in an industrial economy).
sees in the relation of children to their parents Again it is Euripides who gives voice to the
the basic emotional determination of human plight of women in a man's world, in two of his
life. The fundamental triangle of love and hate, great tragedies, the Trojan Women and Medea.
devotion and rivalry, consiSts of father, mother, In the one, they cry out under the brunt of the
and child. For Freud all the intricacies and per- suffering which men leave them to bear in the
CHAPTER 26: FAMILY 495
backwash of war. In the other, Medea passion- Mill's tract on The Subjection of Women is his
ately berates the ignominy and bondage which fullest statement of the case for social, eco-
women must accept in being wives. "Of all nomic, and political equality between the sexes.
things that have life and sense," she says, "we In Representative Government, his defense of
women are the most hapless creatures; first must 'women's rights deals primarily with the ques-
we buy a husband at great price, and then o'er tion of extending the franchise to them. Differ-
ourselves a tyrant set, which is an evil worse en~e of sex, he contends, is "as entirely irrele-
than the first." vant to political rights, as difference in height,
The ancient world contains another feminist or in the color of the hair. All human beings
who goes further than Euripides in speaking have the same interest in good government ...
for the right of women to be educated like men, Mankind have long since abandoned the only
to share in property with them, and to enjoy premisses which will support the conclusion
the privileges as well as to discharge the tasks of that women ought not to have votes. No one
citizenship. In the tradition of the great books, now holds that women should be in personal
the striking fact is that after Plato the next servitude; that they should have no. thought,
great declaration of the rights of women should wish, or occupation, but to be the domestic
be written by one who is as far removed from drudges of husbands, fathers, or brothers. It is
him in time and temper as John Stuart Mill. allowed to unmarried, and wants but little of
In Plato's Republic, Socrates argues that if being conceded to married women to hold
the difference between men and women "con- property, and have pecuniary and business in-
sists only in women bearing and men begetting terests, in the same manner as men. It is consid-
children, this does not amount to proof that a ered suitable and proper that women should
woman differs from a man in respect to the sort think, and write, and be teachers. As soon as
of education she should receive." For the same these things are admitted," Mill concludes,
reason, he says, "the guardians and their wives "the political disqualification has no principle
ought to have the same pursuits." Since he to res ton. "
thinks that "the gifts of nature are alike dif- Though no other of the gn;at books speaks
fused in both," Socrates insists that "there is so directly for the emancipation of women from
no special faculty of administration in a state domestic and political subjection, many of
which a woman has because she is a woman, or them do consider the differences between men
which a man has by virtue of his sex. All the and women in relation to war and love, pleas-
pursuits of men are the pursuits of women ure and pain, virtue and vice, duty and honor.
also." Yet he adds that "in all of them a woman Some are concerned expliCitly with the pivotal
is inferior to a man." Therefore when he pro- question-whether men and women are more
poses to let women "share in the toils of war alike than different, whether they are essential-
and the defence of their country," Socrates ly equal in their humanity or unequal. Since
suggests that "in the distribution of labors the these are matters pertinent to human nature
lighter are to be assigned to the women, who itself, as it is affected by gender, the relevant
are the weaker natures." . passages are collected in the chapter on MAN.
OUTLINE OF TOPICS
PAGE
I. The nature and necessity of the family 497
2. The family and the state
2a. Comparison of the domestic and political community in origin, structure, and
function
2b. Comparison of the domestic and political community in manner of government 498
2C. The place and rights of the family in the state: the control and education of
children
496 THE GREAT IDEAS
PAGE
3. The economics of the family 499
30. The wealth of families: the maintenance of the domes.J:ic economy
3h. The effects of political economy: the family in the industrial system
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-283]'12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page II6 and ends in the lower half of page II9. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand sideofthe page,the letters c and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-283] 12d.
BIBLE REFERENCES: The references are to book,chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Doua)', indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) 11 Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: The general problem of the naturalness of human association in the family or in the state, see
NATURE 2b; NECESSITY AND CONTINGENCY5b: STATE la, 3b-3d.
The political significance of the domestic community, and for comparisons of government in
the family and in the state, see EDUCATION Sa: GOVERNMENT Ib; MONARCHY 4a, 4e(I);
SLAVERY 6b; STATE Ib, Sb; TYRANNY 4b.
The economic aspects of the family, see LABOR sa, SC; SLAVERY 4a; WEALTH 2, 3d.
Religious considerations relevant to matrimony and celibacy, see RELIGION 2C, 3d: VIRTUE
, AND VICE Sf-Sg. . .
Other discussions of women in relation to men, and of the difference between the sexes, see
HAPPINESS 4a; MAN 6b; WAR AND PEACE sa.
Other discussions of childhood as a stage of human life, see LIFE AND DEATH 6c: MAN 6c; and
for the problem of the care and training of'the young, see DUTY 9; EDUCATION 4b, Sa;
RELIGION 5 c . .
A more general consideration of the problems of heredity, see EVOLUTION 2-3e.
The distinction of the several kinds of love and friendship which may enter into marriage,
see LOVE 2-2d; and for matters relevant to the emotio~al pattern of family relationships,
see DESIRE -4d; EMOTION 3c-3c(4); LOVE 2b(4)!.zd~
CHAPTER 26: FAMILY 513
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
INTRODUCTION
F ATE-SDmetimes persDnified, sDmetimes .out man's willing them may happen by chance
abstractly conceived-is the antagDnist .of Dr fDrtune.
freedDm in the drama .of human life and his- It is sDmetimes suppDsed that "fate" and
tDry. SD at least it seems tD the pDets .of antiq- "fDrtune" are synDnyms, Dr that .one has a
uity. In many .of the Greek tragedies, fate sets tragic and the .other a happy cDnnDtatiDn. It is
the stage. SDme curse must be fulfilled. A dDDm as if fDrtune were always gDDd and fate always
impends and is inexDrable. But the actors .on malevDlent. But either may be gDDd Dr evil
the stage are far from puppets. Within the from the pDint .of view .of man's desires. Al-
framewDrk .of the inevitable the tragic hero thDugh fate and fDrtune are hardly the same,
wDrks .out his .own destiny, making the .chDices there is SDme reaSDn fDr assDciating them. Each
frDm which his personal catastrDphe ensues. impDses a limitatiDn .on man's freedDm. A man
Oedipus, dDDmed tD kill his father and marry cannDt. cDmpel fDrtune tD smile upon him any
his mDther, is nDt fated tD inquire intD his past mDre than he canavDid his fate. ThDugh alike
and tD discDver the sins which, when he sees, he in this respect, fate and fDrtune are alsD DppDsed
wills tD see nD mDre. The curse .on the hDuse .of tD .one anDther.. Fate represents the inexDrable
Atreus dDes nDt require AgamemnDn tD bring march .of events. There is nD room fDr fDrtune
Cassandra back from Troy Dr tD step .on the unless some things are exempt frDm necessity.
purple carpet. The furies which pursue Orestes Only that which can happen by chance is in
he has himself awakened by murdering his the lap .of fDrtune.
mDther, Clytemnestra, a deed nDt fated but It WDuld seem that fate stands tD fDrtune as
freely undertaken tD avenge his father's death. the necessary tD the cDntingent. If everything
The ancients did nDt dDubt that men cDuld were necessitated, fate alDne wDuld reign. CDn-
chDDse and, thrDugh chDice, exercise SDme CDn- tingency wDuld be excluded. from nature.
trDI .over the dispDsitiDn .of their lives. Tacitus, Chance Dr the fDrtuitDus in the .order .of nature
fDr example, while admitting that "mDst men and freedDm in human life wDuld be reduced
... cannDt part with the belief that each per- tD illusiDns men cherish .only thrDugh ignDrance
SDn's future is fixed from his very birth," claims .of the inevitable.
that "the wisest .of the ancieLlts ... leave us the In a sense fDrtune is the ally .of freedDm in the
capacity .of chDDsing Durlife." At the same time struggle against fate. Good fDrtune seems tD aid
he recDgnizes an .order .of events beYDnd man's and abet human desires. But even misfortune
pDwer tD cDntrDI, althDugh he finds nD agree- signifies the element .of chance which is mDre
ment regarding its cause-whether it depends' cDngenial than fate, if nDt mDre amenable, tD
".on wandering stars" Dr "primary elements, man's conceit that he can freely plan his life.
and un a cDmbinatiDn .of natural causes." For
his .own part, Tacitus declares, "I suspend my THE TERMS necessity and contingency cannDt be
judgment" .on the questiDn "whether it is fate substituted fDrfate andfortune withDut IDss .of
and unchangeable necessity Dr chance which significance. As the chapter .on NECESSITY AND
gDverns the revDlutiDns .of human affairs." In CDNTINGENCY indicates, they are terms in the
SD dDing, he grants the pDssibility that nDt philDsDphical analysis .of the .order .of nature
everything which lies beYDnd man's cDntrol is and causality. They may have, but they need
fated. SD1l1e .of the things which happen with- nDt have, theDIDgical implicatiDns. Necessity
515
516 THE GREAT IDEAS
and contingency can be explained without any rather than on freedom. This is certainly so if
reference to the supernatural, as is evident from Zeus is not the master of even his own fate,
the discussion of these matters in the chapter much less the omnipotent ruler among the
on CHANCE. But fate and fortune, in their ori- gods or the irbiter of human destiny. In
gin at least, are theological terms. Prometheus Bound, the Chorus asks, "Who is
In ancient poetry and mythology, both in the pilot of Necessity?'" Prometheus answers,
evitability and chance were personified as dei- "The Fates triform and the unforgetting
ties or supernatural forces. There were the god- Furies." The Chorus then asks, "Is Zeus of
dess of Fortune and the three Fates, as well as lesser might than these?" To which Prometheus
their three evil sisters or counterparts, the replies, "He shall not shun the lot appor-
Furies. The Latin word, from which "fate" tioned." When they ask what this doom is,
comes means an oracle, and so signifies what is Prometheus tells them to inquire no more, for
divinely ordained. What happens by fate is they verge on mysteries. Later Zeus himself
fated-something destined and decreed in the sends Hermes to wrest from. Prometheus the
councils of the gods on Olympus; or innay be secret of what has been ordained for him by
the decision of Zeus, to whose rule all the other "all consummating Fate" or "Fate's resistless
divinities are subject; or, as we shall see pres- law." Prometheus refuses, saying that "none
ently, it may be a supernatural destiny which shall bend my will or force me to disclose by
even Zeus cannot set aside. ': whom 'tis fated he shall fall from power.~'
In any case, the notion of fate implies a super- The question Aeschylus leaves unanswered
natural will, even as destiny implies predestina- is whether Zeus would he able to escape his
tion by an intelligence able not only to' plan doom iihe could foresee what Fate holds in
the future but also to carry out that plan. The store for him. The suggestion seems to be that
inevitability of fate and destiny is thusdistin- without omniscience the omnipotence of Zeus
guished from that of merely natural necessity, cannot break the chains of Fate.
which'determines the future only insofaF as it
may be the inevitable consequence of causes IN THE TRADITION of Judaeo-Christian theology
working naturally. the problem of fate is in part verbal and in part
But the ancients do not seem to be fatalists real. The verbal aspect of the problem concerns
in the extreme sense of the term. To the extent the meaning of the word "fate" in relation to
that men can propitiate the gods or provoke the divine will, providence, and predestination.
divine jealousy and anger, the attitudes and With the verbal matter settled, there remains
deeds of men seem to be a determining factor the real problem of God's will and human free-
in the actions of the gods. To the extent that dom. The strictly monotheistic conception of
the gods align themselves on opposite sides of a an omnipotent and omniscient God deepens
human conflict (as in the Iliad), or oppose each the mystery, and makes it more difficult than
other (as in the Odyssey), it may be thought the problem of fate and freedom in pagan
that what happens on earth merely reflects the thought ..
shifting balance of power among the gods. If anyone "calls the will or the power of God
But human planning and willing do not seem itself by the name of fate," Augustine says,
to be excluded by the divine will and plan "let him keep his opinion, but correct his lan-
which are forged out, of the quarrels of the guage.... For when' men hear that word, ac-
gods. On the contrary, polytheism seems to cording to the ordinary use of language, they
make fortune itself contingent on the outcome simply understand by it the virtue of that par-
of the Olympian conflict, and so permits men ticular position of the stars which may exist
a certain latitude of self-determination. Men at the time when anyone is born or conceived,
can struggle against the gods precisely because which some separate altogether from the will
the gods may be with them as well as against of God, whilst others affirm that this also is
them. dependent on that will. But those who are of
The ultimate power of Zeus to decide the the opinion that, apart from the will of God,
issue may, however, place the accent on fate the stars determine what we shall do, or what
CHAPTER 27 : FATE 517
good things we shall possess, or what evils we of fate, in order that cause follow not cause from
shall suffer, must be'refused a hearing by all, not everlasting," it is because in the atoms of his
only by those who hold the true religion, but makeup "there is another cause of motions ...
by those whowish to be the worshippers of any caused by a minute swerving Of first-begin-
gods whatsoever, even false gods. Forwhat does nings at no fixed part of space and no fixed
this opinion really amount to but this, that no time."
god whatsoever is to be worshipped or prayed Nevertheless, according to Augustine, Lu-
to?" cretius is a fatalist who disbelieves in provi-
Since the word "fate" has been used for those dence, other than which there is no fate. Each
things which are determined apart from the of them uses 'the word "fa te," the one to deny,
will of God or man, Augustine thinks it would the other to affirm, the power of God.
be, better for Christians not to use it, but to But even if a Christian avoids the supersti-
substitute "providence'" or "predestination" tions of astrology, or some similar belief in a
when they wish to refer to what God wills. natural necessity which does not depend on
Aquinas, however, retains the word "fate" God, he may still commit the sin of fatalism
but restricts its meaning to the "ordering ... of which follows from the denial of man's free
mediate causes" by which God wills "the pro- will. Understanding fate as identical with prov-
duction of certain effects." idence, the Christian is a fatalist if, in the be-
According to the definition given by Boe- lief that every human act is foreordained by
thius which Aquinas quotes, "Fate is a disposi- God, he resigns himself to his fate, making no
tion inherent to changeable things, by which moral effort and taking no moral responsibility
providence connects each one with its proper for his soul's welfare. To .do that is to argue like
order." Thus fate is not identified with provi- Chaucer's Troilus:
dence, but made subordinate to it. The distinc- I am, he said, but done for, so to say;
tion, Aquinas explains, depends on the way we For all that comes, com,es,by necessity,
consider "the ordering of effects" by God. "As Thus to be done for is my destiny.
I must believe and cannot other choose,
being in God Himself ... the ordering of the That Providence, in its divine foresight,
effects is called Providence." But "as being in Hath known that Cressida I once must lose,
the mediate causes ordered by God," it is called Since God sees everything from heaven's height
fate. While admitting that "the divine power And plans things as he thinks both best and right,
or will can be called fate, as being the cause of As was arranged for by predestination.
fa te," he declares that" essen tiall y fate is the Troilus sees no way of avoiding the conclusion
very disposition or series, i.e., order, of second that."free choice is an idle dream."
causes."
The position Lucretius takes seems to be THE THEOLOGIANS recognize the difficulty of
exactly opposite to that of Augustine and Aqui- reconciling providence and free will. The truth
nas. Lucretius condemns the fatalism of those must lie somewhere between two heresies. If
who believe that the gods control the order of it is heresy to deny God's omnipotence and
nature and who therefore attribute whatever omniscience, then nothing, remains outside the
befalls them to divine ordin,nion. For him, all-encompassing. scope of divine providence,
"nature free at once and rid of her haughty nothing happens contrary to the divine will,
lords is seen to do all things ,spontaneously of no future contingency is Qr can be unforeseen
herself without the meddling of the gods." He by God. If, on the other hand, to deny that
tries to teach men that everything happens ac- man,sins freely means that God must be respon-
cording to the laws of nature, other than which sible for the evil that man does, then it is a
there,;s no fate. The "decrees of fate" lie in the heresy to deny free will, for that i~putes evil
laws by which "all motion is ever linked to- to God.
gether and a new motion ever springs from This is the problem with which Milton deals
another in a fixed order." If man by his "power in Paradise Lost, announcing that he will try
of free action" can "make some commence- "to justify the ways of God to man." In a
ment of motion to break through the decrees conversation in heaven, the Father tells the
518 THE GREAT IDEAS
Son that though He knows Adam will disobey than as He knows it? In a discussion of divine
his rule, Adam remains quite free to sin or not grace and man's free will, Dr. Johnson remarks,
to sin, and the fault is his own, just as the re- "I can judge with great probability how a man
bellious angels acted on their own free will. will act in any' case, without his being restrained
The angels, God says, by my judging. God may have this probability
So were crea ted, nor can just! y accuse increased to certainty." To which Boswell re-
Thir maker, or thir making, or thir Fate; plies that "when it is increased to certainty,
As if Predestination over-rul'd freedom ceases, because that cannot be cer-
Thir will, dispos'd by absolute Decree _ tainly foreknown, which is not certain at the
Or high foreknowledge; they themselves decreed time; but if it be certain at the time, it is a
Thir own revolt, not I: if I foreknew,
Foreknowledge had no influence on their fault, contradiction to maintain that there can be
Which had no less prov'd certain unforeknown. afterwards any contingency dependent upon
So without least impulse or shadow of Fate, the exercise of will or anything else."
Or aught by me immutablie foreseen, Against such difficulties Aquinas insists that
They trespass, Authors to themselves in all,
Both what they judge and what they choose; for so divine providence is compatible, not only with
I formed them free, and free they must remain, natural necessity, but also with contingency in
Till they enthrall themselves: I else must change nature and free will in human acts. Providence;
Thir nature, and revoke the high Decree he writes, "has prepared for some thingsneces-
Unchangeable, Eternal, which ordain'd sary causes so that they happen of necessity; for
Thir, freedom,. they themselves ordain'd their fall.
others contingent causes, that they may happen
A .solution of the problem is sometimes by contingency." Human liberty does not
developed from the distinction between God's imply that the will's acts are not caused by
foreknowledge and God's foreordination. God God who, being the first cause, "moves causes
foreordained the freedom of man, but only both natural and voluntary. Just as by moving
foreknew his fall; man ordained that himself. natural causes, He does not prevent their acts
Strictly speaking, however, the word "fore- being natural, so by moving voluntary causes,
knowledge" would seem to carry a false conno- He does not deprive their actions of being
tation, since nothing is future to God. Every- voluntary." God causes man to choose freely
thing that has ever happened or ever will is and freely to execute his choice.
simultaneously together in the eternal present
of the divine vision. THE UNCOMPROMISING conception of fate is
During his ascent through Paradise, Dante, that which leaves no place for chance or free-
wishing to learn about his immediate future, dom anywhere in the universe, neither in the
asks his ancestor Cacciaguida to foretell his acts of God, nor in the order of nature, nor in
fortune, for he, "gazing upon the Point to the course of history. The doctrine of absolute
which all times are present, can see contingent determinism, whether in theology, science, or
things, ere in themselves they are." Cacciaguida history, is thus fatalism unqualified.
prefaces his prediction of Dante's exile from The ancient historians arenotfatalists in this
Florence by telling him that the contingency of sense. Herodotus, for example, finds much that
material things "is all depicted in the Eternal can be explained-by the contingencies of for-
Vision; yet thence it does not take necessity, tune or by the choices of men. The crucial de-
more than does a ship which is going down the cision, for example, in the defense of Athens
stream from the eye in which it is mirrored." is presented as -an act of man's choice. Upon
The difference between time and eternity is receiving the prophecy that "safe shall the
coriceived as permitting the temporal future wooden wall continue for thee and thy chil-
to be contingent even though God knows its dren," the Athenians exercise their freedom by
content with certitude. disagreeing about its meaning. "Certain of the
But, it may still be asked, does not God's old men," Herodotus writes, "were of the
knowledge imply the absolute predestination opinion that the god meant to tell them the
of future events by providence, since what God citadel would escape; for this was anciently
knows with certitude cannot happen otherwise defended by a palisade.... Others maintained
CHAPTER 27 : FATE 519
that the fleet was what .the god pointed at; and mind's freedom alone." But this development
their advice was that nothing should be thought and this freedom are entirely matters of neces-
of except the ships.'~ The eloquence of Themis- sity as far as individuals and their works are
todes carried the latter view. To stress its im- concerned. "They are all the time the uncon-
portance, the historian observes that "the sav- scious tools and organs of the world mind at
ing of Greece" lay in the decision that led work within them."
Athens to "become a maritime power." For Marx, history seems likewise to have the
In presenting a comparable decision by the same necessity. He deals with individuals, he
Persians, Herodotus seems to be contrasting writes in the preface to Capital, "only in so far
their fatalism with the freedom of the Greeks. as they are the personifications of economic
At first Xerxes accepts the council of Artabanus categories, embodiments of particular class-
not to go to war against the Greeks. But after relations and class-interests. My stand-point,"
a series 9f visions, which appear to both the he says, is one from which "the evolution of
king and his councillor, tha t decision is re- the economic formation of society is viewed as
versed, for, according to the dream, the war a process of natural history," and within which
"is fated to happen." the individual cannot be "responsible for rela-
The conception of fate and freedom in the tions whose creature he socially remains, how-
Aeneid seems closer to the Greek than to the ever much he may subjectively raise himself
Persian view. Even though the consummation above them." Here it is a question only "of
of history, which will come with the founding these laws themselves, of these tendencies
of the Roman empire, is projected as a divinely working with iron necessity towards inevitable
appointed destiny, the hero who brings that results."
great event to pass acts as if he were free to According to the historical determinism of
accept or evade his responsibilities. Hegel and Marx, which is further considered
The Christian understanding of historical in the chapter on HISTORY, men playa part
destiny in terms of providence permits-more which is already written for them in the scroll
than that, requires-men to exercise free choice of history. Human liberty apparently depends
at every turn. "The cause of the greatness of on man's knowledge of and acquiescence in the
the Roman empire," writes Augustine, "is nei- unfolding necessities.
ther fortuitous nor fatal, according to the judg-
ment or opinion of those who call those things HISTORICAL DETERMINISM is merely a part of
fortuitous which either have. no causes or such the doctrine of a causal necessity which governs
causes as do nc;>t proceed from some intelligible all things. Causality seems to be understood by
order, and those things fatal which happen in- moderns like Spinoza, Hume, and Freud as ex-
dependently of the will of God and man, by cluding the possibility of chance or free will.
the necessity of a certain order. ... Human Among the ancients, Plotinus alone seems to
kingdoms are established by divine provi- go as far as Spinoza in affirming the universal
dence." The fatalism which Augustine here reign of natural necessity. What Spinoza says
condemns involves independence not only of of God or Nature, Plotinus says of the All-One,
the will of God, but of man's will also. namely, that for the first principle which is the
lt is only in modern times, with Hegel and cause of everything else, freedom consists in
Marx, that necessity reigns supreme in the being causa sui, or cause of itself-self-deter-
philosophy of history. Hegel spurns the notion mined rather than determined by external
that history is "a superficial play of casual, so- causes.
called 'merely human' strivings and passions." "God does not act from freedom of the will,"
He also condemns those who "speak of Provi- Spinoza writes. Yet "God alone is a free cause,
dence and the plan of Providence" in a way for God alone exists ... and acts from the
that is "empty" of ideas since "for them the necessity of his own nature." As for everything
plan of Providence is inscrutable and incom- else in the l,miverse, Spinoza maintains that
prehensible." For Hegel, history is "the nec- "there is nothing contingent, but all things are
essary development, out of the concept of the determined from the necessity of the divine
520 THE GREAT IDEAS
nature to exist and act in a certain manner." dom and choice," he writes, is "quite unscien-
This applies to man, who, according to Spinoza, tific, and it must give ground before the claims
does "everything by the will of God alone." of a determinism which governs even mental
From quite different premises, Hume seems life." He thinks it can be shown on the basis of
to reach much the same conclusion concerning clinical experience that every psychic associa-
chance and liberty. "Chance," he writes, tion "will be strictly determined by important
"when strictly examined, is a mere negative inner attitudes of mind, which are unknown
word, and means not any real power which has to us at the moment when they operate, just as
anywhere a 'being in nature." But he also thinks much unknown as are the disturbing tendencies
that liberty, "when opposed to necessity, not which cause errors, and those tendencies which
to constraint, is the same thing with chance." bring about so-called 'chance' actions."
Hume embraces the consequences of such a The fatalism of what is often called "scien-
position. "If voluntary action be subjected to tific determinism" is that of blind necessity.
the same laws of necessity with the operations It not only eliminates liberty and chance, but
of matter, there is a continued chain of neces- also purpose and the operation of final causes.
sary causes, pre-ordained and pre-determined, Every future event, in nature, history, or hu-
reaching from the original cause of all to every man behavior, is completely predetermined by
single volition of every human creature. No efficient causes-predetermined, but not pre-
contingency anywhere in the universe; no in- destined, for there is no guiding intelligence
difference; no liberty." at work, no purpose to be fulfilled. "The system
When confronted with the objection that it of fatality, of which Spinoza is the accredited
then becomes impossible "to explain distinctly, author," Kant writes, is one which "eliminates
how the Deity can be the mediate cause of all all trace ofdesign, and leaves the original ground
the actions of men, without being the author of the things of nature divested of all intelli-
of sin and moral turpitude," Hume replies that' gence."
"these are mysteries, which natural and unaS- Whether such complete fatalism is the only
sisted reason is Very unfit to handle .... To de- doctrine compatible with the principles and
fend absolute decrees, and yet free the Deity findings of natural science has been questioned
from being the author of sin, has been found by philosophers like William James. It is cer-
hi therto to exceed all the power of philosophy." tainly not the only doctrine compatible with
Unlike Spinoza and Hume, Freud does not the view that nothing happens without a cause.
deal with the theological implications or pre- As the chapters on CHANCE and WILL show,
suppositions of determinism. For him, determin- ancient and mediaeval thinkers who affirm
ism is an essential postulate of science and contingency in nature or freedom in human'
even to some extent a scientifically discoverable acts do so without denying the universal reign
fact. The "deeply rooted belief in psychic free- of causation.
OUTLINE OF TOPICS
PAGE
I. The decrees of fate and the decisions of the gods 521
2. The fated or inevitable in human life
3. The antitheses of fate: fortune, freedom, natural necessity, chance or contingency , 522
I
4. Fatalism in relation to the will of God: the doctrine of predestination 52 3
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages ref<;rred to. For example, in 4 HOMER: Iliad, BK II [265-283] 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12. .
PAGE SECTIONS: When the teyt is printed in one column, th!! letters a and b refer to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of pageu6 and ends in the lower half of page II9. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164c, the passage begins in~he lower half
of the left-hand side of page 163 and enps in the upper hillfof the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-283] 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses; the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance ,in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: The basic opposites of fate, see CHANCE Ia-I b, 2a; HISTORY 4a( I); WILL 5-5a(4), 5C; and
for other terms in which the opposition between fate and chance is expressed, see NECES-
SITY AND CONTINGENCY 3.
The problem of human liberty in relation to fate, see LIBERTY 4b; NECESSITY AND
CONTINGENCY 5a(3); WILL 5c.
The implications of fate in theology, or for the relation of human liberty to divine provi-
. dence, see CAUSE 7C; GOD IC, 7b; HISTORY 5a; LIBERTY 5a-5c; WILL 7c.
The foretelling of fate or providence, see PROPHECY Ia-I b; and for the .condemnation of
astrology and divination, see PROPHECY 5.
Fatalism or determinism in the philosophy of nature, see CHANCE 2a; NATURE 3c-3c(3);
WILL 5c; WORLD lb.
The same doctrine in the philosophy of history, see HISTORY 4a(r)-4a(4); NECESSITY AND
CONTINGENCY sf; WILL 7b.
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
1. Works by authors represented in this collection.
II. Works by authors .not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
T HE great philosophical issues concerning
form and matter have never been resolved.
opposed on issues which represent part, if not
the whole, of the great traditional controversy
But the terms in which these issues were stated, between PIa to and Aristotle concerning form.
from their first formulation in antiquity t;o the
17th or 18th centuries, have disappeared or at THERE IS A TENDENCY AMONG the historians of
least do not have general currency in contem- thought to use the names of Plato and Aristotle
porary discourse. Kant is perhaps the last great to symbolize a basic opposition in philosophical
philosopher to include these terms in his basic perspectives and methods, or even in what Wil-
vocabulary. The conceptions of matter and liam James calls "intellectual temperaments."
form, he writes, "lie at the foundation of all Later writers are called "Platonists" or "Aris-
other reflection, so inseparably are they con- totelians" and doctrines or theories are classified
nected with every mode of exercising the un- as Platonic or Aristotelian. It almost seems to
derstanding. The former denotes the determin- be assumed at times that these names exhaust
able in general, the second its determination." the typical possibilities: that minds or theories
The word "form" is no longer a pivotal term must be one or the other, or some sort of mix-
in the analysis of change or motion, nor in the ture or confusion of the two.
distinction between being and becoming, nor If this tendency is ever justified, it seems to
in the consideration of the modes of being and be warranted with regard to the problems of
the conditions of knowledge. The word "mat- form. Here, if anywhere, there may be poetic
ter" is now used without reference to form, truth in Whitehead's remark that the history
where earlier in the tradition all of its principal of western thought can be read as a series of
meanings involved "form" as a correlative or an footnotes to PIa to; though perhaps the observa-
opposite. Other words, such as "participation" tion should be added that Aristotle, the first
and "imitation," have also fallen into disuse to comment on Plato, wrote many of the
or lost the meanings which derived from their principal footnotes. In Plotinus the two strains
relation to form and matter. seem to be intermingled. The issue between
The problems which these words were used Plato and Aristotle concerning form dominates
to state and discuss remain active in contem- the great metaphysical and theological contro-
porary thought. There is, for instance, the versies of the later Middle Ages, and, with some
problem of the universal and the particular, the alterations in language and thought, it appears
problem of the immutable and the mutable, the in the writings of Hobbes, Bacon, Descartes,
problem of the one and the many, or of same- Spinoza, and Locke, where it is partly a con-
ness and diversity. These problems appear in tinuation of, and partly a reaction against, the
the writings of William James and Bergson, mediaeval versions of Platonic and Aristotelian
Dewey and Santayana, Whitehead and Russell. doctrine.
Sometimes there is even a verbal approximation The most extreme reaction is, of course, to
to the traditional formulation, as in White- be found in those who completely reject the
head's doctrine of "eternal objects" or in San- term form or its equivalents as being without
tayana's consideration of the "realm of essence" significance for the problems of motion, exist-
and the "realm of matter." Whatever expres- ence, or knowledge. Bacon retains the term,
sions they use, "these thinkers find themselves but radically changes its meaning. "None should
526
CHAPTER 28: FORM 527
suppose from the great part assigned by us to chapter on MATTER. Here we are concerned
forms," Bacon writes, "that we mean such with the issues arising from different views of
forms as the meditations and thoughts of men form and its relation to matter.
have hitherto been accustomed to." He does
not mean either "the concrete forms" or "any THE POPULAR meaning of "form" affords an ap-
abstract forms of ideas," but rather "the laws proach to the subtleties of the subject. As ordi-
and regulations of simple action .... The form narily used, "form" connotes figure or shape.
of heat or form of light, therefore, means no That connotation expresses one aspect of the
more than the law of heat or the law of light." technical significance of "form." A grea t variety
But Hobbes and Locke tend to reject the term of things, differing materially and in other re-
itself-especially when it occurs in the notion spects, can have the same figure or shape. The
of substantial form-as meaningless or mis- same form can be embodied in an indefinite
leading. number of otherwise different individuals. But
"We are told," says Hobbes, "there be in the figures or shapes are sensible forms, forms per-
world certain essences, separated from bodies, ceptible to vision and touch. To identify form
which they call abstract essences, and substantial with figure or shape would put an improper
forms . ... Being once fallen into this error of limitation on the meaning oHorm. This is pop-
separated essences, [men] are thereby necessarily ularly recognized in the consideration of the
involved in many other absurdities that follow form of a work of art-the structure of an epic
it. For seeing they will have these forms to be poem or a symphony-which seems to be more
real, they are obliged to assign them some a matter of understanding than of direct sense-
place"; which they cannot succeed in doing, perception.
according to Hobbes, "because they hold them Bertrand Russell's definition of the form of
incorporeal, without all dimension of quantity, a proposition effectively illustrates the point
and all men know that place is dimension, and involved. The form of a proposition, he says,
not to be filled but by tha t which is corporeal." is that which remains the same in a statement
With regard to substantial form, Locke de- when everything else is changed. For example,
clares, "I confess I have no idea at all, but only these two statements have the same grammat-
of the sound 'form.''' Those "who have been ical and logical form: (1) John followed James,
taught ... that it was those forms which made and (2) Paul accompanied Peter. What might be
the distinction of substances into their true called the matter or subject matter of the two
species and genera, were led yet further out of statements is completely different, but both
the way by having their minds set upon fruit- have the same form, as mayan indefinite num-
less inquiries after 'substantial forms' "-a sub- ber of other statements.
ject which Locke regards as "wholly unintelli- This illustration helps us to grasp the mean-
gible." The general skepticism about this no- ing of form, and the distinction between form
tion (or the distrust of i ts hollowness) in the and matter, or the formal and the material
17th and r8th centuries is reflected in a banter- aspects of anything. It is thus that we under-
ing remark by Tristram Shandy's father. In a stand the phrase "formal logic" to signify a
discussion of infant prodigies, he refers to some study of the forms of thought or discourse, sep-
boy-wonders who "left off their substantial arated from the subject matter being thought
forms at nine years old, or sooner, and went on about or discussed. Similarly, abstractionism or
reasoning without them." surrealism is a kind of formalism in painting
Since form and matter are supposed to be which tries to separate visible patterns or struc-
correlative, the denial to form of meaning or tures from their representative significance or
reality leads to materialism, as in the case of their reference to familiar objects.
Hobbes~the affirmation of matter alone as a Kant's doctrine of space and time as tran-
principle or cause. Materialists of one sort or scendental forms of intuition exemplifies the
another are the opponents of both Plato and meaning of form as pure order or structure di-
Aristotle, and of Platonists and Aristotelians. vorced from sensuous content. "That which in
That part of the controversy is discussed in the the phenomenon corresponds to the sensation,
528 THE GREAT IDEAS
I term its matter," he writes; "that which effects what they are, having the same simple self-
that the content of the phenomenon can be existent and unchanging forms, not admitting
arranged under certain relations, I call its of variation at all, or in any way or at any time."
form." Sometimes the consideration of form Apart from the perishable things of the sensible
emphasizes not its separation from, but its world, and apart from the ideas which are in-
union with matter. The form dwells in the volved in our process of learning and thinking,
thing, constituting its nature. The sensible or there exist the Forms or the Ideas themselves-
intelligible characteristics of a thing result from the immutable objects of our highest knowl-
the various ways in which its matter has been edge.
formed. Because the same English words are em-
It is impossible to say more about the mean- ployed in these quite distinct senses, it is useful
ing of form without facing at once the great to follow the convention of translators who
controversy between Plato and Aristotle and capitalize the initial letter when "Form" or
the difficulties which their theories confront. "Idea" refers to that which is separate from the
characteristics of material things and from the
PLATO DOES NOT deny that things-the sensi- ideas in our mind. The words "Form" and" Idea"
ble, material, changing things of experience- are interchangeable, but the words "Idea" and
have something like form. Nor does he deny "idea" are not. The latter refers to a notion in
that the ideas by which we understand the na- the human mind, by which it knows; whereas
tures of things are like forms. Rather he asks us "Idea"-as Plato uses the word-signifies the
to consider that which they are like. object of knowledge, i.e. that which is known.
In the Phaedo-only one of the many dia- These differences are further discussed in the
logues in which the doctrine of forms is dis- chapter on IDEA.
cussed-Socrates argues that "there is such a By imitating the Forms, sensible things, ac-
thing as equality, not of one piece of wood or cording to Plato, have the characteristics we
stone with another, but that, over and above apprehend in them. The ideas we have when
this, there is absolute equality." Socrates gets we apprehend the resemblance between sensi-
Simmias to admit that "we know the nature of ble things and their Forms (which sensible
this absolute essence," and then asks, "Whence things exhibit), would seem to be indirect ap-
did we obtain our knowledge?" It could not prehensions of the Forms themselves. When in
have been obtained from the pieces of wood or the Republic Socrates discusses knowledge and
stone, Socrates tries to show, because they "ap- opinion, he distinguishes them from one an-
pear at one time equal, and at another time other according to a division of their objects-
unequal," whereas the idea of equality is never the realm of intelligible being on the one hand,
the same as that of inequality. Hence he thinks and the realm of sensible becoming on the
"we must have known equality previously to other. The latter stands to the former as image
the time when we first saw the material or copy to reality, and Socrates finds this rela-
equals .... Before we began to see or hear or tionship repeating itself when he further di-
perceive in any way, we must have had a vides each of the two parts. The realm of be-
knowledge of absolute equality, or we could coming divides into images or shadows and into
not have referred to that standard the equals that "of which this is only the resemblance,"
which are derived from the senses." The equal- namely, "the animals which we see, and every-
ity which supplies the "standard" by which thing that grows or is made." The realm of in-
material equals are measured is the Form or telligible being he also subdivides into two
Idea of equality. parts, of which the first is as an image or reflec-
What is true in this one case Socrates thinks tion of the second, namely, the hypotheses we
is true in every other. Whether we consider form in our minds and the Ideas or Forms them-
the "essence of equality, beauty, or anything selves.
else," Socrates holds, the "Ideas or essences, From this it appears that just as we should
which in the dialectical process we define as ... regard the form of the thing as an imitation of,
true existences ... are each of them always or participation in, the separate Form, so should
CHAPTER 28: FORM 529
we regard the idea we have (that is, our under- between sensible particulars and the Ideas or
standing of the thing) as an approximation of Forms, Parmenicles tells him that "there are
the Idea. The Ideas are ou tside the human mind certain ideas of which all other things partake,
even as the Forms are separate from their sen- and from which they derive their names; that
sible, material imitations. When we apprehend similars, for example, become similar, because
things by reason we know the Forms they imi- they partake of similarity; and great things be-
tate; when we apprehend them by our senses come great, because they partake of greatness;
we know them as imitations, or as images of the and that just and beautiful things become just
Ideas. and beautiful, because they partake of justice
and beauty." The Forms or Ideas are, Parmeni-
THE PLATONIC THEORY changes the ordinary des suggests, "patterns fixed in nature, and
meaning of the word Uimitation." We ordi- other things are like them, and resemblances of
narily think of imitation as involving a relation them-what is meant by the participation of
of resemblance between two sensible things, other things in the ideas, is really assimilation
both of which we are able to perceive; for ex- to them."
ample, we say that a child imitates his father's The fact of particularity and multiplicity
manner, or that a portrait resembles the person seems to be inseparable from the fact of partic-
who posed for it. The painter, according to ipation. That in which the many particulars
Socrates in the Republic, is not the only "crea- participate must, on the other hand, have uni-
tor of appearances." He compares the painter versality and unity. The Forms or Ideas are
who pictures a bed with the carpenter who universals in the sense that each is a one which
makes one. is somehow capable of being in a many-by
Like the bed in the painting, the bed made resemblance or participation. Parmenides asks
by the carpenter is not the real bed. It is not, Socrates whether he thinks that "the whole
says Socrates, the Idea "which, according to idea is one, and yet, being one, is in each one of
our view, is the essence of the bed." The car- the many." When Socrates unhesitatingly says
penter "cannot make true existence, but only Yes, Parmenides points out to him that we then
some semblance of existence." As the bed in confront the difficulty that "one and the same
the picture is an imitation of the particular bed thing will exist as a whole at the same time in
made by the carpenter, so the latter is an imita- many separate individuals" and that "the ideas
tion of the Idea-the essential bed-ness which is themselves will be divisible, and things which
the model or archetype of all particular beds. participate in them will have a part of them
Shifting to another example, we can say that only and not the whole idea existing in each of
a statue, which resembles a particular man, is them." Nor can we say, Socrates is made to
the imitation of an imitation, for the primary realize, that "the one idea is really divisible
imitation lies in the resemblance between the and yet remains one."
particular man portrayed and the Form or Idea,
Man. Just as the statue derives its distinctive THIS DIFFICULTY concerning the relation of par-
character from the particular man it imitates, ticulars to the Ideas they participate in, is dis-
so that particular man, or any other, derives cussed in the chapter on UNIVERSAL AND PAR-
his manhood or humanity from Man. Just as TICULAR. It is not the only difficulty which
the particular man imitates Man, so our idea Platohirnselffinds in the theory of Ideas. An-
of Man is also an imitation of that Idea. Knowl- other concerns the individuality of each of the
edge, according to Plato, consists in the imita- indefinite number of particulars which copy a
tion of Ide~s, even as sensible, material things single model or arch~ype. What makes the
have whatever being they have by imitation of various copies of the same model different from
the true beings, the Forms. one another?
Another name for the primary type of imita- Plato meets this problem by adding a third
tion is "participation." To participate in is to principle. To the intelligible patterns or arche-
partake of. In the dialogue in which Plato has types and their sensible imitations, he adds, in
the young Socrates inquiring into the relation the Timaeus, the principle which is variously
530 THE GREAT IDEAS
named, sometimes "the receptacle," sometimes THE CRITICISM OF the Forms or Ideas which
"space," sometimes "ma tter. " However named, we find in the writings of Aristotle is primarily
it is the absolutely formless, for "that which is directed against their separate existence. "Plato
to receive all Forms should have no form .... was not far wrong," Aristotle says, "when he
The mother and receptacle of all visible and in said that there are as many Forms as there are
any way sensible things ... is an invisible and kinds of natural object"; but he immediately
formless being which receives all things and in adds the qualification: "if there are Forms dis-
some mysterious way partakes of the intelli- tinct from the things of this earth." It is pre-
gible, and is most incomprehensible." cisely that supposition which Aristotle chal-
It is this material or receiving principle which lenges.
somehow accounts for the numerical plurality Aristotle's criticism of Plato stems from his
and the particularization of the many copies own notion of substance, and especially from
of the one absolute model. When a number of his conception of sensible substances as com-
replicas of the same pattern are produced by posed of matter and form. He uses the word
impressing a die on a sheet of plastic material "substance" to signify that which exists in and
at different places, it is the difference in the of itself; or, in other words, that which exists
material at the several places which accounts separately from other things. Hence, when he
for the plurality and particularity of the rep- says that, in addition to sensible substances,
licas. Yet the one die is responsible for the "Plato posited two kinds of substances-the
character common to them all. Forms and the objects of mathematics," he is
The sensible things of anyone sort are not translating the affirmation that the Forms have
only particular because the Form they imitate being separately from the sensible world of
is somehow received in matter; they are also changing things, into an assertion that they are
perishahle because of that fact. The receptacle substances.
is the principle of generation or of change. It is, "Socrates did not make the universals or the
Timaeus says, "the natural recipient of all im- definitions exist apart," Aristotle writes; but
pressions," which is "stirred and informed by referring to the Platonists, he says, "they, how-
them, and appears different from time to time ever, gave them separate existence, and this
by reason of them, but the forms which enter was the kind of thing they called Ideas." What
into and go out of her are the likenesses of real proof is there, he repeatedly asks, for the sepa-
existences modelled after their patterns in a rate existence of the Forms, or universals, or
wonderful and inexplicable manner." the objects of mathematics? "Of the various
Matter, as Plato here suggests, is the mother ways in which it is proved that the Forms
of changing things, things which, between com- exist," he declares, "none is convincing." Fur-
ing to be and passing away, are what they are thermore, he objects to the statement that "all
because of the unchanging Forms. The Form other things come from the Forms"; for "to
which is received in matter for a time makes say that they are patterns and the other things
the changing thing an imitation, as the matter share in them is to use empty words and poeti-
in which the Form is received makes the chang- cal metaphors." There is the additional diffi-
ing thing a participation. culty, he thinks, that "there will be several pat-
The admittedly mysterious partaking of the terns of the same thing, and therefore several
Forms by the formless receptacle conStitutes Forms; e.g., 'animal' and 'two-footed' and also
the realm of becoming, in which being and 'man himself will be Forms 'of man."
non-being are mixed. But the Fbrmsor Ideas Aristotle's denial of separate existence, or
themselves, existing ap\rt from their sensible substantiality, to the Ideas or universals stands
imitations, are "uncreated and indestructible, side by side with his affirmation of the place of
never receiving anything from without, nor forms in the being of substances and the role of
going out to any other, but invisible and im- universals in the order of knowledge. Further-
perceptible by any sense." They constitute the more, he limits his denial of the substantiality
realm of pure being. They are the intelligible of Ideas to those Forms which seem to be the
reality. archetypes or models of sensible things. Par-
CHAPTER 28: FORM 531
ticular physical things-familiar sensible sub- alone. If there were a form existing apart from
stances, such as the stone, the tree, or the man both matter and mind, it would be neither an
-are not, in his opinion, imitations of or par- individual form nor an abstract universal.
ticipations in universal models which exist apart The indwelling forms, according to Aristotle,
from these things. He leaves it an open question are not universals. Except for the possibility of
whether there are self-subsistent Forms or Ideas Forms which dwell apart and bear no resem-
-that is, purely intelligible substances-which blance at all to sensible things, all forms are
do not function as the models for sensible things either in matter or, abstracted from matter, in
to imitate. the human mind. These are often called "ma-
Stated positively, the Aristotelian theory terial forms" because they are the forms which
consists in two affirmations. The first is that the matter takes or can take, and which the mind
characteristics of things are determined by "in- abstracts from matter. Their being consists in
dwelling forms," which have their being not informing or determining matter, just as the
apart from but in the things themselves. To being of matter consists in the capacity to re-
illustrate his meaning he turns to the realm of ceive these forms and to be determined by
art. When we make a brass sphere, he writes, them.
"we bring the form," which is a sphere, "into
this particular matter," the brass, and "the re- THE FOREGOING helps to explain Aristotle's use
sult is a brazen sphere." There is no "sphere of the word "composite" as a synonym for "sub-
apart from the individual spheres," and no stance" when he is considering particular sensi-
brass apart from the particular lumps of metal ble things. The independently existing, indi-
that are brass. "The 'form' means the 'such,' vidual physical things which Aristotle calls
and is not a 'this'-a definite thing," such as "substances" are all composite of form and mat-
this individual brazen sphere. ter. He sometimes also calls form and matter
Aristotle analyzes natural things in the same "substances," but when he uses the word "sub-
manner. It is from "the indwelling form and stance" strictly and in its primary sense, he
the matter," he says, that "the concrete sub- applies it only to the concrete individual. Form
stance is derived." Men such as Callias or Soc- and matter are only principles or constituents
rates, for example, consist of "such and such of the concrete thing-the composite substance.
a form in this flesh and in these bones/' and The union of form and matter to constitute
"they are different in virtue of their matter physical substances also explains the Aristo-
(for that is different) but the same in form." telian identification of form with actuality and
The flesh and bones of Callias are not the flesh of matter with potentiality; and the relation of
and bones of Socrates; but though different as form and matter to a third term in the analysis
individual men, they are the same as men be- of change, namely, privation. As a physical thing
cause they have the same form. changes, its matter gives up one form to take on
The second point is that our understanding another. Its matter thus represents its capacity
of things involves the forms of things, but now or potentiality for form. Matter is the formable
somehow in the intellect rather than in the aspect of changing things. What things are
things themselves. In order to know things, actually at any moment is due to the forms they
Aristotle says, we must have within us "either possess. But they may have the potentiality for
the things themselves or their forms. The acquiring other forms, with respect to which
former alternative is of course impossible: it is they are in privation.
not the stone which is present in the soul," he "The mutability of mutable things," Augus-
maintains, "but its form." tine writes, "is simply their capacity for all the
The form in the thing is as individual as the forms into which mutable things can be
thing itself. But in the mind, as the result of the changed." Change consists in a transformation
intellect's power to abstract this form from its of matter, which is another way of saying that it
matter, the form becomes a universal; it is then consists in the actualization of a thing's poten-
called by Aristotle an "idea," "abstraction," or tialities. The Aristotelian theory of form and
"concept." Forms are universals iIi the mind matter is a theory of becoming as well as an
532 THE GREAT IDEAS
analysis of the being of changing things. Illus- partly actualized and partly potential, and in-
trative applications of this theory will be found volved in accidental change. "Primary mat-
in the chapters on ART, CAUSE, and CHANGE. ter," Aquinas explains, "has substantial being
Some forms are sensible. Some are shapes, through its form .... But when once it exists
some are qualities, some are quantities. But not under one form it is in potentiality to others."
all forms are perceptible by the senses; as, for Perhaps one more distinction should be men-
example, the' form which matter takes when a tioned because of its significance for later dis-
plant or animal is generated and which gives cussions of form. Regarding living and non-
the generated thing its specific nature. This living things as essentially distinct, Aristotle
type of form came to be called a "substantial differentiates between the forms constituting
form" because it determines the kind of sub- these two kinds of substances. As appears in the
stance which the thing is. In contrast, the forms chapter on SOUL, he uses the word "soul" to
which determine the properties or attributes of name the substantial form of plants, animals,
a thing are called its "accidents" or "accidental and men.
forms." For example, size and shape, color and
weight, are accidental forms of a man; whereas BOTH THE PLATONIC theory of the separate
that by virtue of which this thing (having a Forms and the Aristotelian theory of the com-
certain size, shape, and color) is a man, is its position of form and matter raise difficulties
substantial form. which their authors consider and which become
Aristotle's distinction between substantial the subject of intense controversy among Pla-
and accidental form affects his analysis of tonists and Aristotelians in the Hellenistic and
change and his conception of matter. Genera- mediaeval periods.
tion and corruption are for him substantial The Platonic theory faces a question which
change, change in which matter undergoes arises from supposing the existence of an eternal
transformation with respect to its substantial and immutable Form for every appearance in
form. The various types of motion-alteration, the sensible world of becoming. If the Idea and
increase or decrease, and local motion-are the individual are alike, then "some further
changes which take place in enduring sub- idea of likeness will always be coming to light,"
stances, and with respect to their accidental Parmenides says to Socrates; "and if that be
forms. like anything else, then another; and new
The substratum of accidental change is not ideas will be always arising, if the idea resembles
formless matter, but matter having a certain that which partakes of it." Because of this dif-
substantial form; whereas in the coming to be ficulty with the doctrine of participation,
or passing away of substances, the substratum Parmenides suggests that it may be necessary
would seem to be a primary sort of matter, toconelude that "the Idea cannot be like the
devoid of all form. As indicated in the chapter individual or the individual like the Idea." In
on MATTER, this, according to Aristotle, is "the addition, the relationships of the Forms to one
primary substratum of each thing, from which another presents a difficulty. Is the relation of
it comes to be without qualification, and which one Form to another, Parmenides asks, de-
persists in the result." He tries to help us grasp termined by the essence of each Form, or by
prime matter by using an' analogy. "As the the relationships among the sensible particulars
bronze is to the statue, the wood to the bed," that imitate the Forms in question? Either
he writes, "so is the underlying nature to sub- solution seems to be unsatisfactory because of
stance"-matter absolutely formless to sub- the further difficulties which both raise.
stantial form. Yet, after propounding questions of this sort,
Aristotle sometimes speaks of the substantial and multiplying difficulties, Parmenides con-
form as a first act or actuality, and of accidental eludes by telling Socrates why the theory of
forms as second actualities. Accordingly he also Ideas cannot be given up. "If a man, fixing his
distinguishes between a primary and secondary attention on these and like difficulties," he
kind of matter-the one absolutely potential, says, "does away with the Forms of things and
and underlying substantial change; the other will not admit that every individual thing has
CHAPTER 28: FORM 533
its own determinate Idea which is always one knowledge and definition. The definition which
and the same, he will have nothing on which the mind formulates attempts to state the es-
his mind can rest; and so he will utterly destroy sence of the thing defined. The formulable es-
the power of reasoning." sence of a thing would seem to be identical with
The Aristotelian theory has difficulties of its its form. But Aristotle raises the question and
own with respect to the ultimate character of his followers debate at length whether the es-
matter apart from all forms. Completely form- sence of a composite substance is identical with
less matter would be pure potentiality and its substantial form or includes its matter as
would therefore have no actual being. It would well.
be completely unintelligible, since form is the Among his followers Aquinas maintains that,
principle of anything's intelligibility. Never- in defining the essence or species of a composite
theless, something like formless matter seems to substance, the genus is used to signify the mat-
be involved in substantial change, in contrast ter and the differentia the form. "Some held,"
to the substantially formed matter which is the he writes, "that the form alone belongs to the
substratum of accidental change. species, while the matter is part of the individ-
The problem of prime matter is related in ual, and not of the species. This cannot be
later speculations to the problem of th.! number true, for to the nature of the species belongs
and order of the various forms which matter what the definition signifies, and in natural
can take. The question is whether matter must things the definition does not signify the form
have a substantial form before it can have any only, but the form and the matter:. Hence in
accidental form; and whether it can have a natural things the matter is part of the species;
second substantial form in addition to a first, or not, indeed, signate matter, which is the prin-
is limited to having a single substantial form, ciple of individuation, but common matter."
all subsequent forms necessarily being acci- He explains in another place that "matter is
dental. twofold; common and signate, or individual:
Aquinas plainly argues in favor of the unity common, such as flesh and bone; individual,
of substantial form. "Nothing is absolutely such as this flesh and these bones." In forming
one," he maintains, "except by one form, by the universal concept man, for example, the
which a thing has being; because a thing has intellect abstracts the notion of the species
both being and unity from the same source, "from this jlesh and these bones, which do not
and therefore things which are denominated by belong to the species as such, but to the indi-
various forms are not absolutely one; as, for vidual. ... But the species of man cannot be ab-
instance, a white man. If,therefore," Aquinas stracted by the intellect fromjlesh and bones."
continues, "man were living by one form, the As will be seen in the chapters on ONE
vegetative soul, and animal by another form, AND MANY and UNIVERSAL AND PARTICULAR,
the sensitive soul,. and man by another form, the Platonic and the Aristotelian theories of
the intellectual soul, it would follow that man form are equally involved in the great prob-
is not absolutely one.... We must, therefore, lem of the universal and the individual. Even
conclude," he says, "that the intellectual soul, though they seem to be diametrically opposed
the sensitive soul, and the nutritive soul are in on the existence of universals-whether apart
man numerically one and the same sou\." In from or only in minds-both Plato and Aris-
other words, "of one thing there is but one sub- totle face the necessity of explaining individu-
stantial form." It is not only "impossible that ality. What makes the particular that imitates
there be in man another substantial form be- a universal Form the unique individual it is?
sides the intellectual soul," but there is also no What makes the indwelling form of a composite
need of any other, because "the intellectual substance an individual form, as unique as the
soul contains virtually whatever belongs to the individual substance of which it is the form?
sensitive soul of brute animals and the nutritive We have already noted that both Platonists
soul of plants." and Aristotelians appeal to matter as somehow
The Aristotelian theory also has difficulties responsible for individuation or individuality,
with respect to substantial forms as objects of but that only raises further questions. The
534 THE GREAT IDEAS
Platonists conceive matter as the receptacle of those things which he found contrary to faith
all Forms, and so in itself absolutely formless. he amended." He then goes on to say that
How, then, can it cause the particularizations Augustine could not adopt, but had to amend,
which .must be accounted for? Since prime the teaching of the Platonists that "the forms
matter, like the receptacle, is formless, the of things subsist of themselves apart from mat-
Aristotelians resort to what they call "signate ter." He did this, not by denying the ideas,
matter" or "individual matter" to explain the "according to which all things are formed," but
individuality of forms and substances; but it by denying that they could exist outside the
has been argued that this only begs the ques- divine mind. The divine ideas are the eternal
tion rather than solves it. exemplars and the eternal types'-types, Aqui-
nas explains, insofar as they are the likenesses of
THE CORRELATIVE terms form and matter seem things and so the principles of God's knowl-
to occur in modern thought under the guise of edge; exemplars insofar as they are "the princi-
certain equivalents; as, for example, the distinct ples of the making of things" in God's act of
substances which Descartes calls "thought" and creation.
"extension"-res cogitans and res extensa-or The profound mystery of the creative act
the infinite attributes of substance which which projects the divine ideas into substantial
Spinoza calls "mind" and "body." They ap- or material being replaces the older problem of
pear more explicitly in Kant's analysis of know1- how physical things derive their natures by
edge, related as the a priori and the a posteriori participation in the Forms. According to the
elements of experience. But it is in the great Aristotelian theory, both natural generation
theological speculations of the Middle Ages and artistic production involve the transforma-
that the most explicit and extended use of tion of a pre-existent matter. According to the
these terms is made, often with new interpreta- Platonic myth of the world's origin, only
tions placed on anci~nt theories. changing things are created, neither the recep-
The doctrine of spiritual substances, for ex- tacle nor the Ideas. But the Christian dogma of
ample, has a bearing on the theory of self- creation excludes everything from eternity ex-
subsistent Forms. The angels are sometimes cept God.
called "separate forms" by the theologians. Ideas are eternal only as inseparable from
They are conceived as immaterial substances, the divine mind. Being spiritual creatures, the
and hence as simple rather than composite. But angels, or self-subsistent forms, are not eternal.
though Plotinus identifies the order of purely And in the world of corporeal creatures, mat-
intelligible beings with the pure intelligences, ter as well as its forms must begin to be with
the Christian theologian does not identify the the creation of things. Since matter and its
Platonic Ideas with the angels. He regards the forms cannot exist in separation from one an-
angels as intelligences. They exist as pure forms, other, the theologians hold that God cannot
and therefore are intelligible as well as intellec- create them separately. God cannot be sup-
tual substances. But they are in no sense the posed, Augustine says, "first to have made
archetypes or models which sensible things re- formless matter, and after an interval of time,
semble. formed what He had first made formless; but,"
Nevertheless, Christian theology does in- he goes on, "as intelligible sounds are made by
clude that aspect of the Platonic theory which a speaker, wherein the sound issues not formless
looks upon the Ideas as the eternal models or at first and afterwards receives a form, but is
patterns. But, as Aquinas points out, the sepa- uttered already formed; so must God be under-
rately existing Forms are replaced by what stood to have made the world of formless mat-
Augustine calls "the exemplars existing in the ter, but contemporaneously to have created
divine mind." the world." God "concrea tes" form and ma tter,
Aquinas remarks on the fact that "whenever Augustine holds, "giving form to matter's
Augustine, who was imbued with the doctrines formlessness without any interval of time."
of the Platonists, found in their teaching any- Defending Augustine's interpretation of the
thing consistent with faith, he adopted it; and passage in Genesis which says that the earth,
CHAPTER 28: FORM 535
which God in the beginning created, "was un- who, like Aquinas, adopt his theory must also
formed and void," Aquinas argues that "if adapt it to supernatural conditions when they
formless matter preceded in duration, it already deal with the problems of substance involved in
existed; for this is implied by duration .... To the mystery of the Incarnation of the second
say, then, that matter preceded, but without person of the Trinity and the mystery of tran-
form, is to say that being existed actually, yet substantiation in the Eucharist.
without actuality, which is a contradiction in Furthermore, Aristotle's identification of
terms.... Hence we must assert that primary soul with the substantial form of a living thing
matter was not created altogether formless." makes it difficult to conceive the separate exist-
But neither, according to Aquinas, can the ence of the individual human soul. Again an
form of any material thing be created apart adaptation is required. As indicated in the
from its matter. "Forms and other non-sub- chapters on IMMORTALITY and SOUL, the Chris-
sisting things, which are said to co-exist rather tian doctrine of personal survival is given an
than to exist," he declares, "ought to be called Aristotelian rendering by regarding the human
concreated rather than created things." soul as a form which is not completely material.
Aristotle's theory of physical substances as Hence it is conceived as capable of self-subsist-
composite of form and matter raises certain ence when, with death and the dissolution of the
special difficulties for Christian theology. Those composite nature, itis separated from the body.
OUTLINE OF TOPICS
PAGE
I. Form in relation to becoming or change
la. Forms as immutable models or archetypes: the exemplar ideas
lb. Forms as indwelling causes or principles
IC. The transcendental or a priori forms as constitutive of order in experience 537
Id. The realization of forms in the sensible order
(I) Imitation or participation: the role of the receptacle
(2) Creation, generation, production: embodiment in matter or substratum
2. The being of forms
2a. The existence of forms: separately, in matter, in mind
2b. The eternity of forms, the perpetuity of species: the divine ideas
2C. Form in the composite being of the individual thing 539
(I) The union of matter and form: potentiality and actuality
(2) The distinction between substantial and accidental forms
(3) The unity of substantial form: prime matter in relation to substantial form
2J. Angels and human souls as self-subsistent forms: the substantiality of thought'
or mind in separation from extension or body 540
3. Form in relation to knowledge
3a. Sensible forms, intelligible forms: the forms of intuition and understanding
3b. The problem of the universal: knowledge of the individual 54I
3c. Form and definition: the formulable essence; the problem of matter in relation
to definition
4. The denial of form as a principle of being, becoming, or knowledge
536 THE GREAT IDEAS
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-28,]12d, the
number 4 is the number of the v.olume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lo~er halves ofthe page. For example, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper h~lf of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a arid b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-283jI2d.
BIBLE REFERENCES: The references.are to book, chapter, and verse .. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:4S-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: Other discussions of the Forms or Ideas as immutable models or archetypes, see CHANGE I5aj
ETERNITY 4c; IDEA la, 6b.
Other discussions of forms as indwelling causes or principles in mutable things, see CAUSE laj
CHANGE 2a; MATTER Iaj and for the consideration of form and matter as co-principles of
composite substances, see BEING 7b(2).
Discussions of matter or the receptacle in relation to form, see CHANGE 2-2b; MATTER I-I b;
SPACE Iaj WORLD 4b; and for the consideration of matter apart from form, see MATTER 2, 3a.
The controversy over the separate existence of the Forms, the objects of mathematics, and
universals, see BEING 7d(2),d(3); MATHEMATICS 2bj SAME AND OTHER 2a; UNIVERSAL
AND PARTICULAR2a-2Cj and for the problem of the cause of individuality, see MATTER ICj
UNIVERSAL AND PARTICULAR 3.
The existence of forms in the mind as concepts abstracted from matter, see IDEA 2gj MATTER
4d; MEMORY AND IMAGIKATIOK 6C(I)j SEKSE 5a; UNIVERSAL AND PARTICULAR 4c.
Other considerations of the a priori or transcendental forms of intuition, see SENSE IC;
SPACE 4a; TIME 6c.
Comparisons of creation, generation, and production as each relates to form and matter,
seeART 2b-2c; MATTER 3dj WORLD 4e(I).
Other terms related to the distinction of form and matter or to the kinds of form, see BEING
7b, 7C(I),c(3); NATURE Ia(2)j UNIVERSAL AND PARTICULAR 6a.
The theological doctrine of the angels as self-subsistent forms or simple substances, see
ANGEL 2, 3b-3c; BEING 7b(2)j for the theological doctrine of the forms as eternal ex-
emplars or types in the mind of God, see GOD 5fj IDEA Ie; and for the theory of the soul
as the substantial form of a living thing, see LIFE AND DEATH I j MAN 3aj SOUL lb.
Form and matter in relation to definition, see BEING 8c; DEFINITION 6a; MATTER 4bj
NATURE Ia(2).
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
1. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings, which follows the last chapter of The Great Ideas.
INTRODUCTION
W Illi the exception of certain mathema- SOME OF THE TOPICS IN this chapter are pri-
ticians and physicists, all the authors of marily philosophical. They belong to the sub-
the great books are represented in this chapter. ject matter of rational speculation or poetic
In sheer quantity of references, as well as in imagination in all the great epochs of our cul-
variety, it is the largest chapter. The reason is ture, regardless of differences in religious be-
obvious. More consequences for thought and lief. Other topics, however, are peculiarly re-
action follow from the affirmation or denial of stricted to matters of faith or religion. With
God than from answering any other basic ques- respect to such matters, dogmatic differences,
tion. They follow for those who regard the or differences in articles of faith, must be ex-
question as answerable only by faith or only by plicitly recognized.
reason, and even for those who insist upon The materials here assembled must therefore,
suspending judgment entirely. in some instances, be divided according to their
In addition to the primary question of God's origin from pagan or from Jewish and Christian
existence, there are all the problems of the sources. Though no great books from the Mo-
divine nature and of the relation of the world hammedan tradition are included in this set,
and man to the gods or God. The solutions of the fact that Gibbon discusses the Moslem
these problems cannot help influencing man's faith and compares its teachings with those of
conception of the world in which he lives, the Judaism and Christianity explains the inclusion
position that he occupies in it, and the life to of Mohammedanism in one group of topics.
which he is called. That is the group which deals with the doc-
The whole tenor of human life is certainly trines common to these three religions, as dis-
affected by whether men regard themselves as tinguished from the tenets on which Judaism
the supreme beings in the universe or acknowl- and Christianity differ dogmatically. The ex-
edge a superior-a superhuman being whom istence of certain common beliefs in the west-
they conceive as an object of fear or love, a ern tradition enables us to begin, as it seems
force to be defied or a Lord to be obeyed. advisable to do, with the conception of God
Among those who acknowledge a divinity, it that is shared by the living religions of western
matters greatly whether the divine is repre- culture today.
sented merely by the concept of God-the In our civilization, what is denied by an
object of philosophical speculation-or by atheist who says there is no God? Not idols or
the living God whom men worship in all the images which men may seek to placate. Not
acts of piety which comprise the rituals of re- philosophical constructions or mythological fig-
ligion. ures. Certainly not the universe itself, either as
The most radical differences in man's concep- an infinite and everlasting whole, or as finite
tion of his own nature follow from the exclusion and temporal, but equally mysterious in its ul-
of divinity as its source or model on the one timate incomprehensibility to the human mind.
hand, and from the various ways in which man In our civilization, the atheist denies the ex-
is seen as participating in divinity on the other. istence of a supernatural being, the object of
Many fundamental themes and issues are there- religious belief and worship among Jews, Chris-
fore common to this chapter and to the chapter tians, and Mohammedans. He denies the single,
on MAN. personal God Who created the world out of
543
544 THE GREAT IDEAS
nothing, Who transcends this created universe histories of Greek and Roman antiquity-were
and sustains it by His immanent power, Who all polytheistic. The number of their gods,
has made laws for the government of all things Montaigne estimates, "amounts to six-and-
and cares for each particular by His providence, thirty thousand." Augustine offers one explana-
and Who created man in His own image, re- tion of why there were so many. "The an-
vealed Himself and His will to men, and metes cients," he writes, "being deceived either by
out eternal rewards and punishments to the their own conjectures or by demons, supposed
children of Adam, whom He also helps by His that many gods must be invited to take an in-
grace. terest in human affairs, and assigned to each a
In this religious conception of God, one term separate function and a separate department-
must be saved from misinterpretation. The to one the body, to another the soul; and in the
word "personal" should not be read with an- body itself, to one the head, to another the
thropomorphic imagery, though its meaning neck, and each of the other members to one of
does entitle man as well as God to be called a the gods; and in like manner, in the soul, to one
person rather than a thing. "Although the term god the natural capacity was assigned, to an-
person is not found applied to God in Scripture, other education, to another anger, to another
either in the Old or New Testament," Aquinas lust; and so the various affairs of life were as-
writes, "nevertheless what the term signifies is signed-cattle to one, corn to another, wine to
found to be affirmed of God in many places of another, oil to another, the woods to another,
Scripture; as that He is the supreme self-sub- money to another, navigation to another, wars
sisting being, and the most perfectly intelligent and victories to another, marriages to another,
being." births and fecundity to another, and other
Boethius had defined a person as "an individ- things to other gods."
ual substance of a rational nature," or, as Locke That polytheism, no less than monotheism,
later said, "a thinking intelligent being." conceives the divine as personal, appears in
In applying the term person to God, in the Plato's Apology. When Socrates is accused of
meaning which Boethius had given it, Aquinas atheism, he asks whether the indictment means
commen ts on the difference in its meaning when that he does not "acknowledge the gods which
it is applied to men. God can be said to have a the state acknowledges, but some other new
rational nature, he writes, only "if reason be divinities or spiritual agencies in their stead."
taken to mean, not discursive thought, but, Meletus answers that he thinks Socrates is a
in a general sense, an intelligent nature ... complete atheist who recognizes no gods at all.
God cannot be called an individual" in the sense To this Socrates replies by suggesting that his
in which physical things are, but only in the enemies must be confusing him with Anaxag-
sense of uniqueness. "Substance can be applied oras, who had blasphemed against Apollo by
to God [only] in the sense of signifying self- calling the sun "a red hot stone." As for him-
subsistence." Aquinas does not conclude from self, he offers evidence to show that he believes
this that "person" is said improperly of God, in divine or spiritual agencies "new or old, no
but rather that when God is called "personal" matter"; and "if! believe in divine beings," he
the meaning is applied "in a more excellent asks, "how can I help believing in spirits or
way," for God does not possess, God is, an in- demigods ?"
telligence. Like the one God of Judaism and Chris-
We shall use this idea of a personal God, the tianity, the many gods of pagan antiquity have
reality of which the contemporary atheist immortal life, but they are not without origin.
denies, in order to distinguish divergent con- Zeus is the son of Kronos, and he has many
ceptions in other doctrines. Then we shall ex- offspring, both gods and demigods, who per-
amllle more closely what is involved in this form different functions and are not of equal
idea itself. station in the Olympian hierarchy. The realm
of the divine includes such figures as the Titans
IN THE WESTERN tradition, the various pagan and the Cyclops, who are neither gods nor men;
religions-reflected especially in the poems and and demigods, like Heracles, who are offspring
CHAPTER 29: GOD 545
of divine and human mating. These deities ex- and efforts; they reward men for fidelity and
ercise superhuman powers, but none is com- virtue or punish them for impiety and sin.
pletely omnipotent or omniscient, not even Despite all other differences between pagan-
Kronos or Zeus who cannot escape the decrees ism and Christianity, these agreements are sub-
of Fate. Moreover, with the exception, perhaps, stantial enough to provide many common
of that of Zeus, the power of one divinity is threads of theological speculation throughout
often challenged and thwarted by another. This our tradition, especially with regard to the
aspect of polytheism and its bearing on the in- abiding practical problems of how man shall
tervention of the gods in the affairs of men are view himself and his destiny in relation to the
discussed in the chapter on FATE. divine or the supernatural. We have therefore
The extent to which we think of the pagans attempted to place passages from the great
as idolatrous because they made graven images books of pagan antiquity under every heading
of their gods in human form, or regard the except those which are specifically restricted to
pagan conceptions of the gods as anthropomor- the dogmas of Judaism and Christianity-even
phic, depends on our interpretation of religious under headings which are worded monotheis-
symbolism. Plato for one thinks that many of tically, since even here there is continuity of
the poets' descriptions of the gods and their thought and expression from Homer and Virgil
activities should be dismissed as unworthy, to Dante and Milton; from Plato, Aristotle,
precisely because they debase the gods to the and Plotinus to Augustine, Aquinas, Descartes,
human level. and Kant; from Lucretius to Newton and Dar-
According to Gibbon, a Greek or Roman Wlfl.
philosopher "who considered the system of
polytheism as a composition of human .fraud THE DOCTRINES known as deism and pantheism,
and error, could disguise a smile of contempt like unqualified atheism, are as much opposed
under the mask of devotion, without appre- to the religious beliefs of polytheism as to the
hending that either the mockery or the com- faith of Judaism and Christianity.
pliance would expose him to the resentment of Of these two, pantheism is much nearer
any invisible, or, as he conceived them, imagi- atheism, for it denies the existence of a tran-
nary powers." But the early Christians, he scendent supernatural being or beings. God is
points out, saw the many gods of antiquity "in Nature. God is immanent in the world and,
a much more odious and formidable light" and in the extreme form of pantheism, not tran-
held them to be "the authors, the patrons, and scendent in any way. Certain historic doctrines
the objects of idolatry." which are often regarded as forms or kinds of
Those who take symbols with flat literalism pantheism seem to be less extreme than this,
might also attack Christianity as anthropomor- for they do not conceive the physical universe
phic and idolatrous; in fact they have. The as exhausting the infinite being of God. The
defense of Christianity against this charge does world, for all its vastness and variety, may only
not avail in the case of Roman emperor-wor- represent an aspect of the divine nature.
ship, which consisted not in the humanization According to Spinoza, the attributes of ex-
of the divine for the sake of symbolic represen- tension and thought, in terms of which we un-
tation, but in the deifi,cation of the merely derstand the world or nature as being of the
human for political purposes. divine substance, are merely those aspects of
Although there are radical differences, there God which are known to us, for the divine sub-
are also certain fundamental agreements be- stance consists "of infinite attributes, each one
tween paganism and Judaeo-Christianity re- of which expresses eternal and infinite essence."
garding the nature of the divine. As we have In the conception of Plotinus, the whole world
already noted, the deities are conceived per- represents only a partial emanation from the
sonally, not in terms of impersonal, brute divine source. Yet thinkers like Plotinus and
forces. Conceived as beings with intelligence Spinoza so conceive the relation of the world to
and will, the gods concern themselves with God that-as in the strictest pantheism-the
earthly society; they aid or oppose man's plans religious doctrines of creation, providence, and
546 THE GREAT IDEAS
salvation are either rejected or profoundly al- it is both present and not present; not present
tered. as not being circumscribed by anything; yet as
In the ancient world, the teaching of the being utterly unattached, not inhibited from
Stoic philosophers expresses a kind of panthe- presence at any point." Thus all things partake
ism. "There is one universe made up of all of The One in absolute dependence. But The
things," Marcus Aurelius writes, "and one God One, considered in itself, is absolutely tran-
who pervades all things, and one substance, and scendent. Plotinus even denies it the name of
one law, one common reason in all intelligent God or Good or Being, saying it is beyond
animals, and one truth." He speaks of the these.
"common nature," which is apparently divine, Whether or not Spinoza is a pantheist, has
and of which "every particular nature is a part, long been debated by his commentators. An
as the nature of the leaf is a part of the nature explicit, even an extreme form of pantheism
of the plant." But, although he stresses the one- would seem to be expressed in the proposition
ness and divinity of all things, Aurelius also that "whatever is, is in God, and nothing can
at times uses language which seems to refer to be or be conceived without God." But while
a god who dwells apart from as well as in the the one and only substance which exists is at
world, as, for example, when he debates once nature and God, Spinoza identifies God
whether the gods have any concern with human only with the nature he calls "natura naturans."
affairs. God is not reduced to the nature that falls with-
Another type of ancient pantheism appears in man's limited experience or understanding-
in the thought of Plotinus, for whom all things the nature he calls "natura naturata."
have being only insofar as they participate in, "By natura naturans," he explains, "we are
even as they emanate from, the power of The to understand that which is in itself and is con-
One, or Primal Source. "God is sovranly pres- ceived through itself, or those attributes of sub-
ent through all," he writes. "We cannot think stance which express eternal and infinite es-
of something of God here and something else sence, that is to say, God in so far as He is con-
there, nor of all of God gathered at someone sidered as a free cause. But by natura naturata
spot: there is an instantaneous presence every- I understand everything which follows from
where, nothing containing and nothing left the necessity of the nature of God, or of any
void, everything therefore fully held by the one of God's attributes, that is to say, all the
divine." The relation between The One and modes of God's attributes in so far as they are
every other thing is compared to the number considered as things which are in God and
series. "Just as there is, primarily or secondarily, which without God can neither be nor can be
some form or idea from the monad in each of conceived. "
the successive numbers-the latter still partici- God is the infinite and eternal substance of
pating, though unequally, in the unit-so the all finite existences, an absolute and unchang-
series of beings following upon The First bear, ing one underlying the finite modes in which it
each, some form or idea derived from that variably manifests itself. Though God for Spi-
source. In Number the participation establishes noza is transcendent in the sense of vastly ex-
Quantity; in the realm of Being, the trace of ceeding the world known to man, in no sense
The One establishes reality: existence is a trace does God exist apart from the whole of nature.
of The One." Spinoza's view thus sharply departs from that
But although The One is in all things, and of an orthodox Jewish or Christian theologian.
all things depend upon it for their very exist- When the latter says that God is transcendent,
ence, The One itself has no need of them. I t is in he means that God exists apart, infinitely re-
this sense that Plotinus says that "The One is moved from the whole created universe. When
all things and no one of them . . . Holding all- the latter speaks of God as being immanent in
though itself nowhere held-it is omnipresent, that universe, he carefully specifies that it is not
for where its presence failed something would by His substance, but by the power of His ac-
elude its hold. At the same time, in the sense tion and knowledge. But Spinoza calls God
that it is nowhere held, it is not present: thus "the immanent, and not the transitive, cause of
CHAPTER 29: GOD 547
all things," for the reason that "outside God God, the infinite and eternal Creator of this
there can be no substance, that is to say, out- world, Whose laws are the laws of nature
side Him nothing can exist which is in itself." which are laid down from the beginning and
These divergent conceptions of God's im- which govern all created things. Rousseau
manence and transcendence-so relevant to speaks of this as "the religion of man" and even
the question of who is or is not a pantheist- identifies it with Christianity-"not the Chris-
are further discussed in the chapters on NATURE tianity of today, but that of the Gospel, which
and WORLD. is entirely different." He describes this religion
as that "which has neither temples, nor altars,
UNLIKE PANTHEISM, deism affirms gods or a nor rites, and is confined to the purely internal
God, personal intelligences existing apart from cult of the supreme God and the eternal obliga-
this world; but, as in the teaching of Lucretius, tions of morality."
deism sometimes goes to the extreme of believ- Not all deists, certainly not those of the 17th
ing in absentee gods who neither intervene in and early 18th centuries, go to the Lucretian
the order of nature nor concern themselves extreme of picturing an uninterested and mor'
with human affairs. ally neutral God. Many of them believe in an
"The nature of the gods," Lucretius writes, after-life. But modern deism did tend toward
"must ever in itself of necessity enjoy immor- this extreme. By Kant's time it had even ceased
tality together with supreme repose, far re- to look upon God as a personal intelligence.
moved and withdrawn from our concerns; since Kant therefore takes great pains to distinguish
exempt from every pain, exempt from all deism from theism.
dangers, strong in its own resources, not want- The deist, according to Kant, "admits that
ing aught of us, it is neither gained by favors we can cognize by pure reason alone the exist-
nor moved by anger." ence of a supreme being, but at the same time
Such gods neither create the world nor maintains that our conception of this being is
govern it; above all they do not reward or purely transcendental, and that all we can say
punish man, and so they do not have to be of it is, that it possesses all reality, without be-
feared or propitiated. "To say that for the sake ing able to define it more closely." The theist,
of men they have willed to set in order the on the other hand, "asserts that reason is ca-
glorious nature of the world and therefore it is pable of presenting us, from the analogy with
meet to praise the work of the gods immortal, nature, with a more definite conception of this
and that it is an unholy thing ever to shake by being, and that its operations, as the cause of all
any force from its fixed seats that which by the things, are the results of intelligence and free
forethought of the gods in ancient days has will."
been established on everlasting foundations for Kant even maintains that "we might, in
mankind, or to assail it by speech and utterly strict rigor, deny to the deist any belief in
overturn it from top to bottom; and to invent God at all, and regard him merely as a main-
and add other figments of the kind ... is all tainer of the existence of a primal being or thing
sheer folly. For what advantag~ can our grati- -the supreme cause of all other things." In any
tude bestow on immortal and blessed beings case, deism seems to be an essentially un-Jewish
that for our sakes they should take in hand to and un-Christian or anti-Jewish and anti-Chris-
administer aught?" tian doctrine, for it denies God's supernatural
Divinity seems to have moral significance to revelation of Himself; it denies miracles and
Lucretius only insofar as the gods exemplify the every other manifestation of supernatural agen-
happy life; and religion is immoral because its cy in the course of nature or the life of man;
superstitions concerning divine motives and it denies the efficacy of prayer and sacrament.
meddling make men servile and miserable. In short, it rejects the institutions and practices,
When the deism of Lucretius is contrasted as well as the faith and hope, of any religion
with the more familiar modern forms of that which claims supernatural foundation and su
doctrine, the influence of Christianity is seen. pernatural warrant for its dogmas and rituals.
The modern deist affirms the supremacy of one Deism, which "consists simply in the worship
548 THE GREAT IDEAS
of a God considered as great, powerful, and reason's incompetence to demonstrate. He
eternal," is, in Pascal's opinion, "almost as far often accompanies the declaration with elabo-
removed from the Christian religion as atheism, rate criticisms of the arguments which may be
which is its exact opposite." offered by others. This is not always the case,
What Pascal and Kant call "deism" and however. For example, the great Jewish theolo-
Rousseau "the religion of man," others like gian, Moses Maimonides, thinks that God's ex-
Hume call "natural religion." His Dialogues istence can be proved by reason entirely apart
Concerning Natural Religion provide a classic from faith; but with regard to the essence or
statement of rationalism, which is the same as attributes of God, his position seems to be one
naturalism, in religion; though, as the chapter which might be called agnostic.
on RELIGION indicates, it may be questioned When men "ascribe essential attributes to
whether the word "religion" can be meaning- God," Maimonides declares, "these so-called
fully used for a doctrine which claims no knowl- essential attributes should not have any similar-
edge beyond that of the philosopher, and no ity to the attributes of other things, just as
guidance for human life beyond the precepts of there is no similarity between the essence of
the moralist. God and that of other beings." Since the mean-
ing of such positive attributes as good or wise is
THE SYSTEMATIC expOSItion of man's knowl- derived from our knowledge of things, they do
edge of God is the science of theology. In addi- not provide us with any knowledge of God's
tion to considering all things-the whole world essence, for no comparison obtains between
and human life-in relation to God, theology things and God. Hence Maimonides asserts that
treats especially of God's existence, essence, and "the negative attributes of God are the true
attributes. Throughout the range of its subject attributes." They tell us not what God is, but
matter and problems, theology may be of two what God is not.
sorts: it may be either natural knowledge, ob- Even though Maimonides holds that "exist-
tained by ordinary processes of observation and ence and essence are perfectly identical" in
reasoning; or knowledge which is supernatural God, he also insists that "we comprehend only
in the sense of being based on divine revelation. the fact that He exists, not His essence.... All
This is the traditional distinction between nat- we understand," he goes on to say, in addition
ural and sacred or, as it is sometimes called, to "the fact that He exists," is the fact that
dogmatic theology. The one belongs to the do- "He is a Being to whom none of his creatures is
main of reason; it is the work of the philosopher. similar." This fact is confirmed in all the nega-
The other belongs to the domain of faith, and tive attributes such as eternal (meaning non-
is the work of the theologian who seeks to un- temporal), infinite, or incorporeal; even as it is
derstand his faith. falsified by all the positive attributes, expressed
These distinctions are discussed in the chap- by such names as "good" or "living" or "know-
ters on THEOLOGY, METAPHYSICS, and WIS- ing," insofar as they imply a comparison be-
DOM. Here we are concerned with different at- tween God and creatures. When they cannot
ti tudes toward the problem of man's knowledge be interpreted negatively, they can be tolerated
of God. The deist, as we have seen, rejects su- as metaphors, but they must not be taken as
pernatural revelation and faith; theology, like expressing an understanding "of the truees-
religion, is held to be entirely natural, a work of sence of God," concerning which Maimonides
reason. The agnostic makes the opposite denial. maintains, "there is no possibility of obtaining
He denies that anything supernatural can be a knowledge."
known by reason. It cannot be proved or, for Aquinas takes issue with such agnosticism
that matter, disproved. The evidences of nature about the divine nature in his discussion of the
and the light of reason do not permit valid in- names of God. Although he says that "we can-
ferences or arguments concerning God or crea- not know what God is, but rather what He is
tion, providence or immortality. not," Aquinas disagrees with Maimonides that
It is usually with respect to God's existence all names which express some knowledge of
that the agnostic most emphatically declares God's essence must be interpreted negatively
CHAPTER 29: GOD 549
or treated as metaphors. He denies that "when So understood, agnosticism need not be in-
we say God lives, we mean merely that God compatible with religion, unless a given reli-
is not like an inanimate thing" as "was taught gion holds, as an article of faith itself, that the
by Rabbi Moses." On the contrary, he holds existence of God can be proved by reason. In
that "these names signify the divine substance fact, the agnostic may be a religious man who
... although they fall short of representing accepts divine revelation and regards faith as
Him.... For these names express God, so far divinely inspired. .
as our intellects know Him. Now since our Montaigne's Apologyfor Raimond de Sebonde
intellect knows God from creatures, it knows illustrates this position. Sebonde had written a
Him as far as creatures represent Him." There- treatise on natural theology, which to Mon-
fore, Aquinas concludes, "when we say, God is taigne seems "hardy and bold; for he under-
good, the meaning is not, God is the cause of takes, by human and natural reasons to estab-
goodness, or, God is not evil: but the meaning lish and make good against the atheists all the
is, Whatever good we attribute to creatures pre- articles of the Christian religion." Though
exists in God, and in a higher way." Montaigne says of his work, "I do not think it
possible to do better upon that subject," and
IF MAIMONIDES were right that the names though he entertains the conjecture that it may
which are said positively of both God and have been "drawn from St. Thomas Aquinas;
creatures are "applied .. in a purely equivocal for, in truth, that mind full of infinite learning
sense" (e.g., having literal meaning when said and admirable subtlety, was alone capable of
of creatures but being only metaphorical when such imaginations"; nevertheless, Montaigne
said of God), then, according to Aquinas, it does "not believe that means purely human are,
would follow that "from creatures nothing at in any sort, capable of doing -it."
all could be known or demonstrated about According to Montaigne, "it is faith alone
God." Those who say, on the other hand, that that vividly and certainly comprehends the
"the things attributed to God and creatures deep mysteries of our religion." In his view,
are univocal" (i.e., are said in exactly the same reason by itself is incapable of proving anything,
sense), claim to comprehend more than man much less anything about God. "Our human
can know of the divine essence. When the term reasons," he writes, "are but sterile and un-
wise "is applied to God," Aquinas writes, "it digested matter; the grace of God is its form;
leaves the thing signified as uncomprehended it is that which gives it fashion and value." The
and as exceeding the signification of the name. light and value in Sebonde's arguments come
Hence it is evident that this term wise is not from the fact that faith supervenes "to tint and
applied in the same way to God and to man. illustrate" them, and "renders them firm and
The same applies to other terms. Hence no solid."
name is predicated univocally of God and crea- Such arguments, Montaigne says, may serve
tures" but rather all positives names "are said as "direction and first guide to a learner" and
of God and creatures in an analogous sense." may even "render him capable of the grace of
A further discussion of the names of God God"; but for himself, skeptical of all argu-
will be found in the chapter on SIGN AND ments, the way of faith alone can provide "a
SYMBOL; and the consideration of the analogi- certain constancy of opinion.... Thus have I,
cal, the univocal, and the equivocal will also by the grace of God, preserved myself entire,
be found there as well as in the chapter on without anxiety or trouble of conscience, in
SAME AND OTHER. We have dealt with these the ancient belief of our religion, amidst so
matters here only for the sake of describing that many sects and divisions as our age has pro-
degree of agnosticism, according to which duced."
Maimonides, by contrast with Aquinas, is an Far from being religious as Montaigne was,
agnostic. But agnosticism usually goes further the agnostic may be a skeptic about faith as
and denies that man can have any natural well as reason. He may look upon faith either
knowledge of God -ei ther of His existence or of as superstition or as the exercise of the will to
His essence. believe with regard to the unknowable and the
550 THE GREAT IDEAS
unintelligible-almost wishful thinking. He matters, such as God's existence and attributes,
may even go so far as to treat religion as if it he classifies as belonging to "the preambles to
were pathological. faith" because they fall, in his view, within
Freud, for example, regards religion as an il- reason's power to demonstrate, unaided by
lusion to be explained in terms of man's need faith. Yet even here he does not assign the
to create gods in his own image-to find a sur- affirmation of the truth to reason alone.
rogate for the father, on whom his infantile Just as "it was necessary for the salvation of
dependence can be projected. Freud finds con- man that certain truths which exceed human
firmation for this in the fact that in the reli- reason should be made known to him by divine
gions of the west, God "is openly called Father. revelation," so even with regard to "those
Psychoanalysis," he goes on, "concludes that he truths about God which human reason can
really is the father, clothed in the grandeur in investigate," Aquinas thinks it was also nec-
which he once appeared to the small child." essary that "man be taught by a divine reve-
Though the grown man "has long ago real- lation. For the truth about God, such as reason
ized that his father is a being with strictly lim- can know it, would only be known by a few,
ited powers and by no means endowed with and that after a long time, and with the admix-
every desirable attribute," Freud thinks that ture of many errors." Because "human reason
he nevertheless "looks back to the memory- is very deficient in things concerning God"-
image of the overrated father of his childhood, "a sign of which is that philosophers ... have
exalts it into a Deity, and brings it into the fallen into many errors and have disagreed
presen t and in to reali ty. The emotional strength among themselves"-men would have no
of this memory-image and the lasting nature knowledge of God "free from doubt and un-
of his need for protection"..-for, as Freud ex- certainty" unless all divine truths were "de-
plains, "in relation to the external world he is livered to them by the way of faith, being told
still a child"-"are the two supports of his to them, as it were, by God Himself Who can-
belief in God." not lie."
In different ways faith supports reason and
AT THE OTHER extreme from agnosticism is, as reason helps faith. On matters which belong to
the name implies, gnosticism. Like deism, it both reason and faith, faith provides a greater
dispenses with faith, but it exceeds traditional certitude. On matters strictly of faith, reason
deism in the claims it makes for reason's power provides some understanding, however remote
to penetrate the divine mysteries. Between ex- and inadequate, of the mysteries of religion.
clusive reliance on faith and an exaltation of "The use of human reason in religion," Bacon
reason to the point where there is no need for writes, "is of two sorts: the former, in the con-
God to reveal anything, a middle ground is held ception and apprehension of the mysteries of
by those who acknowledge the contributions God to us revealed; the other, in the inferring
of both faith and reason. Those who try to and deriving of doctrine and direction there-
harmonize the two usually distinguish between upon .... In the former we see God vouch-
the spheres proper to each, and formulate some safeth to descend to our capacity, in the ex-
principle according to which they are related pressing of his mysteries in sort as may be sensi-
to each other in an orderly fashion. ble unto us; and doth grift his revelations and
Whatever is purely a matter of faith, Aquinas holy doctrine upon the notions of our reason
says, is assented to solely because "it is revealed and applieth his inspiration to open our under-
by God." The articles of Christian faith are standing, as the form of the key to the ward
typified by "the Trinity of Persons in Almighty of the lock. For the latter, there is allowed us
God, the mystery of Christ's Incarnation, and an use of reason and argument, secondary and
the like." With regard to such matters, which respective, although not original and absolute.
Aquinas thinks belong primarily to faith, some For after the articles and principles of religion
auxiliary use can be made of reason, "not, in- are placed and exempted from examination
deed, to prove faith," he explains, but to make of reason, it is then permitted unto us to
clear the things that follow from it. Certain make derivations and inferences from and ac-
CHAPTER 29: GOD 551
cording to the analogy of them, for our better object exists." Hence Anselm considers the
direction. " consequence of supposing that God exists in
In addition to all discursive knowledge of the understanding alone.
God, whether it be by faith or by reason, there "If that, than which nothing greater can be
is the totally incommunicable and intimate ac- conceived," he argues, "exists in the under-
quaintance with the supernatural which the standing alone, the very being, than which
mystic claims for his vision in moments of re- nothing greater can be conceived, is one than
ligious ecstasy or which is promised to the which a greater can be conceived"-for to
blessed as their heavenly beatitude. When, at exist in reality as well as in the understanding
the culmination of Paradise, Dante sees God, is to have more being. But this leads to "an
"my vision," he declares, "was greater than our irreconcilable contradiction," since "if that,
speech." than which nothing greater can be conceived,
Knowing that his "speech will fall more can be conceived not to exist, it is not that than
short ... than that of an infant who still bathes which nothing greater can be conceived."
his tongue at the breast," he tries nevertheless Therefore Anselm concludes that a being "than
to communicate in words "one single spark of which nothing greater can be conceived" must
Thy glory for the folk to come." In the pres- exist "both in the understanding and reality."
ence of God, he writes, his mind, "wholly rapt, Anselm summarizes his argument by saying
was gazing fixed, motionless, and intent, and that "no one who understands what God is,
ever with gazing grew enkindled. In that Light can conceive that God does not exist." Since
one becomes such that it is impossible he should the non-existence of God is inconceivable, God
ever consent to turn himself from it for other must exist. Descartes gives the same argument
sight; because the Good which is the object a slightly different statement in terms of the
of the will is all collected in it, and outside of inseparability of God's essence from God's
it that is defective which is perfect there." existence.
"Being accustomed," he writes, "in all other
THE ARGUMENTS FOR the existence of the gods things to make a distinction between existence
or of one God constitute one of the greatest and essence, I easily persuade myself that the
attempts of the human mind to go beyond the existence can be separated from the essence of
sensible or phenomenal world of experience. God, and that we can thus conceive God as not
The attempt has been made in every age and actually existing. But, nevertheless, when I
by minds of quite different persuasions in re- think of it with more attention, I clearly see
ligious belief or philosophical outlook. It is that existence can no more be separated from
possible, nevertheless, to classify the arguments the essence of God than can its having its three
into two or three main types. angles equal to two right angles be separated
Within the domain of pure or speculative from the essence of a rectilinear triangle, or
reason there seem to be two ways of approach- the idea of a mountain from the idea of a
ing the problem of God's existence. valley; and so there is not any less repugnance
One is in terms of the conception of God to our conceiving a God (that is, a Being su-
as an infinite, perfect, and necessary being, premely perfect) to whom existence is lacking
whose non-existence is therefore inconceivable. (that is to say, to whom a certain perfection is
According to Anselm, God cannot be conceived lacking), than to conceive of a mountain which
in any other way than as "a being than which has no valley."
nothing greater can be conceived." But since Spinoza defines a "cause of itself' as "that
"the fool hath said in his heart, there is no whose essence involves existence; or that whose
God," how shall he be made to know that the nature cannot be conceived unless existing."
God, which exists in his understanding at the Since in his conception of substance, substance
moment when he denies His real existence, also is necessarily infinite, it is also cause of itself.
really exists outside his understanding? "For Hence he concludes that "God or substance
it is one thing for an object to be in the under- ... necessarily exists"; for "if this be denied,
standing, and another to understand that the conceive if it be possible that God does not
552 THE GREAT IDEAS
exist. Then it follows that His essence does not terms of the conception of an absolutely perfect
involve existence. But this is absurd. Therefore being or in terms of essence and existence,. the
God necessarily exists." . argument is invalid, he thinks, which asserts
This mode of argument, which takes still that God actually exists because His non-exist-
other .forms, is traditionally called the "onto- ence is inconceivable. Kant's later criticism of
logical argument" or the "a priori proof' of the ontological argument takes a similar course.
God's existence. Its critics sometimes deny that A proposition may be logically necessary with-
it is an argument or proof in any sense at all. out being true in fact.
Aquinas; for example, interprets Anselm not as "The conception of an absolutely necessary
proving God's existence, but rather as asserting being," he writes, "is a mere idea, the objective
that God's existence is self-evident. Those who reality of which is far from being established
say that the proposition "God does not exist" by the mere fact that it is a need of reason....
is self-contradictory, are saying that the oppo- The unconditioned necessity of a judgment
site proposition "God exists" must be self- does not form the absolute necessity of a
evident. thing;" From the fact that "existence belongs
Aquinas does not deny that the proposition necessarily to the object of the conception,"
"God exists" is intrinsically self-evident. On we cannot conclude that "the existence of the
this point he goes further than Anselm, Des- thing ... is therefore absolutely necessary-
cartes, and Spinoza. Where they say God's merely," Kant says, "because its existence has
essepce inuolves His existence, Aquinas asserts been cogitated in the conception... What-
that in God essence and existence ate identicaL ever be the content of our conception of an
When Moses asks God, "If they should say to object, it is necessary to go beyond it, if we
me, What is His name? what shall I say to wish to predicate existence of the object....
them?" the Lord says unto Moses, "I AM The celebrated ontological or Cartesian argu-
THAT I AM," and adds, "Say to the children ment for the existence of a supreme being is
of Israel: HE WHO IS hath sent me to you." therefore insufficient."
This name-HE WHO IS-Aquinas holds to
be "the most proper name of God" because it TH~ SECOND MAIN approach to the problem
signifies that "the being of God is Bis very of God's existence lies in the sort of proof
essence." which, Locke thinks, "our own existence and
For this reason he thinks that the proposition the sensible parts of the universe offer so clearly
"God exists" is self-evident in itself. Its subject and cogently to our thoughts." He refrains
and predicate are immediately related .. Never- from criticizing the argument from "the idea
theless, Aquinas holds that the proposition is of a most perfect being," but he does insist that
not self-evident to us "because we do not know we should not "take some men's having thai:
the essence of God. " Even supposing,. he idea of God in their minds . for the only
writes, "that everyone understands this name proof of a Deity." He for one prefers to follow
God as signifying something ~han which noth- the counsel of St. Paul, that "the invisible
ing greater can be thought, nevertheless, it things of God are clearly seen from the creation
does not therefore follow that he understands of the world, being understood by the things
that what the name signifies exists actually, but that are made, even his eternal power and God-
only that it exists mentally. Nor can it be ar- head."
gued that it actually exists, unless it be ad- We have, according to Locke, an intuitive
mitted that there actually exists something knowledge of our own existence. We know, he
than which nothing greater can be thought; and says, that "nonentity cannot produce any real
this precisely is not admitted by those who being"; and so "from the consideration of our-
hold that God does not exist." . selves, and what we infallibly find in our con-
The writer of the First Set of Objections stitution, our reason leads us to the knowledge
to Descartes' Meditations maintains that the of this certain and evident truth- That there
criticism advanced by Aquinas applies to Des- is an eternal, most powerful, and most k!zowing
cartes as well as to Anselm. Whether stated in Being."
CHAPTER 29: GOD 553
Without labelling it a proof of God's exist- Whatever has any potentiality in its nature
ence, Augustine in his Confessions presents a is capable of not existing. If everything were
similar argument-from the visible creation. of this sort, nothing that now is "need be,
"Behold," he says, "the heavens and the earth for it is possible for all things to be capable of
are; they proclaim that they were created; for existing, but not yet to exist." Hence, in still
they change and vary .... They proclaim also another way, Aristotle seems to reach the con-
that they made not themselves: 'therefore we clusion that a purely actual being must exist;
are, because we have been made; we were not and, furthermore, he seems to identify this
therefore, before we were, so as to make our- being with a living and thinking God. "Life
selves' .... Thou therefore, Lord, madest them." also belongs to God," he writes; "for the ac-
This second approach to the existence of God tuality of thought is life, and God is that ac-
by reasoning from the facts of experience or tuality; and God's self-dependent actuality is
the evidences of nature is called the "a posteriori life most good and eternal."
proof." In the tradition of the great books, it Where Aristotle argues from motion and
has been formulated in many different ways. potentiality to a prime mover and a pure ac-
What is common to all of them is the principle tuality, Newton gives the a posteriori proof
of causality, in terms of which the known exist- another statement by arguing from the design
ence of certain effects is made the basis for in- of the universe to God as its designer or archi-
ferringthe existence of a unique cause-a first tect. "The most wise and excellent contrivances
cause, a highest cause, an uncaused cause. of things, and final causes" seem to him the best
Aristotle, for example, in the last book of his way of knowing God. "Blind metaphysical
Physics, argues from the fact of motion or necessity, which is certainly the same always
change to the existence of an, unmoved mover. and everywhere, could produce no variety in
He sums up his elaborate reasoning on this things. All that diversity of natural things
point in the following statement. "We estab- which we find suited to different times and
lished the fact that everything that is in mo- places could arise from nothing bu t the ideas
tion is moved by something, and that the and will of a Being necessarily existing."
movent is either unmoved or in motion, and In similar fashion Berkeley maintains that
that, if it is in motion, it is moved either by "if we attentively consider the constant regu-
itself or by something else and so on through- larity, order, and concatenation of natural
out the series: and so we proceeded to the posi- things, the surprising magnificence, beauty,
tion that the first principle that directly causes and perfection of the larger, and the exquisite
things that are in motion to be moved is that contrivance of the smaller parts of the creation,
which moves itself, and the first principle of the together with the exact harmony and corre-
whole series is the unmoved." spondence of the whole, but, above all, the
Aristotle's argument, unlike that of Augus- never enough admired laws of pain and pleas-
tine or Locke, does not presuppose the creation ure, and the instincts or natural inclinations,
of the world, at least not in the sense of the appetites, and passions of animals; I say if we
world's having a beginning. On the contrary, consider all these things, and at the same time
he holds the world and its motions to be as attend to the meaning and import of the at-
eternal as their unmoved mover. "It is im- tributes, one, eternal, infinitely wise, good,
possible," he writes in the Metaphysics, "that and perfect, we shall clearly perceive that they
movement should either have come into being belong to the ... Spirit, who 'works all in all,'
or cease to be." Precisely because he thinks the and 'by whom all things consist.'" This seems
world's motions are eternal, Aristotle holds to him so certain that he adds, "we may even
that the prime mover, in addition to being assert that the existence of God is far more
everlasting, must be immutable. This for him evidently perceived than the existence of men."
means "a principle whose very essence is ac- But, according to Berkeley, all the visible
tuality." Only a substance without any poten~ things of nature exist only as ideas in our minds,
cy, only one which is purely actual, can be an ideas which, unlike our own memories or imagi-
absolutely immutable, eternal being. nations, we do not ourselves produce. "Every-
554 THE GREAT IDEAS
thing we see, hear, feel, or anywise perceive by which nourishes and maintains, as the life of
sense," he writes, must have some other cause trees; or that which, besides this, has also sensa-
than our own will, and is therefore "a sign or tion, as the life of beasts; or that which adds
effect of the power of God." To the "unthink- to all these intelligence, as the life of man; or
ing herd" who claim that "they cannot see that which does not need the support of nutri-
God," Berkeley replies that "God ... is in- ment, but only maintains, feels, understands,
timately present to our minds, producing in as the life of angels-all can only be through
them all that variety of ideas or sensations Him who absolutely is. For to Him it is not
which continually affect us." one thing to be, and another to live, as though
The existence of any idea in us is for Berkeley He could be, not living; nor is it to Him one
ground for asserting God's existence and power thing to live, and another to understand, as
as its cause. But for Descartes one idea alone though He could live, not understanding; nor
becomes the basis of such an inference. He is it to Him one thing to understand, another
supplements his a priori or ontological argu- to be blessed, as though l:ie could understand
ment with what he calls an "a posteriori dem- and not be blessed. But to Him to live, to
onstration of God's existence from the mere understand, to be blessed, are to be. They have
fact that the idea of God exists in us." understood, from this unchangeableness and
That he is himself imperfect, Descartes this simplicity, that all things must have been
knows from the fact that he doubts. Even made by Him, and tha t He could Himself
when doubting leads to knowledge, his knowl- have been made by none."
edge is imperfect, "an infallible token" of The variety of arguments we have so far
which, he says, is the fact that "my knowledge examined seems to fit the "five ways" in which,
increases little by little." But the idea which according to Aquinas, the existence of God can
he has of God, he declares, is that of an abso- be proved a posteriori. "The first and most man-
lutely perfect being, "in whom there is nothing ifest way is the argument from motion," which
merely potential, but in whom all is present Aquinas attributes to Aristotle. "The second
really and actually." On the principle that way is from the nature of an efficient cause."
there cannot be more reality or perfection in Berkeley's argument or Locke's would seem,
the effect than in the cause, Descartes con- in some respects, to offer a version of this mode
cludes that his own imperfect mind cannot be of reasoning. "The third way is taken from
the cause of the idea of a perfect being. "The possibility and necessity," and seems to develop
idea that I possess of a being more perfect than the argument from potentiality in Aristotle's
I," he writes, "must necessarily have been Metaphysics, and to contain the inference from
placed in me by a being which is really more mutability and contingency which is implicit
perfect." in the argument attributed to the Platonists
The radical imperfection of man, and indeed by Augustine. "The fourth way is taken from
of all creation, offers Augustine still another the gradation to be found in things." Proceed-
proof for God's existence, which he attributes ing from the existence of the imperfect to ab-
to the "Platonists." "They have seen," he solute perfection, it resembles in principle the
writes, "that whatever is changeable is not the reasoning of Descartes concerning the perfec-
most high God, and therefore they have tran- tion in the cause relative to the perfection in
scended every soul and all changeable spirits the effect. "The fifth way is taken from the
in seeking the supreme. They have seen also governance of the world"-from the fact that
that, in every changeable thing, the form which everything acts for an end-and so is like the
makes it that which it is, whatever be its mode argument which Newton offers from final
or nature, can only be through Him who truly causes and the existence of order in the uni-
is, because He is unchangeable. And therefore, verse.
whether we consider the whole body of the These "five ways" mayor may not be re-
world, its figure, qualities, and orderly move- garded as an exhaustive list of the a posteriori
ment, and also all the bodies which are in it; proofs. It may even be questioned whether the
or whether we consider all life, either that five ways are logically distinct and independ-
CHAPTER 29: GOD 555
ent. Aquinas himself says that "in speculative effect ... or to be of so singular and particu-
matters the medium of demonstration, which lar a nature as to have no parallel and no sim-
demonstrates the conclusion perfectly, is only ilarity with any other cause or object, that has
one; whereas probable means of proof are ever fallen under our observation .... If ex-
many." Since he considers the argument for perience and observation and analogy be, in-
God's existence to be a certain, not a probable deed, the only guides which we can reasonably
proof, it would seem to follow that, in strict follow in inferences of this nature," as Hume
logic, only one principle can be involved in thinks is the case, then it follows that "both
that proof. the effect and the cause must bear a similarity
As already suggested, the principle-com- and resemblance to other effects and causes
mon to all the various ways in which such a which we know.
posteriori reasoning is expressed-seems to be "I leave it to your own reflection," he adds,
the principal of causality. This appears in the "to pursue the consequences of this principle."
argument from the existence of contingent One seems obvious enough; namely, that God
beings, which cannot cause their own being, -a unique and unparalleled cause-cannot be
to the existence of a being which needs no cause proved by reasoning from our experience of
of its being, because its very essence is to exist. effects and their causes. Hume himself draws
This may be the one argument for God's exist- this conclusion when he declares that theology,
ence or, if one among many, it may be the core insofar as it is concerned with the existence of
of all the others. It has the distinction at least a Deity, has "its best and most solid founda-
of conceiving God as the cause of being, rather tion," not in reason or experience, but in ':faith
than of motion or of hierarchy and order in and divine revelation."
the world. Like Hume, Kant thinks that our notions
According to the statement of Aquinas that of cause and effect cannot be applied outside
"being is the proper effect of God," it estab- experience or to anything beyond the realm
lishes God as the unique and direct cause of the of sensible nature. But he offers an additional
being possessed by every finite thing. This for- reason for denying validity to all a posteriori
mulation of the proof is more fully examined in reasoning concerning God's existence. "It im-
the chapter on NECESSITY AND CONTINGENCY; poses upon us," he says, "an old argument in a
and its relation to the question of whether the new dress, and appeals to the agreement of two
world had a beginning or is eternal, and if witnesses, the one with the credentials of pure
eternal, whether it is created or uncreated, will reason, and the other with those of empiricism;
be seen in the chapters on CAUSE, ETERNITY, while, in fact, it is only the former who has
and WORLD. changed his dress and voice."
The principle of the argument from the con-
THE VALIDITY OF the a posteriori argument for tingency of the world or its parts Kant states
God's existence-in one form or another-is as follows: "If something exists, an absolutely
questioned by those who think that the causal necessary being must likewise exist." One
principle cannot be applied beyond experience, premise in the argument, namely, that con-
or who think that our knowledge of cause and tingent things exist, has its foundation in ex-
effect is not sufficient to warrant such infer- perience and therefore Kant admits that the
ences. reasoning "is not completely a priori or onto-
"The existence of any being can only be logical." But in order to complete the proof, he
proved by arguments from its cause or its ef- thinks it must be shown that an ensrealissimum,
fect," Hume writes; "and these arguments or most perfect being, is the same as an abso-
are founded entirely on experience .... It is lutely necessary being, in order for the obtained
only experience which teaches us the nature conclusion (a necessary being exists) to be trans-
and bounds of cause and effect, and enables us lated into the conclusion desired (God exists).
to infer the existence of one object from that Tha t "an ens realissimum must possess the ad-
of another." But Hume doubts "whether it be ditional attribute of absolute necessity"-or,
possible for a cause to be known only by its in other words, that a perfect being is identical
556 THE GREAT IDEAS
with one which necessarily exists-is, according nature has two things to shun, error and misery.
to Kant; "exactly what was maintained in the Your reason is no more shocked in choosing one
ontological argument." Hence he maintains rather than another, since you must of necessity
that the argument from contingency is invalid choose. This is one point settled. But your
because it cannot avoid including what is for happiness? Let us weigh the gain and the loss
Kant the invalid premise of the ontological in wagering that God is. Let us estimate these
argument as "the real ground of its disguised two chances. If you gain, you gain all, if you
and illusory reasoning." lose, you lose nothing. Wager then, without
hesitation, that He is."
THE CONTROVERSY concerning the proof of We are incapable of knowing either that
God's existence raises issues in logic, in meta- God is or what God is, according to Pascal, be-
physics and physics, and in the theory of knowl- cause "if there is a God, He is infinitely incom-
edge. Philosophers are opposed on the;: ques- prehensible" and "has no affinity to us." Never-
tion whether a valid demonstration is possible. theless, proceeding on the practical level of the
Those who think it possible differ from one wager, reason may lead to Christian faith, yet
another on the way in which the proof should not in such a way as to give adequate reasons
be constructed. Those who think it impossi- for that belief, since Christians "profess a re-
ble do not always go to the opposite extreme ligion for which they cannot give a reason."
of makin:g the affirmation of God's existence Kant also makes the affirmation of God a
a matter of faith; or of denying with the skep- matter of faith, but for him it is a "purely
tic that we can have any light on the ques- rational faith, since pure reason ... is the sole
tion at all. Pascal and Kant, for example, reject source from which it springs." He defines a
the theoretic arguments as inconclusive or matter offaith as any object which cannot be
untenable, but they do not think the problem known through the speculative use of reason,
is totally insoluble. They offer instead practical but which "must be thought a priori, either as
grounds or reasons for accepting God's exist- consequences or as grounds, if pure practical
ence. reason is to be used as duty commands ...
"The metaphysical proofs of God are so re- Such is the summum bonum," he says, "which
mote from the reasoning of men," Pascal as- has to be realized in the world through free-
serts, "and so complicated, that they make dom ... This effect which is commanded,
little impression." He will "not undertake," he together with the only conditions on which its
tells us in his Pensees, "to prove by natural possibility is conceivable by us, namely, the exist-
reasons ... the existence of God." In his view ence of God and the immortality of the soul,
"there are only three kinds of persons: those are mattersoffaithand are of all objects the only
who serve God, having found Him; others who ones that can be so called."
are occupied in seeking Him, not having found For Kant, then, the existence of God is a
Him; while the remainder live without seeking "postulate of pure practical reason ... as the
Him, and without having found Him." Since necessary condition of the possibility of the
he regards the first as "reasonable and happy," summum bonum." The moral law commands
the last as "foolish and unhappy," he addresses us to seek the highest good, with perfect happi-
himself to the middle group whom he regards ness as its concomitant; but Kant thinks that
as "unhappy and reasonable." "there is not the slightest ground in the moral
He asks them to consider whether God is or law for a necessary connexion between morality
is not. "Reason can decide nothing here," he and proportionate happiness in a being that
says. If a choice is to be made by reason, it must belongs to the world asa part of it." Since man is
be in the form of a wager. "Which will you a part of the world or nature, and dependent
choose then? Let us see. Since you must choose, on it, "he cannot by his will bea caus.e of this
let us see which interests you least. You have nature, nor by his own power make it thorough-
two things to lose, the true and the good; and ly harmonize, as far as his happiness is con-
two things to stake, your reason and your will, cerned, with his practical principles." The only
your knowledge and your happiness; and your possible solution lies in "the existence of a
CHAPTER 29: GOD 557
cause of all nature, distinct from nature itself, natural reason, must either use such negative
and containing the principle of this connexion, attributes, as infinite, eternal, incomprehensible;
namely, of the exact harmony of happiness or superlatives, as most high, most great, and the
with morality." That is why, Kant explains, like; or indefinite, as good, just, holy, creator;
"it is morally necessary to assume the existence and in such sense, as if he meant not to declare
of God." what He is (for that were to circumscribe Him
within the limits of our fancy), but how much
IN THE TRADITION of the great books, the com- we admire Him, and how ready we would be
mon ground shared by reason and faith is to obey Him; which is a sign of humility and of
marked by the convergence of the contribu- a will to honor Him as much as we can: for
tions made by pagan, Jew, and Christian-and there is but one name to signify our conception
by poets, philosophers, and theologians-to the of His nature, and that is, I AM: and but one
problem of God's existence and the understand- name of His rei a tion to us, and that is GOD; in
ing of the divine nature, the essence of God which is contained Father, King, and Lord."
and His attributes. Even when they are discussed by the philos-
Certain attributes of God, such as simplicity, ophers and reflected on by the poets, certain
immateriality, eternity, infinity, perfection, matters belong especially to theology because
and glory, are usually regarded as so many dif- they constitute the dogmas of religion-articles
ferenrways in which the human understanding of religious faith based solely on divine revela-
apprehends the divine nature in itself. Other tion, not discovered by human inquiry or
attributes, such as the divine causality, omni- speculation. That God created the world out
potence, omnipresence, omniscience, love, jus- of nothing and of His free will; that the world
tice, and mercy, are usually taken as ways of had a beginning and will have an end are, for
considering God's nature in relation to the example, dogmas of traditional Judaism and
world or to creatures. But to divide the at- Christianity. Philosophers may argue about
tributes in this way, as is done in the Outline the freedom or necessity of the creative act, or
of Topics, is to make a division which cannot about the possibility of a beginning or an end
be fully justified except in terms of convenience to time and the world, but Jewish and Christian
for our understanding. God's will, for example, theologians find in Sacred Scripture the war-
no less than God's intellect, can be considered rant for believing that which may not be thor-
in relation to Himself. God's intellect, no less oughly intelligible to reason, much less demon-
than God's will, can have the world for its strable by it. What is true of creation applies
object. So, too, the divine goodness can be con- generally to the religious belief in divine provi-
sidered with reference to things, even as God's dence and the positive commandments of God,
love can be considered with reference to Him- to ,the gift of grace which God bestows upon
self. men, and to the performance of miracles.
The difficulties we meet in classifying or Judaism and Christianity share certain
ordering the attributes of God confirm the dogmas, though the degree to which Jewish
opinion of almost all theologians, that our and Christian theologians commonly under-
understanding is inadequate to comprehend the stand what is apparently the same dogma varies
essence of God. The fact that we employ a from great similarity of interpretation (as in
multiplicity of attributes to represent to our- the case of creation and providence) to differ-
selves what in itself is an absolute unity is ences so great (as, for example, with regard to
another indication of the same point. The one grace) that there may be some doubt whether
attribute of simplicity would seem to deny us the dogma in question is really the same. The
the right to name others, unless we take the line of demarcation between these faiths would
plurality of attributes to signify something seem to be more easily determined than their
about man's understanding of God rather than common ground; yet even here such matters
a real complexity in the divine nature. as the resurrection of the body-even when we
"He that will attribute to God," Hobbes take differences of interpretation into account
writes, "nothing but what is warranted by -may be regarded as a dogma shared by both.
558 THE GREAT IDEAS
The basic differences between Jewish and tian faith, we have attempted to organize the
Christian theology center, of course, on the references to specifically religious doctrines
issue between a unitarian and a trinitarian con- concerning God and His creatures according
ception of the Godhead, with immediate con- to their origin and foundation in either th~
sequences for disbelief or belief in Christ as the Old or in the New Testament, or in both. On
incarnate second person of the Trinity-the certain points, as we have already seen, the line
Word become flesh. This in turn has conse- of distinction can be clearly drawn. For exam-
quences for doctrines of salvation, and of the ple, the doctrines of God's covenant with Is-
nature and mission of the church, its rituals rael, of the Chosen People, of the Temple and
and its sacraments. Even within Christianity, the Torah, are indisputably drawn from the
however, there have been and still are serious Old Testament; and from the New Testament
doctrinal differences on all these matters. The come such dogmas as those concerning Christ's
most fundamental heresies and schisms of early divinity and humanity, the Virgin Birth, the
Christianity concerned the understanding of Church as the mystical body of Christ, and the
the Trinity and the Incarnation. The great seven sacraments.
modern schism which divided Christendom Under all these topics we have assembled
arose from issues about the sacraments, the passages from the Bible, interpretations of them
organization and practices of the church, and by the theologians, and materials from the
the conditions of salvation. great books of poetry and history, philosophy
It would seem to be just as easy to say what and science. Since the criterion of relevance
beliefs are common to religious Jews and here is the reflection of sacred or religious
Christians, as to articulate the faith common doctrine in secular literature, the writings of
to all sec ts of Christiani ty. If all varieties of pagan antiquity are necessarily excluded,
Protestant doctrine are included, little remains though they are included in the more philo-
in common except belief in the God of Abra- sophical topics of theology, such as the existence
ham, Isaac, and Jacob-creator and provider, and nature of one God.
governor and judge, dispenser of rewards and Despite its length, this chapter by no means
punishments. exhausts the discussion of God in the great
books. The long list of Cross-References, which
ONE BOOK STANDS OUT from all the rest be- follows the seventy-three topics comprising the
cause, in our tradition, it is-as the use of Reference section of this chapter, indicates the
"Bible" for its proper name implies-the various ways in which the idea of God occurs
book about God and man. For those who in the topics of other chapters. The reader will
have faith, Holy Writ or Sacred Scripture is find that list useful not only as an indication
the revealed Word of God. Its division into of the topics in other chapters which elaborate
Old and New Testaments represents the his- on or extend the discussion of matters treated
toric relation of the Jewish and Christian here, but also as a guide to other Introductions
religions. in which he is likely to find the conception of
Without prejudice to the issue between be- God a relevant part of the examination of some
lief and unbelief, or between Jewish and Chris- other great idea.
OUTLINE OF TOPICS
PAGE
I. The polytheistic conception of the supernatural order 561
la. The nature and existence of the gods
Ih. The hierarchy of the gods: their relation to one another
IC. The intervention of the gods in the affairs of men: their judgment of the deserts
of men
CHAPTER 29: GOD 559
PAGE
2. The existence of one God
2a. The revelation of one God
2b. The evidences and proofs of God's existence
2C. Criticisms of the proofs of God's existence: agnosticism
2d. The postulation of God: practical grounds for belief
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [26S-2S3] 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in S3 JAMES: Psychology, 1I6a-1I9b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters e and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164e. the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164'
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CIi,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [26S-2S3] 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: Other treatments of polytheism, and for discussions ~f the gods in relation to fate and human
life, See,ANGEL Ij FA,TE Ij MAN lOa. .
Man's duty and piety toward God or the gods, and for man's worship of God or the gods,
see DUTY S, I I j JUSTICE I I bj RELIGION 2-2g.
Man's love of God and desire to be with God, see DESIRE 7b; LOVE 5a-Sb(2); VIRTUE AND
VICE Sd(3).
Matters relevant to proving God's existence and to other ways of affirming God's existence,
see BEING 7a, Sf; CHANGE 14; METAPHYSICS 2d; NECESSITY AND CoNTINGENCY 2a-2b;
REASONING Sb(3),Sb(S); THEOLOGY 4c. .
The problem of God's immanence and transcendence, and for the doctrine of pantheism,
see NATURE Ib; ONE AND MANY Ib; WORLD 3-3b.
Matters relevant to the consideration'ofGod as a necessary being, see BEING 7a; NECESSITY
AND CONTINGENCY 2a-2b. '
The consideration of the unity and simplicity of God, see ONE AND MANY 6a.
The consideration of God's eternity and immutability, see CHANGE ISC; ETERNITY 3.
The consideration of God's infinity and omnipresence, see INFINITY nd.
The consideration of God's perfection and goodness, see GOOD AND EVIl~ 2-2a; and for the
discussion of God in relation to Satan and to the problem of evil, see ANGEL 7-7b; GOOD
AND EVIL Id, 2bj OPPOSITION 2d.
The consideration of God's intellect, his knowledge and wisdom, the divine ideas and the
divine truth, see IDEA Ie; INFINITY 7d; KNOWLEDGE 7a; MIND loe-Iof; TRUTH 2d; WISDOM
Id.
The consideration of God's will and love, see LoVE 5c; WILL 4-4a.
The consideration of God's beauty, happiness, and glory,seeBEAUTY 7a; HAPPINESS 7dj
HONOR 6--6b.
The consideration of the divine independence and God's free will, see LIBERTY 5d; WILL 4b.
The consideration of divine causality in relation to nature, the origin of the universe by
creation or emanation, and the eternity of the world, see ART 2Cj CAUSE 7-7a; CHANGE 14;
MATTER 3d; NATURE 3c(4); TIME 2C; WORLD 4-4e(3); and for the special problem of the
creation of life and of man,see EVOLUTION , 7a; MAN 8b; SOUL 4c.
The consideration of God's foreknowledge and providence in relation to man's freedom and
. to the course of history, see CAUSE 7C; CHANCE 2bj FATE 4; HISTORY 5a; LIBERTY 5a-5c;
PROPHECY Ib-Ic; SIN 6aj WILL 7C' .
The consideration of divine causality as expressed in divine law and in the government of the
universe, see ASTRONOMY 6; CAUSE 7Cj LAW J-3b(2); MONARCHY 2bj SIN I; VIRTUE AND
VICE Sc; WORLD IC.
The consideration of divine causality in the dispensation of grace and the performance of
miracles, see CAUSE 7d; LIBERTY SC; NATURE 3C(4), 6bj RELIGION Ib(2)j SIN 7; VIRTUE
AND VICE Sb, Se; WILL 7e(2).
The consideration of God's justice and mercy; and of divine rewards and punishments,
see HAPPINESS 7c-7c(3) j IMMORTALITY Se-sf; JUSTICE II-IIaj PUNISHMENT se; SIN
6c-6e.
Other discussions of the doctrine of the Messiah, the Trinity, the Incarnation, and the second
coming of Christ, see MAN IICj ONE AND MANY 6b-6cj PROPHECY 4c-4d; RELATION 2.
Other discussions of the doctrine of original sin and man's redemption and salvation, see
HAPPINESS 7aj SIN 3-3e, 7; VIRTUE AND VICE Sa; WILL 7e(I).
Other discussions of the Last Judgment and the end of the world, see IMMORTALITY 5c;
PROPHECY 4d; WORLD S.
CHAPTER 29: GOD 603
For: Other discussions of the church as the Mystical Body of Christ, and of the theory of the
sacraments, see RELIGION 2C, 3a-3b; SIGN AND SYMBOL SC.
The general theory of the relation of reason and faith in man's knowledge of God, see
KNOWLEDGE 6c(S); LOGIC 4f; METAPHYSICS 3a; RELIGION Ib-Ib(3); THEOLOGY 2, 4b-4C;
VIRTUE AND VICE 8d(l)j WISDOM IC.
The distinction between man's natural and supernatural knowledge of God, and for the
discussion of mystical experience and the beatific vision, see EXPERIENCE 7; HAPPI-
NESS 7c(l)j KNOWLEDGE 6c(S); RELIGION 6fj WILL 7dj WISDOM IC.
Other discussions of God's revelation of Himself, of Sacred Scripture, and of man's inter-
pretation of the Word of God, see EDUCATION 7a; LANGUAGE 12; PROPHECY 3d; SIGN AND
SYMBOL se.
Other discussions of the relation of creatures to God, and especially of the problem of the
resemblance between creatures and God, see MAN loa, I1aj RELATION 3; SAME AND
OTHER 6.
Other discussions of the nam,es of God, and for the bearing thereon of the distinction between
the univocal, the equivocal, and the analogical, see IDEA 4b(4); SAME AND OTHER 3a(3)-
3b, 6; SIGN AND SYMBOL 3d, Sf.
Sciences peculiarly concerned with God, see ASTRONOMY 6j METAPHYSICS 2a, 2d, 3aj
THEOLOGY.
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
T HE theory of good and evil crosses the
boundaries of many sciences or subject
theology-righteousness and sin, salvation and
damnation-'-are, like virtue and vice, happi-
matters. It occupies a place in metaphysics. It ness and misery, conceptions of good and evil
is of fundamental importance in all the moral in the condition of man. (Their special theo-
sciences~ethics, economics, politics, jurispru- logical significance comes from the fact that
dence. It appears in all the descriptive sciences they consider the goodness or evil of man in
of human behavior, such as psychology and so- terms of his relation to God.) But the theologi-
ciology, though there it is of less importance cal problem which is traditionally called "the
and is differently treated. problem of evil" concerns the whole universe in
The relation of good and evil to truth and its relation to the divine perfection.
falsity, beauty and ugliness, carries the discus- That problem, which is further discussed in
sion into logic, aesthetics, and the philosophy the chapter on WORLD, can be formulated in a
of art. The true, it has been said, is the good in number of ways. How are we to understand the
the sphere of our thinking. So it may be said of existence of evil in a world created by a God
the beautiful that it isa quality which things who is omnipotent and perfectly good? Since
have when they are good as objects of contem- God is good and since everything which hap-
plation and love, or good as prOductions. It is pens is within God's power, how can we ac-
no less possible to understand goodness and count for the sin of Satan or the fall of man,
beauty in terms of truth, or truth and goodness with all the evil consequent thereupon, with-
in terms of beauty. out limiting God's power or absolving the err-
One aim of analysis, with respect to the true, ingcreature from responsibility? Can it be said
the good, and the beautiful, is to preserve their tha t this is the best ofall possible worlds, if it is
distinctness without rendering each less univer- also true that this world is far from perfectly
sal. This has been attempted by writers .who good, and if, as certain theologians hold, "God
treat these three terms as having a kind of par- could make other things, or add something to
allelism in their application i:o everything, but the present creation, and then there would be
who also insist that each of the three notions another and a better universe" ?
conceives things under a different aspect or in a
different relation. "As good adds to being the THE CONTEMPORARY discussion of good and evil
notion of the desirable," Aquinas writes, "so draws its terminology from economics rather
the true adds a relation to the intellect"; and it than theology. The word "value" has almost re-
is also said that the end "of the appetite, name- placed "good" and "evil." What in other cen-
ly good, is in the desirable thing," whereas the turies were the various moral sciences are now
end "of the intellect, namely the true, is in the treated as parts of the general theory of value.
intellect itself." The substitution of "value" for "good" or of
In that part of theology which goes beyond "value judgment" for "moral judgment" re-
metaphysics and moral philosophy, we meet flects the influence of economics.
with the concept of infinite goodness-the According to Marx, Aristotle "was the first
goodness of an infinite being-and we then face to analyse ... the form of value." As indicated
the problem of how God's goodness is to be in the chapter on WEALTH, economics at its
understood by man. The basic terms of moral origin was treated by Aristotle, along with eth-
605
606 THE GREAT IDEAS
ics and politics, as a moral discipline. But he THE WORD "VALUE" does not change the prob-
made it subordinate to them because it dealt lem in any way; for what does evaluating any-
not with the whole of human welfare, but only thing mean except judging it as good or bad,
with wealth-one of the goods. better or worse? The problem, which has a his-
In the modern develop men t of economics, tory as long as the tradition of the great books,
the word "goods" comes to have a special sig- is the problem of how we can defend such judg-
nificance. It refers to commodities or utilities, ments and what they signify about the things
as in the phrase "goods and services." More judged. Are good and evil determined by na-
generally, anything which is useful or exchange- ture or convention? Are they objects of knowl-
able has the character of an economic good. This edge or opinion?
general sense is usually conveyed by the econo- The title of an essay by Montaigne-"that
mist's use of the word "value." According to the taste for good and evil depends in good
Adam Smith, "the word value . .. has two dif- part upon the opinion we have of them"- in-
ferent meanings, and sometimes expresses the dicates one set of answers to these questions.
utility of some particular object, and sometimes "If evils have no admission into us," he writes,
the power of purchasing other goods which the "but by the judgment we ourselves make of
possessor of that object conveys." These two them, it should seem that it is, then, in our
meanings are distinguished as "value in use" power to despise them or to turn them to good .
and "value in exchange." Marx accepts this . . . If what we call evil and torment is neither
distinction, but thinks that there is a more evil nor torment of itself, but only that our
fundamental notion of value. He thinks it is fancy gives it that quality, it is in us to change
possible to abstract from both use-value and it." Echoing Montaigne, Hamlet remarks that
exchange-value, and to discover the underlying "there is nothing either good or bad but think-
property which gives value to all exchangeable ing makes it so." The Greek sophists, centuries
things, namely, that they are products of labor. earlier, appear to take the same view. The state-
With Smith and Marx, as with Aristotle, the ment of Protagoras that "man is the measure
theory of value does not deal with every type of all things," Plato thinks, does not significant-
of good, but'only with that type which earlier ly apply to all things, but only to such things
moralists called "external goods" or "goods of as the good or the right, the true or the beauti-
fortune." But more recently the concept of ful. In the Theaetetus, Protagoras is made to say
value has been extended, by ecofl('lmists and that as "to the sick man his food appears to be
others, to the evaluation of everything which bitter, and to the healthy man the opposite of
men think of as desirable in any way. In con- bitter," so in general men estimate or judge all
sequence, the age-old controversy about the things according to their own condition and
objectivity or subjectivity of good and evil is the way things affect them. This theory of good
now stated in terms of the difference between and evil necessarily denies the possibility of
facts and values, or between judgments of fact moral science. Socrates calls it "a high argu-
and judgments of value. ment in which all things are said to be
The issue, as currently stated, is whether relative."
questions of value can be answered in the same Plato and Aristotle respond to the sophists by
way as questions of fact. One position main- arguing in the opposite vein. For Plato, the
tains that, unlike questions of fact which can be good is not a matter of opinion, but an object
answered by scientific investigation and can be of knowledge. Knowledge of good and evil is
objectively solved, questions of value elicit no the best fruit of the tree of knowledge. "Let
more than expressions of opinion, relative to each one of us leave every other kind of knowl-
the individual's subjective response or to the edge," Socrates says at the end of the Republic,
conventions of his society at a given time. The "and seek and follow one thing only," that is,
other side of the issue is held by those who in- "to learn and discern between good and evil."
sist that the norms of value are as objective and Aristotle does not think that ethics, or any
as scientifically determinable as the criteria of science which deals with good and evil, can have
fact or existence. as much precision as mathematics. "Our discus-
CHAPTER 30: GOOD AND EVIL 607
sion will be adequate," he writes, "if it has as physic of morals, which must be carefully
much clearness as the subject matter admits of, cleared of everything empirical."
for precision is not to be sought for alike in all This partial inventory of thinkers who stand
discussions." This, however, does not exclude against skepticism or relativism in the field of
the possibility of our knowing with great ex- morals indicates that agreement on this point is
actitude the first principles of moral science, accompanied by some disagreement about the
such as the nature of happiness and virtue. In- reasons for holding what appears to be the same
definiteness and even a certain kind of relativi- view. The opposite view seems also to be shared
ty occur only when these principles are applied by thinkers of quite different cast, such as
to particular cases. Hence, in Aristotle's view, Spinoza and Mill, who differ from each other as
the moral sciences, such as ethics and politics, well as from Mon taigne and the ancient sophists.
can have objective and universal validity no The terms "good and evil," Spinoza writes,
less than physics or mathematics, at least on the "indicate nothing positive in things considered
level of principles. in themselves, nor are they anything else than
In modern times, Locke and Kant also affirm modes of thought ... One and the same thing
the scientific character of ethics, but without may at the same time be both good and evil or
the qualification which Aristotle insists upon indifferent"-according to the person who
when we go from principles to practice. Locke makes the judgment of it. Spinoza therefore
explains the grounds on which he is "bold to defines "good" as "that which we certainly
think that morality is capable of demonstra- know is useful to us." Apart from society, he
tion, as well as mathematics"; for, he says, "the says, "there is nothing which by universal con-
precise real essence of the things moral words sent is good or evil, since everyone in a natural
stand for may be perfectly known, and so the state consults only his own profit." Only when
congruity and incongruity of the things them- men live together in a civil society under law
selves maybe certainly discovered; in which can it be "decided by universal consent what is
consists perfect knowledge." He is confident good and what is evil."
that "from self-evident propositions, by neces- Holding that all men seek happiness and that
sary consequences, as incontestible as those in they determine what is good and evil in par-
mathematics, the measures of right and wrong ticular cases by reference to this end, Mill seems
might be made out, to anyone that will apply to offer the standard of utility as an objective
himself with the same indifferency and atten- principle of morality. But insofar as he identi-
tion to the one as he does to the other of these fies happiness with a sum total of pleasures or
sciences." But Locke adds, "this is not to be satisfactions, it tends to become relative to the
expected, whilst the desire of esteem, riches, or individual or the group. If competent judges
power makes men espouse the well-endowed disagree concerning which of two pleasures is
opinions in fashion." He himself seems to tend the greater or higher, there can be no appeal,
in the opposite direction when he identifies the Mill says, except to the verdict of the majority.
good with the pleasant and makes it relative to To this extent at least, judgments of value are
individual desires. expressions of opinion, not determinations of
For Kant the two major parts of philosophy science. Nor does Mill hesitate to say that "the
-physics and ethics-are on equal footing, the ultimate sanction of all morality" is "a subjec-
one concerned with the "laws of nature," the tive feeling in our minds."
other with the "laws ofJreedom." In each case
there is both empirical and a priori knowledge. IN ORDER to clarify this basic issue it is neces-
Kant calls the latter in each case "metaphysics" sary to take note of other terms which are
and speaks of "a metaphysic oj nature and a usually involved in the discussion of good
metaphysic oj morals." The nature of science, and evil-such terms as pleasure and pain,
he thinks, requires us to "separate the empirical desire and aversion, being, nature, and reason.
from the rational part, and prefix to physics In the course of doing this, we will perceive
proper (or empirical physics) a metaphysic of the relevance of the chapters which deal with
nature, and to practical anthropology a meta- those ideas.
608 THE GREAT IDEAS
It has been said, for example, that the good is cept in so far as it agrees with our nature, and
identical with the pleasant; that the good is therefore the more an. object agrees with our
what men desire; that the good is a property of nature the more profitable it will be." And in
being or existence; that the good is that which another place he says, "By good I understand
conforms to the nature of a thing; that the good ... everything which we are certain is a means
is that which is approved by reason. It is pos- by which we may approach nearer and nearer
sible to see some truth in each of these state- to the model of human nature we set before
ments. But each, taken by itself, may be too us." That model, he tells us, is the man of rea-
great a simplification. Searching questions can son, the man who always acts "according to the
be asked by those who refuse to equate the good dictates of reason," for "those desires which are
with the pleasant or the desirable, the real, the determined by man's power or reason are al-
natural, or the reasonable. Are there no pleas- ways good."
ures in any way bad, no pains in any way good? Nevertheless, if desire and pleasure cannot
Are all desires themselves good, or are all be eliminated from the consideration of good
equally good? How does calling a thing "good" and evil-at least not the good and evil which
add anything to its being or existence? Does enter into human life-then the problem of
not evil exist or qualify existence? By what finding a purely objective foundation for our
standards can the natural and the rational be moral judgments is not solved simply by an
judged good, if the good is that which con- appeal to being, nature, and reason.
forms to nature and reason? Some help toward a solution may be found in
These questions call for more analysis of each one often reiterated fact about the relation be-
of these factors in the discussion of good and tween the good and human desire. The an-
evil and suggest that no one of these factors by cients insist that no man desires anything but
itselfis sufficient to solve the problem of defin- what at the time seems good to him in some
ing good and evil or formulating their criteria. way. "No man," Socrates observes, "volun-
Of the five things mentioned, two particularly tarily pursues evil, or that which he thinks to
-pleasure and desire-seem to leave open the be evil. To prefer evil to good is not in human
question whether good and evil are objective or nature; and when a man is compelled to choose
subjective. They require us to decide whether one of two evils, no one will choose the greater
things please us because they are good or are when he may have the less." This, however,
good because they please us; whether we desire does not prevent men from desiring "what they
things because they are good or simply call suppose to be goods although they are really
them "good" when we desire them. On this is- evils." Since they are mistaken in their judg-
sue Spinoza flatly declares that "we do not ment "and suppose the evils to be goods, they
desire a thing because we adjudge it good, but, really desire goods."
on the contrary, we call it good because we The object consciously desired is always at
desire it." In saying that "a thing is good so far least apparently good. When men are mistaken
as it is desirable," Aquinas takes the opposite in their estimate of things as beneficial or in-
position, for according to him "a thing is desir- jurious to themselves, the apparent good-the
able only in so far as it is perfect." It can be good actually desired-will be really an evil,
desirable, therefore, without being actually de- that is, something actually undesirable. An ob-
sired by this or that individual. ject which is really good may not appear to be
The other three terms-unlike pleasure and so, and so it will not be desired although it is de-
desire-seem to favor the objectivity of good sirable. The deception of appearances, Socrates
and evil, at least for those who regard the order says, tricks us into taking "at one time the
of existence, the nature of things, and the laws things of which we repent at another, both in
of reason as independent of our desires or pref- our actions and in our choice of. things great
erences. Thus for Spinoza the nature of man and small."
and his reason seem to provide an objective
standard for determining what is good alike for THE DISTINCTION between the real and the ap-
all men. Nothing, he writes, "can be good ex- porent good is, of course, connected with the
CHAPTER 30: GOOD AND EVIL 609
problem of the objective and the subjective sire and pleasure conceived as the satisfaction of
good. The apparent good varies from individual desire. This is discussed in the chapter on
to individual and from time to time. If there PLEASURE AND PAIN. If obtaining a desired
were a real good, it would be free from such good is satisfying, then there is certainly a sense
relativity and variability. Unless there are in which the good and the pleasant (or the
real, as distinct from merely apparent, goods, satisfying) are always associated; but it may
moralists cannot distinguish between what also be true that pleasure is only one kind of
men should desire and what in fact they do good among various objects of desire and that
desire. certain pleasures which men desire appear to be,
Since moral science deals with human be- but are not really good.
havior, its province can be separated from that
of other sciences which treat the same subject THE FOREGOING considerations apply to the
matter-such as psychology and sociology- good in the sphere of human conduct. But the
only in termS of a different treatment of that human good, the practicable good, the good for
subject matter. Moral science must be norma- man, does not exhaust the meaning of the term
tive or prescriptive rather than descriptive. It good. The idea of the good is, for Plato, the
must determine what men should seek, not what measure of perfection in all things; it is "not
they do seek. The very existence of normative only the author of knowledge to all things
sciences, as well as their validity, would thus known, but of their being and essence, and yet
seem to depend on the establishment of a real, the good is not essence, but far exceeds essence
as opposed to a merely apparent, good. in dignity and power."
This creates no special difficulty for moralists The absolute good is also, as in the Divine
who think that man knows what is really good Comedy, the final cause or ultimate end of the
for him, both in general and in particular, by motions of the universe. It is "the Alpha and
intuition or rational deduction, through the Omega," Dante says, "of every scripture that
commandments of the divine law, or through Love reads to me ... the Essence wherein is
the precepts of the law of reason. But for those such supremacy that every good which is found
who insist that the good is always somehow outside of It is naught else than a beam of Its
relative to desire and always involves pleasure, own radiance ... the Love which ~oves the
the distinction between the real and the ap- sun and the other stars."
parent good raises an extremely difficult prob- So too, in Aristotle's cosmology, the circular
lem. motions of the celestial spheres, and through
To say that an apparent good is not really them all other cycles of na tural change, are
good suggests, as we have seen, that what is sustained eternally by the prime mover, which
called "good" may not be in itself desirable. moves all things by the attraction of its perfect
That something which is really good may not in being. It therefore "moves without being
fact appear to be so, seems to imply tbat the moved," for it "produces motion through being
word "good" can be significantly applied to loved."
something which is not actually desired-at Though desire and love enter into the con-
least not consciously. How, then, is the good ception of the good as a cosmic final cause, they
always relative to desire? The traditional an- are not human desire or love. Though the good-
swer to this question must appeal to the dis- ness which inheres in things according to the
tinction between natural and conscious desire, degree of their perfection may make them
which is discussed in the chapter on DESIRE. It desirable, it is not dependent on their being
is by reference to natural desire that the good consciously desired by men.
is said to be in itself always desirable-even In Jewish and Christian theology, for ex-
when the really good thing is ~ot consciously ample, the goodness of God is in no way meas-
desired. ured by human desires, purposes, or pleasures;
The rela tion of good and evil to pleasure and nor is the goodness of created things which, ac-
pain can also be clarified by a basic distinction cording to Genesis, God surveyed and found
between the pleasure which is an object of de- "very good." The order of creation, moreover,
610 mE GREAT IDEAS
involves a hierarchy of inequalities in being and THE METAPHYSICAL conception of goodness
goodness. Even when each thing is perfect in raises peculiarly difficult problems. Are there
its kind, all things are not equally good, for ac- as many meanings of "good" as there are of
cording to the differences in their natures, "being"? When we say God is good, are we
diverse kinds are capable of greater or less making a moral or a metaphysical judgement?
perfection. Are we attributing perfection of being or good-
In the metaphysical conception of goodness, ness of will to God? If goodness is a property of
that which has more actuality either in exist- being, then must not all evil become a priva-
ence or power has more perfection. God's in- tion of being? Conceiving evil in this way,
finite goodness is therefore said to follow from Augustine points out that if things "be de-
the fact that he is completely actual-infinite prived of all good, they shall cease to be," so
in being and power. Things "which have life," that there is "nothing whatsoever evil" in it-
Augustine writes, "are ranked above those self; and Aquinas maintains that "no being is
which have none ... And among those that said to be evil, considered as being, but only so
have life, the sentient are higher than those far as it lacks being."
which have no sensation ... and among the If to understand what the notion of good-
sentient, the intelligent above those that have ness adds to the notion of being it is necessary
no intelligence." to say that being has goodness in relation to
Augustine contrasts these gradations of per- appetite, the question inevitably arises, "Whose
fection which are "according to the order of appetite?" Not man's'certainly, for then the
nature" with the "standards of value" which moral and the metaphysical good become iden-
are "according to the utility each man finds in a tical. If God's, then not appetite in the form
thing." That which is less good in a metaphys- of desire, but in the form of love, for the divine
ical sense may be preferred on moral grounds as perfection is usually thought to preclude desire.
being better for man. "Who," he-asks, "would Problems of this sort confront those who,
not rather have bread in his house than mice, conceiving the good both apart from and also
gold than fleas?" Is it not true that "more is relatitJe to man, are obligated to connect the
often given for a horse than for a slave, for a metaphysical and the moral meanings of good
jewel than for a maid"? and to say whether they have a common thread.
According to Augustine, as well as to Aquinas Some writers, however, limit their considera-
later, metaphysical goodness consists in "the tion to the strictly moral good, and deny, as do
value a thing has in itself in the scale of crea- the Stoics, goodness or evil to anything but
tion," while moral goodness depends upon the man's free acts of will.
relation in which a thing stands to human need We should, says Marcus Aurelius; "judge
or desire, and according to the estimation only those things which are in our power, to be
placed upon it by human reason. It is in the good or bad." In this we are entirely free, for
moral, not the metaphysical sense that we "things themselves have no natural power to
speak of a good man, a good will, a good life, form our.iudgments ... If thou art pained- by
and a good society; or of all the things, such as any external thing, it is not this thing which
health, wealth, pleasure, virtue, or knowledge, disturbs thee, but thy own judgment about it.
which it may be good for man to seek and pos- And it is in thy power to wipe out this judg-
sess. Only in the metaphysical sense can things ment now ... Sl,lppose that men kill thee, cut
be thought of as good entirely apart from man; thee in pieces, curse thee. What then can these
only then can we find a hierarchy of perfections things do to prevent thy mind from remaining
in the world which accords with a hierarchy of pure, wise, sober, just?"
beings. Thus Spinoza declares that "the per- Though Kant develops what he calls a "meta-
fection of things is to be judged by their nature physic of ethics," he does not seem to have a
and power alone; nor are :they more or less per- metaphysical as opposed to a moral conception
fect because they delight or offend the human of the good; unless in some analogous form it
senses, or because they are beneficial or pre- lies in his distinction between "value" and
judicial to human nature." "dignity," according to which "whatever has
CHAPTER 30: GOOD AND EVIL 611
reference to the general inclinations and wants desirable than any other, or the sum of all
of mankind has a market value," whereas "what- good things which, when possessed, leaves noth-
ever ... is above all value, and therefore admits ing to be desired. Aristotle and Mill seem to
of no equivalent, has a dignity" - "not a merely take the latter view in their conception of hap-
relative worth, but an intrinsic worth." piness as the summum bonum. "Human na-
But since Kant thinks that only men, or ra- ture," Mill says, "is so constituted as to desire
tional beings, can have intrinsic worth, he finds nothing which is not either a part of happiness
goodness only in the moral order. He agrees or a means of happiness." Happiness, he in-
with the Stoics that good and evil occur only in sists, is "not an abstract idea, but a concrete
the realm of freedom, not at all in the realm of whole" including all other goods within itself.
existence or nature. "Good or evil," he writes, It is the only good which is desired entirely for
"always implies a reference to the will, as de- its own sake. Aristotle treats virtue and knowl-
termined by the law ofreason" which is the law edge as intrinsic goods, but he also regards them
of freedom. According to Kant, "nothing can as means to happiness. In Mill's terms, their
possibly be conceived in the world, or even out goodness remains subject to the criterion of
of it, which can be called good without quali- utility, from which happiness alone is exempt
fication, except a Good Will"; and in another since it measures the utility of all other goods.
place he says, "If anything is to be good or evil If the evaluation of all things by reference to
absolutely ... it can only be the manner of their contribution to happiness as the ultimate
acting, the maxim of the will." In this sense, the good constitutes utilitarianism in ethics, then
free will complying with or resisting the im- Aristotle no less than Mill is a utilitarian, even
peratives of duty is either the seat or the source though Aristotle does not refer to the principle
of all the goodness or evil that there is. "Men of utility, does not identify the good with pleas-
may laugh," Kant says, "at the Stoic, who in ure, and conceives the virtues as intrinsically
the severest paroxysms of gout cried out: Pain, good, not merely as means. Kant would regard
however thou tormentest me, I will never ad- them as in fundamental agreement despite all
mit that thou art an evil: he was right ... for their differences-or at least he would regard
pain did not in the least diminish the worth of them as committing the same fundamental
his person, but only that of his condition." error.
To Kant any discussion of human conduct
IN THE SPHERE of moral conduct, and especially which involves the calculation of means to ends
for those who make desire or pleasure rather is pragmatic or utilitarian, even when the con-
than duty the principle, there seems to be a trolling end is the summum bonum or happi-
plurality of goods which require classification ness. Kant makes a sharp distinction between
and order. what he calls "pragmatical rules" of conduct
Some things, it would appear, are not de- which consider what should be done by one who
sired for themselves, but for the sake of some- wishes to be happy, and what he regards as the
thing else. They are good only as means to be strictly "moral or ethical law" which "has no
used. Some things are desired for their own other motive than the worthiness of being
~ke, and are good as ends, to be possessed or happy." Morality, he says in another place, "is
enjoyed. This division of goods into means and not properly the doctrine of how we should
ends-the useful and the enjoyable or pleasant make ourselves happy, but how we should be-
-permits a third type of good which is an end come worthy of happiness" -through doing our
in one respect, and a means in another. Analysis duty.
of this sort leads to the concept of a summum Kant's criticism of Aristotle's ethics of hap-
bonum-that good which is not a means in any piness is therefore applicable to the utilitarian-
respect, but entirely an end, the supreme or ism of Mill; and Mill's rejoinder to Kant serves
highest good for which all else is sought. as a defense of Aristotle. This basic issue con-
The chief question with respect to the sum- cerning the primacy of happiness or duty-of
mum bonum is whether it is a good or the good desire or law-is discussed in the chapters on
-whether it is merely one type of good, more DUTY and HAPPINESS, where it is suggested
612 THE GREAT IDEAS
that in an ethics of duty, right and wrong sup- The phrase "common good" has several
plant good and evil as the fundamental terms, meanings in the tradition of the great books.
and the summum bonum becomes a derivative One sense, which some think is the least signifi-
notion rather than the first principle of morality .cant, refers to that which can be shared or used
At the other extreme are those who deny by many, as, for example, land held in common
duty entirely, and with it any meaning to right and worked by a number of persons or families.
and wrong as distinct from good and evil. A Thus we speak of the "commons" of a town or
middle ground is held by those who employ village. This meaning applies particularly to
right and wrong as subordinate terms in the economic goods which may either belong to the
analysis of good and evil, finding their special communi ty as a whole or be divided into parcels
significance in the consideration of the good of of private property.
others or the social good. To do right is to do Another sense of common good is that in
good to others; to do wrong is to injure thein. which the welfare of a community is a common
The question which Plato so insistently raises, good participated in by its members. The wel-
whether it is better to do injustice or to suffer fare of the family or the state is a good which
it, can also be stated in terms of good and evil, belongs to a multitude organized for some com-
or right and wrong. Is it better to suffer evil or mon purpose. If the individual members of the
to do it? Is it better to be wronged by others group derive some benefi t from their associa tion
or to wrong them? As justice for Aristotle is with one another, then the prosperity of the
that one among the virtues which concerns the community is not only a common good viewed
good of others and the common good, and as it collectively, but also a common good viewed
is the one virtue which is thought to involve distributively, for it is the good of each mem-
duty or obligation, so the criteria of right and ber of the group as well as of the whole.
wrong measure the goodness or evil of human With this in mind, perhaps, Mill speaks of
acts by reference to law and society. "an indissoluble association between [the in-
dividual's] happiness and the practice of such
THE DIVISION of goods into means arid ends is mode of conduct, negative and positive, as re-
not the only distinction made by moralists who gard for the universal happiness prescribes; so
recognize the plurality and inequality of goods. that not only he may be unable to conceive the
Goods have been divided into the limited possibility of happiness to himself, consistently
and the unlimited with respect to quantity; with conduct opposed to the general good, but
the pure and the mixed with respect to quality; also that a direct impulse to promote the gen-
sensible and intelligible goods or particular eral good may be in every individual one of the
goods and the good in general; external goods, habitual modes of action." If this statement by
goods of the body, and goods of the soul; the Mill is used to interpret Bentham's phrase-
pleasant, the useful, and the virtuous. More "the greatest good for the greatest number"-
specific enumerations of the variety of goods then the greatest number cannot be taken to
list wealth, health, strength, beauty,longevity, mean a majority, for the good of nothing less
pleasure, honor (or fame), virtue, knowledge, than the whole collectively or of all distribu-
friendship. tively can be taken as the common or general
All of the foregoing classifications can be com- good.
bined with one another, but there is one distinc- Still another conception of the common good
tion which stands by itself, although it affects is possible. A good may be common in the sense
all the others. That is the distinction between in which a specific nature is common to the
the individual and the common good, or be- members of the species-not as organized social-
tween private and public good, the good for ly in any way, but simply as so many like in-
this one man and the good of all others and of dividuals. If all men seek happiness, for ex-
the whole community. In the language of mod- ample, then happiness is a common good, even
ern utilitarianism, it is the distinction between though each individual seeks his own happi-
individual happiness and what Bentham called ness. In a deeper sense it is a common good if
"the greatest good for the greatest number." the happiness each seeks is the same for all men
CHAPTER 30: GOOD AND EVIL 613
because they are all of the same nature; but, by an invisible hand to promote an end which
most strictly, it is a common good if the happi- was no part of his intention" (i.e., the general
ness of each individual cannot be separated prosperity of society) does not excuse the in-
from the happiness of all. dividual's failure to aim at the common good.
Aquinas seems to be using this meaning of The several meanings of the common good
common good when, in defining law as a rule of also complicate ,the statement of the issue be-
conduct "directed to the common good," he tween those who seem to say that the welfare
refers not merely to the good of the community of the community always takes precedence
or body politic, but beyond that to "the last over individual well-being or happiness-that
end of human life," which is "happiness or the good of the whole is always greater than
beatitude." Law, he says, "must needs concern the good of its parts-and those who seem to
itself properly with the order directed to uni- say that the state is made for man, not man
versal happiness." Mill also seems to conceive for the state, or that the prosperity of the so-
happiness as a common good in this sense. ciety in which men live is good primarily be-
"What the assailants of utilitarianism seldom cause it enables each of them to live well. This
have the justice to acknowledge," he writes, is issue, which runs through all the great books
"that the happiness which forms the utilitarian of political theory from Plato and Aristotle
standard of what is right in conduct, is not the to Hegel and Mill, is discussed in the chapters
agent's own happiness, but that of all con- on CITIZEN and STATE.
cerned." The opposition between collectivism and
The several meanings of the common good individualism in economics and politics does
create a fundamental issue. Some writers use it not exhaust the issue which, stated in its broad-
in one sense only, rejecting the others. Some est moral terms, is a conflict between self-
not only use the term in all its meanings, but interest and altruism. The primary problem
also develop a hierarchy of common goods. to consider here is whether the issue is itself
They regard universal happiness, for example, genuine, or only an opposition between false
as a common good of a higher order than the extremes which needlessly exclude the half-
welfare of the political community. Yet in truth that each contains.
every order they insist upon the primacy of the The collective aspect of the common good
common over the individual good. In the po- may not need to be emphasized at the expense
litical order, for example, they think the wel- of its distributive aspect. The good of each
fare of the community takes precedence over man and the good of mankind may be insep-
individual happiness. They would regard Adam arable. It may be the same good which, in dif-
Smith's statement of the way in which in- ferent respects, is individual and common. It
dividuals accidentally serve the common good may be that no good can be supreme which is
while seeking their private interests, as a per- not both immanent and transcendent-at once
version of the relationship. To say that an in- the highest perfection of the individual and a
dividual considering only his own gain is "led good greater than his whole being and his life.
OUTLINE OF TOPICS
PAGE
I. The general theory of good and evil
Ia. The idea of the good: the notion of finality
lb. Goodness in proportion to being: the grades of perfection and the goodness of
order 616
IC. The good, the true, and the beautiful 61 7
Id. The origin, nature, and existence of evil
614 THE GREAT IDEAS
PAGE
2. The goodness or perfection of God: the plenitude of the divine being 618
2a. God's goodness as diffusive, causing the goodness of things: God's love 619
2b. The divine goodness and the problem of evil
3. The moral theory of the good: the distinction between the moral and the metaphysical
good 620
3a. Human nature and the determination of the good for man: the real and the
apparent good; particular goods and the good in general 621
3b. Goodness in the order of freedom and will 622
(I) The prescriptions of duty
(2) The good will: its conditions and consequences 623
3c. The good and desire: goOdness causing movements of desire and desire causing
estimations of goodness
3d. Pleasure as the good, a good, or feeling good 624
3e. Right and wrong: the social incidence of the good; doing or suffering good and
evil
3f. The sources of evil in human life
4. Divisions of the human good
4a. Sensible and intelligible goods
4b. Useful and enjoyable goods: good for an end and good in itself
4C' Goods of the body and goods of the soul
. Intrinsic and external goods: intrinsic worth and extrinsic value
4e. Individual and common goods
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the paS$ages referred to. For example, in 4 HOMER: Iliad, BK II [265-283] 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the; letters a and b refer to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the lettersc and d to the upper and lower.halves of the right-hand side of
the page. ForexaQ1ple, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side Qf page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, ate given in cer-
tain cases; e.g., Iliad, BK II [265-283] 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) 11 Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attentiqn to one or.more especially
relevant parts of a whole reference; "pa~im" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited. .
For a:dditional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: Other statements of the metaphysical theory of good and evjl, see BEING 3-3b; CAUSE 6;
CHANGE 14; DESIRE I; GOD Sb; WORLD 6b, 6d; for the relation of the good to the true and
the beautiful, see BEAUTY Ia; TRUTH IC; and for the theological consideration of the
divine goodness and of the problem of evil, see GOD 4f; Sh; JUS'fICE IIa; LoVE sa, 5C;
PUNISHMENT se-se(2); SIN 3-3e, 6-{ie; WILL 7d; WORLD 6d. .
The consideration of the factors which enter into the mora] theory of good and evil, see
DESIRE 2b-2d; DUTY I; MIND 9c; NATURE 5a; PLEASURE.AND PAIN 6-6e; WILL 8b-8b(2).
Other discussions of right and wrong, see DuTY 3; JUSTICE 1-2, 4.
The theory of the summum bonum or of happiness, see DUTY 2j HAPPINESS I, 3.
Particular human goods in themselves and in relation to the summum bonum or happiness,
see HAPPINESS 2b-2b(7)j HOSOR 2b; KNOWLEDGE 8b(4)j LOVE 3aj PLEASURE AND PAIN
6a-6b, 7; VIRTUE AND VICE Idj WEALTH I, loa; WISDOM 2C.
The discussion of evil and its sources in human life, see LABOR Ia; SIN 3-3e; WEALTH lOe(3).
The general problem of the individual and the common good, or the good of the person and
the good of the state, see CITIZE:-I ~ j HAPPINESS S-Sb; STATE 2f.
General discussions of means and ends, see CAUSE 4; RELATION 5a(2) ..
The controversy over the objectivity or subjectivity of judgments of good and evil, see CUS-
TOM AND CONVE:-ITION 5aj OPINION 6a.:..6b; RELATION 6c; UNIVERSAL AND PARTICULAR 7b.
The consideration of our knowledge of good and evil, and of the nature and method of the
moral sciences, see KNOWLEDGE 8b(I); PHILOSOPHY 2Cj SCIENCE 3aj WISDOM 2b.
A fuller treatment of the goodness and use of knowledge, see ART 6c; KNOWLEDGE 8a-8c;
PHILOSOPHY 4b-4c; SCIENCE Ib(I).
ADDITIONAL READINGS
Listed below are works not included in Great Book! ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are. divided into twggroups:
INTRODUCTION
T.
HE usual connotation of "government" is "government" to refer to the way in which it is
political. The word is often used inter- politically organized. Yet the two concepts
changeably with "state." But there is govern- tend to fuse in traditional political theory. The
ment in a university, in an economic corpora- kinds of states, for example, are usually named
tion, in the church, in any organization of men according to their forms of government. The
associated for a common purpose. The theo- great books speak of monarchical and repub-
logian speaks of the divine government of the lican states, as we today speak of the fascist or
universe, and the moralist speaks of reason as the democratic state.
the ruling power in the soul which governs the Nevertheless, we recognize the distinction
appetites or passions. between a state and its government when we
In all these contexts, the notion of govern- observe that the state can maintain its his-
ment involves the fundamental relations of toric identity while it undergoes fundamental
ruling and being ruled, of command and obe- changes in its form of government. The state
dience. Though the character of these relation- is not dissolved by a revolution which replaces
ships varies somewhat with the terms related, a monarchy by a republic, or conversely.
there is enough common meaning throughout There is a sense in which Rome is the same
to permit a general consideration of the nature state under the Tarquins, under the Republic,
of government. But that is not the way in and under the Caesars. In contrast, some rebel-
which government is discussed in the great lions, such as the War of Secession in American
books. For the most part, government is con- history, threaten to dissolve the state itself.
sidered in one or another of its special settings Despite the fact that government involves a
-as it functions in the family or the state, in relation between rulers and ruled, the word is
the soul or the universe. The common thread often used to designate one term in that rela-
of meaning is noted only indirectly, by the way tionship, namely, the rulers. When the citizens
in which comparisons are made or analogies of a republic speak of "the government," they
are drawn between the various modes of gov- usually refer to the officialdom-not the body
ernment. of citizens as a whole, but only those who for a
In view of this, we have found it convenient time hold public office. But government can-
to restrict this chapter to government in the not consist of governors alone, any more than
political sense, treating domestic and ecclesias- education can consist of teachers alone. The
tical government under FAMILY and RELIGION, different forms of government can be distin-
economi~ government under WEALTH, divine guished as readily by looking to the condition
government in the chapters on GOD and of the ruled as to the powers of the rulers. Fur-
WORLD, and government in the soul in the thermore, the same individuals may both "rule
several chapters which consider the relation of and be ruled by turns," as Aristotle observes
reason to the passions, such as DESIRE and of constitutional government.
EMOTION. Though the notion of government includes
Government and state are often used as if they both rulers and ruled, the word usually appears
were interchangeable terms. Some writers dif- in political literature with the more restricted
ferentiate their meanings by using "state" to meaning. When writers refer to the branches or
signify the political community itself, and departments of government, or when they
637
638 THE GREAT IDEAS
speak of the sovereignty of a government, they ment shall be judged. They compare various
direct attention to the ruling power, and to the forms of government as more or less desirable,
division of that power into related parts. nearer to the ideal or nearer to the opposite
extreme of corruption. In the course of these
THE GREAT BOOKS OF political theory ask a considerations they answer questions about
number of basic questions about government. the necessity, the legitimacy, and the ends of
What is the origin of government, its nature government in general.
and necessity? What ends does government
serve and how do these ends define its scope THERE SEEMS TO BE considerable agreement on
and limits? What is the distinction between one poin t, namely, that govern men t is necessary
good and bad government, between legitimate for the life of the state. It is gene rail y held by the
and illegitimate, or just and unjust, govern- authors of the great books that no community
ment? What are the forms of government, of can dispense wi th gove rnmen t, for wi thou t
good government, of bad government? What government men cannot live together in peace.
are the various departments or branches of None is an anarchist, like Thoreau or Kropot-
government, and how should they function kin, although Kropotkin claims that War and
with respect to one another? Peace and even Mill's Essay on Liberty contain
These questions are related. The origin, na- "anarchist ideas." Marx and Engels may be the
ture, and necessity of government have a bear- other possible exception to the rule.
ing on its ends and limits. These same consider- If Marx and Engels take the opposite view,
ations enter into the discussion of the legiti- they do so simply on the ground that with the
macy and justice of governments. They also advent of a classless society after the com-
have a bearing on the classification of the forms munist revolution, the class war will come to
of government, and on the evaluation of di- an end and there will no longer be any need
verse forms. The way in which the several for government. The state can quietly wither
branches of government should be related is away. But, according to Aquinas, even if
affected by the way in which the various forms society were free from all injustice and iniquity,
of government differ. even if men lived together in a state of inno-
These questions are not always approached cence and with the moral perfection they would
in the same order. Some of the great political possess if Adam had not sinned, even then gov-
theorists-for example, Hobbes, Locke, and ernment would be necessary. "A social life," he
Rousseau-find their fundamental principles in thinks, "cannot exist among a number of
the consideration of the origin of government. people unless government is set up to look after
They start with such questions as, What makes the common good."
it legitimate for one man to govern another? Is The great books do not agree about the
the exercise of political power both justified naturalness of the state. They "do not agree
and limited by the end it serves? In aQswering about the way in which government originates
these questions, they imply or make a distinc- historically or about the functions it should
tion between good and bad goverament and and should not perform. They do not all reflect
indicate the abuses or corruptions to which if} the same way on the good and evil in gove"rn-
government is subject. Though they enumerate ment. Nor do they all give the same reasons for
the various forms of government in a manner the necessity of government. Inconsequence
which reflects the traditional classifications, they set different limits to the scope of govern-
they do not seem to regard that problem as of ment and assign it different functions, which
central importance. range from the merely negative function of
Other eminent political thinkers maklt the preventing violence to the duty to provide pos-
classification and comparison of diverse forms itively for human welfare in a variety of ways.
the central problem in the theory of govern- On all these things they differ, but with the
ment. Plato and Aristotle, Montesquieu and exceptions noted they do concur in thinking
Mill, are primarily concerned with the criteria that anarchy-the total absence of government
by which the justice or goodness of a govern- -is unsuitable to the nature of man. Man be-
CHAPTER 31: GOVERNMENT 639
ing what he is, "any form of government," use of power or force. For this reason Hamilton
in Darwin's opinion, "is better than none." . dismisses "the idea of governing at all times
Some, like Hobbes and Kant, identify anarchy by the simple force of law" as having "no place
with the state of nature which is for them a but in the reveries of those political doctors
state of war. Some, like Locke, think that the whose sagacity disdains the admonitions of
state of nature is not a state of war, yet find experimental instruction."
great advantages to living in civil society pre- If authority without force is ineffective for
cisely because government remedies the incon- the purposes of government, might without
veniences and ills which anarchy breeds. But right is tyrannical. "Wherever law ends,
though they often write as if men could choose tyranny begins," Locke writes, "and whoso-
between living in a state of nature or in a civil ever in authority exceeds the power given him
society, they do not think man has any option by the law, and makes use of the force he has
with respect to government ifhe wishes the under his command to compass that upon the
benefits of the civilized life. They cannot con- subject which the law allows not, ceases in that
ceive civil society as existing for a moment to be a magistrate." The use of unauthorized
without government. force may take the form of either usurpation
or tyranny. If it is "the exercise of power
THE GENERAL AGREEMENT about the necessity which another hath a right to," Locke declares
ofgovetnment tends to include an agreement it is usurpation; iEit is "the exercise of power
about the two basic elements of government- beyond right, which nobody can have a right
authority and power. No government at all is to," it is tyranny.
possible, not even the most attenuated, unless The distinction between legitimate rule and
men obey its directions or regulations. But one all dominations by force rests not on the use of
man may obey another either voluntarily or power, but on whether the power which must
involuntarily-either because- he recognizes the be employed is or is not legally authorized.
righ t vested in that other to give him commands
or because he fears the consequences which he THE NOTION OF sovereignty involves consider-
may suffer if he disobeys. ations of authority and power. The word itself
These two modes of obedience correspond to is mediaeval and feudal 'in origin. I t signifies the
the authority and power of government. supremacy of an overlord who owes allegiance
Authority elicits voluntary compliance. Power to no one and to whom fealty is due from all
either actually coerces or, by threatening coer- who hold fiefdoms under him. Since the su-
cion, compels involuntary obedience. Author- premacy of the sovereign lord is clothed with
ity and power are the right and might of gov- legal rights, according to the customs of feudal
ernment. Either can exist and may operate tenure, sovereignty seems to imply the union
apart from the other; but, as Rousseau points of power with authority, not the use of naked
out, when right is lacking, government is ille- force.
gitimate; and as Hamilton points out, when The political philosophers of antiquity do
might is lacking, it is ineffective. not use the term sovereignty. But their discus-
In a famous passage, the Federalists explain sion of the distribution of political power is
that rule by authority alone might work in a certainly concerned with the possession of
society of angels. But since men are men, not authority as well as the control of force. Aris-
angels, their obedience must be assured by the totle's question, for example, about "what is to
threat of force. In any society in which some be the supreme power in the state-the multi-
men are good, some bad, and all may be either tude? or the wealthy? or the good? or the one
at one time or another, force is the only expe- best man?" deals with the same problem which
dient to get the unwilling to do what they modern writers express by asking where sover-
should do for the common good. Even when eignty resides. As Aristotle sees the conflict
the institutions of government have their between the oligarchical and the democratic
authority from the consent of the governed, constitutions, the issue concerns the legal defi-
they cannot function effectively without the nition of the mling class: whether the constitu-
640 THE GREAT IDEAS
tion puts all the political power in the hands exempt from the law. as to its coercive power,
of the rich or in the hands of the freeborn, rich since, properly speaking, no man is coerced by
and poor alike. It d~s not seem to be too himself, and law has no coercive power save
violent an interpretation for modern transla- from the authority of the sovereign." But
tors to use the word "sovereignty" here, for Aquinas differs from Hobbes in thinking that
sovereignty can be said to belong to whatever the authority, if not the power, of the prince
person or class holds the supreme power by law. is limited by the constitutional character of the
Within this meaning of sovereignty the kingly office. In the mediaeval conception of
basic difference between absolute and limited monarchy, the king is bound not to himself
government, or between the despotic and the alone, as Hobbes insists, but to his subjects.
constitutional regime, leads to a dist41ction Their oath of allegiance to him is reciprocated
between the sovereign man and the sovereign by.his coronation oath, in which he assumes
office. the obligation to \1phold the customs of the
The ruler who holds sovereignty in his per- realm.
son is an absolute sovereign ifhis power and
authority are in noway limited by positive law. WHERE AQUINAS CONCEIVES the sovereign
According to some political philosophers, sov- prince as one element-the other being estab-
ereignty must be absolute. In the opinion of lished law-:-in a government which is therefore
Hobbes, for example, the notion of a limited both absolute and constitutional, Hobbes con-
sovereignty seems to be as self-contradictory as ceives the sovereign as identical with a govern-
that of a supremacy which is not supreme. ment which is wholly absolute. The distinction
After discussing the absolute rights which here implied-between a mixed regime and one
constitute sovereignty, Hobbes goes on to say that is purely absolute-is more fully discussed
that "this great authority being indivisible ... in the chapters on CONSl'ITUTION and MON-
there is little ground for the opinion of them ARCHY. In contrast to both, a republic, or
that say of sovereign kings, though they be purely constitutional government, substitutes
singulis majores, of greater power than every the sovereign office for the sovereign man. It
one of their subjects, yet they be universis denies the possession of sovereignty to men
minores, of less power than them all together. except in their capacity as office-holders ..
For if by all together they mean not the collec- According to the republican notions of Rous-
tive body~s one person, then all together and seau, n()~ even government itself has sover-
every one signify the same, and the speech is eignty except as representing the political
absurd. But if by all together they understand community as a whole, which is the sovereign.
them as one person (which person the sovereign Sovereignty, he writes, is vested in the govern-
bears), then the power of all together is the ment "simply and solely as a commission, an
same as the sovereign's power, and so again the employment in which the rulers, mere officials
speech is absurd." of the Sovereign, exercise in their own name the
It makes no difference, Hobbes argues, power of which it makes them depositaries."
whether the sovereignty is held by one man or Since this power is not theirs except by delega-
by an assembly. In either case "the sovereign tion, it can be limited, modified, or recovered
of a commonwealth ... is not subject to the at pleasure, "for the alienation of such a right
civil laws. For having the power to make and is incompatible with the nature of the social
repeal laws, he may when he pleases, free him- body, and contrary to the end of association."
self from that subjection by repealing those The unity of sovereignty is not impaired by
laws that trouble him." The sovereign there- the fact that a number of men may share in the
fore has absolute power, which consists in the exercise of sovereign power, any more than the
absolute right or liberty to do as he pleases, for unity of government is destroyed by itsdivi-
"he that is bound to himself only is not bound" sion into sepa(ate departments or branches,
at all. such as the legislativt;, executive, and judicial.
Aquinas seems to be taking the same view Since in a republic the government (in all .its
when. he admits that "the sovereign is . . . branches or offices). derives its power and
CHAPTER 31: GOVERNMENT 641
authority from the constitution (or what posed to the sovereignty of the monarch," he
Rousseau calls "the fundamental law"), and writes, "the sovereignty of the people is one of
since it is the people as a whole, not the officials the confused notions based on the wild idea of
of government, who have the constitutive the 'people.' " If the sovereignty of the people
power, the people are in a sense supreme or means nothing more than the sovereignty of
sovereign. the whole state, then, he says, the sovereignty
Popular sovereignty may mean that the peo- which "is there as the personality of the whole
ple as a whole govern themselves without the ... is there, in the real existence adequate to its
services of magistrates of any sort; but this concept, as the person of the monarch."
would be possible only in a very small commu- But republican writers would reply that the
nity. It is questionable whether a people has sense in which they speak of the sovereignty of
ever exercised sovereignty in this way in any the people cannot be opposed to the sovereign-
state of historic importance. Popular sovereign- ty of government, so long as that government
ty more usually means what is implied by is constitutional, not absolute. When the sover-
Aquinas when he conceives the magistrate or eignty of the people is conceived as the source
ruler as merely the vicegerent Qf the people. or basis, not as the actual exercise, of the legi ti-
"To order anything to the common good," mate powers of government, there is no conflict
he writes, "belongs either to the whole people, between these two locations of sovereignty in
or to someone who is the vicegerent o( the the state. Yet the supremacy of the government
whole people. Hence the making of a la\!V be- always remains limited by the fact that all its
longs either to the whole people or to a public powers are delegated and can be withdrawn or
personage who has the care of the whole peo- changed at the people's will.
ple." Similarly, the exercise of coercive force
"is vested in the whole people or in some public THE QUESTION OF absolute or limited sover-
personage, to whom it belongs to inflict penal- eignty and the connected question of unified or
ties. " divided sovereignty have a different meaning
The notion of a public personage, as Aquinas in the case of the relation of governments to
uses it in these passages, is dearly that of a sur- one another.
rogate for or representative ofthe whole people. The theory of federal government, discussed
The people as a whole have, in the first in- in The Federalist and in Mill's Representative
stance, the authority and power to perform all Government, contemplates a division of sover-
the functions of government. Only if for con- eignty, not as between the people and their
venience or some other reason they constitute government, but as between two distinct gov-
one or more public personages to act in their ernments, to each of which the people grant
stead, do individual men exercise sovereignty, certain powers. Distinguishing between. the
and then only as representatives. government of a national state and the
Locke's fundamental principle~that "men governmen t of a federal union, Madison wri tes:
being ... by nature all free, equal, and independ- "Among a people consolidated into one nation
ent, no one can be put out of this estate and ... supremacy is completely vested in the na-
subjected to the political power of another with- tionallegislature. Among communities united
out his own consent"--is another expression of for particular purposes, it is vested partly in the
the idea of popular sovereignty. It reappears in general and partly in the municipal legislatures.
the Declaration of Independence in the state- In the former case, all local authorities are sub-
ment that since governments are instituted by ordinate to the supreme; and may be con-
men to secure their fundamental rights, they trolled, directed, or abolished by it at pleasure.
must derive "their just powers from the con- In the latter, the local or municipal authorities
sent of the governed." form distinct and independent portions of the
Hegel objects to the sense "in which men supremacy, no more subject, within their re-
have recently begun to speak of the 'sovereign- spective spheres, to the general authority than
ty of the people' " as "something opposed to the general authority is subject to them within
the s.overeignty existent in the monarch. So op- its own sphere." The federal or general and the
642 THE GREAT IDEAS
state or local governments draw on the same ,In their relation to one another they are,
reservoir of popular sovereignty, but the sov- writes Kant, like "lawless savages." Following
ereignty which each derives from that source is Rousseau, he thinks it is fitting that the state
limited by the definition of matters reserved to "viewed in relation to other peoples" should be
the jurisdiction of the other. called "a power." Unlike sovereign govern-
The fundamental difference between the con- ments which unite authority with power in
dition of states in a federation and the condition their domestic juri~iction, sovereign states in
of colonial dependencies or subject peoples is their external relations can exert force alone up-
that imperial government, unlike federal gov- on each other. When their interests conflict,
ernment, claims an unlimited sovereignty. The each' yields only to superior force or to the
issues of imperialism which arise from the exer- threat of it. A fuller discussion of these matters
cise of such power are discussed in the chapters will be found in the chapters on LAW, STATE,
on TYRANNY and SLAVERY. and WAR AND PEACE.
The one remaining situation is that of inde-
pendent governments; the governments of sep- As ALREADY INDICATED in several places, the
arate states associated with one anothe'r only by materials covered in this chapter necessarily de-
treaties or alliances, or at most in the kind of mand a study of many related chapters dealing
loose hegemony or league represented by the with political topics. This is peculiarly true of
Greek confederacies or the American Articles the problems concerning the forms of govern-
of Confederation. In this situation, the word ment.. Separate chapters are devoted to each of
"sovereignty" applied to independent govern- the traditionally recognized forms, viz., ARISTOC-
ments signifies supremacy, not in the sense of RACY, DEMOCRACY, MONARCHY, OLIGARCHY,
their having the authority and power to com- TYRANNY. Each of these chapters defines a par-
mand, but in the opposite senSe of not being ticular form, distinguishes it from 'others, and
subject to any political superior. compares their merits. In addition, the chapter
This radical difference in meaning is explic- on CONSTITUTION deals with what is perhaps
itly formulated in Hegel's distinction between the most fundamental of all distinctions in
internal and external sovereignty. forms of government, that between a republic
After stating the conditions of the sovereign- and a despotism, or between government by
ty of the state in relation to its own peOple, laws and government by men.
Hegel says, "This is the sovereignty of the state Here, then, it is necessary only to treat gen-
at home. Sovereignty has another side, i.e., sov- erally of the issues raised by the classification
ereignty vis-a-vis foreign states." The state's'in- and comparison of diverse forms of government.
dividuality resides in its awareness of its own They can be summarized in the following ques-
existence "as a unit in sharp distinction from tions.
others"; and in this individuality Hegel finds What are the criteria or marks of good gov-
the state's autonomy, whiCh he thinks is "the ernment? Is the goodness of government deter-
most fundamental freedom which a people pos- mined by the end it serves; by the way in which
sesses as well as its highest dignity." it is instituted, by its efficiency in promoting
But from the fact that "every state is sover- whatever end it serves? Are such criteria of
eignand autonomous against itsneighbors," it good government as justice, legitimacy, and
also follows, according to Hegel, that such sov- efficiency, independent or interchangeable?
ereigns "are in a state of nature in relation to What is the nature of bad government?
each other." It is this state of nature' which Can a distinction be made between the abuses
Hobbes had earlier described asa state of war. or weakness to which good government is sub-
Precisely because independent states have ab- ject in actual operation, and government which
solute sovereignty in relation to one another, is essentially bad because perverse or corrupt in
"they live in the' condition of perpetual war, principle as well as practice?
and upon the confines of battle, with their Are there several forms of good government?
frontiers armed, and cannons planted, against Of bad government? How are they differenti-
their neighbors round about." ated from one another? Are all good forms
CHAPTER 31: GOVERNMENT 643
equally good, all bad forms equally bad? If not, Most important of all, it is necessary to know
what is the principle in terms of which some "not only what form of government is best, but
order of desirability or undesirability is estab- also what is possible." Though "political writers
lished? For example, is one good form of gov- have excellent ideas," Aristotle thinks they "are
ernment better than another, one bad form often impractical." Since "the best is often un-
worse than'another, in terms of degrees of jus- attainable," the true legislator "ought to be ac-
tice and injustice, or in terms of efficiency and quainted not only with what is best in the ab-
inefficiency? To put this question in another stract, but also with what is best relative to
way, is one form of good government better circumstances."
than another because it achieves a better result Both Montesquieu and Mill later apply this
or merely because it achieves the same result basic distinction between the best form of gov-
more completely? ernment considered absolutely or in the ab-
If there are several distinct forms of good stract, and the best form relative to particular
government, are there one or more ways in historic circumstances. Among these are a peo-
which these can be combined to effect a com- ple's economic condition, level of culture, po-
posite or mixed form? If a mixed form is com- litical experience,geography, climate, and ra-
parable with the pure forms it unites, is it su- cial characteristics. Montesquieu, for example,
perior to all, to some, to none of them? On thinks that government by law, absolutely con-
what grounds? In what circumstances? sidered, is better than despotic government, yet
While proposing what they consider to be he also holds that despotic government is bet-
the ideal form of government, some political ter for certain peoples. Mill thinks that the in-
philosophers admit that the ideal may not be stitutions of a representative democracy repre-
realizable under existing circumstances or with sent the ideal fcirm of government, but he ac-
men as they are. Plato, for example, recognizes knowledges that absolute mon,archy may be
that the state he outlines in the Republic may better fora rude or uncivilized people who have
not be practicable; and in the Laws he proposes not yet advanced far from barbarism.
institutions of government which represent for The great question here is whether the cir-
him something less than the ideal but which cumstances themselves can be improved so that
may be more achievable. The Athenian Stran- a people may become fit or ready for a better
ger says of the state described in the Republic form of government, and ultimately for the
that, "whether it is possible or not, no man, best that is attainable, that is, the form relative
acting upon any other principle, will ever con- to the best possible conditions. Since Montes-
stitute a state which will be truer or better or quieu emphasizes what he considers to be fixed
more exalted in virtue." The state which he is racial characteristics, such as the servility of the
discussing in the Laws "takes the second place." Asiatics, whereas Mill stresses conditions which
He refers to "a third best" which, far from be- are remediable by education, economic prog-
ing even the practicable ideal, may be merely ress, and social reforms, these two writers tend
the best form of government which now actu- to give opposite answers. The issue is more fully
all y exists. discussed in the chapters 9n DEMOCRACY,
Aristotle also sets down the various ways in MONARCHY, and PROGRESS.
which forms of government can be judged and Still other questions remain and should be
compared. We may consider, he writes, "of mentioned here. Are the ideal. state and the
what sort a government must be to be most in ideal form of government inseparable, or can
accordance with our aspirations, if there were one be conceived apart from the other? How
no external impediment," but we must also shall the ideal government be conceived-in
consider "what kind of government is adapted terms of the best that is practicably attainable,
to particular states." In addition, Aristotle given man as he is or can be; or in terms of a
thinks it is necessary "to know the form of gov- perfection which exceeds human attainment
ernment which is best suited to states in gen- and which men can imitate only remotely or
eral" as well as "to say how a state may be con- imperfectly, if at all? Does divine government,
stituted under any given conditions." for example, set a model which human govern-
644 THE GREAT IDEAS
ment should aim to approximate? Is that hu- which the king is the government, all powers
man government ideal which is most like the are in the hands of one man. Though he may
divine; or, on the contrary, is the perfection of delegate his powers to others, they act only as
human government measured by standards his deputies or agents, not as independent offi-
drawn from the nature of man and the diffi- cials. This does not obliterate the theoretical
culties involved in the rule of men over men? distinction between legislation, adjudication,
and execution, but in this situation there can
THE TRADITIONAL enumeration of the functions be no practical separation of the three powers,
of government is threefold: the legislative, the certainly no legal system of checks and balances.
judicial, and the executive. Locke adds what he It is' the separation of powers, according to
calls "the federative power," the power of Montesquieu, that is the basis of political lib-
making treaties or' alliances, and in general of erty. "Power should be a check to power," he
conducting foreign affairs. It maybe questioned writes. In a system of separated powers, "the
whether this 'function is strictly coordinate legislative body being composed of two parts,
with the other three, since foreign, like domes- they check one another by the mutual privilege
tic, affairs may fall within the province of the of rejecting. They are both restrained by the
executive or the legislature, or both, as in the executive power, as the executive is by the
case of the Constitution of the United States. legisla tive."
In our own day, the multiplication of admin- Whether or not Montesquieu is right in at-
istrative agencies and the development of plan- tributing this aspect of constitutionalism to the
ning boards have been thought to add a new limited monarchy of England in his own day,
dimension to the activities of government, but his argument can be examined apart from his-
again it may be questioned whether these are tory, for it raises the general question whether
not merely supplemental to the functions of government by law can be preserved from de-
making law, applying law to particular cases, generating into despotic government except by
and regulating by administrative decree those the separation of powers.
matters which fall outside the domain of en- For the American Federalists, the system of
forceable law. The executive branch of gov- checks and balances, written into the Constitu-
ernment seems the most difficult to define, be- , tion, so contrives "the interior structure of the
cause it involves both law enforcement and the government that its several constituent parts
administration of matters not covered by legis- may, by their mutual relations, be the means
lative enactment or judicial decision. of keeping each other in their proper places."
If the threefold division of the functions of This they consider the prime advantage to be
government is exhaustive, the question re- gained from Montesquieu's principle of the
mains how these distim:t activities shall be re- separation of powers. The principle itself they
lated to one another, and by whom they shall hold to be "the sacred maxim of free govern-
be performed. In an absolute monarchy, in ment."
OUTLINE OF TOPICS
PAGE
I. The general theory ofgovernment
Ia. The origin and necessity of government: the issue concerning anarchy
lb. Comparison of,political orciyil government with ecclesiastical government and
with paternal or despotic rule 647
1 c. The ends- and limits of governmen t: the criteria of legi timacy and justice 648
Id. The elements of government: authority and power, or coercive force; the dis-
tinction between dejure and de facto government
Ie. The attributes of g;,oo government
If The abuses and corruptions to which government is subject
CHAPTER 31: GOVERNMENT 645
PAGE
19. The sovereignty of government: the unity and disposition of sovereignty 650
(1) The sovereign person: sovereignty vested in the individual ruler
(2) The sovereign office: the partition of sovereignty among the offices created
by a constitution 651
(3) The sovereign people: the community as the source of governmental
sovereignty
1h. Self-government: expressions of the popular will; elections; voting 652
2. The forms of government: their evaluation and order
2a. The distinction and comparison of good and bad forms of government
2b. The combination of different forms of government: the mixed constitution, the
mixed regime 653
2C. The absolute and relative evaluation of forms of government: by reference to
the nature of man or to historic circumstances
2d. The influence of different forms of government on the formation of human
character 654
2C. The ideal form of government: the distinction between practicable and utopian
ideals
3. The powers, branches, or departments of government: enumerations, definitions, and
orderings of these several powers
3a. The separation and coordination of the several powers: usurpations and infringe-
ments by one branch of government upon another 655
3b. The relation of the civil to the military power
3c, The legislative depa~tment of government: the making of law 656
(1) The powers ;lnd duties of the legislature
(2) Legislative institutions and procedures
3d. The judicial department of government: the application of law
(1) The powers and duties of the judiciary
(2) Judicial institutions and procedures
3e. The .executive department of government: the enforcement of law; administra-
tive decrees 658
(1) The powers and duties of the executive
(2) Administrative institutions and procedures
4. The support and the expenditures of government: taxation and budget
5. The relation of governments to one another: sovereign princes or states as in a condition
of anarchy
5a. Foreign policy: the making of treaties; the conduct of war and peace 660
5b. The government of dependencies: colonial government; the government of
conquered peoples
5c. The relation of local to national government: the centralization and decentraliza-
tion of governmental functions 661
5d. Confederation and federal union: the division of jurisdiction between state and
federalgovernmen ts
6. Historical developments in government: revolution and progress 662
646 THE GREAT IDEAS
REFERENCES
To find the passages ci ted, use the numbers in heavy type. which are the, volume and page
numbers of the passages referred to. For example, in 4 HOMER: l/iad, BK II [26S-283112d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page u6 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [26S-283112d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:4S-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
3e. The executive department of government: 3e(2) Administrative institutions and proce-
the enforcement of law; administrative dure~
decrees 7 PLATO: Laws, BK VI, 700d-704e
9 ARISTOTLE: Politics, BK IV, CH 15 49ge-501e 9 ARISTOTLE: Politics, BK IV, CH 15 [1299831-
35 LOCKE: Toleration, 3a / Civil Government, CH II, I3oob4] 500a-501b;BK VI, CH 8 525b-526d /
SECT 7-13 26e-28b; CH VII, SECT 88-89 44e-d; Athenian Constitution, CH 43-52 572d-576d;
CH IX, SECT I26-I3I 54a-d; CH XII, SECT CH 54-61 577e-58Ib
144-CH XIV, SECT 168 58d-64c; CH XVIII, SECT 15 TACITUS: Annals, BK I, 22b; BK VI, 88d-89a
203-210 72a-73e; CH XIX, SECT 21S-219 75a-e 23 MACHIAVELLI: Prince, CH XXII-XXIII 33a-34b
36 SWIFT: Gulliver, PART IV, 157b-158a 23 HOBBES: Leviathan, PART II, 122b-123a; 123d
38 MONTESQUlEU: Spirit of Laws, BK XI, 69d- 38 MONTESQUIEU: Spirit of Laws, BK V, 31b-
. 70a; 72b; 80a-e 33a,e; BK XXVI, 224d-225a
38 ROUSSEAU: Social Contract, BK III, 414d-415a; 38 ROUSSEAU: Social Contract, BK II, 403a-404a
423a; 424a-b 40 GIBBON: Decline and Fall, 25d-27c passim;
42 KANT: Science of Right, 438a-.b 240b-246d; 248d-251a
43 CONSTITUTION OF THE U.S.: ARTICLE II 14b- 41 GIBBON; Decline and Fall, 317d-318b; 563d-
15e 564b; 586c~587a
43 FEDERALIST: NUMBER 15, 64b-66b; NUMBER 43 ARTICLES OF CONFEDERATION: IV [37-4415dj
16 66e-68d passim; NUMBER 21, 78b-d; NUM- IX [299-310J 8bj IX 1368]-x 1395] 8d-9a
BER 27-29, 94d-99b; NUMBER 48, 157c; NUM- 43 CoNSTITUTION OF THE U.S.: ARTiCLE II 14b-
BER 67-77 203b-229d passim ISc; AMENDMENTS, XII ISa-c; XX 19d-20b; XXII-
43 MILL: &presentative Government, 350d-351a; XXIII 20c-d
356b-359a; 409d-417e 43 FEDERALIST: NUMBER 13, 59b-e; NUMBER 66,
44 BOSWELL: johnson, 178b-e 201a-203a; NUMBER 67-77 203b-229d passim;
46 HEGEL: Philosophy of Right, PART III, par 287- NUMBER 84, 255a-b
4 to 5 CHAPTER 31: GOVERNMENT 659
43 MILL: Liberty, 319d-323a,c / Representative 2 [I7-29]l1b; SECT 6 [132-135] 12c; [143-148)
Government, 337d-338a; 356b-359a; 364b- 12c-d;'SECT 7 [IS2-ISS-]12d; SECT 8 [192-212)
366a; A09d-424c passim; 439b-442d 13a-b; [226-229] 13b-c; SECT 9 [260-266] [273-
46 HEGEL: Philosophy of Righi, PART ill; par 290 277] l3d; [283-288] 13d-14a; SECT 10 1304-
97d; ADDITIONS, 174 146d-147b / Philosophy 3Is]14a-b; ARTICLE II, SECT I [394-400] 15a;
of History, PART I, 213b-214d ARTICLE III, SECT I [463-468]15c; ARTICLE VI
[S78-S82] 16d; AMENDMENTS, XIV, SECT 419a;
4. The support and the expenditures of govern- xVI19b
ment: taxation and budget 43 FEDERALIST: NUMBER 7, 43c-44a; NUMBER 12-
OLD TESTAMENT: Genesis, 41 :33-36 13, 56d-60a; NUMBER 21, 79b-80c; NUMBER
ApOCRYPHA: I Maccabees, 1O:25-3I-(D) OT, 30-36 101a-117d; NUMBER 41, 135b-c; NUM-
I Machabees, 10:25-31 BER 43, 142d-143a; NUMBER 44, 145b-c; NUM-
5 ARISTOPHANES: Knights [790-835] 479c-480b BER 4S, 149b-150b; NUMBER 73, 218d-219b;
/ Wasps [655-7241515c-516d / Birds [27-48] NUMBER 79, 233c-234a; NUMBER 83, 246b-c;
542c-d NUMBER 84, 253b [fn I]; 254c-256a
6 HERODOTUS: History, BKI, 43c; BK III, 109d- 43 MILL: Liberty, 315c-d / Representative Govern-
ll1b ment, 335a-b; 356c-d; 366d-367a; 383b-d /
6 THUCYDID.J;S: Peloponnesian War, BK I, 373b-c; Utilitarianism, 473a-c
BK III, 420d-421 b 44 BOSWELL: Johnson, 281d-282a
7 PLATO: Laws, BK XII, 791d 46 HEGEL: Philosophy of Right, PART III, par 299
9 ARISTOTLE: Politics, BK I, CH II [I259a32-36] 99c-lOOb; ADDITIONS, 177 147d / Philosophy
453d; BK II, CH 9 [I27IblO-I7] 467d; BK VI, CH of History, PART I, 226d-227b; 243b; PART III,
5 [I 320aI7-bI6] 523d-524b; BK VII, CH 8 [I 328b 299a-c; 3l0c; PART IV, 324b; 325b-c; 335a-
11-12] 532d / Athenian Constitution, CH 47-48 336c; 364d; 365c-d
574b-575b / Rhetoric, BK I, CH 4 [I359b23-33] 50 MARX: Capital, 65c-66a; 375a-b
600a SO MARX-ENGELS: Communist Manifesto, 429a
14 PLUTARCH: Aristides, 274c-d / Marcus Cato, 51 TOLSTOY: War and Peace, BK IX, 384c-388a,c
285c-d / Lucullus, 409b-d / Cato the Younger,
625b-626d 5. The relation of governments to one another:
IS TACITUS: Annals, BK IV, 82d-83a; BK XIII, sovereign princes or states as in a con
139a-c/ Histories, BK I, 194d-195a; BK II, dition of anarchy
236d-237a; BK IV, 268c-d 7 PLATO: Laws, BK XII, 788d-790d
23 MACHIAVELLI: Prince, CH XVI, 22d-23b 9 ARISTOTLE: Politics, BK III, CH 9 [1280&3S-bI2]
23 HOBBES: Leviathan, PART I, 78c-d; PART II, 478a-b
152a-b; 156<:-157a 23 HOBBES: Leviathan, PART I, 86a; PART II,
27 SHAKESPEARE: Cymbeline, ACT III, SC I 463c- 114b-c; l59c
464c / Henry VIII, ACT I, SC II [18-101] 552d- 27 SHAKESPEARE: Cymbeline, ACT III, SC V [1-27]
553d 468d-469b
30 BACON: Novum Organum, BK I, APH I29134d- 35 LOCKE: Civil Government, CH II, SECT 14 28b-c;
135d CH XII, SECT 145 58d-59a / Human Under-
35 LOCKE: Civil Government, CH XI, SECT 140 58a standing, BK I, CH II, SECT 10 106d
36 SWIFT: Gulliver, PART I, llb-12a; PART II, 36 SWIFT: Gulliver, PART I, 23a-25b; PART IV,
75a-b; PART III, 113b-114a 149b-150b
36 STERNE: Tristram Shandy, 485a-487a 38 MONTESQUIEU: Spirit of Laws, BK X, 6lb,d-
38 MONTESQUIEU: Spirit of Laws, BK v, 23c-24b; 62b; BK XXVI, 223c-d
BK XIII 96a-l02a,c; BK XIX, 143b-c; ,BK XXII, 38 ROUSSEAU: Inequality, 355b-c / Political Econ-
183b-l84b omy, 369a-b
38 ROUSSEAU: Inequality, 365c-366a / Political 40 GIBBON: Decline and Fall, 433d-435a,c; 520c-
Economy, 368d; 377b-385a,c / Social Con- 521c
tract, BK II, 403a-b; BK III, 4l5b-d 41 GIBBON: Decline and Fall, 427b-c
39 SMITH: Wealth of Nations, BK V 301a-421d 42 KANT: Science of Right, 435a-b; 449c-458a,c
40 GIBBON: Decline and Fall, 41b-c; 65a-68a; esp 452a-455a, 455c-456a, 457a-458a,c
86a; 155d-156a; 162b-c; 249d-250c; 251d- 43 DECLARATION OF INDEPENDENCE: [1-6] la;
255c; 368a-b; 413a; 577d-578c; 658c-660c [19-119) 3a-b
41 GIBBON: Decline and Fall, 177a-b; 315b-317a; 43 ARTICLES OF CONFEDERATION: 5a-9d passim
417b-c 43 FEDERALIST: 29a-259a,c
42 KANT: Science of Right, 441d-444c; 45ld-452a 43 MILL: Representative Government, 417c-442d
43 DECLARATION OF INDEPENDENCE: [62-69] 2b 46 HEGEL: Pht1osophy of Right, PART III, par 279,
43 ARTICLES OF CONFEDERATION: VIII 6d-7a; IX 93d; par 321-360 106c-114a,c; ADDITIONS,
[286-29] 8a; [311-318] 8b; [35-367] 8c-d 191 l50b-c; 194 l50c-d / Philosophy of
passim; XII 9b History, PART II, 282d-283b; PART IV, 357a-
43 CONSTITUTION OF THE U.S.: ARTICLE I, SECT 358b
660 THE GREAT IDEAS 5a to 5h
(5. The relation of governments to one another: 35a; CH XII, SECT 145-148 S8d-59b; CH XVI
sovereign princes or states as in a condition 65d-70c passim; CH XIX, SECT 2\-1 73d-74a
of anarchy.) 36 SWIFT: Gulliver, PART I, 21b-25b; PART II,
7Sa-b; 77b-78b
Sa. Foreign policy: the making of treaties; the 36 STERNE: Tristram Shandy, 354a-355a; 449b-
conduct of war and peace . 453a
OLD TESTAMENT: Numbers, 31 / Deuteronomy, 38 MONTESQUIW: Spirit of Laws, BK I, 2d-3b,
2:26-37; 9:1-4; 20 / Joshua, 9-(D) Josue, 9 BK IX-X, 58b,d-62b; BK X, 63d-64a; BK XXVI,
/ II Samuel, 3:12-2I-(D) II Kings, 3:12-21 / 223c-224a
I Kings, 5:I-I2-(D) III Kings, S:I-12 38 ROUSSEAU: Inequality, 325c-d; 355c I Political
ApOCRYPHA: I Maccabees, 8; 10; 12:1-23; Economy, 380a-b / Social Contract, BK I,
13:34-41; 14:16- 24; IS:I-9,15-27-(D) OT, 390a-c; BK II, 403c-404a
I Machabees, 8: 10; 12:1-23: 13:34-41; 39 SMITH: Wealth of Nations, BK v, 319b-c
14:16-24: IS:1-9,IS-27 / II Maccabees, 40 GIBBON: Decline and Fall, 4a-b; 83b-85a esp
II :I6-38-(D) OT, II Machabees, II :16-38 84d-85a; 95b-96a; 103c-d; 119a-c; l50d-152c;
5 EURIPIDES: Suppliants 25Sa-269a,c esp [399- 174d-175b; 378b~d; 402b-404b; 43ld-432d;
598] 261d-263c 433d-435a,c; 491d-492b; 495d-496b; 503d-
5 ARISTOPHANES: Acharnians [61-173) 455d- 507c esp 504d-506a; 535d-537.a,c; 543a-c
457b; [497-556) 460d-461c / Peace [601-692) 41 GIBBON: Decline and Fall, 48d-49c; 283d-
532d-534a / Lysistrata 583a-599a,c esp [486- 284a; 42Sa-d; 503a-c
613) 589a-591a, [1072-1321) 596d-599a,c I 42 KANT: Science of Righe, 452c-d; 454a-455b
Ecclesiazusae [193-203) 617b 43 ARTICLES OF CONFEDERATION: 5a-9d
6 HERODOTUS: History, BK I, 6a-b; 15d-16a; 43 CONSTITUTION OF THE U.S.: ARTICLE I, SECT
BK IV, 144b-d; BK V, 175b-c; BK VI, 193b; 8 [201-203) [223-225) 13b; SECT 10 [296-298)
206b-d; BK VII, 239a-247c passim; BK VIII, 14a; [314-320) 14b; ARTICLE II, SECT 2 [421-
286b-287d; BK IX, 289a-290b; 310d-311a 435) 15b
6 THUCYDIDES: Peloponnesian War, BK I, 353d; 43 FEDERALIST: NUMBER 4-8 35a-47a; NUMBER
360c-d: 368c-d; 371b-372d: 378a-380d; 9, 47c-49c; NUMBER II 53b-56b; NUMBER IS,
BK III, 418d-420c; 425a-428d; 430c; 432b-c; 64c-65a; NUMBER 16, 66c-6Sa; NUMBER 22,
BK IV, 450d-452d; 457c-d; 461b-463a; 468a- SOd-8lc; 83b-d: NUMBER 24, 88d-89b; NUM-
469b; 476a-477a; BK V, 486c-500c; 502d- BER 25, 89c-91b; NUMBER 34, 110a-l11b; NUM-
508a,c esp 504c-50Sa,c; BK VI, 529b-533a; BER 41, 132d-133b; NUMBER 42, l36b-138c;
BK VIII, 568a-c; 572c-573a; 578b-579a NUMBER 43, 142d; 143b-d; NUMBER 44, l44a-
7 PLATO: Republic, BK II, 318c-319a / Critias, 145c; NUMBER 62, 190d-191a; NUMBER 63,
485a-b / Laws, BK III, 667c-668d 191d-192a; NUMBER 64 195b-198a; NUMBER
9 ARISTOTLE: Politics, BK II, CH 6 [1265&18-27) 7S 222d-225a passim; NUMBER 80, 235b-236c;
460c; CH 7 [1267&18-21) 462d-463a; BK III, CH NUMBER 81, 240b-c; NUMBER 83, 248b-c;
9 [1280&3S-b12 ) 478a-b; CH 13 [I284&38-b3) NUMBER 84, 254b-c
482c; BK VII, CH 2 [I324&3S-I325&IS) 528b- 43 MILL: Representative Government, 428b-433b
529a; CH 6 531b-d; CH 14 [I333blO-I334&IO) passim; 434a-436b
538c-d / Rhetoric, BK I, CH 4 [I359b33-I360" 46 HEGEL: Philosophy ofRight, PART III, par 321-
I8j600a-c 329 106c-1()8c; par 332-337 109a-110a; ADDI-
13 VIRGIL: Aeneid, BK XII [172-211) 358b-359b TIONS, IS3 141d; 188 149b-c I Philosophy of
14 PLUTARCH: Romulus, 21a-27c / Numa Pom- History, PART II, 278c-279b; PART III, 297a-d;
pilius, 55c-56a / Pericles 121a-141a,c / Nicias, 299a-c; PART IV, 343b-c; 357c-358b;359c-
427a-428c / Aratus, 834d 360a
15 TACITUS: Annals, BK II, 34d-35c / Histories, 48 MELVILLE: Moby Dick, 292a-295a
BK IV, 286c-287c 51 TOLSTOY: War and Peace, BK II, 83d-86a; BK
18 AUGUSTINE: City of God, BK XIX, CH 7515a-c V, 204a-206c; 208d-209a; 232a-234a,c; BK
20 AQUINAS: Summa Theologica, PART I-II, Q VIII, 307d-309c; BK IX, 344b-355c; BK XIII,
lOS, A 3 316a-318b 565a-b; 572b; 573d-574a; 582a; BK XV, 629b-
23 MACHIAVELLI: Prince, CH XXI, 32a-d 630a; EPILOGUE I, 645a-646c; 649c-650b
23 HOBBES: Leviathan, PART II, 121 b-c; 159c
24 RABELAIS: Gargantua and Pantagruel, BK I, 5b. The government of dependencies: colonial
36d-38a; BK IV, 276a-d government; the government of con-
26 SHAKESPEARE: 1st Henry VI, ACT V, sc IV [94- quered peoples
I75)30c-31b / 2nd Henry VI, ACT I, SC I [1-74) OLD TESTAMENT: Joshua, 9.esP 9:I8-27-(D)
33b,d-34c / King John, ACT II, sc I [416-560) Josue, 9 esp 9:18-27 / 1 -Kings, 9:20-23-
384a-385c / 2nd Henry IV, ACT IV, SC II 489d- (D) III Kings, 9:20-23 I II Kings, 23 :30-3S;
491b I Henry V, ACT V, SC II 563b-567a,c 24=12-16; 2S:5-3o-(D) IV Kings, 23:30-35;
30 BACON: New Atlantis, 204d-205a 24:12-16; 2S:5-30 / II Chronicles, 8:7-8-
3S LOCKE: Civil Government, CH V, SECT 45 34d- (D) II Paralipomenon, 8:7-8
5b to 5d CHAPTER 31: GOVERNMENT 661
ApOCRYPHA: I Maccabees, 8:1-13-(D) OT, 43 MILL: Liberty, 272a; 281d-282b [fn 3] / Rep-
I Machabees, 8:1-13/ II Maccabees, 5:11-7:42 resentative Government, 339a-341a; 353c; 411b-
-(D) OT, II Machabees, 5:11-7:42 412a; 427a-428a passim; 433b-442d
NEW TESTAMENT: Acts, 16:19-40; 21-28 passim 44 BOSWELL: Johnson, 179c; 364c-365a; 370a;
5 AESCHYLUS: Persians [852-908] 24b-d 511c-d
5 ARISTOPHANES: Lysistrata [565-586J 590b-d 46 HEGEL: Philosophy of History, PART I, 242d-
6 HERODOTUS: History, BK I, 31d-32a; 35c-36a; 243d; PART III, 299a-c
BK III, 109d"111b
6 THUCYDIDES: Peloponnesian War, BK I; 353d; 5e. The relation of local to national govern-
368b-369a; BK II, 403c-404a; BK III, 425a- ment: the centralization and decentral.
428d; BK v, 504c-507c; BK VIII, 579d-580b ization of governmental functions
7 PLATO: Laws, BK VI, 698c-d 6 THUCYDIDES: Peloponnesian War, BK II, 391c-
9 ARISTOTLE: Politics, BK III, CH 13 [1284a36-b3] 392a
482c; BK V, CH 7 [1307bI9-24] 509d; BK VII, 9 ARISTOTLE: Politics, BK IV, CH 15 [I299bI5,-18]
CH 2 [1324835-1325815] 528b-529a; CH 14 500b
[I333blO-I33481O] 538c-d 14 PLUTARCH: Theseus,9a-d
13 VIRGIL: Aeneid, BK I [254-296] 110a-111a; BK 23 HOBBES: Leviathan, PART II, 120d-121a
VI [845-853] 233b-234a; BK VIII [714-731] 38 MONTESQUIEU: Spirit of Laws, BK V, 30a-c
278a-b 38 ROUSSEAU: Social Contract, BK II, 403a-c; BK
14 PLUTARCH: Lycurgus, 47d-48c / Lucullus, III, 412a-b; 420dc421a
409b-410d 39 SMITH: Wealth of Nations, BK V, 318d-319a;
15 TACITUS: Annals, BK II, 39d-40c; BK XI, 420b-d
104a-c; 106a-d; BK XII, 122a-c; BK XIII, 40 GIBBON: Decline and Fall, 14c; 578b-c
139c-140d; BK xv, 162c-163a / Histories, BK I, 43 CONSTITUTION OF THE U.S.: ARTICLE I, SECT
191d-192a; BK IV, 290a-d 4 12b; ARTICLE IV, SECT 1-2 16a-b
18 AUGUSTINE: City of God, BK I, PREF 129a-d; 43 FEDERALIST: NUMBER I, 30d-31a; NUMBER 3,
BK IV, CH 14-15 196b-197a; BK v, CH 12 216d- 33d-35a; NUMBER 14, 61b-d; NUMBER 17 69a-
219b; CH 17221 b-222a; BK XIX, CH 21, 524c-d 70d; NUMBER 28 96c-98b passim; NUMBER 31,
23 MACHIAVELLI: Prince, CH III-VIII 3c-14c; CH 105b-c; NUMBER 32 105c-l07b passim; NUM-
xx 30a-31c BER 34 109b-1Ud passim; NUMBER 36 114c-
23 HOBBES: Leviathan, PART II, 106d-107c; 108d- 117d passim; NUMBER 39, 126b-128b; NUMBER
109c; 110b-llla; 119a-c; 126d-127a; 131c; 43, 141a-d; NUMBER 44, 144a-145.c passim;
CONCLUSION,. 280b-281a NUMBER 45, 148b-150b; NUMBER .. 46 150b-
24 RABELAIS: Gargantua and Pantagruel, BK III, 153b passim; NUMBER 84, 253d-254b
131b,d-133b 43 MILL: Liberty, 322a-d / Representative Govern-
29 CERVANTES: Don Quixote, PART I, 40d ment, 417c-424c
32 MILTON: Samson Agonistes [241-276] 344b- 46 HEGEL: Philosophy of Right, PART III, par 290
345b 97d; ADDITIONS, 174 146d-147b
35 LOCKE: Toleration, 13c-d; 14c-15a / Civil Gov- 50 MARX-ENGELS: Communist Maniflsto, 421c-d
ernment, CH IV, SECT 22-23 30a-b; CH VII,
SECT 85 43c-d; CH XV, SECT 172 65b-c; CH XVI 5d. Confederation and federal union: the die
65d-70c passim; CH XIX, SECT 211 73d-74a vision of jurisdiction between state and
36 SWIFT: Gulliver, PART I, 24b-25a; PART IV, federal governments
182b-183a 6 THUCYDIDES: Peloponnesian War, BK I, 365a-
38 MONTESQUIEU: Spirit of Laws, BK X 61b,d- 371b
68d; BK XI, 83c-84c; BK XV, 109b-c; 1l0a-d; 7 PLATO: Laws, BK III, 667c-670a
BK XXI, 170c-171d 9 ARISTOTLE: Politics, BK III, CH 9 [1280a34-b32j
38 ROUSSEAU: Political Economy, 380a-b 478a-c
39 SMITH: Wealth of Nations, BK IV, 239a-279b 14 PLUTARCH: Philopoemen, 296a-b / .Aratus,
40 GIBBON: Decline and Fall, 14d-15c; 18a; 834c-d
26a-c; 134a-b; 245d-246d; 420b-d; 518b- 38 MONTESQUIEU: Spirit of Laws, BK IX, 58b,d-
519a; 522c-523a,c; 550b-551b; 608b,d; 60a
624b-c; 632d-633a; 638a-639a 39 SMITH: Wealth of Nations, BK V, 420b-d
41 GIBBON: Decline and Fall, 65a-c; 216c-d; 40 GIBBON: Decline and Fall, 103c-d
285a-c; 505b-c 41 GIBBON: Decline and Fall, 218c-219a; 577b-c
42 KANT: Science ofRight, 413d; 454a-455a; 456c- 43 ARTICLES OF CONFEDERATION: 5a-9d
457a 43 CONSTITUTION OF THE U.S.: Ua-20d esp
43 DECLARATION OF INDEPENDENCE: 1a-3b pas- ARTICLE VI [S83-599jI6d
sim 43 FEDERALIST: NUMBER 1-30 29a-103c passim,
43 CONSTITUTION OF THE U.S.: ARTICLE IV, SECT esp NUMBER 10, 52b-c, NUMBER 14, 61b-c,
3 [544-550]16b NUMBER IS, 65c-d; NUMBER 31-34, 104c-ll1d;
43 FEDERALIST: NUMBER 43, 140d-141a NUMBER 36, 115a-117b; NUMBER 37, 119b-
662 THE GREAT IDEAS 6
162d; BK V, CH 12 216d-219b; CH 21-26 226a-
(5. The relation of governments to one another: 230a,c
sovereign princes or states as in a condition 20 AQUINAS: Summa Theologica, PART I-II,
of anarchy. 5d. Confederation and federal Q 104, A 3 305d-306d
union: the division of jurisdiction between 21 DANTE: Divine Comedy, PARADISE, VI [28-111]
state andfederal governments.) 113d-114d
120d; NUMBER 39, 126b-128b; NUMBER 41-46 23 HOBBES: Leviathan, PART IV, 275a-278d
132a-153b esp NUMBER 46, 150b-c; NUMBER 26 SHAKESPEARE: Julius Caesar 568a-596a,c
51, 164a-165a passim; NUMBER 52, 167a-b; 27 SHAKESPEARE: Coriolanus 351a-392a,c /
NUMBER 59-61 182a-188d passim; NUMBER 62, Henry VIII 549a-585a,c
189b-d; NUMBER 80, 235a; NUMBER 81, 239c- 30 BACON: Advancement of Learning, 94d-95b
241a; NUMBER 82 242b-244a; NUMBER 84, 32 MILTON: New Forcers of Conscience 68a-b /
253d-254b; NUMBER 85, 258d-259a,c Lord Gen. Cromwell 69a-b
43 MILL: Representative Government, 427d-433b 35 LOCKE: Civil Government, CH VIII, SECT 100-
46 HEGEL: Philosophy of History, PART II, 278c- 11247c-51b
279b 35 HUME: Human Understanding, SECT I, DIV 5,
453a-b
6. Historical developments in government: rev- 36 SWIFT: Gulliver, PART III, 117b-121b
olution and progress 38 MONTESQUIEU: Spirit of Laws, BK III, 9b-d;
OLD TESTAMENT: Exodus, 18:13-26 I I Samuel, BK IV, 15c; BK XI 68b,d-84d
8-(D) I Kings, 8 / I Kings, 12:1-25-(D) 38 ROUSSEAU: Inequality, 359a-362a passim /
III Kings, 12:1-25 / II Chronicles, Io-(D) Social Contract, BK II, 402b-403a; BK III,
II Paralipomenon, 10 418c-d [fn 2]
6 HERODOTUS: History, BK I, 12b-14c; 23b-24b; 39 SMITH: Wealth ofNations, BK III, 165b-181a,c;
BK III, 107c-108d; BK v, 164d-165a BK v, 348a-352a
6 THUCYDIDES: Peloponnesian War, BK I, 352c-d; 40 GIBBON: Decline and Fall, 24b,d-34a,c esp
353c-d; 366d-367a; BK II, 391b-392a; BK III, 24b,d-28b; SOb-SId esp 51c-d; 153c-156a;
434c-438b passim; BK IV, 458d-459c; 463a- 240b-255d; 521a-523a,c; 622d-623c
465c; BK VI, 523b-525d; BK VIII, 568d-569a; 41 GIBBON: Decline and Fall, 7ld-79d; 199c-202d
575c-576c; 577b-d;579c-583c; 585d-586b; esp 202a-c; 215c-220a,c esp 217a-b, 218c-219a;
587a-589a; 590b-c 403b-404d; 427b-428a esp 428a; 452d-453a,c;
7 PLATO: Laws, BK III 663d-677a 562b-566c; 574b-582b; 586c-589a
9 ARISTOTLE: Ethics, BK x, CH 9 [1I8IbI2-24] 42 KANT: Science of Right, 450d-451a; 451d-452a
436c l Politics, BK II, CH 8 [I268b23]-CH 12 43 DECLARATION OF INDEPENDENCE: la-3b
[I274b28] 464d-471d; BK III, CH 14483a-484a; 43 CONSTITUTION Ol!' THE U.S.: lla-20d
CH 15 [I286 b8-22] 484d-485a; BK V 502a-519d 43 FEDERALIST: NUMBER I, 29a-b; NUMBER
passim; BK VII, CH IO [I329a4o_b36] 533d-534b 9 47a-49c passim; NUMBER 14, 62a-d;
/ Athenian Constitution, CH 1-41 553a-572a NUMBER 18-20 7la-78b; NUMBER 25, 91b-d;
12 AURELIUS: Meditations, BK I, SECT 14 254b-c NUMBER 37, 120d-121b; NUMBER 41, 133a-d;
13 VIRGIL: Aeneid, BK VI [851-853] 234a NUMBER 52, 165d-167b; NUMBER 70, 211b-d;
14 PLUTARCH: Theseus, 9a-10a; 13a-14c / Lycur- NmdBER84, 252b-c
gus 32a-48d / Lycurgus-Numa, 63d-64a,c / 43 MILL: Liberty, 267d-272a / Representative
Solon 64b,d-77a,c / Poplicola, 80d-82a / Government, 367b-c; 434a-436b
Poplicola-Solon, 86d-87b / Agis, 650b-656d 46 HEGEL: Philosophy of Right, ADDITIONS, 176
/ Cleomenes, 659b-660d / Tiberius Gracchus 147c-d / Philosophy of History, INTRO, 174a-
671b,d-681a,c / Caius Gracchus 681 b,d- 175c; 198b-199c; 203b-206a,c; PART I, 207d-
689a,c / Caius and Tiberius Gracchus-Agis and 208c; PART II, 263a-d; 275b-276a; PART III,
C/eomenes 689b,d-691a,c / Dion 781b,d- 295d-296c; PART IV, 316c-d; 328b-331d; 342a-
802a,c 343a; 355d-357a
15 TACITUS: Annals, BK I, 1a-2a; 3a-b; BK III, SO MARX: Capital, 355d-364a esp 356a-357a,
51b-c; BK IV, 72a-b; BK XII, 123b-c; BK XIII, 359a-c
126c-d; 132c-133a / Histories, BK I, 190b-c; 50 MARX-ENGELS: Communist Manifesto, 420b-d
BK II, 224d-225a 51 TOLSTOY: War and Peace, BK I, lOa-b; BK VI,
18 AUGUSTINE: City of God, BK II, CH 21 161b- 238c-243d
CHAPTER 31: GOVERNMENT 663
CROSS-REFERENCES
For: The basic context of the problems discussed in this chapter, see STATE; for the discussion of
domestic government, see FAMILY 2b, sa; for the discussion of ecclesiastical government,
see RELIGION 3C(2); for the discussion of divine government, see GOD 7c; WORLD IC; and
for the discussion of government in relation to economic affairs, see WEALTH 9d.
Other considera tions of the issues concerning anarchy, see LIBERTY I b; TYRANNY 3;
WAR AND PEACE I.
Other discussions of the notion of sovereignty in its various forms or meanings, see DEMOC-
RACY 4b; LAW 6b; LIBERTY Ib, 6c; STATE 2C, 9d; TYRANNY sc; and for the problems of
foreign policy as between sovereign states, see JUSTICE 9f; STATE ge(I)""'ge(2); WAR AND
PEACE IIC.
Sovereignty in relation to federal government, and for the idea of world government, see
STATE roe-Iof; WAR AND PEACE lId.
Justice, liberty, and property in relation to government, see JUSTICE la, 6-6e, 9""'ge, Io-roe;
LIBERTY Id, If, Ih; WEALTH 7a.
The relation of the ideal form of government to the ideal state, see STATE 2e, 6-6b.
The abuses or corruption of government, see LAW 7d; MONARCHY 4e(3)-4e(4); TYRANNY
I-IC.
The issues of imperialism in the government of colonies or subject peoples, see DEMOCRACY
7b; LIBERTY 6c; MONARCHY S-Sb; REVOLUTION 7; SLAVERY 6d; STATE lob; TYRANNY 6.
The analysis of particular forms of government, see ARISTOCRACY I-2e; CONSTITUTION I-3b,
S-Sb; DEMOCRACY 1-4c; MONARCHY I-Ia(2), 4-4e(I), 4e(3)-4e(4); OLIGARCHY 1-2, 4-S;
TYRANNY I-Sd; and for the. discussion of mixed forms of government, see CONSTITU-
TION 3a-3b; MONARCHY Ib-Ib(2).
The condition of the ruled under diverse forms of government, see CITIZEN 2bj LIBERTY Ifj
SLAVERY 6a-6b.
The institutions of self-government, such as representation, elections, voting, see ARISTOC-
RACY 6; CONSTITUTION 9""'9bj DEMOCRACY sa-sb(4)'
The problem of the relativity of the forms of government to the character and circumstances
of particular peoples, see DEMOCRACY 4dj MONARCHY 4e(2)j TYRANNY 4b.
The general discussion of political revolution and progress, see LIBERTY 6b; PROGRESS
4a-4c; REVOLUTION 2a-2c, 3a, 3c-3c(3); and for the consideration of revolution with
respect to particular forms of government, see ARISTOCRACY 3; CONSTITUTION 8-8b;
DEMOCRACY 7a; OLIGARCHY 3-3b; TYRANNY 8.
Matters relevant to the legislative branch of government, see LAW Sd.
Matters relevant to the judicial branch of government, see JUSTICE Iod; LAW Sg; PRUDENCE
6b.
Matters relevant to the executive branch of government, especially problems oflaw enforce-
ment and administration, see LAW sa, 6a, 7e; MONARCHY Ib(3).
Other discussions of the separation of powers and the system of checks and balances, see
CONSTITUTION 7b; DEMOCRACY sc; LIBERTY Ig.
Other discussions of the relation between the civil and military powers, see STATE 8d(I),
9e(I); WAR AND PEACE IO-lOa.
The problem of the economic support of government, see WEALTH ge-ge(2).
The consideration of the art and science of government, see EDUCATION Sd; KNOWLEDGE Sc;
PRUDENCE 6a; RHETORIC IC; STATE 8c-8d(3); and for the relation of politics to ethics and
economics, see PHILOSOPHY 2C; SCIENCE 3a; STATE 8d; WEALTH 9.
664 THE GREAT IDEAS
ADDITIONAL READINGS
Listed below are works. not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
IL Works by authors'not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
T HE familiar w,o, r.d ,". ha b.it" has a tremend,ous
range of mc::aning. Some of its meanings in
ing to one view, the acquisition of habits de-
pends on activity., According to another, habits
technical discourse ,~re so divergent from one are modifications; passively, not actively, ac-
another-as ~ell as froID' the popular under- quired. .
standing of the term-that it is difficult to finc! The word, "habit" is also used in a sense dia-
a common thread of derivation whereby to metrically opposite to the meanings so far con-
pass from one meaning to another. sidered. It is the sense in which Aristotle, in the
We can eliminate at once the use of the word History of Animals, disc~sses the habits of ani-
to designate apparel, as when we speak of a mals, and differentiates species according to the
"riding habit." Yet even this sense contains a differences in their habits. Here the word "habit"
root of meaning which cannot be dismissed. is used to signify not an acquired pattern of
Augustine points out that "the term 'habifis behavior, but an innate predisposition to act or
derived from the-verb 'to have' " and Aris- react in a certain way. The difference between
totle, considering the meanings of 'to have,' in- acquired habits and "the habits to which there
cludes the sense in which a man may be said "to is an innate tendency," James tells us, is marked
have a coat or tunic" along with the sense in by the fact that the latter generally "are called
which a man maybe said to have a habit-"a instinc ts. "
piece of knowledgeor a_virtue." Just as clothes The opposition between these two meanings
are something a person has or possesses in a man- of "habit" is clear. On the one hand, habits rep-
ner more or less fitting to the body, so habits in resent what, in the case of living things at least,
the psychological sense are qualities which a is added by nurture to nature-the results of
person has or, possesses, and they too can be experience, training, or activity. On the other
judged for their fitness. hand, habits which are identical with instincts
This understanding of habit is conveyed in belong to original nature itself-part of the na-
the ancient remark which has become a com- tive endowment of the animal. Is there any com-
mon expression-that "habit is second nature;" mon thread of meaning in the notions of ac-
Habit is not original nature,' but something quired and innate habit which may explain the
added thereto as clothes are added to the body. use of the word in such opposite senses?
But unlike clothes, which are added externally The familiar statement that a person does
and merely by contact, habits as second nature what he is in the habit of doing indicates that a
are nature itself transformed or developed. In habit is 'a tendency to a particular sort of be-
the words of an ancient poet, whom Aristotle havior. Knowledge of a person's habits' enables
quotes with approval, "habit's but long prac- us to predict what he is likely to do in any situa-
tice, and this becomes men's nature in the end," tion which elicits habitual conduct on his part.
Not all, as we shall see, would grant that prac- So, too, an animal's behavior in a particular sit-
tice is essential to habit. Nevertheless the word uation may be predicted from a knowledge of
"practice" suggests one notion that is common its instincts. Instinct and habit-or innate and
to all theories of acquired habit, namely, that acquired habits-seem to have this common
habit is a retained ~ct-theresult of something character; that they are tendencies to behavior
done or experienced. Within this comrrionUn- of a specific or determinate sort. They are defi-
derstanding, there are opposite views. Accord- nitely not random-behavior. In the one case, the
665
666 THE GREAT IDEAS
tendency is preformed, a part of the inherited are either relatively inflexible at one extreme or
nature of the organism. In the other, the tend- easily modifiable at the other has been thought
ency is somehow a product of experience and to indicate thatanirnal's rank in the scale of in-
learning. In neither case does "habit" refer to telligence. The higher animals seem to have a
mere capacity for action, unformed and inde- greater capacity to form habits and to be capa-
terminate, nor does it refer to the action, but ble, therefore, of modifying their instinctive
rather to the tendency to act. patterns of behavior as the result of experience.
In consequence, their behavior is both more
THE MODIFIABILITY OF instincts by experience adaptive and more variable than that of animals
indica tes another and more dynamic connection which always follow the lines of action laid
between innate and acquired habits. William down by instinct.
James conceives innately determined behavior Species whose instincts are largely unmodifi-
as if it were a plastic material out of which new able are at adisadvantage in a changing environ-
patterns of conduct can be formed. The process ment or in one to which they are not-innately
of animal learning he thinks can be generally de- adapted. In the struggle for existence, Darwin
scribed as the replacement of instincts by hab- observes, it is the organism that "varies ever so
its. "Most instincts," he writes, "are implanted little, either inhabits or structure" which "gains
for the sake of giving rise to habits, and this an advantage over some other inhabitant of the
purpose once accomplished, the instincts them- same country." Though for the most part in-
selves, as -such, have no raison tl'!tre in the psy- stincts seem to be directed toward the anirnal's
'chical economy, and consequently fade away." survival, intelligence, or the power of modify-
Some years before the Russian physiologists ing instincts by learning, may sometimes be
Bechterev and Pavlov experimentally studied needed to save the animal from his own instincts.
the condi tioning of reflexes, James descri bed ani- If the lower animals are most dependen t on
mal learning in terms of the substitution of new their instincts and least able to modify them,
foroldresponses to stimuli which had previously that would seem to indicate a kind of opposi-
called forth an instinctive reaction, or in terms tion between instinct and intelligence. Darwin
-of the attachment of instinctive responses to quotes euvier to the effect that "instinct and
new stimuli. "The actions we call instinctive," intelligence stand in an inverse ratio to each
James writes; "all conform to the general reflex other," but he himself does not wholly accept
type" and "are called forth by determinate sen- this view. He thinks that the behavior of bea-
sory stimuli." For example, a predatory animal, vers, for example, or of certain classes of insects,
instinctively responsive to various perceptible shows that "a high degree of intelligence is cer-
signs of the whereabouts of its prey, may learn tainly compatible with complex instincts." Yet
to hunt for its food in a particular locality, ata he admits that "it is not improbable that there
particular time, and in a particular way. Or, to is a certain amount of interference between the
take the example James gives, "if a child, in his development of free intelligence and of in-
first attempts to pat a dog, gets snapped at or stinct."
.bitten,. so that the impulse of fear is_ strongly . On this subject of instinct in relation to in-
aroused, it may be that for years to come no dog telligence or reason, James seems to take a less
will excite in him the impulse to fondle again." equivocal position. According to him, "man pos-
Similariy,an anirnal which has no instinctive sesses all the impulses that [animals] have, and a
fear of man rnay acquire an habitual tendency great many more besides." After enumerating
to flee at man's approach, as the result of expe- what he considers to be the instinctivetenden-
riences in which the-appearance of man is asso- cies of the human species, he concludes by say-
ciated with instinctively recognized signs of ing that "no other mamrnal, not even the mon-
danger. key, shows so large an array." But since James
III the classification of anirnals, from Aristotle also thinks that man has the keenest intelligence
on, the instincts peculiar to each specie~ have and may even be the only reasoning animal, he
been used in their differentiation. In addition, cannot believe that there is any "rnaterial an-
the degree to which the instincts of an animal tagonism between instinct and reason." On the
CHAPTER 32: HABIT 667
con trary , a high develop men t of the faculties of ment of something earlier." Indeed, he claims
memory, of associating ideas, and of making in- that the instincts of living things revert back
ferences implies not the absence of instinct, but beyond ancestral history to the inorganic. They
the modifiability of instinct by experience and go back to "an ancient starting point, which the
learning. "Though the animal richest in reaSon living being left long ago." They are an "im-
might be also the animal richest in instinctive print" left upon the development of the organ-
impulses too," James writes, "he would never ism by "the evolution of our earth and its
seem the fatal automaton which a merely in- relation to the sun."
stinctive animal would be." James, on the other hand, claims that there is
The opposite position is taken by those who, "perhaps not one single unequivocal item of
like Cuvier, hold that the more adequate an ani- positive proof" in favor of the view that "adap-
mal's instinctive equipment is for its survival, tive changes are inherited." He thinks the vari-
the less it needs free intelligence for adaptive ability of instincts from generation to genera-
purposes, and the less important is the role ~f tion must be accounted for by some other means
learning and habit formation. Some writers, like than the inheritance of acquired characteristics,
Aquinas, go further than this and maintain that according to which the habits acquired by earlier
in the case of man, the power of reason as an in- generations gradually become, through heredi-
strument of learning and of solving life's prob- tary transmission, the innate habits oflater gen-
lems supplants instinct almost entirely, or needs erations.
to be supplemented by instinctive impulses of The question of their origin aside, what is the
an extremely rudimentary sort-hardly more structure of instincts? In the chapter on EMO-
complex than simple reflexes. TION, where this matter is considered, instinc-
What other animals do by instinct man does tive behavior is described as having three com-
by reason. "B ru te animals," Aquinas wri tes, "do ponents. It involves, first, an innate ability to
not act atthe command of reason," but "if they recognize certain objects; second, an emotional
are left to themselves, such animals act from reaction to them which includes an impulse to
natural instinct." Since in his opinion habits act in a certain way; and, third, the ability to
can be formed only by acts which involve reason execute that impulse without benefit oflearning.
as a factor, he does not think that, strictly speak- James covers two of these three points when
ing, habits are to be found in brutes. But, he he defines an instinct as "the faculty of acting
adds, to the extent that man's reason may influ- in such a way as to produce certain ends, with-
ence brutes "by a sort of conditioning to do out foresight of the ends, and without previous
things in this or that way, so in this sense to a education in the performance"; and he touches
certain extent we can admit the existence of on the remaining one when he declares tha t "in-
habits in brute animals." stinctive reactions and emotional expressions
shade imperceptibly into each other. Every ob-
THE MODIFICATION of instincts in the course of ject that excites an instinct," he goes on to say,
individuallife raises a question about their modi- "excites an emotion as well," but emotions "fall
fiability from generation to generation. The short of instincts in that the emotional reaction
question has obvious significance for the theory usually terminates in the subject's own body,
of evolution. whilst the instinctive reaction is apt to go fur-
It is thought by some that an animal's in- ther and enter into practical relations with the
stincts represent the past experience of the face. exciting object."
In a passage quoted by James, Herbert Spencer, In the discussion of instincts from Aristotle to
for example, maintains that "reflex actions and Freud, the emphasis on one or another of these
instincts .... result from the registration of ex- components has varied from time to time. Me-
perience continued for numberless genera tions." diaeval psychologists, if we take Aquinas as an
Freud appears to hold much the same opinion. example, seem to stress the cognitive aspect. He
"All organic instincts are conservative," he speaks of the sheep running away "when it sees
writes. They are "historically acquired, and are the wolf, not because of its color or shape, but
directed towards regressions, towards reinstate- as a natural enemy." The point which he thinks
668 . THE GREAT IDEAS
notable here is not the fact that the sheep runs of matter, which consists in "the possession of a
away, but rather, the fact that without any pre- structure weak enough to yield to an influence,
vious experience of wolves, the sheep recognizes but strong enough not to yield all at once. Each
the wolf as dangerous. "The sheep, seeing the relatively stable phase of equilibrium in such a
wolf, judges it a thing to be shunned '... not structure is marke~ by what we may call a new
from deliberation, but from natural instinct." set of habits." He cites as examples of habit for-
This instinctive power of recognizing what is to mation in inorganic matter such things as the
the animal's advantage or peril Aquinas calls magnetizing of an iron bar, th,e setting of plaster,
"the estimative power" and, assigns it, along scratches on a polished surface or creases in a
with memQry,and imagination, to the sensitive piece of cloth. The matter in each of these cases
faculty. is not only plastic and yielding, but retentive
Later writers stress the emotional and cona- through its inertia. ','When the structure has
tive aspects of instinct-feeling and impulse. yielded," he writes, "the same inertia becomes
James, for example, indicates this emphasis when the condition of its comparative permanence in
he says that "every instinct is an impulse"; and the new form, and of the new habits the body
Freud makes desire central rather than percep- then manifests."
tion or action. An instinct, he says, may be de- The habits of living things or of the human
scribed as a stimulus, but it would be more exact mind are to be regarded only as special cases of
to speak of "a stimulus of instinctual origin" as nature's general plasticity and retentiveness.
a "need." The instincts are the basic cravings James does not fail to observe the difference be-
or needs, and these instinctual needs are the pri- tween the magnetized bar, the scratched surface,
mary unconscious determinants of behavior and or the creased cloth, and the habits of a trained
thought; animal or a skilled workman. The latter ,are ac-
What Freud calls "instinctual needs" seem to quired by activity~by practicing the same act
be the counterpart of what, in an earlier phase repeatedly. Furthermore, they are not merely
of the tradition, are called "natural desires." passive relics of a, past impression, but are them-
These two notions are far from being strictly in- selves tendencies to action. They erupt into ac-
terchangeable, but they do have a certain simi- tion almost spontaneously when the occasion for
larity in their reference to desires which are not performance arises.
conscious or acquired through experience. This It may be questioned whether the word "hab-
matter is further discussed in the chapter on it" should be used so broadly. UnlikeJames,most
DESIRE. writers restrict its application to living things,
and even there they limit habit formation t() the
IF WE TURN NOW to the consideration of habit sphere of learning. If the capacity to learn from
as somethingacq uired by the individual, we find experience is not a property of plant life, then
two major issues. The first of these has already plants cannot form habits. The same may be said
been mentioned in connection with the concep- of certain species of animals whose ac tivi ty is en-
tion of habit as a retained effect. tirely and inflexibly instinctive. Habits are pos-
According to William James, the capacity for sessed only by those organisms-animals or men
habit formation is a general property of nature, -whose future conduct can be determined by
found in inanimate matter as well as in living their own past behavior. Aquinas, as we ,have
things. "The moment one tries to define what seen, goes further than this, and limits ha bi t for-
habit is," he writes, "one is led to the funda- mation in a strict sense to man alone.
mental properties of matter." He regards the This leads at once to ,the second issue. For
laws of nature, for example, as "nothing but the those who believe, that man is not specifi-
immutable habits which the different elemen- cally different from all other animals, man's
tary sorts of matter follow in their actions and habits and his habit formation require no spe-
reactions upon each other. In the organic world, cial distinction or analysis. They hold that hu-
however,the ha bi ts are more variable than th is." man intelligence differs from anwal intelli-
James attributes this universal capacity for gence only in degree, not in kind. No other
habitformation to what he calls the "plasticity" factors, they think, are present in human learn-
CHAPTER 32: HABIT 669
ing than those which operate when animals of faculties, and especially by their analysis of
somehow profit from experience or acquire new the powers and activities which they think be-
modes of behavior. In the great books there is long peculiarly to man. This in turn gives a
to be found, however, a very special theory of metaphysical meaning to habit, for they treat
habit which is part of the doctrine that man is human powers and human acts as special cases
specifically different from all other animals in of potentiality and actualization.
that he alone is rational and has free will. Aquinas bases milch of his discussion of habit
The issue about man's nature is discussed in on Aristotle's definition of it as "a disposition
other chapters (ANIMAL, EVOLUTION, MAN, whereby that which is disposed is disposed well
MIND). Here we must examine the consequen- or ill, and this, either in regard to itself or in
ces for the theory of habit of these opposing regard to another." In calling a habit a disposi-
views. Do animals and men form habits in the tion, Aristotle goes on to say that all "disposi-
same sense of that term? The use of the word is tions are not necessarily habits," for while dis-
not at stake, for "habit" may be used in a dif- positions are unstable or ephemeral, habits "are
ferent sense for the acquired dispositions of ani- permanent" or at least "difficult to alter."
mals. Those who hold that brute animals and For a disposition to be a habit, certain other
men do not have habits in the same sense ac- conditions must be present, according to Aqui-
knowledge that men may have, in addition to nas. "That which is disposed should be distinct
their specifically human habits, the sort of mod- from that to which it is disposed," he writes,
ified instincts or conditioned reflexes which are and hence "should be related to it as poten-
typical of animal habit formation. FUrther- tiali ty is to act." If there is a being which lacks
more, it is recognized that human and animal all potentiality, he points out, "we can find no
habits are alike in certain respects. Both are ac- room in such a thing for habit ... as is clearly
quired by activity and both are tendencies to the case in God." 1
activity of a determinate sort. It is also necessary that "that which is in a
The question, therefore, is simply this: Does state of potentiality in regard to something else
'One conception of habit apply to men and ani- be capable of determination in several ways and
mals, or does human nature require a special to various things." If there were a potentiality
conception applicable to man alone? To clarify which could be actualized in one way and one
this issue, it is necessary to summarize the way only, then such a power of operation could
analysis of human habits which Aristotle and not be determined by habits. Some of man's
Aquinas develop more fully than other writers, powers seem to be of this sort. His faculty of
even than those who share their view of the sensation, for example, functions perfectly
rationality and freedom of man. \vhen the sense organs have normally matured.
A man does not learn to see colors or to hear
THAT ARISTOTLE and ;\quinas should be the tones, and so the simple use of his senses-apart
authors of an elaborate theory of human habits from aesthetic perceptions and trained dis-
becomes intelligible in. terms of two facts. criminations-does not lead to sensory habits.
In the first place, they consider habit in the "The exterior apprehensive powers, as sight,
context of moral theory; For them the virtues, hearing, and the like," Aquinas maintains, "are
moral or intellectual, are habits, and so neces- not susceptive of habits but are ordained to
sarily arc the opposite vices. Virtues are good their fixed acts, according to the disposition
habits; vices bad habits; hence, good or had, of their nature. "
human habits must be so formed and consti- In contrast; man's faculty of thinking and
tuted that they can have the moral quality knowing can be' improved or perfected by
connoted by virtue or vice. Since virtue is activity and exercise; The words "improved"
praiseworthy and vice blameworthy only if and "perfected" are misleading if they are
their possessor is responsible, human habit thought to exclude bad habits, for a bad habit
is conceived as arising from freely chosen acts. is no less a habit thali a good one. The defini-
In the second place, their understanding of tion of habit, Aquinas points out, includes dis-
habit is affected by their psychological doctrine positions which "dispose the subject well or
670 THE G~EAT IDEAS
ill to its form or to its operation." Hence when the man whose .mastery of the game lies in a
we say that a power of operation is "improved" habit formed by much practice in doing what
or "perfected'.' by being exercised, we must is required. As the habit gradually grows, awk-
mean only that after a number of particular wardness is overcome, speed increases, and
acts, the individual has a more determinate ca- pleasure in performance replaces pain or diffi-
pacity for definite operation than he had before. culty.
A man may have at birth the mere capacity Clearly, then, the habit exists even when it is
for knowing grammar or geometry, but after not in operation. It may even develop during
he has learned these subjects he has the habit periods of inactivity. As William James re-
of such knowledge. This, according to Aristotle marks, there is a sense in which "we learn to
and Aquinas, means that his original capacity swim during the winter and to skate during the
has been rendered more determinate in its summer" when we are not actually engaging in
activity. It would be so even if he had learned these sports. This would seem to be inconsistent
errors, that is, even if the intellectual habits he with the general insight, common to all ob-
had formed, disposed his mind in a manner servers, that habits are strengthened by exercise
which would be called "ill" ra ther than "well." and weakened or broken by disuse or by the
The difference between a man who has performance of contrary acts. But James ex-
learned grammar and one who has not is a dif- plains that his point, stated less paradoxically,
ference in their capacity for a certain intellec- means only that during periods of rest the
tual performance, a difference resulting from effects of prior activity seem to consolidate and
the intellectual work which has been done by build up a habit.
the man who has learned grammar. That differ- The dynamism of habit formation and ha-
ence is an intellectual habit.. The man who has bitual activity is summarized, in the language
not learned grammar has the same undeveloped of Aristotle and Aquinas, by the statement that
capacity for knowing grammar with which he "habit is a kind of medium between mere power
was born. The man who has learned grammar and mere act." On the one hand, a habit is like
has had his native capacity for grammatical ,a power or capacity, for though it is an im-
knowledge developed. That developed capacity provement on native ability, it is still only an
is a habit of knowledge or skill which manifests ability to perform certain acts; it is not the ac-
itself in the way in which he writes and speaks. tual performance of them. On the other hand,
But even when he is not actually exercising his habit is like operation or activity, for it repre-
grammatical skill, the fact that he has formed sents an actualization or development of capac-
this particular habit means that he will be able, ity, even as a particular operation is an actual-
whenever the occasion arises, to do correctly ization of the power to act. That is why habit
with speed and facility what the man who does is sometimes called a second grade of poten-
not have the habit cannot do. readily or easily tiali ty (compared to na tural ca paci ty as firs t po-
if he can do it at all. tentiality) and also "a first grade of actuality"
It may be helpful to illustrate the same points (compared to operation as complete act).
by reference to a bodily habit, such as a gym-
nastic or athletic skill which, being an art, ,is ACCORDING TO THE theory of specifically hu-
a habit not of body alone, but of mind as well. man habits, habits are situated only.in man's
If two men are born with normal bodies equally powers of reason and will. Habits are formed
capable of certain muscular coordinations, they in the other powers only to the extent that they
stand in the same relation to performing on the are subject to direction by his reason and will.
tennis court. Both are equally able to learn the Specifically human habits can be formed only
game. But when one of them has learned to in that area of activity in which men are free
play, his acquired skill consists in the trained to act or not to act; and, when they act, free to
capacity for the required acts or motions. The act this way or that. Habit, the product of
other man may be able to perform all these acts freedom, is not thought of as abolishing free-
or go through all these motions, but not with dom. However difficult it may be to exert a free
the same facility and grace, or as pleasantly, as choice against a strong habit, even the strongest
CHAPTER 32: HABIT 671
habit is not conceived as unbreakable; and if it a whole and what is a part, should at once per-
is breakable, it must permit action contrary to ceive that every whole is larger than its part."
itself. Habitual behavior only seems to lack The sense in which Aquinas says that "the
freedom because a man does habitually, without understanding offirst principles is called a natural
conscious attention to details, what he would be habit" applies to the first principles of the
forced to do by conscious choice at every step practical reason as well as to the axioms of
if he lacked the habit. theoretic knowledge. Just as no man who
In the theory under consideration habits are makes theoretic judgments about the true and
classified according to the faculty which they the false can be, in his opinion, without habit-
determine or perfect, on the ground that "every ual knowledge of the principle of contradic-
power which may be variously directed to act tion, so he thinks no man who makes practical
needs a habit whereby it is well disposed to its judgments about good and evil can be without
act." Consequently there are intellectual hab- habitual knowledge of the natural moral law,
its, or habits of thinking and knowing; and ap- the first principle of which is that the good is to
petitive habits, or habits of desire which involve be sought and evil avozded. "Since the precepts
the emotions and the will, and usually entail of the natural law are sometimes considered by
specific types of conduct. Within a single fac- reason actually," Aquinas writes, "while some-
uity, such as the intellect, habits are further times they are in the reason only habitually,
differentiated by reference to their objects or in this way the natural law may be called a hab-
to the end to which their characteristic oper- it. "
ation is directed. For example, the habit of In a different phase of the tradition Hume
knowing which consists in a science like geom- regards it as an inevitable tendency of the hu-
etryand the habit of artistic performance such man mind to interpret any repeated sequence
as skill in grammar both belong to the inteliect, of events in terms of cause and effect. If one
but they are distinct habits according to their thing has preceded another a certain number of
objects or ends. times in our experience, we are likely to infer
All of these distinctions have moral as well as that if the first occurs, the second will follow.
psychological significance. They are used in The principle which determines us "to form
formulating the criteria of good and bad habits such a conclusion" is, Hume says, "Custom or
which are more appropriately discussed in the Habit." All our inferences from experience are
chapter on VIRTUE AND VICE. But here one "effects of custom, not of reasoning"; and since
further psychological distinction deserves com- the habit of inferring a future connection be-
ment. Some of man's acquired habits are re- tween things which have been customarily con-
garded as natural in a special sense-not in the joined in the past is, in his opinion, universally
sense in which instincts are called "natural" or present in human nature, Hume refers to it as
"innate" habits. The distinction is drawn from "a species of natural instinct which no reason-
the supposition that certain ha bits develop in all ing or process of thought and understanding is
men because, since human nature is the same able either to produce or prevent."
for ali, men wili inevitably form these habits if Even Kant's synthetic judgments a priori
they act at all. This word "natural" here ap- have a certain similarity to the thing called
plied to a habit simply means that it is common "natural habit." They comprise judgments the
to all having the same nature. mind will make because of its own nature or,
For example, the understanding of the law in Kant's terms, its transcendental structure.
of contradiction-that the same thing cannot be Though a priori, the judgment itself is not in-
affirmed and denied at the same time-and other nate, for it arises only when actual experience
simple axioms of theoretic knowledge are said provides its subject matter. So, too, the natural
to be possessed by the human mind as a matter habit of first principles, of which Aquinas
of natural habit. If a man thinks at all he will speaks, is not innate, but a result of experience.
come to know these truths. "It is owing to the
very nature of the intellectual soul," Aquinas THERE IS STILL ONE other traditional meaning
writes, "that man, having once grasped what is of the phrase "natural habit." It occurs in
672 THE GREAT IDEAS
Christian theology. Habits are there distin- difference between habit and custom. But we
guished according as they are acquired by man's usually think of customs in terms of the group
own efforts or are a gift of God's grace, which or community rather than the individual. As
adds to or elevates human nature. The former indicated in the chapter on CUSTOM AND CON-
are natural, the latter supernatural. VENTION, the prevailing modes of behavior in
In the sphere of supernatural habits the theo- a society and its widely shared beliefs repre-
logian makes a distinction between grace it- sent common habits of thought and action
self and the special habits which accompany on the part of its members. Apart from the
grace. Aquinas, for example, writes that "just habits of individuals social customs have no ex-
as the natural light of reason is something dif- istence whatsoever. But social customs and in-
ferent from the acquired virtues, which are dividual habits cannot be equated because, with
ordained to this natural light, so also the light respect to any customary practice or opinion,
of grace, which is a participation of the divine there may be non-conforming individuals
nature, is something different from the infused -men of divergent habit. The prevalent or
virtues which are derived from and are ordained predominant customs are. the habits of the
to this light." These "infused virtues," like the majority.
natural virtues, are good habits-principles of No society endures for long or functions
operation, determining acts of thought or de- peacefully unless common habits generate the
sire; They are either the specifically theological ties of custom. To perpetuate itself, the state
virtues of faith, hope, and charity, or the super- necessarily attempts to mould the habits of
natural counterparts of the acquired intellec- each growing generation-by every means of
tual and mora,! virtues-the habits which are education, by tradition, by law. So important
called "the infused virtues" and "the moral is the stability of custom in the life of society,
and .intellectual gifts." according to Montaigne, that it is "very un-
Grace, taken in itself rather than in its con- just ... to subject public and established cus-
sequences, is not an operative habit, that is, it toms and institutions to the weakness and in-
is not a habit of performing certain acts. Never- stability of a private and particular fancy."
theless, regarded as something added to and He doubts "whether any so manifest benefit
perfecting nature, it is considered under the can accrue from the alteration of a law re-
aspect of habit. But rather than "a habit where- ceived, let it be what it will, as there is danger
by power is inclined to an act," Aquinas in- and inconvenience in altering it." His extreme
cludes it among those habits by which "the caution with regard to changing the law comes
nature is well or ill disposed to something, and from a preference for the stability of settled
chiefly when such a disposition has become a customs and from the recognition that "govern-
sort of nature." Through the habit of grace, ment is a structure composed of diverse parts
man's nature is elevated by becoming "a par- and members joined and united together, with
taker ... of the divine nature." so strict connection, that it is impossible to stir
To distinguish this kind of habit from those so much as one brick or stone, but the whole
in the operative order, it is sometimes called an body will be sensible of it."
"entitative habit"-a habit of the very being Without habits of action, at least, neither
of man's personality. On the purely natural the individual nor society can avoid chaos.
plane, health may be thought of in the same Habits bind day to day in a continuity which
way as a habit which is entitative rather than would be lost if the recurring problems of con-
operative. It is a habit not of thought, desire, duct or thought had to be solved anew each
or conduct, but of man's physical being. time they arose. Without habits life would
become unbearably burdensome; it would bog
THE WORD "CUSTOM" is sometimes a synonym down under the weight of making decisions.
for "habit" and sometimes a variant with spe- Without habits men could not live with them-
cial connotations. What a man does habitually selves, much less with one another. Habits are,
is customary for him to do. So far as the single as William James remarks, "the fly-wheel of
individual is concerned, there seems to be no society."
CHAPTER 32: HABIT 673
OUTLINE OF TOPICS
PAGE
I. Diverse conceptions of habit: as second nature, perfection of power, retained modifica-
~~~~ ~
la. Habit in relation to potency and act
lb. Habit in relation to the plasticity of matter 675
2. The kinds of habit: the distinction of habit from disposition and other qualities
2a. Differentiation of habits according to origin and function: innate and acquired,
entitative and operative habits
2b. Differentiation of habits according to the capacity habituated or to the object
of the habit's activity
4. Habit formation
4a. The causes of habit: practice, repetition, teaching, and the law
4b. The growth and decay of habits: ways of strengthening and breaking habits
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-283J 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-283112d. .
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
Sa. The acquired habits .of min4: the intellec- Se(2) The infused virtues. and the supernatural
tual virtues gifts
7 PLATO: Theaetetus, 518b; 542a-c OLD TESTAMENT: I Kings, 3:5-15; 4:29-34-(D)
8 ARISTOTLE: Physics, BK VII, CH 3 [247bI-248a III Kings, 3:5-15; 4:29-341 I Chronicles; 22:12
9] 330b-d; BK VIII, CH 4 [255a3o-b23] 340a-c / -(D) I Paralipomenon, 22:12 1 II Chronicles,
Metaphysics, BK IX, CH 5 [I047b3I-34] 573a; 1 :7-I2-(D) II Paralipomenon, 1:7-12 1 Job,
CH 8 [I049b32-I05oa3] 575c-d 1 Soul, BK II, 32:81 Psalms, U9:34-40,73,I25,I3o,I44,169-
CH 5 [417"21-418&6] 647d-648d 1 Memory and (D) Psalms, u8 :34-4,73,125,13,144,169 /
Reminiscence, CH 2 [45IbIO-452b6j 693a-694b ProtJerb!,2 esp 2:6 1 Ecclesiastes, 2:26 1 Isaiah,
9 ARISTOTLE: Ethics, BK VI 387a-394d 1 Politics, U :2-5-(D) Isaias, u :2-51 Daniel, I esp 1:17;
BK VII, CH 15 [I334b8-28j 539b-d 2:20-23
12 EPICTETUS: Discourses, BK III, CH 3 178d- ApOCRYPHA: Wisdom of Solomon, 3:9; 7:7,22;
180a; CH 8 184b-c; BK IV, CH I, 216c-223d 8:7,21; 9-(D) OT, Book of Wisdom, 3:9;
12 AURELIUS: Meditations, BK III, SECT 4 260b- 7:7,22; 8 :7,21; 9 1 Ecclesiasticus, 1 :1,5,10;
261a; BK V, SECT 16 271c-d ua5; 15:5; 24:24-28 ; 43:33; 50:29; 51:17-
19 AQUINAS: Summa Theologica, PART I, Q 14, (D) OT, Ecclesiasticus, 1:1,5,10; ua5; 15:5;
A I, REP I-275d-76c; Q 79, AA 6-7419b-421c; 24:34-38 ; 43:37; 5:31; 51:22- 2 3
A 10, ANS 423d-424d; Q 86, A 2, ANS 462a- NEW TESTAMENT: Matthew, 6:33 1 Acts, 2:1-21
463a; Q 87, A 2, REP 2-3 466c-467b 1 I Corinthians, 1:30; 2; 12:4-II 1 Ephesians,
20 AQUINAS: Summa Theologica, PART I-II, Q 49, 1:16-18; 4 :17-5 :21 1 Philippians, 3:9 / James,
A I, REP 3 Ib-2b; A 2, REP 3 2b-4a; Q 50, A 3. 1:5-7,17; 3:13-18 1 II Peter, I:J-IO
680 THE GREAT IDEAS 5e(3) to 6b
18 AUGUSTINE: Confessions, BK VII, par 23 50b-cj
(Se. Supernatural habits. 5e(2) The injuse vir- BK VIII, par 18 57d-58aj par 25-26 6Oa-b /
tues and the supernatural gifts.) .. Christian Doctrine, BK I, CH 24 630c-631a
20 AQUINAS: Summa Theologica, PART I-II, Q 51, 20 AQUINAS: Summa Theologica, PART I-II, Q 49,
A 4 15a-d; Q 55, A 4, ANS and REP 6 28c.29d; AA 3-4 4b-6a
Q 63, AA 3-4 65a-66c; Q 68 87c-96c esp A 3 90d- 23 MACHIAVELLI: Prince, CH xxv, 35d
91b; Q 100, A 12, ANS and REP 3 264d-265d; Q 25 MONTAIGNE: Essays, 16c-d; 42b-43d; 63d-
110, A 3, ANS and REP 3 350a-d; A 4, REP I 64b; 307c-308aj 316b-c; 390b-c; 39k393bj
350d-351d; PART II-II, QQ 8-9 416d-426c; Q 395b-396d; 489b-490c; 524b-527a
19465a-474d; Q 45 598c-603c 28. HARVEY: Motion of the Heart, 285b-c
23 HOBBES: Leviathan, PART I, 57c; 'PART III, 31 DESCARTES: Discourse, PART III, 48b-49d
176d-177b; PART IV, 270c-d 33 PASCAL: Pensees, 6173a
35 HUME: Human Understanding, SECTV, DIV 35-
Se(3) The theologicl!l virtues 36 464o-465c; DIV 44-45, 469b-c
OLD TESTAMENT: Psalms, 22; 25; 71-(D) Psalms, 38 ROUSSEAU: Inequality, 347a-b
21;24; 70 / Proverbs, 3:1-26 / Isaiah, 4:31- 40 GIBBON: Decline and Fall, 464d
(D) Isaias, 4:31 / Jeremiah, 39:18-(D) Jere- 41 GIBBON: Decline and Fall, 125a
mias, 39:18 43 FEDERALIST: NUMBER 27, 95c-d
ApOCRYPHA: Wisdom of Solomon, 3:9-(D) OT, 43 MILL: Representative Gor;ernment, 37Oc-d. /
Book of Wisdom, 3:9 / Ecclesiasticus, 2:6-9; Utilitarianism, 464a-d
13:14-(D) OT; Ecclesiasticus, 2:6-10; 13:18 44 BOSWELL: Johnson, 259a
NEW TESTAMENT: Matthew, 9:20-22,27-30; 49 DARWIN: Descent of Man, 308b; 317b-d
15:22-28; 17:14-21 esp 17:19-21; 19:16-23 esp 51-'ToLSTOY: War and Peace, BK III, 150c; BK VI,
19:21-(D), Matthew, 9:20-22,27-30; 15:22- 244a-b; BK vIII,303a-305b; BK XI, 486a; BK
28; 17:14-20esp 17:18-20; 19:16-23 esp 19:21 XII, 556d-557a; BK XIV, 609d; BK xv, 639c
/ Mark, 9:17-27 esp 9:23-24-(D) Mark, 53 JAMES: Psychology, 73b-83b
9:16-26 esp 9:22-23 / Luke, 17:5~6 I John, 54 FREUD: Beyond the Pleasure Principle, 643d-
14:21;20:26-29/ Romans, 1:5,16-17;3:20-5:9; 646a esp 645b-646a
8:24-25; 10/ I Corinthian~, 13/ Galatians'5:5~
/ Ephesians, 2:1-10/ Colossians, I a-8/ I Thes- 6a. The automatic or unconscious functioning
salonians, 5:8/ Hebrews, 6; II / James, 2:14-26 of habits .
/ II Peter, 1:5-8 / I John / II John / III John 8 ARISTOTLE: Categories, CH 8 [8b26-9813] 13d-
18 AUGUSTINE: City of God, BKX, CH 3 300b- 14a
301a; BK XXI, CH 16 573b-574a 9 ARIS'fOTLE: Ethics, BK VII, CH 10 [II52~8-
20 AQUINAS: Summa TJieologica, PAR'I'I-U, Q 51, ,B].403b / Rhetoric, BK I, CH II [137085-8]
A 4 15a-d; Q 58, A 3, REP 3 43b-44a; Q 62 59d- 613b
. 63a; Q 63, A 3 65a-d; Q 64, A 4 69b-70s; Q 67, 20 AQUINAS: Summa Theologica, PART I-II, Q 49,
AA 3-6 83b-87c; Q 110, A 3,REP I 350a-d; A 4, A 2 2b-4a; Q 109, A 8, ANS 344d-346a
ANS 350d-351d; PART II-II, Q 23 482c-489c 25 MONTAIGNE: Essays, 307c-308a; 316b-c
21 DANTE: Divine Comedy, PARADISE, XXIV [1]- 35 LOCKE: Human Understanding, BK II, CH IX,
XXVI [81] 142d-146c SECT 8-10 139b-140b passim
23 HOBBES: Leviathan, PART II, 149t:-d; PART III, 43 MILL: Utilitarianism, 464a-b
241c-242a 49 DARWIN: Origin of Species, 119b
30 BACON: Adt;ancement of Learning, 2c-4o 53 JAMES: Psychology, 3b; 73b-78b; 93a; 295b-
32 MILTON: Paradise Lost,BK XII [576-65]331 b- 298a esp 296b; 774aj. 788a-789a esp 788b-
332a 789a; 790b-791aj 81Oa-b
S4 FREUD: General Introduction, 45Sb
6. The force of habit in human life
OLD TESTAMENT: Job, 20:II-13 / Proverbs, 22:6 / 6b. The contribution of habit to the perfection
Jeremiah, 13:23-(D) Jeremias, 13:23 of character and mind .
6 HERODOTUS: History, BK I, 35c-d; BK III, 97d- OLD TESTAMENT: Proverbs, 22:6 / Jeremiah, 13:23
98a; BK IV, 137a-138c -(D) Jeremias, 13:23
7 PLATO: Laws, BK VII, 716a-b; 717d-718d ApOCRYPHA: Ecclesiasticus, 30:8-(D) OT, Ec-
8 ARISTOTLE: Metaphysics, BK II, CH 3 [994b31- clesiasticus, 30:8
995"6] 513c S EURIPIDES:.Suppliants [857-917] 266a-b
9 ARISTOTLE: Ethics, BK II, CH I~ 348b,d-352d 6 THUCYDIDES: Peloponnesian War, BK II, 396d-
passim, ese CH. I [li03b22-25] 349b; BK VII, 397a
CH 5 [II48 15-1149a4] 399a-c; CH 10 [1152"28- 7 PLATO: Republic, BK III, 330a-331c; 333b-d;
33] 403b / Rhetoric, BK I, CH 10 [1368b28- . BK VII, 389d-390b; 391c-d / Timaeus, 474d-
1369b271 612a-613a esp [1369"1-7] 612a-b, 475d / Theaetetus, 518b I Laws, BKII, 653a-c
[1369b6-8] 612d, [1369bI6-19] 612d-613a 8 ARISTOTLE: Categories, CH 10 [13816-31] 18d
12 LUCRETIUS: Nature of Things, BKU! 1.307-3221 / Physics, BK VII, CH 3 [246810-24886] 3290-
34a-b 330d
6c to 7 CHAPTER 32: HABIT 681
9 ARISTOTLE: History of Animals, BK VII, CH I 51 TOLSTOY: War and Peace, BK V, 221b-d
[58Ibll-221107b / Ethics, BK I, CH 4 [109Sb4- 52 DOSTOEVSKY: Brothers Karamazov, BK VI,
I31340c-d; CH 9 345a-c; BK II, CH 1-6 348b,d- 164b-d
352d passim, esp CH I [II03b22-25] 349b; BK 53 JAMES: Psychology, 74a-78b; BOa
Ill, CH 5 [I I 14&3-10 ] 360a; BK x, CH 9 [1179&33-
IISo&32] 434a-435a / Politics, BK IV, CH II 7. The social significance of habit: habit in re-
[I295bI4-IS] 495d; BK VII, CH 13 [I332&39-bIO] lation to law
537a-b; CH 15 [I334b8-28] 539b-d; CH 17 6 HERODOTUS: History, BK I, 35c-d; BK III, 97d-
[1336a40_b38] 541c-542a 98a; BK IV, 137a-13&
12 EPICTETUS: Discourses, BK I, CH' 4 108d-llOa; 6 THUCYDIDES: Peloponnesian War, BK II, 396d-
BK II, CH 18 161a-162b; BK III, CH 3 178d- 397a
180a; CH I2 187b-188b; BK IV, CH I 213a- 7 PLATO: Republic, BK IV, 344b-345d; BK VII,
223d; CH 9 237d-238d 4Olc-d / Laws, BK VII, 713c-714c; 716a-b;
12 AURELIUS: Meditations, BK III, SECT 4 260b- 717d-718d
261a; BK v, ,SECT 16 271c-d; BK XI, SECT 26 8 ARISTOTLE: Metaphysics, BK II, CH 3 [994b3I-
306b 995&14] 513c '
18 AUGUSTINE: Christian Doctrine, BK I, CH 9-10 9 ARISTOTLE: Ethics, BK II, CH I [I 103b3-6]349a;
627a-b; CH 24, 630d-631a BK V, CH I [1I29bI9-24] 377a; BK X, CH 9
20 AQUINAS: Summa Theologica, PART I-II, Q 50, [II79&33-II8o&32] 434a-435a / Politics, BK II,
AA 4-S 9a-10d; Q 63, A 2 64b-65a; Q 92, A I, CH 8 [I269aI4-23] 465b; BK V, CH 9 [I3IOaI5-
REP I 213c-214c; A 2, REP 4 2l4d-215a,c IS] 512b-c; BK VII, CH 13 [I332a27-blO] 537a-b;
25 MONTAIGNE: Essays, 42b-43d; 63d-64b; 176c- BK VIII, CH I [I337aI9-27] 542b; CH 5 [1339&
177a; 202d-203a; 390b-c; 391c-393b; 525d- 21-25] 544c-d
527a 14 PLt'TARCH: Lycurgus, 38c; 48a-c / Lycurgus-
30 BACON: Advancement of Lear,ning, 69a-70a; Numa, 63d-64a
78d-81c 15 TACITUS: Annals, BK 1Il, 57d-58b
31 DESCARTES: Discourse, PART I, 41b; PART II, 20 AQVINAS: Summa Theologica, PART I-II, Q 92,
45b-46c; PART III, 48b-49d A I 213c-214c; A 2, REP 4 214d-215a,c; Q 94,
35 LOCKE: Human Understanding, BK II, CH XXI, A I 221a-d; Q 95, A 3 228c-229b; Q 96, AA 2-3
SECT 71 197b-198a; CH XXXIII, SECT 8 249c-d 231c-233a; Q 97, A 2 236d-237b; Q 100, A 12
35 HUME: Human Understanding, SECT v, DIV 014- 264d-265d; Q 106, A 2 322b-323a
45, 469b-c; SECT IX, DIV 83-84 487c-488b 21 DANTE: Divine Comedy, PURGATORY, XVI [85-
38 ROUSSEAU: Inequality, 347a-b 114177d-78a
39 SMITH: Wealth of Nations, BK I, 7d-8b 25 MONTAIGNE: Essays, 42b-51a; 131b-132a;
42 KANT: Pure Reason, 223a-d / Pref. Metaphysi- 463b-d
cal Elements of Ethics, 368d ' 30 BACON: Novum Organum, BK I, APH 41-43
43 MILL: Utilitarianism, 464a-d 109c-llOa
44 BOSWELL: Johnson, 259a 31 DESCARTES : Discourse, PART II, 45b-46e; PART
46 HEGEL: Philosophy of Right, ADDITIONS, 96-97 III, 48b-49d
132c-133a 36 STERNE: Tristram Shandy, 380a
49 DARWIN: Descent of Man, 305a; 310d-314a 38 MONTESQUIEU: Spirit of Laws, BK VI, 39a;
passim, esp 313d-3l4a; 322a; 322d; 592b-593b BK X, 65c; BK XIV, 106b; BK XIX, 135a-142a;
esp 593a BK XXIII, 197c-198a
51 TOLSTOY: War and Peace, BK I, 47b-48d; BK 38 ROUSSEAU: Inequality, 324d; 347a-b / Social
IX, 369c-d; BK XIV, 605b-d Contract, BK II, 402b-e; 406e-d; BK IV, 434b-
53 JAMES: Psychology, 78b-83besp 81b-83b; 435a
331b-332b; 433a-434a; 7llb-712a; 751b-752a; 39 SMITH: Wealth of Nations, BK I, 7d-8b
760a-b 40 GIBBON: Decline and Fall, 464d
54 FREUD: War and Death, 757dc759d / New 41 GIBBON: Decline and Fall, 125a; 227b
Introductory Lectures, 844b-c; 870a-b 42 KANT: Intro. Metaphysic of Morals, 383a-b
43 FEDERALIST: NUMBER 27, 95c-d
6c. Habit and freedom 43 MILL: Liberty, 305b-312a passim I Repre-
18 AUGUSTINE: Confessions, BK VIII, par 10 55c-d sentative Government, 329d-330a; 330d-331a /
19 AQUINAS: Summa Theologica, PART I, Q 83, Utilitarianism, 464e-d
A I, REP 5 436d-438a; A 2, ANS 438a-d 46 HEGEL: Philosophy of Right, PART III, par 151-
38 MONTESQUIEU: Spirit of Laws, BK XIX, 142a 152 57a-b; ADDITIONS, 97 132e-133a / Philoso-
42 KANT: Pref. Metaphysical Elements of Ethics, phy of History, PART II, 271d-272d; PART IV,
378a-b 36sb-e
43 MILL: Utilitarianism, 464a-d 49 DARWIN: Descent of Man, 30sa; 317b-d'
46 HEGEL: Philosophy of Right, ADDITIONS, 97 50 MARX: Capital, 235a-236e
132c-133a / Philosophy ofHistory, INTRO, 171 b- 51 TOLSTOY: War and Peace, BK VIII, 303a-30sb;
172b BK XI, 49ge-sOOc
49 DARWIN: Descent of Man, 288b-d 53 JAMES: Psychology, 79b-80a
682 THE GREAT IDEAS
CROSS-REFERENCES
For: Terms of fundamental relevance to the conception of habit, see BEING 7C--'7C(3); MATTER 2a;
MIND 2b; NATURE 2C.
The psychological analysis of the faculties or powers in which habits are situated, see ANIMAL
la-la(3); LIFE 3; MAN 4-4d; SOUL 2C-2C(3); VIRTUE AND VICE 2a.
Other discussions of instinct, see ANIMAL Id; DESIRE 3a; EMOTION IC; EVOLUTION 3b;
SENSE 3d(3)'
Consideration of the factors involved in the formation or breaking of habits, see EDUCATION
3-6; LAW 6d; VIRTUE AND VICE 4-4d(4)'
The role of habit in the theory of virtue, see VIRTUE AND VICE Ie; for other discussions of the
intellectual virtues, see ART I; MIND 4c, 4e-4f; PRUDENCE I-2C; SCIENCE la( I); VIRTUE AND
VICE 2a, 2a(2); WISDOM 2a; for other discussions of the moral virtues, see COURAGE I, 4;
JUSTICE IC-Id; TEMPERANCE I-Ib; VIRTUE AND VICE 2a-2a(I), 3b; for other discussions
of the theological virtues, see KNOWLEDGE 6c(S); LOVE Sb-Sb(2); MIND sc; RELIGION Ia;
VIRTUE AND VICE 2b, 8d-8d(3); and for other discussions of the infused virtues and the
supernatural gifts, see MIND 4f, sc; VIRTUE AND VICE 8e.
Matters relevant to grace as an entitative habit, see GOD 7d; MAN 9b(2); NATURE 6b; SIN
3c, 4d, 7; VIRTUE AND VICE 8b; WILL 7e(2).
Other considerations of the natural habits of the mind, see JUDGMENT 8a; KNOWLEDGE 6C(2)-
6c(4); LAW ~; MIND 4d(2)-4d(3); PRINCIPLE 2b(2), 3a(I), 4; VIRTUE AND VICE 4a.
The relation of habit to freedom, see WILL 3a(2).
The relation of habit to custom and law, see CUSTOM AND CONVENTION 2, 6b; LAW Sf, 6d.
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
T HE great questions about happiness are
concerned with its definition and its attain-
pirical, "for it is only by experience," he says,
"that I can learn either what inclinations exist
ability. In what does happiness consist? Is it the which desire satisfaction, or what are the natu-
same for all men, or do different men seek dif- ral means of satisfying them." Such empirical
ferent things in the name of happiness? Can knowledge "is available for each individual in
happiness be achieved on earth, or only here- his own way." Hence there can be no universal
after? And if the pursuit of happiness is not a solution in terms of desire of the problem of
futile quest, by what means or steps should it how to be happy. To reduce moral philosophy
be undertaken? to "a theory of happiness" must result, there-
On all these questions, the great books set fore, in giving up the search for ethical prin-
forth the fundamental inquiries and specula- ciples which are both universal and a priori.
tions, as well as the controversies to which they In sharp opposition to the pragmatic rule,
have given rise, in the tradition of western Kant sets the "moral or ethical law," the mo-
thought. There seems to be no question that tive of which is not simply to be happy, but
men wan t happiness. "Man wishes to be happy, " rather to be worthy of happiness. In addition to
Pascal writes, "and only wishes to be happy, being a categorical imperative which imposes
and cannot wish not to be so." To the ques- an absolute obligation upon tis, this law, he says,
tion, what moves desire? Locke thinks only "takes no account of our desires or the means of
one answer is possible: "happiness, and that satisfying them." Rather it "dictates how we
alone." ought to act in order to destrve happiness." It
But this fact, even if it goes undisputed, does is drawn from pure reason, not from experience,
not settle the issue whether men are right in and therefore has the universality of an a priori
governing their lives with a view to being or principle, without which, in Kant's opinion, a
becoming happy. There is therefore one further genuine science of ethics-or metaphysic of
question. Should men make happiness their morals-is impossible.
goal and direct their acts accordingly? With the idea of moral worth-that which
According to Kant, "the principle of private alone deserves happiness-taken away, "happi-
happiness" is "the direct opposite of the prin- ness alone is," according to Kant, "far from
ciple of morality." He understands happiness being the complete good. Reason does not ap-
to consist in "the satisfaction of all our desires: prove of it (however much inclination may
extensive, in regard to their multiplicity; inten- desire it) except as united with desert. On the
sive, in regard to their degree; protensive, in other hand," Kant admits, "morality alone,
regard to their duration." What Kant calls the and, with it, mere desert. is likewise far from
"pragmatic" rule of life, which aims at happi- being the complete good." These two things
ness, "tells us what we have to do, if we wish to must be united to constimte the true summum
become possessed of happiness." bonum which, according to Kant, means both
Unlike the moral law, it is a hypothetical, the supreme and the complete good. The man
not a categorical, imperative. Furthermore, "who conducts himself in a manner not un-
Kant points out that such a pragmatic or utili- worthy of happiness, must be able to hope for
tarian ethics (which is for him the same as an the possession of happiness."
"ethics of happiness") cannot help being em- But even if happiness combined with moral
684
CHAPTER 33: HAPPINESS 685
worth does constitute the supreme good, Kant whether all who seek happiness look for it or
still refuses to admit that happiness, as a prac- find it in the same things.
tical objective, can function as a moral prin- Holding that a definite conception of happi-
ciple. Though a man can hope to be happy only ness cannot be formulated, Kant thinks that
if under the moral law he does his duty, he happiness fails even as a pragmatic principle of
should not do his duty with the hope of thereby conduct. "The notion of happiness is so in-
becoming happy. "A disposition," he writes, definite," he writes, "that although every man
"which should require the prospect of happi- wishes to attain it, yet he never can say defi-
ness as its necessary condition, would not be nitely and consistently what it is that he really
moral, and hence also would not be worthy of wishes." He cannot "determine with certainty
complete happiness." The moral law commands what would make him truly happy; because to
the performance of duty unconditionally. Hap- do so he would need to be omniscient." If this
piness should be a consequence, but it cannot is true of the individual, how various must be
be a condition, of moral action. the notions of happiness which prevail among
In other ,words, happiness fails for Kant to men in general.
impose any moral obligation or to provide a Locke plainly asserts what is here implied,
standard of right and wrong in human conduct. namely, the fact that "everyone does not place
No more than pleasure can happiness be used his happiness in the same thing, or choose the
as a first principle in ethics, if morality must same way to it." But admitting this fact does
avoid all calculations of utility or expediency not prevent Locke from inquiring how "in
whereby things are done or left undone for the matters of happiness and misery ... men come
sake of happiness, or any other end to be often to prefer the worse to the better; and to
enjoyed. choose that which, by their own confession, has
made them miserable." Even though he de-
THIS ISSUE BETWEEN an ethics of duty and an clares that "the same thing is not good to every
ethics of happiness, as well as the conflict it man alike," Locke thinks it is possible to ac-
involves between law and desire as sources of count "for the misery that men often bring on
morality, are considered, from other points of themselves" by explaining how the individual
view, in the chapters on DESIRE and DUTY, and may make errors in judgment-"how things
again in GOOD AND EVIL where the problem of come to be represented to our desires under
the summum bonum is raised. In this chapter, deceitful appearances ... by the judgment pro-
we shall be concerned with happiness as an nouncing wrongly concerning them."
ethical principle, and therefore with the prob- But this applies to the individual only. Locke
lems to be faced by those who, in one way or does not think it is possible to show that when
another, accept happiness as the supreme good two men differ in their notions of happiness,
and the end of life. They may see no reason to one is right and the other wrong. "Though all
reject moral principles which work through men's desires tend to happiness, yet they are
desire rather than duty. They may find nothing not moved by the same object. Men may choose
repugnant in appealing to happiness as the ul- different things, and yet all choose right." He
timate end which justifies the means and de- does not quarrel with the theologians who, on
termines the order of all other goods. But they the basis of divine revelation, describe the eter-
cannot make happiness the first principle of nal happiness in the life hereafter which is to be
ethics without having to face many questions enjoyed alike by all who are saved. But revela-
concerning the nature of happiness and its tion is one thing, and reason another.
relation to virtue. With respect to temporal happiness on earth,
Discussion begins rather than ends with the reason cannot achieve a definition of the end
fact that happiness is what all men desire. Once that has the certainty of faith concerning sal-
they have asserted that fact, once they have vation. Hence Locke quarrels with "the philos-
made happiness the most fundamental of all ophers of old" who, in his opinion, vainly sough t
ethical terms, writers like Aristotle or Locke, to define the summum bonum or happiness in
Aquinas or Mill, cannot escape the question such a way that all men would agree on what
686 THE GREAT IDEAS'
happiness is; or, if they failed to, some would be should seek must be something appropriate to
in error and misled in their pursuit of happiness. the humanity which is common to them all,
. It may be wondered, therefore, what Locke rather than something determined by their
means by saying that there is a science of what individually differing needs or temperaments.
man ought to do "as a rational and voluntary If it were the latter, then Aristotle and Aquinas
agent for the attainment of ... happiness." He would admit that questions about what men
describes ethics as the science of the "rules and should do to achieve happiness would be an-
measures of human actions, which lead to hap- swerable only by individual opinion or personal
piness" and he places "morality amongst the preference, not by scientific analysis or demon-
sciences capable of demonstration, wherein ... stration.
from self-evident propositions, by necessary With the exception of Locke and perhaps to
consequences, as incon testable as those in ma the- a less extent Mill, those who think that a science
matics, the measures of right and wrong might of ethics can be founded on happiness as the
be made out, to anyone that will apply him- first principle tend to maintain that there can
self with the same indifferency and attention be only one right conception of human happi-
to the one, as he does to the other of these ness. They regard other notions as misconcep-
.
sciences. " tions which may appear to be, but are not really
the summum bonum. The various definitions of
THE ANCIENT philosophers with whom Locke happiness which men have given thus present
disagrees insist that a science of ethics depends the problem of the real and the apparent good,
on a first principle which is self-evident in the the significance of which is considered in the
same way to all men. Happiness is not that chapter on GOOD AND EVIL.
principle if the content of happiness is what
each man thinks it to be; for if no universally IN THE EVERYDAY discourse of men there seems
applicable definition of happiness can be given to be a core of agreement about the meaning of
-if when men differ in their conception of the words "happy" and "happiness." This com-
what constitutes happiness, one man may be as mon understanding has been used by philoso-
right as another-then the fact that all men phers like Aristotle and Mill to test the ade-
agree upon giving the name "happiness" to quacy of any definition of happiness.
what they ultimately want amounts to no When a man says "I feel happy" he is saying
more than a nominal agreement. Such nominal that he feels pleased or satisfied-that he has
agreement, in the opinion of Aristotle and what he wants. When men contrast tragedy
Aquinas, does not suffice to establish a science and happiness, they have in mind the quality a
of ethics, with rules for the pursuit of happiness life takes from its end. A tragedy on the stage,
which shall apply universally to a:ll men. in fiction, or in life is popularly characterized
On their view, what i~ truly human happi- as "a story without a happy ending." This ex-
ness must be the same for all men. The reason, presses the general sense that happiness is the
in the words of Aquinas, is that '''all men agree quality of a life which comes out well on the
in their specific nature." It is in terms of their whole despite difficulties and vicissitudes along
specific or common nature that happiness can the way. Only ultimate defeat or frustration
be objectively defined. Happiness so conceived is tragic.
is a common end for all, "since nature tends to There appears to be some conflict here be-
one thing only." tween feeling happy at a given moment and
It may be granted that there are in fact many being happy for a lifetime, that is, living hap-
different opinions about what constitutes hap- pily. It may be necessary to choose between
piness, but it cannot be admitted that all are having a good time and leading a good life.
equally sound without admitting a complete Nevertheless, in both uses of the word "happy"
relativism in moral matters. That men do infoct there is the connotation of satisfaction. When
seek different things under the name of happi- men say that what they want is happiness, they
ness does not, according to Aristotle and Aqui- imply that, having it, they would ask for noth-
nas, alter the truth that the happiness they ing more. If they are asked why they want to be
CHAPTER 33: HAPPINESS 687
happy, they find it difficult to give any reason "The utilitarian doctrine," he writes, "is that
except "for its own sake." They can think of happiness is desirable, and the only thing de-
nothing beyond happiness for which happiness sirable as an end; all other things being only
serves as a means or a preparation. This aspect desirable as means." No reason can or need be
of ultimacy or finality appears without quali- given why this is so, "except that each person,
fication in the sense of happiness as belonging so far as he believes it to be a ttainable, desires
to a whole life. There is quiescence, too, in the his own happiness." This is enough to prove
momentary feeling of happiness, but precisely that happiness is a good. To show that it is the
because it does not last, it leaves another and good, it is "necessary to show, not only that
another such moment to be desired. people desire happiness, but that they never
Observing these facts, Aristotle takes the desire anything else."
word "happiness" from popular discourse and Here Mill's answer, like Aristotle's, pre-
gives it the technical significance of ultima te supposes the rightness of the prevailing sense
good, last end, or summum bonum. "The chief that when a man is happy, he has everything
good," he writes, "is evidently something fi- he desires. Many things, Mill admits, may be
nal. ... Now we call that which is in itself desired for their own sake, but if the possession
worthy of pursuit more final than that which is of anyone of these leaves something else to be
worthy of pursuit for the sake of something desired, then it is desired only as a part of hap-
else, and that which is never desirable for the piness. Happiness is "a concrete whole, and
sake of something else more final than the things these are some of its parts .... Whatever is
that are desirable both in themselves and for desired otherwise than as a means to some end
the sake of that other thing. Therefore, we call beyond itself, and ultimately to happiness, is
final without qualification that which is always desired as itself a part of happiness, and is not
desirable in itself and never for the sake of desired for itself un til it has become so."
something else. Such a thing happiness, above
all else, is held to be; for this we choose always THERE ARE OTHER conceptions of happiness.
for itself and never for the sake of something It is not always approached in terms of means
else. " and ends, utility and enjoyment or satisfaction.
The ultimacy of happiness ,can also be ex- Plato, for example, identifies happiness with
pressed in terms of its completeness or suffi- spiritual well-being-a harmony in the soul,
ciency. It would not be true that happiness is an inner peace which results from the proper
desired for its own sake and everything else for order of all the soul's parts.
the sake of happiness, if the happy man wanted Early in the Republic, Socrates is challenged
something more. The most obvious mark of the to show that the just man will be happier than
happy man, according to Aristotle, is that he the unj ust man, even if in all externals he seems
wants for nothing. The happy-life leaves noth- to be at a disadvantage. He cannot answer this
ing to be desired. It is this insight which Boe- question until he prepares Glaucon for the in-
thius later expresses in an oft-repeated char- sight that justice is "concerned not with the
acterization of happiness as "a life made perfect outward man, but with the inward." He can
by the possession in aggrega te of all good things." then explain that "the just man does not permit
So conceived, happiness is not a particular good the several elements within him to interfere
itself, but the sum of goods. "If happiness were with one another. ... He sets in order his own
to be counted as one good among others," inner life, and is his own master and his own
Aristotle argues, "it would clearly be made law, and is at peace with himself."
more desirable by the addition of even the In the same spirit Plotinus asks us to think
least of goods." But then there would be some- of "two wise men, one of them possessing all
thing left for the happy man to desire, and that is supposed to be naturally welcome, while
happiness would not be "something final and the other meets only with the very reverse."
self-sufficient and the end of action." He wants to know whether we would "assert
Like Aristotle, Mill appeals to the common that they have an equal happiness." His own
sense of mankind for the ultimacy of happiness. answer is that we should, "if they are equally
688 THE GREAT IDEAS
wise .. [even] though the one be favored in cessful achievement in later life, will find it
body and in all else that does not help towards hard to obtain happiness." The opposite of
wisdom." We are likely to misconceive happi- happiness is not tragedy but neurosis. In con-
ness, Plotinus thinks, if we consider the happy trast to the neurotic, the happy man has found
man in terms of our own feebleness. "We count a way to master his inner conflicts and to be-
alarming and grave what his felicity takes come well-adjusted to his environment.
lightly; he would be neither wise nor in the The theory of happiness as mental health or
state of happiness if he had not quitted all spiritual peace may be another way of seeing
trifling with such things." the self-sufficiency of happiness,' in which all
According to Plotinus, "Plato rightly taught striving comes to rest because all desires are
that he who is to be wise and to possess happi- fulfilled or quieted. The suggestion of this point
ness draws his good from the Supreme, fixing is found in the fact that the theologians con-
his gaze on That, becoming like to That, living ceive beatitude, or supernatural happiness, in
by That ... All else he will attend to only as both ways. For them it is both an ultimate end
he might change his residence, not in expecta- which satisfies all desires and also a state of
tion oEany increase in his settled felicity, but peace or heavenly rest.
simply in a reasonable attention to the differing "The ultimate good," Augustine writes, "is
conditions surrounding him as he lives here or that for the sake of which other things are to
there." If he "meets some turn of fortune that be desired, while it is to be desired for its own
he would not have chosen, there is not the sake"; and, he adds, it is that by which the good
slightest lessening of his happiness for that." "is finished, so that it becomes complete"-all-
Like Plato, Plotinus holds that nothing ex- satisfying. But what is this "final blessedness,
ternal can separate a virtuous man from happi- the ultimate consummation, the unending
ness-that no one can injure a man except end"? It is peace. "Indeed," Augustine says,
himself. "we an: said to be blessed when we have such
The opposite view is more frequently held. peace as can be enjoyed in this life; but such
In his argument with Callicles in the Gorgias, blessedness is mere misery compared to that
Socrates meets with the proposition that it is final felicity," which can be described as "either
better to injure others than to be injured by peace in eternal life or eternal life in peace."
them. This can be refuted, he thinks, only if
Callicles can be made to understand that the THERE MAYBE differences of another kind
unjust or vicious man is miserable in himself, among those who regard happiness as their ul-
regardless of his external gains. The funda- timate end. Some.men identify happiness with
mental principle, he says, is that "the happy the possession of one particular type of good-
are made happy by the possession of justice and wealth or health, pleasure or power, knowledge
temperance and the miserable miserable by the or virtue, honor or friendship-or, if they do
possession of vice." Happiness is one with not make one or another of these things the
justice because justice or virtue in general is only component of happiness, they make it
"the health and beauty and well-being of the supreme. The question of which is chief among
soul." the various goods that constitute the happy life
This association of happiness with health- is the problem of the order of goods, to which
the one a harmony in the soul as the other is a we shall return presently. But the identification
harmony in the body-appears also in Freud's of happiness with some one good, to the exclu-
consideration of human well-being. For Freud, sion or neglect of the others, seems to violate
the ideal of health, not merely bodily health the meaning of happiness on which there is such
but the health of the whole man, seems to iden- general agreement. Happiness cannot be that
tify happiness with peace of mind. "Anyone which leaves nothing to be desired if any good
who is born with a specially unfavorable in- -anything which is in any way desirable-is
stinctual constitution," he writes, "and whose overlooked.
libido-componen ts do not go through the trans- But it may be said that the miser desires
formation and modification necessary for suc- nothing but gold, and considers himself happy
CHAPTER 33: HAPPINESS 689
when he possesses a hoard. That he may con- is happy; since nothing satisfies man's natural
sider himself happy cannot be denied. Yet this desire, except the perfect good which is Happi-
does not prevent the moralist from considering ness. But if we understand it of those things
him deluded and in reality among the unhappi- that man desires according to the apprehension
est of men. The difference between such illusory of reason," Aquinas continues, then "it does
happiness and the reality seems to depend on not belong to Happiness to have certain things
the distinction between conscious and natural that man desires; rather does it belong to un-
desire. According to that distinction, considered happiness, in so far as the possession of such
in the chapter on DESIRE, the miser may have things hinders a man from having all that he
all that he consciously desires, but lack many desires naturally." For this reason, Aquinas
of the things toward which his nature tends and points out, when Augustine approved the state-
which are therefore objects of natural desire. ment that "happy is he who has all he desires,"
He may be the unhappiest of men if, with all he added the words "provided he desires nothing
the wealth in the world, yet self-deprived of amiss."
friends or -knowledge, virtue or even health, As men have the same complex nature, so
his exclusive interest in one type of good leads they have the same set of natural desires. As
to the frustration of many other desires. He they have the same natural desires, so the real
may not consciously recognize these, but they goods which can fulfill their needs comprise the
nevertheless represent needs of his nature same variety for all. As different natural de-
demanding fulfillment. sires represent different parts of human nature
As suggested in the chapter on DESIRE, the -lower and higher-so the several kinds of
relation of natural law to natural desire may good are not equally good. And, according to
provide the beginning, at least, of an ans\ver to Aquinas, if the natural object of the human
Kant's objection to the ethics of happiness on will "is the universal good," it follows that
the ground that its principles lack universality "naught can satisfy man's will save the univer-
or the element of obligation. The natural moral sal good." This, he holds, "is to be found, not
law may command obedience at the same time in any created thing, but in God alone."
that it directs men to happiness as the satisfac- We shall return later to the theologian's con-
tion of all desires which represent the innate ception of perfect happiness as consisting in the
tendencies of man's nature. The theory of natu- vision of God in the life hereafter. The happi-
ral desire thus also has a bearing on the issue ness of this earthly life (which the philosopher
whether the content of happiness must really considers) may be imperfect by comparison,
be the same for all men, regardless of how it but such temporal felicity as men can attain is
may appear to them. no less determined by natural desire. If a man's
Even if men do not identify happiness with undue craving for one type of good can inter-
one type of good, but see it as the possession of fere wi th his possession of another sort of good,
every sort of good, can there be a reasonable then the various goods must be ordered accord-
difference of opinion concerning the types of ing to their worth; and this order, since it re-
good which must be included or the order in flects natural desire, must be the same for all
which these several goods should be sought? men. In such terms Aristotle seems to think it
A negative answer seems to be required by the possible to argue that the reality of happiness
view that real as opposed to apparent goods can be defined by reference to human nature
are the objects of natural desire. and that the rules for achieving happiness can
Aquinas, for example, admits that "happy is have a certain universality-despite the fact
the man who has all he desires, or whose every that the rules must be applied by individuals
wish is fulfilled, is a good and adequate defi- differently to the circumstances of their own
nition" only "if it be understood in a certain lives. No particular good should be sought ex-
way." It is "an inadequate definition if under- cessively or out of proportion to others, for the
stood in another. For if we understand it simply penalty of having too much of one good thing
of all that man desires by his natural appetite, is deprivation or disorder with respect to other
then it is true that he who has all that he desires goods.
690 THE GREAT IDEAS
THE RELATION OF happiness to particular goods nit ion of happiness as "activitv in accordance
raises a whole series of questions, each peculiar with virtue."
to the type of good under consideration. Of This defini tion raises difficulties of still an-
these, the most insistent problems concern pleas- other order. As the chapter on VIRTUE AND
ure, knowledge, virtue, and the goods of VICE indicates, there are for Aristotle two kind~
fortune. of virtue, moral and intellectual, the one con-
With regard to pleasure, the difficulty seems cerned with desire and social conduct, the other
to arise from two meanings of the term which with thought and knowledge. There are also
are more fully discussed in the chapter on two modes of life, sometimes called the active
PLEASURE AND PAIN. In one of these meanings and the contemplative, differing as a life de-
pleasure is an object of desire, and in the other voted to political activity or practical tasks
it is the feeling of satisfaction which accom- differs from a life occupied largely with theo-
panies the possession of objects desired. It is in retic problems in the pursuit of truth or in the
the latter meaning that pleasure can be identi- consideration of what is known. Are there two
fied with happiness or, at least, be regarded as kinds of happiness then, belonging respectively
its correlate, for if happiness consists in the pos- to the political and the specula ti ve life? Is one
session of all good things it is also the sum total a better kind of happiness than another? Does
of attainable satisfactions or pleasures. Where the practicalsort of happiness require intellec-
pleasure means satisfaction, pain means frus- tual as well as moral virtue? Does the specu-
tration, not the sensed pain of injured flesh. lative sort require both also?
Happiness, Locke can therefore say, "is the In trying to answer these questions, and gen-
utmost pleasure we are capable of'; and Mill erally in shaping his definition of happiness,
can define it as "an existence exempt as far Aristotle considers the role of the goods of for-
as possible from pain, and as rich as possible tune, such things as health, wealth, auspicious
in enjoyments." Nor does Aristotle object birth, native endowments of body or mind, and
to saying that the happy life "is also in itself length of life. These gifts condition virtuous
pleasant. " activity or may present problems which virtue
But unlike Locke and Mill, Aristotle raises is needed to solve. But to the extent that hav-
the question whether all pleasures are good, and ing or not having them is a matter of fortune,
all pains evil. Sensuous pleasure as an object they are not within a man's control-to get,
often conflicts with other objects of desire. And keep, or give up. If they are indispensable,
if "pleasure" means satisfaction, there can be happiness is precarious, or even unattainable
conflict among pleasures, for the satisfaction of by those who are unfortunate. In addition, if
one desire may lead to the frustration of another. the goods of fortune are indispensable, the defi-
At this point Aristotle finds it necessary to in- nition of happiness must itself be qualified.
troduce the principle of virtue. The virtuous More is required for happiness than activity in
man is one who finds pleasure "in the things accordance with virtue.
that are by nature pleasant." The virtuous man "Should we not say," Aristotle asks, "that he
takes pleasure only in the right things, and is is happy who is active in accordance with com-
willing to suffer pain for the right end. If pleas- plete virtue and is sufficiently equipped with
ures, or desires and their satisfaction, can be external goods, not for some chance period but
better or worse, there must be a choice among throughout a complete life? Or must we add
them for the sake of happiness. Mill makes this 'and who is destined to live thus and die as
choice depend on a discrimination between befits his life'? ... If so, we shall call happy
lower and higher pleasures, not on virtue. He those among living men in whom these condi-
regards virtue merely as one of the parts of tions are, and are to be, fulfilled-but happy
happiness, in no way different from the others. men."
But Aristotle seems to think that virtue is the
principal means to happiness because it regu- THE CONSIDERATION of the goods of fortune has
lates the choices which must be rightly made in led to diverse views about the attainability of
order to obtain all good things; hence his defi- happiness in this life. For one thing, they may
CHAPTER 33: HAPPINESS 691
act as an obstacle to happiness. Pierre Bezukhov the leisure necessary for the political or specu-
in War and Peace learned, during his period of lative life open to those of auspicious birth.
captivity, that "man is created for happiness; Even as the man who is a slave belongs wholly
tha t happiness lies in himself, in the sa tisfaction to another man, so the highest good of his life
of his natural human cravings; that all unhappi- lies in his contribution to the happiness of that
ness arises not from privation but from super- other.
fluity." The question whether happiness can be
The vicissitudes of fortune seem to be what achieved by all normal human beings or only by
Solon has in mind when, as reported by Herod- those gifted with very special talents, depends
otus, he tells Croesus, the king of Lydia, that for its answer in part on the conception of
he will not call him happy "until I hear that happiness itself. Like Aristotle, Spinoza places
thou has closed thy life happily ... for often- happiness in intellectual activity of so high an
times God gives men a gleam of happiness, and order that the happy man is almost godlike;
then plunges them into ruin." For this reason, and, at the very end of his Ethics, he finds it
in judging of happiness, as "in every matter, necessary to say that the way to happiness
it behoves us to mark well the end." "must indeed be difficult since it is so seldom
Even if it is possible to call a man happy while discovered." Nevertheless, "true peace of soul"
he is alive-on the ground that virtue, which can be found by the rare individual. "All noble
is within his power, may be able to withstand things are as difficult as they are rare." In con-
anything but the most outrageous fortune-it trast, a statement like Tawney's-that "if a
is still necessary to define happiness by refer- man has important work to do, and enough
ence to a complete life. Children cannot be leisure and income to enable him to do it prop-
called happy, Aristotle holds, because their erly, he is in possession of as much happiness as
characters have not yet matured and their lives is good for any of the children of Adam"-
are still too far from completion. To call them seems to make happiness available to more than
happy, or to call happy men of any age who the gifted few.
still may suffer great misfortune, is merely to Whether happiness is attainable by all men,
voice the hopes we have for them. "The most even on Tawney's definition, may also depend
prosperous," Aristotle writes, "may fall into on the economic system and the political con-
great misfortunes in old age, as is told of Priam stitution, to the extent that they determine
in the Trojan cycle; and one who has experi- whether all men will be gran ted the opportuni ty
enced such chances and has ended wretchedly and the leisure to use whatever talents they
no one calls happy." have for leading a decent human life. There
Among the goods of fortune which seem to seems to be a profound connection between
have a bearing on the attainment of happiness, conceiving happiness in such a way that all
those which constitute the individual nature of normal men are capable of it and insisting that
a human being at birth-physical traits, tem- all normal men deserve political status and eco-
perament, degree of intelligence-may be un- nomic liberty. Mill, for example, differs from
altera ble in the course of life. If certain in- Aristotle on both scores.
herited conditions either limit the capacity for
happiness or make it completely unattainable, DIFFERING FROM the position of both Aristotle
then happiness, which is defined as the end of and Mill is the view that happiness is an illusory
man, is not the summum bonum for all, or not goal-that the besetting ills of human life as
for all in the same way. well as the frailty of men lead inevitably to
In the Aristotelian view, for example, women tragedy. The great tragic poems and the great
cannot be happy to the same degree or in the tragedies of history may, of course, be read as if
same manner as men; and natural slaves, like they dealt with the exceptional case, but an-
beasts, have no capacity for happiness at all, other interpretation is possible. Here writ large
though they may participate in the happiness in the life of the hero, the great or famous man,
of the masters they serve. The theory is that is the tragic pattern of human life which is the
through serving him, the slave gives the master lot of all men.
692 THE 'GREAT IDEAS
Sophocles seems to be saying this, when he pursued rather than enjoyed. On earth and in
writes in Oedipus at Colonus: "Not to be born time, man does not seem able to come to rest in
is, past all prizing, best; but, when a man hath any final satisfaction, with all his desires quieted
seen the light, this is next best by far, that with at once and forever by that vision of perfection
all speed he shouid go thither, whence he hath which would deserve Faust's "Stay, thou art so
come. For when he hath seen youth go by,with fair!"
its light follies, what troublous affiiction is
strange to his lot, what suffering is not therein? As ALREADY INTIMATED, the problem of human
-envy, factions, strife, battles, and slaughters; happiness takes on another dimension when it
and, last of all, age claims him for her own- is treated by the Christian theologians. Any
age, dispraised, infirm, unsociable, unfriended, happiness which men can have on earth and in
with whom all woe of woe abides." time is, according to Augustine, "rather the
Death is sometimes regarded as the symbol solace of our misery than the positive enjoy-
of tragic frustration. Sometimes it is not death, ment of felicity.
but the fear of death which overshadows life, "Our very righteousness," he goes on to say,
so that for Montaigne, learning how to face "though true in so far as it has respect to the
death well seems indispensable to living well. true good, is yet in this life of such a kind that
"The very felicity of life itself," he writes, it consists rather in the remission of sins than
"which depends upon the tranquility and con- in the perfecting of virtues.... For as reason,
tentment of a well-descended spirit, and the though subjected to God, is yet 'pressed down
resolution and assurance of a well-ordered soul, by the corruptible body,' so long as it is in this
ought never to be attributed to any man till he mortal condition, it has not perfect authority
has first been seen to play the last, and, doubt- over vice .... For though it exercises authority,
less, the hardest act of his part. There may be the vices do not submit without a struggle. For
disguise and dissimulation in all the rest ... however well one maintains the conflict, and
but, in this scene of death, there is no more however thoroughly he has subdued these ene-
counterfeiting: we must sp!!ak out plain and mies, there steals in some evil thing, which, if
discover what there is of good and clean in the it do not find ready expression in act, slips out
bottom of the pot." by the lips, or insinuates itself into the thought;
So, too, for Lucretius, what happiness men and therefore his peace is not full so long as he
can have depends on their being rid of the fear is at war with his vices."
of death through knowing the causes of things. Accepting the definition of happiness as the
But neither death nor the fear of death may be possession of all good things and the satisfaction
the crucial flaw. It may be the temporal char- of all desires, the theologians compare the suc-
acter of life itself. cessive accumulation of finite goods with the
I t is said that happiness consists in the pos- unchanging enjoyment of an infinite good. An
session of all good things. It is said that happi- endless prolongation of the days of our mortal
ness is the quality of a whole life, not the feeling life would not increase the chances of becoming
of satisfaction for a moment. If this is so, then perfectly happy, because time and change pe.r-
Solon's remark to Croesus can be given another mit no rest, no finality. Earthly happiness is
meaning, namely, that happiness is not some- therefore intrinsically imperfect.
thing actually enjoyed by a man at any mo- Perfect happiness belongs to the eternal life
ment of his life. Man can come to possess all of the immortal soul, completely at rest in the
good things only in the succession of his days, beatific vision, for in the vision of God the soul
not simultaneously; and so happiness is never is united to the infinite good by knowledge and
actually achieved but is always in the process love. In the divine presence and glory all the
of being achieved. When that process is com- natural desires of the human spirit are simul-
pleted, the man is dead, his life is done. taneously satisfied-the intellect's search for
It may still be true that to live well or vir- truth and the will's yearning for the good.
tuously-with the help of fortune-is to live "That final peace to which all our righteousness
happily, but so long as life goes on, happiness is has reference, and for the sake of which it is
CHAPTER 33: HAPPINESS 693
maintained," Augustine describes as "the feli- happiness according to the strict tenets of
city of a life which is done with bondage"-to Christian doctrine.
vice or conflict, to time and change. In contrast, Aquinas employs the conception of eternal
the best human life on earth is miserable with beatitude not only to measure the imperfection
frustrations and an ennui that human nature of earthly life, but also to insist that temporal
cannot escape. happiness is happiness at all only to the extent
The doctrine of immortality is obviously pre- that it is a remote participation of true and
supposed in the theological consideration of perfect happiness. It cannot be said of temporal
happiness. For Kant immortality is a necessary happiness that it "excludes every evil and ful-
condition of the soul's infinite progress toward fills every desire. In this life every evil cannot
the moral perfection, the holiness, which alone be excluded. For this present life is subject to
deserves perfect happiness. But for theologians many unavoidable evils: to ignorance on the
like Augustine and Aquinas, neither change nor part of the intellect; to inordinate affection on
progress play any part in immortal life. On the the part of the appetite; and to many penalties
contrary, the immortal soul finds its salvation on the part of the body .... Likewise," Aquinas
in eternal rest. The difference between motion continues, "neither can the desire for good be
and rest, between time and eternity, belongs to satiated in this life. For man naturally desires
the very essence of the theologian's distinction the good which he has to be abiding. Now the
between imperfect happiness on earth and goods of the present life pass away, since life
perfect happiness hereafter. itself passes away .... Wherefore it is impos-
These matters, of relevance to the theory of sible to have true happiness in this life."
happiness, are discussed in the chapters on If perfect happiness consists in "the vision of
ETERNITY and IMMORTALITY; and in the chap- the Divine Essence, which men cannot obtain
ter on SIN we find another religious dogma, that in this life," then, according to Aquinas, only
of original sin, which has an obvious bearing on the earthly life which somehow partakes of God
earthly happiness as well as on eternal salvation. has a measure of happiness in it. Earthly happi-
Fallen human nature, according to Christian ness, imperfect because of its temporal and
teaching, is incompetent to achieve even the bodily conditions, consists in a life devoted to
natural end of imperfect temporal happiness God-a kind of inchoate participation here and
without God's help. Milton expounds this doc- now of the beatific vision hereafter. On earth
trine of indispensable grace in Paradise Lost, in there can be only a beginning "in respect of
words which God the Father addresses to His that operation whereby man is united to God.
Son: ... In the present life, in as far as we fall short
Man shall not quite be lost, but sav'd who will, of the unity and continuity of that operation,
Yet not of will in him, but grace in me so do. we fall short of perfect happiness. Never-
Freely voutsaft; once more I will renew theless it is a participation of happiness; and so
His lapsed powers, though forfeit and enthrall'd much the greater, as the operation can be more
By sin to foul exorbitant desires;
Upheld by me, yet once more he shall stand continuous and more. one. Consequently the
On even ground against his mortal foe, active life whi~h is busy with many things, has
By me upheld, that he may know how frail less of happiness than the contemplative life,
His faWn condition is, and to me owe which is busied with one thing, i.e., the con-
All his deliv'rance, and to none but me. templation of truth."
God's grace is needed for men to lead a good When the theologians consider the modes of
life on earth as well as for eternal blessedness. life on earth in terms of the fundamental dis-
On earth, man's efforts to be virtuous require tinction between the secular and the religious,
the reinforcement of supernatural gifts-faith, or the active and the contemplative, they seem
hope, and charity, and the infused moral vir- to admit the possibility of imperfect happiness
tues. The beatific vision in Heaven totally ex- in either mode. In either, a devout Christian
ceeds the natural powers of the soul and comes dedicates every act to the glory of God, and
with the gift of added supernatural light. It through such dedication embraces the divine in
seems, in short, that there is no purely natural the passing moments of his earthly pilgrimage
694 THE GREAT IDEAS
OUTLINE OF TOPICS
PAGE
I. The desire for happiness: its naturalness and universality 695
2. The understanding of happiness: definitions and myths 696
2a. The marks of a happy man, the quality of a happy life
2b. The content of a happy life: the parts or constituents of happiness 697
(1) The contribution of the goods of fortune to happiness: wealth, health,
longevity
(2) Pleasure and happiness ~8
(3) Virtue in relation to happiness 699
(4) The role of honor in happiness
(5) The importance of friendship and love for happiness 700
(6) The effect of political power or status on happiness 701
(7) The function of knowledge and wisdom in the happy life: the place of
speculative activity and contemplation
5. The social aspects of happiness: the doctrine of the common good 704
sa. The happiness of the individual in relation to the happiness or good of other men 705
5b. The happiness of the individual in relation to the welfare of the state: happiness
in relation to government and diverse forms of government
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [26,)-283jI2d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves ofthe page. For example, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page "9. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-283J 12d.
BI BLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Dauay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
ten tl y ra ther than con tin uousl y in the work or passage ci ted.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: Matters most relevant to the general theory of happiness, see GOOD AND EVIL 3a, saj PLEAS-
URE AND PAIN 6-6b, 6d.
Particular goods or virtues which are related to happiness, see COURAGE Sj HONOR 2bj
KNOWLEDGE 8b(4); LOVE 3aj PRUDENCE 2aj TEMPERANCE 3; VIRTUE AND VICE Idj
WEALTH loa; WISDOM 2C; and for the discussion of means and ends in the order of goods,
see GOOD AND EVIL 4b, Sb-sc.
Other treatments of the conflict between an ethics of happiness and an ethics of duty. See
DUTY 2j PLEASURE AND PAIN 8b; PRINCIPLE 4-4b.
710 THE GREAT IDEAS
For: The bearing of natural desire on the pursuit of happiness, see DESIRE 2a, 3a, 7b; LOVE
sa-sa(I); WILL 7d.
The relation of happiness to death and the fear of death, see IMMORTALITY I; LIFE AND
DEATH Sa-8c.
Other considerations of individual happiness in relation to the state or the common good,
see GOOD AND EVIL Sd; STATE 2f.
Basic notions involved in the Christian doctrine of supernatural happiness or eternal beati-
tude, see ETERNITY 4d; GOD 6c(4), 7d, n; IMMORTALITY se-sg; LOVE sa(2); PUNISH-
MENT Sd, se(I); SIN 3C-3d, 4d, 6d, 7; VIRTUE AND VICE Sb, 8e; WILL 7e-7e(2).
Another discussion of the beatitude of God, see GOD 4h.
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
1. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the la~t chapter of The Great Ideas.
T. REID. Essays on the Active Powers of the Human
1. Mind, III, PART III, CH 1-4
PLUTARCH. "Of the Tranquillity of the Mind," BENTHAM. An Introduction to the Principles ofMorals
"Whether Vice is Sufficient to Render a Man Un- and Legislation, CH I
happy," in Moralia WORDSWORTH. The Prelude
AUGUSTINE. The Happy Lift SCHOPENHAUER. The World as Will and Idea, VOL I,
AQUINAS. Summa Contra Gentiles, BK I, CH 100-102; BK IV; VOL III, SUP, CH 45-50
BK III, CH 17-63 LEOPARDI. Essays, Dialogues, and Thoughts
DANTE. Convivio (The Banquet), FOURTH TREATISE, WHEW ELL. The Elements of Morality, BK II, CH
CH 12 25
- - . On World-Government or De Monarchia, BK KIERKEGAARD. Philosophical Fragments
III, CH 16 - - . Concluding Unscientific Postscript
HUME. An Inquiry Concernillg the Principles ofMorals LOTZE. Microcosmos, BK VIII, CH 2
A. SMITH. The Theory of Moral Sentiments, PART VI FLAUBERT. Madame Bovary
KANT. Lectures on Ethics EMERSON. The Conduct of Life
DOSTOEVSKY. Notes from Underground H. SIDGWICK. The Methods of Ethics, BK II, CH 1-6;
- - . The Idiot BK III, CH 14; BK IV
IBSEN. A Doll's House
II. NIETZSCHE. Beyond Good and Evil
CICERO. De Finibus (On the Supreme Good) - - . The Will to Power
- - . Tusculan Disputations, V HAUPTMANN. The Weavers
SENECA. De Beata Vita (On the Happy Lift) CHEKHOV. Three Sisters
SEXTUS EMPIRICUS. Against the Ethicists MANN. Buddenbrooks
- - . Outlines of Pyrrhonism, BK III, CH 21-32 DEWEY and TUFTS. Ethics, PART II, CH I4-I5
POMERIUS. The Contemplative Life MOORE. Principia Ethica, CH 2-3
BOETHIUS. The Consolation of Philosophy, BK III - - . Ethics, CH 1-2
ABAILARD. Ethics (Scito Teipsum) UNAMUNO. The Tragic Sense of Life
MAIMONIDES. The Guide for the Perplexed, PART III, B. RUSSELL. What I Believe, CH 4-5
CH 8-9 - - . Skeptical Essays, VIII
NICOLAS OF CUSA. The Vision of God A. E. TAYLOR. The Faith of a Moralist, SERIES I (9)
TERESA OF JESUS. The Way of Perfection KIRK. The Vision of God
SUAREZ. Disputationes Metaphysicae, xxx (II, 14) SANTAYANA. Some Turns of Thought in Modern
J()HN OF THE CROSS. Ascent of Mount Carmel Philosophy, CH 4
S. JOIiNSON. History of Rasselas MARITAIN. Scholasticism and Politics, CH VII
HUTCHESON. A System of Moral Philosophy ADLER. A Dialectic of Morals
VOLTAIRE. Candide LUBAc. Surnaturel
PALEY. Moral Philosophy, BK I, CH 6 O'CONNOR. The Eternal Quest
Chapter 34: HISTORY
INTRODUCTION
I N our language the term History," Hegel ob-
serves, "unites the objective with the sub-
Francis Bacon makes ,this distinction when he
divides history into "natural, civil, ecclesiasti-
jective side .... It comprehends not less what cal, and literary." Whereas the last three deal
has happened than the narration of what has hap- with human things, the first is concerned with
pened. This union of the two meanings we must the non-human part of the natural world. At
regard as of a higher order than mere outward the same. time, this natural history is not, in
accident; we must suppose historical narrations Bacon's judgment, the same thing as "natural
to have appeared contemporaneously with his- philosophy," or what we would now call "na-
torical deeds and events." tural science."
Our daily speech confirms Hegel's observa- In this set of great books, natural history,
tion that "history" refers to that which has hap- even cosmic history, makes its appearance in
pened as well as to the record of it. We speak of works which we ordinarily classify as science or
the history of a people or a nation, or of the philosophy; for example, Darwin's Origin of
great events and epochs of history; and we also Species, Lucretius' On the Nature of Things, or
call a history the book which gives a narrative Plato's Timaeus. The great books of history
account of these matters. deal with man and society, not nature or the
It is as if we used the word "physics" to name universe. For the most part this is true also of
both the object of study and the science of that the great philosophies of history. They, too, are
object; whereas normally we tend to use primarily concerned with human civilization,
"physics" for the science and refer to its sub- not the physical world.
ject matter as the physical world. We do not
say that matter in motion is physics, but that IN ITS ORIGINAL Greek root, the word "history"
it is the object of physics, one of the things a means research, and implies the act of judging
physicist studies. We might similarly have the evidences in order to separate fact from fic-
adopted the convention of using "history" in a tion. The opening line of Herodotus is some-
restricted sense to signify a kind of knowledge times translated not "these are the histories of
or a kind of writing, and then called the phe- Herodotus of Halicarnassus," but "these are
nomena written about or studied "historical" the researches ..."
but not "history." The word "research" can, of course, mean
That, however, is not the prevailing usage. any sort of inquiry-into what is the case as
The word "history" seems to have at least four well as into what has happened.The title of one
distinct meanings. I t refers to a kind of knowl- of Aristotle's biological works, the History of
edge. It refers to a type of literature. It means Animals, suggests that it is concerned with re-
an actual sequence of events in time, which searches about animals. The book does not deal
constitutes a process of irreversible change. with natural history; it is not a history of ani-
This can be either change in the structure of the mals in the sense of giving the stages of their
world or any part of nature, or change in human development in the course of time. The redun-
affairs, in society or civilization. dancy of "historical research" can therefore be
Historical knowledge and historical writing excused on the ground that it is necessary to
can be about natural history or human history. distinguish between two kinds of inquiry or re-
In his classification of the kinds of knowledge, search-scientific and historical.
711
712 THE GREAT IDEAS
Originally, research set the historian apart cerning the arrival of Helen at the court of Pro-
from the poet and the maker of myths or leg- teus.1t seems to me that Homer was acquainted
ends. They told stories, too; but only the'his- with this story, and while discarding it, be-
torian restricted himself to telling a'story based cause he thought it less adapted for epic poetry
on the facts ascertained by inquiry or research. than the version which he followed, showed
Herodotus deserves the title "father of history" that it was not unknown to him."
for having originated a style of writing whi"ch Herodotus cites passages in the Iliad and the
differs from poetry in this extraordinary re- Odyssey to corroborate this point. He is willing
spect. He tries to win the reader's belief not by to use the Homeric poems'as one source of in-
the plausibility of his narrative, but rather by formation, but not without checking them
giving the reader some indication of the sources against conflicting accounts. "I made inquiry,"
of information and the reliability of the evi- he writes, "whether the story which the Greeks
dence on which the narrative is based. tell about Troy is a fable or not." When he
The poet tries to tell a likely story, but the comes to the conclusion that Helen was never
historian tries to make credible statements within the walls of the city to which the Greeks
about particular past events. 'He makes an ex- laid siege for ten years, he tells the reader his
plicit effort to weigh the evidence himself or, as reasons for thinking so. Homer, however, when
Herodotus so frequently does, to submit con- he narrates Helen's actions during the siege,
flicting testimony to the reader's own judg- does not bother to establish the facts of the
ment. "Such is the account which the Persians Klatter or to give th:e reader cootrary versions
give of these matters," he writes, "but the of what took place. That is not the poet's task,
Phoenicians vary 'from the Persian sta tements"; as Herodotus recognizes. It belongs to the his-
or "th:is much I know from information given torian, not the poet. The story which may have
me by the Delphians; the remainder of the greater probability in fact may not be the bet-
story the Milesians add"; or "that these were ter story for the poet.
the real facts I learnt at Memphis from the
priests of Vulcan"; or "such is the truth of this SINCE HE IS BOTH an investigator and a story-
matter; I have also heard another account teller, the historian stands comparison with the
which I do not at all believe"; or again, "thus scientist in one respect and with the poet in
far I have spoken of Egypt from my own obser- another. The special character of history as a
vation, relating what I myself saw, the ideas kind of knowledge distinct from science or
that I formed, and the results of my own re- philosophy seems clear from its object-the
searches. What follows rests on accounts given singular or unique events of the past. The scien-
me by the Egyptians, which I shall now repeat, tist or philosopher is not concerned with what
adding thereto some particulars which fell un- has happened, but with the nature of things.
der my own notice." Particular events may serve as evidences for
Herodotus seems quite conscious of the dif- him, but his conclusions go beyond statements
ference between himself and Homer, especially of particular fact to generalizations about the
on those matters treated by the poet which fall way things are or happen at any time and place.
within his purview as an historian. The Trojan In contrast, the historian's research begins and
War lies in the background of the conflict with ends with particulars. He uses particulars di-
which Herodotus is directly concerned-the rectly observed by himself or testified to by
Persian invasion of Greece-for -the Persians others as the basis for circumstantial inference
"trace to the attack upon Troy their ancient to matters which caimot be established by di-
enmity towards the Greeks." rect evidence. The method ofinvestigation de-
Herodotus does not doubt that the siege of veloped by the early historians may be the pre-
Troy took place as Homer relates, but he learns cursor of scientific method, but the kind of
from the Egyptians a legend about the landing evidence and the mode of argument which we
of Paris and Helen on Egyptian soil and the de- find in Hippocrates or Plato indicate the diver-
ten tion of Helen: by Proteus, king of Memphis. gence of the scientist and philosopher from the
"Such is the tale told me by 'the priests con- procedure of the historian.
CHAPTER 34: HISTORY 713
The contrast between history and science- Herodotus writes, he tells us, "in the hope of
or what for the purpose of comparison may be preserving from decay the remembrance of
the same, philosophy-is formulated in Aris- what men have done, and of preventing the
totle's statement concerning poetry, that it is great and wonderful actions of the Greeks and
"more philosophical than history, because the barbarians from losing their due meed of
poetry tends to express the universal, history glory." Thucydides proceeds in the belief that
the particular." History deals with what has the war between the Peloponnesians and the
actually happened, whereas poetry, like philos- Athenians "was the greatest movement yet
ophy, may be concerned with whatever is or known in history, not only of the Hellenes, but
can be. of a large part of the barbarian world-I had
One comparison leads to another. Unlike almost said of mankind." Not very different is
poetry, history and science are alike in that the declaration of Tacitus: "My purpose is not
they both attempt to prove what they say; But to relate at length every motion, but only such
in distinction from science or philosophy, his- as were conspicuous for excellence or notorious
tory resembles poetry, especially the great epic for infamy. This I regard as history's highest
and dramatic poems, in being narrative litera- function, to let no worthy action be uncom-
ture. The historian and the poet both tell stories. memorated, and to hold out the reprobation of
If the poet and the historian-including, of posterity as a terror to evil words and deeds."
course, a biographer like Plutarch-are also But though there seems to be a striking simi-
moralists, they are moralists in the same way. larity in the purpose of these historians, Tacitus
Their works do not contain expositions of eth- alone of the three avows a moral purpose. Fur-
ical or political doctrine, but rather concrete thermore, each of the three is conscious of the
exemplifications of theories concerning the con- individual way in which he has put his inten-
duct of human life and social practices. That tion into effect. Thucydides, for example, seems
fact explains why much of the content of the to have Herodotus in mind when he fears that
great historical books is cited in other chapters "the absence of romance in my history will
dealing with moral and political, even psycho- detract somewhat from its interest; but if it be
logical, topics. But in this chapter we are con- judged useful by those inquirers who desire an
cerned with history itself rather than with the exact knowledge of the past .... I shall be con-
particulars of history. Weare concerned with tent." Like Thucydides, Tacitus is an historian
the methods and aims of history as a kind of of con temporary even ts and he fears comparison
knowledge and Ii terature; and we are concerned with the historian of antiquity who can "en-
with the historical process as a whole, the con- chain and refresh a reader's mind" with "de-
sideration of which belongs to the philosophy scriptions of countries, the various incidents of
of history. battle, glorious deaths of great generals." His
own work may be instructive, he thinks, but
THE AIMS AND methods of writing history are it may also give very little pleasure because he
discussed by the historian himself, as well as by has "to present in succession the merciless bid-
the philosopher. Philosophers like Hobbes, Ba- dings of a tyrant, incessant prosecutions, faith-
con, or Descartes consider history largely from less friendships, the ruin of innocence, the same
the point of view of the kind of knowledge it is causes issuing in the same results, and [he is]
and the contribution it makes to the whole of everywhere confronted with a wearisome mo-
human learning. Historians like Herodotus, notony in [his] subject-matter."
Thucydides, Tacitus, and Gibbon state more As we have already noted, Herodotus seems
specifically the objectives of their work, the satisfied to let the reader decide between con-
standards of reliability or authenticity by which flicting accounts. Only occasionally does he in-
they determine what is fact, and the principles dicate which is more likely in his own judgment.
of interpretation by which they select the most Thucydides claims that he has made a greater
important facts, ordering them according to effort to determine the facts. "I did not even
some hypothesis concerning the meaning of the trust my own impressions," he writes; the nar-
events reported. rative"rests partly onwhat I saw myself, partly
714 THE GREAT IDEAS
on what others saw for me, the accuracy ofthe tragedy. Even if they all agreed on the ascer-
report being always tried by the most severe tainment of fact, the great historians would dif-
and detailed tests possible. My conclusions fer from one another as the great poets do; each
have cost me some labor from the want of has a style and a vision as personal and poetic
coincidence between the accounts of the same as Homer or Virgil, Melville or Tolstoy.
occurrences by different eye-witnesses." But he
thinks that his conclusions "may safely be re- ONLY ONE OF THE great books is, by title and
lied on," undisturbed "either by the lays of a design, devoted entirely to the philosophy of
poet displaying the exaggeration of his craft, or history-to. the formulation of a theory lNhi~h
by the compositions of the chroniclers which embraces the whole of man's career on earth.
are attractive at truth's expense." This is Hegel's Philosophy of History. Augus-
The historians are aware of the difficulty of tine's City of God presents an equally compre-
combining truth-telling with storytelling. Most hensive vision, but a comparison of the two
men, Thucydides remarks, are unwilling to suggests that they differ from one another as
take enough pains "in the investigation of philosophy from theology.
truth, accepting readily the first story that The point of this comparison is not that God
comes to hand." The difficulty, according to and His providence are omitted from the phil-
Tacitus, is the obscurity of the greatest events, osopher's view. On the contrary, Hegel regards
"so that some take for granted any hearsay, the history of the world as a "process of devel-
whatever its source, others turn truth into opment and the realization of Spirit-this is
falsehood, and both errors find encouragement the true theodicy, the justification of God in
with posterity." History. Only this insight can reconcile Spirit
Reviewing the enormous scope of his work, with the History of the World-viz., that what
Gibbon at the very end concludes that "the has happened and is happening every day is
historian may applaud the importance .and not only not 'without God' but is essentially
variety of his subject; but, while. he is con- His Work."
scious of his own imperfections, he must often The difference is rather to be found in the
accuse the deficiency of his materials." Because ultimate source of insight concerning human
of the scarcity of authentic memorials, he tells development and destiny. Augustine. sees
us in another place, the historian finds it hard everything in the light of God's revelation of
"to preserve a clear and unbroken thread of His plan in Holy Writ; Hegel and other phi-
narration. Surrounded with imperfect frag- losophers of history from Vico to Toynbee seek
ments, always concise, often obscure, and some- and sometimes claim to find in the records of
times contradictory, he is reduced to collect, history itself the laws which govern and the
to compare, and to conjecture; and though he pattern which inheres in the procession of
ought never to place his conjectures in the rank events from the beginning to the end of human
of facts, yet the knowledge of human nature, time.
and of the sure operation of its fierce and un- For Augustine, the great epochs of history
restrained passions, might, on some occasions, are defined religiously. They are stages in the
supply the want of historical materials." development of the city of God on earth, not
Clearly, the historians have different criteria the city of man. Man is viewed as dwelling on
of relevance in determining the selection and earth under four distinct dispensations from
rejection of materials and different principles God: (I) in Paradise before the Fall; (2.) in the
of interpretation in assigning the causes which world after expulsion from Eden and before
explain what happened. These differences are the Promise and the Law were given to the
reflected in the way each historian constructs Jews; (3) under the Law and before the coming
from the facts a grand story, conceives the line of Christ; (4) between the first ~nd second
of its plot and the characterization of its chief coming under the dispensation of grace.
actors. Herodotus, for example, has been com- Augustine sometimes makes other divisions
pared with Homer as writing in an epic man- of history, but they are always primarily reli-
ner; Thucydides, with the dramatic writers of gious. For example, he divides all of time into
CaAPTER 34: HISTORY 715
seven ages, corresponding to the seven days of Christianity, were the first to attain the con-
creation. "The first age, as the first day, ex- sciousness that man, as man, is free."
tends from Adam to the deluge; the second With the complete emancipation of man in
from the deluge to Abraham.... From Abra- the German-Christian world, history is con-
ham to the advent of Christ there are, as the summated for Hegel. "The grand principle of
evangelist Matthew calculates, three periods, being is realized," he declares; "consequently
in each of which are fourteen generations- the end of days is fully come." Another sign
one period from Abraham to David, a second of the finality of the German-Christian world
from David to the captivity, a third from the seems to be its reconciliation of Church and
captivity to the birth of Christ in the flesh. State: "European history is the exhibition of
There are thus five ages in all. The sixth is now the growth of each of these principles severally
passing, and cannot be measured by any num- ... then of an antithesis on the part of both ...
ber of generations. , .. After this period God lastly, of the harmonizing of the antithesis."
shall rest as on the seventh day, when He shall In the German-Christian world, the secular
give us (who shall be the seventh day) rest in and the religious modes of life are ultimately
Himself.... The seventh shall be our Sabbath, harmonized, fused in a single order of "rational
which shall be brought to a close, not by an Freedom."
evening, but by the Lord's day, as an eighth
and eternal day, consecrated by the resurrec- APART FROM THE. opposition between the phil-
tion of Christ, and prefiguring the eternal re- osophical and theological approaches, here rep-
pose not only of the spirit, but also of the body resented by Hegel and Augustine, there seem
... This is what shall be in the end without to be two main issues in the general theory of
end." human history. The first concerns the pattern
This same projection of history-in all es- of change; the second, the character of the
sentials, at least-is laid before Adam by causes at work.
the archangel Michael in Milton's Paradise The pattern most familiar because of its
Lost, just before Adam leaves the Garden of prevalence in modern speculations is that of
Eden. . progress or evolution. The progress may be
Unlike the four major dispensations of which conceived as a dialectical motion in the realm
Augustine and Milton speak, Hegel's four of Spirit, contrasted by Hegel with the realm
stages of the world are epochs in the develop- of Matter or Nature, according as "the essence
ment of Spirit as manifested in the State. They of Matter is Gravity ... and the essence of
are secularly defined as the Oriental, the Greek, Spirit is Freedom." But it may also be thought
the Roman, and the German world and are to occur, as in the dialectical materialism of
seen as a "progress of the consciousness of Free- Marx and Engels, through the resolution of
dom." The "various grades in the consciousness conflicting material or economic forces.
of Freedom," Hegel writes; "s!lpply us with "The whole history of mankind," Engels
the natural division of universal History .... writes in his preface to the Communist Mani-
The Orientals have not attained the knowledge festo, "since the dissolution of primi ti ve tribal
that Spirit-'-Man as such-is free; and because society, holding land in common ownership,
they do not know this, they are not free. They has been a history of class struggles, contests
only know that one isfree . .. that one is there- between exploiting and exploited, ruling and
fore only a Despot; not a free man. The con- oppressed classes; the history of these class
sciousness of Freedom first arose among the struggles forms a series of evolutions in which,
Greeks, and therefore they were free; but they, now-a-days, a stage has been reached where the
and the Romans likewise, knew only that some exploited and oppressed class, the proletariat,
are free-not man as such .... The Greeks, cannot attain its emancipation from the sway
therefore, had slaves and their whole life and of the exploiting and ruling class, the bour-
the maintenance of their splendid liberty, was geoisie, without, at the same time, and once for
implicated with the institution of slavery .... all. emancipating society at large from all
The German nations, under the influence of exploitation, oppression, class-distinction and
716 THE GREAT IDEAS
class-struggle." The four great economic sys- come insignificant; and such as are at present
tems-the systems of slave labor, feudal serf- powerful were weak in olden time. I shall,
dom, industrial capitalism, and the communis- therefore, discourse equally of both, convinced
tic or classless society-are thus seen as the that prosperity never continues long in one
stages of progress toward an ultimate perfection stay." Lucretius finds the cyclical pattern both
in which history comes to rest because' it has in the succession of worlds and in the succession
at last fully realized its controlling tendency. of civilizations. The myth of the golden age of
. The pattern of progress may be conceived Kronos and the earth-bound age of Zeus, which
not as a dialectical motion involving conflict Plato tells in the Statesman, also applies both
and synthesis, but rather, as by Kant, in terms to nature and society.
of an increasing actualization of the potentiali- Accordingto the myth, "there is a time
ties for good in human life. Giving the name of when God himself guides and helps to roll the
culture to "the production in a rational being world in its course; and there is a time, on the
of an aptitude for any ends whatever of his own completion of a certain cycle, when he lets go,
choosing," Kant declares, "it is only culture and the world beinga living creature, and hav-
that can be the ultimate end which we have ingoriginally received intelligence from its
cause to attribute to nature in respect of the author and creator, turns about and by an in-
human race." The progressive realization of herent necessity revolves in the opposite di-
culture consists in "the liberation of the will rection." Thus the history of the world runs
from the despotism of desires whereby, in our through "infinite cycles of years," and one age
attachment to certain natural things, we are succeeds another in an endless round.
rendered incapable of exercising a choice of There is still a third view which sees history
our own. '.' In these tenns history moves toward as neither cyclical nor simply progressive. Vir-
a perfection which can never be fully achieved gil reverses the order ofthe PIa tonic myth by
on earth, for man's "own nature is not so con- placing the golden age in the future~ It dawns
stituted as to rest or be satisfied in any posses- with Rome, where, in the words of the 4th
sion or enjoyment whatever." Eclogue, "the majestic roll of circling centuries
As conceived by the evolutionist, progress begins anew: Justice returns, returns old Sat-
mayor may not attain its limit, but in either urn's reign, with a new breed of men sent down
case its manifestation in human history appears from heaven ... and the iron shall cease, the
to be analogous to as well as an extension of the golden race arise."
line of development along which the world or Rome for Virgil is not only the beginning
all of living nature has gradually' advanced. of the golden age; it is also the consummation
of history. In the Aeneid Jupiter himself de-
THESE VIEWS ARE given further discussion in clares that he has given the Romans "domin-
the chapters on EVOLUTION, PROGRESS, and ion without end"-that he' has ordained for
WORLD. Whether or not the same pattern of them "neither period nor boundary of em"
change obtains in the historical order of nature pire." The "gowned race of Rome'" shall be
as in the history of man and society, is a ques- "the lords of the world"; then "war shall cease,
tion to be answered by those who deny as well and the iron. ages soften." Thus, Jupiter says,
as by those who affirm progress. There is cyclical "is it willed," and so. "a day will come in' the
change in nature, the same pattern of birth, lapse of cycles." The perpetuity of Rome seems
growth, decay, and death repeating itself gen- to leave little room for any further essential
eration after generation. That history too re- progress and no chance' for another cycle of
peats itself with the rise and decline of cities decay and regeneration.
and civilizations, seems to be the ancient view. The Christian dogma of the fall of man from
It reappears in our day with Spengler and, grace and his return through divine mediation
somewhat qualified by the possibility of prog- to grace and salvation seems to give history a
ress, with Toynbee. pattern that is partly Platonic in the sequence
"The cities which were formerly great," which makes the loss of a golden age the occa-
Herodotus observes, "have most of them be" sion for striving to regain it. But it also seems
CHAPTER 34: HISTORY 717
to be Virgilian in part. The epochal transitions with necessity seems to belong more to the
of history happen only once. The coming of human race as a whole than to individual men.
Christ is an absolutely singular event, after The individual man is tossed aside if he tries
which there is no essential progress in man's to obstruct the path of history. He is powerless
condition until the Last Judgment at the end to change its course.
of the world. Not even great men can make or determine
history. They are great only because, sensing
COMMON TO THESE diverse conceptions of the the next phase of the historical process, they
pattern of history is the problem concerning identify themselves with the wave of the future
the causes which are at work as history unfolds. and conform their purposes to the march of
Whatever the factors; they will operate in the events-the dialectical development of the Ab-
future as they have in past, unless the milleni- solute Idea. A few men thus become "world-
urn is already upon us or about to dawn. From historical individuals" because their own "par-
the knowledge of their own past or from their ticular aims involve those large issues which
dim perception of divine providence, men de- are the will of the World-Spirit." They have
rive a sense of the future; but they look forward "an insight into the requirements of the time
to that future differently according as some -what was ripe for development ... the very
part of it will stem from choices freely made, or Truth for their age, for their world; the species
according as all of it is inexorably determined next in order, so to speak, and which was al-
by causes beyond their control. ready formed in the womb of time."
The basic alternatives of fate and freedom, Like Hegel and unlike the ancient historians,
of necessity and contingency, God's will and Tolstoy also regards the leadership of great
man's choice, are considered in the chapters on men as illusory . To believe in the efficacy of
CHANCE, FATE, and NECESSITY AND CON- heroes or great men, he thinks, is to commit the
TINGENCY. Sometimes the issue is resolved in fallacy of the man "who, wa tching the move-
the same way for the course of nature and the ments of a herd of cattle and paying no atten-
course of history: necessity reigns in both; as tion to the varying quality of the pasturage in
there is contingency in the events of nature, so different parts of the field, or to the driving
there is freedom in the acts of history. Some- of the herdsman, attributes the direction the
times the processes of nature and history are herd takes to the animal which happens to be
distinguished: the motions of matter are gov- at its head."
erned by inviolable laws; whereas the motions Great men are only celebrated puppets,
of men are directed by laws which leave them pushed ahead on the moving front of history.
free to work out a destiny which is determined The motion of history derives its force and
by, rather than determines, the human spirit. direction from the individual acts of the in-
Those who do not deny freedom entirely in numerable nameless men who comprise the
the realm of history seldom give it unlimited human mass. The act of the individual counts
scope. What men can do is conditioned from little. The mass motion is a complex resultant
below by the operation of material forces, and of slight impulses tending in many directions.
Hom above by what Hegel calls "God's pur- But however slight the impulse each man gives,
pose with the world." The vast "arras-web of his contribution to history is a free act, con-
Universal History" is woven by the interaction ditioned only by the circumstances under
between God's will (the Absolute Idea) and which he makes a choice and by the divine
human purposes or interests, which Hegel calls providence which grants him the freedom to
"the complex of human passions." choose. Like "every human action," history,
History for him is "the union of Freedom according to Tolstoy, thus "appears to us as a
and Necessity," where "the latent abstract certain combination of freedom and inevita-
process of Spirit is regarded as Necessity, while bility. "
that which exhibits itself in the conscious will
of men, as their interest, belongs to the domain DIFFERENT FROM speculations on a grand scale
of freedom." But this freedom which coheres concerning the whole historical process is that
718 THE GREAT IDEAS
type of philosophizing about history which On the practical side, political writers like
considers its place in education-the light it Machiav!!lIi, Montesquieu, and the Federalists
affords to the mind, and the lessons it teaches use history to exemplify or confirm their gen-
for the guidance of conduct. eralizations. They agree with Thucydides that
Montaigne, for example, makes the reading "an exact knowledge of the past is an aid to the
of history and biography the window through interpretation of the future, which in the
which a man looks out upon the world. "This course of human things must resemble if it does
great world," he writes, "is the mirror wherein not reflect it." Most men, adds Tacitus, "learn
we are to behold ourselves, to be able to know wisdom from the fortunes of others."
ourselves as we ought to do in the true bias." It is on these grounds that the great books
Only against the large scene history reveals of history belong with treatises on morals and
and amidst the variety of human nature it politics and in the company of philosophical
exhibits can a man truly know himself and his and theological speculations concerning the
own time. In a similar vein, Gibbon declares nature and destiny of man. Liberal education
that "the experience of history exalts and en- needs the particular as well as the uni"ersal,
larges the hori~n of our intellectual view." and these are combined in the great historical
Hegel, on the other hand, insists that "what ex- narratives. Apart from their utility, they have
perience and history teach is that peoples and the originality of conception, the poetic qual-
governments never have learned anything from ity, the imaginative scope which rank them
history, or acted on principles deduced from it. with the great creations of the human mind.
OUTLINE OF TOPICS
PAGE
I. History as knowledge and as literature: its kinds and divisions; its distinction from
poetry, myth, philosophy, and science 719
2. The light and lesson of his tory : its role in the education of the mind and in the guidance
of human conduct 720
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [26'5-283J 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page II6 and ends in the lower half of page II9. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand sideofthepage, the letters e and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164e, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164_
Au'moR's DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [26'5-28,J 12d.
BIBLE REFERENCES: The. references are to book, chapter, and "erse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:4S-(D) II Esdras, 7:-\6.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the lise of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: The general consideration of history as a kind of knowledge, see KNOWLEDGE 5a(5); 'MEMORY
AND IMAGINATION 3d; TIME 6e; and for other comparisons of history with poetry, science,
and philosophy, see NATURE 4c; PHILOSOPHY Id; POETRY Sb; SCIENCE 2b.
The educational significance of history or of historical examples, see EDUCATION 4d; VIRTUE
AND VICE 4d(4).
Other discussions of the logic or method of historical research, see LOGIC 4c; REASONING 6d.
The theory of historic'll causation, see CAUSE 8; and for the factors of chance and fate, free-
dom and necessity, see CHANCE 6b; FATE 6; LIBERTY 6a; NECESSITY AND CONTINGENCY
5f; PROGRESS Ia; WILL 7b. .
The idea of progress in the philosophy of history. see EVOLl'TION 7c; PROGRESS I-IC; and for
a cyclical theory of history, see LABOR Ia; MAN 9a; PROGRESS IC.
Other discussions of a materialist philosophy of history, see DIALECTIC 2d; LABOR 7c;c(3);
MATTER 6; OPPOSITION 5b; PROGRESS Ia; WAR AND PEACE 2C; WEALTH 11.
Other considerations of history as a dialectical process in the development of Spirit, see
DIALECTIC 2d-2d(2); LIBERTY 6a; MIND Iof-1Of(2); PROGRESS 4b.
The role of the great man or hero in history, see HONOR 5d.
The historian or philosopher of history as a prophet. see FATE 6.
Other expressions of historical relativism. see CUSTOM AND CONVENT~ON 94)b; RELATION
6-6c; UNIVERSAL AND PARTICULAR 7;C. .
Divine providence in relation to the events of history and to the issue of necessity and free-
dom in history, see FATE 4; GOD 7b; LIBERTY 5a-5b; WILL 7b.
Other discussions of the city of God and the city of man, or of the issue of church and state,
see RELIGION 4; STATE 2g.
ADDITIONAL READINGS
Listed below are works not included in Greal Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follo\\"s the last chapter of The Great Ideas.
INTRODUCTION
T HE notions of honor and fame are some-
times used as if their meanings were in-
at a low rate, is to dishonor him. But high and
low, in this case, is to be understood by com-
terchangeable, and sometimes as if each had a parison "to the rate that each man setteth on
distinct connotation. In the tradition of the himself." Does Hobbes mean that the value a
great books, both usages will be found. It is man sets on himself is the true standard of his
seldom just a matter of words. The authors who worth? Apparently not. Let men, he says, "rate
see no difference between a man's honor and themselves at the highest value they can; yet
his fame are opposed on fundamental issues of their true value is no more than it is esteemed
morality to those who think the standards of by others." What, then, is the measure of such
honor are independent of the causes bf fame. esteem? "The value, or worth of a man/' an-
This opposition will usually extend to psy- swersHobbes, "is as of all other things, his pl'ice;
chological issues concerning human motivation that is to say, so much as would be given for the
and to political issues concerning power and use of his power; and therefore, is not absolute
justice. It entails contrary views of the role of but a thing dependent on the need and judg-
rewards and punishments in the life of the indi- ment of another."
vidual and of society. Here, then, honor is not what a man has in
Praise and blame seem to be common ele- himself, but what he receives from others.
ments in the significance of fame and honor. Honor is paid him. He may think himself dis-
The meaning of honor seems to involve in honored if others do not pay him the respect
addition the notion of worth or dignity. But which accords with his self-respect, but their
whether a man is virtuous or not, whether he evaluation of him is somehow independent of
deserves the good opinion of his fellow men, does the standard by which he measures himself. It
not seem to be the indispensable condition on depends on the relation in which he stands to
which his fame or infamy rests. Nor does his them, in terms of his power and their need.
good or ill repute in the community necessarily Virtue and duty-considerations of good and
signify that he is a man of honor or an honor- evil, right and wrong-do not enter into this
able man. conception of honor. The distinction between
The connection and distinction of these honor and fame tends to disappear when honor
terms would therefore appear to be the initial reflects the opinion of the community, based on
problem of this chapter. Any solution of the the political utility rather than the moral worth
problem must consider the relation of the in- of a man.
dividual to the community, and the standards
by which the individual is appraised-by him- THERE IS ANOTHER conception of honor which
self and his fellow men. Honor and fame both not only separates it from fame, but also makes
seem to imply public approval, but the ques- it independent of public approbation. This is
tion is whether both presuppose the same not an unfamiliar meaning of the term. The
causes or the same occasions for social esteem. man who says "on my honor" or "my word of
"The manifestation of the value we set on honor" may not be an honest man, but if he
one another," writes Hobbes, "is that which is is, he pledges himself by these expressions to
commonly called Honoring and Dishonoring. fulfill a promise or to live up to certain ex-
To value a man at a high rate, is to honor him; pectations. He is saying that he needs no ex-
728
CHAPTER 35: HONOR 729
ternal check .or sanction. A man who had to be The sense of honor and the sense of duty dif-
compelled by threat or force to honor his fer in still another respect. Duty presupposes
obligations would not be acting from a sense law. The essence of law is its universality. A
of honor. sense of duty, therefore, leads a man to do what
"It is not for outward show that the soul is is expected of him, but not of him alone, for
to play its part," Montaigne writes, "but for he is no different from others in relation to
ourselves within, where no eyes can pierce but what the law commands. In contrast, a sense
our own; there she defends us from the fear of of honor presupposes selj-conscioumess of virtue
death, of pain, of shame itself; there she arms in the individual. It binds him in conscience
us against the loss of our children, friends, and to live up to the image of his own character,
fortunes; and when opportunity presents itself, insofar as it has lineaments which seem ad-
she leads us on to the hazards of war: 'Not for mirable to him.
any profit, but for the honor of honesty it- Without some self-respect, a man can have
self.' " no sense of honor. In the great tragic poems,
A sense of honor thus.seems to function like the hero who dishonors himself in his own eyes
a sense of duty. Both reflect the light of con- dies spiritually with the loss of his self-respect.
science. Both operate through an inner de- To live on in the flesh thereafter would be
termination of the will to do what reason judges almost a worse fate than the physical demise
to be right in the particular case. If there is a which usually symbolizes the tragic ending.
difference between them, it is not so much in
their effects as in their. causes. THE SENSE IN WHICH a man can honor or dis-
Duty usually involves obligations to others, honor himself is closely akin to the sense in
but a man's sense of honor may lead him to act which he can be honored or dishonored by
in a certain way though the good of no other others. Both involve a recognition of virtue or
is involved. To maintain his self-respect he its violation. But they differ in this: that a
must respect a standard of conduct which he man's personal honor is an internal consequence
has set for himself. Accordingly, a man can. be of virtue and inseparable from it, whereas pub-
ashamed of himself for doing or thinking what lic honor bestowed upon a man is an external
neither injures anyone else nor ever comes to reward of virtue. It is not always won by those
the notice of others. A sense of shame-the who deserve it. When it is, "it is given to a
reflex of his sense of honor-torments him for man," as Aquinas points out, "on account of
ha ving fallen short of his own ideal, for some excellence in him, and is a sign and testi-
being disloyal to his own conceptions of what mony of the excellence that is in the person
is good or right; and his shame may be even honored."
more intense in proportion as the standard he There can be no separation between what a
has violated is not one shared by others, but community considers honorable and what it
is his own measure of wha t a man should be considers virtuous or excellent in mind or char-
or do. acter. But it does not necessarily follow that
Dmitri Karamawv exhibits these mixed the man who is actually virtuous will always
feelings of honor and shame when he declares receive the honor which is due him. Public
at the preliminary legal investigation: "You honor can be misplaced--either undeserv-
have to deal with a man of honor, a man of the edly given or unjustly withheld. The virtuous
highest honor; above all-don't lose sight of should be prepared for this, in the judgment of
it-a man who's done a lot of nasty things, but Aquinas, since honor is not "the reward for
has always been, and still is, honorable at bot- which the virtuous work, but they receive
tom, in his inner being.... That's just what's honor from men by way of reward, as from
made me wretched all my life, that I yearned those who have nothing greater to offer." Happi-
to be honorable, that I was, so to say, a martyr ness, he goes on to say, is the "true reward ...
to a sense of honor, seeking for it with a lantern, for which the virtuous work; for if they worked
with the lantern of Diogenes, and yet all my for honor, it would no longer be virtue, but
life I've been doing filthy things." ambition."
730 THE GREAT IDEAS
Tolstoy, however, deplores the injustice of tarnish, as honor does, when it is unmerited.
the honor given Napoleon and the dishonor But for the same reason, fame is often lost as
in which Kutuzov was held. "Napoleon," he fortuitously as it is acquired. "Fame has no
writes, "that most insignificant tool of history stability," Aquinas observes; "it is easily ruined
who never anywhere, even in exile, showed by false report. And if it sometimes endures,
human dignity-Napoleon is the object of this is by accident."
adulation and enthusiasm; he is grand. But
Kutuzov-the man who from the beginning THE DISTINCTION between honor and fame is
to the end of his activity in 1812, never once not acknowledged by those who ignore merit
swerving by word or deed from 'Borodino to as a condition of praise. Machiavelli, for ex-
Vilna, presented an example exceptional in ample, places fame-or, as he sometimes calls
history of self-sacrifice and a present conscious- it, glory-in that triad of worldly goods which
ness of the future importance of what was hap- men want without limit and without relation
pening-Kutuzov seems to them something to justice. If the aim of life is to get ahead in
indefinite and pitiful, and when speaking of the world, money, fame, and power are the
him and of the year 1812 they always seem a chief marks of success. A man is deemed no less
little ashamed." successful if he acquires power by usurping it,
Kutuzov later received some measure of or gains it by foul means rather than fair; so,
honor when he was presented with the rarely too, if he becomes famous through chicanery or
awarded Order of St. George. But what is per- deception and counterfeits whatever form of
haps a much higher honor came to him after greatness men are prone to praise.
his death when Tolstoy enshrined him as one Along with riches, fame, says Machiavelli, is
of the heroes of War and Peace. Sometimes the "the end which every man has before him."
virtuous or truly honorable man, living in a This men seek to obtain by various methods:
bad society, goes without honor in his own time "one with caution, another with haste; one
to be honored only by posterity. He may even by force, another by skill; one by patience,
be dishonored by a society which has contempt another by its opposite; and each one succeeds
for virtue. Sometimes a man of indifferent char- in reaching the goal by a different method."
acter and achievement, or even one who is Some methods, he admits in another place,
actually base and ignoble, wins honor through "may gain empire, but not glory," such as "to
cleverly simulating the possession of admirable slay fellow-citizens, to deceive friends, to be
traits; without faith, without mercy, without'reli-
It seems appropriate to consider the propor- gion." Nevertheless, he declares: "Let a prince
tion between a man's intrinsic worth and the have the credit of conquering and holding a
honor he receives. The distribution of honors state, the means will always be considered hon-
raises questions of justice-in fact, it is thought est, and he will he praised by everybody."
to be one of the chief problems of distributive Because fame seems to be morally neutral,
justice. For those who hold that honor and it replaces honor in the discussions of those who
fame are utterly distinct in principle, this is measure men in terms of success instead of vir-
the clear mark of their difference. Justice does tue, duty, or happiness. Because it is morally
not require that fame be proportionate to vir- neutral, it is the term used by those who wish
tue. Though there is a sense in which fame may to judge, not men, but the impression they
not be deserved, the qualities in a person which make. What counts is the magnitude of that
justify fame are of a different order from those impression, not its correspondence with reality.
which honor should reward. Fame belongs to To be famous is to be widely, not necessarily
the great, the outstanding, the exceptional, well, spoken of by one's fellow men, now or
without regard to virtue or vice. Infamy is hereafter. The man who stands above the herd,
fame no less than good repu te. The grea t scoun- whose outlines are clear and whose deeds are
drel can be as famous as the great hero. Existing memorable, takes his place among the famous
in the reputation a man has regardless of his of his time or of all times. Plutarch the moralist
character or accomplishments, fame does not certainly does not regard the men whose lives
CHAPTER 35: HONOR 731
he writes as paragons of virtue. On the con- desire to hold the approbation of those who
trary, he plainly indicates that many of them share a common life. With this in mind ap-
are examples of extraordinary depravity. But parently, William James describes fame and
Plutarch the biographer treats them all as honor as a man's "image in the eyes of his own
famous. He takes that as a matter of historic 'set,' which exalts or condemns him as he con-
fact, not of moral judgment. Good or bad, they forms or not to certain requirements that may
were acknowledged to be great men, leaders, not be made of one in another walk of life."
figures of eminent proportions, engaged in Though Pascal regards "the pursuit of glory"
momentous exploits. They were not all vic- as "the greatest baseness of man," he must ad-
torious. Few if any were successful in all that mit that "it is also the greatest mark of his ex-
they attempted or were able to preserve what cellence; for whatever possessions he may have
successes they achieved. But each ventured be- on earth, whatever health and essential com-
yond the pale of ordinary men; and each suc- fort, he is not satisfied if he has not the esteem
ceeded at least in becoming a symbol of great of men. He values human reason so highly that,
deeds, a monument in human memory. whatever advantages he may have on earth, he
The opposite of fame is anonymity. In Dan- is not content if he is not also ranked highly
te's moral universe, only the Trimmers on the in the judgment of man .... Those who most
rim of Hell are totally anonymous; neither good despise men, and put them on a level with
nor bad, they lack name and fame. Because brutes, yet wish to be admired and believed
they "lived without infamy and without by men, and contradict themselves by their
praise," Hell will not receive them, "for the own feelings."
damned would have some boast of them." To But is this universal wish for the esteem of
them alone no fame can be allowed. Honor and others a desire for honor or a desire for fame?
glory belong only to the blessed, but the Does it make any difference to our conception
damned in the pi ts of Hell, by the record they of happiness whether we say that men cannot
left for men to revile, are as well remembered, be happy without honor or that they cannot be
and hence as famous, as the saints in Heaven. happy unless they are famous?
Even those who do not distinguish be-
THAT MEN NORMALLY desire the esteem of their tween honor and fame are led by these ques-
fellow men seems to be undisputed. "He must tions to discriminate between fame and in-
be of a strange and unusual constitution," famy. As we have already noted, fame and
Locke writes, "who can content himself to live infamy are alike, since both involve the noto-
in constant disgrace and disrepute with his own riety enjoyed by the outstanding, the excep-
particular society. Solitude many men have tional, the great, whether good or bad. If what
sought, and been reconciled to; but nobody men desire is simply to be known by others,
that has the least thought or sense of a man and to have a kind of immortality through
about him, can live in society under the con- living on in the memory of later generations,
stant dislike and ill opinion of his familiars, then evil will serve as well as good repute.
and those he converses with. This is a burden All that matters is the size of the reputation,
too heavy for human sufferance.!' and its vitality. But if the desire is for appro-
A society of misanthropes, despising each bation or praise, good opinion alone will satisfy,
other, is as unthinkable as an economy of and then the question becomes whether the
misers. The social nature of man requires sym- object is fame or honor. Which does Iago have
pathy and fellow feeling, love and friendship, in mind when he says, "Good name in man and
and all of these involve some measure of ap- woman, dear my Lord, is the immediate jewel
proval based on knowledge or understanding. of their souls" ?
According to one theory, the highest type of Opposite answers seem to be determined by
friendship springs from mutual admiration, the opposite views of human nature and human
respect which men have for one another. The happiness. Those who, like Plato, think that
old saying that "there is honor among thieves" virtue is an indispensable ingredient of happi-
suggests that even among bad men there is a ness, include honor among the "good things"
732 THE GREAT IDEAS
which the virtuous man will seek in. the right truly worthy of great things, also thinks himself
way. Possession of good things.by itself is not worthy of them; for he who does so beyond his
sufficient, Socrates says in the Euthydemus. A deserts is a fool, but no virtuous man is foolish
man must also use them and use them well, for or silly." The proud man will be pleased "only
"the wrong use of a thing is far worse than by honors that are great and that are conferred
the non-use.", Applied to honor, this would by good men ... Honorfrom casual people and
seem to mean that the virtuous man will not on trifling grounds, he will utterly despise,
seek praise for the wrong reasons-either for since it is not this that he deserves."
that which is not praiseworthy in himself or Humility and vanity are, according to Aris-
from others whose lack of virtue disqualifies totle, the vices of defect and excess which occur
them from giving praise with honesty. The when a man fails to be proud. The unduly
virtuous man will not seek fame or be unhappy humble man, underestimating his worth, does
lacking it, for fame, like pleasure or wealth, not seek the honor he deserves. The vain man,
can be enjoyed by bad men as well as good and at the other extreme, overestimates himself and
be sought for wrong as well as right reasons or wants honor out of proportion to his qualities.
in the wrong as well as the right way. Virtue, Honor, like any other external good, "may be
according to the moralists, protects a man from desired more than is right, or less, or from the
the seductions of money, fame, and power- right sources and in the right way. We blame
the things for which men undisciplined by vir- both the over-ambitious man as aiming at honor
tue seem to have an inordinate desire. more than is right and from the wrong sources,
In the theory of virtue, honor, unlike fame, and the unambitious man as not willing to be
belongs only to the good and is always a good honored even for noble reasons."
object, worthy of pursuit. Honor is, in fact, However words are used, the point. seems to
the object of two virtues which Aristotle de- be clear. It is possible for men to desire honor
fines in the Ethics. One of these virtues he calls more than they should and less. It is also pos-
"ambition," and the Greek name for the other, sible for honor to be rightly desired. Honor de-
which is literally rendered by "high-minded- sired to excess or in the wrong way may be
ness," is sometimes translated by the English called "fame," even as the excessive desire for
word "magnanimity" and sometimes by honor is sometimes regarded as the vice of
"pride." The Christian connotation of "pride" ambition or an aspect of the sin of pride. The
makes it a difficult word to use as the nameJor word "pride" seems to have both a good and
a virtue, but it can nevertheless be so used a bad connotation. But the point remains that
when it is understood to mean a justifiable de- the difference between these two meanings of
gree of self-respect-not conceit but a middle- "pride," like the difference between honor and
ground between undue self-esteem and in- fame, is understood by moralists in terms of vir-
ordinate self-deprecation. When the Aristo- tue, and it is discounted by those who reject the
telian names for these two vices are translated relevance of virtue.
in English by "vanity" and "humility," it is
again necessary to point out that "humility" THOUGH HONOR MAY be regarded as inseparable
must be understood, not in its Christian sig- from virtue in moral theory, certain political
nificance as meaning the virtue of the truly re- philosophers make its separation from virtue
ligious man, but rather as signifying an exag- the principle of a type of government.
gera ted meekness or pusillanimity. In Plato's Republic, monarchy and aristoc-
The difference between pride and ambition racy are defined in terms of the virtue of the
lies in the magnitude of the other virtues they rulers-either of the one wise man or of the
accompany and the scale of honor with which excellent few. Government by the few is oli-
.they are concerned. Both are concerned with garchy rather. than aristocracy when wealth
honor, which Aristotle calls "the greatest of rather than virtue is the principle of their. se-
external goods." In both cases, "honor is the lection. Plato sees the possibility of an inter-
prize of virtue, and it is to the good that it is mediate between these two which occurs as
rendered." The proud man is one "who, being a kind of transitional form when aristocracy
CHAPTER 35: HONOR 733
tends to degenerate into oligarchy. He calls his fellow men, the symbol of human greatness
that. interm~diate "timocracy" and describes and the object of human admiration.
~.t as "a mixture of good and evil" in which the Honor, fame, and glory combine in various
ruler is "a lover of power and a lover of honor, proportions to constitute the heroic figures of
claiming to be a ruler, not because he is elo- classical antiquity: honor, to the extent that
quent, or on any ground of that sort, but be- none is wi thou t some virtue and each possesses
cause he is a soldier and has performed feats of certain virtues at least.to a remarkable degree;
arms." In such a state, he claims, "one thing, and fame, because they are the great among men,
one thing only, is predominantly seen-the outstanding and well-known, godlike in their
spirit of contention and ambition; and these are pre:erninence.; and glory, almost in the theo-
due to the prevalence of the passionate or spir- logical sense, inasmuch as the heroes celebrated
ited element." In a timocracy, in other words, by Homer and Virgil are beloved by the gods.
honor is divorced from virtue and wisdom and It is not accidental that the central figure in
becomes the only qualification for public of- the Greek tragedies is called a "hero," since in
fice. the ancient view the tragic character must nec-
a
With Montesquieu, the shuation is quite re- essarily belong, to a great man, man of noble
versed. For him, virtue is absolutely requisite proportions, one who.is "better than the ordi-
in popular. government or democracy, and to a nary man," says Aristotle. If he also has some
less extent in that other form of republic which fault or flaw, it is a consequence of strength
he calls "aristocracy." As virtue is necessary in misused, not a mark of individual weakness.
a republic, so is honor in a monarchy. "Honor Such weakness as he has is the common frailty
-that is, the prejudice of every person and of man.
rank-:supplies the place of political virtue. A .In the modern world heroism and the heroic
monarchical government supposes pre-eminen- are more difficult to identify or define. We tend
ces and ranks, as. likewise a noble descent. Since to substitute the notion of genius in considering
it is the nature of honor to aspire to preferments the exceptionally gifted among men. Glory is
and titles, it properly placed in this govern- dimly recognized and honor takes second place
ment." to fame. That portion of modern poetry which
Though Montesquieu and Plato differ in deals.in heroes-:as, for example, the tragedies
their classification of the forms of government, and historical plays of Shakespeare-borrows
they $eem. to agree that honor divorced from them from, or models them on, legendary fig-
virtue is a counterfeit. Honor identified with ures. The great modern novels, counterparts of
ranks and ti ties, honor which moves individuals the epic poems. of antiquity, portray excep-
to serve the public good in order to promote tional men and women without idealizing them
their own interests, Montesquieu admits is a to heroic stature. One of these novels, Tolstoy's
false honor, "but even this false honor is as use- War and Peace, seeks to deflate the fame of
ful to the public as true honor could possibly be great men. They do not deserve even their
to private persons." Considering the laws of reputation for great deeds, much less the honor
education characteristic of monarchical govern- owed the truly great.
ments, Montesquieu points out that it is not in "If we assume as historians do that great men
colleges or academies, but in the world itself, lead humanity to the attainment of certain
.which is the school of honor, that the subjects ends ... then it is impossible," Tolstoydeclares,
of monarchy are chiefly trained. "Here the "to explain the facts of history without intro-
actions of men are judged, not as virtuous, but ducing the conceptions of chance and genius."
as shining; not as just, but as great; not as rea- But in Tolstoy's opinion "the words chance and
sonable, but extraordinary." genius do not denote any really existing thing
and therefore cannot be defined." We can dis-
HEROISM IS DISCUSSED in the chapter on COUR- pense with these meaningless words, he thinks,
AGE, and the role of the hero-the leader or if we are willing to renounce "our claim to dis-
great man-in the chapter on HISTORY. Here cern a purpose immediately intelligible to us"
we are concerned with the hero in the esteem of and admit "the ultimate purpose to be beyond
734 THE GREAT IDEAS
our ken." Then "not only shall we have no of divinity, but, like Achilles, each has a weak-
need to see exceptional ability in Napoleon and ness in his armor. Moreover,' the heroes of the
Alexander, but we shall be unable to consider Iliad, the Odyssey, and the Aeneid are men of
them to be anything but like ordiriary men; ovenveening pride. They are relentlessly jeal-
and we shall not be obliged to have recourse'to ous of their honor. They strive not so much for
chance for an explanation of those small events victory as for the due meed of honor which is
which made these people what they were, but its fruit. Nothing grieves them so much as to
it will be' clear that all those small events were have their deeds go unrequited by abundant
inevitable. " praise. In the contribution made by this love of
This view of history, with its emphasis on praise to the growth of the Roman empire,
impersonal forces, finds another expression ,in Augustine sees the providential working of
Marxist theory. The machine and the proletari- God. In order that that empire "might OVer-
a t mass are the heroes of history, or of the revo- come the grievous evils which existed among
lution. Yet the modern period is not without other nations," he writes, God "purposely
an opposite strain of thought. Machiavelli calls granted it to such men as, for the sake of honor,
for a great man, a hero, to become the "libera- and praise, and glory, consulted well for their
tor" of Italy, "who shall yet heal her wounds country, in whose glory they sought their own,
and put an end to the ravaging and plundering and whose safety they did not hesitate to prefer
of Lombardy, to the swindling and taxing of the to their own, suppressing the desire of wealth
kingdom and of Tuscany, and cleanse those and many other vices for this one vice, namely,
sores that for long have festered." His maxims the love of praise."
for the prince may be read, not merely as ad- To Augustine, however, this glory found in
vice for getting and holding poWer, but as pre- human praise is far removed from the true
paring for an heroic effort in which the prince's glory. It is, in fact, a sin. "So hostile is this vice
power and fame will be used for liberty;:The to pious faith," he writes, "if the love of glory
great man has the historic mission of a pioneer, be greater in the heart than the fear or love of
not the role of a puppet. God, that the Lord said, 'How can ye believe,
Even in the Renaissance, however, Machia- who look for glory from one another, and do not
velli is answered by Montaigne. who prizes seek the glory which is from God alone?' "
moderation too much to praise heroism more The Christian hero, consequently, seeks not
than a little. Comparing Socrates and Alex- his own glory, but the glory of God, and in
ander, Montaigne places all of the latter's ac- contrast to the pagan hero, he is great, not in
tions under the maxim, "Subdue the world," pride, but in humility. His model is seen in the
whereas Socrates, he says, acts on the principle Apostles, who, according to Augustine, "amidst
that it is wise "to carryon human life conform:- maledictions and reproaches, and most grievous
ably with its natural condition." To Montaigne, persecutions and cruel punishments, were not
"the virtue of the soul does not consist in flying deterred from the preaching of human salva-
high, but in walking orderly; its grandeur does tion. And when ... great glory followed them
not exercise itself in grandeur, but in medi- in the church of Christ, they did not rest in
ocrity." , that as in the end of their virtue, but referred
The mediaeval Christian conception of hero- that glory itself to the glory of God ... For
ism centers on the practice of heroic virtue, by their Master had taught them not to seek to
which the theologian defines sanctity. In the be good for the sake of human glory, saying,
calendar of saints, there is every type of spirit- 'Take heed that ye do not your righteousness
ual excellence, but all alike-martyrs, virgins, before men to be seen of them' ... but 'Let
confessors, doctors-are regarded as having, your works shine before men, that they may see
...,ith God's grace, superhuman strength. The your good deeds, and glorify your Father who
saints not only perform acts of exemplary per- is in heaven.' "
fection; they are godlike men in their exemp- The word "glory" in its theological connota-
tion from the frailties of human flesh. tion thus has a meaning distinct from, and even
The heroes of antiquity also wear an aspect opposed to, the sense in which it is sometimes
CHAPTER 35: HONOR 735
used as a synonym for "fame." In the liturgy fullness in Himself and the height of all per-
of the church, the psalms and hymns (especially fection"; nevertheless, Montaigne writes, "His
those of the doxology which sing the gloria name may be augmented and increased by the
Patri and the gloria in excelsis Deo) render un to blessing and praise we attribute to His exterior
God the homage which is due His infinite good- works."
ness, the reflexive splendor of which is the di- According to Dante, "the glory of Him who
vine glory. As in the strict moral sense honor on moves everything penetrates through the uni-
the human plane is due to virtue alone, so in a verse, and is resplendent in one part more and
strict theological sense glory belongs only to in another less." In his journey through Para-
God. dise, he beholds the saints whom God loves es-
Strictly, God's glory cannot be increased by pecially, each with a distinct degree of glory
human recognition. Yet every act of religious according to the proximity with which he ap-
devotion is said to redound to the greater glory proaches the presence of God. Their halos and
of God and to diffuse His glory among crea tures aureoles, in the imagery of Christian art, are
through the. divinity they acquire when they the symbols of the glory in which they are
love God and are beloved by Him. God is "all bathed as in reflected light.
OUTLINE OF TOPICS
PAGE
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred. to. For example, in 4 HOMER: Iliad, BK II [265-283) 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PACE SECTIONS: When the text is printed in one column, the letters a and b:refer to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology, Il6a-1l9b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed iri two columns, the letters a and b refer to the upper and lower halves of the left-
hand sideof the page, the letters c andd tothe upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and end~ in the upper half of the right-hand side of page IQ4.
, AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK; CH,
SECT) are some~imes included. in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-283J 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit- .
tendy rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance 'in the use of The Great Ideas, consult the Preface:
CROSS-REFERENCES
For: Honor or fame in relation to virtue, duty, and happiness, see DUTY 4-4b; HAPPINESS 2b(4);
VIRTUE AND VICE 4d(2), 6d.
The sense in which pride is a vice and humility a virtue, see SIN 4c; VIRTUE AND VICE 8f.
Fame as a mode of immortality, see IMMORTALITY 6b.
Mutual respect or honor as a condition of friendship, see LOVE 2b(3); VIRTUE AND VICE 6e.
The political significance of honor, see GOVERNMENT 2a; JUSTICE ge; STATE 9c.
The rhetorical uses of praise or honor, see RHETORIC 4a.
Other discussions of heroism and the heroic, see COURAGE 5; TEMPERANcE6a; and for the con-
ception of the tragic or epic hero, see POETRY 7b. .
Various estimations of the role of heroes, leaders, and great men in history, see HISTORY 4a(4).
The theological significance of glory, see GOD 4h; HAPPINESS 7C(2), 7d; IMMORTALITY Sf.
ADDITIONAL READINGS
Listed below are works not included in Great Books of the Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
INTRODUCTION
OUTLINE OF TOPICS
PAGE
. I. The use of hypotheses in the process of dialectic 757
2. Hypothetical reasoning and hypothetical constructions in philosophy
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-283] 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves ofthe page. For example, in 53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters e and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164e, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-283] 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: The distinction between axioms and postulates, assumptions, and hypotheses, see JUDGMENT
8a; PRINCIPLE 2b(2), 3c-3c(3); TRUTH 4c, 7a.
Other discussions of the use of hypotheses in dialectic and philosophy, see DIALECTIC 2a(2);
LOGIC 4d; PHILOSOPHY 3b-3c; and for the distinction between scientific and dialectical
reasoning, see PRINCIPLE 3C(2); REASONING Sb-sc.
Other discussions of postulates in mathematics, see LOGIC 4a; MATHEMATICS 3a; and for
other treatments of hypothetical judgments and hypothetical reasoning, see JUDGMENT 6d;
REASONING 2b .
. The employment and verification of hypotheses in empirical science, see ASTRONOMY 2b;
EXPERIENCE sa-sc; LOGIC 4b; MECHANICS 2b; PHYSICS 4b-4d; SCIENCE 4e, 5e.
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
AS the topical analysis or outline in each idea; and they also say that they have different
n chapter indicates, the great ideas are not ideas about the same thing, meaning that they
simple objects of thought. Each of the great understand the same thing differently.
ideas seems to have a complex interior structure The word "idea" has many other oppositions
-an order of parts involving related meanings of meaning in its tremendous range of ambigu-
and diverse positions which, when they are ity; It is sometimes used exclusively for the
opposed to one another, determine the basic eternal types in the divine mind or the intel-
issues in that area of thought. ligible forms that exist apart from material
The great ideas are also the conceptions by things which are their copies; sometimes for
which we think about things. They are the concepts in the human mind, abstracted from
terms in which we state fundamental problems; sense-experience; sometimes for the seeds of
they are the notions we employ in defining understanding which belong innately to the
issues and discussing them. They represent the intellect and so do not need to be derived from
principal content of our thought. They are sense. Sometimes "idea" means a sensation or a
what we think as well as what we think about. perception as well as an abstract thought, and
If, in addition to its objects and content, then its connotation extends to almost every
we wish to think about thought itself-its acts type of mental content; sometimes it is denied
or processes-we shall find in the tradition of that there are any abstract or general ideas; and
the great books a number of related terms sometimes "idea" has the extremely restricted
which indicate the scope of such inquiry. Some meaning of an image which is the memory of a
of them are: idea, judgment, understanding, sense-impression.
and reasoning; perception, memory, and imag- Kant vigorously protests against what he
ination; sense and mind. Here we are concerned thinks is a needless abuse of the term idea. "I
with one of these-the idea IDEA. It is probably beg those who really have philosophy at heart,"
the most elementary of all these related terms, he writes, "to exert themselves to preserve to
for according to different conceptions of the the expression idea its original signification."
nature and origin of ideas, the. analysis of There is, he insists, "no want of words to de-
thought and knowledge will vary. Different nominate adequately every mode of representa-
positions will be taken concerning the faculties tion without encroaching upon terms which are
by which men know, the acts and processes of proper to others."
thinking, and the limits of human understand- Kant proposes a "graduated list" of such
mg. terms. He begins with perception, which he di-
vides into sensation and cognition, according as
DOES THE WORD "idea," when it is used in the it is subjective or objective. A cognition, he
technical discourse of metaphysics or psychol- then goes on, "is either an intuition or a con-
ogy, signify that which is known or under- ception," according as it has either an imme-
stood? Does it signify, not the object of thought, diate or a mediate relation to its object. Di-
but the thought itself? Or both? Certainly in viding conceptions into the empirical and the
popular speech the word is used both ways, for pure, Kant "finally reaches the term idea as one
men speak of understanding an idea and note sub-division of pure conceptions. If the pure
differences in their understanding of the same conception "has its origin in the understanding
761
762 THE GREAT IDEAS
alone, and is not the conception of a pure sen- identification of ideas with particular percep-
suous image," it is a notio or notion; and "a tions, accompanied by a denial of abstract or
conception formed from notions, which trans- general notions?
cends the possibility of experience, is an idea, or Do writers like Locke or William James, for
a conception of reason." whom ideas of sensation and abstract ideas (or
According to Kant, anyone "who has ac- percepts and concepts) belong to the one facul-
customed himself to these distinctions," will ty of understanding or to the single stream of
find it "quite intolerable to hear the representa- consciousness, communicate with writers like
tion of the color red called an idea." Tolerable Plotinus, Descartes, and Spinoza, for whom
or intolerable, the word "idea" has been used ideas belong to the intellect or to the thinking
quite persistently with the very meaning that being, separate frpm matter and from sensa-
Kant abominates, as well as with a variety of tions which are only bodily reactions? Or with
others. The reader of the great books must be writers like Aristotle and Aquinas, for whom
prepared for all these shifts in meaning and, there is a sharp distinction between the faculties
with them, shifts in doctrine; for according to of sense and intellect? Can Aristotle and Aqui-
these differences in meaning, there are dif- nas in turn explain the origin of concepts or in-
ferent analyses of the nature or being of ideas, telligible species by reference to the intellect's
different accounts of their origin or their com- power of abstracting them from experience or
ing to be in the human mind, and different sensible species, and still carryon discussion
classifications of ideas. These three questions- with Plato, Augustine, an" Descartes, who re,-
what ideas are, how ideas are obtained, and of gard the intellect as in some way innately en-
what sorts they are-are so connected ,that the dowed with ideas, with the principles or seeds
answer given to one of them tends to circum- of understanding?
scribe the answers which can be given to the The foregoing is by no means an exhaustive
other two. inventory. It fails, for example, to ask about
the sense in which the theologians speak of
THE UNITY OF EACH ~hapter in this guide to the ideas in the mind of God and of the illumina-
great books depends on some continui,ty of tion of the angelic or the human intellect by
meaning in its central term, some common ideas divinely infused. (What is the common
thread of meaning, however thin or tenuous, thread of meaning between such discourse and
which unites and makes intelligible the dis- that concerned with the formation of abstract
cussions of various authors about the same concepts or with the revival of sense-impres-
thing. Without this, they would not move in sions in images?) It fails also to question the
the same universe of discourse at all. Nor could meaning of idea in Kant's tripartite analysis of
they even disagree with one another, if the the faculties of in tui tion, j udgmen t, and reason-
words they used were utterly equivocal, as for ing; or in Hegel's ultimate synthesis of all na-
example the word "pen" is equivocal when it ture and history in the dialectical life of the
designates a writing instrument and an enclosure Absolute Idea. (What do these meanings of
for pigs. "idea" have in common with the sense in which
The extraordinary ambiguity of the word Freud distinguishes between conscious and un-
"idea" as it is used in the great books puts this conscious ideas?)
principle to the test. Are Plato and Hume talk- The inventory is also incomplete in that it
ing about the same thing at all, when the one does not indicate the many divergent routes
discusses ideas as the only intelligible reality taken by authors who seem to share a common
and the other treats ideas as the images derived starting point. Even those who, on certain
through memory from the original impressions points, seem to talk the same language,. appear
of sense-experience? Is there any common to have no basis for commur:llcation on other
ground between Aristotle and Berkeley,be- points in the theory of ideas. But the questions
tween the identification of human ideas with which have been asked suffice for the purp.ose
abstract or general conceptions, quite. distinct at hand. However great the ambiguity of
from the perceptions or images of sense, and the "idea," it does not reach that limit of equivoca-
CHAPTER 37: IDEA 763
tion which would destroy the universe of dis- knowledgement and ordering of the two senses.
course. There is a slender thread of meaning For Aquinas, concepts are primarily the means
which ties all the elements of the tradition to- of knowledge, not the objects of knowledge.
gether-not in a unity of truth or agreement, A concept, Aquinas writes, "is not what is
bu t in an in telligi ble joining of issues. actually understood, but that by which the
This unity can be seen in two ways. It ap- intellect understands"-that by which some-
pears first in the fact that any consideration of thing else is known. Secondarily, however,
ideas-whether as objects or contents of the concepts become that which we know when
mind-involves a theory of knowledge. This we reflexively turn our attention to the con-
much is common to all meanings of "idea." tents of our own mind. Using the phrase "in-
Those, like Plato and Berkeley, for whom telligible species" to signify concepts, Aqui-
ideas constitute a realm of intelligible or sensi- nas explains that "since the intellect reflects
ble being, make knowledge of reality consist in upon itself, by such reflection it understands
the apprehension or understanding of ideas. not only its own act of intelligence but also the
Those, like Aristotle and James, for whom ideas species by which it understands. Thus the in-
have no being except as perceptions or thoughts, telligible species is that which is understood
make them the instruments whereby reality is secondarily; but that which is primarily under-
known. On either view, knowledge involves a stood is the object, of which the species is the
relationship between a knower and a known, or likeness. "
between a knowing faculty and a knowable It is possible, therefore, to have ideas about
entity; but on one view ideas are the reality things or ideas about ideas. In the vocabulary
which is known, and on the other they are the of this analysis by Aquinas, the ideas or con-
representations by which is known a reality cepts whereby real things are understood are
that does not include ideas among its consti- sometimes called the "first intentions" of the
tuents. These two views do not exhaust the mind. The ideas whereby we understand these
possibilities. ideas or first intentions are called the mind's
Ideas are sometimes regarded both as objects "second intentions." An idea is always a men-
of knowledge and as representations of reality. tal intention, an awareness or. representation,
Some writers (as, for example, Plato) distin- never an independent reality for the mind to
guish two orders of reality-the sensible and know.
the intelligible-and two modes of apprehen- Locke's differentiation between ideas of sen-
sion-sensing and understanding; and they use sation and ideas of reflection seems to parallel
the word "idea" for both the intelligible ob- the mediaeval distinction between first and
ject and the understanding of it. Locke, beg- second intentions; but whereas second inten-
ging the reader's pardon for his frequent use of tions are ideas engaged in a reflexive under-
the word "idea," says that it is the term "which standing of ideas as objects to be understood,
serves best to stand for whatsoever is the object Locke's ideas of reflection comprise "the per-
of the understanding when a man thinks." But ception of the operations of our own mind with-
Locke also distinguishes between knowledge of in us, as it is employed about the ideas it has
real existences through ideas "that the mind got." A closer parallel, perhaps, is to be found
has of things as they are in themselves," and in Locke's distinction between our knowledge
knowledge of the relations among our own of reality or of real existences and our knowl-
ideas, which the mind "gets from their com- edge of the relations existing between our own
parison with one another." For Hume, too, ideas.
ideas as well as impressions are involved in our
knowledge of matters of fact, but relations be- THE SECOND WAY of seeing a connection among
tween ideas may also be objects of knowledge, meanings of "idea" depends on recognizing
as in "the sciences of geometry, algebra, and what is common to contrary views.
arithmetic. " The word "pen" is utterly equivocal, as we
. This double use of "idea" is sometimes ac- have noted, when it names a writing instru-
companied, as in Aquinas, by an explicit ac- ment and an animal enclosure. Hence men
764 THE GREAT IDEAS
cannot contradict one another no matter what jects of human knowledge" include "either
opposite things they may say about pens in one ideas actually imprinted on the senses; or else
sense and pens in the other. The two meanings such as are perceived by attending to the pas-
of "pen" are not even connected by being op- sions and operations of the mind; or lastly ideas
posed to one another. But all the meanings of formed by the help of memory and imagina-
"idea" do seem to be connected by opposition tion-either compounding, dividing, or barely
at least, so that writers who use the word in its representing those originally perceived in the
different senses and have different theories of aforesaid ways." Hume, on the other hand,
idea cannot avoid facing the issues raised by divides "all the perceptions of the mind into
their conflicting analyses. two classes or species, which are distinguished
The root of this opposition lies in the positive by their different degrees of force or vivacity.
and negative views of the relation of ideas to The less forcible and lively are commonly de-
sensations-or, more generally, to sense and the nominated Thoughts or Ideas. The other species
sensible. Though there are different analyses of want a name in our language and in most others
sensation, one or both of two points seems to be ... Let us, therefore, use a'little freedom and
agreed upon: that sensations are particular per- call them Impressions." By this term, Hume
ceptions and that sensations result from the im- explains, "I mean all our more lively percep-
pingement of physical stimuli upon the sense tions, when we hear, or see, or feel, or love, or
organs of a living body. hate, or desire, or will."
Berkeley insists upon the first point while Another use of terms is represen ted by Locke,
emphatically denying the second. Ideas or sen- who distinguishes between ideas of sensation
sations are always particulars; but, he says, "the and reflection, simple and complex ideas, par-
various sensations or ideas imprinted on the ticular and general ideas, and uses the word
sense, however blended or combined together "idea" both for the original elements of sense-
(that is, whatever objects they compose), can- experience and for all the derivatives produced
not exist otherwise than in a mind perceiving by the mind's activity in reworking these given
them," and their cause is neither physical mat- materials, whether by acts of memory, imagina-
ter nor the perceiving mind, but '~some other tive construction, or abstraction. Still another
will or spirit that produces them." Others, like variation is to be found in William James. De-
Lucretiusand Hobbes, who regard sensations as spite the authority of Locke, he thinks thatthe
particular perceptions, do not use the word word" 'idea' has not domesticated itself in the
"idea," as Berkeley does, for perceptions of ex- language so as to cover bodily sensations." Ac-
ternalorigin, but restrict it to inner productions cordingly, he restricts the word "idea" to con-
of the mind itself in its acts of memory or imag- cepts, and never uses it for sensations or per-
ination. ceptions. Nevertheless, like Locke, he does not
The various theories of idea thus range from think that the development of concept from
those which identify an idea with a sensation or percept needs the activity of a special faculty.
perception or with the derivatives of sensation, Both concept and percept belong tothe single
to those which deny the identity or even any "stream of thought" and are "states of con-
relationship between ideas and sensations or sciousness. "
images of sense.
THE SECOND POSITION is taken by writers who
THE FIRST POSITION is taken by writers who in one way or another distinguish between
conceive mind or understanding, in men or sense and intellect and regard them as quite
animals, as the only faculty of knowledge. It separate faculties of knowing. The one is sup-
performs all the functions of knowing and posed to perform the functions of perception,
thinking. It is sensitive as well as reflective. It imagination, and memory; the other, the func-
perceives and remembers as well as imagines tions of thought-conception, judgment, and
and reasons. reasoning, or if not these, then acts of intellec-
Within this group of writers there are differ- tual vision or intuition. Here, too, there are
ences. Berkeley, for example, thinks "the ob- differences within the group.
CHAPTER 37: IDEA 765
Just as the extreme version of the first posi- but "the undoubting conception of an un-
tion is taken by those who identify ideas with clouded and attentive mind" which "springs
perceptions, so here the opposite extreme con- from the light of reason alone."
sists in the denial of any connection between As mind and body are separate substances
ideas and all the elements of sense-experience. for Descartes-mind being conceived by him
The ideas in the divine mind, or the ideas in- as a res cogitans or thinking substance, quite
fused by God into the angelic intellects, have separate from a res extensa or the extended mat-
no origin in experience, nor any need for the ter of a bodily substance-so ideas and sensa-
perceptions, memories, or images of sense. They tions are independent in origin and function.
are not abstract ideas, that is, they are not con- Like infused ideas in the angelic intellect, in-
cepts abstracted from sense-materials. nate ideas in the human mind are not abstract,
"Our intellect," Aquinas writes, "abstracts for they are not abstracted. But unlike the
the intelligible species from the individuating angelic intellect, the human mind, even when
principles"-the material conditions of sense it employs innate ideas, is discursive or cogita-
and imagination. "But the intelligible species tive. It is never conceived as entirely free from
in the divine intellect," he continues, "is im- the activities of judgment and reasoning, even
material, not by abstraction, but of itself." The when its power is also supposed to be intuitive
divine ideas, Aquinas quotes Augustine as say- -that is, able to apprehend intelligible objects
ing, "are certain original forms or permanent without analysis or without recourse to the
and immutable models of things which are con- representations of sense.
tained in the divine intelligence." Following The doctrine of innate ideas does not always
Augustine's statement that "each thing was go as far as this in separating intellectual knowl-
created by God according to the idea proper to edge-or knowledge by means of ideas-from
it," Aquinas restricts the word "idea" to the sense-experience. In the theories of Plato and
"exemplars existing in the divine mind" and Augustine, for example, sense-experience serves
to the species of things with which God informs to awaken the understanding to apprehend the
the angelic intellects. He uses the word "con- intelligible objects for the intuition of which it
cept" where others speak of "ideas" in the is innately equipped.
human mind. "To learn those things which do not come
Descartes, on the other hand, endows the into us as images by the,senses," Augustine
human mind with ideas-not concepts ab- writes, "but which we know within ourselves
stracted from and dependent on sense, but in- without images ... is in reality only to take
tuitive apprehensions which, since they cannot things that the memory already contains scat-
be drawn in any way from sense-experience, tered and unarranged ... and by thinking
must be an innate property of the human mind. bring them together." Moreover, the memory
He does not, however, always use the word contains, not only "images impressed upon it
"idea" in this strict sense. Some ideas, he says, by the senses of the body, but also the notions
"appear to be innate, some adventitious, and of the very things themselves, which notions
others to be formed or invented by myself." we never received by any avenue of the body."
The ideas called "adventitious" are those which This process oflearning by remembering ap-
seem to come from the outside, as when "I hear pears to be similar to the process which Plato
some sound, or see the sun, or feel heat." Those also calls "recollection" or "reminiscence." In
which we form or invent ourselves are '~con the Meno Socrates demonstrates that a slave-
structions of the imagination." Only innate boy, who thinks he knows no geometry, can be
ideas, in Descartes' view, are truly ideas in the led simply by questioning to discover that he
sense of being the elements of certain knowl- knew all the while the solution of a geometric
edge and the sources of intellectual intuition. problem. "There have always been true thoughts
"By intuition," he says, "I understand, not the in him," Socrates tells Meno, thoughts "which
fluctuating testimony of the senses, nor the only needed to be awakened .into knowledge by
misleading judgment that proceeds' from the putting questions to him." Hence "his soul
blundering constructions of the imagination," must always have possessed this knowledge."
766 THE GREAT IDEAS
Learning, according to this doctrine of innate gence and corporeal sense. On the one hand, the
ideas, must therefore be described as an at- human intellect is for Aquinas an incorporeal
tempt "to recollect," not "what you do not power; on the other hand, it functions only in
know," but "rather what you do not remem- cooperation with the corporeal powers of sense
ber. " and imagination. So the concepts which the
Learning by recollection or reminiscence human intellect forms, being universal, are im-
seems to be a process in which latent ideas material; but they are also dependent, in origin
(whether they are retained by the soul from and function, on the materials of sense. Not
a previous life or are part of the soul's endow- only are universal concepts abstracted from the
ment at its creation) become active either phantasms, but for the intellect to understand
through the questioning of a teacher or through physical things, "it must of necessity," Aquinas
being awakened by the perceptions of the writes, "turn to the phantasms in order to per-
bodily senses. Though such bodily stimulation ceive the universal nature existing in the in-
of thought implies a functional connection be- dividual. "
tween body and soul, nevertheless both Plato This theory of abstract ideas seems not far
and Augustine hold that ideas are independent removed from the position of Locke, who dis-
in origin. They are not derived from sense, tinguishes between particular and general ideas
though their appearance may be occasioned by (which he calls "abstract") or that of William
events in the world of sense. James, who distinguishes between universal
concepts and sense-perceptions. Yet on one
ONE OTHER VIEW still remains to be considered. question the difference between them is radical,
It denies that ideas are innate in the human namely, whether particular sensations and uni-
mind at the same time that it distinguishes be- versal ideas belong to the same faculty of mind
tween the intellect and the senses as separate or to the quite distinct faculties of sense and
faculties of knowing. Having to explain whence intellect.
the intellect gets its ideas, writers like Aristotle This difference seems to have considerable
and Aquinas attribute to the human intellect bearing on the way in which these writers ex-
an abstractive power by which it draws "the plain the process of abstraction or generaliza-
intelligible species" from sensory images, which tion, with consequences for certain subtleties,
Aquinas calls "phantasms." acknowledged or ignored, in the analysis of
The concepts by which "our intellect under- the grades of abstraction. Nevertheless, the
stands material things," we obtain "by ab- resemblance between the positions of Locke
stracting the form from the individual mat- and Aquinas, or those of William James and
ter which is represented by the phantasms." Aristotle, each affirming in his own way that
Through the universal concept thus abstracted, the mind contains nothing not rooted in the
we are able, Aquinas holds, "to consider the senses, serves to mediate between the more
nature of the species apart from its individual extreme positions.
principles." It should be added here that ab-
stractions are not vehicles of intuitive appre- THE DISPUTE ABOUT innate ideas and the con-
hension. Conception, which is the first act of troversy over abstract ideas are issues in psy-
the mind, yields knowledge only when concepts chology inseparable from fundamental differ-
are used in subsequent acts of judgment and ences concerning the nature and operation of
reasomng. the faculty or faculties of knowing. There are
Abstract or universal concepts are as different other issues which concern the being or the
from the ideas which belong to intellects sepa- truth of ideas. Here the first question is not
rate from bodies-the divine or angelic intel- whether ideas are objects of knowledge, but
lects-as they are different from the particular whether the existence of ideas is real or mental
perceptions or images of sense. They occupy an -outside the mind or in it.
intermediate position between the two, just as, One aspect of this controversy is considered
according to Aquinas, "the human intellect in the chapter on FORM, viz., the argument be-
holds a middle place" between angelic intelli- tween Aristotle and Plato about the being of
CHAPTER 37: IDEA 767
the Ideas or Forms apart from both matter and mind's conception of it, face the problem of
mind. It is in the context of this argument that differentiating between these two modes of be-
the traditional epithet "realism" gets one of its ing. To say that ideas or concepts exist only in
meanings, when it signifies the view that ideas the mind is not to say that they do not exist at
or universals have an independent reality of all, but only that they do not exist in the same
their own. The various opponents of this view way as things outside the mind.
are not called "idealists." If they deny any exist- Does an entity in its real existence apart
ence to universal ideas ou tside the mind, they are from knowledge have the same character that
usually called" conceptualists"; if they deny the it has when, as an object known, it somehow
presence of universals even in the mind, they are belongs to the knowing mind? Is there a kind
called "nominalists." These doctrines are more of neutral essence which can assume both modes
fully discussed in the chapters on SAME AND of existence-real existence, independent of
OTHER, UNIVERSAL AND PARTICULAR. mind, and ideal existence, or existence in the
The controversy about the being of ideas has mind, as an object conceived or known? Is an
another phase that has already been noted in idea or concept in the mind nothing but the
this chapter; and it is in this connection that real thing 'objectified, or transformed into an
the epithet "idealism" gets one of its traditional object of knowledge; or is the real thing, the
meanings. The doctrine is not that ideas have thing in itself, utterly different from the objects
real existence outside the mind. On the con- of experience or knowledge-neither knowable
trary, it is that the only realities are mental- nor capable of representation by concepts?
either minds or the ideas in them. These questions, relevant to the consider-
Berkeley's famous proposition-esse est per- ation of ideas as representations of reality, are,
cipi, to be is to be perceived-seems intended of course, also relevant to problems considered
to permit only one exception. The perceiv- in the chapters on BEING, EXPERIENCE, and
ing mind has being without being perceived, KNOWLEDGE. The issues indica ted are there
but nothing else has. Everything else which discussed.
exists is an idea, a being of and in the mind. Intimately connected with them are ques-
According to this doctrine (which takes differ- tions about the truth of ideas. Can ideas or
ent forms in Berkeley and in Hegel, for ex- concepts be true or false in the sense in which
ample), the phrase "idea of' is meaningless. truth and falsity are attributed to propositions
Nothing exists of which an idea can be a repre- or judgments? Under what conditions is an
sentation. There is no meaning to the distinc- idea true? In what does its truth consist, and
tion between thing and idea. The real and the what are the signs or marks of its truth? These
ideal are identical. matters are discussed in the chapter on TRUTH.
Plato is sometimes called an "idealist" but Here it is sufficient to point out that the tradi-
not in this sense. He has never been interpreted tional distinction between adequate and in-
as completely denying reality to the changing adequate ideas, and the comparison of clear and
material things which imitate or copy the eter- distinct with obscure and confused ideas, are
nal ideas, the immutable archetypes or Forms. used to determine the criteria of truth. It may
Applied to Plato or to Plotinus, "idealism" be the truth of.a concept taken by itself or of
seems to signify the superior reality of ideal (as the judgment into which several concepts enter.
opposed to material or physical) existence. Just To the extent that ideas are regarded as repre-
as "idealism" has these widely divergent mean- sentative, their truth (or the truth of the judg-
ings, so does "realism" when it designates, on ments they form) seems to consist in some
the one hand, those who attribute independent mode of agreement or correspondence with the
reality to ideas and, on the other hand, those reality they represent, or, as Spinoza says, its
who affirm the existence of an order of real ideatum.
existences independent of the ideas which Within the conceptual or mental order it-
represent them in the mind. self, there is a further distinction between ideas
Writers who distinguish between things and which do not perform a representative function
ideas, or between the order of reality and the and those which do. The former are treated as
768 THE GREAT IDEAS
fantasies, fictions, or chimeras; the latter are terms are distinguished both as subjects and as
called, by contrast, "real ideas," or ideas having predicates.
some reference to reality. The question of the . This in turn depends upon certain traditional
reality of ideas takes precedence over the ques- divisions which are applicable to terms, if not
tion of their truth, at least for those who regard always to concepts, such as the familiar distinc-
the division into true and false as applicable tions between concrete and abstract, and par-
only to representations. Yet the criteria of the ticular and universal, terms. When the concept,
distinction between the real and the imaginary which is sometimes called the "mental word,"
are difficult to separate from the criteria oftrue is regarded as by its very nature abstract and
and false. The separation is made most readily universal, these distinctions are applicable only
by those who use "idea" to mean memory to the physical words which are terms. Con-
image. They can test the reality of an idea by crete and particular terms are then treated as
tracing it back to the impression from which it verbal expressions of sense-perceptions or im-
originated. ages; abstract and universal terms, as verbal
Another sort of test is applied by those who expressions of ideas or concepts. But whenideas
measure the reality of abstract ideas by their fi- are identified with sense-perceptions or images,
delity to the sense-perceptions from which they and abstract concepts are denied, the existence
were abstracted. Still another criterion, pro- of general names in ordinary discourse suffices
posed by William James, is that of freedom for the distinction between particular and uni-
from contradiction. An idea has truth and versal terms, even though the latter do not
its object has reality if it "remains uncontra- express any actual content of the mind.
dicted." The idea of a winged horse illustrates Unlike the foregoing, other divisions of terms,
the point. as, for example, the distinction between the
"If I merely dream of a horse with wings," univocal and the analogical, or between species
James writes, "my horse interferes with nothing and genera, do not occur throughout the tradi-
else and has not to be contradicted .... But if tion of logic. They tend to be characteristic of
with this horse I make an inroad into the world the logic of Aristotle and its mediaeval develop-
otherwise known, and say, for example, 'That ment. Of these two distinctions, that between
is myoid mare Maggie, having grown a pair of univocal and analogical terms or concepts ap-
wings where she stands in her stall,' the whole pears. explicitly, so far as this set of great books
case is altered; for now the horse and place are is concerned, only in the Summa Theologica.
identified with a horse and place otherwise Nevertheless, Aquinas does have some back-
known, and what is known of the latter objects ground for his special theory of analogical terms
is incompatible with what is perceived with the in Aristotle's treatment of univocal and equiv-
former." ocal names, and in his separation of terms
which predicate a sameness in species or genus
THE CONSIDERATION of ideas or concepts be- from those which predicate a sameness by anal-
longs to logic as well as to psychology and meta- ogy. The analysis of these distinctions is under-
physics. The logician sometimes deals with con- taken in the chapters on SAME AND OTHER and
cepts directly and with the judgments into SIGN AND SYMBOL.
which they enter; sometimes he deals with Other writers, in dealing with universal
them only as they find verbal expression in terms, recognize that they have different de-
terms and propositions. grees of generality. They sometimes formulate
The distinction between concepts and judg- this as an order of more and less inclusive classes.
ments (or between terms and propositions) is Sometimes they refer to the intension and ex-
discussed in the chapter on JUDGMENT. There tension, or connotation and denotation, of
also we see that the classification of judgments terms. The more general terms have a less re-
or propositions depends in part on the accept- stricted connotation and hence represent more
ance or rejection of the notions of subject and extensive or inclusive classes. The more specific
predicate in the analysis of concepts or terms; terms have a more determinate meaning and so
and, if they are accepted, on the way in which also have a narrower denotation and represent
CHAPTER 37: IDEA 769
less inclusive classes. What seems to be peculiar of whether the more or the less general takes
to Aristotle's analysis of species and genera is precedence in the order of learning. The order
the setting of upper and lower limits to the and relation of ideas is even more the common
hierarchy of universal terms, with a small num- ground of both logic and psychology. Both, for
berof irreducible categories (or summa genera) example, deal with the position and sequence
under which all species fall, and, at the other of terms or concepts in reasoning, though the
extreme, with a finite number of lowest (or logician aims to prescribe the forms which rea-
infimae) species which are incapable of subsum- soning must take in order to be valid, whereas
ing other species. the psychologist tries to descn"be the steps by
The terms which fall under the lowest species which thinking actually goes on.
must either be particulars or accidental classes. Only the logician, however, is concerned
Those which seem to be predicable of the cate- with the way in which terms are ordered to
gories themselves, such as being or one, cannot one another as positive and negative, or as con-
be genera. These are the terms which Aristotle's traries; just as from Aristotle to Freud, only
mediaeval followers call "transcendental" and the psychologist deals with the association of
"analogical." Using the word "transcendental" ideas in the stream of thought by relationships
in a different sense, Kant enumerates a set of of contiguity and succession, similarity and
concepts which bear some resemblance to Aris- difference. According as the logical connec-
totle's summa genera, but which he treats as tion of ideas or their psychological association
transcendental categories. is made the primary fact, radically divergent
The difference among concepts with respect interpretations are given of the nature of
to generality is of interest to the psychologist mind, the life of reason, and the process of
as well as the logician, for it raises the problem thought.
OUTLINE OF TOPICS
PAGE
I. Doctrines of idea
Ia. Ideas, or relations between ideas, as objects of thought or knowledge: the ideas
as eternal forms
lb. Ideas or conceptions as that by which the mind thinks or knows
IC. Ideas as the data of sense-experience or their residues
Id. Ideas as the pure concepts of reason: regulative principles
Ie. Ideas in the order of supra-human intelligence or spirit: the eternal exemplars
and archetypes; the modes of the divine mind
If Idea as the unity of determinate existence and concept: the Absolute Idea 773
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-2831 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves ofthe page. For example, in 53 JAMES: Psychology, Il6a-1l9b, the passage
begins in the upper half of page u6 and ends in the lower half of page U9. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the lettersc and d to the upper and lower halves of the right-hand side of
the page. For example,in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-2831 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) 11 Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
II
782 THE GREAT IDEAS
CROSS-REFERENCES
For: The theory of Ideas as eternal forms existing apart from mind and matter, see CHANGE I5a;
ETERNITY 4c; FORM la, 2a-2b; UNIVERSAL AND PARTICULAR 2a.
The theory of ideas as universal conceptions abstracted from the materials of sense, see FORM
3a-3b; MEMORY AND IMAGINATION 5b, 6C(I); SENSE 5a; UNIVERSAL AND PARTICULAR 2b,
4C-4d; and for abstraction in relation to generalization and induction, see EXPERIENCE 2b;
INDUCTION la, 3.
The theory of ideas as sense impressions or sense images, see MEMORY AND IMAGINATION la,
5a; SENSE Id, 5a.
The doctrine of innate ideas and the related theory of reminiscence and intuitive knowledge,
see KNOWLEDGE 6c(3); MEMORY AND IMAGINATION 3a; MIND 4d(2).
The theory of the transcendental concepts or ideas as constitutive or regulative principles,
see FORM IC, 3a; KNOWLEDGE 6b(4), 6c(4); MIND 4d(3); PRINCIPLE 2b(3); and for the
dialectical employment of the ideas of pure reason, see DIALECTIC 2C(2).
The theory of the Absolute Idea, see HISTORY 4a(3); MIND rof-rof(2).
The theory of the divine ideas as eternal exemplars, or of the ideas infused into angelic intel-
lects, see ANGEL 3d; FORM 2b; GOD 5f; KNOWLEDGE 7atb; MIND roe, 109; UNIVERSAL
AND PARTICULAR 4b.
The issue concerning the distinction of, and the relation between, sense and intellect, see
BEING 8a-8b; KNOWLEDGE 6a(I), 6b-6b(4); MEMORY AND IMAGINATION 5b, 6b, 6d;
MIND I-lg(3); SENSE la-l b, 4a, 5c.
Another discussion of the distinction between first and second intentions, and of the related
distinction between first and second impositions, see SIGN AND SYMBOL 2a-2b.
Other discussions of adequate and inadequate, or clear and distinct ideas, see KNOWLEDGE
6d(3); OPINION 3b; TRUTH la; and for other considerations of mental fictions or chimeras,
see BEING 7d(5); MEMORY AND IMAGINATION 5a.
The consideration of the expression of ideas in words or terms, see LANGUAGE la, 7; SIGN
AND SYMBOL If; for the distinction of concrete and abstract terms, see SIGN AND SYMBOL
2e; for the distinction of particular and universal terms, see SIGN AND SYMBOL 2d; UNI-
VERSAL AND PARTICULAR 5c; for the distinction of species and genera, see RELATION 5a(4);
SAME AND OTHER 3a(I); UNIVERSAL AND PARTICULAR 5b; and for the distinction between
univocal, equivocal, and analogical terms, see RELATION Id; SAME AND OTHER 3b, 4c;
SIGN AND SYMBOL 3d.
The treatment of the definition of terms as the expression or analysis of concepts, see DEFI-
NITION I, lb.
The correlation and opposition of concepts or terms, see OPPOSITION la-Ib; RELATION IC,
4e.
The role played by concepts in the acts of judgment and reasoning, or for terms in relation
to propositions and syllogisms, see JUDGMENT 5b-5c; REASONING 2a(x).
Other discussions of the association of ideas, see MEMORY AND IMAGINATION 2c;MIND
Ig( I); RELATION 4f.
The metaphysical problem of the being of ideas, and for the theory of intentional existence,
see BEING 7d-7d(5); SIGN AND SYMBOL Ib; UNIVERSAL AND PARTICULAR 2C.
Another consideration of the truth or reality of ideas, see TRUTH 3b( I).
CHAPTER 37: IDEA 783
ADDITIONAL READINGS
Listed below are works not included in Great Books of the Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
INTRODUCTION
T HE mortality of man defines by contrast
the immortality which some men hope
being. It is destined to be his immortal spirit
in a future which belongs to eternity rather
for, some men fear, some men scoff at, but no than to time.
man ever fails sooner or later to consider. The Except for the form it takes in the doc-
life of man, like that of other animals, moves trine of reincarnation, or the transmigration of
through a normal span of years between. birth souls, the idea of immortality is usually at-
and death. Legend tells of certain heroes upon tended by conceptions of an after-life in another
whom the immortal gods bestowed immortal world-the life of the shades in the Elysian
life, gracing them with an aspect of their Fields or in Hades, the life of the blessed in
own divinity. Jewish and Christian faith holds Heaven or of the damned in Hell. The after-
that Adam, with all his posterity, would never life is never merely a continuation of the life
have suffered disease or death if he had refrained begun on earth. The other world is not just an
from sin. But according to the theologians, the abode for the disembodied soul. It is a place of
imperishability of the bodily frame of man in a judgment, of rewards and punishments, in
state of grace is a preternatural condition.. Ex- which the soul realizes the good, or pays the
cept, then, for the miraculous or the super- penalty for the evil, toward which its earthly
natural, death follows birth and life, that which career inclined. The connection of immortality
comes to be passes away, all things of flesh and with rewards and punishments appears even in
blood perish. the theory of reincarnation, for as the soul
The proposition "All men are mortal" has passes from one embodiment to another, it en-
been repeated during centuries of lessons in joys or suffers the consequences befitting its
logic. Its truth has never been seriously chal- previous existence.
lenged even by those who have criticized the
syllogism which reaches the conclusion that STATED AS A speculative problem, the question
since he is a man, Socrates is mortal. But of immortality is traditionally formulated as a
throughout the same period, the great books of question about the soul or the spirit of man:
poetry and religion, of philosophy and theology, whether it exists by itself either before or after
have recorded the qualifications which men its conjunction with a human body; and if so,
have placed upon this truth. in what manner it subsists. For those who affirm
Man dies in the flesh to be reborn in the spir- the soul's separate existence, there seems to be
it. Man, composite of soul and body, perishes no question about its everlasting endurance,
as do all things which are~ubject to dissolution; either without beginning at all or from the
but the soul itself, a si~ple spiritual substance, moment of its creation. But the manner of the
is immortal, living on after its union with the soul's subsistence leads to speculation concern-
body is dissolved. The immortal soul is some- ing an after-life or an other-life in a world of
times conceived as having many incarnations, spirits, or in realms as far apart as Heaven and
inhabiting now this body, now that, in an end~ Hell.
less pilgrimage through endless time; and some- We shall presently consider to what extent
times, as in the Christian faith, each soul has such speculations have been submitted to argu-
only one embodiment on earth. It is specially ment and to what extent they have been mat-
created by God to inform the body of a human ters of religious belief. But in both these modes
784
CHAPTER 38: IMMORTALITY 785
of consideration, the theme of immortality is great many of Plato's dialogues is not always
never merely a matter of speculative interest, based upon moral considerations. It appears as
never merely a question of spiritual substances frequently in discussions of the relation be-
and their subsistence. It is always a problem for tween the soul and the objects of its knowledge.
the moralist. If, to be proper objects of knowledge, the Ideas
Is this earthly life and its brief temporal span must be eternal, the soul which knows them
enough for the aspirations of the human spirit, must also be immortal. But when the discussion
and for its striving toward a perfection o{knowl- ofimmortality involves a comparison of this life
edge, of love, and of repose? If external sanc- and the life to come, it usually turns on con-
tions are needed to support the voice of con- siderations of goodness rather than of knowl-
science, are earthly rewards and punishments- edge and truth. For Kant, if not for Plato,
either humanly dispensed, or capriciously dis- immortality is almost entirely a moral matter;
tributed by chance or fortune-sufficientsanc- and where the Platonic myth deals with just
tion for the moral law ? Can perfect justice be rewards and punishments in an after-life, the
done unless there is a divine law and a divine Kantian argument is concerned with the
judge, a judge who can see beyond the acts of achievement of moral perfection.
men into their hearts, from whose judgment In his Critique of Practical Reason, Kant af-
no one escapes, and whose rewards and punish- firms immortality, along with the existence of
ments are supernaturally established states of God and the freedom of the will, as necessary
blessedness and misery for the soul? practical postulates-indispensable conditions
Whether or not God, freedom, and immor- of the moral life. "The perfect accordance of
tality are, as Kant suggests, the three great ob- the will with the moral law," Kant writes, "is
jects of speculative thought, they do seem to holiness, a perfection of which no rational being
form the basic triad of religious beliefs. In the of the sensible world is capable at any moment
religions of the west, these beliefs take various of his existence ... I t can only be found in a
forms, but the belief in immortality is seldom progress in infinitum towards that perfect ac-
if ever found separate from belief in a super- cordance ... It is necessary to assume such a
natural order, in gods or a God 'to whom man practical progress as the real object of our
owes certain duties and before whom man will." The realization of happiness, or the sum-
stands to be judged as a responsible moral agent mum bonum, Kant concludes, "is only possible
who was free to obey or disobey the divine com- practically on the supposition of the immor-
mands. But, this fact admitted, the question re- tality of the soul."
mains whether the principles of morality can be The opposite view appears to be taken in
adequately stated, or made effective in the reg- Aristotle's Ethics and Mill's Utilitarianism. The
ulation of human conduct, without a religious summum bonum is a temporal happiness, a per-
foundation, or at least without reference to fection attainable on earth and by purely nat-
God and immortality. ural means. In those passages in which Aris-
On this the moralists disagree. The argument totle defines happiness in terms of contempla-
in Plato's Gorgias, for example, about whether tive activity, he also speaks of it as a godlike
it is better to do or suffer injustice, ends with a life and therefore one which has a touch of im-
myth which tells of the soul standing naked mortality. Man is able to lead such a life, he
before its divine judge after a man's death, writes, only "in so far as something divine is
showing no marks of the evil the individual has present in him." To lead the life of reason,
suffered during his life, but only of the evil he which is divine in comparison with any other
has done. The reader who thinks the myth is mode of human life, we must, he says, "so far
necessary to complete the argument concerning as we can, make ourselves immortal, and strain
justice and punishment, takes one position on every nerve to live in accordance with the best
the question. He adopts the view that without thing in us."
the judgment of souls in an after-life justice But to be immortal in this way seems to
cannot be done. mean the possession of a godlike quality in this
The preoccupation with immortality in a life rather than the promise of a life hereafter.
786 THE GREAT IDEAS
Aristotle demands only "a complete term of departed, listen to their memories, or hear them
life" as a necessary condition for "the complete speak prophetically of the future. From An-
happiness of man." He passes lightly overthe chises, his dead father, Aeneas learns his des-
question whether "the dead share in any good tiny; and Odysseus hears in Hades what has
or evil." So far as he considers a blessedness befallen his companions at Troy and his family
which the gods can add to human happiness, at home during his years of wandering.
it does not belong to an after-life, but consists Yet there is a striking difference between
rather in the good fortune which the gods grant Virgil's poem and Homer's with respect to the
to some men and which increases and secures after-life. The division which Virgil makes be-
their happiness beyond that which is attainable tween Elysium and Tartarus corresponds much
by virtue alone. more closely than anything in Homer-or for
The moral issue concerning immortality is that matter in the other Greek poets-to the
more explici tly faced by Mill in his examina tion Christian distinction between Heaven and HelL
of the need for religious or supernatural sanc- Though Elysium and Tartarus both belong to
tions. Whilehe does not admit their indispensa- the underworld, one is the abode of the blessed,
bility, neither does he deny their utility. the other a place of torment for sinners.
"There is evidently no reason," he declares, In the sixth book of the Aeneid, the Sibyl ex-
"why all these motives for observance should plains the topography of the underworld to
not attach themselves to the utilitarian morali- Aeneas. There is a place "where splits the road
ty, as completely and as powerfully as to any in twain," she says:
other." Yet he himself stresses "the possibility
The right leads to the giant walls of Dis,
of giving to the service of humanity, even with- Our way to Elysium; but the left wreaks doom
out the aid of belief in a Providence, both the On sinners, and to guilty Tartarus sends.
psychological power and the social efficacy of
a religion." Tartarus, the abode of the condemned, is sur-
Mill does not go as far as Lucretius in regard- rounded by "a fierce torrent of billowy fire,"
ing the belief in immortality, with the attend- and is filled with the noise of punishment.
ant possibility of everlasting torment for the Elysium, on the other hand, is
soul, as itself an immoral doctrine. For Lu- The happy region and green pleasaunces
cretius it is a nightmare which haunts the wak- Of the blest woodlands, the abode of joy.
ing hours of men, filling them with false fears An ampler ether with purpureallight .
and putting future pains in the way of present Clothes here the plain; another sun than ours,
And other stars they know.
pleasures. He dedicates his poem to "driving
headlong forth that dread of Acheron, trou- Its inhabitants, in sharp contrast with the un-
bling as it does the life of man from its inmost fortunates in Tartarus, seem to pass their time
depths and overspreading all things with the in peace and pleasure.
blackness of death, allowing no pleasure to be Homer makes no such sharp division between
pure and unalloyed." the realm of the blessed and the realm of the
Where others see in man's fear of death his condemned. Plutarch speaks of "the isles of the
natural desire for immortality, Lucretius blessed celebrated by Homer," but the refer-
thinks it is the dread of immortality which ence cannot be substantiated. In one passage in
causes man's fear of death. "We have nothing to the Iliad Menelaus is promised that he will be
fear after death," he says, if death is the end. taken "to the Elysian plain, which is at the end
''He who exists not, cannot become miserable." of the world. There fair-haired Rhadamanthus
reigns, and men lead an easier life than any-
IN THE GREAT POEMS of antiquity we find the where else in the world, for in Elysium there
imagery and detail of the pagan conception of falls not rain, nor hail, nor snow." But even
the life hereafter. Both Odysseus and Aeneas this seems to describe a different life rather than
visit the underworld. They see the shades of the an after-life.
departed heroes; all that is visible to the bodily So far as the underworld is described on the
eye are shimmering wraiths. They talk with the occasion of Odysseus' descent "into the house
CHAPTER 38: IMMORTALITY 787
of Hades and dread Prosperine," we are told which tenant the earth, the water, and the air,
that the Theban prophet Teiresias alone has his after which it enters again into a human frame
"reason still unshaken." All "the other ghosts and is born anew."
flit about aimlessly." The shades of good men Herodotus, however, seems more interested
and bad alike languish in the domain of dark- in the effect of such beliefs on the practices of
ness. Tityus, Tantalus, and Sisyphus are sub- the living, especially their funeral rites and
jected to special punishments for their grievous other devotions, than he is with the tcuth of
sins and transgressions, but all the shades-even conflicting theories of immortality.
of those men whom the gods loved and honored "The doctrine of a future state," according
-seem to be in a state of misery. Though they to Gibbon, "was scarcely considered among the
are not all beset with torments and agonies, devout polytheists of Greece and Rome as a
none seems to be overcome with joy or to have fundamental article of faith." Before the time
reached contentment.. of Christ, "the description of the infernal re-
Those whom the gods love do not join the gions had been abandoned to the fancy of
deities on Mount Olympus. When they enter painters and of poets, who peopled them with
the somber realm of Pluto-the deity of the so many phantoms and monsters who dispensed
underworld-they, like all the other shades their rewards and punishments with so little
whom Charon ferries across the river Styx, are equity, that a solemn truth, the most congenial
more remote from the gods than are mortal to the human heart, was oppressed and dis-
men on earth. The only exception perhaps is graced by the absurd mixture of the wildest
Heracles, whom Odysseus meets in Hades, or fictions." Lacking an acceptable or satisfying
rather "his phantom only, for he is feasting belief, yet inclined to believe in, as men are
ever with the immortal gods, and has lovely inclined to hope for, a better life, the pagan
Hebe to wife." world, Gibbon thinks, could not long resist the
The general attitude of all who dwell in the appeal of Christian teaching. "When the prom-
underworld is summed up by Achilles when he ise of eternal happiness was proposed to man-
tells Odysseus: "Say not a word in death's kind on condition of adopting the faith, and of
favor; I would rather be a paid servant in a observing the precepts of the Gospel, it is no
poor man's house and be above ground than wonder," he declares, "that so advantageous an
king of kings among the dead. " And the mother offer should have been accepted by great num-
of Odysseus describes the condition of the dead bers of every religion, of every rank, and of
"in the abode of darkness" as one in which "the every province in the Roman empire."
sinews no longer hold the flesh and bones to-
gether; these perish in the fierceness of con- THE ARGUMENTS for personal immortality
suming fire as soon as life has left the body, and which Christian theologians draw from the
the soul flits away as though it were a dream." nature of the human soul do not differ essen-
Among other ancient peoples such as the tially from the proofs offered by philosophers
Egyptians, the Babylonians, and the Persians, without recourse to religious faith. This applies
Herodotus found other views of immortality to arguments advanced before Christianity by
than those which prevailed in Greece. He re- Plato and Plotinus as well as to those developed
ports, for example, the doctrine of transmigra- by philosophers like Descartes and Locke who
tion or reincarnation-a doctrine which also belong to the Christian community. The ex-
appears in the myth of Er at the end of Plato's clusively theological aspects of the Christian
Republic and is alluded to elsewhere in the doctrine of immortality are those matters
Platonic dialogues. "The Egyptians," Herodo- which, since they are beyond the reach of
tus writes, "were the first to broach the opinion reason, belong.to faith alone.
that the soul of man is immortal, and that, The doctrine that the individual soul is cre-
when the body dies, it enters into the form of ated and that it has a unique affiliation with
an animal which is born at the moment, thence one human body, is not capable of being proved
passing on from one animal into another, until or defended by reason against the quite oppo-
it has circled through the forms of all creatures site theory that the soul has always existed and
788 THE GREAT IDEAS
inhabits any number of bodies in the course of in its literal significance is strictly unimaginable.
many reincarnations. The existence of Hell, The imagery of darkness, sultriness, noise, and
Purgatory, and Heaven as supernatural states heaviness, which grows more intense as the de-
of the soul; the time, place, and manner of the scent proceeds in the Inferno, does more than
Last Judgment; the resurrection of the body the anguished ou tcries of the damned to convey
and the difference between the bodies reunited the reality of Hell;
with the souls of the blessed and the damned; The metaphors of music and agility express
the joy of eternal happiness and the misery of the harmony of Heaven. But it is especially the
eternal damnation-these dogmas of Christian symbolism of light which captures the invisible
orthodoxy go far beyond all merely philosophi- in terms of vision, except perhaps when it
cal attempts to prove the soul's immortality or reaches a climax in the blinding effulgence at
to consider its life apart from the body. the end of the Paradiso. As Dante moves up-
The great theologians undertake to do more ward in the realm of love, where courtesy pre-
than expound these articles of faith. Reason vails in every speech and charity suffuses every
asks questions which the man of faith must try will, he sees the mystic rose of Heaven entirely
to answer, defending his faith, not by proof, through reflected light. The saints, and espe-
but by overcoming doubts, by answering ob- cially those glorious spirits who instruct his
jections, by making dogmas intelligible. Yet progress, become pale mirrors of the ineffable
the great theologians admit an irreducible core vision which they themselves behold.
of mystery. The joy of the soul united to God Milton too pictures Heaven and Hell, but in
in the beatific vision surpasses temporal under- Paradise Lost the destiny of the immortal soul
standing. The mysteries of Hell are perhaps remains a prophecy, a consequence of the earth-
even greater. ly immortality which Adam lost. Except for
The deprivation of God's love and exclusion the Prologue, Hell and Heaven are offstage in
from His presence constitute a spiritual misery Goethe's Faust, though they are the main im-
comparable to the beatitude of beholding God plications of the wager Faust makes with Meph-
and being within the circle of the divine light. istopheles, which puts his immortal soul in
One is an infinite anguish of frustration and the balance.
loss; the other, an infinite rest of peace and
fulfillment. But the theologians also teach that THE PHILOSOPHICAL issue concerning immor-
the damned suffer the pains of sense in Hell, as tality cannot be separated from issues concern-
well as the pains of deprivation. "That hell, ing the existence and nature of man's soul.
which also is called a lake of fire and brimstone," The various arguments for immortality seem
Augustine says, "will be material fire and will to rest not merely on the reality of the dis-
torment the bodies of the damned." When hell- tinction between soul and body, but more pre-
fire and the expiatory punishments of Purga- ciselyon the immateriality of the soul. Lucre-
tory are not merely symbols for the imagina- tius, for example, does not deny the existence
tion, they raise extraordinarily difficult ques- of soul, nor does he fail to differentia te the
tions,as both Augustine and Aquinas admit. soul from the body wherein it is located. The
Dante asks us to read the descriptions he soul, according to Lucretius, like everything
gives of Hell, Purgatory, and Paradise in the else in the universe, consists of atoms. They
Divine Comedy in a strictly literal sense as well differ from those of the body by their round-
as in several symbolic meanings, such as the ness, smoothness, and mobili ty. They are "much
moral and the allegorical. But he explains in smaller than those of which our body and flesh
his own commentary on the poem that the are formed; they are also much fewer in number
literal meaning also involves symbolism, insofar and are disseminated merely in scanty number
as the things that the words refer to when taken through the frame."
in their literal sense are themselves. the symbols On this view of the soul as material in nature
of other things. In any case the poet may be and as constituted of many quite separable
more successful than the theologian in making parts, the soul is necessarily as perishable as the
intelligible through symbol and metaphor what rest of the body. "When the body has been
CHAPTER 38: IMMORTALITY 789
shattered by the mastering might of time," soul leaves the body, for which it has been both
Lucretius writes, "and the frame has drooped motor and pilot, the body ceases to be alive
with its forces dulled ... it naturally follows and perishes in the manner of material things;
then that the whole nature of the soul is dis- the soul lives on, freed from temporary bondage
solved, like smoke, into the high air; since we to the body, its prison house. It "departs to the
see it is begotten along with the body and grows invisible world-to the divine and immortal
up along with it and ... breaks down at the and ra tional."
same time worn out with age." The argument from simplicity, as repeated in
It should be observed, however, that it is not Moses Mendelssohn's Phadon, is criticized by
the materiality of the soul, but rather its divisi- Kant. Admitting that a truly "simple being
bility into parts, which accounts for its mor- cannot cease to exist," Kant contends that the
tality. The atoms after all are material, but knowable soul-which is for him the empirical
since as the ultimate units of matter they are ego or consciousness-may have intensive,
simple bodies and so are absolutely indivisible, though it lacks extensive, quantity. It would
they cannot perish. Only the simple is imperish-- therefore be capable of diminution in reality;
able. and so it "can become less and less through an
The imperishability of the simple (i.e., of that infini te series of smaller degrees."
which has no parts) occurs as a premise in one With regard to the soul as an immaterial and
of the great arguments for the immortality of simple substance (i.e., the transcendental ego),
the soul. In Plato's Phaedo, which formulates Kant is willing to affirm that immortality neces-
this argument as immortality is discussed in the sarily belongs to .such a nature. But he denies
prison cell where Socrates awaits his execution, that we can have any knowledge of the soul ex-
two assumptions seem to be made: first, that cept as a phenomenon of experience. There can
the soul is the principle oflife in animate bodies, be no valid theoretic argument for immortality
for, as Socrates says, "whatever the soul pos- precisely because there can be no scientific
sesses, to that she comes bearing life"; and sec- knowledge of the nature of transcendental ob-
ond, that as an immaterial being, the soul must jects-beings beyond all possible experience.
be simple, for only bodies are "composite" and What Kant calls "the paralogisms of rational
"changing. " psychology" are offered to show the dialectical
From the first of these assumptions, the argu- futility of proofs or disproofs of immortality, in
ment proceeds in terms of what it means for the same way that "the cosmological antino-
bodies to be alive or dead. Socrates argues from mies" attempt to expose the untenability of ar-
examples. "If any one asks you," he says, "what guments for or against the infinity of time and
that is, of which the inherence makes the body space, the infinite divisibility of matter, the
hot, you will reply not heat .. but fire .... Or existence of a free will and of God.
if anyone asks you why a body is diseased, you Without deciding whether Kant's theory of
will not say from disease, but from fever." So experience and knowledge is true, this much we
if anyone asks, "what is that of which the in- can learn from him about the issue of immor-
herence will render the body alive?" the answer tality. Those philosophers who, like Descartes
is not life but "the soul." As the principle of and Locke, think they have grounds for affirm-
life itself, the soul "will never receive the oppo- ing the existence of the soul (or mind or spirit)
site of what she brings," namely, death. There- as an immaterial substance, also have grounds
fore the soul is immortal. for affirming its immortality. Those who, like
On the second assumption, the endless du- Lucretius and Hobbes, think they have grounds
ration of the soul follows from its simplicity as for denying the existence of anything except
an immaterial and immutable being. "The material particles, also have grounds for deny-
compound or composite," Socrates says, "may ing either the existence of the soul or its having
be supposed to be naturally capable, as of being a permanence not possessed by other material
compounded, so also of being dissolved; but wholes. And those who, like Hume., think there
that which is uncompounded, and that only, are no grounds for affirming the existence of
must be, if anything is, indissoluble." When the any kind of enduring substance, material or
790 THE GREAT IDEAS
spiritual-even to the point of doubting per- form, the form perishes also. Souls-the sub-
sonal identity from moment to moment-can stantial forms of living things-would seem to
admit no grounds for affirming a substantial, be no exception. "The soul," Aristotle writes,
much less an immortal, soul. "is inseparable from its body, or at any rate
certain parts of it are (if it has parts)-for the
ONE OTHER POSITION remains to be considered. actuality of some of them is nothing but the
Though it does not fall outside the foregoing actualities of their bodily parts. Yet some may
alternatives, Aristotle's theory represents an be separable because they are not the actualities
important variation on one of them. As of any body at alL"
against Hume or Kant, Aristotle holds that sub- The exception which Aristotle seems to have
stances exist and are knowable. The sensible, in mind is that part of the human soul which is
material things of experience are such sub- the intellect. It differs from other powers of the
stances. But, according to Aristotle, these sub- soul, he suggests, as the eternal from the perish-
stances are not exclusively material. They are able. "It alone," he says, "is capable of existence
composed of two principles, matter and form, in isolation from all other psychic powers." He
neither of which is a substance capable of exist- argues that "in so far as the realities it knows"
ing by itself. As the exposition of this theory -or at least some of them-"are capable of
(in the chapters on FORM and MATTER) tries to being separated from their matter, so is it also
make plain, form and matter exist only in union with the power of the mind."
with one another. It is the composite substance What is the significance, for the immortality
resulting from their union which exists in and of of the human soul, of the supposed ability of
itself. the intellect to act independently of the body?
The form which enters into the composition Aristotle answers in terms of the principle tha t
of a substance can be called its "substantial "if there is any way of acting or being acted
form." In relation to the matter with which it upon proper to soul, soul will be capable of
is united, the substantial form is the actual- separa te existense; if there is none, its separa te
ization of the potentiality in matter to exist as existence is impossible." If we consider nutri-
a substance of a certain kind. Not all substances tion, sensation, and emotion, there seems to be,
are of the same kind. Some are alive; some in- he admits, "no case in which the soul can act
animate and inert. In the case of living sub- or be acted upon without involving the body."
stances, the substantial form, according to Aris- The one possible exception may be thinking,
totle, confers upon matter not only the act of bu t Aristotle adds a t once that "if this too
existing as a substance, but also the act of being proves to be a form of imagination or to be
alive. Because it thus differs from the form of impossible without imagination, it too requires
an inanimate substance, Aristotle gives a special a body as a condition of its existence."
name to the substantial form of a living thing. Later, when he is discussing the power of
Because the word "soul" has long been used to thought, Aristotle flatly insists that "the soul
designa te "the principle oflife in living things;" never thinks without an image" and that "no
Aristotle feels justified in using it as the name one can learn or understand anything in the
for the substantial forms of plants and animals absence of sense," for "when the mind is active-
as well as men. ly aware of anything it is necessarily aware of it
This theory and its principal opposite (which along with an image." According to his own
regards the human soul as a complete substance, principles it would seem to follow that since
not a substantial form) are more fully discussed thinking proves "to be impossible without im-
in the chapter on SOUL. Here we are concerned agination, it too requires a body as a condition
only with the consequences of Aristotle's theory of its existence." Hence the intellect is not
for human immortality. If, as he seems to hold, separable from matter, nor is the human soul,
substantial forms exist only insofar as they exist of which the intellect is the highest power.
in the substances of which they are the forms, Nevertheless, Aristotle declares, in a passage
then when a composite substance perishes which has become famous, that mind as the
through the decomposition of its matter and active power of thinking "is separable, im-
CHAPTER 38: IMMORTALITY 791
passible, unmixed"; and with this declaration exist apart from matter. "The intellectual prin-
of the intellect's separability from matter, he ciple which we call the mind or the intellect has
seems to affirm immortality, at least for the an operation per se apart from the body. Now
intellectual part of the soul. "When mind is set only that which subsists can have an operation
free from its present conditions," he writes, "it per se, for nothing can operate but what is ac-
appears as just wha tit is and nothing more: this tual; wherefore a thing operates according as
alone is immortal and eternal." it is." Hence Aquinas concludes that "the hu-
man soul, which is called the intellect or mind,
THE PASSAGES QUOTED have been subject to is something incorporeal and subsistent." The
conflicting interpretations. The Arabic com- attribution of subsistence to the human soul
mentators on Aristotle, notably Averroes, find means that although it is the substantial form
in them no basis for the immortality of the of the human body, it is also capable of existing
individual human soul. The texts, according to in and of itself as if it were a simple substance.
their view, support the theory of a single active Unlike angels, which as spiritual substances
intellect which exists apart from the minds of are by their very nature separate forms, not
individual men-almost a divine principle in forms of matter, human souls are substantial
the universe which, acting on the rational souls forms which, having a certain degree of im-
of individual men, enables them to think and materiality, are also to that degree separable
understand. Aquinas argues against them to the from matter. But the reverse is also true. To
opposite conclusion. the extent that the soul's powers, such as sen-
Against the .4, verroists Aquinas contends that sation and imagination, require corporeal or-
if the individual man, Socrates, can be said to gans, the soul is inseparable from the body.
think, then whatever powers are required for Since, furthermore, Aquinas agrees with Aris-
thinking must belong to his individual nature. totle that every act of understanding or though t
The powers required for thinking are, accord- involves imagination, he faces the difficulty of
ing to Aquinas, twofold: an active intellect, explaining how the soul can function in any
able to abstract the intelligible forms of things way when separated from the body after death.
from their material representation in sensory "To solve this difficulty," he says, "we must
images; and a possible or potential intellect, consider that as nothing acts except as it is ac-
capable of receiving these forms when separated tual, the mode of action in every agent follows
from matter by the act of abstraction. from its mode of existence. Now the soul has
The theory of knowledge and thought which one mode of being when in the body, and an-
this involves is discussed in the chapters on other when apart from it .... The soul, there-
FORM, IDEA, MIND, and UNIVERSAL AND PAR- fore, when united to the body, has consistently
TICULAR. Here we are concerned only with the with that mode of existence, a mode of under-
point which Aquinas makes, that since thinking standing by turning to corporeal images, which
involves universal notions, and since forms can are in corporeal organs; but when it is separated
be universal only apart from matter, the in- from the body, it has a mode of understanding
tellect which abstracts and .receives abstractions by turning to simply intelligible objects, as is
must itself be immaterial. The intellectual pow- proper to other separate substances." Never-
ers do not operate through a bodily organ, as theless, Aquinas adds, it is not natural for the
the power of nutrition operates through the soul to understand in the latter way, for it is
alimentary system or the power of vision not by nature a separate substance. Therefore,
through the eye. The brain, in other words, is "to be separa ted from the body is not in accord-
not the organ of understanding or thought, ance with its nature."
but rather, along with the external sense-organs,
it is the material organ of perception, memory, THIS LAST POINT has both philosophical and
and imagination. theological significance. Philosophically, it may
The argument for the immortality of the be easier to prove the immortality of the soul
human soul then proceeds on the premise that if one starts, as the Pia tonists do, wi th the prop-
that which can act apart from matter can also osition that the soul is a purely spiritual prin-
792 THE GREAT IDEAS
ciple or substance which does not depend upon except one are, moreover, theoretical or specu-
the body. But then, according to Aquinas, you lative in the sense that they proceed in terms
prove the immortality of the soul at the ex- of observations, assumptions, and inferences
pense of destroying the unity of man, for if the about the nature of things-about atoms and
soul is a substance rather than a form, the indi- su bstances, rna tter and form, ex tension and
vidual man, composed of body and soul, consists thought, inert bodies and living organisms. The
of two distinct substances. one exception, already mentioned, is Kant's
Theologically, Christian faith believes in the practical argument based on the moral necessity
resurrection of the body after the Last Judg- of an immortal life.
ment and the end of the world, as well as in the There is still another argument, both specu-
soul's separate existence immediately after lative and practical in character, which does
death. From the point of view of a theologian not aim at certainty nor take the form of a
like Aquinas, a philosophical proof of immor- proof. It is the proposal of a wager concerning
tality must corroborate both of these dogmas. the equally unknown alternatives of oblivion
In his judgment a proof which rests upon the after death and eternal life. Supposing no ra-
proposition that the soul has a nature akin to tional evidence to favor the truth of either
that of an angel (i.e., a purely spiritual sub- alternative, Pascal weighs the probability of
stance), makes the Christian dogma of the resur- gain and loss which is consequent upon living
rected body unintelligible or even abhorrent. according to each hypothesis. The probability,
If the immortal soul were a complete and he thinks, vastly preponderates on the side of
separate substance, it would have no need for those who choose toforego the worldly life be-
its body in the life hereafter. It has that need cause, to take the chance of gaining the whole
only if its nature is that of a substantial form, world during the short term of. earthly life,
partly immersed in matter and partly separate they would risk the loss of eternal happiness for
therefrom. Then, because of these two aspects their immortal souls.
of its nature, it can be said, not only that "the Locke engages in the same type of calcula-
human soul retains its proper existence when tion. "When infinite happiness is put into one
separated from the body," but also that it has scale, against infinite misery in the other; if the
"an aptitude and a natural inclination to be worst tha t comes to the pious man, if he mis-
united to the body." takes, be the best that the wicked can attain to,
The incompleteness of the soul without the if he be right, who," Locke asks, "can without
body and, even more, the dependence of man's madness run the venture? Who in his wits
mind upon his bodily senses and imagination would choose to come within the possibility of
raise, as we have seen, the difficult problem of infinite misery; which if he miss, there is yet
how the soul exists and operates when separated nothing to be got by that hazard? Whereas, on
from the body by death and before it is re- the other side, the sober man ventures nothing
united to a .t:esurrected body. It may even raise against infinite happiness to be got, if his ex-
the question whether the reasoning of Aquinas pectation comes to pass." If, wagering on im-
constitutes a valid philosophical argument for mortal life, "the good man be right, he is
the actual existence of the soul in separation eternally happy"; but "if he mistakes"-if
from the body, or merely suggests the possi- death ends all-"he is not miserable, he feels
bility of such existence. But the facts which nothing."
create these difficulties are the very facts to
which Aquinas appeals in his Treatise on the ALL THESE .THEORIES, including Kant's postu-
Resurrection, in order to explain the basis in late and the wager proposed by Pascal and
nature for the miraculous re-union of the body Locke, are clearly concerned with arguing for
with the soul. personal immortality or individual survival.
Among those who deny the survival of the
THE ARGUMENTS FOR and against immortality individual human spirit, some-Hegel and
so far considered are couched in the form of Spinoza, for example-conceive an. impersonal
proofs or disproofs which aim at certainty. All type of immortality.
CHAPTER 38: IMMORTALITY 793
For Hegel it is Spirit itself which is immortal. self and its body under the form of eternity."
"The successive phases of Spirit that animate Hence through knowing God, or the eternal
the Nations in a necessitated gradation," he truth about temporal things, the mind partici~
writes, "are themselves only steps in the devel- pates in eternity.
opment of the one Universal Spirit, which Imagination and memory may belong to
through them elevates and completes itself to a time, but not the intellect, which is capable of
self-comprehending totality." In considering knowing God. To explain why we feel "that
the history of the world, he regards everything we are eternal," Spinoza points out that "the
as the manifestation of Spirit; and because of mind is no less sensible of those things which it
this, even when we traverse the past, we have, conceives through intelligence than of those
he says, "only to do with what is present; for which it remembers."Although we cannot im-
philosophy, as occupying itself with the True, agine or remember that "we existed before the
has to do with the eternally present. Nothing in body," we can know intellectually something
the past is lost for it, for the Idea is ever pres- about mind and body which belongs to eter-
ent; Spirit is immortal; with it there is no past, nity; because, in addition to conceiving them
no future, but an essential now. This necessar- as "existing with relation to a fixed time and
ily implies that the present form of Spirit com- place," we can conceive them as "contained in
prehends within it all earlier steps.... The God" and as following "from the necessity of
grades which Spirit seems to have left behind it, the divine nature." Since it "pertains to the
it still possesses in the depths of its present." nature of the mind to conce~ve the essence of
What Spirit is for Hegel, Nature is for Spi- the body under the form of eternity," Spinoza
noza. Spinoza, however, concei ves a kind of im- concludes that "the human mind cannot be
mortality for the individual man, which is absolutely destroyed with the body, but some-
achieved through his participation in the thing of it remains which is eternaL"
eternity of Nature. The body of the individual Such immortality is, in a way, enjoyed in
man, according to Spinoza, belongs to the in- this life, for it is a present participation in eter-
finite matter of Nature. It is "a certain mode of nity through the mind's krtowledge of God.
extension actually existing." The individual There is also the impersonal immortality which
human mind is similarly "a part of the infinite men enjoy through contemplating the perpet-
intellect of God." In one sense, both the body uation of the species, or more particularly the
and the mind are temporal things which, like all persistence of an image of themselves in their
other finite modes of God or Nature, have a offspring. In the Symposium, Socrates reports
fixed and limited duration. Furthermore, the a conversation with Diotima in which she ex-
personal memories and thoughts of the indivi- plains to him that in procreation "the mortal
dual man depend on the co-existence of his nature is seeking as far as is possible to be
mind and body. "The mind can imagine noth- everlasting and immortal." Men hope that off-
ing, nor can it recollect anything that is past," spring "will preserve their memory and give
Spinoza writes, "except while the body exists." them the blessedness and immortality which
But Spinoza also maintains that "only in so they desire in the future." But if procrea-
far as it involves the actual existence of the tion through the pregnancy of the body is a
body, can the mind be said to possess duration, way of achieving immortality, artistic crea-
and its existence be limited by a fixed time." Of tion through a kind of pregnancy in the soul,
every individual thing-whether it is a finite Diotima argues, is even more so. "Who, when
mind or a finite body-there exists in the in- he thinks of Homer and Hesiod and other great
finite and eternal essence of God a conception poets," she asks, "would not rather have their
or idea. "To conceive things under the form of children than ordinary ones? Who would not
eternity," Spinoza writes, "is to conceive them emulate them in the creation of children such
in so far as they are conceived through the as theirs, which have preserved their memory
essence of God." Because he holds that the and given them everlasting glory?"
human mind can have adequate knowledge of One need think "only of the ambition of
God, he holds that the mind can conceive "it- men" and what they will do "for the sake of
794 THE GREAT IDEAS
leaving behind them a name which shall be man's dread of disappearance into utter noth-
eternal," to realize how deeply "they are stirred ingness. Yet, facing death, Socrates faces the
by the love of an immortality of fame." Even alternatives with equanimity. "Either death,"
deeper, according to Diotima, is their love of he declares, "is a state of nothingness and utter
the good, or more precisely, their desire for unconsciousness, or, as men say, there is a
"the everlasting possession of the good" which change and migration of the soul from this
leads all men necessarily to "desire immortality world to another." Either it is like a dreamless
together with the good." and undisturbed sleep or it opens a new world
Whether it is to be attained through the per- to which the good man can look forward wi th
petuation of the species, through survival in hope. On either alternative we can be of good
the memory of mankind, through knowledge cheer, he tells his friends, if we believe that "no
of God, or through the subsistence of the soul, evil can happen to a good man, either in life or
the desire for immortality seems to express after death."
OUTLINE OF TOPICS
PAGE
1. The desire for immortality: the fear of death
3. Belief in immortali ty
3a. The postulation of immortality: practical grounds for belief in immortality 797
3b. The revelation of immortality: immortality as an article of religious faith
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-28 3j12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, inS3 JAMES : Psychology, 116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halvesoftheright-handsideof
the page. For example, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [26S-283jI2d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:.f5-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: Other discussions of man's attitude toward mutability and death, see CHANGE 12b; HAPPI-
NESS 4b; LIFE AND DEATH 8c; TIME 7.
The basic terms and propositions involved in arguments for or against the immortality of the
soul, see BEING 7b(I),b(4); ETERNITY 4a; FORM 2d; MAN 3a-3a(2), 3c; MATTER2d; MIND
I b, 2a, 2d-2e; SOUL 3a-3d, 4b; and for the contrast between souls and angels with respect
to their mode of being, see ANGEL 4; ETERNITY 4a; FORM 2d; MAN 3b; SOUL 4d(2).
Other discussions of immortality as a postulate of the practical reason, see METAPHYSICS 2d;
NECESSITY AND CONTINGENCY 4b.
Another statement of the doctrine of reincarnation or the transmigration of souls, see SOUL
4d (I).
Articles of religious belief bearing on immortality, such as predestination, the Last Judg-
ment, and the resurrection of the body, see GOD 7f-7h; HAPPINESS 7c; SOUL 4d(3).
The relevance of the doctrine of innate ideas to immortality, see IDEA 2b; KNOWLEDGE 6c(3);
MEMORY AND IMAGINATION 3a; MIND 4d(2).
The relevance to immortality of the theory of mind or intellect as an incorporeal power, see
MAN 3a(2); MATTER 4d; MIND 2a; SOUL 3b.
The state of the soul separated from the body, see KNOWLEDGE 7c; SOUL 4d.
The moral significance of immortality in relation to divine rewards and punishments, see
GOD 5i; PUNISHMENT 5d.
Other discussions of the underworld, or of Hell, Purgatory, and Heaven, see ETERNITY 4d;
HAPPINESS 7c,c(3); PUNISHMENT 5e-5e(2); SIN 6d-6e.
The immortality of enduring fame, see HONOR 2d.
ADDITIONAL READINGS
Listed below are works not included in Great Books of the Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
OVID. Metamorphoses
I. SENECA. De Consolatione ad Marciam (On Consola-
AUGUSTINE. On the Immortality of the Soul tion to Marcia)
AQUINAS. Summa Contra Gentiles, BK IV, CH 79-95 GREGORY OF NYSSA. On the Soul and the Resurrec-
- - . Quaestiones Disputatae, De Anima, A 14 tion
DANTE. Convivio (The Banquet), SECOND TREATISE, PROCLUS. The Elements of Theology, PROPOSITIONS
CH 9 (4-6) 104-105, 208-210
F. BACON. "Of Death," in Essays SAADIA GAON. The Book of Beliefs and Opinions,
HUME. Of the Immortality of the Soul TREATISE VI, VIII
- - . Of Suicide BONAVENTURA. Breviloquium, PART VII
J. S. MILL. "Theism," PART III, in Three Essays on R. BACON. Opus Majus, PART VII
Religion ALBO. The Book of Principles (Sefer ha-Ikkarim), BK
W. JAMES. Human Immortality IV, CH 29-41
NICOLAS OF CUSA. The Vision of God
II. POMPONAZZI. On the Immortality of the Soul
EPICURUS. Letter to Menoeceus VAUGHAN. The Retreate
CICERO. De Republica (The Republic), VI KING. The Exequy
- - . Tusculan Disputations, I BROWNE. Hydriotaphia
- . De Senectute (Of Old Age) H. MORE. The Immortality of the Soul
804 THE GREAT IDEAS
LEIBNITZ. Discourse 0"
Metaphysics, XXXII-XXXVI CLIFFORD. "The Unseen Universe," in VOL I, Lec-
- - . Monadology, par I!f28 tures and Essays
J. BUTLER. The Analogy of Religion, PART I, CH I ROYCE. The Conception of Immortality
LAW. An Appeal to All That Doubt . .. the Truths of FISKE. Life Everlasting
the Gospel, CH I POHLE. Eschatology
SWEDENBORG. Heaven and Its Wonders and Hell SANTAYANA. Reason in Religion, CH 13-14
VOLTAIRE. "Heaven,""Hell," "Hell (Descent into)," HUGEL. Eternal Life
"Purgatory," "Resurrection," in A Philosophical BOSANQUET. The Value and Destiny of the Indi-
Dictionary vidual
MENDELSSOHN. Phiidon; oder Ueber die Unsterblichkeit VONIER. The Human Soul and Its Relations with Other
der Seele Spirits
LESSING. How the Ancients Represented Death BRADLEY. Essays on Truth and Reality, CH 15(B)
WORDSWORTH. Intimations of Immortality FARNELL. Greek Hero Cults and Ideas of Immortality
COUSIN. Lectures on the True, the Beautiful and the McTAGGART. The Nature of Existence, CH 43, 62
Good, PART III (16) SCHELER. Vom Ewigen im Menschen
HAZLITT. On the Feeling of Immortality in Youth LAKE. Immortalitv and the Modern Mind
FEUERBACH. Gedanken iiber Tod und Unsterblichkeit BROAD. The Mind and Its Place in Nature, CII 11-12
I. H. FICHTE. Die Idee der Personlichkeit und der FRAZER. The Golden Bough, PART II, CH 2; PART III;
individuellen Fortdauer PART IV, BK I, CH 5-6; PART V, CH 16; PART VII,
J. H. NEWMAN. "The Immortality of the Soul," in CH 10-11
Parochial and Plain Sermons - - . Man, God, and Immortality, PART I'll
KIERKEGAARD. Concluding Unscientific Postscript, J. S. HALDANE. The Sciences and Philosophy, LECT
PP 15 2 - 158 XVIII
ScHOPENHAUER. The World as Will and Idea, VOL WHITEHEAD. Process and Reality, PART V
III, SUP, CH 41 KIRK. The Vision of God
- - . "Immortality: A Dialogue," in Studies in Pes- HOCKING. Thoughts on Death and Life
simism A. E. TAYLOR. The Christian Hope of Immor-
FECHNER. Life After Death talitv
- - . Religion of a Scientist PERRY. The Hopefor Immortality
Chapter 39: INDUCTION
INTRODUCTION
AS the list of Additional Readings indicates, proof? Is there both an inductive and a deduc-
1"\. the theory of induction falls within the tive type of syllogism, or is induction the very
province of logic and is part of the logician's 'opposite of all forms of reasoning and proof?
concern with the methods of inference or rea- It is with these last questions that the dis-
soning employed in the sciences. The great cussion of induction begins in the great books,
controversies about induction seem to be of especially in Aristotle's Organon and Bacon's
relatively recent origin in the history of logic, Not/um Organum, but also in the writings of
beginning perhaps with the argument between Descartes and Locke, and in observations on
William Whewell and J. S. Mill over the con- scientific method by Newton, Harvey, and
tributions of reason and experience to the Pascal. Though many of the controversies and
inductive process. Later in the nineteenth problems which become central in the nine-
century and in our own time, writers like John- teenth century do not appear explicitly in the
son and Keynes, Russell and Nicod, who pre- earlier tradition, they are anticipated by the
sent different formulations of inductive infer- fundamental distinctions and issues which can
ence, call attention to the unsolved problems be found in the earlier writers.
with which any theory is left. They underline Bacon's dissatisfaction with Aristotle, for
the assumptions that seem to be unavoidable in example, leads him to formulate specific rules
any statement of the formal conditions which for induction. Going further in the same gen-
validate the so-called "inductive leap" -the eral direction, Mill later develops his elaborate
jump from observed particulars to general theory of inductive inference. We move in the
truths, truths having a wider generality than opposite direction if we are guided by Aristotle's
the particular evidences from which they are distinction between scientific and dialectical in-
drawn or on which they are based. duction and by his way of setting induction off
The problem of induction, in anyone's ver- as the very opposite of reasoning. The question
sion of it, is the problem of generalization. This then arises whether Bacon and Mill are treating
may involve psychological questions about how induction in all or in only one of several quite
the mind generalizes from experience. But distinct senses.
however they are answered, the basic logical
questions remain substantially unaltered. By As THE CHAPTER on LOGIC indicates, the names
what criteria is valid distinguished from fal- of Aristotle and Bacon are sometimes used as
lacious induction? Can induction be secured the symbols of opposed tendencies in logic.
from error by rules of inference? Is induction The one is supposed to represent an almost ex-
indispensable in the development of scientific clusive emphasis on deduction, the other the
knowledge, or is there, as Whewell, for exam- primacy and importance of induction. An op-
ple, suggests, a sharp distinction between the position between Aristotle and Bacon is also
inductive and the deductive sciences? implied in the current use of such phrases as
What is the relation of induction to deduc- "inductive logic" and "deductive logic." These
tion? Is it the relation of a method of discovery phrases are sometimes used to suggest that the
to a method of demonstration or proof? Is 'it a inductive or the deductive process can be
relation between two modes of reasoning, both favored to the exclusion, or at least the subor-
of which can be formulated as processes of dination, of the other. Such understanding of
805
806 THE GREAT IDEAS
the matter usually includes the popular notion ticular proposition can be demonstrated from a
that induction is always reasoning from par- universal and a particular premise, it is seldom
ticulars to universals and deduction always the case that from exclusively universal premises
reasoning from universals to particulars. a particular conclusion can be validly drawn.The
But none of these things seems to be true, or statement that deduction is reasoning from uni-
at least not without serious qualification. Nei- versals to particulars certainly does not seem to
ther Aristotle nor Bacon emphasizes deduction fit Aristotle's theory of the syllogism, and even
or induction to the exclusion of the other. On less his conception of scientific demonstration,
the contrary, both appear to insist on the ab- the aim of which is to prove universal, not
solute priority of induction, since, according to particular, propositions.
them, it provides deductive reasoning with its
ultimate premises. Far from conflicting, induc- "WE LEARN EITHER by induction or by demon-
tion and deduction complement each other. stration," Aristotle writes in the Prior Analytics.
"The consilience of the results of both these "Demonstration develops from universals, in-
processes," Mill writes, "each corroborating duction from particulars." In the Posterior Ana-
and verifying the other, is requisite to give to lytics he says that the ultimate premises of dem-
any general proposition the kind and degree onstration must be primary or basic truths. A
of evidence which constitutes scientific proof." basic truth is an immediate proposition-what
Until principles are established, the deduc- is sometimes called a "first principle" or an
tion of their implications or consequences can- "axiom." Since in his view "an immediate prop-
not begin. Unless principles, once they are ob- osition is one which has no other proposition
tained, are then used in the proof of other prior to it," the basic premises cannot be
truths, or are otherwise rationally employed, demonstrated.
the purpose of inductive generalization is not Whence come these primary premises which
fully realized. In this understanding of the re- are indispensable to demonstration but which
lationship between induction and reasoning, demonstration cannot establish? Aristotle's
Aristotle and Bacon do not seem to disagree, answer is that "we know the primary prem-
nor does either of them conceive induction as a ises by induction." In another place he says,
process of reasoning from particulars to uni- "it is by intuition that we obtain the primary
versals. premises. "
There is no question that the direction of The word "intuition" indicates an essential
induction is from particulars; but in the precise characteristic of the sort of induction which,
sense in which induction precedes deduction- because it is not itself a form of reasoning, can
the sense in which both Bacon and Aristotle be prior to all reasoning and must be, in order to
regard it as the source of axioms-they do not supply the premises from which reasoning pro-
think it is a process of reasoning or a form of ceeds. Reasoning is discursive. It is a process in-
proof. As for deduction, it is questionable, at volving steps. One proposition is drawn from
least for Aristotle, whether its direction can be another by the mediation of a third. Intuition,
described as from the universal to the particu- in contrast, is immediate. Like an act of seeing,
lar. it apprehends its object at once and directly.
Aristotle seldom uses the word "deduction" When Aristotle speaks of induction as a kind of
as the name for that phase of thought which is intuition, he implies, therefore, that it consists
complementary to induction. He speaks rather in the immediate grasp of a universal truth. The
of demonstration. Demonstration takes place proposition thus held he calls "immediate" pre-
through the various forms of reasoning which cisely because it can be known intuitively and
he calls "syllogisms." As the chapter on REA- in no other way. Intuitive induction, as op-
SONING explains, these are collections of premises posed to what may be called "inductive reason-
each of which yields a conclusion by valid in- ing," consists in seeing the universal in the par-
ference. In the most perfect forms of reasoning, ticular. When what is seen is expressed in the
the conclusion is as universal as its premises, form of a proposition, the universal implicit in
and though there are syllogisms in which a par- the known particulars is made explicit.
CHAPTER 39: INDUCTION 807
Induction and intuition are, however, not the help of memory and experience, induction
identical for Aristotle. In one passage in the makes the latent universal manifest.
Prior Analytics he considers syllogistic induc-
tion, which can hardly be called "intuitive." BACON'S CRITICISM of the logic of Aristotle
And in the Ethics, where he discusses intuitive seems to rest on two counts: first, he com-
reason, he distinguishes between two sorts of plains of Aristotle's over-emphasis on syllogisms,
primary truth that can be known by intuition. whether they are used dialectically or demon-
"Intuitive reason," he w'rites, "is concerned stratively; and second, he charges Aristotle with
with the ultimates in both directions; for both a superficial understanding of induction. One
the first terms and the last are objects of intui- of the chief efforts of the NOt/urn Organum is to
tive reason and not of argument, and the intui- correct the latter mistake.
tive reason which is presupposed by demon- "There are and can exist," says Bacon, "but
strations grasps the unchangeable and first two ways of investigating and discovering
terms, while the intuitive reason involved in truth. The one hurries on rapidly from the
practical reasoning grasps the last and variable senses and particulars to the most general ax-
fact, i.e., the minor premise. For these variable ioms, and from them, as principles, and from
facts are the starting-points for the apprehen- their supposed indisputable truth, deduces the
sion of the end, since the universals are reached intermediate axioms. This is the way now in
from the particulars; of these therefore we must use. The other constructs its axioms from the
have perception, and this perception is intuitive senses and particulars, by ascending continually
reason." and gradually, until it finally arrives at the
This applies to theoretic as well as practical most general axioms, which is the true but un-
knowledge. By intuitive reason, it seems, we attempted way."
grasp both the universal principles or axioms and Where Aristotle proposes that only the pri-
the particular facts of sense-perception. As per- mary truths or first principles be established by
ception is intuition on the part of the sensitive induction, while all the others (which Bacon
facuity, so induction is an intuitive use of the calls "intermediate axioms") are to be derived
intellect (though Aristotl~ at.tributes both to from them by demonstration, Bacon urges a
"intuitive reason"). method of induction which shall mount grad-
These two forms of intuition are functionally ually from the least general to the most uni-
related. The induction of universal truths from versal propositions. We should not "suffer the
particulars is impossible without sense-percep- understanding to jump and fly from particulars
tion, "for it is sense-perception alone which is to remote and most general axioms." We should
able to grasp the particulars." But, according "proceed by a true scale and successive steps,
to Aristotle, a single isolated perception does without interruption or breach, from particu-
not give rise to an intuitive induction. Re- lars to the lesser axioms, thence to the inter-
peated perceptions of things of a certain sort- mediate (rising one.above the other), and lastly,
particulars of a certain class-are formed by to the most general."
memory into what he calls "an experience." According to this theory, induction can in-
Because the experience refers, not to a single tuitively draw more general from less general
individual, but to a class of similar individuals, truths, as well as the least general truths from
it provides the material for the mind's intuitive the particulars of perception. It might seem at
act of induction. first as if there were no place for deduction in
This theory of the role of experience in in- the development of science. But Bacon divides
duction is more fully discussed in the chapter the study of nature into two phases: "the first
on EXPERIENCE. For our present purposes, the regards the eliciting or creating of axioms from
main point is that the universal, lying implicitly experiments, the second the deducing or deriv-
in the experience, is ready, as it were, to be ex- ing of new experiments from axioms." Here too
tracted therefrom and made explicit. "Though there seems to be a crucial difference between
the act of sense-perception is of the particular, Bacon and Aristotle. This difference is indicated
its content is universal," Aristotle writes. With by Bacon's emphasis upon experiments both as
808 THE GREAT IDEAS
the source of inductive generalization and also tha t induction requires the practice of the most
as that which is ultimately derived by deduc- detailed and precise method. Not only must the
tion from axioms. various ascending stages of induction be regu-
The difference between experience (which lated by observance of an order of generality,
Aristotle makes the source of induction) and but the making of experiments and the collec-
experiment is more than verbal. "TheaxioIns tion and arrangement of particulars, "forming
now in use," Bacon contends, "are derived from tables and coordinations of instances," must be
a scanty handful, as it were, of experience, and governed by a complex set of rules. The twenty-
a few particulars of frequent occurrence." seven tables of instances, set forth in the second
There has been too little attention given to neg- book of the Not/um Organum, constitute the
ative instances, that is, of cases which seem to heart of Bacon's method of induction. This new
run counter to the generalization being formed. method "of discovering the sciences," he ob-
"In establishing any true axiom," Bacon in- serves, "levels men's wits and leaves but little
sists, "the negative instance is the most power- of their superiority, since it achieves everything
ful." by the most certain rules."
The chapter on EXPERIENCE dwells on the In the second place, since genuine induction
difference between ordinary experience and depends for Bacon upon ample experiments, it
planned experiments. Where Aristotleseems to belongs primarily tothe method of the experi-
be satisfied with the ordinary experience whiCh mental sciences-the physical or natural sci-
arises from the perceptions of men in the course ences in which experimentation is possible.
of daily life, Bacon thinks it does not suffice. Though the first principles or axioms of arith-
Because it is haphazard, it fails to collect the metic and geometry may be learned by induc-
variety of instances, both positive and nega- tion, the method of gradual ascen t from experi-
tive, upon which genuine and solid inductions ments through intermediate generalizations
can be founded. Unusual and special experiences does not apply to mathematics. Here we may
must be sought out, and the effort must be have the beginning of the notion that only
made to invent experiences which do not arise the experimental sciences are primarily induc-
spontaneously. For this, experiment-or the tive, whereas other sciences, like mathematics,
production of experiences-is necessary. Bacon are primarily deductive.
thinks we must, "by every kind of experiment, But such a division of the sciences does not
elicit the discovery of causes and true axioms." accQrd with Aristotle's theory of induction.
He thinks mathematics and metaphysics re-
Two CONSEQUENCES FOLLOW from the several quire induction for their foundation no less
differences we have noted between Aristotle's than physics and in no different way; if any-
and Bacon's theories of induction. thing, induction is of the greatest importance
In the first place, Aristotle does not seem to for metaphysics, because all its principles are
think that induction can be methodically pre- indemonstrable, whereas some of the principles
scribed by logical rules. It is a nafural act of needed in mathematics and physics can be dem-
intelligence to draw universals from experi- onstrated in metaphysics. Yet no science is pe-
ence. Though men may differ in the readiness culiarly inductive, just as none stands in a
of their native wit, the induction of the pri- special relation to experience. All depend equal-
mary truths, which are the axioms or first ly upon experience for the induction of the
principles of science, does not require special primary truths on which their demonstrations
genius nor can it be improved or rendered rest.
more certain by following rules. Precisely be- Descartes seems to fall somewhere between
cause it is intuitive rather than discursive, Aristotle and Bacon. He regards arithmetic and
induction, unlike reasoning, cannot be regu- geometry as more certain than the physical
lated by rules of inference such as those which sciences, because mathematics is largely devel-
govern the syllogism. oped by deduction, whereas the study of nature
Without disagreeing that it is intuitive rath- depends upon induction from experiments. In
er than argumentative, Bacon seems to think this lies the superiority of mathematics. "While
CHAPTER 39: INDUCTION 809
our inferences from experience are frequently that "by adequate enumeration or induction is
fallacious," Descartes writes, "deduction, or the meant that method by which we attain surer
pure illation of one thing from another ... can- conclusions than by any other type of proof,
not be erroneous when performed by an under- with the exception of simple intuition."
standing that is in the least degree rational." Pascal seems to be making the same poin t
Nevertheless, Descartes does not exclude in- when he says that "in all matters whose proof
duction as the source of the axioms of mathe- is by experiment and not by demonstration, no
matics or, for that matter, of metaphysics; he universal assertion can be made except by the
only excludes the kind of induction which de- general enumeration of all the parts and all the
pends upon experiments. Such axioms as when different cases." Bacon, on the other hand, al-
equals are taken from equals the remainders are ways thinks of induction as intuitive generali-
equal or the whole is greater than any of its parts zation, and therefore maintains that "induction
are products of induction, as may be seen, he which proceeds by simple enumeration is puer-
points out, from the fact that a child can be ile, leads to uncertain conclusions, and is ex-
taught these general truths only "by showing posed to danger from one contradictory in-
him examples in particular cases." Similarly, stance."
the metaphysical truth in the proposition I The elaborate procedure which Bacon pro-
think; therefore, I exist cannot be learned by de- poses for collating' instances stresses, not com-
duction or syllogistic reasoning. The axiom that pleteness of enumeration, but an examination
to think is to exist has to be learned by induction of their relation to one another and, in the light
"from the experience of the individual-that thereof, an interpretation of their significance.
unless he exists he cannot think. For our mind Mill's four or five methods of induction bear a
is so constituted by nature that general propo- close resemblance to Bacon's more numerous
sitions are formed out of the knowledge of par- tables of instances; but Mill's methods are at-
ticulars. " tempts to formulate the rules of inference for
inductive reasoning, whereas Bacon's rules are
FROM THE FOREGOING we can gather that dif- rules, not of reasoning, but of tabulating the
ferent theories of induction may be, in large particulars from which intuitive generalizations
part, theories about different kinds of induc- can be formed.
tion. Common to induction of every sort is the On Mill's view of induction, it may be ques-
motion of the mind from particulars, appre- tioned whether induction from an exhaustive
hended by sense, to general propositions or uni- enumeration is induction at all, for it seems to
versal notions. But the character of the induc- result in a summary of the facts enumerated
tion, or its conditions and method, may differ rather than a generalization from particulars.
according to the precise character of its source: Where there is no inductive leap, there is no
(I) whether it arises from ordinary sense-expe- induction. Where the inductive leap does occur,
rience or from planned experimen ts; and (2) however, it seems easier to understand it as an
whether it is based upon a single experiment or intuitive act-a seeing of the universal in the
upon an enumeration of instances. There re- particular-rather than as a process of reason-
mains the most radical distinction in type of ing. Each of Mill's methods requires a rule of
induction: (3) whether it is intuitive or discur- inference which is itself a universal proposition.
sive-accomplished by an act of immediate in- His critics have asked, Whence come these uni-
sight or by a process of reasoning from premises versal propositions about the relations of cause
to a conclusion. and effect or about the order and uniformity of
These three divisions cross one another to nature? They point out that he cannot answer
some extent. Descartes, for example, seems to that these propositions are themselves conclu-
regard the complete enumeration of a series of sions of inductive reasoning without begging
connected facts as a way of drawing a general the question.
conclusion about their connection. That he has
inductive reasoning rather than intuitive in- SUCH CRITICISM of inductive reasoning does
duction in mind, we learn from his statement not seem to apply to Aristotle's conception of
810 THE GREAT IDEAS
it, for with him it is not, as with Mill, distinct stranger to them; but yet, as I have said, this
in form from the syllogism. It is simply a dis- is but judgment and opinion, not knowledge
tinct type of syllogism, which consists in reason- and certain ty. This way of getting and improving
ing from effect to cause rather than from cause our knowledge in substances only by experience
to effect. Nor does the observation that an in- and history, which is all that the weakness of our
ductive inference cannot be more than proba- faculties in this state of mediocrity ... can at-
ble apply to what Aristotle means by an induc- tain to, makes me suspect," Locke concludes,
tive syllogism. "that natural philosophy is not capable of being
The certainty or probability of non-syllo- made a science."
gistic induction depends on the source of the Hume offers two reasons for the inconclusive-
inference-.whether it derives from a single ness and uncertainty which he thinks qualify
specially constructed experiment or from an all our generalizations or inductions from ex-
enumeration of particular instances, with or perience. The first calls attention to the fact
without a statistical calculation based on their that, unlike mathematical reasoning, inferences
frequency. The conception of a perfect experi- from experience in the realm of physical mat-
ment implies that the operation of a universal ters depend on the number of cases observed.
law can be exhibited in a single case. It is almost "The conclusions which [reason] draws from
as if the controlling aim of the experiment were considering one circle," he says, "are the same it
to make the universal manifest in the particular. would form upon surveying all the circles in the
Newton's experiments on reflection and re- universe. But no man, having seen only one
fraction seem to be of this sort. From them body move, after being impelled by another,
certain laws of optics are directly induced, even could infer that every other body will move
as, according to Aristotle and Descartes, the after a like impulse."
axioms of mathematics or metaphysics can be The principle "which determines him to
directly induced from simple experiences, avail- form such a conclusion" is, according to Hume,
able to a child or familiar to all men. Yet New- "Custom or Habit"; and precisely because in-
ton does not think that the inductive establish- ductive generalization is an effect of custom
ment of such laws is as certain as demonstration. rather than of reasoning in the strict sense, the
The analytic method, he writes, "consists in strength of the induction-or the force of cus-
making experiments and observations and in tom-varies with the number of cases from
drawing general conclusions from them by in- which it arises. "After the constant conjunction
duction. And although the arguing from exper- of two objects-heat and flame, for instance,
iments and observations by induction be no weight and solidity-we are determined by cus-
demonstration of general conclusions; yet it is tom alone to expect the one from the appear-
the best way of arguing which the nature of ance of the other. This hypothesis," Hume
things admits of, and may be looked upon as so maintains, "seems ... the only one which ex-
much stronger, by how much the induction is plains the difficulty, why we draw, from a
more general. If no exception occur from phe- thousand instances, an inference which we are
nomena, the conclusion may be pronounced not able to draw from one instance, that is in no
generally; but if at any time afterwards any ex- respect different from them. Reason is in-
ception shall occur from experiments, it may capable of any such variation."
then begin to be pronounced with such excep- Since all the relevant cases can never be ex-
tions as occur." haustively observed, the inference from a cus-
Because it must depend on inductive gener- tomary conjunction must always remain un-
alizations from experience which, in his view, certain, no matter how high a probability it
can never be certain, Locke doubts that physics derives from the multiplication of like in-
can ever become a science. "I deny not," he stances. To this first point, concerning the de-
writes, "that a man, accustomed to rational and pendence of the probability of generalizations
regular experiments, shall be able to see further from experience upon the frequency of the ob-
into the nature of bodies and guess righter at served instances, Hume adds a second point
their yet unknown properties, than one that is a about the similarity of the cases under obser-
CHAPTER 39: INDUCfION 811
vation. Analogy, he says, "leads us to expect taken for granted. Aristotle offers this example
from any cause the same events, which we have of dialectical induction: "Supposing the skilled
observed to result from similar causes. Where pilot is the most effective, and likewise the
the causes are entirely similar, the analogy is skilled charioteer, then, in general, the skilled
perfect, and the inference drawn from it is man is the best at his particular task." In its
regarded as certain and conclusive .... But rhetorical form, no more than a single example
where the objects have not so exact a similarity, may be used, as when the orator generalizes
the analogy is less perfect, and the inference is that honesty is the best policy from the story
less conclusive; though still it has some force, in of a particular individual who was finally re-
proportion to the degree of similarity and re- warded for his virtue.
semblance." The absence of perfect similarity In both forms, the inductive generalization
is Hume's second reason for the inconclusive- is at best probable; and it is more or less proba-
ness or uncertainty of inductive generalizations. ble according to the soundness of the supposi-
The contrary supposition-that one case can tions or the examples from which it originates
be perfectly representative of an infinite num- -to be tested only by extending the enumera-
ber of similar cases-may explain why Aristotle tion of particulars. Burif an induction is merely
seems to think that induction is a ble to produce probable in the first place, it can only be made
the primary truths or principles of science with more probable, it can never be made certain,
a certitude which gives certainty to all the dem- by multiplying cases or by increasing their vari-
onstrations founded on these axioms. Another ety.
explanation of Aristotle's view may be found Aristotle's theory of dialectical induction
in his distinction between scientific and dialec- thus seems to have a bearing on the probability
tical induction. He regards the former as based of induction from limited experiments (or from
on the kind of common experience which, un- a single experiment whose perfection is not as-
like even the best experiment, admits of no ex- sured) and of induction from the frequency or
ceptions. In contrast, dialectical induction, or variety of observed instances. The other point
the still weaker form of induction which he to be noted is that Bacon's basic rule of gradual
calls "rhetorical," is based on an enumeration ascent from particular cases through less gen-
of cases (which may not be complete) or upon a eral to more general propositions seems to be
single example (which provides no safeguard relevant to dialectical induction, but not, on
against possible exceptions). Aristotle's view, to that kind of induction
In its dialectical form, the inductive argu- which produces the axioms or principles of
ment proceeds from a number of particulars sCience.
OUTLINE OF TOPICS
PAGil
lb. Inductive reasoning: the issue concerning inductive and deductive proof
5. The role of induction in the development of science: the methods of experimental and
enumerative induction
812 THE GREAT IDEAS
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [26S-283112d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halvesofthe page. For example, in53 JAMES: Psychology, 116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page 1I9. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 P';-ATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included i.n the reference: line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-283] 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James: version is cited first and the Doua)", indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:4S-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; ".passim" signifies that the topic is discussed intermit-
tently .ather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
. Reference Btyle; for: general guidance in the use of The Great Ideas, consult the Preface.
1. The theory of induction: generalization from 31 SPINOZA: Ethics, PART II, PROP 40, SCHOL 2
. particulars 388a-b
33 PASCAL: Pensees, 1-5 171a-173a
1a. Induction and intuition: their relation to 35 HUME: Human Understanding, SECT I, DIV 2
reasoning or demonstration 451b-c; DIV 9 454c-455a; SECT IV, DIV 26
8 ARISTOTLE: Posterior Analytics, BK I, CH 3 460b-c
[72bI8-24] 99b-c; CH 23 [84b3I-8S&I] 115d-
U6a; CH 3l [87b39-88I7] 120a-c; CH .B [88 b lb. inductive reasoning: the issue concerning
30-89&1] 121b-c; BK II, CH 2 [9Oa24- 30] inductive and deductive proof
123b-c; CH 19 136a-137a,c / Topics, BK I, 8 ARISTOTLE: Prior Analytics, BK II, CH 23 90a-c
CH 12 148d; BK VIII , CH I [I 55b35-I56"i] / Posterior Analytics, BK I, CH I [7IaI-rr] 97a;
211d-212a; [I56bIO-I8] 212c-d / Metaphysics, CH 3 [72b25-33] 99c; CH 18 IUb-c; BK II, CH 7
BK I, CH 9 [992b24-993al] 511a-b [92"34-bI] 126b/ Topics, BK I, CH 18 [I08b7-12]
9 ARISTOTLE: Ethics, BK I, CH 7 [1098"34-b3] 152d / Physics, BK VIII, CH I [252a23-25] 336a
343d; BK VI, CH 3 388b-c;CH 6 389d; CH 8 9 ARIST()TLE: Ethics, BK I, CH 4 [I095"3o_b8]
[1142"23-31] 39Ib-c; CH II 392c-393b esp 340c; CH 7 [109sa35-b3] 343d; BK VI, CH 3
[I I 43"32-b6] 392d-393a / Rhetoric, BK II, CH 20 388b-c / Rhetoric, BK I, CH 2 [I356b5-I8]
[1393"25-26] 641a 596a-b
28 HARVEY: On Animal Generation, 332a-335c 28 GALILEO: Two New Sciences, FOURTH DAY,
esp 333d-334d 252a-b
30 BACON: Advancement of Learning, 43d-44c; 28 HARVEY: Motion of the Heart, 280c
59c; 61d; 96d-97a / Novum Organum, 105a- 30 BACON: Advancement of Learning, 42a-c;
195d esp BK I, APH 11-26 107d-l08d, APH 69 57b-58b; 61d; 96d-97a / Novum Organum
116a-b, APH 105 128b-c, BK II, APH 1-10 137a- 105a-195d esp BK I, APH 11-26 107d-I08d,
140d, APH 15-16 149a-b, APH 20-22 150d- APH 69 U6a-b, APH 103-106 127d-128c, BK II,
153c, APH 52 194c-195d APH 10-52 140c-195d
31 DESCARTES: Rules, III 3b-5a esp 4a-b; VII, 31 DESCARTES: Rules, II, 2d-3a; VII, 10c-12a; XI
10c-12a; IX 14d-15d; XI, 17b-d / Objections 17b~18b; Xii, 24a-b / Discourse, PART VI, 61d-
and Replies, 123a-b; 167c-d 62c / Objections and Replies, 167c-d
2 to 4a CHAPTER 39: INDUCTION 813
34 NEWTON: Principles, BK 1II, RULE IV 271b / 42 KANT: Pure Reason, 5a-13d,; 45b-46a; 66d-93c
Optics, BK 1II, 543a-b . / Judgement, 562d-563b
35 LOCKE: Human Understanding, BK IV, CH XII, 45 FARADAY: Researches in Electricity, 659a
SECT 10 361b-c 46 HEGEL: Philosophy of History, PART IV,
35 HUME: Human Understanding, SECT IV, DIV 361a-b
26 460b-c; SECT IX, DIV S2 487b-c; SECT XII, 54 FREUD: Instincts, 412a
DIV 131-132 508d-509d passim
42 KANT: Pure Reason, 45b-46a 3. The products of induction: definitions, ax
43 MILL: Utilitarianism, 445a-447b passim; ioms, principles, laws
475b,d [fn I] passim 8 ARISTOTLE: Prior Analytics, BK II, CH 23 90a-c
45 FARADAY: Researches in Electricity, 659a I Posterior Analytics, BK I, CH 3 [72b25-30] 99c;
51 TOLSTOY: War and Peace, .EPILOGUE II, 690b CH IS 111b-c; CH 31 [S7b39-SS"I7J 120a-c; BK
53 JAMES: Psychology, 674a-675b esp 675b II, CH 2 [90~4-30] 123b-c; CH 7 [92"34-bI]
126b; CH 19 136a-137a,c / Topics, BK I, CH 12
2. The conditions or sources of induction: 148d; CH IS [IOSb7-12] 152d; BK VIII, CH I
memory, experience, experiment [I55b35-156"7] 211d-212a; [I56bIO-IS] 212c-d
8 ARISTOTLE: Prior Analytics, BK I, CH 30 [46" / Generation and Corruption, BK I, CH 2 L3I6"
IS-2S].64a; BK II, CH 23 [6SbI5-29] 90b-c / 5-S]411c
Posterior Analytics, BK I, CH I [71"I~S] 97a; 9 ARISTOTLE: Ethics, BK I, CH 4 [1095".30_bS]
CH 3 [72b25-33] 99c; CH IS 111b-c; CH 31 340c; CH 7 [109S"34-b3] 343d; BK VI, CH 3
[S7b39-SS&17] 120a-c; BK II, CH 2 [90~4-30] [1I39b25-34] 388c; CH 6 389d; CH II [1.143"25-
123b-c; CH 7 [92"34-bl] 126b; CH 19 [99b20 - b13 ] 392d-393a
100b5] 136a-d / Topics, BK I, CH 12 148d; CH 19 AQUINAS: Summa Theologica, PART I, Q 79,
IS [IOSb7-I2] 152d; BK II, CH 7 [113"31-.33] A 12, ANS 425c-426b
158d; BK VlII, CH I [155b35-156"7] 211d-212a; 28 GILBERT: Loadstone, PREF, 1a-c
[156blO-IS] 212c-d / Physics, BK I, CH I 259a-b; 28 GALILEO: Two New Sciences, THIRD DAY,
CH S [191"24-34] 267a-b / Heavens, BK 1II, CH 200a-b; 207d-208a
7 [306"6-IS] 397b-c/ Generation and Corrup- 28 HARVEY: On Animal. Generation, 333d-335a
tion, BK I, CH 2 [316"5-S] 411c / Metaphysics, esp334c-d
BK I, CH I 499a-500b; CH 9 [992b24-993"1] 30 BACON: Adtlancement of Learning, 34b; 57b-d;
511a-b 96d-97a / Novum Organum, BK I, APH 17-25
9 ARISTOT.LE: Ethics, BK I, CH 4 [1095"30_bS] 108ad; APH 103-106 127d-128c; BK II, APH
340c; CH 7 [I09S&.H-bS] 343d-344a; BK VI, 1-10 13.7a-140d
CH S [1142"12-19] 391b; CH I I [II 43"32-b6] 31 DESCARTES: Objections and Replies, 123a-b;
392d-393a / Rhetoric, BK II, CH 20.[1393"22- 167c-d
I394"S] 640d-641d 34 NEWTON: Principles, BK 1II, RULE III-IV 270b-
20 AQUINAS: Summa Theologica, PART I-II, Q 51, 271b / Optics, BK III, 543a-b
A I, ANS 12b-13c 35 LOCKE: Human Understanding, BK I, CH III,
28 GILBERT: Loadstone, PREF, 1a-c SECT 25 120c-d
28 GALILEO: Two New Sciences, THIRD DAY, 35 BERKELEY: Human Knowledge, SECT 107
200a-b; 207d-208a 433d-434a
28 HARVEY: Motion of the Heart, 267b,d-268d; 35 HUME: Human Understanding, SECT I, DIV 2
285c-d / Circulation of the Blood, 322d-323d; 451b-c; DIV 9 454c-455a; SECT IV, DIV 26
324c-d / On Animal Generation, 331 b-335c; 460b-c
383d; 473a 42 KANT: Pure Reason, 5a-13d; 66d-93c; 110a
30 BACON: Adtlancement of Learning, 16a; 34b; 43 MILL: Utilitarianism, 475b,d [fn I]
57b-d; 59c / Novum Organum, BK I, APH 17 46 HEGEL: Phzlosophy of History, PART IV,
108a; APH 19 108b; APH 22 108c; APH 25 108d; 361a-b
APH 69116a-b; APH 104-105 128a-c; BK II, 51 TOLSTOY: War and Peace, EPILOGUE n, 690b
APH 11-15 140d-149a 54 FREUD: Instincts, 412a-b .
31 DESCARTES: Rules, II, 2d-3a; VII, 10c-12a /
Discourse, PART VI, 61d-62c / Objections and .4. The use of induction in argument
Replies, 167c-d
31 SPINOZA:, Ethics, PART II, PROP 40, SCHOL 1-2 44. Dialectical induction: securing assump
387b-388b tions for disputation
33 PASCAL: Vacuum, 358a-b 8 ARISTOTLE: Topics,BK I, CH 12 148d; CH IS
34 NEWTON: Principles, BK III, RULE III-IV 270b- [IOSb7-I2] 152d; BK VlII, CH I [155bI6-156"7]
271b / Optics, BK III, 543a-b 211b-212a; [156bI0-IS] 212c-d; CH 2 [157"19-
35 BERKELEY: Human Knowledge, SECT 107 3S]213b-d; CH S [160"35-bl] 217d; CH 14 [164"
433d-434a 12-17] 222d
35 HUME: Human Understanding, SECT III, DIV 9 ARISTOTLE: Rhetoric, BK I, CH 2 [1356"36-b26]
19, 458a 596a-b
814 THE GREAT IDEAS 4b to 5
(4. The use of induction in argument.) 28 GILBERT: Loadstone, PREF, la-c
28 GALILEO: Two New Sciences, THIRD DAY,
4b. Rhetorical induction: inference from exam- 200a-b; 207d-208a
ple in the process of persuasion 28 HARVEY: Motion of the Heart, 280c; 285c-d
8 ARISTOTLE: Prior Analytics, BK II, CH 24 9Oc- / Circulation of the Blood, 324c-d / On Ani-
91a I Topics, BK VIII, CH I [156blO-IS] 212c-d; mal Generation, 332a-335c esp 334c-d; 383d;
CH S [160835-bl] 217d / Metaphysics, BK II, 473a
CH 3 [99586-S] 513c 30 BACON: Advancement of Learning, 16a; 34b;
9 ARISTOTLE: Rhetoric, BK I, CH 2 [1356836- 42a-c; 56b-58c; 96d-97a / Novum Organum
135S83] 596a-597d; CH 9 [136S"29-31] 611b-c; 105a-195d esp BK I, APH 11-26 107d-l08d,
BK II, CH 20 640d-641d; CH 2~ [139S832-bIS] APH 69 116a-b, APH 104-106 128a-c, BK II,
646d-647a; CH 25 [140385-9] 652d; BK III, APH 1-10 137a-140d, APH IS-16 149a-b, APH
CH 17 ['417b35-14IS83] 672b 20-21 l50d-153b, APH 52 194c-195d
30 BACON: Advancement of Learning, 58c-59a 31 DESCARTES: Rules, II, 2d-3a; VII 10b-12a /
42 KANT: Pref. Metaphysical Elements of Ethics, Discourse, PART VI, 61d-62c / Objections and
376c-d ' Replies, 167c-d
33 PASCAL: Vacuum, 358a-b / Arzihmetical Tri-
5. The role of induction in the development of angle, 451b-452a; 458b-459b; 464a-466a
science: the methods of experimental 34 NEWTON: Principles, BK Ill, RULE III-IV 270b-
and enumerative induction 271b; GENERAL SCHOL, 371b-372a / Optics,
8 ARISTOTLE: Prior Analytics, BK II, CH 23 90a-c BK III, 543a-b
/ Posterior Analytics, BK I, CH .3 [72b25-.B] 99c; 3S BERKELEY: Human Knowledge, SECT 107
CH IS 111 b-c; BK II, CH 19 136a-137a,c I 433d-434a
Physics, BK I, CH 2 [IS5"13-'4] 259d; BK Y, 3S HUME: Human Understanding, SECT I, DIV 9
CH I [224b2S-30]304d; BK VIII, CH 1[252823- 454c-455a; SECT III, DIV 19, 458a; SECT IV,
s
b ]336a-b / Generation and Corruption, BK I, DIV 26 460b-c
CH 2 [31685-14] 411c-d / Metaphysics, BK I, 42 KANT: Pure Reason, 5a-13d; 45b-46a; 72c-
CH 9 [992b30-99.3al] 511b; BK VI, CH I [1025 b 85d esp 72c-74b, 82a-b / Intra. Metaphysic of
1-16] 547b; BK XI, CH 7 [106484-9] 592b; Morals, 387a-b I Judgement, 562d-563b
BK XIII, CH 4 [I07Sb2S-30] 610b 43 MILL: Utilitarianism, 445d-446b; 475b,d
9 ARISTOTLE: Generation of Animals, BK Y, [fn I]
CH S [7SS!>IO-21] 330c / Ethics, BK I,CH 4 45 FARADAY: Researches in Electricity, 659a
[10958.30-bS] 340c; CH 7 [I09S834-b3] 343d; 51 TOLSTOY: War and Peace, EPILOGUE II,
BK VI, CH .3 388b-c 690b
10 GALEN: Natural Faculties, BK III, CH 1-2 53 JAMES: Psychology, 385a-b; 677b; 862a-865a
199a-200a esp 199c-d 54 FREeD: Instincts, 412a-b
CROSS-REFERENCES
For: Other discussions of induction as an intuitive act of generalization, see JUDGMENT 8a; KNOWL-
EDGE 6C(2); PRINCIPLE 3a( I), 3a(3)-3b; REASONING Sb( I); SCIENCE Sd.
Other treatments of inductive reasoning and its relation to deductive reasoning, see REASON-
ING 4c, 6c; SCIENCE Sd; and for parallel distinctions in modes of argument, see EXPERI-
ENCE 2d; REASONING Sb(3), Sb(S)'
Discussions dealing with the sources or conditions of induction, generalization, or abstrac-
tion, see EXPERIENCE 2b; IDEA 2g; MEMORY AND IMAGINATION 3c, 6c(i); SENSE 5b;
UNIVERSAL AND PARTICULAR 4c.
Induction as the source of principles, axioms, or scientific laws, see PRINCIPLE 3b; SCIENCE
4d; UNIVERSAL AND PARTICULAR 4f.
Other treatments of dialectical and rhetorical induction, see DIALECTIC 2b, 3b; RHETORIC
4c(I); and for their contrast with dialectical and rhetorical reasoning, see DIALECTIC 3c;
REASONING sc-Sd; RHETORIC 4C(2).
The role 'of induction in the 'experimental sciences, see EXPERIENCE sa; REASONING 6c;
SCIENCE 4d, 5d.
CHAPTER 39: INDUCTION 815
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
O NE of the persistent questions concerning
infinity is whether we can know or com-
eternity is weighted with the mystery of God,
the world, and time. All these affect the concep-
prehend it. Another is whether the infinite tion of infinity; but for the infinite there are
exists, and if so, to what kind of thing infinity also the mysteries of number and of space, of
belongs. It is not surprising, therefore, that the matter and motion. In the sphere of quantity,
discussion of infinity often borders on the un- or of things subject to quantity, infinity is itself
intelligible. the source of mystery, or at least the root of
The idea 'of infinity, like the idea of eternity, difficulty in analysis. It is the central term in
lacks the support of the imagina tion or of sense- the discussion of the continuous and the indi-
experience. The fact that the infinite cannot be visible, the nature of series and of limits.
perceived or imagined seems sufficient to lead
Hobbes and Berkeley to deny its reality. "What- As INDICATED in the chapter on ETERNITY,
soever we imagine is finite," writes Hobbes. that idea in each of its applications seems to
"Therefore there is no idea, or conception of have one or the other of two meanings-(I)
anything we call infinite. ... When we say any- the meaning in which it signifies infinite time,
thing is infinite, we signify only that we are not time without beginning or end, and (2) the
able to conceive the ends and bounds of the meaning in which it signifies the timelessness
thing named, having no conception of the or immutability of being. Both meanings are
thing, but of our own inability." negative, so far as our understanding is con-
On similar grounds Berkeley rejects the pos- cerned. Yet what is signified by the second is
sibility of infinite division. "If I cannot per- in itself something positive, at least in the
ceive innumerable parts in any infinite ex- opinion of those who think that to be exempt
tension," he writes, "it is certain that they are from change entails having every perfection
not contained in it: but it is evident, that I or being lacking in nothing.
cannot distinguish innumerable parts in any This split in meaning also occurs in the idea
particular line, surface, or solid, which I either of infinity. As applied to being, the term in-
perceive by sense, or figure to myself in my finite signifies something positive, even though
mind; wherefore I conclude that they are not our understanding of what is signified remains
contained in it." negative or, at best, analogical. An infinite be-
But for most of the great writers on the sub- ing is one which lacks no attribute that can
ject, the impossibility of representing infinity belong to a being. This is the positive condition
and eternity to the imagination does not render of absolute perfection. The infinite here still
them inconceivable or meaningless. Yet it does means the unlimited, but that which is un-
account for the difficulty of grasping their limited in being has no defect. To lack defi-
meaning, a difficulty further increased by the ciencies is to be perfect.
fact that, whatever their meaning, infinity and It is in this sense that Spinoza defines God
eternity are indefinable. To define the infinite as "Being absolutely infinite, that is to say,
would be to limit-even in thought-the un- substance consisting of infinite attributes, each
limited. one of which expresses eternal and infinite es-
The notion of infinity involves greater per- sence." Like Spinoza, Aquinas maintains that
plexities than that of eternity. The meaning of "besides God nothing can be infinite." But he
816
CHAPTER 40: INFINITY 817
distinguishes the absolute or positive sense in least-as a number larger than the sum of
which God alone is infinite from the sense of any two finite numbers; which is another
the word in which it can be said that "things way of saying that it is approached by carrying
other than God can be relatively infinite, but on the process of addition endlessly. The size
not absolutely infinite." This oth~r meaning, of an infinite number is therefore indetermi-
according to Aquinas, is not only relative but nate.
negative, for it connotes "something imper- What Galileo points out about two infinite
fect." It signifies indeterminacy or lack of per- quantities seems to hold for an infinite and a
fection in being. finite quantity. He asks us to consider the
What Aquinas calls the relative or potential totali ty of all in tegers (which is infinite) and
infinite, he attributes to matter and to quan- the totality of their squares (which is also in-
tities-to bodies, to the magnitudes of space finite). On the one hand, there appear to be as
and time, and to number. This sense of "in- many squares as there are integers; on the
finite" corresponds to that meaning of "eter- other hand, the totality of integers includes all
nal," according to which time consists of an the squares. Precisely because "the number of
endless series of moments, each having a pre- squares is not less than the totality of all num-
decessor, each a successor, no matter how far bers, nor the latter greater than the former,"
one counts them back into the past or ahead Galileo insists that "the attributes 'equal,'
into the future. 'greater,' and 'less' are not applicable to in-
But in the field of quantities other than time, finite, but only to finite quantities." Nor does
the meanings of infinite and eternal part com- the sense in which one finite quantity can be
pany. There is, of course, some parallelism be- greater or less than another-that is, by a de-
tween infinite space and infinite time, insofar terminate difference between them-apply in
as an infinite extension is one which does not the comparison of a finite and an infinite quan-
begin at any point or end at any; but the con- tity. The latter, being indeterminately large,
sideration of space and number leads to an as- is indeterminately larger than any finite quan-
pect of infinity which has no parallel in the con- tity.
sideration of eternity. These remarks apply to the infinitely small
"In sizes or numbers," Pascal writes; "nature as well. The infinitesimal is immeasurably small
has set before man two marvelous infinities .... or indeterminately less than any finite fraction,
For, from the fact that they can always be in- no matter how small, because its own size is
creased, it follows absolutely that they can al- indeterminate. The finite fraction, itself a
ways be decreased .... If we can multiply a product of division, can be divided again, but
number up to 100,000 times, say, we can also if an infinitesimal quantity were capable of
take a hundred thousandth part of it by di- further division, it would permit a smaller,
viding it by the same number we multiply it and since that smaller quantity would be a
with, and thus every term of increase will be- determinate fraction of itself, the infinitesimal
come a term of division by changing the in- would have to be determinate in size. Since that
teger into a fraction. So that infinite increase is not so, the infinitesimal must be conceived
includes necessarily infinite division." As end- as the indivisible or as the limit approached by
less addition produces the infinitely large, so carrying on division endlessly.
endless division produces the infinitesimal or "Because the hypothesis of indivisibles seems
the infinitely small. somewhat harsh," Newton proposes an analysis
A trillion trillion is a finite number, because in terms of wha t he calls "nascent and evanes-
the addition of a single unit creates a larger cent quantities," or quantities just beginning
number. The fact that the addition of another to be more than nothing or just at the point
unit produces a different number indicates that at which they vanish into nothing. "As there
a trillion trillion has a determinate size, which is a limit which the velocity at the end of a
is the same as saying that it is a finite number. motion may attain, but not exceed ... there
An infinite number cannot be increased byad- is a like limit in all quantities and proportions
dition, for it is constituted-in thought at that begin or cease to be." Newton warns his
818 THE GREAT IDEAS
reader, therefore, that if he "should happen to THE CONCEPTION of God, in the words of
mention quantities as least, or evanescent, or Anselm, as a being "than which a greater can-
ultimate," the reader is "not to suppose that not be conceived"-or, in the words of Kant,
quantities of any determinate magnitude are as an ens realissimum, a most real being-ex-
meant, but such as are conceived to be always presses the plenitude of the divine nature and
diminished without end." existence. The mediaeval thesis, defended by
Later, speaking of quantities which are "var- Descartes, that God's essence and existence
iable and indetermined, and increasing or de- are identical, implies that neither is contracted
creasing, as it were, by a continual motion or or determined by the other. The still earlier
flux," he adds: "Take care not to look upon fi- notion of Aristotle, repeated by Aquinas, that
nite quantities as such." The method of fluxions God is pure actuality, carries with.it the at-
provides an infinitesimal calculus on the hy- tributes of completeness or perfection, which
pothesis of limits rather than of indivisibles. are the positive aspects of immutability or in-
capacity for change. Spinoza's definition of sub-
THROUGH ALL THESE conceptions of infinity- stance as that which exists, not only in itself,
metaphysical, mathematical, and physical- but through itself and by its very nature, en-
run the paired notions of the unlimited and of tails the autonomy or utter independence of
limits approached but not attained. The finite the divine being.
is neither unlimited nor does it insensibly ap- These are so many different ways of stating
proach a limit. There are also the opposite no- that God is an infinite being. Both Aquinas
tions of the perfect and the indeterminate. and Spinoza make infinity the basis for proving
The finite is neither, for it is determinate with- that there can be only one God. When Spinoza
out being a totality or complete. argues that "a plurality of substances possessing
Though they have a common thread of the same nature is absurd," he has in mind the
meaning, and though each raises similar dif- identification of infinite substance with God.
ficulties for the understanding, the conception "If many gods existed," Aquinas writes, "they
of infinity in being or power, and the concep- would necessarily differ from each other. Some-
tion of infinite (or infinitesimal) quantity re- thing would therefore belong to one, which did
quire separate consideration. The same ques- not belong to another. And if this were a priva-
tions may be asked of each, questions about the tion, one of them would not be absolutely per-
existence of the infinite and about om knowl- fect; but if it were a perfection, one of them
edge of it, but the same answers will not be giv- would be without it. So it is impOssible for
en in each case. There are those who deny the many gods to exist"-that is, of course, if
existence of an actually infinite body or an infinity is a property of the divine. nature.
actually infinite number, yet affirm the infinite Aquinas makes this condition clear when he
existen<;e.of God. There are those who declare goes on to say that "the ancient philosophers,
the infinity of matter to be intrinsically unin- constrained as it were by the truth, when they
telligible, but maintain that God, Who is in- asserted an infinite principle, asserted likewise
finite, is intrinsically the most intelligible ob- that there was only one such principle."
ject. They add, of course, that the infinite being But while it is impossible for there to be two
of God cannot be comprehended by our finite infinities of being, it is not impossible for there
intellects. to be two, or more, infinite quantities. One
On each of these points, an opposite view explanation of this difference seems. to be the
has been taken, but the dispute concerning the actuality or existence of.an infinite being, in
infinity of God involves issues other than those contrast to the conceptual character of the in-
which occur in the controversy over the infinite finite objects of mathematics, which are some-
divisibility of matter or the infinity of space times called "potential infinites" because they
and time. It seems advisable, therefore, to deal are conceived as in an endless process of be-
separately with the problems of infinity as they coming, or as approaching a limit that is never
arise with respect to different objects or occur reached.
in different subject matters. When the physical existence of infinite quan-
CHAPTER 40: INFINITY 819
tities is asserted, as, for example, a universe of compatible with one another, things which, in
infinite extent or an infinite number of atoms, the language of Leibnitz, are not compossible.
the uniqueness of these actual totalities seems The incompossible would thus seem to be em-
to follow. Two infinite worlds cannot co-exist, braced in the infinite scope of divine thought
though the one world can be infinite in several or knowledge. In the view of one theologian,
distinct respects-in space or duration, or in Nicolas of Cusa, the mystery of God's infinity
the number of its constituents-even as the is best expressed by affirming that in God all
infinity of God, according to Spinoza, involves contradictions are somehow reconciled.
"infinite attributes, each one of which expresses The infinity of God's power, or the divine
eternal and infinite essence." omnipotence, also raises questions about the
Spinoza's argument against two actual in- possible and the impossible. Is nothing im-
finities seems to find confirmation in the posi- possible to God or must it be said that there are
tion taken by Aquinas that God's omnipotence certain things which not even God can do, such
does not include the power to create an infinite as reverse the order of time or create a world
world. God's infinity, as we have already noted, which shall be as infinite and perfect as himself?
follows from the identity of God's essence and In the assertion that God cannot do the im-
existence. Since a created being has existence possible, Aquinas sees no limitation on God's
added to its essence, Aquinas asserts that "it is power. The impossible, he writes, does not
against the nature of a created thing to be ab- "come under the divine omnipotence, not be-
solutely infinite. Therefore," he continues, "as cause of any defect in the power of God, but
God, although He has infinite power, cannot because it has not the nature of a feasible or
make a thing to be not made (for this would possible thing." For this reason, he claims, "it
imply that two contradictories are true at the is better to say that such things cannot be done,
same time), so likewise He cannot make any- than that God cannot do them." The inability
thing to be absolutely infinite." to do the undoable constitutes no violation of
On this view, an infinite world cannot co- infinite power, even as the lack of nothing does
exist with an infinite God, if, in their separate not deprive infinite being of anything.
existence, one is dependent on the other, as The infinite goodness of God is sometimes
creature upon creator. The infinity of the set against the fact of evil, or the existence of
world or of nature, in Spinoza's conception, imperfections, in the created world. This aspect
is not separate from the infinity of God, but of the problem of evil, like that which con-
consists in the infinity of two of God's attri- cerns man's freedom to obey or disobey the
butes-extension and thought. divine will, cannot be separated from the fun-
In our time there has arisen the conception damental mystery of God's infinity-in power
of a finite God-a God who, while the most and knowledge as well as in goodness. The prob-
perfect being, yet is not without capacity for lem is considered in the chapter on GOOD AND
growth or change, a God who is eternal without EVIL. The point there mentioned, that evil is
being immutable. This conception, which in essentially non-being or deprivation of being,
the light of traditional theology appears to be leads to one solution of the problem. I t accepts
as self-contradictory as round square, has arisen the finitude, and consequently the imperfec-
in response to the difficulties certain critics tion, of creatures as a necessary consequence of
have found in the traditional doctrine of an God's infinity. The best of all possible worlds
infinite being. They point to the difficulty of cannot be infinitely good.
understanding how finite beings can exist sep-
arate from, yet in addition to, an infinite being; To MAN ALONE, among all admittedly finite
they also cite difficulties in the notions of in- things, has infinity been attributed and even
finite knowledge, infinite power, and infinite made a distinctive mark of his nature. Does
goodness. this introduce a new meaning of infinity, nei-
The infinity of the divine omniscience ex- ther quantitative nor divine?
tends to the possible as well as to the actual. It has seldom if ever been questioned that
But the possible includes things which are in- man is finite in being and power. The limits of
820 THE GREAT IDEAS
human capacity for knowledge or achievement seductive objects precisely because they are
are a perennial theme in man's study of man. infinite.
Yet it is precisely with regard to capacity that . Here the word "infinite" is used, not in the
certain writers have intimated man's infinity. sense which signifies perfection, but in the
Pascal, for example, finds the apparent con- quantitative sense which has the meaning of in-
tradictions in human nature intelligible only determination. Plato's division, in the Phzlebus,
when man is understood as. yearning for or im- of goods into. the finite and the infinite sep-
pelled toward the infinite. "We burn with de- arates measured and definite goods from' those
sire," he. says, "to find solid ground and an ul- which need some limitation in quantity. Socra-
timate sure foundation whereon to build a tes exemplifies the distinction by reference to
tower reaching to the Infinite. But our whole the fact that "into the hotter and the colder
groundwork cracks and the earth opens to there enters a more and a less" and since "there
abysses." In this fact li~.s both the grandeur is never any end of them ... they must also be
and the misery of man. He aspires to the in- infinite." In contrast, "when definite quantity
finite, yet he is a finite being dissatisfied with is once admitted, there can be no longer a
his own finitude and frustrated by it. 'hotter' or a 'colder.' ". Such things, he says,
I t is some times said tha t the touch of infini ty "which do not admit of more or less" belong
in man-with the suggestion that it is a touch "in the class of the limited or finite."
of madness-consists in his wanting to be God. Following the line of this example, Socrates
Those who regard such desire as abnormal or later distinguishes between infinite and finite
perverse interpret it as a misdirection of man's pleasures, or pleasures without limit and those
natural desire to know God face to face and to which have some intrinsic measure. "Pleasures
be filled with the love of God in the divine which are in excess," he says, "have no measure,
presence. But, according to the theory of nat- but those which are not in excess have measure;
ural desire, the tendency of each nature is the great, the excessive ... we shall be right in
somehow proportionate to its capacity. If man's referring to the class of the infinite, and of the
restless search for knowledge and happiness can more and less," and "the others we shall refer
be quieted only by the possession of the infinite to the class which has measure." The fact that
truth and goodness which is. God, then man's the goodness of wealth or of certain pleasures is
intellect and will must somehow be as infinit~jn indeterminate or indefinite makes it necessary
nature as they are in tendency. Yet that is not to determine or measure the amount of wealth
an unqualified infinity, for the same theologians it is good to possess, or the quantity of such
who teach that man naturally seeks God also pleasure it is good to enjoy.
hold that man's finite intellect cannot compre- . As in the case of desire, so the human intel-
hend the infinite being of God as God knows lect .is also said to be infini te in the sense of
Himself. Nor do they think that man's capaci.ty reaching to an indefinite quantity. On the the-
for knowing and loving God can be fulfilled ory which he holds that the intellect knows by
except in the beatific vision, which is a super- means of universal concepts, Aquinas attributes
natural gift rather than a natural achievement: to the human mind "an infinite power; for it
These and related matters are discussed i,n apprehends the universal, which can extend
the chapters on DESIRE and KNOWLEDGE. The itself to an infinitude of singular things." Each
gn~at books speak of other objects than God as universal signifies what is common to ,an in-
objects of man's infinite desire. The appetite definitely large class of particular instances., .
for money, for pleasure, or for power seems to There is still another sense in which the intel-
be an infinite craving which no finite quantity lect is said to be infinite, namely, by reason of
of these goods ever satisfies. Two comments are its having the potentiality to apprehend all
made upon this fact, which is so amply evi- knowable things. But this is a relative infinity,
denced in the human record. One is that man's as is the corresponding infinity of prime matter,
infinite lust for worldly goods expresses even as which is conceived as the potentiality for taking
it conceals his natural desire for a truly infinite on all forms. In both cases, the infinite is quali-
good. The other is that these worldly goods are fied by a restriction-on the kind of things
CHAPTER 40: INFINITY 821
knowable to the intellect and the type of forms being taken after another, and each thing that
receivable in matter. The infinity of prime is taken is always finite, but always different."
matter-matter totally devoid ofform- is also When this takes place in the division of spatial
comparable to the infinity of God in a con- magnitudes, "what is taken persists, while in
trast of extreme opposites: the absolute in- the succession of times and of men, it takes
determinacy of pure potentiality on the one place by the passing away of these in such a
hand, the absolute perfection of pure actuality way that the source of supply never gives out."
on the other. The opposition between Lucretius and Aris-
totle with regard to the divisibility of matter
THE INFINITY OF matter involves different con- is discussed in the chapter. on ELEMENT. The
siderations when the problem concerns, not notions of infinity and continuity are different-
prime matter, but material things-bodies. ly employed on the two sides of the argument.
The question is twofold. Can there be a body of Where Aristotle makes the continuity of matter
infinite magnitude? Is there an infinite number the condition of its infinite divisibility, Lu-
of bodies? To both questions Aristotle gives the cretius makes the atom's continuity-its solidity
negative answer, while Spinoza seems to answer or lack of void-the cause of its indivisibility.
the first, and Lucretius the second, affirma- Where Aristotle asserts that at any moment
tively. there can be only a finite number of particles
Spinoza's affirmation may be qualified, of in the world because the partition of matter
course, by his conception of infinite body as an cannot be infinitely carried out short of infinite
attribute of God. But there is no qualification time, Lucretius, on the contrary, thinks tha t
on Lucretius' assertion that "the first-begin- the division of matter into smaller and smaller
nings of things are infinite," unless it is his parts finds an end in the atomic particles; and
statement that "the first-beginnings of things yet he also asserts an infinite number of atoms.
have different shapes, but the number of shapes To contain an infinite number of atoms, an
is finite." It is only the number of atoms which infinite space is required, according to Lucre-
is infinite, not their variety. tius. This presents no greater difficulty for him
Aristotle presents many arguments against than an infinite time. Aristotle, on the other
the existence of an infinite body or an infinite hand, differentiates between space and time
number of things, all of which ultimately rest with respect to infinity. Time can be poten-
on his distinction between an actual and a po- tially infinite by way of addition because "each
tential infinite. It is not that infinity in magni- part that is taken passes in succession out of
tude or multitude is impossible-for he affirms existence." But though space may be infinitely
the infinity of time and he insists upon the in- divisible, it cannot be infinitely extended, for
finite divisibility of matter-but rather that if all its parts, unlike- those of time, must co-exist.
an infinite body existed its infinity would have It would therefore have to be an actually,
to be actual. Its actuality would necessarily rather than a potentially, infinite quantity, and
involve certain determinations, especially those this Aristotle thinks is impossible.
of dimension and place, which would be in- These and other conflicting views concerning
consistent with the indeterminacy of the in- the infinity of space and time appear in Kant's
finite. Similarly, a multitude of co-existing statement of the first cosmological antinomy.
things-unlike the moments of time which do His intention is not to resolve the issues, but
not co-exist-cannot be infinite, because their to show that they cannot be resolved by proof
co-existence implies that they can be actually or argument. To do this, Kant sets up what
numbered, whereas their infinity implies that seems to him to be equally strong-or equally
they are numberless. inconclusive-arguments for and against the
The potential infinite, Aristotle writes, "ex- infinity of space and time.
hibits itself in different ways-in time, in the Suppose it be granted, Kant argues on the
generations of man, and in the division of mag- one hand, that "the world has no beginning in
nitudes. For generally," he says, "the infinite time." Then it would follow that "up to every
has this mode of existence: one thing is always given moment in time, an eternity must have
822 THE GREAT IDEAS
elapsed, and therewith passed away an infinite space, is not limited; that is, it is infinite in re-
series of successive conditions or states of things gard to extension."
in the world." But since "the infinity of a series The way in which these opposite arguments
consists in the fact that it can never be com- nullify each other reveals more than our in-
pleted by means of a successive synthesis," it ability to prove or disprove the infinity of space
also "follows that an infinite series already and time. It shows, in Kant's theory of human
elapsed is impossible, and that consequently a knowledge, that we are "not entitled to make
beginning of the world is a necessary condition any assertion at all respecting the whole ob-
of its existence." ject of experience-the world of sense."
On the other hand, Kant argues with what
he thinks is equal force, "let it be granted that ONE OTHER PROBLEM of infinity in the sphere of
[the world] has a beginning. A beginning," he physics receives its initial formulation in one of
explains, "is an existence which is preceded by the great books-in the part of the Dialogues
a time in which the thing does not exist." Then, Concerning the Two New Sciences where Galileo
Kant continues, "on the above supposition,it discusses the' uniform acceleration of a freely
follows that there must have been a time in falling body. The body which is said to ac-
which the world did not exist, that is, a void cumulate equal increments of veloci ty in equal
time. But in a void time, the origination of a intervals of time is also said to start "from in-
thing is impossible; because no part of any such finite slowness, i.e., from rest." One of the per-
time contains a distinctive condition of being sons in the dialogue challenges this, saying that
in preference to that of non-being.... Con- "as the instant of starting is more and more
sequently, many series of things may have a nearly approached, the body moves so slowly
beginning in the world, but the world itself that, if it kept on moving at this rate, it would
cannot have a beginning, and is, therefore, in not traverse a mile in an hour, or in a day, or in
relation to past time, infinite." a year, or in a thousand years; indeed, it would
With regard to the infinity or finitude of not traverse a span in an even greater time; a
space, Kant proceeds similarly. If we suppose phenomenon which baffles the imagination,
space to be infinite, then "theworld must be an while our senses show us that a heavy falling
infinite given total of co-existent things." But body suddenly acquires great speed."
in order to "cogitate the world, which fills all What our senses seem to show us is corrected
spaces, as a whole, the successive synthesis of by an experiment which refines the observa-
the parts of an infinite world must be looked tion. But this still leaves a purely analytical
upon as completed; that is to say, an infinite question. Against the statement that the "ve-
.time must be regarded as having elapsed in the locity can be increased or diminished without
enumera tion of all co-existing things." This, limit," Simplicio points out in the dialogue
Kant argues, "is impossible," and therefore that "if the number of degrees of greater and
"an infinite aggregate of actual things cannot greater slowness is limitless, they will never be
be considered as a given whole." Hence it fol- all exhausted," and therefore the body will
lows that "the world is, as regards extension in never come to rest when it is slowing down or
space, not infinite, but enclosed in limits." be able to start to move when it is at rest.
If, however, we suppose "that the world is "This would happen," Salviati answers, "if
finite and limi ted in space, it follows," according the moving body were to maintain its speed for
to Kant, "that it must exist in a void space, any length of time at each degree of velocity,
which is not limited. We should, therefore, but it merely passes each point without delay-
meet not only with a relation of things in space, ing more than an instant, and since each time
but also a relation of things to space." But the interval, however small, may be divided into
"relation of the world to avoid space is merely an infinite number of instants, these will always
a relation to no object" and "such a relation, be sufficient to correspond to the infinite de-
and consequently the limitation of the world by grees of diminished velocity."
void space, is nothing." It follows, therefore, The problem of the infinitesimal velocity
Kant concludes, that "the world, as regards provides another illustration of the difference
CHAPTER 40: INFINITY 823
between infinity in the physical and the mathe- except white things. (The position of the hy-
matical orders. Unlike parallel lines in Euclid- phen serves to indicate whether the statement
ean geometry, which are lines that remain shall be construed negatively or affirmatively
equidistant from one another when both are and infinitely.)
prolonged to infini ty, an asymptote is a straight The problems of definition and demonstra-
line which a curved line continuously approach- tion are differently solved by logicians accord-
es but never meets, even when both are in- ing to the way in which they propose to avoid
finitely extended. The distance between the infinite regressions in analysis or reasoning.
curve and its asymptote diminishes to smaller There would be no end to the process of de-
and smaller intervals, but no matter how small fining if every term had to be defined before it
they become, the two lines never coincide. could be used in the definition of another
The diminishing intervals between the curve term. There would be no beginning to the
and its asymptote are like the diminishing de- process of proof if, before a proposition could
grees of velocity in a body starting from or be used as a premise to demonstrate some con-
coming to rest. But we know that the body clusion, it had itself to be demonstrated as a
does begin or cease to move, and so there is the conclusion from prior premises.
mysterious jumping of the gap between rest In his essay On Geometrical Demonstration,
and motion in the physical order, whereas in Pascal refers to the proposal of a plan for defining
the mathematical order the limiting point can and proving everything. "Certainly this meth-
be forever approached and never reached. od would be beautiful," he says, "but it is ab-
solutely impossible; for it is evident that the
THERE IS ONE other context in which infinity first terms we wished to define would presup-
is discussed in the great books. pose others for their explication, and that sim-
The logicians treat certain terms and judg- ilarly the first propositions we wished to prove
ments as infinite. Aristotle, for example. re- would suppose others that preceded them, and
gards the negative term-such as not-man or it is thus clear we should never arrive at the
not-white-as indefinite. The indefiniteness of first propositions."
its signification may be seen when such terms The chapter on DEFINITION considers the
are used as subjects of discourse. What is being character and choice of the indefinable terms by
talked about? The answer must be given, in which an infinite regression is avoided in the
part at least, in positive terms: not-man repre- elucidation of meanings. The chapters on IN-
sents the whole universe leaving man out, or the DUCTION and PRINCIPLE consider the various
totality of everything except man. Thus, in its sorts of primary propositions-axioms, postu-
positive signification, the negative term has a lates, assumptions- by which a similar regression
kind of infinity-the infinite totality of sub- is avoided in the process of proof. The chapter
jects diminished by one, the one that is negated. on CAUSE deals with the problem of an infinite
In his classification of judgments, Kant regression in causes and effects. Here it is ap-
makes a threefold division of judgments ac- propriate to consider the difference between an
cording to quality: the affirmative, the nega- infinite series of reasons and an infinite series of
tive, and the infinite. The infinite judgment causes.
involves a negative in its construction, but To the extent that both are truly series-the
when that negative is given an affirmative in- succession of one thing after another-neither
terpretation, the infinite significance of the seems to be impossible, given infinite,time. Those
proposition becomes apparent. An example who deny the possibility of an infinite number
will make this clear. of causes distinguish between essential and
The proposition this animal is-not white is accidental causes, that is, between causes which
negative; it simply denies a certain quality of must co-exist with their effects and causes which
a certain thing. But the proposition this animal can precede their effects, and cease to be before
is not-white is infinite, for it affirms the negated their effects occur. If there were an infinite
term, and so places the subject in the infinite time, there could be an infinite series of acci-
class or totality which includes everything dental causes. But it may be questioned whether,
824 THE GREAT IDEAS
even granted an infinite time,. the relation be- conclusion cannot be -known until the truth of
tween the premises and conclusion of reasoning its premises is known, then the pursuit of truth
permits an infinite regression. If the truth of a may be vitiated by a search ad infinitum. -
OUTLINE OF TOPICS
PAGE
I. The general theory of infinity 82 5
Ia. The definite and indefinite: the measured and the indeterminate
lb. The infinite in being and quantity: the actual and potential infinite; the formal
and the material infinite 826
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-283] 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology, 11OO-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page I 19. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., lIiad, BK II [265-283] 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in ti tie of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) IlEsdras, 7:46.
SYMBOLS: The abbreviation "esp" calIs the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSSREFERENCES
For: The distinction between the potential and actual infinite, and the infinite of division and
addition, see QUANTITY 7.
Other discussions of the infinity of space, time, and motion, see ASTRONOMY 8c( I); CHANGE
13; ETERNITY 2; SPACE 3a; TIME 2b; WORLD 4:1; and for the conception of eternity as
infinite time, see ETERNITY I; TIME 2.
The issue conc~;rning the existence of atoms or the infinite divisibility of matter, see ELE-
MENT 5b; ONE AND MANY 3a(3).
The problem of an infinite regression in causes, see CAUSE I b, 7b; CHANGE 14; PRINCIPLE I b;
and for the related problem of infinite regression in definition and reasoning, see DEFINI-
TION IC; PRINCIPLE 3a(3); REASONING 5b( I).
The treatment of the infinite and the infinitesimal in mathematics, see MATHEMATICS 4d;
QUANTITY 2, 3a, 3C, 4C, 7
The special logical sense in which judgments are called "infinite," see JUDGMENT 6b.
The conception of the human intellect and of prime matter as having comparable types of
infinity, see MIND 2b.
Another discussion of the finite and the infinite in relation to human nature, see MAN Iod,
13
The special consideration of infinity in relation to human desire, see DESIRE 7;a(3); and for
the special consideration of the limits of human knowledge, see KNOWLEDGE 5a-5a(6).
The problem of our knowledge of the infinite, see KNOWLEDGE 5a(4).
The infinity of God, and of God's knowledge, power, and goodness, see BEING 7b(4); GOD
4e-4f, 5C,5f; GOOD AND EVIL 2; KNOWLEDGE 7a; LIBERTY 5d; MIND JOf; NATURE Ib;
TRUTH 2d; WILL 4bj WORLD 3a.
834 THE GREAT IDEAS
ADDITIONAL READINGS
Listed below are works not included in Great Books of the Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
r. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the. date, place, and other facts concerning the publication of ~he \vorks cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
T HEword "judgment" hasarangeofmean-
ings which includes three principal vari-
ation of the judgment which a court renders-
the judgment which is the decision of a judge
ants referring to (1) a quality of the mind, when he applies the law to the particular case.
(2) aJaculty of the mind, and (3) an act of the In the legal sense of a judicial decision, judg-
mind. Of these three meanings, it is the third ment reflects not so much the quality of the
which is extensively considered in this chapter; judge's mind as his duty and authority to dis-
and it is this meaning of "judgment" which pose of the, case and to have his decision exe-
many writers use the word "proposition" to ex- cuted by the appropriate officers of the law.
press. They sometimes substitute the one word The legal significance of judgment is not pri-
entirely for the other; sometimes they use both marily psychological orlogical; and, just as the
words, not as strict synonyms, but to express moral consideration of judgment falls under
distinct yet closely related aspects of the S;lme prudence,. the legal consideration is also more
fundamental phenomenon. appropriately developed in the context of other
The sense in which judgment is a quality of ideas.
the mind is the sense in which we ordinarily We are left with the meanings which belong
speak of a person as having sound judgment or to psychology, logic, and the theory of knowl-
poor judgment. "We credit the same people," edge. The sense in which "judgment" desig-
Aristotle says, "with possessing judgment and nates a faculty or function of the mind-a dis-
having reached years of reason and with having tinct sphere of mental operation-is much
practical wisdom and understanding." To be more special than the Sense in which "judg-
"a man of understanding and of good or sympa- ment" or "proposition" signifies a particular act
thetic judgment," he continues; is to be "able of the mind in the process of knowing Or in the
to judge about the things with which practical verbal expression of that process. Many au-
wisdom is concerned." thors discuss the kinds of judgment which the
The capacity to judge well con.:erning what mind makes, and the kinds of propositions it
is to be done is often connected with the capac- forms and asserts or denies, but only a few-
ity to deliberate about the advantages and dis- notably Locke and Kant-use the word "judg-
advantages or other circumstances relevant to ment" to name a mental faculty.
the action in question. It mayor may not be Locke, for example, says that "the mind has
accompanied by a capacity to resolve thought two faculties conversant about truth and false-
into action, to carry into execution the decision hood." One is the faculty of knowing; the
which judgment has formed. These three qual- other of judging. "The faculty which God has
ities of mind-deliberateness, judgment, and given man to supply the want of clear and cer-
decisiveness-are conceived by Aristotle and tain knowledge, in cases where that cannot be
Aquinas as belonging together as parts of the in- had, is judgment: whereby the mind takes its
tellectual virtue they call "prudence" or "prac- ideas to agree and disagree, or, which is the
tical wisdom." The qualities may occur sepa- same, any proposition to be true or false, with-
rately, but the prudent man will possess all three. out perceiving a demonstrative evidence in the
This meaning of "judgment" is reserved for proofs." The way in which Locke distinguishes
discussion in the chapter on PRUDENCE; and in between knowing and judging and the fact that
the chapter on LAW will be found the consider- he relates this distinction to the difference be-
835
836 THE GREAT IDEAS
tween certainty and probability suggest the they might have upon one another (each ac-
parallel distinction between knowledge and cording to its fundamental laws) by the great
opinion. The faculty of judgment for Locke is gulf that separates the supersensible from phe-
the equivalent of what other writers treat as nomena." It is the judgment, according to
the forming of opinions. Kant, which "furnishes the mediating concept
Kant also makes judgment a faculty. Along between the concept of nature and th3t of
with understanding and reason,judgment is oM freedom."
of the three faculties of cognition. It has a dis-
tinct function of its own and is coordinate with KANT'S THEORY of the faculties of understand-
the other two. As the laws of nature are the ing, judgment, and reason is so complex a doc-
work of the understanding in the sphere of trine that it cannot be readily compared with
speculative reason; as the rules of the moral law other analyses of the capacities or functions of
are the work of the reason in the practical mind. His threefold division bears a superficial
sphere, wherein it is related to the faculty of -perhaps only a verbal-resemblance to Aqui-
desire; so the purposiveness of nature comes nas' division of mental acts into conception,
under the faculty of judgment which operates judgment, and reasoning.
in relation to the faculty of pleasure and pain. According to Aquinas, judgment is the sec-
Kant divides all the faculties of the soul intb ond of the three acts of a single cognitive facul-
"three which cannot be any further derived ty variously called "mind" or "intellect" or
from one common ground: the faculty ofknowl-' "reason." This facuity, he writes, "first appre-
edge, the feeling of pleasure and pain and the hends something about a thing, such as its es
faculty ofdesire." He sees each of the three cog- sence, and this is its first and proper object; and
nitive functions (of understanding, judgment, then it understands the properties, accidents,
and reason) as standing in a peculiar relation to and various dispositions affecting the essence.
these three primary faculties. The faculty of Thus it necessarily relates one thing with an-
judgment functions with respect to pleasure other by composition or division; and from one
and pain, which is connected with the faculty of composition and division it necessarily proceeds
desire. Yet the aesthetic judgment of beauty to another, and this is reasoning."
and the theological judgment of purposiveness The first act of the mind is conception, i.e.,
in nature are of a speculative rather than a the simple apprehension of the essence and
practical character. Because of these two re- properties of a thing. Judgment, the second act,
latedfacts, Kant holds that "the judgement unites or separates concepts by affirming or
in ,the order of our cognitive faculties, forms a denying one of another. As in the Kantian anal-
mediating link between Understanding and ysis, judgment is a kind of mediating link; for
Reason." after the judgment is formed by what Aquinas
Kant, perhaps more than any other thinker, calls the "composition or division" ofcbncepts,
makes judgment-both as a faculty and as an it in turn serves as the unit of the mind's third
act-one of the central terms in his philosophy. act, which is reasoning; Reasoning is the process
It is pivotal in each of the three critiques, but of going from judgment to judgment.
it is the Critique of Judgement which serves to The act of judgment is that act of the
connect the Critique of Pure Reason and the mind, and' the only act, which can have the
Critique of Practical Reason. "The Understand- quality of truth or falsity. "Truth," Aquinas
ing legislates a priori for nature as an object of writes, "resides in the intellect composing and
sense-for theoretical knowledge of it in a: pos- dividing"; for when the intellect "judges that
sible experience. Reason legislates a priorrfor a thing corresponds to the form which it ap-
freedom and its peculiar causality; as the super- prehends about that thing, then it first knows
sensible in the subject, for an unconditioned and expresses truth .... In every proposition,"
practical knowledge. The realm of the natural the mind "either applies to, or removes from,
concept under one legislation, and that of the the thing signified by the subject some form
concept of freedom under the other, are entire- signified by the predicate." Moreover, the
ly removed from all mutual influence which judgment involves assertion or denial as the
CHAPTER 41: JUDGMENT 837
concept does not. Whatever truth there is mind, for an affirmative proposition can be de-
implicitly in concepts must be explicated in nied and a negative can be affirmed.
judgments and the truth of the conclusion in Judgment adds to the proposition in ques-
reasoning depends upon the truth of the judg- tion the mind's decision with respect to its
ments which are the premises. The judgment, truth or falsity. That decision may be right
therefore, is the basic unit of knowledge. or wrong. A proposition which is in fact true
On this last point Kant seems to be in agree- may be denied. The truth of the proposition
ment with earlier writers. It is possible, there- is unaffected by the falsity. of the judgment,
fore, to compare Kant's classification of judg- or if the mind suspends judgment on a propo-
ments or propositions with the classifications of sition which is true, the truth of the proposi-
Aristotle, Descartes, or Locke. But it is neces- tion has failed to elicit a judgment. This seems
sary, first, to consider the relation between to confirm the separation between the proposi-
judgment and proposition. After that we can tion and the judgment.
examine the difference between theoretic and Sometimes the difference between the j.udg-
practical judgments. With respect to the theo- ment and the proposition is found in the differ-
retic judgment (or proposition), we shall be ence between the mind's act of "composing" or
able to state opposite views of the nature of the "dividing" concepts and the formulation of
judgment and diverse views of the formal struc- that act in words. On this view, the proposi-
ture of judgments, their material content, their tion is related to the judgment as the term to
relation to one another and' to the whole proc- the concept, as the physical to the mental
ess of knowing. word, as language to thought. In consequence,
there is no separation for either the judgment
THE SENTENCE "all men are mortal" can be or the proposition between that which can be
interpreted as expressing a judgment or a prop- asserted or denied and th~ assertion or denial of
osition. From certain points of view, the choice it. The affirmative judgment is an assertion,
of interpretation makes no difference; for ex- the negative a denial; and the same holds for
ample, it does not matter whether, in a consid- the affirmative and the negative proposition.
eration of "all men are mortal" and "some men But on either theory of the difference, it is
are not mortal," the comparison is expressed in thought necessary to distinguish between the
terms of universal and particular, affirmative sentence and the proposition, especially when
and negative, judgments or propositions,. or the proposition is also regarded as a verbal for-
whether it is said that these are contradictory mulation-a statement of thought in words.
judgments or contradictory propositions. The This is particularly important in a logical trea-
basic problems of logic seem to be conceived in tise like Aristotle's, which analyzes terms, prop-
the same way by writers like Aristotle and ositions, and syllogisms rather than concepts,
Locke, who tend to use "proposition" in place judgments, and reasonings.
of "judgment," and by writers like Aquinas, In both the Categories, which deals with
Descartes, and Kant, who tend to use both terms, and the treatise On Interpretation, which
words with some difference in meaning. deals with propositions, Aristotle differentiates
What is the difference? It is sometimes un- between a grammatical and a logical handling
derstood as a difference between an act of the of the units of language. His distinction, for ex-
mind, asserting or denying, and the subject mat- ample, between simple and composite expres-
ter being asserted or denied. The proposition is sions (words and phrases on the one hand, and
that which may be either asserted or denied; or sentences on the other) is related to, but it is
in the third alternative stressed by Descartes, not identical with, his distinction between terms
the mind may suspend judgment and merely and propositions. Not every simple expression
entertain the proposition. It may decline to can be used as a term. For example, preposi-
judge it true or false, and so refuse to assert or tions and conjunctions cannot be used as terms,
deny it. The fact that the proposition is itself as nouns and verbs can be. Nor can every sen-
either affirmative or negative does not signify tence be used as a proposition.
its assertion or denial by a judgment of the "A sentence is a significant portion of speech,"
838 THE GREAT IDEAS
Aristotle writes, "some parts of which have an The imperative sentence is not the only kind
independent meaning, that is to say, as an ut- of practical statement. It is merely the most
terance, though not as the expression of any terse and emphatic. It is also the expression of
positive judgment.... Every sentence has that type of practical judgment which most
meaning," he goes on, "by convention. Yet immediately precedes action itself, or the exe-
every sentence is not a proposition; only such cution of a command. There are other sen-
are propositions as have in thein truth or falsity. tences which, because they are apparently de-
Thus a prayer is a sentence, but is neither true clarative in form, conceal their imperative
nor false. Let us therefore dismiss all other mood. Yet upon examination their essentially
types of sentence but the proposition, for this practical rather than theoretic significance can
last concerns our present inquiry, whereas the be discovered.
investigation of the others belongs rather to the Sentences which contain the words "ought"
study of rhetoric or of poetry." or "should" are of this sort, e.g., "Men ought to
It seems possible to relate the two separate seek the truth," "You should work for peace,"
distinctions we have been considering-that "I ought to make this clear." By omitting
between sentence and proposition and that be- "should" or "ought," these sentences can be
tween proposition and judgment. As the prop- changed into the strictly declarative mood of
osition can be regarded as a sentence logically theoretic propositions, e.g., "Men do seek the
(rather than grammatically) construed, so it truth," "You will work Jor peace," "I shall
can also be regarded as the linguistic expression make this clear." They can also be made plainly
of a judgment of the mind. The proposition imperative, e.g., "Seek the truth," etc. The
thus appears to be a kind of middle ground be- chief difference between the blunt form of the
tween language and thought, for when a sen- imperative and its indicative expression using
tence is used for the purpose of stating a prop- "ought" or "should" is that the latter indicates
osition it can also express a judgment. When a the person to whom the command is addressed.
judgment is expressed in words, the verbal The contrast in significance between a de-
statement is also a proposition. The proposition clarative and an imperative statement does,
is thus the logical aspect of a sentence and the therefore, convey the distinction between a
verbal aspect of a judgment. A similar consider- theoretic and a practical proposition or judg-
ation of terms in relation to words and concepts ment. Kant's further division of practical judg-
occurs in the chapter on IDEA. ments into the hypothetical and the categorical
simply differentiates commands or "oughts"
WHAT IS PERHAPS the most fundamental divi- which involve no preamble from those which
sion in the sphere of judgments-the separation propose that action be taken to achieve a cer-
of the practical from the theoretic or specula- tain end, or which base a direction to employ
tive-can be initially explained by reference to this or that means on the supposition that a
the forms of language. Aristotle's remark about certain end is desired or sought. Examples of
sentences and propositions tends to identify hypothetical or conditional imperatives would
propositions with declarative sentences. Sen- be such judgments as "If you want to be happy,
tences in the subjunctive mood state prayers or seek the truth" or "Seek the truth in order to
wishes, not propositions. An interrogative sen- be happy."
tence asks a question to which the answers may The distinction between theoretic and prac-
be propositions, or they may be hopes and de- tical judgments is currently made in terms of
sires. The imperative sentence issues a com- the contrast between statements of fact and
mand to act in a certain way, whether the com- statements of value or, as in judicial procedure,
mand is a direction for others or a decision for between statements of fact and rules of law. A
one's self. This last type of sentence represents rule of law has the form of a general practical
the practical mood of thought as well as speech statement, usually a conditional rather than a
-thought concerned with actions to be done categorical imperative; whereas the decision of
or not done, rather than with what does or does a court applying the rule to a case is a particular
not exist. practical judgment.
CHAPTER 41: JUDGMENT 839
Beginning with Francis Bacon, the distinc- The other basic issue lies in the opposition
tion between the theoretic and the practical between what has come to be called "subject-
is also made in terms of the difference between predicate logic" and "relational logic." Here
the pure sciences and their applications in tech- one side is fully represented by the Organon of
nology. Technical judgments, prescribing the Aristotle and by the later books which adopt
way to make something or produce a certain the Aristotelian logic of predication. The other
effect, are traditionally associated, under the logical theory is intimated but not fully de-
head of the practical, with moral judgments veloped by such writers as Locke, Hume, Kant,
concerning the good to be sought and the ways and William James who, though they some-
of seeking it. Both are prescriptive of conduct times employ the subject-predicate formulation,
rather than descriptive of existence or nature tend to construct the unit of knowledge-the
in the manner of theoretical statements. proposition or judgment-as a relation be-
Thinkers like Aristotle, Aquinas, and Kant, tween ideas or concepts.
who divide science or philosophy into the the- The fact that Kant places substance and ac-
oretical disciplines (e.g., physics, mathematics, cident under the category of relation can be
metaphysics) and the practical or moral dis- taken as exemplifying this tendency, as can
ciplines (e.g., ethics, economics, politics), place Locke's emphasis on the connection of, and
the discussion of the difference between theo- agreement or disagreement between, our ideas.
retical and practical judgments in the context Nevertheless, these are at most intimations of
of other distinctions; as, for example, between the theory that the proposition is a relation of
the speculative and the practical reason, or be- two or more terms, not the application of a
tween theoretic and practical knowledge; or predicate to a subject. As indicated in the chap-
in the context of considering the kinds of ter on LOGIC, the relational theory does not re-
truth appropriate to each,. and the modes of ceive an adequate exposition until the modern
inference or demonstration in each. These development of symbolic or mathematical logic,
related distinctions and considerations are beginning with the writings of Boole, Jevons,
treated in the chapters on KNOWLEDGE, and Venn, and culminating in such works as the
MIND, REASONING, and TRUTH. Principia Mathematica of Russell and White-
For the most part, however, the great books head.
in the tradition of logic itself do not give an In the Aristotelian logic, simple propositions
analysis of practical judgments or reasoning in consist of a subject and a predicate-what is be-
any way comparable to their treatment of the ing talked about and what is said of it. The cop-
theoretic forms of thought and statement. The ula "is" is the sign of predication; it also signi-
logical problems concerning propositions or fies an affirmation of the unity of subject and
judgments, now to be considered, apply only predicate. For example, in "Socrates is a man"
to the theoretic forms. the predicate man is applied to the subject
Socrates, and the unity of being Socrates and
Two BASIC ISSUES in the theory of propositions being a man is affirmed. All the terms of dis-
or judgments have their origin in the tradition course can be classified according to their char-
of the great books, but for their explicit and acter as subjects and predicates; so, too, can
full development other works must be con- propositions be classified by reference to the
sulted-the special treatises on logic, of relative- type of subject-term and the type of predicate-
ly recent date, listed in the Additional Read- term which comprise them. The formal struc-
ings. One of these two issues has already been ture not only of the proposition, but also of the
briefly commented on, but for the full implica- syllogism, is determined by the order of sub-
tions of the distinction between propositions jects and predicates. "When one term is predi-
and judgments one must go to such writers as cated. of another," Aristotle writes, "any term
Hegel, Bradley, Bosanquet, Cook Wilson, W. E. which is predicable of the predicate will also be
Johnson, and John Dewey, who make this dis- predicable of its subject."
tinction the crux of a controversy over the According to the theory of the proposition
scope of formal logic. as a relation of terms or of classes, predication
840 THE GREAT IDEAS
represents merely one type of relationship-the are mortal or no men are mortal." Kant treats
membership of an individual in a class, or the these distinctions under the head of relation. He
inclusion of one class in another.' There are calls the proposition which is a "relation of the
many other types of relation which, it is held, predicate to the subject, categorical" and he
cannot be reduced to class-membership or regards the hypothetical or disjunctive judg-
class-inclusion; as, for example, the relationship ment (based on relations of cause and effect or
stated by the proposition "John hit Tames." or of the parts of a whole) as concerned with prop-
the proposition "January comes before Febru- ositions "in relation to eah other."
ary." Propositions can be classified according to Aristotle classifies simple propositions by ref-
the number of terms involved in a single rela- erence to their quantity and quality. In regard
tionship, or by reference to the type of relation to quantity he distinguishes between the uni-
which organizes them, whether it is symmetri- versal (e.g., "All men are mortal") and the par-
calor asymmetrical, transitive or' intransitive, ticular (e.g., "Some men are mortal"). To these
reflexive or irreflexive. In this theory it is the he adds the indefinite proposition which leaves
character of the relationship, not the character the quantity (allor some) undetermined. Under
of the terms, which is the fundamental element the head of quantity, Kant makes a threefold
in logical analysis, and this determines the for- division according to uni ty, plurality. and total-
mal structure of inference as well as of proposi- ity. He adds the singular proposition "Socrates
tions. is mortal" to Aristotle's particular and univer-
It has been claimed for each of these -logical sal. The difference between the singular on the
theories that it is the more general analysis and one hand, and the particular and the universal
that it is able to reduce the formulations of the on the other, seems to be represented in Aristo-
opposite theory to its own terms or subsume tle's thought by the distinction between prop-
them as a special case. Certainly it is verbally ositions about an individual subject and prop-
possible to convert all predications into state- ositions about a universal subject.
ments of relationship, or all relational state- The quality of categorical propositions, ac-
ments into subject-predicate propositions. But cording to Aristotle, is either affirmative (i.e.,
this by itself does not seem to resolve the issue positive) or negative, e.g., "All men are mortal"
to the satisfaction of either theory; each side and "Some men are not mortal." To these two
contends that such reductions violate its funda- Kant adds a third type of judgment under the
mental principles. Stated in its most drastic head of quality-the infinite judgment which
form, the unresolved question is whether there affirms a negative predicate of a subject, e.g.,
is one logic or two-or perhaps more. "The soul is non-mortal." Though Aristotle
recognizes the special character of a term like
WITHIN THE tradition of Aristotelian logic, "non-mortal," since it is both negative and
there are divergent schemes for classifying indefinite, he does not seem to think that the
propositions or judgments. So far as the great use of such terms affects the quality of a prop-
books are concerned, this can be best illustrated osition.
by mentioning Kant's departures in analysis. Finally, Aristotle divides propositions ac-
Aristotle distinguishes between simple and cording to whether they are simple assertions of
composite propositions, the forme!' consisting fact or are assertions qualified by the notions of
of a single subject and predicate, the latter necessity or contingency (i.e., possibility). Ev-
"compounded of several propositions." For ex- ery proposition, he says, "states that something
ample, since the two predicates in the proposi- either is or must be or may be the attribute of
tion "This man is good and a shoemaker" do something else." The distinction between the
not form a unity, the sentence expresses a con- necessary and contingent modes of statement
junction of two simple propositions: "This'man has come to be called a difference in. "modal-
is good" and "This man is a shoemaker." Other ity," and statements which have one or another
types of compound propositions are the hypo- modality are called "modal propositions."
thetical and the disjunctive, e.g., "If Socrates is It is sometimes thought that the Aristotelian
a man, Socrates is mortal," and "Either all men classification treats only necessary and contin-
CHAPTER 41: JUDGMENT 841
gent propositions, with their several opposites, further distinctions in type. The certainty or
as modal propositions, and separates the simple probability with which propositions are as-
or pure assertion from them as non-modal. In serted or judgments are made is connected by
contrast to this, Kant makes a threefold divi- some writers with the distinction between
sion of judgments under the head of modality: knowledge and opinion, by others with the
the "problematical" (i.e., the possible, what difference between science and dialectic, and
may be), the "assertoric" (i.e., the existent, by others with the difference between knowing
what is), and the "apodictic" (i.e., the neces- the relation of ideas and knowing matters of
sary, what must be). fact or real existence. Propositions which ex-
press certain knowledge are, furthermore, di-
THE CLASSIFICATION of the types of judgment vided by some analysts into those which are
or proposition is usually preliminary in logical axiomatic, self-evident, or immediate and those
analysis to a consideration of their order and which are known only by mediated inference,
connection. reasoning, or demonstration, not by intuition
The formal pattern of what is traditionally or induction. The former ate also sometimes
called "the square of opposition" is determined called "principles," the latter "conclusions."
by the quality and quantity of the simple Locke's distinction between "trifling" and
propositions which are therein related as con- "instructive"propositions, ,like Kant's dis
tradictory, contrary, and sub-contrary. Two tinction between "analytic" and "synthetic"
propositions are contradictory if they are op- judgments, is made in the general context of an
posite in both quality and quantity (e.g., "All examina tion of how we learn or know.
men are mortal" is contradicted by "Some Trifling propositions, according to Locke,
men are not mortal"). Two'universal proposi- "are universal propositions,which, though they
tions are contrary if one is affirmative and the be certainly true, yet they add no light to our
other negative (e.g., "All men are mortal" is understanding; bring no increase to our knowl-
contrary to '!No men are mortal"); and anaf- edge." All "purely identical propositions" are
firmative and a negative particular proposition of this sort-propositions such as "body is
are related as sub-contraries (e.g., "Some men body" or "a vacuum is a vacuum." Such propo-
are mortal" and'''Some men are not mortal"). sitions "teach nothing but what every one who
The significance of these three basic relation- is capable of discourse knows without being
ships for the truth and falsity of the opposed told, viz., that the same term is the same term,
propositions is discussed in the chapter on and the same idea the same idea." They are all
OPPOSITION; and in the chapter on NECESSITY instances of the.law of identity; or, as Locke ex-
AND CONTINGENCY the special problems of op~ presses it, they are all "equivalent to this propo-
position among modal, propositions are ex- sition, viz" what is, is." If the trifling proposi-
amined. tion, the analytical judgment, or what iIi our
Other than their opposition, the only formal day is called a "tautology," goes beyond the
relationship of propositions or judgments oc- statement of an identity between subject and
curs in the, structure of inference or reasoning. predicate, it goes no further than theexplica-
According to the traditional analysis, the impli- tion of a definition. It predicates, Locke says,
cation of one proposition by another-insofar "a part of the definition of the word defined,"
as that is determined by the form of each-is as, for example, in the proposition "Lead is a
immediate inference. In contrast, the pattern metal."
of mediated inference or reasoning always in- Analytical or explicative judgments, Kant
volves at least three propositions"ordered not says in the Prolegomena, "express nothing in the
only with respect .to the sequence from premis- predicate but what has already been actually
es to conclusion, bu t also by the relation of the thought in the concept of the subject ... When
premises to one another. These matters are dis- I. say, 'all bodies are extended,' I have not am-
cussed in the chapter on REASONING. plified in the least my concept of body, but
With respect to their origin, status, or im- have only analyzed it ... On the contrary, this
port, judgments or propositions are subject to judgment, 'All bodies have weight,' contains in
842 THE GREAT IDEAS
its predicate something not actually thought pens, I indeed think an existence which a cer-
in the general concept of body; it amplifies tain time antecedes, and from this I can de-
my knowledge, by adding something to my rive analytical judgments. But the conception
concept, and must therefore be called syn- of a cause lies quite outside the above concep-
thetical. " tion, and indicates something entirely different
For Locke not all axioms or self-evident from 'that which happens,' and is consequent-
propositions are trifling or tautological, for ly not contained in that conception. How then
some go beyond statements of identity or the am I able to assert concerning the general con-
explication of definitions, as, for example, that ception-'that which happens'-something en-
the whole is greater than the part. Nor are they tirely different from that conception, and to
all useless. Some which Locke distinguishes recognize the conception of cause although not
from the rest by calling them "maxims," are of contained in it, yet as belonging to it, and even
use, he maintains, "in the ordinary methods of necessarily? What is here the unknown X, upon
teaching sciences as far as they are advanced, which the understanding rests when it believes
but oflittle or none in advancing them further. it has found, outside the conception A, a foreign
They are of use in disputes, for the silencing of predicate B, which it nevertheless considers to
obstinate wranglers, and bringing those con- be connected with it?" It is the discovery and
tests to some conclusion." solution of this problem which Kant believes to
For Kant there is a further division of judg- be the signal contribution of his transcendental
ments into the a posteriori and the a priori, ac- logic of the judgment.
cording as their truth is or is not grounded in It may be wondered whether this problem
the data of experience. The former are empiri- can be stated in terms other than those peculiar
cal in origin, the.lauer transcendental, that is, to Kant's analytical vocabulary. Other writers
they have a foundation which transcends ex- admit that propositions which are particular
perience. These two types of judgment express and contingent have' "existential import."
two corresponding types of knowledge-a Their truth concerns real existences, and so
priori knowledge by which Kant understands whether they are true or not can and must be
"not such as is independent of this or that kind learned from experience. These are like Kant's
of experience, but such as is absolutely so of all synthetic judgments a posteriori. Universal
experience. Opposed to this is empirical knowl- and necessary propositions, on the other hand,
edge, or that which is possible only a posteriori, are sometimes interpreted as having no exis-
that is, through experience." tential significance. Instead of being read as
In Kant's view, there is no problem about asserting that anything exists, they are taken
the truth of analytic judgments, for these have simply as statements of the relation between
an a priori foundation in the principle of con- our own ideas. These, for Locke and Hume,
tradiction. (The contradictory of an analytic are like Kant's a priori analytic judgments.
judgment is always self-contradictory.) Nor do Wha t remains is to discover a parallel for
synthetic judgments which are empirical or a Kant's synthetic judgments a priori. In terms
posteriori raise any special difficulties. The cen- other than Kant's, the most likely parallel
tral question in the theory of knowledge con- seems to be the universal and necessary propo-
cerns the possibility and validity of synthetic sition conceived as a statement about reality
judgments a priori. . rather than about relations in the realm of our
"If I go out of and beyond the conception A, own concepts. When universal propositions are
in order to recognize another, B, as connected so interpreted, two questions arise. How do we
with it, what foundation have I to rest on," establish that the subjects of such propositions
Kant asks, "whereby to render the synthesis really exist? What is the ultimate ground for
possible? I have here no longer the advantage the truth of such propositions, the unlimited
of looking out in the sphere of experience for universality of which outruns experience? In
what I want. Let us take, for example, the these two questions we find a problem which is
proposition, 'everything that happens has a at least analogous to Kant's problem of the
cause.' In the conception of something that hap- possibility of synthetic judgments a priori.
CHAPTER 41: JUDGMENT 843
OUTLINE OF TOPICS
PAGB
I. Judgment as an act or faculty of the mind: its contrast with the act of conception or
with the faculties of understanding and reason 844
2. The division of judgments in terms of the distinction between the theoretic and the
practical
3. The analysis of practical or moral judgments: judgments oEgood and evil, means and
ends; categorical and hypothetical imperatives 845
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-28'lj12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology, 116a-1l9b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters Cand d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLA1'0: Symposium, 163b-164c, the passage begins in the lower half
of the left hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-283) 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) 11 Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: The comparison of judgment with other acts of the mind, seeloEA 2g, 5a; KNOWLEDGE 6b(4);
REASONING I; and for the relation of judgment to other faculties of the mind, see MIND
Ie-Ie(3)
Discussions relevant to the distinction between theoretic and practical judgments, see
KNOWLEDGE 6e(I); PHILOSOPHY 2a; PRUDENCE 2a; REASONING 5e-5e(I); THEOLOGY 4d;
TRUTH 2C; WISDOM lb.
Other considerations of practical or moral judgments, and of judgment in relation to pru-
dence, see GOOD AND EVIL 5b-5c; KNOWLEDGE 6e(2); PRUDENCE sa; and for the theory of
the categorical imperative, see DuTY 5; NECESSITY AND CONTINGENCY 5a(2).
Other treatments oflanguage in relation to thought, see IDEA 4a; LANGUAGE 7.
CHAPTER 41: JUDGMENT 849
For: The theory of predication and the analysis of subjects and predicates, see IDEA sa; UNIVERSAL
AND PARTICULAR sc.
The relational theory of propositions, see RELATION 4b.
Other discussions bearing on the quantity, quality, and modality of propositions, see INFIN-
ITY 2b; NECESSITY AND CONTINGENCY 4e(I); UNIVERSAL AND PARTICULAR sc-Sd; and for
other considerations of the distinction between the categorical and the hypothetical in
judgment and reasoning, see HYPOTHESIS S; REASONING 2b.
Another treatment of the square of opposition, see OPPOSITION Id(I)-Id(2).
The relation of judgments to one another in immediate inference or in reasoning, see REASON-
ING 4a; RELATION 4b.
The distinction between self-evident and demonstrable judgments, see INDUCTION 3; KNOWL-
EDGE 6C(2); PRINCIPLE 2b(2); and for other treatments of the a priori and the a posteriori,
see EXPERIENCE 2d; KNOWLEDGE 6c(4); REASONING Sb(3).
A discussion relevant to the distinction between existential and non-existential judgments,
see KNOWLEDGE 6a(3)'
The problem of the truth and falsity of judgments, or their certainty and probability, see
KNOWLEDGE 6d(I)-6d(2); OPINION 3a-3b; TRUTH 2e, 3b(2)-3c, 7a.
Another consideration of the aesthetic judgment, see BEAUTY S; UNIVERSAL AND PARTICULAR
7c.
ADDITIONAL READINGS
Listed below are works not included in Great Books of the Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
1. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place. and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
T HE discussion of justice is the central
theme in two dialogues of Plato-the
day, though in their real contentions the con-
ferences which have preceded or followed the
Republic and the Gorgias. The dispute between world wars of our century repeat what hap-
Socrates and Thrasymachus in the one and be- pened, if not what was said, at Melos.
tween Socrates and Callicles in the other is of The Athenians tell the Melians that they will
such universal scope and fundamental character not waste time with specious pretences "either
that it recurs again and again in the great of how we have a right to our empire ... or are
books with little change except in the person- now attacking you because of a wrong you have
alities and vocabularies of the disputants. done us." Why make a long speech, they say,
It is a conflict of such polar opposites that all which would not be believed? Instead they
other differences of opinion about justice be- come directly to the point and put the matter
came arguable only after one or the other of the simply or, as we now say, realistically. "You
two extreme positions is abandoned. It is the know as well as we do," they tell the Melians,
conflict between the exponents of might and "that right, as the world goes, is only in ques-
the exponents of right-between those who tion between equals in power, whereas the
think that might makes right and that justice stronger do whatever they can and the weaker
is expediency, and those who think that power suffer whatever they must." There is nothing
can be wrongly as well as rightly exercised and left for the Melians except an appeal to expe-
that justice, the measure of men and states, diency. "You debar us from talking about jus-
cannot be measured by utility. tice and invite us to obey your interest," they
Though Plato gives us the first full-fashioned reply to the Athenians, before trying to per-
statement of this issue, he does not fashion it suade them that their policy will end in disaster
out of whole cloth. The issue runs through the for Athens.
fabric of Greek life and thought in the age of The language ofThrasymachus in the Repub-
the imperialistic city-states which played the lic resembles that of the Athenian envoys. "I
game of power politics culminating in the Pel- proclaim," he says, "that justice is nothing else
oponnesian War. In his history of that war, than the interest of the stronger .... The differ-
Thucydides highlights the Melian episode by ent forms of government make laws democrati-
dramatically constructing a conversation be- cal, aristocratical, tyramlical, with a view to
tween the Athenian envoys and the representa- their several interests; and these laws, which
tives of Melos, a little island colony of Sparta are made by them for their own interests, are
which had refused to knuckle under to Athe- the justice which they deliver to their subjects,
nian aggression. and him who transgresses them they punish as
Recognizing the superior force of the aggres- a breaker of the law, and unjust. And this is
sors, the Melians enter the conference with a what I mean when I say that in all states there
sense of its futility, for, as they point out, if is the same principle of justice which is the in-
they insist upon their rights and refuse to sub- terest of the government; and as the govern-
mit, they can expect nothing from these nego- ment must be supposed to have power, the only
tiations except war and, in the end, slavery. The reasonable conclusion is that everywhere there
Athenians reply with a frankness that is seldom is one principle of justice which is the interest
found in the diplomatic exchanges of our own of the stronger."
850
CHAPTER 42: JUSTICE 851
The thesis seems to have two applications. Aristotle maintains that man is a political
For the stronger, it means that they have the animal, whereas other animals are merely gre-
right, as far as they have the might, to exact garious. He cites the fact that man alone has a
from the weaker whatever serves their interests. power of speech able to communicate opinions
Their laws or demands cannot be unjust. They about the expedient and the just. "Justice is the
cannot do injustice. They can only fail to exert bond of men in states, for the administration of
sufficient might to hold on to the power which justice, which is the determination of what is
can secure them, not from the charge of in- just, is the principle of order in political so-
justice, but from reprisals by those whom they ciety." Aristotle describes man "when sepa-
have oppressed or injured. rated from law and justice" as the worst of ani-
The thesis also means, for the weaker, that mals. Augustine describes the state without jus-
they can only do injustice but not suffer it. In- tice as "no better thana band of robber thieves."
justice on their part consists in disobeying the Those who agree that political institutions
law of their rulers. Hence for them, too, justice involve justice are confronted by these alterna-
is expediency, only now in the sense that they tives: either the principle of justice is antecedent
are likely to suffer if they try to follow their to the state, its constitution, covenants, and
own interests rather than the interests of the laws, or the determination of what is just and
stronger. unjust is entirely relative to the constitution of
This thesis appears to be repeated in some- a state, dependent upon its power, and conse-
what different language by Hobbes and Spi- quent to its laws.
noza. To men living in a purely natural condi- When the second alternative is chosen, the
tion, the notions of justice and injustice do not proposition that justice is political is seriously
apply. They apply only to men living in civil qualified. It is merely political. There is no natu-
society. "Where there is no Commonwealth," ral justice, no justice apart from man-made
Hobbes writes, "there is nothing unjust. So that laws, nothing that is just or unjust in the very
the nature of justice consists in the keeping of nature of the case and without reference to civil
valid covenants; but the validity of covenants institutions. On this theory, only the individual
begins not but with the constitution of a civil who is subject to government can be judged
power sufficient to compel men to keep them." just or unjust. The government itself cannot be
The breach of civil laws or covenants "may be so judged, nor can its constitution, its laws, or
called injustice, and the observance of them its acts; for, since these determine what is just
justice." and unjust, they cannot themselves be judged
It is Spinoza's opinion that "everything has for their justice.
by nature as much right as it has power to exist The opposite answer conceives political jus-
and operate." It follows, therefore, that "in a tice as a determination of natural justice. "Po-
natural state there is nothing which can be litical justice," Aristotle remarks, "is partly
called just or unj ust, but only in a civil sta te." natural and partly conventional or legal." The
Here as before justice consists in obedience, in- fact that there is a sense in which just action on
justice in disobedience, to whatever laws the the part of a citizen consists in law-abiding con-
state has the power to enforce, the laws them- duct, does not exclude another sense in which
selves being formulated not by reference to the laws themselves can be called just or unjust,
justice, but to the interests of the state which not only the laws, but the constitution of the
must seek its own preservation and has the right state itself. Though the justice of civil laws is
to do so, so long as it has the power. partly relative to the constitution under which
they are made and administered, there are some
THOSE WHO TAKE the opposite view agree that enactments which, since they violate natural
justice is political in the sense that the state, in justice, cannot be justified under any constitu-
organization and operation, is a work of justice. tion. The constitution, moreover, cannot he
Wisdom is the virtue of the rulers in the regarded as the ultimate standard of justice by
Republic, but justice is the organizing principle those who compare the justice of different forms
of Plato's ideal state. of government or diverse constitutions. On
852 THE GREAT IDEAS
their view, the ultimate measure ofjustice in impair the life, or what tends to the preserva-
all human institutions and acts, as well as in the tion of the life, the liberty, health, limb, or
characters of men, is not itself a man-made goods of another." Since this law of nature, and
standard, but rather a natural principle of jus- its implied principle of just dealing between
tice, holding for all men a t all times everywhere. men, is not abolished when men associate in the
common life of a civil society, natural justice
THE ISSUE JOINED BY these two theories of and natural rights remain, according to Locke
justice extends by implication into. many re- and others, to limit the powers of government
lated matters. The opposition, for example, be- and to measure the justice of its laws.
tween those who affirm the reality of natural The principle of natural justice is sometimes
law as the source of legality in all civil regula- not accompanied by a doctrine of natural law
tions and those who derive the legality of and natural rights, as for example in Greek
positive laws from the will of the sovereign thought. Their connection first seems to occur
alone, is considered in the chapter on LAW, but in Roman jurisprudence and mediaeval theory.
its parallelism with the issue of natural and Not all the opponents of natural justice avoid
conventional justice should be noted here. the use of the words "natural law" and "natu-
Those who deny natural justice and natural ral rights." Using these words in a. different
law also tend to deny natural rights, which, un- sense, Hobbes, for example, speaks of men liv-
like civil rights, are not conferred on the indi- ing under natural law in a state of nature,'which
vidual by the state, but are inherent in his hu- is "a condition of war of everyone against
man personality. They are, according to the everyone," and "in such condition every man
Declaration of Independence, "unalienable" in has a right to everything, even to another's
the sense that the state cannot rescind them. body." Only when men abandon this unlimited
What the state does not create, it cannot de- right in order to form a commonwealth, do
stroy. If a government transgresses natural they acquire in recompense certain civil rights
rights, it negates its own reason for being, or, as Hobbes says, "proprieties." Then, and
since it is "to secure these r.ights [that] govern- only then, can there be any meaning to justice,
ments are instituted among men." conceived according to the ancient maxim which
Those who deny natural rights, among which Hobbes accepts" that justice is "the. constant
the right to liberty is usually included, do not will to .render to each man what is his due.",
have a standard for judging when governments Both Spinoza and Hume make the same
violate the rights and invade the liberties of point. Where there is no recognized title to
men. When men are thought to have no rights property, or legally established right, there can
except those granted by their rulers; the abso- be no justice-no respecting of what is a man's
lute power which the rulers exercise cannot be own or giving him what belongs to him. The
criticized as tyrannical or despotic. difference between Locke and these others seems
Considering the situation of men in what he to lie in his conception of.property as the natural
calls "a state of perfect freedom"-apart from right which a man has to the preservation of his
government and civil institutions-Locke says life, liberty, and estate. There can be justice,
of this state of nature that.it "has a law of na- therefore, between men in a state of nature, for
ture to govern it, which obliges everyone; and even then each has some property tha t the
reason, which is that law, teaches all mankind others are bound to respect.
who will but consult it, that, being all equal
and independent, no one ough t to harm another THE MEANING of natural justice can be ex-
in his life, health, liberty, or possessions.... E v- amined apart from these different interpreta-
eryone, as he is bound to preserve himself, and tions of the so-called "state of nature." Those
not quit his station willfully, so, by the like rea- who, like Aristotle and Aquinas, do not con-
son, when his own preservation comes not in ceive the origin of political society as a transi-
competition, ought he, as much as he can, to tion from the "state of nature" do, neverthe-
preserve the rest of mankind, and not, unless it less, appeal to a principle of natural justice. For
be to do justice on an offender, take away or Aquinas, this principle seems to be an integral
CHAPTER 42: JUSTICE 853
part of the natural law. Sometimes the state- undertaken as a matter of strict justice, goes no
ment of the first precept of the natural law is further than to discharge the debt which each
"Seek the good; avoid evil." Sometimes it is man owes every other.
"Do good to others, injure no one, and render In consequence, a difference of opinion arises
to every man his own.'~ In this second formula- concerning the adequacy of justice to establish
tion, the natural law seems to be identical with the peace and harmony of a society. Some wri t-
the precept of justice. The essential content of ers, like Kant, seem to think that if perfect jus-
this precept seems to be present-separate from tice obtained, a multitude of individual wills
any doctrine of natural law-in Aristotle's would be perfectly harmonized in free action.
analysis of the nature of justice both as a virtue Others, like Aquinas, think justice necessary
and as a quality of human acts. but insufficient precisely because it is a matter
"The just," Aristotle says, "is the lawful and of duty and debt. "Peace," he writes, "is the
the fair." What he means by the word "lawful" work ofjustice indirectly, in so far as justice re-
in this context does not seem to be simply the moves the obstacles to peace; .but it is the work
law-abiding, in the sense of conforming to the of charity directly, since charity, according to
actual laws of a particular society. He thinks of its very nature, causes peace; for love is a unitive
law as aiming "at the common advantage .... force." The bonds of love and friendship unite
We call those acts just," he writes, "that tend men where justice merely governs their inter-
to produce and preserve happiness and its com- action. What men do for one another ou t of the
ponents for the political society." Lawful (or generosity of love far exceeds the commands of
just) actions thus are those which are for the justice. That is why mercy and charity are
common good or the good of others; unlawful called upon to qualify justice or even to set it
(or unjust) actions, those which do injury to aside. "Earthly power," Portia declares in the
others or despoil the society. Merchant of Venice, "doth then show likest
It is in this sense of justice that both Plato God's when mercy seasons justice."
and Aristotle lay down the primary criterion
for differentiating between good and bad gov- THE PRECEPT "to render unto others what is
ernments. Those which are lawful and serve their due" is read in a different light when the
the common good are just; those which are other aspect of justice is c;onsidered. When the
lawless and serve the private interests of the just is conceived as the fair, the fairness which
rulers are unjust. This meaning of justice ap- is due ourselves or others applies, not to benefit
plies as readily to all citizens-to all members and injury generally, but to the exchange and
of a society-as it does to those who have the distribution of goods or burdens. What is the
special duties or occupy the special offices of principle of a fair exchange or a fair distribu-
government. tion? Aristotle's answer to this question is in
Whether it is stated in terms of the good of terms of equality.
other individuals or in terms of the common In the transactions of commerce, fairness
good of a community (domestic or political), seems to require the exchange of things equiva-
this understanding of justice seems to consider lent in value. The rule of an eye for an eye, a
the actions of a man as they affect the well- tooth for a tooth, is another expression of the
being, not of himself, but of others. "Justice, principle of equality as the. criterion of a fair
alone of the virtues," says Aristotle, "is thought penalty or a just compensation. If honors or re-
to be 'another's good,' because it is related to wards are to be distributed, equals should in
our neighbor." Concerned with what is due fairness be treated equally, and those who are
another, justice involves the element of duty unequal in merit should receive unequal shares.
or obligation. "To each one," Aquinas writes, For all to share alike is not a just distribution of
"is due what is his own," and "it evidently per- deserts if all do not deserve alike. "Awards
tains to justice," he adds, "that a man give should be 'according to merit,'" Aristotle
another his due." That is why "justice alone, of writes. He claims that "all men agree" with
all the virtues, implies the notion of duty." Do- this, "though they do not all specify the same
ing good to others or not injuring them, when sort of merit, but democrats identify it with
854 THE GREAT IDEAS
the status of freeman, supporters of oligarchy dependent upon the kind of transaction to
with wealth or with noble birth, and supporters which the principle of justice is applied. The
of aristocracy with excellence." The unequal forms of justice-the two modes of equality
treatment of unequals, however, still derives or fairness-appear to remain the same. The
its fairness from the principle of equality, for special problems of economic justice are more
there is an equivalence of ratios in the propor- fully examined in the chapters on LABOR and
tion of giving more to the more deserving and WEALTH, as the special problems of political
less to the less. justice are treated in grea ter detail in all the
Aristotle employs the distinction between chapters dealing with the state, government,
these modes of equality-arithmetic and geo- and the several forms of government. Here we
metric, or simple and proportional, equality- shall consider only the generalities, and es-
to define the difference between fairness in ex- pecially those which touch the main issues in
change and fairness in distribution. The one IS the theory of justice.
the type of justice which is traditionally called Though Karl Marx does not engage in the
"commutative," "corrective," or "remedial," controversy over natural justice, he seems to
the other "distributive." take the side which looks upon justice as a uni-
The type of justice "which plays a rectifying versal standard that does not derive from, but
part in transactions between man and man," rather measures, human institutions. Some-
Aristotle further divides into two kinds. "Of thing like 'from each according to his ability,
transactions," he writes, "(I) some are volun- to each according to his needs'-or, in another
tary and (2) others involuntary-voluntary such variant of the maxim, 'to each according to his
transactions as sale, purchase, loan for consump- deserts' -seems "to be for Marx the maxim of a
tion, pledging, loan for use, depositing, letting just economy, stated withollt argument as if a
... while of the involuntary (a) some are clan- principle self-evident in the very nature of the
destine, such as theft, adultery, poisoning, pro- case. So, too, in his consideration of the exploi-
curing, enticement of slaves, asSassination, false tation of labor in its various historic forms-
witness, and (b) others are violent, such as as- chattel slavery, feudal serfdom or agrarian pe-
sault, imprisonment, murder, robbery with vio- onage, and what he calls "wage slavery" under
lence, mutilation, abuse, insult." The sphere industrial capitalism-Marx assumes that a
which AristOtle assigns to commutative or cor- clear and unquestio'nable principle of justice is
rective justice thus appears to cover both crim- being violated when the goods produced by the
inal acts and civil injuries. But, as applied to labor of one man enrich another dispropor-
civil injuries, the principle of fairness in ex- tionately to that other's contribution or desert.
change usually involves a payment for dam- Such basic words in Capital as "expropriation,'
ages, restitution, or compensation in kind; "exploitation," and "unearned increment"
whereas the principle of commutative justice seem never to be simply terms of description,
as applied to criminal wrongdoing usually calls but of evaluation. Each implies a specific in-
for a punishment somehow equalized in se- justice.
verity to the gravity of the offense. This last is The labor theory of value, the origin of which
the principle of the lex talionis-an eye for an he attributes to Adam Smith, Marx conceives
eye, a life for a life. The problems of justice as solving a problem in justice which Aristotle
which it raises are considered in the chapter on stated but did not solve. He refers to the chap-
PUNISHMENT. ter in the book on jtistice in Aristotle's Ethics,
in which Aristotle discusses money as a medium
JUSTICE IS SOMETIMES divided into economic to facilitate the exchange of commodities.
and poli tical according as, on the one hand, fair- Money permits so many units of one commod-
ness or equalization concerns the kind of goods ity to be equated with so many units of another.
which originate with the expenditure of labor, But the problem is how to determine equiva-
or as, on the other hand, it involves the status lents in the exchange of unlike things, appar-
of men in the state. The difference between ently incommensurable in value. How can the
these two modes of justice seems to be largely value of a house be commensurated with the
CHAPTER 42: JUSTICE 855
value of a bed, so that an equality in value can distribution would recognize that labor alone
be set up between a house and a certain number entitles a man to claim possession of the raw
of beds? Abstracting entirely from considera- materials improved by his work and of the fin-
tions of supply and demand, the determination ished products of that work.
of a just exchange or a fair price requires an The other face of the problem assumes an ex-
equation of comparable quantities. isting inequitable distribution. It is then asked
Aristotle tells us, Marx points out, why he how this can be rectified by some method of re-
found the problem insoluble. "It was the ab- distributing wealth more justly; or it is pro-
sence of any concept of value. What is that posed that the whole system of private property
equal something, that common substance, which be reformed in the direction of public owner-
admits of the value of beds being expressed by ship of the means of production, as the basis for
a house? Such a thing, in truth, cannot exist, a just distribution of the fruits of human pro-
says Aristotle. And why not? Compared with ductivity.
beds, the house does represent something equal
to them, in so far as it represents what is really THE CONNECTION which has become evident
equal, both in the beds and the house. And that between justice and both liberty and equality
is-human labor .... The brilliancy of Aris- does not imply that these three basic notions
totle's genius is shown by this alone, that he are simply coordinate with one another. On the
discovered, in the expression of the value of contrary, equality seems to be the root of jus-
commodities, a relation of equality. The pecu- tice, at least insofar as it is identified with fair-
liar conditions of the society in which he lived ness in exchange or distribution; and justice in
alone prevented him from discovering what, turn seems to be the foundation, not the conse-
'in truth,' was at the bottom of this equality." quence of liberty.
We cannot help noting the character of the The condemnation of slavery confirms this
labor theory of value as an analysis not only of observation. If slavery were not unjust, the
justice in exchange, but also of just compensa- slave would have no right to be free. The injus-
tion to labor for its productivity. The principle tice of treating a man as a chattel ultimately
of justice here employed seems to be the same rests on the equality between him and his mas-
as that underlying the mediaeval condemnation ter as human beings. His right to the same lib-
of interest as unjust or usurious, or the later erty which his master enjoys stems from that
effort to discriminate between just and unjust equality. The justice of equal treatment for
interest rates. The principle even seems to be equals recognizes that right and sets him free.
implicitly involved in Adam Smith's distinction Aristotle's theory of natural slavery is based on
between real or natural price and the market a supposition of natural inequality which is
price which fluctuates with variations in supply thought to justify the enslavement of some
and demand. men and the freedom of others. Whenever
When the .economic problem is one of dis- slavery is justified or a criminal is justly im-
tribution rather than exchange, another stand- prisoned, neither the slave nor the criminal is
ard of fairness-the proportional equality of regarded as deprived of any liberty to which he
distributive justice-becomes relevant. has a right.
The assumption of a primitive possession of It would seem to follow that if a man is justly
all things in common, especially land and its re- treated, he has all the liberty which he de-
sources, is the background against which such serves. From the opposite angle, Mill argues
thinkers as Aquinas and Hobbes, Locke and that a man is entitled to all the liberty that he
Rousseau, Montesquieu and Hegel,AdamSmith can use justly, that is, use without injuring his
and Karl Marx consider the origin or justifica- fellow man or the common good. More liberty
tion of private property. Insofar as the question than this would be license. When one man en-
is one of justification, rather than of actual his- croaches on the rights of others, or inflicts on
toric origin, the division of common holdings them "any loss or damage not justified by his
into privately held shares is a matter of justice own rights," he is overstepping the bounds of
in distribution. In the opinion of many, a just liberty and is, according to Mill, a fit object "of
856 THE GREAT IDEAS
moral reprobation, and, in grave cases, of moral ONE MEANING of justice remains to be con-
retribution and punishment." sidered. It is related to all the foregoing consid-
The various relations of liberty to justice, erations of economic and political justice, of
and of both to law, are considered in the chap- just I;onstitutions, just laws, and just acts. It is
ters on LIBERTY and LAW. All the writers who that meaning of justice in which a man is said
make the distinction between government by to be just-to possess a just will. to be just in
law and government by men fundamental in character, to have the virtue of justice. Here
their political theory also plainly express a difference in theory reflects the difference be-
preference for the former on grounds both of tween those moralists for whom virtue is the
justice and liberty. basic conception, and those who, like Kant,
Absolute government, which violates the emphasize duty or who, like :Mill, reduce the
equality of men, unjustly subjects them, even propensity for justice to a moral sentiment.
when it does not through tyranny enslave them. But even among those who treat justice as a
The benevolence of the despot ruling for the virtue, there seems to be a profound difference
common good has one aspect of justice, but in analysis.
there are other aspects of political justice which For Aristotle, the virtue of justice, like other
can be achieved, as Mill points out, only if "des- moral virtues, is a habit of conduct. It differs
potism consents not to be despotism, .. and from courage and temperance in that it is a
allows the general business of government to go habit of action, not of the passions. It is not a
on as if the people really governed themselves." rationally moderated tendency of the emotions
The greater justice. of constitutional govern- with regard to things pleasant and painful. It is
ment consists in its granting to men who de- that settled inclination of the will "in virtue of
serve the equal freedom of equals, the equality which the just man is said to be a doer, by
of citizenship-an equality under the law which choice, Qf that which is just, and one who will
levels those citizens who happen to hold public distribute either between himself and another
office with those in private life. or between two others not so as to give more of
The major controversy over the several forms what is desirable to himself and less to his neigh-
of constitutional government turns on a third bor (and conversely with what is harmful), but
point of justice. The defenders of democracy so as to give what is equal in accordance with
and oligarchy each contend that equalities or proportion. "
inequalities in birth or wealth justify a broader Another difference between justice and the
or a narrower franchise. It is Mill again who in- other moral virtues is that courageous and tem-
sists that nothing less than universal suffrage perate acts are performed only by courageous
provides a just distribution of the political sta- and temperate men, whereas an act which is
tus of citizenship, and that "it is a personal in- outwardly just can be done by an unjust man
justice to withhold from anyone, unless for the as well as by a just one.
prevention of greater evils, the Qrdinary privi- Fair dealing in the exchange or distribution
lege of having his voice reckoned in the dispos- of goods, determined by objective relations of
al of affairs in which he has the same interest equality, is the substance of justice as a special
as other people." virtue; but there is in addition what Aristotle
Of the three points of justice which seem to calls "general" as opposed to "special" justice.
be involved in the comparison of forms Qf gov- Aristotle calls the general virtue of justice
ernment, only the first (concerned wi th whether "complete virtue," because "he who possesses it
political power is exercised for the common can exercise his virtue not only in himself but
good or the ruler's private interests) is not rec- towards his neighbor also." It em braces all the
ognizable as a matter of distributive justice. moral virtues insofar as their acts are directed
Yet even here the requirement that the ruler to the good of others.
should treat the ruled as ends rather than as "Justice in this sense," he goes on to say, "is
means deriv~s from a fundamental equality be- not a part of virtue, but virtue entire"; whereas
tween ruler and ruled. The injustice of tyr- special justice-the justice of distributions and
anny lies in a violation of this equality. exchanges-is merely a part of moral virtue,
CHAPTER 42: JUSTICE 857
merely one particular virtue. Yet special j us- another, or any of them to do the work of oth-
tice, no less than general justice, is a social vir- ers-he sets in order his own inner life, and is
tue. The difference between the way each di- his own master and his own law, and at peace
rects actions toward the good of others seems to with himself." His is "one entirely temperate
be like the difference between the lawful and and perfectly adjusted nature."
the fair, or the difference between the common This conception of justice bears a certain re-
good of society as a whole and the good of other semblance to what the Christian theologians
individuals. mean by "original justice." The perfect dis
The thoroughly social conception of justice position of Adam's soul in a state of supernatu-
in Aristotle may have some parallel in the mean- ral grace consisted, according to Aquinas, in
ing of justice in Plato's Gorgias (where the "his reason being subject to God, the lower
question is whether it is better to suffer than to powers to reason, and the body to the soul-
do injustice), but the definition of justice as a the first subjection being the cause of both the
virtue in the Republic does not express or de- second and the third, since while reason was
velop the social reference. In the state as in the subject to God, the lower powers remained sub-
soul, justice is a fitting disposition or harmoni- ject to reason." The justice of man's obedience
ous order-of the several classes of men in the to God seems to be inseparable from the injus-
state, of the several virtues in the soul. The tice internal to his own members.
just state is not described as acting justly to- The way in which justice is discussed in the
ward other states, nor is the just man pictured Gorgias may similarly be inseparable from the
as a doer of good deeds. Rather the picture of way it is defined in the Republic. Certainly Cal-
the soul in which justice resides is one of in- licles will never understand why it is always
terior peace or spiritual health-the well-being better to suffer injustice than to do it, unless
of happiness. Socrates succeeds in explaining to him that the
"Justice," Socrates declares, is concerned man who is wronged suffers injury in body or in
"not with the outward man, but with the in- external things, while the man who does wrong
ward, which is the true self and concernment of injures his own soul by destroying what, to Soc-
man: for the just man does not permit the sev- rates, is its greatest good-that equable temper
eral elements within him to interfere with one from which all fitting actions flow.
OUTLINE OF TOPICS
PAGE
1. Diverse conceptions of justice 859
ra. Justice as the interest of the stronger or conformity to the will of the sovereign
lb. Justice as harmony or right order in the soul: original justice
IC. Justice as a moral virtue directing activity in relation to others and to the com-
munity: the distinction between the just man and the just act 860
Id. Justice as the whole of virtue and as a particular virtue: the distinction between
the lawful and the fair
Ie. Justice as an act of will or duty fulfilling obligations to the common good: the
harmonious action of individual wills under a universal law of freedom
if. Justice as a custom or moral sentiment based on considerations of utility
2. The precepts of justice: doing good, harming no one, rendering to each his own,
treating equals equally
3. The duties of justice compared with the generosity of love and friendship 86r
4. The comparison of justice and expediency: the choice between doing and suffering
injustice; the relation of justice to happiness 862
858 THE GREAT IDEAS
PAGE
5. Justice and equality: the kiQds of justice in relation to the measure and modes of
equality and inequality 862
6. Justice and liberty: the theory of human rights 863
6a. The relation of natural rights to natural law and natural justice
6b. The relation between natural and positive rights. innate and acquired rights. pri-
vate and public rights: their correlative duties
6c. The inalienability of natural rights: their violation by tyranny and despotism 864
6d. Justice as the basis for the distinction between liberty and license
6e. Justice and natural rights as the source of civil liberty
lIb. Man's debt to God or the gods: the religious acts of piety and worship 877
CHAPTER 42: JUSTICE 859
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-283j12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. Forexample, in53 TAMES: PsychologJl, 116a-1l9b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand side of the page, the letters c and d to the upper and lower halves of the right-hand side of
the page. Forexample, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S 1)IVISIONS: One or more of the main divisions of a work (such as P.~RT, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK 11 [265-283j12d.
BIBLE REFERENCES: The references are to book, chapter, and verse, When the King Tames
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
Tames version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) Il Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: Matters relevant to the conception of justice as a virtue and as it relates to the other
virtues and to happiness, see COURAGE 4; GOOD AND EVIL 3e: HAPPINESS S-Sb; TEMPER-
ANCE Ia; VIRTUE AND VICE 2a( I), 3b; WILL 8c; and for the theological doctrine of original
justice, see SIN 3a.
The relation of justice and duty, see Dl'TY 7; WILL 8e.
The comparison of justice with love and friendship, see LOVE 3c, 4b.
Other considerations of natural rights and civil liberties~ see LAW 4e, 7c; LIBERTY Ie-Ig;
SLAVERY 3d; TYRANNY sa.
Problems of economic justice, see DEMOCRACY 4a(2); LABOR 7a-7b, 7C(2), 7d,f; LIBERTY
2d; SLAVERY 4a-4c, sa-sb; WEALTH se, 6d(2), IOd.
Problems of justice in government and law, See ARISTOCRACY Ia-Ib; CONSTITUTION sa;
DEMOCRACY 4a-4a(I), 4b; HONOR 4b; LAW SC, 6c; LIBERTY If; MONARCHY Ia(2), 4e(3),
sa-sb; OLIGARCHY 4, sa; SLAVERY sa-sb, 6d; STATE 3e; TYRANNY la-Ib, 4b, 6; and for
the special problem of the distinction between justice and equity, see LAW sh; UNIVER-
SAL AND PARTICULAR 6c.
Justice in the relation of states to one another and in the issues of war and peace, see LAW
4g; STATE 9c; WAR AND PEACE 3a-3b, IIb.
The issue concerning the justice of punishment as a political instrument, see LAW 6e(3);
PUNISHMENT I b, 2, 4C-4d.
The justice of divine punishment and the relation of God's mercy to God's justice, See GOD
5i; PUNISHMENT se; SIN 6a-6b.
The justice involved in man's debt to God, see DUTY I I; GOD 3d; RELIGION 2.
CHAPTER 42: JUSTICE 879
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represellted in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings, which follows the last chapter of The Great Ideas.
INTRODUCTION
K NOWLEDGE, like being, is a term of
comprehensive scope. Its comprehensive-
THE PROGRAM which Locke sets himself in his
Essay Concerning Human Understanding is often
ness is, in a way, correlative with that of being; taken to include the basic questions about
The only thing which cannot be an object of kI).owledge. His purpose, he tells us, is "to in-
knowledge or opinion, which cannot be quire into the original, certainty, and extent of
thought about in any way except negatively, is human knowledge, together wi th the grounds
that which has no being of any sort-in short, and degrees of belief, opinion, and assent." Two
nothing. Not all things may be knowable to other matters, not explicitly mentioned by
us, but even the skeptic who severely limits or Locke in his opening pages, assume central im-
completely-doubts man's power to know is usu- portance in the fourth book of his essay. One is
ally willing to admit that things beyond the question about the nature of knowledge it-
man's knowledge are in themselves know- self. The other concerns the kinds of knowledge.
able, Everyone except Berkeley would agree It may be thought that certain questions are
that the surfaces of bodies which we cannot prior to these and all others. Is knowledge pos-
see are not, for that reason, in themselves in- sible? Can we know anything? The man the
visible. skeptic challenges is one who thinks that knowl-
The consideration of knowledge extends, edge is attainable and who may even claim to
therefore, to all things knowable, to all kinds of possess knowledge of some sort. But the issue
knowers, to all the modes of knowledge, and all between the skeptic and his adversaries cannot
the methods of knowing. So extensive an array be simply formulated. Its formulation depends
of topics exceeds the possibility of treatment in in part upon the meaning given knowledge and
a single chapter and requires this chapter to be the various things with which it is sometimes
related to many others. contrasted, such as belief and opinion, or igno-
The Cross-References which follow the Ref- rance and error. It also depends in part on the
erences indicate the other chapters which deal meaning of tru th and probabili ty . It wouldseem,
with particulars we cannot consider here. For therefore, that some consideration of the nature
example, the nature of history, science, philos~ of knowledge should precede the examination
ophy, and theology, and their distinction from of the claims concerning knowledge which pro-
one another, are treated in the chapters de- voke skeptical denials.
voted to those subjects. So, too, the chapters on The theory of knowledge is a field of many
metaphysics, mathematics, physics, mechanics, disputes. Most of the major varieties of doc-
and medicine deal with the characteristics and trine or analysis are represented in the tradition
rela tions of these special sciences. The psycho- of the great books. But the fact that knowledge
logical factors in knowing-the faculties of involves a relationship between a knower and a
sense and mind, of memory and imagination, known seems to go unquestioned. William James
the nature of experience .and reasoning-also expresses this insight, perhaps more dogmatic-
have their own chapters. Still other chapters ally than some would allow, in the statement
deal with the logical elements of knowledge, that knowledge "is a thoroughgoing dualism.
such as idea and judgment, definition, hypoth- It supposes two elements, mind knowing and
esis, principle, induction, and reasoning, logic thing known ... Neither gets out of itself or
and dialectic. into the other, neither in any way is the other,
880
CHAPTER 43: KNOWLEDGE 881
neither makes the other. They just stand face to provides the likeness through which knowledge
face in a common world, and one simply knows, occurs; and thus, Aquinas writes, "the idea of
or is known unto, its counterpart." This re- the thing understood is in the one who under-
mains true even.when attention is turned to the stands." The lover, on the other hand, is "in-
special case of knowledge about knowledge or clined to the thing itself, as existing in itself."
the knower knowing himself. The mind's ex- He seeks to be united with it directly. The no-
amination of itself simply makes the mind an bility or baseness of the object known does not
object to be known as well as a knower. affect the knower as the character of the object
This suggests a second point about the na- loved affects the lover. This understanding of
ture of knowledge which seems to be undis- the difference between knowledge and love leads
a
puted. Ifknowledge relates knower toaknown, Aquinas to say that "to love God is better than
then what is somehow possessed when a person to know God; but, on the contrary, to know
claims to have knowledge, is the object known. corporeal things is better than to love them."
It does not seem possible for anyone to say that The principle of likeness between knower and
he knows something without meaning that he known does not go undisputed. On the con-
has that thing in mind. "Some sort of signal," trary, the opposite views here form one of the
James writes, "must be given by the thing to basic issues about the nature of knowledge. The
the mind's brain; or the knowing will not oc- issue is whether the thing known is actually
cur-we find as a matter of fact that the mere present to the knower, .existing in the mind or
existence of a thing outside the brain is not a consciousness exactly as it exists in itself; or
sufficient cause for our knowing it: it must strike whether the thing is represented in the mind
the brain in some way, as well as be there, to be by a likeness of itself, through which the mind
known." What is not in any way present to or knows it. In this view, the mode of existence of
represented in the mind is not known in any of the thing outside the mind is different from the
the various senses of the word "know." What way in which its representative exists in the
the mind cannot reach to and somehow grasp mind.
cannot be known. The words which are com- Berkeley, at one extreme, identifies being and
mon synonyms for knowing~"apprehending" being known. "As to what is said of the absolute
and "comprehending"-convey this sense that existence of unthinking things without any re-
knowledge somehow takes hold of and surrounds lation to their being perceived, that seems per-
its object. fectly unintelligible," he writes. "Their esse is
That knowledge is a kind of possession occa- percipi, nor is it possible they should have any
sions the comparisons which have been made existence, out of the minds or thinking things
between knowledge and love. The ancients ob- which perceive them."
served that likeness and union are involved in At the other extreme are those like Kant for
both. Plato, for example, suggests in the Sym- whom the thing in itself is unknowable pre-
posium that both. the knower and the lover cisely because there can be no resemblance be-
strive to become one with their object. "Love tween the phenomenal order of objects repre-
is also a philosopher," Diotima tells Socrates, sented under the conditions of experience and
and, as "a lover of wisdom," the philosopher the noumenal order of the unconditioned. "All
is also a lover. conceptions of things in themselves," he writes,
With regard. to some objects, love and knowl- "must be referred to intuitions, and with us
edge are almost inseparable. To know them is to men these can never be other than sensible, and
love them. But this does not hold for all ob- hence can never enable us to know objects as
jects, nor does the inseparability of knowledge things in themselves but only as appearances.
and love in certain cases prevent their analyti- ... The unconditioned," he adds, "can never
cal distinction in all. Like is known by like, but be found in this chain of appearances."
unlikes attract each other. Furthermore, ac- In between these extremes there are those
cording to one theory of knowledge, expounded who agree that things exist apart from being
by Aquinas, the knower is satisfied to possess known without ceasing to be knowable, but
an image of the thing to be known. This image . who nevertheless differ with respect to whether
882 THE GREAT IDEAS
the thing exists in reality in the same way that inadequate, or certain and probable, knowl-
it exists in the mind. The several forms of ideal- edge.
ism and realism, distinguished in the chapter on The difference between these opposites, un-
IDEA, mark the range of traditional differences like that between knowledge and error, is not a
in the discussion of this difficult problem. matter of truth and falsity. There is such a thing
as "right opinion," according to Socrates, and
FOR ANY THEORY of what knowledge is there is it is "not less useful than knowledge." Con-
a distinction between knowledge and ignorance sidering the truth so far as it affects action,
-between having or not having something in Socrates claims that the man with right opinion
mind. Nor does a'nyone confuse ignorance and "will be just as good a guide if he thinks the
error. The mind in error claims to know that of truth, as he who knows the truth." The differ-
which, in fact, it is ignorant. This, as Socrates ence between right opinion and knowledge is
points out in the Meno, makes it easier to teach here expressed by the contrast between the words
a person aware of his ignorance than a person in "thinks" and "knows." It does not consist in
error; for the latter, supposing himself to know, the truth of the conclusion, but in the way that
resists the teacher. Hence getting a person to conclusion has been reached or is held by the
acknowledge ignorance is often the indispens- mind.
able first step in teaching. The trouble with right opinion as compared
But though the difference between knowl- with knowledge, Socrates explains, is that it
edge and ignorance and that between ignorance lacks stability and permanence. Right opiniom
and error seems to be commonly understood, are useful "while they abide with us ... but
it does not follow that everybody similarly agrees they run away out of the human soul and
upon the difference between knowledge and er- do not remain long, and therefore they are
ror. This much is agreed, that to know is to not of much value until they are fastened by
possess the truth about something, whereas to 'the tie of the cause"'-or, in other words, un-
err is to be deceived by falsity mistaken for til they are fixed in the mind by the reasons
truth. The disagreement of the philosophers be- on which they are grounded. "When they
gins, however, when the meaning of truth and are bound," Socrates declares, "they have the
falsity is examined. ' nature of knowledge and . . they are abid-
Truth is one thing for those who insist upon ing."
some similarity between the thing known and At this point in his conversation with Meno,
that by which it is known or represented in the Socrates makes the unusual confession that "there
mind. It is another for those who think that are not many things which I profess to know,
knowledge can be gained without the mediation but this is most certainly one of them," namely,
of images or representations. In the first case, that "knowledge differs from true opinion." It
truth will consist in some kind of correspond- may be that Socrates claims to know so little
ence between what the mind thinks or under- because he regards knowledge as involving so
stands and the reality it tries to know. In the much more than simply having the truth,as
other, truth will be equivalent to consistency the man of right opinion has it. In addition to
among the mind's own ideas. having the truth, knowledge consists in seeing
The examination of this fundamental dis- the reason why it is true.
agreement is reserved for the chapter on TRUTH. This criterion can be interpreted to mean that
Here the identification of knowing with having a proposition which is neither self-evident nor
the truth calls for the consideration of another demonstrated expresses opinion rather than
distinction, first made by Plato. Inhis language, knowledge. Even when it happens to be true,
as in that of Aristotle and others, it is the differ- the opinion is qualified hy some degree of doubt
ence between knowledge and opinion. Some- or some estimate of probability and counter-
times, as with Locke, a similar distinction is probability. In contrast, when the mind has ade-
made in terms of knowledge and judgment; quate grounds for its judgment,when it knows
sometimes it is made in terms of knowledge and that it knows and why, it has the certainty of
belief; sometimes in terms of adequate and knowledge.
CHAPTER 43: KNOWLEDGE 883
For some writers, such as Plato, certitude is SKEPTICISM in its most extreme form takes
as inseparable from knowledge as truth is. To the position that there is nothing true or false.
speak of "a false knowledge as well as a true" But even those who, like Montaigne, deny cer-
seems to him impossible; and "uncertain knowl- titude with respect to everything except mat-
edge" is as self-contradictory a phrase as "false ters of religious faith, do not go this far.
knowledge." In his Apology for Raimond de Sebonde he
Others use the word "knowledge" more loose- concedes that if opinions are weighed as more
ly to cover both adequate and inadequate or less probable, their truth or falsity is implied
knowledge, the probable as well as the certain. -at least as being the limit which an increasing
They make a distinction within the sphere of probability or improbability approaches. Refer-
knowledge that is equivalent to the distinction ring to ancient skeptics of the Academic school,
between knowledge and opinion. he comments on the fact that they acknowl-
Spinoza, for example, distinguishes three edged "some things to be more likely than oth-
kinds of knowledge. He groups the perception ers"-as, for example, that snow is white rather
of individual things through the bodily senses, than black. The more extreme skeptics, the
which he calls "knowledge from vague experi- Pyrrhonians, he points out, were bolder and
ence," with knowledge "from signs" which de- also more consistent. They refused to incline
pends on ideas formed by the memory and im- toward one proposition more than toward an-
agination. "These two ways of looking at other, for to do so, Montaigne declares, is to
things," he writes, "I shall hereafter call knowl- recognize "some more apparent" truth in this
edge of the first kind -opinion or imagination." than in tha t. " How can men "suffer themselves,"
In contrast, that which is derived "from our he asks, "to incline to and be swayed by proba-
possessing common notions and adequate ideas bility, if they know not the truth itself? How
of the properties of things, ' he calls "reason should they know the similitude of that whereof
and knowledge of the second kind." they do not know the essence?"
The third kind, which he calls "intuitive sci- In this respect Montaigne's own skepticism
ence," is that sort of knowing which "advances tends to be of the more modera te varietv, since,
from an adequate idea of certain attributes of in the realm of action at least, he would admit
God to the adequate knowledge of the essence the need for judgments of probability. But in
of things." Knowledge of the second and third all other respects, he takes a firm skeptical stand
kinds, he maintains, "is necessarily true." That that nothing is self-evident, nothing has been
there can be falsity in the first kind, and only proved. The contradictory of everything has
there, indicates that it is not genuinely knowl- been asserted or argued by someone. "Men can
edge at all, but what other writers would insist have no principles," he writes, "if not revealed
upon calling "opinion." to them by the Divinity; of all the rest, the be-
The several meanings of the word "belief" ginning, the middle, and the end are nothing
are determined by these distinctions. Sometimes but dream and vapor.... Every human presup-
belief is associa ted with opinion, some times wi th position and every declaration has as much au-
knowledge, and sometimes it is regarded as an thority, one as another. ... The persuasion of
intermediate state of mind. But in any of these certainty is a certain testimony of folly and ex-
meanings belief stands in contrast to make-be- treme uncertainty."
lieve, and this contrast has a bearing on knowl- The skeptical extreme is represented in the
edge and opinion as well. To know or to opine great books only through references to it for
puts the mind in some relation to the real or the purpose of refutation. Aristotle in the Meta-
actual rather than the merely possible, and sub- physics, for example, reports the position of those
jects it to the criteria of truth and falsity. The who say that all propositions are true or that all
fanciful or imaginary belongs to the realm of propositions are false, and who therefore deny
the possible (or even the impossible) and the the principle of contradiction and with it the
mind in imagining is fancy-free-free from distinction between true and false. But if all
the restraints and restrictions of truth and propositions are true, then the proposition
reality. "Some propositions are false" is also true; if
884 THE GREAT IDEAS
all propositions are false, the proposition "All strange infirmities of human understanding,"
propositions are false" is also false. The skeptic and consequently in "the limitation of our en-
may reply, of course, that he is not checkedby quiries to such subjects as are best adapted to
arguments which try to make him contradict the narrow capacity of human understanding."
himself, for he does not mind contradicting him- His own view of the extent and certainty of
self. To this there is only one answer, which is human knowledge seems to him to exemplify
not to argue with the skeptic any further. such mitigated skepticism in operation. The
From the skeptic's point of view his position only objects with respect to which demonstra-
is irrefutable so long as he does not allow him- tion is possible are quantity and number. Math-
self to accept any of the standards by which ematics has the certitude of knowledge. but it
refutation can be effected. From his opponent's deals only with relations between ideas, not
point of view complete skepticism is self-refut- with what Hume calls "matters of fact and ex-
ing because if the skeptic says anything definite istence." Such matters "are evidently incapa-
at all, he appears to have some knowledge or at ble of demonstra tion." This is the sphere of
least to hold one opinion in preference to an- "moral certainty," which is not a genuine cer-
other. His only choice is to remain silent. If he tainty, but only a degree of probability szif-
insists upon making statements in defiance of ficient for action. Probabilities are the best that
self-contradiction, his opponent can do nothing experimental reasoning or inquiry about mat-
but walk away. ters of fact can achieve. If probability is char-
"It may seem a very extravagant attempt of acteristic of opinion rather than knowledge,
the skeptics to destroy reason by argument and then we can have nothing better than opinion
ratiocination," Hume writes, "yet this is the concerning real existences.
grand scope of all their enquiries and disputes."
He has in mind the excessive skepticism, or Pyr- THE DIAMETRICAL opposite to the extreme of
rhonism, from which he tries to distinguish a skepticism would have to be a dogmatism which
mitigated and beneficial form of skepticism. Re- placed no objects beyond the reach of human
ferring to Berkeley's arguments against the in- knowledge, which made no distinction between
dependent reality of matter or bodies, Hume degrees of knowability and admitted equal cer-
says their effect is skeptical, despite Berkeley's titude in all matters. Like excessive skepticism
professed intention to the contrary. That his this extreme is not a position actually held in
arguments are skeptical "appears from this, the great books. All the great thinkers who have
that they admit of no answer and produce no con- considered the problem of human knowledge
viction. Their only effect is to cause that momen- have set limits to man's capacity for knowledge.
tary amazement and irresolution and confu- They have placed certain objects beyond man's
sion, which is the result of skepticism." power to apprehend at all, or have distinguished
Here and elsewhere, as in his comment on between those which he can apprehend in some
Descartes' skeptical method of doubting every- inadequate fashion, but cannot comprehend.
thing which can be doubted, Hume does not They have indicated other objects concerning
seem to think that excessive skepticism is refut- which his grasp is adequate and certain.
able or even false. But it is impractical. "The They all adopt a "mitigated skepticism"-to
great subverter of Pyrrhonism or the excessive use Hume's phrase~if this can be taken to mean
principles of skepticism," he says, "is action, avoiding the extremes of saying that nothing is
lnd employment, and the occupations of life." knowable at all and that everything is equally
Extreme skepticism becomes untenable ih knowable. But they differ in the criteria they
thought the moment thought must face the employ to set the limits of knowledge and to
choices of life and take some responsibility for distinguish between the areas of certainty and
action. probability. Consequently they differ in their
There is, however, "a more mitigated skepti- determination of the knowability of certain
cism or academical philosophy which may be types of objects, such as God or the infinite,
both durable and useful." This, according to substance or cause, matter or spirit, the real or
Hume, consists in becoming "sensible of the the ideal, the self or the thing in itself.
CHAPTER 43: KNOWLEDGE 885
For example, Plato and Aristotle agree that from them, we shall not be inclined either to sit
knowledge must be separated from opinion and still, and not set our thoughts to work at all, in
even appeal to certain common principles in despair of knowing anything; nor, on the oth-
making that separation; but they do not define er side, question everything, and disclaim all
the scope of knowledge in the same way, as is knowledge, because some things are not to be
indicated by their disagreement about the know- understood. "
ability of sensible things. Nor do Descartes H ume also proposes tha t a stud y of human un-
and Locke, Bacon and Spinoza, Hume and derstanding precede everything else, to "'show
Kant agree about the knowability of God or of from an exact analysis of its powers and capac-
the soul or about the conditions any object ity" what subjects it is or is not fitted to in-
must meet in order to be knowable. All alike ,'estigate. "There is a truth and falsehood in all
proceed from a desire to be critical. Each criti- propositions on this subject which lie not be-
cizes what other men have proposed as knowl- yond the compass of human understanding."
edge and each proposes a new method by which No one can doubt that a science of the mind-
the pursuit of knowledge will be safeguarded or knowledge about knowing-is possible un-
from illusory hopes or endless controversy. less he en tertains "such a skepticism as is entirely
In this last respect the moderns depart most subversive of all speculations, and even action."
radically from their mediaeval and ancient pred- Disagreeing with the principles of Locke and
ecessors. At all times men have been interested Hume, as well as with their conclusions, Kant
in examining knowledge itself as well as in ex- does approve the priority they give to the ques-
ercising their powers to know. But in the earlier tion of the possibility of knowing certain ob-
phase of the tradition knowledge about knowl- jects. To proceed otherwise, as Kant charges
edge does not seem to take precedence over all most other philosophers with doing, is dogma-
other inquiries or to be prerequisite to them. tism, The use of the word "critique" in the title
On the contrary, the ancients proceed as if the of Kant's three major works signifies his inten-
study of knowledge necessarily presupposed the tion to construct a critical philosophy which
existence of knowledge. With them the exam- does not presume that "it is possible to achieve
ination takes place because the mind is essen- anything in metaphysic without a previous crit-
tially reflexive rather than for reasons of self- icism of pure reason." He does not object to
criticism. But beginning with Descartes' Dis- what he calls "the dogmatical procedure of rea-
course on the Method, in which a method of uni- son" in the development of science, but only
versal doubt is proposed to clear the ground be- after reason's self-criticism has determined just
fore the foundations of the sciences can be laid, how far reason can go. For Kant, as for Bacon,
the consideration of knowing is put before any dogmatism and skepticism are the opposite ex-
attempt to know. cesses which only a critical method can avoid.
Sometimes, as with Descartes and Bacon, the
emphasis is upon a new method which will at THESE TWO different approaches to the theory
last establish knowledge on a firm footing or ad- of knowledge seem to result in different con-
vance learning. Sometimes, as with Locke and clusions concerning the nature and scope of hu-
Hume, attention is given first of all to the facul- man knowledge. Those who begin with the es-
ty of understanding itself. tablished sciences and merely inquire into their
"If we can find out," says Locke, "how far foundations and methods, appear to end with
the understanding can extend its views, how unqualified confidence in man's ability to know.
far it has faculties to attain certainty, and in Those who make the inquiry into the founda-
what cases it can only judge and guess, we may tions and methods of science a necessary prepa-
learn to content ourselves with what is attain- ration for the development of the sciences, tend
able by us in this state .... When we know our for the most part to set narrower boundaries to
own strength, we shall the better know what to the area of valid knowledge. The two approaches
undertake with hopes of success; and when we also affect the way in which the various kinds of
have well surveyed the powers of our own minds, knowledge are distinguished and compared.
and made some estimate of what we may expect There are two sorts of comparison involved
886 THE GREAT IDEAS
in the classifica tion of kinds of knowledge. One temporal things of the material universe. Though
isa comparison of human knowledge wi th divine, these are the objects man is able to know with
or with angelic knowledge and the knowledge greatest adequacy, he can also know something
of brute animals. The other is a comparison of of the existence and nature of immaterial and
the parts or modes of human knowledge accord- eternal beings.
ing to such criteria as the objects to be known, Yet, according to Aquinas, even when man's
the faculties engaged in the process of knowing, knowledge rises above the realm of experience-
and the manner of their operation. Though able things, it is obtained by the same natural
made separately, those two comparisons are sel- processes and involves the cooperation of the
dom independent of one another. As the nature senses with reason. The theologian does, how-
of man is conceived in relation to other beings, ever, distinguish sharply between knowledge
superior or inferior to himself, his faculties will gained through man's own efforts and knowl-
be rated accordingly, and his power as a knower edge received through divine revelation. In ad-
will suggest the methods or means available to dition to all knowledge acquired by the natural
him for knowing. exercise of his faculties, man may be elevated
Aquinas, for example, attributes to man the by the supernatural gift of knowledge-the wis-
kind of knowledge appropriate to his station in dom of a faith surpassing reason.
the hierarchy of beings. Man is superior to the The foregoing summary illustrates, in the case
brutes because he has a faculty of reason in ad- of one great doctrine, the connection between
dition to the faculties of sense and imagination an analysis of the kinds of knowledge and a
which he shares with them. Man is inferior to theory of the nature and faculties of man in re-
purely spiritual beings-the angels and God- lation to all other things. There is no point in
because, since he is corporeal, his intellect can- this analysis which is not disputed by someone
not function independently of his bodily senses -by Plato or Augustine, Descartes, Spinoza,
and imagination. Unlike the angels and God, he or Locke, by Hume, Kant, or William James.
is not a purely intellectual being. There are many points on which others agree-
Accordingly, the essential characteristics of not only Aristotle and Bacon, but even Augus-
human knowledge are, nrst, that it is always tine, Descartes, and Locke.
both sensitive and intellectual, never merely These ~greements or disagreements about the
sense-perception as with the brutes or pure in- kinds of knowledge , or the scope of human knowl-
tellectual intuition as with the angels; second, edge, its faculties, and its methods, seldom oc-
that its appropriate object is the physical world cur or are intelligible except in the wider con-
ofsensible, material things, with respect to which text of agreements and disagreements in theol-
the senses enable man to know the existence of ogy and metaphysics, psychology and logic.
individuals, while the intellect apprehends their Hence most of the matters considered under the
universal natures; and, finally, that the way in heading "kinds of knowledge" receive special
which the human mind knows the natures of consideration in other chapters. The Cross-
things is abstractive and discursive, for the in- References should enable the reader to examine
tellect draws its concepts from sense and imagi- the presuppositions or context of the materials
na tionand proceeds therefrom by means of j udg- assembled here.
ment and reasoning.
This analysis denies innate ideas. It denies THE CULT OF IGNORANCE receives little or no at-
man's power to apprehend ideas intuitively or tention in the tradition of the great books. Even
to use them intuitively in the apprehension of those who, like Rousseau, glorify the innocence
things. It can find no place for a distinction be- of the primitives, or who satirize the folly so
tween a priori and a posteriori knowledge, since often admixed with human wisdom and the foi-
sense-perception and rational activity contrib- bles attending the advance of learning, do not
ute elements to every act of knowing. It affirms seriously question the ancient saying that all
that knowledge is primarily of real existence, men by nature desire to know. Nor is it gener-
not of the relations between ideas; but it does ally doubted that knowledge is good; that its
not limit human knowledge to the changing possession contributes to the happiness of men
CHAPTER 43: KNOWLEDGE 887
and the welfare of the state; that its pursuit by trary pOSitIOn, however, does not admit the
the individual and its dissemination in a soci- special value of contemplation or the separation
ety should be facilitated by education, by the of truth from utility. To those who say that
support and freedom of scholars and scientists, "the contemplation of truth is more dignified
and by every device which can assist men in and exalted than any utility or extent of ef-
communicating what they know to one an- fects," Francis Bacon replies that "truth and
other. utility are perfectly identical, and the effects
But knowledge is not valued by all for the are more of value as pledges of truth than from
same reason. That knowledge is useful to the the benefit they confer on men."
productive artist, to the statesman, to the legis- How knowledge and action are related is one
lator, and to the individual in the conduct of question; how knowledge itself is divided into
his life, seems to be assumed in discussions of the speculative and practical is quite another.
the applications of science in the various arts, Bacon, for example, insists upon the necessi ty
in the consideration of statecraft, and in the of distinguishing the speculative and practical
analysis of virtue. In this last connection, the branchesof natural philosophy-concerned wi th
problem is not whether knowledge is morally "the search after causes and the production of
useful, but whether knowledge of good and evil effects." Unlike Aristotle and Kant he does not
is identical with virtue so that sin and vice re- use the word "practical" for the kind of knowl-
sult from error or ignorance. edge which is contained in such sciences as ethics
If there is a negative opinion here, it consists or politics, but only for the applied sciences or
in saying that knowledge is not enough. To technology. Ethics and politics fall under what
know is not to do. Something more than knowl- he calls "civil philosophy."
edge is required for acting well. Despite these differences in language, the way
The more radical dispute about the value of in which Bacon divides the whole sphere of
knowledge concerns the goodness of knowledge knowledge closely resembles Aristotle's tripar-
for its own sake, without any regard to its tech- tite classification of the sciences as theoretic,
nical or moral utility. Is the contemplation of productive (or technical), and practical (or
the truth an ultimate end, or does the goodness moral); and, no less, a similar threefold division
of knowledge always consist in its power to ef- by Kant. But Kant and Aristotle (and, it should
fect results in the mastery of nature and the be added, Aquinas) give a more elaborate analy-
guidance of conduct? The utility of knowledge sis of these three types of knowledge, especially
is seldom denied by those who make speculative with regard to the principles appropriate to
wisdom and theoretic science good in them- each, the nature of the judgments and reasoning
selves, even the highest goods, quite apart from by which they are developed, and the character
any use to which they may be put. The con- and criteria of their truth.
OUTLINE OF TOPICS
PAGE
I. The nature of knowledge : the relation between knower and known; the issue concerning
the representative or intentional character of knowledge 890
2. Man's natural desire and power to know 89 I
3. Principles of knowledge 89 2
4. Knowledge in relation to other states of mind
40. Knowledge and truth: the differentiation of knowledge, error, and ignorance
4b. Knowledge, belief, and opinion: their relation or distinction
4C. The distinction between knowledge and fancy or imagination
4d. Knowledge and love
888 THE GREAT IDEAS
PAGE
10. The growth of human knowledge: the history of man's progress and failures in the
pursuit of knowledge
890 THE GREAT IDEAS
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the, volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-283J 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. Forexample, in 53 JAMES : Psychology, 116a-119b, the passage
begins in the upper half of page II6 and ends in the lower half of page II9. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
hand sideof the page, the letters c and d to the upper and lower halves of the right-hand side of
the page. Forexample, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-283J 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMROLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
43 FEDERALIST: NUMBER 31, 103d-104a; NUMBER 6a(1) Being and becolni~g, the intelligible and
37, 119b-120b the sensible, the necessary 'and the' con-
43 MILL: Liberiy, 274b-293b tingent, the eternal and the temporal, the
44 BOSWELL: Johnson, 121c-d; 126a-b immaterial and the material as objects
46 HEGEL: Philosophy of Right, PREF, 7a; INTRO, of knowledge
par 31 19c-20a 7 PLATO: Craiylus, 86b-d; 113c-1l4a,c / Phae-
47 GOETHE: Faust; PART I [656-6751 17b-1Ba; drus,125a126c / SympoSium,167a-d / Phaedo,
[1064-10671 26b; [18Io-1815143a; [I1i68-2050] 223d-232d esp 223d-225a, 228b-232d / Re-
44b-48b esp [1948-1963] 46a-b, [1968-1979] public, BK III, 333b-334b; BK V, 368c-373c esp
46b-47a, [2011-2022] 47b-4Ba; [4343'-4362] 372a-37Sb; BK VI-VII, 383d'-398c / Timaeus,
107a-b 447b-d; 457b-45Ba / Tizeaeietus, 521d-522b;
48 MELVILLE: Moby Dick, 78a-b; 250b; 257a; , ~34d-S36b / Sophist, 565a-569a esp 568a- 569a
276a-b' I Statesman, 595a-c / Philebus, 610d-613a;
49 DARWIN: Descent of Man, 253d 633a-635a esp 634b-635a / Seventh Letler,
51 TOLSTOY: War and Peace, BK V, 195a 809c-810d I
CROSS-REFERENCES
For: The differences between human and other kinds of knowledge, see ANGEL 3d; ANIMAL la( 1)-
la(2); GOD 5f; INFINITY 7d; MIND 4e--4f; WISDOM Id.
Other discussions bearing on the nature of human knowledge, its relation to truth, error, and
ignorance, and its distinction from opinion, belief, and fancy, see MEMORY AND IMAGINA-
TION 6a; ONE AND MANY 4f; OPINION I, 3-4b; PRINCIPLE 3C(2); SAME AND OTHER 4a;
TRUTH 2e, 3d; WILL 3b(I); and for the elements, causes, or principles of knowledge, see
DEFINITION 5; EXPERIENCE 3; FORM 3, 4; IDEA Ia-Ic; INDUCTION 3; JUDGMENT 8-8d;
PRINCIPLE2-2b(3); REASONING 5a-Sb(5); WILL 3b(I).
Other considerations of the limits of human knowledge and of the knowability of cer-
tain objects, see ANGEL 2b; BEING 8a-8c, 8e; CAUSE 5d; EXPERIENCE 4a; FORM 3b; GOD
6-6b; INFINITY 6b; MAN 23; MATTER 4a; ONE AND MANY 4e; OPINION 3c; PRIN-
CIPLE 5; SCIENCE 4e; SOUL Id; THEOLOGY 3c; TIME 6e-6f; TRUTH 7a; UNIVERSAL AND
PARTICULAR 4e.
Matters relevant to the classification of the kinds of knowledge by reference to its objects,
see BEING 8a-8b;FoRM 3-3a; IDEA la; MIND la(I); NATURE 4a-4c; NECESSITY AND
CONTINGENCY 4a; RELATION 4d; RELIGION Ia; SENSE 4a-4b; UNIVERSAL AND PARTICULAR
4a.
Matters relevant to the classification of the kinds of knowledge by reference to the faculties
involved, see MEMORY AND IMAGINATION 3, 6a; MIND Ia(I); SENSE 4a-4b.
Matters relevant to the classification of the kinds of knowledge by reference to the methods
or means of knowing, see EXPERIENCE 2d; GOD 6c-6c(4); INDUCTION Ia; JUDGMENT 8a;
MEMORY AND IMAGINATION 3a; OPINION 4a; REASONING Ib; RELIGION 6g; THEOLOGY
2; WISDOM IC; and for methodology in general and the methods of the particular sciences,
see ASTRONOMY 2a-2c; HISTORY 3a; LOGIC 4-4f; MATHEMATICS 3-3d; MECHANICS 2-2C;
METAPHYSICS 2C; PHILOSOPHY 3-3C; PHYSICS 4-4d; SCIENCE s-se; THEOLOGY 4c.
CHAPTER 43: KNOWLEDGE 919
For: Matters relevant to the classification of the kinds of knowledge by reference to the degrees
of assent, see JUDGMENT 9; OPINION 3-3b; TRUTH 2e.
Other discussions of the distinction between theoretic and practical knowledge. see JUDG-
MENT 2; PHILOSOPHY 2a; PRUDENCE 2a; REASONING 5e-5e(I); THEOLOGY 4d; TRUTH 2C;
WISDOM lb.
The basic divisions of theoretic knowledge, see ASTRONOMY 4; DIALECTIC 4; HISTORY 1;
MATHEMATICS Ia; METAPHYSICS 3h-3c; NATURE 4b; PHILOSOPHY 2b; PHYSICS la, 2;
SCIENCE la(2),Ic, 2a; THEOLOGY 3a, 4a; TRUTH 4c; and for the problem of the hier-
archy of the sciences and the definition of the highest form of human knowledge, see
DIALECTIC 4; METAPHYSICS I; THEOLOGY 4a; WISDOM Ia.
The basic divisions of practical knowledge, see ART 6c; PHILOSOPHY 2C; PRUDENCE 6a-6b;
SCIENCE 3a-3b; WEALTH 9.
The moral or political value of knowledge, see CITIZEN 6; GOOD AND EVIL 6a-6c; HAPPINESS
2b(7); PHILOSOPHY 4a-4c; PLEASURE AND PAIN 4C, 4C(2); PRUDENCE 2C; SCIENCE Ib(i);
STATE 8c-8d; VIRTUE AND VICE Ia; WILL 3a(I); WISDOM 2b.
The technical use of knowledge and the applications of science to production, see ART 6c;
MEDICINE 2a; PHYSICS 5; SCIENCE Ib(I), 3b; WEALTH 3a.
The general problem of the dissemination and communication of knowledge, see EDUCATION
5b; LANGUAG'E Ib; LIBERTY 2a; OPINION 5b.
The development of human knowledge, the advancement of learning, or progress in science
and philosophy, see ART 12; PHILOSOPHY 7; PROGRESS 6a-6e; SCIENCE 6a-6b; TRUTH 6.
ADDITIONAL READINGS
Listed below are works not included in Great Book! ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
OUTLINE OF TOPICS
PAGE
I. Labor in human life 93 0
la. The curse of labor: myths of a golden age and the decay of the world
lb. Labor, leisure, and happiness: the servile, political, and contemplative life
IC. The pain of labor and the expiation of sin: the disciplinary and penal use of labor 931
Id. The social necessity of labor and the moral obligation to work
Ie. The honor of work and the virtue of productivity: progress through the inven-
tion of arts for the conquest of nature 932
If. The degradation of labor: the alienation of the laborer's work in chattel slavery,
serfdom, and industrial wage slavery
2. The nature of work
2a. The ends of work: the good of the product and the good of the workman
2b. The process of work: the relations of art, hand, machine, and matter 933
3. The kinds of work and the relationship of different types of workers
3a. The differentiation of work according to the human talent or ability required:
skilled and unskilled labor; manual and mental work .
3b. The differentiation of work according to the social status of the worker: servile
and free, menial and honorable work
CHAPTER 44: LABOR 929
PAGE
3C. The classification of occupations by reference to bodily and mental concomitants of
the work: healthy and unhealthy occupations; pleasant and unpleasant tasks 933
.3d. Types of work distinguished by reference to the manner in which the work is
done: solitary and group work; the relation of master-craftsmen and helpers 934
3e. Types of work distinguished by reference to their effect on the increase of
wealth: productive and non-productive labor
3f The differentiation of work in terms of its relation to the common welfare:
socially useful and wasteful or superfluous work
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-283j12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology,116a-119b, the passage
begins in the upper half of page 116 and ends in the lower half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left-
handsideofthe page, the letters c and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 16~.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265"283J 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a CD), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation ot
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: Other discussions of the golden age, see MAN 9a; PROGRESS IC; TIME 8b.
Other considerations of penal labor, see PUNISHMENT 4b(3).
Matters relevant to the nature of productive work and the factors influencing productivity,
see ART 4, 98-9b; EDUCATION 6; SCIENCE Ib(I)-Ib(2); WEALTH 3a.
Other discussions of the division oflabor and its consequences, see FAMILY 3a-3b; PROGRESS
38; STATE 5C;WEALTH 3d .
Other discussions of the position of labor in different economic systems, see SLAVERY 4a-4c;
WEALTH 6a, 7b(I).
The general theory of wages and the relation of wages to profits, see WEALTH 4C-4d,
6d(I)-6d(2).
The problem of economic justice to the laborer, see DEMOCRACY 48(2); JUSTICE 8b-8C(2);
PROGRESS 3b; WEALTH 6d(2); and for the relation of economic to political liberty, see
LIBERTY 2d, 6b; REVOLUTION 4a.
The discussion of property rights and the problem of the ownership of the means of pro-
duction, see WEALTH 7afe, 8a-8c.
The problem of the political status of the laboring classes and the issue concerning the ex-
tension of the suffrage to workmen, see CITIZEN 3; CONSTITUTION 5a; DEMOCRACY 48{I);
LIBERTY If; OLIGARCHY 4, 5a; SLAVERY 5a-5b.
Another discussion of the problems of poverty and unemployment, see WEALTH 8c-Sd.
The general theory of the class war as it occurs in different economic systems, see OPPOSITION
5b; REVOLUTION 5a-5c; STATE 5d(2)-5e; WAR AND PEACE 2C; WEALTH 9h.
940 THE GREAT IDEAS
ADDITIONAL READINGS
Listed below are works not included in Great Books ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
I. Works by authors represented in this collection.
II. Works by authors not represented in this collection.
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
NIETZSCHE. Beyond Good and Evil, CH 1Il (58)
I. --. The Genealogy of Morals, III (i8)
AUGUSTINE. Of the Work of Monks A. MARSHALL. Principles of Economics, esp BK IV,
HEGEL. The Phenomenology of Mind, IV (A) CH 6, 9; BK VI, CH ,3-5
MARX. The Poverty of Philosophy, CH 2 (2,5) . LEO XIII. Rerum Novarum (Encyclical on the Con-
J. S. MILL. Principles of Political Economy, BK I, CH dition of Labor)
1-3,7-8, 10; BK II, CH 11-14; BK III, CH 6; BK IV, DURKHEIM. The Division of Labor in Society
CH 7 BUCHER. Arbeit und Rhythmus
- - . "The Claims of Labor," in VOL II, Dissertations S. and B. WEBB. Industrial Democracy, esp PART 11-
and Discussions III
ENGELS. The Condition of the Working Classes in GROOS. The Play of Men
England - - . The Play of Animals
- - . Herr Eugen Diihring's Revolution in Science, KROPOTKIN:The Conquest of Bread
PART II - - . Fields, Factories and Workshops
TOLSTOY. "On Labor and Luxury," in What Then SINCLAIR. The.]ungle
Must We Do? PEGUY. Basic Verities (The Honor of Work)
NEXO. Pelle the Conqueror
II. SOREL. Rejlexions on Violence, CH 7
HESIOD. Works and Days TROELTSCH. The Social Teaching of the Christian
LANGLAND. Piers Plowman Churches
T. MORE. Utopia BRADLEY. Essays on Truth and Reality, CH3
PARACELSUS. The Miners' Sickness and Other Miners' J. A. HOBSON. The Evolution of Modern Capitalism
Diseases - - . Work and Wealth
DEKKER. The Shoemaker's Holiday T. VEBLEN. The Theory of the Leisure Class
RAMAZZINI. De Morbis Artificum (The Diseasf's of - - . The Instinct of Workplanship, and the State of
Workers) the Industrial Arts
FRANKLIN. Poor Richard's Almanack HAMSUN. Growth ofthe Soil
FOURIER. Social Destinies MICHELS. Economia e felicita
SOUTHEY. Essays, Moral and Political, IV TAWNEY. The Acquisitive Society
RICARDO. The Principles of Political Economy and BRIEFS. The Proletariat, a Challenge to Western Civili-
Taxation, espcH I, 5, 16 zation .
MALTHUS. An Essay on Population DE MAN. Joy in Work
- - . Principles of Political Economy, esp BK I, CH BEVERIDGE. Unemployment
1-2, 4; BK II, CH I, SECT 10 PIUS XI. Quadragesimo Anno (Encyclical on the
SKIDMORE. The Rights of Man to Propertyl Reconstruction of the Social Order)
T. CARLYLE. Sartor Resartus BERLE and MEANS. The Modern Corporation and
HESS. Sozialistische Aujsiitze Private Property
PROUDHON. The Philosophy of Misery E. CHAMBERLIN. The Theory of Monopolistic Com-
KIERKEGAARD. Christian Discourses, PART IV (2) petition
THOREAU. Walden, CH I DUNKMANN. Soziologie der Arbeit
RUSKIN. Time and Tide B. RUSSELL. Proposed Roads to Freedom, CH 4
- - . Munera Pulveris - - . Freedom Versus Organization
- - . Fors Clavigera A. R. BURNS. The Decline of Competition
GEORGE. Progress and Poverty BORNE and HENRY. A Philosophy of Work
STEVENSON. "An Apology for Idlers," in Virgini- GILL. Work and Leisure
bus Puerisque - - . Work and Property
JEVONS. The State in Relation to Labour SIMON. Trois lefons sur Ie travail
ZOLA. Germinal STEINBECK. The Grapes of Wrath
SMILES. Life and Labor MARITAIN. Freedom in the Modern World, APPENDIX 1
NIETZSCHE. The Dawn of Day, APH 173 - - . Scholasticism and Politics, CH VII
- - . The Joyful Wisdom, APH 42, 329, 348 J. M. CLARK. Alternative to Serfdom
Chapter4S: LANGUAGE
INTRODUCTION
T HE liberal arts of grammar, rhetoric, and
logic are all concerned with language. Each
In our day, there is a lively interest in the
problems of language. This is partly because of
of these disciplines establishes its own rules for the development of historical and comparative
the use of language, each by reference to a spe- studies of the various human languages, and the
cial standard of excellence or correctness which scientific formulation of what is common to all
measures language as an instrument of thought languages in origin, structure, and change. But
or communication. Together these. three arts it also results in part from the claims of a dis-
regulate discourse as a whole. Their relation to cipline popularly called "semantics" to have
one another represents the relation of the vari- discovered the properties of language as a me-
ous aspects of discourse-the emotional, the dium of expression, and especially to have dis-
social, and the intellectual. covered its limitations. The claims of semantics
The tradition of the great books is the tradi- often go so far as to find in the misuse of lan-
tion of the liberal arts. Their greatness consists guage the origin of many human ills. The novel-
not only in the magnitude of the ideas or prob- ty of semantics is supposed to lie both in the
lems with which they deal, but also in their for- diagnosis and in the remedies proposed.
mal excellence as products of liberal art. Some Of these two sources of current interest in
of the great books are expositions of logic or language, the second calls attention to the vi-
rhetoric. None is a treatise on grammar. But tality of the liberal arts, of which semantics is a
they all plainly exemplify, even where they do contemporary formulation. It might almost be
not expound, the special refinements of the arts said that there is nothing new about semantics
of language; and many of them, especially the except the name. Hobbes, Bacon, and Locke,
works of science, philosophy, and theology, and for example, deal explicitly with the abuses
even some of the poetical works, deal explicitly of language and the treachery of words. Each
with the difficulties of discourse, and the de- makes recommendations for the correction of
vices that have been useclto overcome them. these faults. Plato and Aristotle, Augustine and
Language is their instrument, and they are con- Aquinas, Berkeley and Hume, are similarly
sciously critical in its use; concerned with ambiguity in speech, with the
One of the great books-Augustine's treatise multiple senses in which discourse of every sort
On Christian Doctrine-is directly and explicitly can be interpreted, and with the methods by
concerned with grammar in the broad sense of which men can approximate precision in the
the art of reading. Addressed to "earnest stu- use of language.
dents of the word," it attempts to "lay down The other interest in language is also repre-
rules for interpretation," and, in so doing, it is sented in the great books. Though the science
compared by Augustine to "one who teaches of linguistics and the history of languages are
reading, that is, shows others how to read for researches of recent origin, speculation about
themselves." It is not reading in general, how- the origin of language and, in that con text, con-
ever, but the reading of one book-the Bible- sideration of the natural and conventional as-
with which Augustine is concerned. We shall re- pects of language extend throughout the tradi-
turn later to this special problem of interpreting tion. At all times the discussion of the nature of
the word of God, or language which is thought man and society considers language as one of
to be inspired. the principal characteristics of the specifically
941
942 THE GREAT IDEAS
human world or compares the language of men tentions by the intractable character of lan-
with the speech of brutes. guage as an instrument. Even when men mis-
In addition there is the broad philosophical understand one another, the inadequacy of lan-
inquiry into the nature of signs and symbols in guage as a medium of communication is not
general. This is not limited to the problem of solely responsible for the failure of minds to
how written or spoken words get their mean- meet through the interchange of words. With
ing. The general question calls for an examina- greater effort, with a more assiduous applica-
tion of every type of signifying and every sort tion of the liberal arts, men can succeed even if
of symbol, verbal and non-verbal, natural and language works against them.
artificial, human and divine. Though these mat- Some things are inexpressible in human
ters are closely related to the problems of lan- speech even as they are incapable of being fully
guage and may therefore be touched upon here, grasped by human thought. "My vision," Dan-
their main treatment is reserved for the chapter te says when he reaches the mystic rose of Para-
on SIGN AND SYMBOL. dise, "was greater than our speech." Such
knowledge as we can have of "the highest mat-
THE TREATMENT of language seems to have a ters and the first principles of things" Plato
different tenor in ancient and modern times. thinks "does not admit of exposition like other
The philosophers of antiquity appreciate the branches of knowledge." In his Seventh Letter, he
need to safeguard discourse from the aberra- even goes so far as to say that "no man of intel-
tions of speech. Plato and Aristotle usually pref- ligence will venture to express his philosophical
ace their discussion of a subject with an exami- views in language."
nation of the relevant words in current use. Dis- With these exceptions the ancients seem to
covering the variety of meanings attached to adopt a mood of tolerance towards .language.
common words, they take pains to enumerate This does not imply an underestimation of the
the various senses of a word, and to put these difficulties of using language well. It simply does
meanings in some order. They pursue definitions not make of language an insidious enemy of
or construct them to control the ambiguity that clarity and truth. The deficiencies of language
is latent in the language anyone must use to ex- are like the weaknesses of the flesh. As man can
press or communicate ideas. But they do not in large part overcome them through the disci-
expect to remove ambiguity entirely. They tend pline of the moral virtues, so through the dis-
to accept the fact that the same word will have cipline of the liberal arts-by skill in grammar,
to be used in a number of senses; and they dis- rhetoric, and logic-he can make language ex-
criminate between the occasions when it is de- press almost as much truth as he can acquire,
sirable to be precise about a word's meaning and communicate it almost as clearly as he can
and those times when the purpose of discourse think it. Men need not succumb to the tyranny
is better served by permitting a word to carry of words if they will make the requisite effort to
a whole range of meanings. They see no special master language to serve their purpose.
difficulty in abstract as opposed to concrete But the liberal arts do not guarantee purity
words, or in general names as distinguished from of purpose. Obscurantism, obfuscation, decep-
the proper names which designate individuals, tion, and falsification are sometimes the aim.
or in words which refer to purely intelligible Men try to persuade others at all costs, or to
objects like ideas rather than to the objects of win the argument regardless of where the truth
sense-experience. lies. They try to confuse their opponents or
The mood of the ancients, which also prevails mislead their audience. The use of language for
for the most part among the philosophers and such ends requires as much skill as its employ-
theologians of the Middle Ages, seems to ex- ment in the service of truth. If such use is a
press a certain tolerance of the imperfections of misuse, then language is equally available for
language. If men do not think clearly, if they use or misuse.
do not reason cogently or argue honestly, the It is an ancient saying that only the compe-
fault is primarily the result of the misuse of tent in grammar can make grammatical errors
their faculties, not of the betrayal of their in- intentionally. So, as Plato recognizes, the dif-
CHAPTER 45: LANGUAGE 943
ference between the sophist and the philoso- earlier thinkers on points of psychology and
pher is not one of skill but of purpose. When he metaphysics or theology, but that he reduces
criticizes the trickery of sophistical argument, what might be supposed to be an issue between
he also acknowledges the cleverness with which true and false opinions to a difference between
the sophists juggle words and propound absurd- significant and absurd speech. His opponents
ities under the cover of superficially significant might reply that unless his own views about
speech. The sophistical fallacies which Aristotle matter and mind are true, his semantic criti-
enumerates are seldom accidental errors. Far cism of them does not hold. They have been
from being the result of the impediments which seduced by language into talking nonsense only
language places in the way of thought, they are if Hobbes is right in his metaphysics and psy-
in large measure artfully contrived equivoca- chology.
tions. They are ways of using language against The criticism of arguments which seem to
logic. According to Aristotle, they represent rely on metaphors is not peculiarly modern. In
"foul fighting in disputation" and are resorted his attack on the Platonic theory of ideas, Aris-
to only by "those who are resolved to win at all totle dismisses the statement that the Forms
costs." "are pa:tterns and other things share in them"
as a use of "empty words and poetical meta
IN THE MODERN treatment of language there is phors." But Hobbes carries this method of crit
more of an imputation that words cause men icism much further. He frequently rests his
unwittingly to deceive themselves as often as case against other philosophers entirely on the
they enable one man intentionally to deceive ground that they are talking nonsense. Though
another. Men are duped or tricked by the tend- he himself catches the imagination, almost as
ency of words to counterfeit a reality which often as Plato does, by his skillfully wrought
does not exist. This, in the view of Hobbes or metaphors, he would insist that what he says
Locke, Berkeley or Hume, is particularly true can always be rendered literally, whereas the
of general or universal names-or words that metaphors of others conceal the insignificance
signify nothing which can be perceived or im- of their speech.
agined. Bacon provides another illustration of the
We cannot imagine anything infinite, says modern attitude which ascribes a diabolical
Hobbes. Hence a word like "infinite" is a form character to language. "There arises from a bad
of absurd speech "taken upon credit (without and unapt formation of words," he writes, "a
any signification at all) from deceived philoso- wonderful obstruction to the mind. Nor can the
phers and deceived, or deceiving, Schoolmen." definitions and explanations with which learned
In addition to the deceptions of ordinary am- men are wont to guard and protect themselves
biguity and of metaphorical speech, Hobbes in some instances afford a complete remedy-
pays particular attention to the absurd, insig- words still manifestly force the understanding,
nificant, or nonsensical use of words "whereby throw everything into confusion, and lead man-
we conceive nothing but the sound"; he gives kind into vain and innumerable controversies
as examples, not merely "round quadrangle," and fallacies." He goes on to say that "the idols
but "infused virtue," "free will," and "imma- imposed upon the understanding by words are
terial substance." of two kinds. They are either names of things
In the light of the examples, this theory of in- which have no existence ... or they are names of
significant or meaningless speech explains what actual objects, but confused, badly defined, and
Hobbes means when he says that "words are hastily or irregularly abstracted from things."
wise men's counters, they do but reckon by Here, as in the case of Hobbes, a theory of
them; but they are the money of fools." It also reality and of the way in which the mind draws
indicates how Hobbes uses the susceptibility of its ideas from experience seems to underlie the
men to self-deception through language as a way charge that language tangles the mind in a web
of explaining the errors-he calls them "absurd- of words, so that it deals with words rather than
ities"-into which his predecessors have fallen. with things. In the same spirit, though not from
What is novel here is not that he disagrees with the same premises, Locke tells his reader why
944 THE GREAT IDEAS
he found it necessary to include in his Essay sis" calls for a language which shall be the per-
Concerning Human Unders~anding the long third fect instrument of analysis and demonstration.
book on language, which examines in detail the It is sometimes supposed that the symbolism
imperfections as well as the a buses of words, and of mathematics is itself that perfect language.
the remedies therefor. Lavoisier q).lotes Condillac to the effect that al-
"Vague and insignificant forms of speech, and gebra, "in the most simple, most exact, and best
abuse oflanguage," he says, "have so long passed manner, is at. the same time a language and an
for mysteries of science; and hard or misapplied analytical method." Of the analytical equations
words with little or no meaning have, by pre- "which Descartes was the first to introduce into
scription, such a right to be mistaken for deep the study of curves and surfaces," Fourier re-
learning and height of speculation, that it will marks that "they extend to all general phenom-
not be easy to persuade eithd those who speak, ena. There cannot be a language more universal
or those who hear them, that~hey are but the and more simple, more free from errors and ob-
covers of ignorance, and hinderance of true scurities, that is to say, more worthy to express
knowledge .... So few are apt to think they de- the invariable relations of natural things ....
ceive, or are deceived in the use of words or Its chief attribute is clearness; it has no marks
that the language of the sect they are of has any to express confused notions.... It follows the
faults in it." same course in the study of all phenomena; it
Without judging the fundamental issues in- interprets them by the same language."
volved concerning the nature of things and of This praise of mathematical symbolism indi-
man and his mind, one point seems to be clear. cates that one feature of the ideal is an exact
According as men hold different conceptions of correspondence between words and ideas. "Like
the relation oflanguage to thought (and in con- three impressions of the same seal," Lavoisier
sequence assume different attitudes toward the says, "the word ought to produce the idea, and
imperfections or misuse of language), they in- the idea to be a picture of the fact." If there
evitably take opposite sides on these issues. were a perfect one-to-one correspondence be-
Whether the discipline of language is called se- tween physical symbols and mental concepts,
mantics or the liberal arts, the standards by there would never be any failures of communi-
which one man criticizes the language of another cation. Men would be able to understand each
seem to depend upon what he holds to be true. other as well asif they could see directly into
The present work on the great ideas aims, in each other's minds. Though they still used
part, to record the agreements and disagree- external signs as 'a medium of communication,
ments among the great minds of the western they would approximate the immediate com-
tradition. It also records how those minds have munication which the theologians attribute to
used the same word in different senses or have angels. In addition, the process of thinking it-
used quite distinct words for the same thing. It self, quite apart from communication, could be
could not do either unless it did both. This in- perfectly regulated by the rules of grammar-
dicates the basic relationship be:tween lallguage the rules for manipulating symbols.
and thought which the great books exemplify, In the sense in which Lavoisier says that "the
even when they do not explicitly make it the art of reasoning is nothing more than a language
basis of their discussion of the relation between well arranged," the rules of thought might be
language and thought. reduced to the rules of syntax if there were a
perfect language. If the symbols of mathematics
THE IDEAL OF A perfect and universal language lack the universality to express every sort of
seems to arise in modern times from dissatisfac- concept, then it may be necessary, as Leibnitz
tion with the inadequacy of ordinary language proposes, to construct a "universal characteris-
for the analytical refinement and precision of tic" which would make possible a symbolic cal-
mathematics or science. As Descartes holds up culus for the performance of all the operations
the method of mathematics as the procedure to of thought. This. conception seems to contain
be followed in all other inquiries and subject the principle and the motivation for the vari-
matters, sohis conception of a "universal mathe- ous logistical schemes which accompany the
CHAPTER 45: LANGUAGE 945
modern development of symbolic or mathe- men to try to invent a perfect language for
rna tical logic, from Boole and Venn to Peano, themselves. It functions rather as a norm for the
Couturat, Russell, and Whitehead. The hopes criticism of man-made language and for discov-
to be realized by an algebra of logic find ex- ering the natural elements common to all con-
pression in Jevons' plan for a logical abacus ventionallanguages.
which, like an adding machine or comptometer, Like human society, human language seems
would be a thinking machine able to solve all to be partly natural, partly conventional. As
problems that can be put in suitable terms. there are certain political principles, such as that
of natural justice, common to all societies de-
Is THE IDEAL of a perfect and universal lan- spite the diversity of their customs and institu-
guage a genuine hope or a utopian dream? Not tions, so all conventional languages ha ve certain
all modern scientists seem to agree with Lavoi- common characteristics of structure which in-
sier's point that the improvement of a science dicate their natural basis in the physical and
and the improvement of its language are insep- mental constitution of man. In the tradition of
arable. Faraday, for example, apologizing for the liberal arts, the search for a universal gram-
the invention of new words to name electrical mar, applicable to all conventional languages,
phenomena, says that he is "fully aware that represents not the hope to create a universal or
names are one thing and science another." The perfect language, but the conviction that all
utopian character of the ideal seems to be im- languages have a common, natural basis.
plied in Swift's satirization of a universal lan-
guage. On his voyage to the cloud-land of the THE HYPOTHESIS of a natural language takes
scientists in Laputa, Gulliver learns of a project another form and has another implication in the
which is being considered, by the professors of Judaeo-Christian tradition, where it is discussed
language. "Since words are only names for in thdight of certain portions of revelation. Yet
things, it would be more convenient for all men it retains the same fundamental relevance to the
to carry about them such things as were neces- problem of the origin and characteristics of the
sary to express the particular business they are many conventional languages which now exist.
to discourse on." The substitution of things for Genesis relates how, after God formed every
words would thus provide a "universal language beast of the field and every fowl of the air, He
to be understood in all civilized nations." "brought them to Adam to see what he would
In the ancient world the imperfection of or- call them; and whatsoever Adam called every
dinary speech gives rise, not to the conception living creature, that was the name thereof."
of a perfect language which man should try to The names which Adam devised constituted
construct, but to the consideration of the dis- a natural language, at least insofar as, accord-
tinction between a hypothetical natural lan- ing to Augustine's interpretation, it is the one
guage and the existing conventional languages "common language of the race" both before the
actually in use. If there were a natural language, flood and for some time after. But there is the
it would not only be the same for all men every- further question whether the names which
where, but its words would also be perfect im- Adam gave to things were their rightful or
ages or imitations of things. That human lan- proper names-whether they were natural signs
guage is conventional rather than natural may in the sense of true representations of the na-
be seen not only in the plurality of tongues, but tures of the things signified.
also in the fact that existing languages embody Hobbes suggests one answer when he says that
contradictory principles of symbolization. "the first author of speech was God himself,
This fact, Plato suggests in the Cratylus, in- who instructed Adam how to name such crea-
dicates that human language does not originate tures as he presented to his sight"; Augustine
as a gift from the gods, for if the gods had given suggests another answer by identifying the orig-
men the names they use, signs would be per- inallanguage of man with Hebrew, and byaf-
fectly and consistently adapted to things signi- firming the continuity of the Hebrew spoken
fied. The hypothesis of a natural or god-given after Babel with the language all men spoke be-
language is not proposed as an ideal to inspire fore the confusion of tongues.
946 THE GREAT IDEAS
At the time when men began to build "a movable objects, and imitative sounds to sig-
tower whose top may reach unto heaven," Gen- nify audible ones. Such methods of expression
esis tells us that "the whole earth was of one being insufficient to convey ideas about absent
language and one speech .... And the Lord or future things, men had at last to invent "the
said, Behold, the people is one, and they have articulate sounds of the voice" and to institute
all one language; and this they begin todo; and these as conventional signs. But, as he observes,
now nothing will be restrained from them, "such an institution could only be made by
which they have imagined to do. Go to, let us common consent ... itself still more difficult to
go down, and there confound their language, conceive, since such a common agreement
that they may not understand one another's must have had motives, and speech, th.~refore,
speech." seems to have been highly necessary in order to
This, according to Hobbes, means that the establish the use of it."
language "gotten and augmented by Adam and The problem of the origin of human language
his posteri ty, was again lost at the tower of Babel, is not only connected with the problem of the
when by the hand of God every man was strick- origin of human society, but also with the prob-
en for his rebellion, with an oblivion of his for- lem of the origin of man himself. The faculty of
mer language." If the further implication is that articulate speech does not, according to Darwin,
the lost language was unlike any of the con- "offer any insuperable objection to the belief
ventional languages in the historical record, that man has been developed from some lower
then it may be supposed to have been that form." Though the habitual use of articulate
natural form of speech in which each thing is language is peculiar to man, "he uses, in com-
named according to its nature. The modern mon with the lower animals, inarticulate cries
ideal of a perfect and universal language may to express his meaning, aided by gestures and
even be looked upon as an impious wish to the movements of the muscles of the face." The
achieve what God took away from men at songs of birds and the speech of parrots show
Babel. that animals can learn to make and repeat cer-
tain definite sounds, and even to connect words
THE PROBLEM of the origin of human language with things. It seems to Darwin quite credible
is not an easy one for the theologian. It is more that man's articulate language "owes its origin
difficult still for those who speculate about it in to the imi ta tion and modification of various na t-
purely naturalistic terms. Rousseau tries to ex- ural sounds, the voices of other animals, and
pose some of the perplexities in such specula- man's own instinctive cries, aided by signs and
tions. gestures. "
If speech did not become a social necessity
until men passed from isolation in a state of na- SUCH AN ACCOUNT of the origin of human speech
ture to living together in society, how, he asks, is not credible, however, to those who disagree
could societies have been formed before lan- with Darwin's statement that "the lower ani-
guages had been invented? "If men need speech mals differ from man solely in his almost infi-
to learn to think," he remarks, "they must have nitely larger power of associating together the
stood in much greater need of the art of think- most diversified sounds and ideas." Those who
ing, to be able to invent that of speaking." The hold that human rationality differs in kind,
development of languages already in existence, rather than degree, from animal intelligence
or the way in which the child learns to speak tend to find a corresponding difference in kind
through living in an environment where speech between human language and the sounds of
exists, "by no means explains how languages brutes. Aristotle, for example, says that man is
were originally formed." the only animal whom nature "has endowed
Rousseau imagines a primitive condition in with the gift of speech. Mere vocalization is
which men uttered instinctive cries "to implore only an indication of pleasure and pain and is
assistance in case of danger, or relief in case of therefore found in other animals," but men
suffering"; he supposes that to such cries, men alone have the power to discuss the expedient
may have added gestures to signify visible and and the just, and this fact distinguishes human
CHAPTER 45: LANGUAGE 947
association from the companionship of gregar- recognized and better defined than that of
ious animals. particles, prepositions, and conjunctions. Such
Human speech is, for Descartes, one of the words, Locke writes, "show what connexion,
two criteria by which we can "recognize the restriction, distinction, opposition, emphasis,
difference that exists between men and brutes. etc. [a man] gives to each respective part of
For it is a very remarkable fact that there are his discourse. ... He who would show the
none so depraved and stupid, without even ex- right use of particles, and what significancy and
cepting idiots, that they cannot arrange differ- force they have, must take a little more pains,
ent words together, forming of them a state- enter into his own thoughts, and observe nice-
ment by which they can make known their ly the several postures of his mind in dis-
thoughts; while, on the other hand, there is no coursing."
other animal ... which can do the same. It is Grammar is also concerned with the dif-
not the want of organs that brings this to pass, ference between words (or phrases) and sen-
for it is evident that magpies and parrots can tences, or, in Aristotle's terms, between simple
utter words just like ourselves, and yet they and composite expressions; and with the rules
cannot speak as we do, that is, so as to give evi- of syntax which govern the order and agree-
dence that they think of what they say .... ment of words according to their function as
This does not merely show that the brutes have parts of speech. By reference to these rules
less reason than men, but that they have none the grammarian critizes the misuse of language
at all." and classifies a great variety of common errors.
The difference between men and other ani- One test of whether grammar is a universal
mals is more fully discussed in the chapter on art applicable to all languages-not just a set
MAN. Here we are concerned wi th opposite opin- of rules for using a particular conventional
ions on that subject only in relation to opposite language correctly-is the naturalness of its
views of human language and its origin. When, theoretical distinctions. Does Aristotle's dis-
as in Descartes' view, human language is dis- tinction between noun and verb, for example,
tinguished by syntax and grammar or, as in respond to something natural in all discourse,
Locke's, by man's special power to use sounds or is it peculiar to the Greek or to the Indo-
"as signs of internal conceptions, and to make European languages?
them stand as marks for ideas within his own
mind," the origin of human speech does not THERE IS AMEANING oflanguage which includes
seem explicable in evolutionary terms. more than the speech of men and brutes. From
Hippocrates on, the physician regards the symp-
THE RELATION OF grammar to the other liberal toms of disease as if they were a connected sys-
arts and to the various uses of language is con- tem of signs, a language for which his diagnostic
sidered in the chapters on LOGIC, POETRY, and art provides a grammar of interpretation. This
RHETORIC. Isolated from these others, gram- is particularly true in the psychological realm
mar is primarily concerned with the distinction where, in the psychoanalysis of the neuroses and
of the parts of speech, such as noun and verb, or especially in Freud's interpretation of dreams,
particle and adjective. both symptom and dream-symbol are treated
"By a noun," says Aristotle, "we mean a as an elaborate language. That language serves
sound significant by convention, which has no to express the unconscious thoughts and desires
reference to time, and of which no part is sig- which cannot be expressed in the ordinary lan-
nificant apart from the rest." In contrast to guage of social in tercourse over which conscious-
the noun, the verb is defined by Aristotle as ness exercises some control.
the sort of word which, "in addition to its These medical examples represent a concep-
proper meaning, carries with it the notion of tion of language according to which the whole
time.... Moreover," he continues, "a verb is of nature is a book to be read by the scientist.
always a sign of something said of something He penetrates the mysteries of nature by learn-
else." The grammatical function of nouns and ing the grammar of natural signs. To know the
verbs is, in Locke's opinion, more generally relation of natural things as cause and effect or
948 THE GREAT IDEAS
whole and part is to discover nature's syntax. an inclination, and under a necessity to have
According to another conception, expressed by fellowship with those of his own kind, but fur-
Galileo, the book of nature "is written in mathe- nished him also with language, which was to
matical language, its symbols being triangles, be the great instrument and common tie of
circles, and other geometrical figures, without society."
whose help it is impossible to comprehend a It is not merely that the fellowship of men
single word of it." depends upon speech. According to Locke, men
The book of nature may also be read as the cannot enjoy "the comfort and advantage of
language of God. Prophecy or divination is such society. .. without the communication of
a reading of dreams or of other events as omens thoughts." The fact that "man had by nature
and portents which bespeak the divine purpose. his organs so fashioned as to be fit to frame
When he reaches the highest hea ven Dan te finds articulate sounds ... was not enough to pro-
in the vision of the Trinity, "bound up with duce language"-at least not human language,
love in one volume, that which is dispersed in "for parrots, and several other birds, can be
leaves through the universe." Berkeley goes taught to make articulate sounds distinct
. further than this. All of the ideas which man enough," and yet. Locke writes, they are "by
gets by sense-perception are words in a divine no means capable of language. Bes:des articu-
vocabulary. The uniform appearances of nature late sounds, therefore, .it was further neces-
"may not unfitly be styled the Language of its sary," he insists, that the sounds men formed
Author, whereby He discovers His attributes to should be the instrument whereby "the thoughts
our view and directs us how to act for the con- of men's minds [are] conveyed from one to
venience and felicity of life." another."
God speaks to man in still another way. With- Rousseau, on the other hand, seems to think
in the Judaeo-Christian tradition at least, God that under the primitive circumstances sur-
is believed to have revealed himself to man rounding the origin of both society and lan-
through the vehicle of human language. Writ- guage, the association of men "would not re-
ten by men under divine inspiration, Sacred quire a language much more refined than that
Scripture is the word of God. Because it is at of rooks or monkeys, who associate together
once human and divine, this language is the for much the same purpose .. Inarticulate cries,
most difficult for man to interpret. plenty of gestures and some imitative sounds,
The art of interpreting the Bible involves the must have been for a long time the universal
most elaborate theory of signs, and of the types language," he writes; "and by the addition,
and levels of meaning. It involves special rules in every country, of some conventional articu-
of reading. The development of this theory and late sounds ... particular languages were pro-
these rules by Augustine and Aquinas, Maimon- duced; but these were rude and imperfect, and
ides and Spinoza, Hobbes and Pascal, has deep- nearly such as are now to be found among
ened the liberal arts and enlarged the scope of some savage nations."
man's understanding of other languages-his The plurality of conventional, historic lan-
own or nature's. Since the heart of this larger guages seems to parallel the plurality of the
consideration of language lies in the analysis of nations or societies into which mankind is di-
meaning and the modes of signification; the dis- _ vided. But underlying the diversity of tongues
cussian of the symbolism of nature and the word there is also a'unity which implies the possi-
of God belongs to the chapter on SIGN AND SYM- bility of mankind's unification. To the extent
BOL; and, in its theological aspects, to the chap- that language expresses thought, diverse lan-
ters on PROPHECY and RELIGION .. guages are but different mediums for the same
thing. "All men [may] not have the same speech
THE DISCUSSION of language, as we have seen, sounds," Aristotle declares, "but the mental
cannot be separated from the consideration of experiences, which these directly symbolize,
human nature and human society. Because He are the same for all."
"designed man for a sociable creature," God, The human community conceived in terms
according to Locke, "made him not only with of the communication of thought extends as far
CHAPTER 45: LANGUAGE 949
as the bounds of such communication among participate. The extent of this conversation
men. It is not limited by political boundaries. measures the range of western thought. The vo-
It overcomes by translation the barriers set up cabulary of its language is the stock of ideas with
by a diversity of tongues. It includes the living which each individual can begin to think for
and the dead and extends to those as yet un- himself when he turns from dialogue to solilo-
born. In this sense, human civilization can be quy; for, as Plato observes, "thought and speech
described as the civilization of the dialogue, and are the same, with this exception, that what is
the tradition of the great books can be conceived called thought is the un~ttered conversation of
as the great conversation in which all men can the soul wi th itself."
OUTLINE OF TOPICS
PAGE
I. The nature and functions of language: the speech of men and brutes 95 0
la. The role of language in thought 95 1
1 b. The service of language to society
8. Grammar and rhetoric: the effective use of language in teaching and persuasion 956
10. The language of things and events: the book of nature; the symbolism of dreams;
prophetic signs 957
II. Immediate communication: the speech of angels and the gift of tongues 959
12. The language of God or the gods: the deliverances of the oracles; the inspiration,
revelation, and interpretation of Sacred Scripture
950 THE GREAT IDEAS
REFERENCES
To find the passages cited, use the numbers in heavy type, which are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK II [265-283) 12d, the
number 4 is the number of the volume in the set; the number 12d indicates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in 53 JAMES: Psychology,116a-119b, the passage
begins in the upper half of page II6 and ends in the lower half of page II9. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of the left
hand side of the page, the lettersc and d to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium,163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-hand side of page 164.
AUTHOR'S DIVISIONS: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference; line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-283) 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) II Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; "passim" signifies that the topic is discussed intermit-
tently rather than continuously in the work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style; for general guidance in the use of The Great Ideas, consult the Preface.
CROSS-REFERENCES
For: The other major discussion of language in terms of the variety of signs and the modes of
signification, see SIGN AND SYMBOL. .
Other considerations of language as an instrument of thought, see IDEA 4a; JUDGMENT sa;
LOGIC 3a; MATHEMATICS 3d; RHETORIC Ib, 2C-u:l; SIGN AND SYMBOLld, 4b, 4e.
The distinction of the natural and the conventional as applied to language, see CUSTOM AND
CONVENTION I; SIGN AND SYMBOL I b, Id, If.
The general discussion of the liberal arts of grammar, rhetoric, and logic, see ART 6b; and for
the relation of grammar to these other arts, see LOGIC 38; RHETORIC Ib, 3C.
Another analysis of the imperfections of language, and for the remedies proposed by seman-
tics, fee SIGN AND SYMBOL 3a, 4C.
The language of poetry, see POETRY 8b.
The language of symptoms in medicine, of dreams in psychoanalysis, and of omens and
portents in prophecy and divination, see MEDICINE 3c; MEMORY AND IMAGINATION 8d-8e;
PROPHECY 3b-3C; SIGN AND SYMBOL 4e, sb, 6a-6c;
The language of God or the gods in Sacred Scripture or oracular utterances, and for the
problem of interpreting the divine word, see GOD 6c(I); PROPHECY 3a-3d; RELIGION I b( I);
SIGN AND SYMBOL se; THEOLOGY 4b.
ADDITIONAL READINGS
Listed below are works not included in Great Book! ofthe Western World, but relevant to the
idea and topics with which this chapter deals. These works are divided into two groups:
For the date, place, and other facts concerning the publication of the works cited, consult
the Bibliography of Additional Readings which follows the last chapter of The Great Ideas.
INTRODUCTION
OUTLINE OF TOPICS
PAGE
I. The definition of law 972
Ia. The end of law: peace, order, and the common good
lb. Law in relation to. reason or will 973
IC. The authority and power needed for making law
Id. The promulgation of law: the need and the manner of its declaration
2. The major kinds of law: comparison of human, natural, and divine law; comparison
of natural and posjtive, innate and acquired, private and public, abstract and civil
~~ m
3. The divine law
3a. The eternal law in the divine government of ~he universe: the law.in the nature
of all creatures
(I) The natural moral law as the eternal law in human nature .'
(2) The distinction between the eternal law and the positive commandments of
God . 975'
3b. The divine positive law: the difference between the law revealed in the Old
and the New"Testament . .
(I) Law in the Old Testament: the moral, the judicial, and the ceremonial
precepts of the Old Law
(2) Law in the New Testament: the law of love and grace; ceremonial precepts
of the New Law 976
4. The natural law
4a. The laW' of reason or the .moral law: the order and habit of its principles .
4b. The law of men tving in a state ~f nature
4C. The a priori principles of innate or abstract right: universal law in the order of
freedom; the objectification of the will .
~. The natural law as underlYing'the precepts of virtue: its ~elation to the moral
precepts of divine l a w " 977
4e. The relation of natural law to natural rights_and natural justice
CHAPTER 46: LAW 971
PAGE
if. The relation of natural law to civil or municipal law: the state of nature and the
regulations of the civil state 977
4g. The relation of natural law to the law of nations and to international law: sov-
ereign states and the state of nature 978
4h. The precepts of the natural law and the condition of the state of nature with
respect to slavery and property
9. The legal profession and the study of law: praise and dispraise of lawyers and judges 988
972 THE GREAT IDEAS
REFERENCES
To find the passages cited, use the numbers in heavyeype, which'are the volume and page
numbers of the passages referred to. For example, in 4 HOMER: Iliad, BK 11 [265-283) 12d, the
number 4 is the number of the volume in the set; the number 12d. in!1icates that the pas-
sage is in section d of page 12.
PAGE SECTIONS: When the text is printed in one column, the letters a and b refer to the
upper and lower halves of the page. For example, in53 JAMES :PsychologYi 1l6a-119b,the passage
begins in the upper half of page u6 and ends in the1ow(!r half of page 119. When the text is
printed in two columns, the letters a and b refer to the upper and lower halves of thdeft-
hand side of the page, the letters c and d,to the upper and lower halves of the right-hand side of
the page. For example, in 7 PLATO: Symposium, 163b-164c, the passage begins in the lower half
of the left-hand side of page 163 and ends in the upper half of the right-ha.nd side of page 164.
AUTHOR'S DI~ISION'S: One or more of the main divisions of a work (such as PART, BK, CH,
SECT) are sometimes included in the reference;, line numbers, in brackets, are given in cer-
tain cases; e.g., Iliad, BK II [265-283) 12d.
BIBLE REFERENCES: The references are to book, chapter, and verse. When the King James
and Douay versions differ in title of books or in the numbering of chapters or verses, the King
James version is cited first and the Douay, indicated by a (D), follows; e.g., OLD TESTA-
MENT: Nehemiah, 7:45-(D) 11 Esdras, 7:46.
SYMBOLS: The abbreviation "esp" calls the reader's attention to one or more especially
relevant parts of a whole reference; ""passim" signifies that the topic is discussed intermit-
tently rather than continuously in the ,work or passage cited.
For additional information concerning the style of the references, see the Explanation of
Reference Style;; for general guidance in;the use ,of The Great Ideas, consult the Preface.