Spring

1990

Volume 1 7 Philosophical

Number 3

Scott R.

Hemmenway

Apology

in the Theaetetus

Theodore A.

Sumberg

Reading

Vico Three Times

Colleen A. Sheehan

Madison's

Party
and

Press Essays
the Problem of Natural Right

Robert Eden
John C.

Tocqueville

Koritansky

Civil Religion in Tocqueville's

America

Democracy

in

Peter A. Lawler Waller R. Newell

Discussion

Was Tocqueville
Zarathustra's

Philosopher? Dialectic

Dancing

Werner J. Dannhouser
Review

Leo Strauss

as

Citizen

and

Jew

Essay
Burstein

Harvey

Henry M. Rosenthal, Philosophy

The Consolations of

Book Reviews Will

Morrisey

An Introduction to Political Philosophy: Ten

Essays

by

Leo Strauss,

ed.

Hilail Gildin

Rebirth of Classical Rationalism: An Introduction to the Thought of Leo Strauss, ed. Thomas L. Pangle William Faulkner, The De Gaulle

Story

Interpretation

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Interpretation A
Spring
1990
Volume 17
Number 3
Scott R.

Hemmenway Sumberg

Philosophical

Apology

in the Theaetetus

323

Theodore A.

Reading

Vico Three Times

347
355

Colleen A. Sheehan
Robert Eden
John C.

Madison's

Party
and

Press Essays
the Problem of

Tocqueville

Natural Right

379

Koritansky

Civil Religion in Tocqueville's

America

Democracy

in

389
a

Peter A. Lawler

Was Tocqueville
Zarathustra's

Philosopher? Dialectic

401 415

Waller R. Newell
Discussion

Dancing

Werner J
Review

Dannhauser

Leo Strauss

as

Citizen

and

Jew

433

Essay
Burstein

Harvey

Henry M. Rosenthal, Philosophy

The Consolations of

449

Book Reviews Will

Morrisey

An Introduction to Political Philosophy: Ten Essays

by

Leo Strauss,

ed.

Hilail Gildin

465

The Rebirth of Classical Rationalism: An Introduction to the Thought of Leo Strauss, ed. Thomas L. Pangle William Faulkner, The De Gaulle

465

Story

469

Copyright 1990

interpretation

ISSN 0020-9635

Philosophical

Apology

in the Theaetetus

Scott R. Hemmenway
Eureka College

Plato's

Apology

of Socrates has,

of

course,

long
so

been

recognized as an artic
with

ulate reflection on some of pher's relation to the city.

"apologetic"

the peculiar problems associated

not

the philoso

What has

been

clearly realized, however, is

not

that there are

elements, and hence important complementary treat

ments of similar and related with political questions.

themes, in

other

dialogues

explicitly

concerned

Plato himself invites his light

Socrates'

readers to ponder the

Theaetetus, for
and

example, in

of

impending

trial before the city of Athens. He does this

with

by
the

having

Socrates

end

his discussion
(210dl-2).'

Theaetetus

Theodorus

with

excuse that

he

must go

report to the porch of the

king

in

order

to meet the

indictment

of

Meletus

This

places

the Theaetetus among those dia

Socrates'

logues that portray the events immediately surrounding of himself. It is my aim to show that two important sections
and

public
of

defense

the Theaetetus
when

their place in the dialogue as a

whole

are

especially illuminated
that

viewed

from the

perspective of philosophical

apology
and

is

suggested

broad dramatic

context.

The

sections are

first,

Socrates'

wellknown

by this descrip
in

tion of himself as a midwife the middle the

of

(148e6-151d6),
wherein

second, the

"digression"

the

dialogue,

Socrates

contrasts

the philosopher and

courtroom orator

(172c2-177c6). Both

of these passages
Socrates'

may be

read

fruit
for

fully

as

further

and

supplementary forms

"apology"

of

own

philosophizing.

Out

of all of

the dialogues the

Apology furnishes
to

perhaps the

most obvious

instance

Socrates'

being

called upon

give some account of accusations of

himself. In

particular

he has to defend himself from the formal

Yet there
are other places where

impiety
his

and

corruption.

correct

his

public reputation

by

speaking in

Socrates may be way designed to

seen make

trying

to

own even

peculiar

activities

somehow

intelligible,

perhaps

acceptable,
answer

and

praiseworthy to those around him. A good example

gives

is the

that Socrates

to Meno's

charge

that he merely bewitches and numbs his interlocutors

consists

like

a torpedo

fish: his defense

{aporia)
the the

that leads
are

him to drive
many

others to the same state

in claiming that it is his own perplexity {Meno 79e7ff.). Fur

in
Socrates'

thermore, there
nature of

other passages

which

explicit

theme is
of

the

philosopher.

One

such example

may be found in Book VI

Republic,

where

Socrates describes the

qualities of

the philosopher's soul

interpretation,

Spring 1990,

Vol. 17, No. 3

324

Interpretation
contains

that make him fit to rule the best city. This passage also

the mark of

apology, for Adeimantus has asked that Socrates explain the fact that philoso phers appear to most to be not only politically useless but thoroughly vicious

(487b l-d5). Socrates

proceeds with

his

"apology"

(488a5), showing why

although

phi

losophy
incurred,
hand

has

such a public reputation

and

why it is,

understandably
grouped to

unjust.

Both these

sorts of

speeches, accounts of himself on the one

and of the philosopher on the

other, may conveniently be

gether and thought of

Socrates'

in

general as apologies

for

philosophy.

description

of

himself

as a midwife and

his juxtaposition

of

the

philosopher and

the courtroom

orator

fall

under

this

heading, for they

can

both

be interpreted

as ways of

accounting for

and

hence,

to some extent, correcting

his

and

the

philosopher's undeserved public reputation.

Socrates'

apologies are not elicited obliged

to show

by any explicit how the interpretation of these two

that such a reading
sheds

But in these two cases, accusations. I am therefore

speeches as apologetic

provides a plausible account of their particular place and appearance within the

dialogue. To the

extent

light

on

the

relation

between

these passages and their several

vindicated.

wider contexts with

Let

me

begin, then,

what

my interpretative hypothesis is might well be the most obvious

choose about

problem with such an

interpretation:

Why

does Socrates in
a

to address the the nature of

problem of the philosopher's appearance

discussion

knowledge At first

with a

glance

group it is not

of mathematicians?

at all unusual that a philosopher should

be interested
objects
which

in "epistemology";

episteme

(knowledge) is,

after

all,

one of the

highest in

of contemplation named

in the Phaedrus (247 d6). But the

question

manner

Socrates introduces the What is knowledge?

to more complicated
wise with respect
motives.

in the Theaetetus

alerts us one

Only

after

it is

established

by

Socrates that

is

to those things about

which one

has

knowledge,

and therefore

that knowledge

and wisdom are

the same, does he express his puzzlement and

his incapacity, unaided, to get hold of what knowledge is (145dll-e9). In other words, it seems that Socrates is interested in knowledge specifically as it
relates

to the object of the

philosophic

quest, namely

wisdom.

Could Socrates into his

own

be conducting the
self,
one who

inquiry
he

described in the
still

Apology (20d6-23cl)

special wisdom; could

be trying to discover

someone wiser than

him

are neither
or are

actually knows something important? Theodorus and company politicians, poets nor craftsmen, but the sciences they either know
astronomy,

learning (geometry,
contenders

harmony

and calculation

145c-d)
is

are

certainly to in the

for,

or possible

ingredients in,
of

wisdom or what

referred

Apology
aporia

as the

knowledge

the "greatest

matters"

(22d7). The dis

ends

cussion with

these mathematicians in the

Theaetetus, however,

in typical
be left

Socratic
rance:

(perplexity)

and with reiteration of

we

the virtue of

Socratic igno

at

least

we

know that

do

not

know (210c3-4). We
"knowledge"

seem to

once again with the conclusion that this negative

that marks the

peculiar wisdom of

the philosopher.

is the only thing Furthermore, how the phi

not

losopher

appears

to this group of mathematicians seems

to

differ

substan-

Philosophical

Apology

in the Theaetetus

325
in

tially from

the general public reputation

with which

Socrates has to

contend

his trial, for he annoyingly refutes all opinions without offering any of his own. It is precisely the problem of the appearance of the philosopher to those who do
not

know

what

he is that is

the cue

for the

question when

Socrates

puts

to the

Eleatic Stranger in the Sophist, which takes place the very next day. After noting that philosophers
phists and
and

the

group

meets again

can seem

to some to be so
whether another

statesmen, Socrates

asks that the

and

Eleatic Stranger indicate differ from

one

how the sophist,

their respective
Socrates'

statesman

philosopher

(216c2-217a8). The Eleatic Stranger

answers

by

attempting to grasp each

will

by

defining
follows,

knowledges

or

technai.2

As

be

made clear

in

what

apologies
method of

in the Theaetetus,

while

nothing like the Eleatic

Stranger's

division,

nonetheless approach

the problem of accounting

for philosophy from the standpoint of knowledge. Both speeches say something about what either Socrates or the philosopher knows that distinguishes him
from
Both
everyone else and accounts accounts

for his
the

unusual and misunderstood

behavior.

have

more

to them than the Socratic ignorance declaimed in the

as
practitioner of a

Apology. One
art of

pictures

Socrates

techne

(art), namely
the

the

midwifing the offspring

the
philosopher's

of men's

souls, and the

other speaks of

lofty
or

objects of

theoretical contemplation, e.g.,

"justice itself

"the

beings"

whole nature of

the

(175c2, 174al). An understanding they have anything

of what

Socrates
sorts of
will

means

by

these descriptions of what seem to be two very different

and whether

knowledge,

to do with one another,

be

one of the major tasks of

my interpretation.
the
problem of close.

The link between the knowledge is thus

view
Socrates'

philosophers public appearance and

revealed as

very

My

present purpose

is to defend the

that the Theaetetus may be approached, at

own special concern

of
philosophic

least in part, as an expression in his last days for the meaning of specifically
the Theaetetus shows Socrates

knowledge. In
and so

particular

trying

to

make

himself,

philosophy, intelligible and praiseworthy to a group of

for knowledge may be sup that the context of the Theaetetus questions The posed to be very guiding imposes on my interpretation of its apologetic elements are whether the posses sion of a certain sort of knowledge is what makes the philosopher wise and, if
mathematicians,
whose standard of what counts
strict.

so,

what sort of

knowledge it is.

My

examination

involves first,
a

an exegesis of of

the explicit content of the two passages and second,

context of each speech within

consideration

the

the dialogue. Both

manipulates

of

these tasks are aimed at

providing phy in both

an account of cases

how Socrates

the appearance of philoso

to essentially

apologetic ends.

I. SOCRATES AS MIDWIFE

The image
souls

of

Socrates

as a midwife

for the thoughts

is

with

good reason one of

the

most

or offspring of men's famous images from the Platonic

326

Interpretation
Socrates'

dialogues, for it vividly depicts

philosophizing
with the
or conversing. of

some of the peculiarities of

particular place

manner of

In its

in the dialogue, however,

to be incommensurate

the very richness

the description seems at the conversation.

first

sight

immediate
Socrates'

needs of

To begin with, the

those of

speech contains apologetic elements that are parallel to

courtroom

defense

speech.

Socrates

volunteers an explana

tion not only for why people say he is "most

aporia,"

strange

and

drives

people to

for why they are sometimes "so disposed toward me as to be and why "the reproach [of many] is namely simply ready to bite "that I question others but I myself do not declare anything about anything
but
also
[me],"
true,"

because I have
volunteer an

wisdom"

no

(149a8-9, 151c6-7, 150c4-7). Why does Socrates

and the
Theaetetus'

hatred it first

elicits

apology for his typical elenchus (practice of refutation) here before Theaetetus? It is true that at this point

attempt at a

definition
concerned refuted

of

Socrates may be the one who has in

a manner

that

knowledge has been found deficient, Theaetetus will become "angrily

Socrates'

and thus with

savage"

him. Yet Theaetetus has

accepted

correction

entirely in keeping with the gentle nature imputed to him teacher Theodorus (144b3-5, see also 161a5-6). It seems, rather, that
count of
other wife and

by

his

on ac

his modesty Theaetetus simply needs encouragement to venture an definition of knowledge, and this is exactly how he responds to the mid speech. I will later return to consider in more detail character
Theaetetus'

its

effects on

the requirements of the conversation, but for the moment I

reason

only

want

to indicate that there is no obvious

that

Socrates'

encourage

ment should

be

such a

full

self-disclosure as
Socrates'

to include the defensive apology it

does. A

second puzzle concerns

mode of self-presentation.
with

The

sim

ple comparison of what

he does

especially and for this

aetetus. extent

well as an reason

illuminating
might

the very familiar art of midwifery works image because it is immediately intelligible,
to his present purposes with The

seem

adequate

Yet Socrates

goes quite

to great length to fill out the analogy, even to the

an elaborate and strange conception of what

of

fabricating

the

midwife can

similarities

actually do. His pushing and pulling of the likenesses and dis implied by the image suggest that he intends his analogy to reveal

more than the

initially

obvious exhorts

parallels,

himself. When Socrates

wives" mine"

and thus quite possibly more about Theaetetus to "consider the whole about
mid-

about

(149b4) and claims that "all that is true of the art of midwifery is true (150b7), it is permission for readers to look closely at the peculiar

details

of the strange way that Socrates chooses to present himself. In order to begin resolving the two anomalies just presented, it is appropriate to start by midwife image and what it suggests teasing out the implications of
Socrates'

about the philosophic techne that

he

claims to possess. chooses to explain

The first fact

to

about the art of

midwifery that Socrates

has

do

with

an

important

qualification required of

its

practitioners:

they

must

themselves be past the age of bearing.

They

cannot

have been barren

all their

Philosophical
lives "because human
which

Apology

in the Theaetetus

327

nature

is too

weak

to grasp a techne about things of

the goddess of

it has

experience"

no and

(149cl); but Artemis, being both

wished

childbearing
nonetheless
Socrates'

herself childless,
some resemblance

to honor those

with

her

art

who

bore

to her. This qualification,

when applied

to

art, is

supposed to explain

why he
and god

appears

to have nothing himself to

cannot

offer

in

exchange

for his questioning

anything:

why he
me

be blamed for
"there is

not

prevents me

actually teaching from

such

"for the

forces

to practice midwifery but

wise"

producing,"

and so

"I

am not at all

and

no

discovery which is the offspring of my own According to this apology, the responsibility for
Socrates'

(150c7-d2).

Socratic ignorance is

put on

the god,

but why would patron god force him to maintain his barren ness? The experience of childbearing for humans is one in which extremely strong attachments and feelings are involved, and the midwife may need the

detachment that
exercise
well

age and

her

consequent

barrenness brings in
possesses.

order

to be able to

the technical

judgment

she

In

other

words, human

nature may be too weak to acquire or use knowledge unless it is capable of a detachment from the very same things of which it also needs experience. The

midwife's resemblance to the requirement patients spring.

goddess, therefore,
of techne.

would

be

another

for the human grasp

a
new

Socrates later
and

emphasizes

necessary that his

show

mother's

attachment to

emotion

toward their off

Is there then
practice

divine detachment that Socrates little

enjoys and which allows

him to

his

art? suggestion
a

To follow this

further, let
can

us

say that

opinions

broadly
are off

conceived, such as the ones Theaetetus

spring.

ventures

about

knowledge,

Formulating

equivalent

to giving

the

attachment.

they birth, and believing them or being committed to them is Socrates, owing to his humanity, would thus have had some
exposed

them so that

be

to examination would be

experience of this

process, but the ability to live

that allows

without commitment

to opin

ions is the divine detachment

treat the opinions of others.

him to

practice

his

art and

therefore

logue,

mere

beliefs
to their

about

To apply this to the present example in the dia the nature of knowledge and the resulting sort of
of

commitment
without.

implied forms

life
and

are

what

the philosopher must do

will offer

The

cases of

both Theodorus

Protagoras

the occasion
allows these

below to
men

consider

the

opinion of what counts

for knowledge that

to

practice their respective professions.

To be sure, the
Socrates'

philosopher of

is

at

least

committed pursuit

to his search

for

wisdom

and whatever of

forms

knowledge

that this

entails, but the implication

wisdom and

barrenness is that his

one

relation to
which

both

knowledge is different from the very human

opinion. claim a

is

mediated

by

believed
will

Although Socrates
art, he begins
with

eventually

total of

five

special skills

to his

the three that he shares

with

the conventional midwife.

The

first
nant.

of these that he points out is the ability to recognize those who are

preg

Such diagnosis may be important for the early treatment

of a woman's

328

Interpretation
Socrates'

pregnancy, but
on

diagnosis
labor

Theaetetus'

of

body
its

recognizing the to soul is compromised

actual

pains

pregnancy seems to be based (148e6-7, 151b8). The analogy from

child

forever

without

here, because it would seem that a soul can carry giving birth to it. Theaetetus, unlike a woman, might
pregnant,
much

never

have known he

was

less that there

were no

fewer than

three offspring waiting to see the light of day. The occasion for the practice of

Socratic midwifery, therefore, depends on this special diagnostic skill and so initiative. Even with solicitous patients, as he also largely depends on
Socrates'

explains
whether

later, Socrates has

it
must

to determine

whether

his techne is
pregnant

required

or

the patient needs to go elsewhere to become

(151b2-3). In
not

the

present case

be

asked

how Socrates knows that Theaetetus is

often

empty, for the youth edge, but failed.

ception of

claims

to have tried

to give a definition of

knowl
per

Socrates'

techne already appears to include a rather keen

the condition

of other men's souls.

The

second maieutic skill

is that

of

managing

delivery. The

midwife

can,

for example, arouse labor pains or make them milder, help those who have difficulty in giving birth and even cause abortions or miscarriages. All of this is done

by

the

administration

of

"drugs

incantations"

and
comments.

(149c9-dl). On the

parallels suggested

here,

venture

three

dealing

with a painful process or experience. pains and are

are"

First, Socrates is skilled in He says later that men even "suf

and

fer labor

they [women]
process of such a process a question

filled with perplexity for nights (151a6-7). This is one aspect of

days far

more than

Socrates'

apology, for the

manipulation of articulating opinions is hard work, and is one way in which he may appear to be cruel. Second, there is goal in managing such deliveries. What is the appropri of
Socrates'

Socrates'

ate analogue

in the

principle

governing

a midwife's

decisions

when she attends

the

birth

of real children? a soul give

Presumably
Finally,

it is the health
Socrates'

of mother and child.

But

why does
regulate at

birth

and what considerations of

its well-being form

require and

the special techne? this

point

treatment of
to be that

Theaetetus'

preg
of assistance

nancy
needed

in the dialogue has

would seem

for

a mother who

difficulty

Socrates'

own

apology for himself

Theaetetus'

as a midwife

in giving birth. This could mean that is part of his store of drugs and helped

incantations

and

that

delivery is

by

his gaining

some

kind

of

understanding of the art to which he is to With the third skill, Socrates begins to
wife's techne. It turns out, to
midwives are unions will
Theaetetus'

submit. create a

fantastic

picture of the mid

surprise as well as

to our own, that

actually the only expert matchmakers because they know what produce the best children. Since Socrates mentions only later, al
who might

most as an

aside, that he knows

be

a good match

for

those of

his

patients who are

important
midwife,
since she

part

empty (151b2-6), this does not seem at first sight to be an of his art. Yet he does go to some trouble to establish that the

like the farmer, must have knowledge about the sowing of seeds, also knows about the harvesting of the fruit. If the midwife's science

Philosophical
has been
conceive enlarged

Apology
of what are

in the Theaetetus
bodies
and

329

to include the knowledge

the best

how to

them, that is, to include eugenics,

to souls?
at

the implications for Soc

rates'

art with respect

eugenics,

A clue may be found in the importance of least symbolically, in the Republic and the Statesman. The knowl
the best offspring is
a crucial part of

edge of what unions will produce

royal art of the statesman and man

both the

the

knowledge
the

of

the

philosopher-king {States
political

310b-e, Republic 546a-547a). It is

he
possesses of

complementary

art, the

ability to educate the souls born with good genetic endowment, that

Socrates is
what

indicating

here. Put in terms

of

the analogy, he knows

the

best offspring
tact with,

the soul are and how to produce them. This involves a control

over what opinions or thoughts a soul should

be do

exposed

to or come into con

especially
to

when

the soul

is young

and

impressionable.
not

According
expert

Socrates,

the reason that

we

know that

midwives are

matchmakers, despite its

refrain of

being

the skill in
part of

which

they
in

take most pride, is

that

they

from practicing this

their art

public and

keep

it

secret

for fear

being

confused with

the unjust and unscientific go-betweens,

the pimps. There is undoubtedly a reference to the sophists that promote intellectual unions for the gain
of

here, namely
really

those

the seller and pleasure of the

buyer. The
genics

real

point, I

believe, is

that midwives

do

not

practice eu

for the
both

same reason

that Socrates cannot control the education of his

with any but the his knowledge in a city send everyone over
most extreme political

patients: regimes.

practices are could

incompatible
use

Socrates

power,

where

only he could, for example,

marriage

where

he had

absolute

the age of ten out into

the country

and replace

with controlled matches

{Republic

540e5-

541a4, 458d-465b). As it is, however, Socrates is left

produced one that

to deliver opinions skill, but

by

unions

beyond his control,

which

leads to

yet another

belongs uniquely to the Socratic

to these three skills,
with

midwife.

In

addition

their apparent analogues in the

Socrates'

usual

art of midwifery, the

fourth

and greatest part of

art

bears

no such

analogy, for

women

do

not sometimes give

birth to

genuine children and other

times to images

of them as men

do

with respect to mental offspring.

mind

Accor
an

dingly, Socrates claims to be "able to test whether the image or a falsehood as opposed to a real and true
is the
practice

brings forth
(150cl-3).3

offspring"

This

that

gets

Socrates into trouble

and

is the

cause

for the hatred

directed

against

him, for it is
occasion

the attachment men

not

violated when

Socrates finds them

feel to their offspring that is to be worth keeping. In the Theaetetus,

elenchus as well as

Socrates his

again

has

to

resort

to this apology for his

professed

barrenness in

order

to forestall a negative reaction, although it is

the placating (161a5-b6). Socrates dis hard for claims responsibility feeling that may arise, because he is simply any providing an impartial service in helping to decide if the newly bom is worth

Theodorus,

not

Theaetetus,

who needs

keeping
scribed

and rearing;

he is in

service to

the truth. But as with the service

are at

de

in the Apology, its

real

benefits

best

ambiguous.

330

Interpretation

The

disanalogy

Socrates'

choice of an

get at the most

childbearing could be thought a curious limitation to image for himself. Why choose an analogy that does not important part of his techne? The appropriateness of this dis
with

analogy,

however,
real.

case of psychic

body

is

seen by asking what would be the situation in the in fact they were all true, as each child of a female if offspring It would be exactly the one claimed by Protagoras later in the can

be

dialogue,

namely, that since man is the measure, no

or

one's opinions or

tions are any more

less true

than anyone else's

(e.g.,

166dl 4).

percep Socrates is

here already claiming that one can indeed distinguish between true and false opinion and thus that knowledge cannot be simply perception. When the dis
cussion

later turns to

consider

true opinion as a candidate for

knowledge, Soc
between

rates professes not to

be

able

to explain or account for the difference

true
via

and false opinion. Here he simply claims to be able to make the distinction his testing art. The confidence with which Socrates asserts this capacity implies that he may have that very elusive power, whatever it is that can trans form a true opinion into knowledge, whatever it is that can tell not only that it

is true
ment

or

false, but why it is

true or

false. An

account

(or

logos)

as a supple

to a true opinion is the

last definition

of

knowledge

considered

in the

dialogue (201c9-dl), but the

count.

various candidates opinion

is fail to distinguish it from the true

so, how

for
a

for understanding what a logos which it is supposed to ac

Does Socrates have the ability to give might this be related to his elenchus?
another

different kind

of

logos and, if

Perhaps

detail

of

his testing

art will and

help. Three times Socrates

char

acterizes the

distinction between true

real or genuine and

false offspring as one between the its image. This distinction implies an important difference
classes
of

in kind between the two

offspring,
of

whereas

if midwives, like
and worse would

farmers,

were allowed

to sort the

fruits

their

labor, better

be the criteria, not the absolute difference between genuine and copy. If some thing as difficult as the nature of knowledge is to be captured in definition or
opinion,
would

it

not

make

sense

to

discriminate between better

and

worse

formulations hence
ble

which

adequate

be images, and not expect there to be a genuine and may one? Socrates seems to be preparing Theaetetus for the inevita
all

rejection of all of also

his
a

attempts

to grasp the meaning of

knowledge,
Theaetetus'

and yet

he

fosters in him

hope,

perhaps unrealistic,

for

The implied apology for

great matters, and

Socrates'

ruthless treatment of

satisfactory definition. all defini

tions reminds us of the radical

ignorance

professed

in the
cases:

Apology

about all
no

the

same question arises

in both

Even if there is
what

final

and comprehensive

human

apprehension of such

truths, exactly

kind

of service

is

rendered

by having
out

this

pointed out so emphatically?

When Socrates fills

the

analogy in

that this service is even greater than assistance in

describing his own art, handling mental

associates
"improve"

he implies

births

and

evaluating
amount of

the products. He talks about

progress"

how his

(150d5)

and

how they

"make an amazing (151a5). These words

Philosophical
suggest that
education. service.
Socrates'

Apology

in the Theaetetus

331

particular

treatment of souls is actually some kind of the almost incidental

mention of yet a
Socrates'

This is

confirmed

by

fifth

Among

the misfortune of those who abandon

technical care

too early is that "in

made more of

bringing

up
and

badly

the things I midwifed,

of

they lost

them and

false things

images than

ones"

true

(150e5-7). Appar

offspring do make it past the test, but they require the Socratic art in order to be reared properly and not be lost. Theaetetus is going to have to associate with Socrates for more than one afternoon if he is to derive any ently
some

benefit from There is

picture of

Socrates'

peculiar

brand

of soul care or education.

one

last feature

Socrates'

of

description that further

complicates the

his allegedly humble and practical techne, namely the many refer ences to the divine. Not only does Socrates hold the god responsible for press ing him into service, but he also says that "the god and I are responsible for the
delivery,"

"the daimonic
guess

sign"

helps him to decide to

well"

whom

to administer, and

"with the god, I 151b4). It is

Socrates'

pretty

who

is

good needs

match

(150d8, 151a4,
or

a curious technical

knowledge that

divine

daimonic
beings,"

help
Soc
and

in making its judgments. Perhaps this claim of divine intervention is apology: since "no god is ill-disposed toward human
rates

part of

should not

be blamed for

an

activity that has such divine

that
such

sanction

involvement (151dl). But

Socrates'

one might also suggest

talk

is

also part

of

serious

attempt
accept

to

explain

the small bit of knowledge he has

fairly"

that allows him "to

the

ideas

of other wise men and treat a shrewd

them
of

(161b4-5).

This,

as we

have seen, involves

knowledge

souls,

of

their complicated relations to their opinions or thought and of how to treat them

in

such a

way that they improve.

II. THE PHILOSOPHER AND THE COURTROOM ORATOR

In the very
mous passage.

middle of

the

Theaetetus,
is vividly

there

is another,

perhaps

equally fa

The

philosopher

portrayed as an

cian who

is inept

and unconcerned with practical and

otherworldly theoreti political affairs. This is

when

very
cave

similar

to the way he is described in the Republic

outside

he

returns

to the

from the light

is
of

used as an

(516e-517a). In the Theaetetus the story of Thales illustration. The philosopher Thales stumbles into a well because
attention more

his intense

to the stars,

and so

is laughed

is presumably far
plaining
what

interested in This

and adept at

by a servant girl, who handling the less heavenly and

at

more mundane things.

picture of

the

philosopher

is

oriented

toward ex

interests him
to form a

and what
certain

he does to
of

cause servant girls and other

nonphilosophers

impression

him. We thus have

another

Socrates is making philosophy and its philosophical apology tation intelligible, in this case via a certain anecdote and image.
where

public repu

332

Interpretation
as

It is easy,
"digression"

it is

with the

image

of

Socrates

as a midwife, and

to isolate the
appears

picture of the philosopher a even to

from its dialogic

context,

in fact it
order

to

be

Socrates,

who calls a

halt to it in

to get

back to
pleasant

their

investigation

Protagoras'

of

doctrine (177b8). What initiates this

that are piling
with
on

diversion from the many

comment that

arguments

top

of them

is

Theodorus'

they

need not

be

concerned

being

overwhelmed

because

they

are at

and thus of

"those

who

one characteristic of the philosopher's way of life his conversation, so Socrates comments, that accounts for why pass much time in the practices of philosophy show up as laughable

leisure. This is

courts"

public speakers when

they

enter

the

(172c4-6). Socrates
to

proceeds

to

explain this ence and

seemingly random for what he calls an

so

connection and

indulge

Theodorus'

prefer quite some

"easier"

(177c4)

type of speech

for

time,
shall

in

doing

spins

out a vivid portrait of the philosopher.

"digression"

Later I

carefully the context of this this speech is a response, but for now it is
consider

in

order

to establish to what

enough

to surmise that
will

Socrates has
to mask the
"ridiculous"

his upcoming trial

unusual nature of

on

his

mind.

In his

public

apology he

try

his defense is
also

courtroom appearance
concern

by ironically claiming that his own due to inexperience, incompetence and

lack

of

for his earthly existence. The immediate and obvious problem in moving from the previous account to the picture of the philosopher as it is drawn here is that the latter is almost

directly

opposed

to the

characterization of yet

the Socratic

midwife.

How

can

it be

supposed that a same as a

bumbling, impractical,
philosophers,

loftily

humble

and practical technician? even

speculating theoretician is the Does Socrates not implicitly include if he is here

himself in the
Socrates'

chorus of

describing

the

leader

or

"ideal"

an extreme and perhaps exaggerated

(173c6-8)? Just

as we saw

that

humble

revelation of

his

meager art

barely

concealed a rather substan

tial claim to tant

knowledge,

the caricature of the philosopher

here

contains

impor

hints

about the philosopher's genuine concern with the realm of the practi

cal and political. as

talking
One

about

himself,

It follows that Socrates may still be interpreted here, in fact, even if about different aspects and from another point have from

of view. clear

difference between the two images is that

we

shifted

Socrates'

private conduct

toward those young men who come to him for assis

court as

tance to his public

behavior in

it

stands contrasted with the

behavior

of

the skilled orator. Since this particular portrait of the philosopher is made

by

comparing him with a radically different type of soul, it is fitting to begin by looking at how Socrates characterizes the latter, non-philosophic type. The
skilled orator
under strict

is

a man who

is brought up

around

the courts, who

has to

speak
are

constraints; he

contends often where

large

amounts of

money

involved,
result

and sometimes soul of

where

the very life

of

the accused is at stake. The

is that his

is small, crooked, lying, harsh

and that

he is forced to turn to

injustice. Worst
of

all, he believes himself to be clever, even wise, and capable

cruel and
realities of politics

surviving in the

(172d8-173b3). He is

Philosophical
the sort of man who
of

Apology

in the Theaetetus

333

will not hear of any pious talk about the inherent rewards just life (see 177a3-8). The practical skill that this tough, political realist wields is the art of rhetoric, and it should be noted that the digression is situ ated within a discussion of the doctrine of the most famous teacher of this skill.

the

shall return

later to the

connection

between this

caricature of the practical man

and

the examination of
similarities

Protagoras. It

should also

be

noted

that there are strik

ing
of

between this

portrait of the

student

Socrates himself is
part of the

portrayed as

worldly training in

wise man and the

kind

of

course, is

longstanding

prejudice

Clouds. This, Socrates tries to remove in the

Aristophanes'

Apology

(cf. 19b2-20c3).
at

To look first

the

ignorance
not

that makes the philosopher so

apolitical.

impractical,
would

one

finds that he
in
a

also seems to

be completely
of

He certainly

be lost

city, for he does

know any

the places of public assembly, and this

includes the

marketplace and

the council

house,

as well as

the courts.
clubs

Laws,

decrees,
policies,

public are all

debate

and

documents his

about

them,
It

political

and their

totally

outside of

experience.

seems

that the philosopher

is

also

incapable
courtroom

of and uninterested

in the business

of

man,
of

and of

acquiring the worldly prudence required

being a citizen or states by this sort of duty. Part

about

his

incompetence is due to

not

knowing
gossip,

anything
nor

his

neigh

bors;

neither

their actions, their

families, any

used against

them. He is not interested in particular souls,

anything that could be nor in what interests

and motivates most of them. plot of

cal

land look

meager

in

comparison

From his theoretical viewpoint, wealth or a large to the expanses he contemplates; politi
a

power,

by

analogy to shepherding, looks like

terrible burden because of

the unruliness of the

can

herd;

and noble

family

find in any genealogy, if one goes far Greek and barbarian, kings and slaves. Needless to say,
wife.

enough

ancestry looks silly because one back, both rich and poor, Socratic
mid

such a philosopher would not make a good

The

proper

treatment of the soul requires an understanding of such impor

political

tant factors as
ways of

breeding,
are even

ties

and aspirations and exposures

to different

life. These

Theaetetus'

family

exactly the sorts of things that Socrates knows about before he meets him (144c6-ll). The philosopher of

the digression is also oblivious to important general political

wealth

facts,

such as

that

is the

condition

for leisure,

or

that the business

as men are

essentially different from shepherding

of statesmanship is as from beasts. This latter is a

distinction, incidentally,
also sophists

that not only otherworldly theoreticians

ignore, but
ff.).4

like Thrasymachus find helpful to blur (see Republic 343a7

to know about, especially

Ancestry

is

also crucial

if

one's

twenty-fifth progeni

Heracles, because that would make your twenty-sixth not the mortal Amphitryon, as Socrates ironically mistakes (175a6-7), but the god Zeus. Thus the Thalean philosopher is oblivious to the divine element in the
tor happens to be
constitution of

man, a fact

which could explain

his easy

confusion of men with

beasts.
So far, the apolitical, impractical,
and

very

un-Socratic aspects of this man

334
of

Interpretation
stressed.

theory have been

I think this

aspect of the caricature can

be

ex

plained

by

the

"man

theory."

of

fact that Theodorus, to whom the speech is addressed, Socrates is exploring the affinities and differences between
the theoretical stance of
sophistry.

is

also a

philosophy,
exemplified

mathematics and even

This is
of the

in the first

of

his three brief descriptions

philosopher's

of the

objects

philosopher's

investigation. Although the

flies in
all

body

is in the city
earth'

his
and

mind

directions according to Pindar, 'both beneath the

surface of the earth,
and

measuring {geometrousa) the

stars

'and

above

the

heavens'

studying the
of the

{astronomousa),

beings,

each as a whole, not

lowering

investigates in every way the whole itself to what is close at hand.

nature

(173e3-174a2)
This
philosopher

is

painted

as of

natural

scientist.

The

portrait

corresponds

closely both to the

which

other

half

Aristophanes'

caricature of

philosophy, from
also 26dl-

Socrates

seeks

to separate himself in the

Apology (19b2-d7,

e4),

and

to the "wisdom

they

call

the investigation of
of

nature"

that

Socrates

describes himself in the autobiography But why associate philosophy with this
ophy, especially
when

the Phaedo as rejecting (96a6-c2).

atheistic and scientific

image

of philos

the

image is

also associated with the sophists? of

The two

sciences referred to

in the investigation

the

heavens

and the earth are astron

omy and geometry; these are two of the four sciences that Theodorus teaches (145c6-d2). (Cf. Lewis Campbell, The Theaetetus of Plato [Oxford: Oxford

University Press, 1961;

makes

reprint, New York: Arno

proper to

Press, 1973],

p.

15). Socrates

the theoretical

instruments

his interim image

of the philosopher

those which Theodorus uses

in his

episteme rather than

the arts of rhetoric or

dialectic,
abstract

and thus

suppresses, for the moment, the peculiar

and

kinship

between

theorizing sophistry (which is represented by Theodorus 's friend ship to Protagoras). In so doing, Socrates invites a consideration of the com
mon abstract

theoretical standpoint of mathematics and philosophy.

philoso

This affinity starts to break down, however, when the objects of the pher's investigation are specified more clearly. When Socrates says
philosopher

that the

does

not even

know

whether

his

nextdoor neighbor

is

human

being

or some other

creature, this is him trouble

because
what

He seeks,

and

it

gives

tracking down,

is

man and

how it is

appropriate

for

such a nature

to act and suffer

differently

from

all other things.

(174b4-7) How is
such an

investigation

to proceed

scientifically
the

or with

mathematical

tools? Is human nature to be found in the sky or under the earth? If

knowledge from

human being, distinguishing conducting here in the Theaetetus is certainly not

such
a mark

is

of

investigation Socrates is
in
abstraction

conducted

the character of the soul of his neighbor Theaetetus. A third characterization of the philosopher's gaze takes us even further towards the goal of the subtle shift

Philosophical
Socrates is

Apology

in the Theaetetus

335

making from his initial characterization. The philoso pher does not worry about particular injustices or the wealth or happiness of particular kings but turns, instead

imperceptibly

to an

investigation

of

justice itself

and

injustice, both
. .

what each of view of

them

is

and

how they differ from each other and all else or to a happiness and wretchedness as a whole, and how man's
and escape the other.

royalty
suited

and

human

nature

is

to gain one

(175c2-9)
beings"

Theodorus has been led from theorizing about "the nature of the human nature and then to justice and happiness. That an investigation
practical matters can resemble a mathematician's

to

of such

activity has been

and yet

suggested

by
the

the structure of the portrait of the theoretical man,

philosopher can no

this

theory

of

longer be

so

independent

of

the practice of human life. How

Socrates'

this

theory is

as portrayed

has to be gleaned, in general, from in the dialogues, but it is here hinted at in the
conducted

practice curious

turn the

digression takes toward the When Theodorus

compares courtroom

end.

proclaims

he is he

persuaded
nurtured

by

the speech of
and

Socrates that
to the the

the philosopher, the one orator,

we presume

in freedom

leisure,

means, primarily, that

he is

persuaded of

superiority and nobility of the former. An apology for philosophy could stop here, but Socrates develops the metaphor of the theoretician's flight from the
everyday,
practical world

into
as

an aspiration

to enter the divine

realm

by

becom

ing

as

much

like

a god

possible

investigation

of nature changed

into the drive to

(176a8-b2). Not only has the atheistic assume divinity, but even more

astonishing is what Socrates says about why one takes this flight and how one does it: one escapes the mortal realm of misery by imitating the god and be
coming "just
take us
right
prudence"

and

holy

with

(176b2). At least two

of

these virtues

back into the

political and practical

realm, for prudence {phro

nesis) is the
one can

practical virtue and

justice is the

political virtue.

But how is it that

become like

a god

by being

just? This is

not explained.

We
and

are

only

told that this

although

is

not

the reason the many are persuaded to be

of

just

virtuous,

"recognition

this [divine character of

ends with

justice] is
Socrates

wisdom and

simply for

virtue"

true

(176c4-5). The digression

of

discussing

the inevi

table difficulties

persuading

tough,

practical man of

the true rewards

being

just.
appropriate

It is entirely
toward the end

that the issue of

persuasion not

should

be

so evident of

of

the digression. Socrates to a theoretician,

related

has

only
that

painted a picture

philosophy nobility
of

attractive

he has

also managed to suggest

that the

theory is integrally

to a just

life,

is,

one

that

somehow

takes the

practical world seriously.

The

goal of such an

involvement is

not

the

usual one of aspiration

money, honor or power; it is a knowledge of the highest human and the way of life its pursuit requires. It is not clear whether The
so

odorus'

piety has been

expanded, how

persuaded

he is

of

the

divinity

of

this

336
now

Interpretation
very
political

theoretician, but Socrates has

at

least taken
the

a stab at present

philosophy in the best light. In the course said to know how "to sweeten a flattering

ing

of

comparison

the orator

is

speech,"

but it is the

philosopher
gods"

who can

"properly

sing the
seems

praises

of the true life of

attempted

happy

men

and

(175e5,176al-2). It
with

Socrates has

to

accomplish

both tasks

this description of and apology for the

philosopher.

THEAETETUS'

III.

BEAUTY AND COURAGE

So

far, I have

examined

two

passages

from the Theaetetus in light

understood as

of

the

interpretative
philosophy.

assumption

that

they

can

be

Socratic

apologies

for

Even this preliminary consideration has revealed that, on the one hand, the image of the Socratic midwife and, on the other hand, the contrast of
the philosopher with the courtroom orator, are complex and rich, complemen

tary
and

conflicting attempts to capture what it is about the philosopher's soul his interests that lead him to exhibit the strange public behavior he does.
and
structure of

But if the dramatic

appropriate

the Platonic dialogues to

consider

is to be

taken with the

seriousness, it

remains

how the form

and content of

the

two pictures of philosophy are

determined

by

their immediate dialogic situa

tion,

that

is, by

their function

in

Socrates'

attempt nature of

to

bring

someone to

an

understanding what kind of opinions he

of philosophy.

Both the

the one who

is

addressed and

has,

affecting his

perception of

why Socrates might be interested in the philosopher, may be shown to have a significant
as well as chosen to represent

bearing
has. To

on

why Socrates has

philosophy in the
of

ways

that

he

return

to the first passage, the

resemblance

Socrates to

midwife

needs now
aetetus

to be

examined with a view

both to

what

Socrates intended The

to see

by

the

extended and not

this

might

fit into

Socrates'

larger

purpose

obviously analogy and to how in talking to the lad. A first look

coherent

definition

encouraging Theaetetus to give a in the discussion. But why is Socrates interested in encouraging Theaetetus? What is he really encouraging him to do?
suggests that of
process of

Socrates is in the

knowledge

and thus to participate

The very
versation,

beginning

of

the dialogue shows Socrates eager to

pursue

the con tells

which

eventually turns into an investigation of

knowledge. He

Theodorus he is very interested in

learning
kind

of

any

of

the local youths who are

distinguishing beginning
state of
of

themselves

by

their concern "with

same of

philosophy"

(143d3). This is the

the

geometry or any other form of interest that is expressed at the

to hear about the "present

Charmides,
and

where

Socrates is

eager

philosophy"

odorus'

young men (153d2-5). Upon hearing The his students, Socrates not only asks to be intro duced, but he tries to persuade Theaetetus that the youth should display his soul
current

high

praise of one of

Philosophical
in
order

Apology

in the Theaetetus

337

rates are

that it may be examined by him. In general, it would seem that Soc is interested in examining the souls of his neighbors, especially those that praised "for virtue and (145M-2). Why this might be so is sug
wisdom"

gested

by
I
to
of

Socrates'

first

remark

to Theaetetus: "Please

do join us, Theaetetus,

so that
similar

myself

you"

face I have, for Theodorus says I am (144d8-10). Theodorus had already noted the physical resem
may
examine what sort of
men with

blance

the two

their ugly snub noses

and

protruding

eyes (143e8Theaetetus'

9). But Socrates

seems

to

imply, by
might

the way he proceeds to explore

intellectual beauty, that there

rates

be

psychic resemblances as well.

Is Soc

using Theaetetus as a mirror to then his treatment of Theaetetus, his

purpose of

see

into his

own soul?

If this

were

true,

services as a midwife, would serve the

exploring his

own virtue or

wisdom, just

as

in the Apology the

own special

examination of others was explained as an

wisdom.

investigation into his

the exploration

Here in the Theaetetus,

resemblance,
of
Theodorus'

however,

is

pursued on

the

basis

of

rather than contrast.

The discussion
on

competence to

judge
soul,
skill

physical on

resemblances,

the one

hand,

and virtue and wisdom of the

special

the other

hand, only
and

highlights

Socrates'

interest.

Theodorus'

education"

thing

connected with of

(145a8)

should

in geometry make his praise

"every

of the soul

any technical skill with respect to visual likeness, paint ing for example, means he cannot be trusted to judge physical appearances. This argument is, of course, ridiculous, but it does put a question in our minds
reliable, but his lack
Theodorus'

about
Theaetetus'

competence to capacities

judge

or praise

the soul. Besides recognizing

excellent

Theaetetus to Socrates
about

by

for learning, Theodorus could only identify his looks, while it was Socrates who knew details

his family. What does Theodorus really know about Theaetetus? Does this suggest a similarity to the theoretician of the digression? Assuming that Socrates is seeking either to exercise or to deepen his knowl
edge of souls

(and

of

his

own

souls? In the Apology imitate the rupting the young by pointing out that they merely like to watch and obnoxious Socratic elenchus. But Theaetetus is the main object of attention, and the older man is dragged into the debate only much later in the

young

in particular), why is he interested in examining he defends himself against the accusation of cor
Socrates'

dialogue. When, however, Theodorus for the first time excuses himself from the kind of conversation he claims he is not used to, he mentions an important quality that he, {epididoien) in
uses as an

elder, does not

possess:

"youth

admits of word

improvement
that Socrates

everything"

(146b5-6). This is the

same

to describe the improvement (150d5: epididontes) of his patients as a mid

and we saw that
Socrates'

wife,

this treatment
attempts at

came

very

close

to

being
form

an education.

improving
soul to

young

souls

part of

something like his own This is

investigation into because

so

what

it is for the

be

as virtuous as possible.

such an unusual type of man as a philosopher

can

Socrates

only really

explore or question

is not readily found, and his intuitions about this sort of

soul

by

kind

of practice on

the

possible potential philosopher.

338

Interpretation
suggestion

This

cation at

teaching
junction
soul.

is confirmed, in my opinion, by the great emphasis on edu the beginning of the dialogue. The various epistemai that Theodorus is Theaetetus are mentioned several times and most especially in con
with

the topic
wants wiser

they

choose
what

as a means

for Theaetetus to
after

display his
that

Socrates

to know

knowledge is just

he

establishes

one

becomes

by

wisdom

or

by

what

is

asserted

to be identical to

it,

namely knowledge (145dl l-e7). 1 take it that or how such mathematical sciences as geometry,
contribute

Socrates'

real concern
Theodorus'

is

whether

specialty,

actually

to

an education

that aims at wisdom or some

kind

of comprehensive

knowledge.*

In

other

words, is Theodorus providing an adequate education for

claims not seem

Theaetetus? Although Socrates

to teach anything,

being by

barren

of

any wisdom, the knowledge he does

to claim in guiding young souls is a

very

serious competitor to that provided either

by

the sophists or

the mathe

maticians.

Part

of

why Socrates

might

have to

explain

himself to Theaetetus is

to draw him toward this curious education. The prologue of the Theaetetus tells
us

that Theaetetus was reputed later in his life to be a noble and good man
provokes the question:

(142b7: kalos kagathos). This

Did

Socrates'

practice of
of

midwifery on this one day have some effect on the course turning him toward philosophy or in developing any other

his life,

either

in

virtues?"

As has been shown, there is Socrates has to be

us noted that
wonder

evidence

in the first

part of

the dialogue that

solicit at

least

some of

his

patients or students.

But it

must also

Theaetetus is

seems

to require a lot of encouragement. This makes

about nature not

the virtues or natural qualities that the youth already pos

praised a of

sesses.

His

by

Theodorus

as

being
of

marvelous or wondrous as
well.

because he is
Theodorus'

only

quick

learner, but

gentle and courageous

elaboration

this unusual

mixture

qualities,

however, only
associated with

throws the estimation into question.

quick tempers and

Sharp

minds are

usually

madness, while forgetful sorts are gentle and steadier. It is into the latter group of qualities that Theodorus puts courage, and so he seems to have in mind the very derivative virtue of the good soldier who accepts his orders and stands his post undaunted. Again, we learn from the prologue that

Theaetetus is
ask what

praised

for his

conduct

kind

of soldier

Theaetetus
for the

was.

in battle (142b7-8), and so it is proper to It may well be that a more aggressive

kind

pursuit of philosophy than is needed for the At any rate, Socrates has constantly to tell Theaetetus to be bold (e.g., 145c5, 148c8, 151d5). To be fair to Theaetetus, the task that Socrates sets him is "a sciences.

of courage

is

required

difficult,

matter
of

for

someone

in his

prime"

(148c6-7),
intellectual

and

it is

set

displaying

Theaetetus'

explicitly for
test

the sake

powers.

The

midwife

image, therefore,
for
that
virtue or proceeds

works

as encouragement

excellence

into

softening the direct seemingly beneficial service Part

of

by

and or

harsh

treatment

through

test of generated opinion.

and gentle

Socrates-

solicitation of a
requires

from this shy

display

student of mathematics

his

own

reciprocal

Philosophical

Apology

in the Theaetetus

339
one

display,

one

that takes some of the edge

of

off what

he is actually doing, but

which also captures

something ignorance. It is especially curious to note that Socrates, at the very end of the dialogue, says that he hopes Theaetetus has benefited from his art of midwifery
and so

the philosopher's modesty, his admission of

"will be less harsh

with

your

associates
know"

and

tamer, moderately
supplied). seem

not

supposing you know what you do not isn't Theaetetus already gentle, tame Socrates is haps
tetus'

(210c2-4, italics
moderate?

But
that

and

It

would

concerned

that this

youth

develop

another sort of

moderation, per

potential courage.

distinctly philosophical one. We must wonder, then, whether Theae deficiency is somehow connected with his lack of philosophic
Socrates'

Once again, to be fair to Theaetetus, at first he responds eagerly to request. But his first stab at saying what knowledge is turns out not to be

definition,

and

it is the

subsequent

discussion

of the nature of

definition that
art. and

intimidates Theaetetus
aetetus'

enough to require a

the revelation of
of

Socrates'

The

first

mistake

is simply to list
way

few forms

knowledge,
about

Socrates

corrects
one.

him in the

usual

by

saying that he has given a many and not a

Actually, Theaetetus has

This is
a

revealed

something

his

conception

of

knowledge, for he divided it into

such as shoemaking. and the practical sumed that
arts.

epistemai, such as geometry, and technai,

plausible

very
of

division: the theoretical

and

sciences

Because
more

his background
with

interest it
and

can

be
as

pre

Theaetetus is

familiar

episteme

regards

it

the

Socrates may have chosen to reveal his own knowledge, one that really does not fit neatly into this scheme, as a practical techne instead of an abstract theoretical contemplation because this was the best starting point higher
of the two.

for

bringing
Both

Theaetetus to

an

appreciation

of an

altogether

different

sort

of

knowing.
Socrates' Theaetetus'

and

examples

of proper

definitions

reveal

the

difficulty
stead of

of saying what knowledge may actually be. Socrates chooses some from the practical and mundane realm for illustrative purposes: clay. In thing

to

Socrates,

water.

definition, according simply state that it is the mixture of the elements earth and Yet in this case it is questionable whether the definition is more helpful

listing

the various crafts that use

it,

an adequate

would

than the list of its uses.

The former, for example, does in

order

not

distinguish clay
"substance"

from

mud.

What if knowledge, too,

were a rather amorphous

and

thus also
nizable

needed

its

objects and uses specified

to give

it

enough

recog

form?
example

Theaetetus'

turns out to be even

more

more suggestive.

His
.

mathematical
.

definition does

a good of

deal

than unify an "infinite number

into

one"

(147d7-8). First

all, he divides a many into two:

numbers

with

rational

square roots and numbers with

irrational

roots.

Second, he devises

way to

talk

about

the

nonperfect

squares

by

representing them as the areas of rect

and whose area equals that number.

angles whose sides are rational

factors

The

340

Interpretation
the same area
square root.
would

square of

then have a side

whose

length

would

be the
to irra

irrational

tional or incommensurate numbers

a rational or commensurate

In short, Theaetetus has devised a way by means of an image or a figure. Socrates is

of access
visual

analogy to

duly

impressed

with this

display

"beautifully"

and says that

Theaetetus has done

(148d4). Not only has The

aetetus revealed a powerful

imagination,

perhaps a precondition

for philosophy,

but he has furnished

urges, Theaetetus
roots"

a pregnant model

for definition

as well.

If,
of

as

Socrates

were

to

define knowledge
might

"mimicking
would

the answer about

(148d4-5),
into
a one.

then he

first divide it into two instead

unifying it
product of

One

of

the two kinds of

knowledge, then,

be the

some

irrational power,

and our access visible and

to that power might only be through

rationally accessible phenomena. (Cf. Seth Benardete, The Being of the Beautiful: Plato's Theaetetus, Sophist, and States man |Chicago: The University of Chicago Press, 1984], pp. I. 96-97.) This
analogies and

images to

may be why Socrates

visible

explains not

his
a

own

knowledge

by

analogy
of

with

very
what

techne; there may he knows. Socrates may

be

discursively
it

rational

way

explaining

also consider
same

worth while

to encourage this youth

as

because he displays the does.

ability to think via

images

Socrates himself

IV.

THEODORUS'

HOSTILITY AND FRIENDSHIP

This final interpretative

rates'

section

turns to the context of the second of

Soc

apologies, the digression on the philosopher and the

courtroom orator.

The

any philosophy in the way displayed there. Once again, my point of departure is the assumption that since Socrates speaks within a concrete conversation, to whom he is talking,
of what

object

is to

see whether there are

clues as

to why Socrates presents

engaged

in

doing

so are

exactly he is trying to decisive determinants

glance at the whole

persuade of

him,

and

why he is
digression
about

the content and form of the

shows that the

presentation.

A cursory

dialogue
and

occurs within the

doctrine

of

very Protagoras.
and

long exchange Accordingly it

Socrates
must

Theodorus have

the

be

asked

interlocutors
Protagoras'

is talking to Theodorus, what in the exchange, and how this fits into the overall concerns of the doctrine that man is the measure has been found to be
Socrates'

why Socrates has shifted is discussed and accomplished

dialogue.7

related

to

Theaetetus'

first offspring that knowledge is perception, and so the refutation of the former can be seen as part of testing of the latter. But Socrates actually
needed goes

to some trouble to get Theodorus to be his partner in part of the

refutation.

My

first question, therefore, is:

treatment?
part
Socrates'

Why is

Theodorus'

assistance

for

Theaetetus'

This

move on

is

all

the more surprising once we examine both

Theodorus'

reluctance to participate

in the

conversation and

his implicit

con-

Philosophical
ception

Apology

in the Theaetetus
excuse

341
to

of,

and

hostility

toward,
a

philosophy.

As his first

for

declining

enter the

debate, he

claims

to be too old to get used to such conversation

similar

(146M-7). This implies

disdain for dialectics

practice

to the one expressed

order

by

Callicles in the Gorgias: the

may deal

is

acceptable

for youths, in

that

they

develop
with

certain rhetorical skills,

but is to be left behind

(484c4-

when one

has to

the serious

business

of

life

485e2). Theodorus later declines

again, saying that

geometry"

whether

he "turned away from bare speeches as a young man to (165a 1-2), and so removed himself from any and all uses of speech, for searching for the truth or for effective and useful persuasion. His
Socrates'

adaptation of

own

the monsters Antaeus and

a cruel

wrestling metaphor, whereby he likens Socrates to refutations as Sciron, suggests that he sees
Socrates'

and

inhospitable treatment to impose

his
attitude

on

him. At

another

time The

odorus again expresses

ports

toward philosophic refutation

although a

when

he

re

to Socrates that the Eleatic

Stranger,

philosopher, is "much

more reasonable

than those who are eager for

who with an oath

disputation"

{Sophist 216b8).

And

yet

it is Theodorus

breaks his

long

silence and presses

Socrates to break through his ironic

and

stance

toward the doctrine of Protagoras

say

whether want

he thought it
to

was true or not

(161a5). He is closer, in
than

fact,

to

those who

bite Socrates for his

elenchus

offspring they are in the process of throwing out. Why Theodorus? Why does he engage the most hostile interlocutor, apology for philosophy
tractable youth?
would

is Theaetetus, whose does Socrates provoke

one

to whom an to a

have to be

much more accommodated than

The
ment
tagoras'

clue

to the solution

of

this problem lies

cause of

precisely in
and

whatever attach

Theodorus has that is the doctrine. At two

points

his

agitation over

the truth of Pro

Socrates

calls

Protagoras

Theodoras "com
"friend"

rades"

"companion"

and a (161b8, 183b7), and Theodorus admits to his being a (162a4, 171c8). Later Socrates also claims that Theodorus is one
Protagoras'

"guardians"

of the

of a personal

orphan

cance, beyond
answer

bond,
be

to this

doctrines (164e4). Is there any signifi friendship or association? I believe the

to this

question can

ventured

from the

one mention

that Protagoras

Theodorus'

(here

represented

by Socrates)
be

makes of
swayed

specialty, geometry. The

or

sorts of opinions that can

by

popular

oratory

rhetoric,

so

Pro for
the

tagoras says,
over

are those about the gods and such persuasion

the

presumed

superiority

of men

"likelihoods,"

beasts. But

is

always

only

a matter of as

such matters

do

not admit of rigorous

demonstration,
other

do the

objects of

strict mathematical sciences

(161c7-e7). In

words, opinions about such

things as the divine (and the

just

and the noble are soon to

be included, e.g.,
way
and
Protagoras'

at

167c4ff.)
constitute

are

incapable

of

being
the

known in

an exact or scientific

hence
doc

the

realm where

power of rhetoric

holds

sway.

trine

noble and

is, in part, a theoretical account of the holy) from the realm of objective knowledge. It is, therefore,
expulsion of moral
Theodorus'

the

(the

just,

also a

justification both for

ignoring

the

political

domain

as significant

342
and

Interpretation

for

Protagoras'

development

of a practical techne

for the

manipulation

of

public opinions about

the moral. Mathematics and sophistry curiously share the

theoretical
conception

risk

of

adopting
on

an

abstract

of politics,

one that robs

Theodorus'

moral

opinion

and

its

claim to truth. and

friendship
his
moral

with

Protagoras
towards

is based

this

assumption

it is

what underlies

antagonism

Socrates who, among

other

things,

seeks

to give the

its due.

of

Socrates is not, however, trying to deliver and throw out a cherished opinion Theodorus'; it is Theaetetus who is the patient. Perhaps part of the midwife's

task

is to
of

Theodorus'

expose own opinion

alliances

and so

help

Theaetetus to

identify

the
to

father

his

that knowledge

is

perception.

If this birth turns

out

be fruitless, he may want to go elsewhere for more productive impregnations. help. His age and But the refutation of Protagoras may also require seriousness have been appealed to several times as just what is needed for a fair
Theodorus' Protagoras'

treatment of
tagoras'

doctrines (168c8-e3,
Theaetetus'

169c9). This is because Pro

more epistemological

theory, really
a political requires

although related

to

thesis, is

doctrine

with

a practical

teaching,

and

this is a subject that

maturity

and experience.

tors, he

also makes a shift

word argument

"appear"

the ambiguous

Accordingly, when Socrates shifts interlocu from {aisthesis) to {doxa) via 166d2-4 170a3-7). With (cf. and {phainesthai)
"perception"

"opinion"

Theaetetus the
with

is

about problems

and

puzzles of sense

perception;
or about

Theodorus it is

about such matters as opinions about the characteristic

just

the

goals of pictured

legislation. The digression fits into this

two contrary
ways of

shift, for in it are

nobility and corruption. Theodorus may be politically naive or removed, but he has had enough experi portrayal of the man who reduces political life to a ence to respond to
Socrates'

life

and their manifest

harsh
skill

competition

for

survival.

Such

a one

is,

of course,

in

great need of

the

that Protagoras

teaches, namely
order

rhetoric,

because

of

its

great usefulness

in

such a

life. Let

Protagoras'

us now consider

doctrine,

Socrates'

and

admirable

attempt to

defend it, in

to understand how

Socrates'

apology for

philoso

phy

might constitute part of

his

serious challenge to

the

sophistical

teaching

on

political matters.

One

of

the

main problems with

the doctrine that

man

is

the measure, or that that such a

"the thing appearing to each, this is also for view of knowledge seems to deny this claim that
edgeable than odorus
of

each"

(161c2-3), is

some men are more

knowl The

others,

one might even

find that

superior competence

say in certain

wiser than others. practical

Socrates

and

fields, in

the

practice

dialectics,
question.

and even

measure"

the

in geometry is (169al-5). In fact

In
other

challenged

by

the thesis that "everyone

is

Protagoras'

own wisdom or expertise

of

is

called

into
tion

words, Socrates objects to a definition

men on point of

knowledge that

obliterates

distinctions between

their wisdom. Such a defini

episteme and

is

not meant

to apply to what is

known

by

techne, for it is
compe

clear that men with

these skills know something and that their superior

tence should go unquestioned.

But the

wisdom that the philosopher might

be

Philosophical
thought
of as

Apology

in the Theaetetus

343

possessing, not to mention the

citizen or part of venture to sort of

statesman, is the

real point at stake

understanding proper to the good in the debate. The digression is

of

Socrates'

defense

against

this consequence

Protagoreanism,

and

say below why he

again

chooses this

form

of

apology for the

particular

knowledge that

constitutes the philosopher's superior wisdom.

Protagoras,

by

proxy, seeks to defend his

and and wisdom no one

distinguishing
perceptions

between knowledge
are

own special superiority by (166a2-167d4). Everyone's more

and opinions

true,

is

knowledgeable

than

another, but

wisdom or expertise consists

in

being

able

to change those percep

tions or opinions in other people. The ruling analogy is with sense perception and the power that the art of medicine has over it. For example, whether some

thing

tastes sweet

or

bitter to

someone

is

not a matter of

debate, they
in
such a

are true

perceptions, but a doctor can alter the conditions of the the perception can change.
what can

body

way that

is just,

noble or

dispute the city's opinion of Similarly, nobody holy, but the skill Protagoras teaches, rhetoric, makes it
"seemings."

possible

to change these public

The

effective public

orator can

the perception of the moral; this is a technical skill and is the only defensible claim to wisdom in the political realm.
manipulate

major problems

Although this summary is hardly adequate to a very complicated debate, the that Socrates exploits readily emerge from even a first look at

the analogy.
changes

First,

the techne of manipulation

"better,"

is first

characterized as
a sick

in

perception that are

as a

doctor treats

producing body in order

of

that it have better perceptions. But the doctor does this

by

his knowledge is

health,
what

and

Protagoras,

accordingly,

claims that part of city.

his

expertise

knowing
persuade

is

advantageous or good
statesmen who act

for the in the

So far,

Protagoras'

students sound except that

like decent

public

interest,

they

or manipulate the public opinion about

the moral instead of appealing to one

already existing. Implicit in this claim to knowledge is that the good of the city is separable from what appears to it as the just, holy and noble. When Socrates
Theodorus turn back to refuting the revised Protagorean doctrine after the digression, this knowledge about advantage is tacitly reduced to a skill in pre
and

dicting

the

pleasantness of

speeches, and thus

Protagoras'

superior wisdom

is

now analogous with the art of

Protagoras'

cookery

and not medicine

(178d8-e6). A deci

sive refutation of

stronger claim
restatement of and

is, in my
position

opinion, to be found in

the digression. In a

Protagoras'

immediately

before the
no

digression,

the just

the

holy

are mentioned as qualities that

whenever

have

by
as

nature of their own,

but become true

city.

they

are opined and so

being long

they

are opined

by

the

in this list, for in the

human

the noble,

is left
his

out

The striking thing is that one of the usual three (172b2). This is done because the ultimate base
lies
not

Protagoras'

reputation

for

wisdom

usefulness of noble.

practical a man

skill to a

in his theory of knowledge, but type of human life that appeals to

knowledge
of politics

some as

This is

who

has

a shrewd

and

nature,

and who on

such a

basis has the ability to

manipulate public

344

Interpretation
to his own ends. to be

opinion

Moreover, he has

the strength and

courage

to

dare

such action and courtroom

successful.

Socrates'

orator.

the This is precisely the man refutation of Protagoras consists in showing that
as

burlesqued

this nobility is really a

ideal in
type of

some soul
.

baseness, but he can do this only by showing us the illuminating light, in this case by way of a contrast with another
the
philosopher

The
of the

portrait of

is

of a noble man of

theory

who

by

the end

digression takes the

political seriously.

That

means

he has

a sense

for the
appear

divine or holy and knows why he at first to be up in the clouds, for

awakened.

ought to

be just. However, he has to

sense of what

Theodorus'

is

noble needs to

be

Socrates

Theodorus'

undercuts

hostility

to the political
rhetorical

by

playing
In
so per

on

his

friendship

for theory. Is this

an

acceptable

strategy?

doing, is Socrates merely displaying his

ception of nobility?

skill in manipulating Perhaps this is the only way that Socrates

Theodorus'

can

effectively

influence the

ways

the philosopher appears to the nonphilosopher.

V. CONCLUSION
Socrates'

Let

me now review

the overall shape of

of

two apologetic speeches

are clarified

with regard

to those features

his knowledge that

in presenting
to the two

them to Theaetetus and Theodorus. To begin

with what

is

common

apologies, Socrates has to

means

make

himself intelligible to

mathematicians.

This
of

primarily working knowledge into technai and epistemai, that is,

and

with a vision of

knowledge
Both

that

divides the field

the one

productive arts on

hand
preci

abstract, theoretical

sciences on the other. and

are characterized a

by

sion,

discursivity, certainty
beautiful
wants of

easy

recognition.

and even

conception of what counts as

convincing knowledge. If Socrates, or the

or virtue

This is indeed

philosopher,
special

to claim that

his

own

wisdom

is due to

some

kind

knowledge,

then he could well

leam something
presents

by trying

to

fit it

into the
edge on

mathematician's

dichotomy. Socrates
that

the

philosopher's

knowl

both sides; he

claims

he has

a practical or productive techne and

also that the philosopher speculates about

lofty

and abstract subjects. appear

In

neither

case,

however, does he

make philosophic

knowledge

to have the full

rigor characteristic of either episteme or possibilities as essential aspects of

techne, rather, he

explores these two

which

his

own peculiar sort of

knowledge,

is

both theoretical

and practical.
manages

Socrates then

to

introduce, by
place

means of this tandem approach, a

practical and that is connected to a domain of human things which the mathematical conception of knowledge

knowledge that is in the first

distinctively

rates'

leaves untouched, namely human excellence image of the midwife describes how
and

or virtue. a

On the

one

hand. Soc
about

philosopher might

know

souls

about which

treatment of which verbal opinions contributes to or

Philosophical
detracts from their
most
virtue or

Apology

in the Theaetetus
the peculiar

345

health. He

also suggests

detachment
place, in
wise

that characterizes the philosopher's relation to opinion, which might well be the

important

aspect

of

his

philosophic expertise.

In the

second

contrast to what
practical

Protagoras

claims to

be the knowledge that knows human

makes

him

in

affairs

(a techne for the

manipulation of public

opinion), Socrates
nature and and

claims that the philosopher contemplates and

the

vir

tues

piety destroyed the

to do
with

of

and

justice. In both

cases

Socrates has

stretched a

perhaps

original

dichotomy

in

order to

incorporate
which

knowledge that has

grounded and

human

virtue and

the political

domain in

it is

in

which

it

manifests

itself. In sum, the

philosopher

vague and

irrational

or unquantifiable virtues

knowledge that the

and

has

of

the soul, and of

its intellectual

corresponding nobility, is illuminated by trying to make this knowledge intelligible and even attractive to the mathematical frame of mind. What
most

ematician effect on

obviously distinguishes the two to whom Socrates speaks in each

It is

apologies
case.

is the

age of a

the math

This has

corresponding

the aim and kind of persuasion required in presenting specific aspects

appropriate to persuade a youth that philoso

of the philosophic enterprise.

phy is good for the development of the virtue of his soul, because this develop ment is still a very important question for such a person. One also approaches a supple and immature mind with what will appeal primarily to its imagination. With
an older

man,

however,

one can

discuss
what

more

directly,

though also more

about and
more

abstractly what kind

over,
can

and with of

less commitment,

philosophy is primarily

inquiry

it actually is. The

merits of the philosophic

outlook,

be

assessed

by

reflecting
on

on and

comparing the visible effects that

which

certain ways of

life have
Socrates'

the virtue of the souls

follow them.

apology for philosophy before Theaetetus consists in him that it is to his advantage to submit to the discipline of this persuading strange activity. Socrates tries to explain how the philosopher possesses an art

Accordingly,

of education which will

improve the

Theaetetus'

virtue of

soul.

Socrates

under

takes to attract this lad because of the possible likeness of his psychic qualities to his own. If a
potential no

philosopher can

be

steered

toward his appropriate

actuality, there is

this change or realization, especially

Theaetetus'

doubt something to be learned from trying to when such a temperament is

bring
rare.

about

I have dif be

already

noted

that the

own natural qualities present some potential and

ficulties, but
way
of

discovery
of

understanding

of such

limitations

can also

instructive. The form

speaking to

this apology

for philosophy is

an

image,

an appropriate

a youth, and

exceptionally
audience, but

capable of

especially to one who has shown that he is imagistic thought. Yet it is also suggested that the
an
accommodation

construction of the

analogy is
the
and

also to

subject matter.

thing like
the

the soul,

fortiori

not only to the particular Perhaps the only way to grasp some certain rare type of soul, is by way of

likenesses drawn to
midwife might

more visible or evident phenomena.

Perhaps the techne

of

be to the knowledge

of

the

philosopher what

the rectangle of

346

Interpretation
is to the
and square produced

commensurate sides understand such

by

irrational

powers.

In

order

to

knowing
his

its irrational powers, Socrates himself

aids,
and so

might also

require such visual or rational

the task

of

constructing

such

images

allows

him to

enrich

own self-knowledge.
persuade

in apologizing before Theodorus is simply to that philosophy is a legitimate theoretical enterprise and that it
aim

Socrates'

him

also

behooves

any theoretical man to take seriously the practical affairs of the city. The moral dimension of human life is something about which we can philosophize and of which we can even achieve important understanding. It is also that dimension in
of which the noble and

the

holy

essentially

make

their appearance, and the

life

theory, just

as

ception or vision of of persuasion

any its

practical own

life, has its

and of

ground and attractiveness

in

a per means

beauty

divinity. Accordingly,
ways of

Socrates'

is the juxtaposition

different

life,

or of various carica

tures of theoretical and practical men.

of

Among

these are two

sophist.

important images
these var

the

philosopher:

the natural scientist and the

By holding

ious

men

up to view,
of

Socrates

offers
real

Theodorus

and

himself

a perspective

from

which

to appreciate properly the

tension between the theoretical and practi

cal

side

human life

and

to see the

beauty

of

the philosophic

life,

which

harmonizes them.

NOTES

1. Line

references to the

texts of dialogues are to Platonis

Opera,

ed.

John Burnet (Oxford:

Oxford

University Press,
absence of and

1900).
"complete"

2. The
and
dialectic"

the dialogue Philosopher to

the very complicated dyad of Sophist

Statesman,

the obscure and vague references to the philosopher's "knowledge or science of

at

(Sophist 253b-255c), only hint

effort at
should

the

difficulty
of

involved in assessing the Eleatic

opinion that

Stranger's 3. It

capturing the philosopher. be noted that in the actual treatment

Theaetetus'

Theaetetus'

knowledge is

testing is not clearly distinguished from the delivery. At two different points in the conversation Socrates announces the birth of offspring and exhorts that they proceed to examine it for genuineness (151e4-6, 160e2-161al), leaving us to wonder how to view the inter
perception, the

vening discussion
relate

of the

doctrine

of

Protagoras

and the

Heracliteans. Perhaps

the

delivery
in

or

full

exposure of an opinion requires not

only its

elicitation

but

also much cross-examination

order to

it to the

opinions of others and even

identify

the

father.
and corrects the mis

4. Cf.
division.

also

Statesman 261b-267e,
with

where the

Eleatic Stranger identifies

made via

take of confusing ruling

shepherding that is

the very abstract theoretical method of

5. Cf. Republic 522b8ff., 6. The

about the
answer

where the potential philosopher-kings receive a mathematical educa

tion as a propaedeutic to their more philosophical studies. to this is complicated, of course,

Theaetetus'

by

the

fact

that the same question can be

asked

influence
and

of

meeting

on

the next

day

with the

Eleatic Stranger,

as reported

in

the

Sophist

Statesman.

University
pel

7. Cf. Jacob Klein, Plato's Trilogy: Theaetetus, the Sophist, and the Statesman (Chicago: The of Chicago Press, 1977), pp. 102-1 16, and also A Commentary on Plato's Meno (Cha Hill: The University of North Carolina Press, 1965), pp. 27-31.

Reading

Vico Three Times

Theodore A. Sumberg

Asked to
replies

comment on

Grotius's book

on war and

peace, Vico

(1668-1744)
work of a

that

it is

not

heretical

author"

Harold Fisch

and

Giambattista Vico, trans, by Max Thomas Goddard Bergin [Ithaca, New York: Cornell Univer

fitting for a Catholic {The Autobiography of

1963.]
p.

"to

adorn with notes

the

sity Press, Great Seal,

philosophic public opinion.

155.) Such

narrow meant

partisanship,

alien

to the

temper of the man, was

probably In his New Science, Vico claims that the Republic

considerable

to sit

well with official and

of

Geneva,

being free
para.

and

popular, allows
and

freedom in writing {New Science of

same translators as noted above
will

Giambattista Vico, Ithaca 334. All

references numbers). seen

London: 1986,
the

to

this,

last

or

1744 edition,

be to

paragraph

The lifetime
He

citizen of

Naples knew that it

of

was no

Geneva: he had

the unenlightened despotism

monarchy. and

the Austrian monarchy follow that of the

vigilant

Spanish
three

also

knew that the

not

Holy

Office had

stigmatized

friends, Bruno, Galileo,

a

probably

and others.

far from his memory was the harsher fate of It was not for an obscure professor in the royal
to
make ends

university,
traces.

family

man always pinched

meet, to kick

over

the

Yet
whole

recalls
as

and comforting professions of orthodoxy do not tell the To the book climaxing his lifetime work he gives a title that the Dialoghi delle Nuove Scienze of the widely decried Galileo as well

conspicuous

story.

the New Atlantis

and

Novum Organum

of the well-known

heretic Francis

Bacon. Moreover, does

not an open venture

into

new science

throw some doubt

on the value of old science regnant

in

school

and cloister?

Some degree

of

boldness is

therefore not to

be denied

a man

writing in

a post-Tridentine

Italy,

anxious center of the so

vigorously.

Counter-Reformation,
he
got

which combatted

dangerous ideas
one

And

yet

his book published,

not

in

but in three

editions without

suffering any kind of persecution or pressure. He was never intimidated; never ridiculed; never forced to recant; never banished; never had his books banned or burned; and never even suffered the widely bandied charge

of

heresy. How did he do it? Some

notes on

his

more obvious

literary

devices

may

help

understand

this

most enigmatic philosopher.

interpretation,

Spring 1990,

Vol. 17, No. 3

348
I

Interpretation

In the 1730 edition, Vico informs

book they should read it at ideas {La Scienza Nuova Seconda,

if they want to understand his least three times because it contains wholly new
readers

that

a cura

di Fausto Nicolini, Bari: 1942, II,

need

174,
was

para.

1137).

Sharp

minds would

discover that

by

themselves,
would

the

it necessary to declare it openly? Once published, the book hands of ordinary minds since literacy was on the rise almost everywhere in western Europe. Ill at ease with new ideas, ordinary people might turn against society traditionally violent against challenges to its central beliefs. Hence his attempt to disarm potential enemies by declaring at the outset that his Vico in
a

so why fall into

book is

so

difficult

and

disturbing
and

that readers

should

avoid

it. The book's

the

bulk, heavy
danger
Italian If Vico

parade of

erudition,

frequent Latinisms

might also ward off

of widespread reading. wanted

to discourage the reading of New

of

Science, why

write

it in

and not

in the Latin

his

earlier writings?

Three

motives come

to

mind.

He probably wanted to regain for Italy the intellectual primacy in Europe it had lost about a century earlier; this patriotic element in Vico will be noted later. The use of Italian might also please authorities looking over his shoulder. Fur

ther, like Descartes a century earlier, he wanted to give up teachers {Discours de la Methode, penultimate para.). Latin
the schools through
while new

the Latin of his

would remain

in

science,

pursued

chiefly

outside

them,

would advance

a vernacular enriched with could

its

new concepts.

Since Vico

discourage,
he
and

not

outlaw, reading

by

the many,

he

attempted

frequently

to show that

shares popular sentiments.

He

expresses safe

ideas

especially in the early

late

paragraphs that casual readers could

be trusted

to glance at exclusively.

One

example

is the last

paragraph of

the

book (1112):

To he

sum up,

from

all that we

have

set

concluded that this

who

Science

carries

inescapably
wise.

forth in this work, it is to be finally with it the study of piety, and that

is

not pious cannot

be truly

Nothing

could

be

more

able since

piety is

obedient

comforting or (to the reflective reader) more question love while wisdom is the search for truth in doubt,

not obedience.

The third-from-last
tme and "all the
"our"

paragraph

(1110) holds

that "our
nor

Christian
very
new

religio

is

others"

false.

Nothing disturbing

here either,

while

creates a

bond between the

writer and the reader who would proba

bly

not notice one

the completely gratuitous nature of the clear-cut

distinction.

(310) Vico narrates the Christian or scriptural view of man's history since Eden, while in others he narrates his very different view: early man starts as a wild beast, frightened, anxious, always in flight in search
paragraph of

In

food,

shelter and safety.

. .

"In their monstrous savagery

and unbridled

bestial
after a

freedom

(338)

this is how man

begins according

to

Vico.

Only

Reading
long
he
wretched

Vico Three Times

349

time does

man arrive at

the stable

peace of civic

order, that

is,

goes

matic

gradually from low to high, not falling from high to low in one dra episode, as the Bible reports of man's fall from grace into punishment.
view recalls

Vico's

Machiavelli: ".
a

because in the

beginning
and

of

the
. .

world
"

its

inhabitants, being few, lived for

corsi

time scattered,

similar

to beasts

{Dis

1,2). Man

was

allegedly

not made

in the image

likeness

of

God. Of

course, Vico does not acknowledge his source either in Machiavelli or in the
savage state of nature

described

by

Hobbes.
announces

The

second paragraph of the

book

that "the chief business of new

affairs.

science"

is to

reveal

divine

providence

in human

assertion pious. of

is

yet repeated

countlessly,

perhaps

to give a pious

Not very novel, this air to what is not both

In

support of

providence,
or

however, Vico

criticizes the rival views

Epicums (chance

the blind concourse of atoms) and of Zeno and the other

chain of cause and effect).

Stoics (the inexorable

He thus shares, apparently,

contemporary Italy's suspicion of these two schools of thought. But he silently joins the camp of Epicums: in his Autobiography Vico stresses the accidents occurring in his life, and if accidents present in the lives of all men. Yet
avoids prefers are present

in the life

of one man

they

are

to avoid an unacceptable association,

role of accident

he
He

generalizing to deny in general

also notes

on

the

inescapable

in human

affairs.

what

he demonstrates in

particular.

Vico
ones.

that many times men serve

Seeking

merely to gratify their

shake off

and the

family. To

pursuing narrow for men fall into marriage lust, example, the yoke of laws, free peoples become yoked

wide ends while

to monarchs. Vico provides other examples the initial plan. The cunning of
not

(1108)

where

the end differs from

fortune

or the

cunning

of providence?

Vico

will

disturb those
of
"

invoking

the second, but the careful reader

will not overlook

the scope
tions.
. .

his

observation that

"men have themselves

made

this world of na

the "first incontestable principle of our

Science"

(1 108).

Vico Spinoza

calls the
was

Stoics the Spinozists

of their

day

harsh

criticism wants

since

ill-regarded in
shares

traditional circles in Vico's

contempt of

day. He
whom

it

under

stood that

he

the common

Spinoza,

he

charges spe

cifically
means

with

wanting to

as understood traditionally, that when people ties of buying and selling. Vico also sepa contractual fall into the merely they rates himself from the views about chance of Epicums and "his followers",

society lose reverence for God,

create a

of

hucksters (335).

Probably

Vico

Vico's

term

for Machiavelli

and

Hobbes (1109). That

damning
special

association,

coming force. In

conspicuously toward the end of New

the eyes of the
world

Science, has
clear of

visiblity

and

Sometimes he buries

such

stay company in silence,

Vico

will

bad

company. case of

as

in the

Bruno,

350

Interpretation
and

Campanella,
other writers

Telesio. Their

complete absence

in

is

no

doubt

related to the

fact that they

came under a

book citing hundreds of ban by the

merely fellow
pride pushed

Church. The

absence of

these fellow
of

Neapolitans,

not

invites

attention

because

Vico's

patriotic pride.

This

Italians, him, as
for
this

tonishingly,
getfulness

to refer to the school of Pythagoras as

enough

"Italian"

(499)

though such

pride was not

strong over immediate

to overcome tactical

considerations

inducing

predecessors who were absence of spirit to

unquestionably Italian.

Especially noteworthy is the fellow Neapolitan was close in

Telesio in New

Science, for
Vico Vico

Francis Bacon,

whom

praises

highly

indeed Bacon is the only exception to Vico's company. Bacon is "great alike as philosopher and (499). Perhaps Chancellor less
Though
the Englishman who pioneered the
was

careful avoidance of
statesman,"

bad

claims

an avowed practitioner of new science could not

movement.

Besides,

the very

very well deny discreet Lord

probably less
the

repugnant

to Vico's contemporaries than writers

guarded

in expressing

new views.

on

post-Tridentine

Index, Italy, and he

the works of Descartes circulated widely, even

was

in

in fact the
of

man against whose views a quiet and

writers measured their own.

with

Much

New Science is in fact

once

many dialogue

him,

though Vico

mentions

him only

(without praise)

Dioptrics (706) joins hands

whose
with

hardly
calls

the

most

incriminating

reference possible. condemnation of

only his But Vico

the past,

Descartes in

comprehensive

ideas he

"improbabilities,
"
.

absurdities,

contradictions and

impos
He

sibilities"

really
adds:

puts

(163). Vico is rarely so forceful, all that has it strongly:

so the attack
so

invites

attention.

far been

written
.

is
.

tissue of (330). He
were no order to

confused

memories, of the

fancies
this

of a

disordered imagination
we must reckon as

"So, for books in the

purposes of

inquiry,
seems to

if there books in

world"

(330). Vico

be

burning

all past

give science a clean slate.

But there is
out

some

irony

in giving up

all past

books. Descartes had

pointed

that

as soon as

growing up

permitted me
of

abandoned

entirely the study

to give up submission to my teachers, I letters {Discours, op. cit., I, penultimate para.).

In contrast, New Science is

almost an encyclopedia of past

letters

classical

letters

at

any

rate.

These live for him

as

for

no other previous writer;

he is

simply bringing letters. On this point he As if

no

to a climax the project

rejects

of

the Renaissance of recovering

ancient

Descartes. Vico does

not make an exception of the

book

were ever written

book containing many books, the Bible. In fact he gives up the common prac tice at the time of citing it at every turn. Its absence, save for a few references to the Old Testament, is all the more noteworthy amidst countless references
to classical

fables, laws, histories,

For two

customs, religions, philosophies

and politi and one

cal experience.

references to

Jesus Christ there

are

97 to Jove

Reading
for

Vico Three Times

know
where

-351

Mary
No

against

25 for Juno. Vico's for Vico

new science will

to focus

attention. medieval

book

exists

either except

the Sentences of Peter Lom

bard,

figure allegedly emerging from the "barbarism of the twelfth (159). Nor does fellow Neapolitan Aquinas exist for Vico. Also absent is Sua
a
year

centu

rez, though Vico shut himself up in his house for a

to study Suarez {Auto

biography,
two

op. cit.,

114). Needless to

say,

if Vico

associated

himself

with

the

masters of

scholasticism, he

would win

the sought-after sympathy of the

authorities, but a strong motive, the tactical

advantage of a

we will

see, moves him in this case to give up

link

with good company.

Some 1112
Its bulk

paragraphs make

the

last

edition of

New Science

bulky

work.

would not

only

repel

the casual reader but also

help

its

author

hide

antitraditional meanings

(".

it

contains two

Frederick Vaughan, The Political

Philosophy

of according to Giambattista The Hague, Vico, of

levels

meaning

1972, XI). No different

published are:

was the tactic of

only four years after "If in the infinite number of things

countless trees.

Montesquieu in his Spirit of Laws, Vico's last edition. The Frenchman's first words
which are

in this book

"
.

The forest

is best hid among

Ill

Your letter

was short and

friend (letter 119 in Opere

Vico's book is
essence

in rereading it I made it long: thus Machiavelli to a a cura di Franco Gaeta, Milan: 1961, VI, 228).

long

and

it is

an attempt

in reading it at least three times one makes it short. In to liberate natural law from theology. Dazzled by the
astronomy, Vico
seeks

triumphs

of physics

and

the same success

in

new

exploration of

human

affairs.

He

would prepare their

Principia. For

what we

know,
mains

as

Descartes had

pointed

out, is

almost

to be known

{Discours, VI,
horizon
was

second

nothing compared to what re para.). Vico shares contemporary

exhilaration over the new

opened

discoveries

yet

to come,

the central

up for science. Faith in science, in its inspiration of his book.

Vico joins three

natural

writers

Grotius, Selden, Pufendorf

justice

a new or scientific orientation.

gates

them, both

proves a writer

individually and criticism of them by a Father

in seeking to give Of course, Vico repeatedly casti collectively, and even more he openly ap
Nicola Concina (974). A Dominican
at the

Vico's

( 1687-1756), Concina probably was held in high esteem laudatory citation illustrates his desire to ran with good
so-called princes of natural

time,

and

company.
superior accord

Of the three

law, Grotius is

the

ing

to Vico (350). His chief

work on war and

before New Science, had

claim that natural

swept through a
retain

law

would

all

peace, appearing about a century Europe intrigued especially by the its validity even if God did not exist

{Prolegomena,

para.

11). Vico

acknowledges

that the

system of

Grotius "will

352

Interpretation if
all

(395). Both men of God be left out of of God and if science the implication: if is theology surely saw the falls away as the (blasphemously) God can be said not to exist, then theology basis of natural law, which can then join hands with science in a new career.
stand even

knowledge

master

Vico

also

holds that there

are properties of

human

nature

"which

not even

God

can

take from man without

view of

him"

destroying

(388). Thus Vico paraphrases

the same

Grotius that the very nature of man is the mother of the law of nature (Ibid., para. 16). The stage is thus set for fresh investigations of human nature. Vico is like a Columbus who comes upon new continents of human
experience,

including

pre-Christian and extra-European.

contingent

But

whatever as

the con

tinent visited, Vico comes upon the

of an edifice revelation.

facts
and

of

history

the new

basis

henceforth

emptied of

the

fixed

necessary truths of

divine

God is mute,

nature

history

gains new

is mute, history talks. Replacing theology as authority, dignity as handmaiden of philosophy, a dignity resting on the
truths of

belief that the

new

history

will give man

the guidance to the shift

he first

needs and

allegedly

never

found before. Here is Vico's

loyalty

called

for

by Machiavelli from moralizing and imaginings to going directly to "the effec tive of things {Prince, 15). Vico does indeed go straight to the concrete
tmth"

in endless detail in a large book covering man's experiences in many countries, but the path from what really happened to prescription is not clearly marked off, even for the assiduous reader.
and the particular,

The
nature

most

important lies in the

finding

of

Vico's

voyage through

history

is that human
(221). The

has

changed since man's original

"fierce bestial

freedom"

It is apparently not coeval with man, as was traditionally thought. For the first men were "ignorant of (375), lived like beasts and only after long effort arrived at enough rationality to form commonwealths (629). Being malleable, according to the testimony of
chief change

growth of reason.

every

history,
mism

man can

therefore go on to other changes or improvements. The opti

sometimes

thus implied in Vico's scheme sweetens the sour temperament

attributed to

him.

If

man's

history, newly

examined,

yields

novelties, it

also comes upon con

faith, contracting solemn marriages, and burial of the dead (333). On constants, Vico points out, "all nations were founded and
stants, among them religious
themselves"

still preserve
natural right onto

(332). Here is the

conservative element

the new platform of

history. A according

"philosophy

of

in raising is
strict

indeed the
are needed

natural

fruit

of new science

to Vico (350).

For

laws
of

to turn man's

ferocity,

avarice,

and ambition to

the happiness

ordered

Practically speaking, Vico is no revolutionary. The need to accommodate himself to time and place would account for his open sympathy for religious faith, but this sympathy also expresses his genuine conviction that such faith is a social bond. "No nation in the world", necessary he points out, "was ever founded on (518). Nor can a nation preserve
atheism"

society (132).

Reading
itself in health in the
absence of religion,

Vico Three Times

353

in citing Bayle's view to the contrary (334). Faith lacking, we remember, men become nothing but hucksters. But Vico does not explore the question, which is so important for
Vico
claims modem

man, of

how

much

social

force is
"like

retained

by

a religion

denied its

claim

to truth. He does suggest,

however,

that

modern

man, bent on "his own

a

pleasure or spirit and

caprice", is starting to live

wild

beasts in

deep

solitude of

(1106). Vico may be the first philosopher, even antedating Rousseau (1712-78), who is anxious over the consequences of the modernity that he embraces. The most obvious such consequence is the senseless loss of
the distinction between

will"

liberty

and

license:

"

the unchecked

liberty

of

the

free peoples,

which

is the

tyrannies"

worst of all

(1 102).

IV

If

religion remains as social

bond,

the need

for censorship

remains also as

social self-defense.

thors must resort to

stupid, wily au unfortunately self-censorship to avoid their brutal manhandling of writ ings. The three-edition publication of New Science in a dark period is therefore tribute to Vico's
words of self-censorship.

But

since

censors are often

last

Autobiography because after finishing his work he enjoyed "life, liberty, adroit use of liberty avoids the dishonor that leads to loss of
gerous

his

very well: in the he dubs himself "more fortunate than

understood success
Socrates"
honor"

He

his

and

The

life.

Self-defense, though legitimate in a society harsh toward purveyors of dan ideas, was not the only concern of Vico. As a responsible citizen he
hurt fellow
self-control
always citizens shows

would not

by
his

attacking,

not

openly anyway, their

darling

ideas. His

noble gentleness. shoulder with own can

However,

we

should not

imagine him

shoulder to

fellow Neapolitans:

knowing
op.

himself, he calls himself "a stranger in his 132). A philosopher in a "closed

To defend the tmth
not want

land"

{Autobiography,

cit.,

society"

against public opinion

he be anything else? was also Vico's concern. He did

with

fellow "we

citizens to thwart
as

his dialogue
leaves
no

fellow

philosophers. view of

His

philosophers"

reference to

doubt

as

to his

himself

{New Science,

op. cit., also

appendix, 1406).

Plato-like, he
that philosophy

distinguishes

wisdom and opinion

(706)

while

can

help

but few

people

(18). Finally, Vico

notes

asserting in his 1725 from

edition that the ancient

Greek

philosophers often concealed

their wisdom

the

vulgar

{La Scienza Nuova Prima

too writes

a cura

di Fausto Nicolini, Bari: 1968, 28,

para. also

39). He

for two

audiences, since
many.

books is

meant

for the few

will

which

be read, or looked at, by the is how friends and philosophers

The

result

much allusive

writing,

communicate with each other anyway.

Madison's

Party

Press Essays

Colleen A. Sheehan
Villanova University

James Madison's

essays

for the National Gazette in 1791-1792 have been

Press"

labelled
the

by

Marvin Meyers "Essays for the

Party
Press
of

(Marvin Meyers, Mind

of 179). These

Founder

[Hanover,

NH:

University

New England,

1981],

p.

unsigned articles were published

in

Philip

Freneau's newspaper,

the voice of the Republican opposition to the Federalist administration of gov

ernment.

have been generally viewed by scholars as Madison's change of mind in the 1790s. Whereas Madison

They

representative as

of

Publius in the

1780s

wrote of

the danger of majority faction or party, the Madison of the

essays wrote
partisan

National Gazette

pieces

defending

views of a particular party.

These essays, it is

often

promoting the argued, demonstrate Mad

and and

ison's
alist's

abandonment of

those soberminded reflections that produced The Feder

brilliant

analysis

regarding the

problem of

faction

the need for the

extended commercial republic.

While this
settled. of

view

is generally

accepted

by

scholars, the case is

by

no means

In

fact,

there has been very little disagreement thought in the

in

respect

to the question

Madison's

political

Party

Press Essays because there has been

very little study devoted to these writings. Thus, the view that in the early 1790s Madison abandoned his former position is one which is widely accepted, but why he did so cannot readily be accounted for. Even Alexander Hamilton
was

hard

pressed

to offer a good explanation for the

students of

alleged

Madisonian

switch.

In essence,

James Madison
curious

remain puzzled and can offer no

better

account than could

Alice: It is

indeed.
the

The
of the

following
Federalist

pages present an overview of

Party

Press Essays,

with

particular attention given to those which

administration.

focus on opposition to policy measures Since Madison's thought in these 1790s writ
indeed
opposed to

ings is

dramatically
whether

different from

the dominant inter

to raise anew the

pretation of question

his thought in The Federalist,

Madison did in fact
claim,
or whether

we shall also want

change

his mind,

as

the majority

of

scholars

in this

area

his

political

teaching

was

consistent, as

he himself

claimed.

Press Essays demonstrate Madison's understanding of republican The majority are directed against policy measures of the Federalist administration. For example, in these articles Madison attacks those who would

The

Party

government.

promote an

unnecessary

accumulation of

the public

debt,

those who are partial

interpretation,

Spring 1990,

Vol.

17, No. 3

356
to the

Interpretation
opulent class of

society, those

who pamper a spirit of speculation,

government and

and

those who are studying to pervert limited

institute something In States. essence, Madison akin to monarchy or aristocracy in the United is not dedicated to the doctrine of selfclaims that the "anti-republican
party"

government.

The view, then, that Madison's essays for the National Gazette are of a partisan nature is correct, although the initial essays are much less partisan than
the

last

ones.

Indeed,

the tone of the first few essays seems partisan

viewed

retrospectively, after a clear split

evident.

between Federalists
essays

and

only when Republicans

became
would ness

Nonetheless,

the initial

do

contain

the seeds of what

become

matters of acute partisan

dispute. In

rough outline one can wit

the transformation of the "republican through the

cause"

into the Republican

Party by
The
the
not

following Madison's rhetoric Having said this, we must

Party

Press Essays.

ask whether these essays are

simply

partisan.

Federalist, for example, is partisan in the sense that it clearly supports Federalist, as opposed to the Antifederalist, party. But The Federalist is
simply
a partisan work work.

Despite its

avowed

endorsement

of

the

Federalist

cause, the
republican

is

characterized

by

the timelessness of
the
go

government.

would suggest that

its teaching concerning Party Press Essays are not

mere partisan rheto

simply ric in their

partisan

either, but, like The Federalist,

theory.

beyond

exposition of republican

It is generally believed that in 1791-92 Madison published eighteen in the National Gazette.1 There is, however, another Party Press Essay,

essays
which

has been
unsigned

overlooked. article

On 12 December 1791,

the National

Gazette

carried an

entitled, "Dependent

this essay

was written

by

(See Appendix.) Clearly, most of Madison's other Party James Madison. Like
Gazette."

Territories."

"Depen Press Essays, this one bears the heading, "For the National dent is directly linked to Madison's "Notes for the National Gazette
Territories" Essays,"

which contain a section entitled

Government."

"Influence

of

dependent dominions least

nineteen

on

(See PJM, 14:164-65) Thus there

exist at

Party

Press Essays. In
1

chronological order of publication,

they

are as

follows:

"Population

Emigration"

and

2. 4. 5.
7.

"Consolidation"

3. "Dependent
"Money" "Money"

Territories"

(part 1) (part 2)

6. "Public 8.
9.

Opinion"

"Government"

"Charters"

"Parties"

10. "British

Government"
Peace"

11. "Universal

Madison's
12. "Government
13. "Spirit
of of the

Party

Press Essays

357

United

States"

Governments"

14. "Republican Distribution

Citizens"

of

15. 16.

"Fashion"

"Property"

17. "The Union: Who Are Its Real 18. "A Candid State
Parties"

Friends?"

of
of the

19. "Who Are The Best Keepers

People's

Liberties?"

The

question which systematic

hensive,

volume of

the

immediately presents itself is whether there is a compre Party Press Essays. That there exists a bound National Gazette, bearing Madison's initials on all but two of
design to the
and

"Government"

these essays,
were

"Dependent

Territories",

suggests that

they

intended to be

read together.

(Madison's failure to initial these two

essays

was most

probably inadvertent;
viewed

see

a complete and systematic

work,
of

PJM, 14:1 1 1 and 164.) That they constitute however, does not seem to be the case, partic
Madison's
"Notes"

ularly
which
ment.

when

in light

related

to these essays,

do

aim at a

comprehensive,

systematic treatment of republican govern

Good,"

(See William B. Allen, "Justice and the General Kesler, ed., Saving the Revolution: The Federalist Papers

in Charles R.
American
"Notes,"

and the

Founding the Party

political

[New York: The Free

Press, 1987],
viewed

pp.

133-6). Unlike the

which

Press Essays
of the

are

best
and

as occasional pieces

treat the

issues

day

the theoretical basis which informs a proper

"republican"

treatment of those issues.

The
gories:

nineteen

Party

Press Essays

can

be roughly divided into two

main cate

(1)

those

(2)

those which

emphasizing the theoretical foundations of republicanism, and focus on Republican opposition to certain policies of the Feder
The first category can be further divided into (a) the gen opinion in republican government, and (b) the federal princi
categories are

alist administration.
eral role of public

ple.

While these
of

by

no

means

strictly delineated,
and

since

the

importance
sition to

federalism is
in

argued within

the context of the centrality of the

role of public opinion

republican

government,

because Republican
from
an adherence
represent a

oppo

Federalist
and

policies

is

presented as of

deriving
project

to the

fundamental
accurate and

tme principles
picture of

republicanism,

they do
in the

helpful

Madison's

Party

roughly Press Essays.

with

According
five
of
of

to this

delineation,
and

the general role of public opinion is dealt

"Parties,"

in

the essays: "Public

Opinion,"

"British

Government,"

"Spirit
"Con

Governments,"

"Who Are the Best Keepers

"Charters,"

of the

People's

Liberties?"

Arguments concerning
solidation,"

the federal principle are presented

and

in four

essays:

"Government,"

"Government

of

the

United

The remaining ten essays deal with issues relating to public policy choices in the first administration, and primarily to the fiscal policies of the Federalists.

States."

358

Interpretation

HAMILTON'S FISCAL PROGRAM

During
Madison
posed

the period of the

first Congress

under

the

new

Constitution, James

spoke out

in

opposition

to every important
opposed

measure supported or pro

by

Alexander Hamilton. Madison

to
present and original

the policy of nondiscrimina

of public

tion in

respect

holders

securities; he was

against Hamilton's debt-funding scheme; he cast his vote against the proposal to assume the state wartime debts; he opposed the establishment of a national

bank;
with

and

he

was

vehemently

averse to the

Hamiltonian policy
not confront

of governmental

encouragement of manufactures.

Madison does in the

these policy

issues
the

detailed,
or

systematic arguments

Party

Press Essays. Indeed, he does

not ever

explicitly

mention a national

bank,

the Report on

Manufactures,

Federalists,
theless, his
policies of

the name Hamilton in the pages of the National Gazette. None

arguments

in these

essays are

decidedly

related to

the Hamiltonian

1790-1791. While

we cannot set

forth here the

complex

history

of

the struggle between the Hamiltonian Federalists and the Madisonian Republi

cans, let it suffice for

our present purposes to present

component measures of

the

Treasury

summarily the essential Secretary's financial scheme and the rea

sons

for Madison's

opposition

to them, as presented in the

was
not

Party

Press Essays.

The fiscal
attempts

program of

Alexander Hamilton

a series of piecemeal

to solve the economic problems of the

carefully only to solve the contemporary economic difficulties but to make the United States a great and prosperous nation. Of the potential for American intended
not

component measures were part of a

wrought and

fledgling nation. Rather, its farreaching program

absolutely confident: America, he said, is "a Her {The but in the early 1790s she was yet "a Hercules in the Papers of Alexander Hamilton (hereafter PAH), eds. Harold C. Syrett and
greatness, Hamilton
cules,"

was

cradle"

Jacob Cooke [New York: Columbia

pers were published

University Press, 1972],

saw

16:272. The Pa

from 1961 to 1979). Hamilton for the be

his

task clearly.

First,

the debt problem must be confronted

and public credit

established, and then the

necessary
A

conditions

promotion of a vigorous

economy

and

increase in

national wealth must

firmly
was

set

in

place. view

scheme of
of

funding

in Hamilton's

the only intelligent

solution

to

the problem

the national debt. Absent

would

funding,
Taxes

the already economically

depressed
money

situation

only

worsen:

would

burden the citizens;

and manufactur

would

be scarcer;

production

in agriculture, commerce,

ing

would

decrease;
unfunded

speculation would reign; and public credit would

be

nonex

debt, Hamilton argued, serves only to drain the community of capital and divert money from useful and productive industry. But the fund ing of a debt may be advantageous to a nation by supplying active capital in a country deficient in capital. Once the confidence of the community is settled and the public securities have acquired an adequate and stable value, the debt may in fact answer the purposes of money in a nation. Funding thus acts as an

istent. An

Madison's
engine of

Party

Press Essays

359

The

addition of

creased

promoting the transfer and exchange of capital. circulating capital results in decreased interest rates, and de interest rates serve the ends of reducing the debt. Furthermore, Ham
credit,
and stabilization of public stock moderates the spirit of specula
more useful

increasing

ilton asserted, the

tion and directs capital to

channels,

thereby promoting
and

agriculture,

commerce, and manufacturing. Increased productivity

ment result

in further

increasing
of

the

active and actual

increased employ capital of a nation. The

Hamilton stated,

various useful

industries

America flourish. "And

prosperity
of a

herein,"

"consist the tme

state"

wealth and

(PAH, 2:618).

Hamilton believed that the

ment would promote visioned.

assumption of state

debts

by

the

national govern

the political stability and economic prosperity that

he
are

en

Among

the advantages assumption would provide,

he argued,

the

removal of

the potential causes of collision

between different
of

states with sepa

rate systems of public credit.

finance

and the enhanced

ability

the United

States to

secure

Moreover,

assumption would strengthen

and

the infant government

by increasing
19:21-41).

the bonds between it

the

interests

of

individuals (See PAH,

The

establishment of a national ends.

bank

was

the next logical step to effecting

government

Hamiltonian
provide the

Such

bank

would

issue

bonds,

which

would

currency in the nation. In turn, the larger money supply would lead to increased circulation, decreased interest rates, and greater productivity in the various occupations and industries. In addition, be
a greater active cause of

basis for

its ready

access to needed

capital, the government itself

would

become

more stable and

secure, especially important in

Thus the both

establishment of a national

cases of emergency and war. bank would, Hamilton believed, support state of public credit strengthens

private and public credit.

The improved its

rights and

the nation in

its ability to

protect

its interests. The improved

state

of private credit promotes

individual

gain

in agriculture, trade,

and manufactur

ing. Hamilton
earth
agreed
with

supporters of agriculture that the cultivation of the

claim to pre-eminence over

has

"intrinsically

strong

industry"

(PAH, 10:236). He

conceded

that

agriculture

every other kind of is the occupation most

mind.

favorable
did

to the freedom and independence of the human

But Hamilton

not and would not concede that agriculture possesses

an

in any country any

thing like
branches

exclusive predilection, or that

it is

more productive than other

human industry. The manufacturing interest, he claimed, is not only productive to society, but it renders the produce and revenue of the com
of

munity

greater

than

they

could otherwise
production

possibly be

without

it.

Manufacturing
of

contributes to

increased

and revenue

by

enhancing the division

labor, by
ordinarily a broader

machinery, by employing extending the engaged in industry, by promoting foreign emigration, scope for the differing talents and dispositions of men,
use of and more varied

classes of citizens not

by furnishing and by offer

ing

larger

field for

enterprise.

Moreover,

the existence of

360

Interpretation
promotes

manufacturing

the

agricultural

industry: In
more

some cases and

it

creates new

demands,

and

in

all

cases

it

creates

certain

steady demand for

agricultural

produce.

An increased domestic decrease

and

market

for

the sale of

American

agricultural goods would

eventually

abolish

American dependence

on precarious

foreign

markets.

There

was

facturing
it does
America

absolutely no doubt in Hamilton's mind that the growth of manu in the United States was in the national interest. But he contended that

not

follow from this that Human beings

growth will occur

quickly,

or as

quickly

as

requires.

are

fearful

of untried

industries

and adopt

them only reluctantly and

manufacturing industry of and puts American manufacturers

reluctance to pioneer

In addition, the already largely developed European nations gives them the competitive edge
slowly.

industry
may be

adding to the natural in the United States. "To produce the desirable
at a

disadvantage,

thus

expedient,"

changes,
quire

early the incitement

as

as

Hamilton stated,

"may

therefore

re

government"

and patronage of

(PAH, 10:267).

The

Treasury Secretary

did

not

deny

that governmental encouragement of

manufactures

in the United States Consumers

would

be disadvantageous to the

other

classes of society. price

would

for

manufactured

goods rather

be forced to pay the higher American than be permitted to procure the same

articles on
vantage

better terms from foreigners. He believed, however, that this disad would be temporary and ought to be suffered for a short time in the
the promotion of
manufactur

interest

of the ultimate and opposite effect which

ing

would

bring

to

America. Over time,

and with

internal competition,

goods

manufactured

in the United States

due to the

absence of

become less expensive; eventually, importation charges, they would be cheaper than Euro
would would shower gains

pean goods. on

the American
and

Thus, in the not-too-distant future this policy farmer-consumer, as well as advance the
of

prosperity, indepen

dence,

security

the nation as a whole.

THE REPUBLICAN REACTION

Many

prominent scholars

believe that

following

Hamilton's

plan and

to

establish

a national

bank,

that

is,

after

the close of the

First Congress

before the
event that

commencement of
would

the Second

Congress,

a radical and

farreaching

subsequently determine the shape and character of American politics took place: The Republican Party was bom. Many historians and political sci study this period, particularly those of the nineteenth and early differences as well as the personal antipathy between Thomas Jefferson and Alexander Hamilton led directly to the founding of the Republican Party by Jefferson. According to these studies, Jefferson was the leader of the Republicans with Madison as his follower. In
entists who

twentieth century, claim that the political

relatively

recent

studies,

however,

some scholars

have

attributed the origins of

Madison's
the

Party

Press Essays

361

Republican

Party

not

to

Jefferson, but
works

to James Madison.

Even so, the

thesis that tends to

dominate in these

is

that Madison passed the baton to

Jefferson early on in the race. For example, Forrest McDonald argues that through upstate New before the spring of 1791 and their "botanical

York, Madison led

"[T]hereafter,"

the "republican

interest,"

and

Jefferson

was a

Madisonian.

McDonald claims, "Madison this thesis, in late spring 1791 Jefferson took
can

Jeffersonian."

was a

According
the

to

over

the

leadership

of

republi

interest,
Madison

and

[became]
loyalty,

the

follower.

And both, for

all their continued

protestations of

were thenceforth committed to the

destruction

of the

Washington administration, for the administration, in their minds, had become the ministry of Alexander Hamilton. (Forrest McDonald, The Presidency of George
Washington [New York: W. W. Norton &

Company, 1974],

p.

81)
the earlier wide

This

and

like theses
that it
was

share a certain general

accord with

spread view parties

the Jefferson-Hamilton quarrels that led to the rise of

all

in America. For
was

intents

and

purposes, the McDonald thesis holds that

Jefferson
tion.

the tme leader of party opposition to the Federalist administra

when we understand

It clearly implies that

the Jeffersonian mind, we

will

then also understand the credo of the the notion that their

Madison, heavily

first Republican Party. This may be. But influenced by his older friend Jefferson during
up Lakes Champlain
and

long

days together

journeying

George in

May-

June 1791,
on

underwent a radical change of political approach and was now

bent

destroying

the

Federalist administration, is
the expressions
personal correspondence

highly

problematic. own mind

does

not square well with

from Madison's

It simply in both his

publications and

his

attempt to understand not make

Madison

via

Jefferson

during this time. Moreover, the during this period tends to blur if
James Madison.

indistinguishable the

republican credo of

Jefferson's

a plethora of debate among scholars concerning the nature of through upstate Madison's spring 1791 "botanical New York. Some scholars, like McDonald, see a political motive in the trip, and while

There has been

expeditio

others,

such as

Dumas Malone

and

Irving Brant,
The

view

the

journey

as one

merely for curiosity, rest, the Madison Papers agree

who accept

and recreation.
with

editors of

the recent

volumes of

the latter

the Federalist

newspaper

interpretation, claiming that historians commentaries that the trip was politically
"all the
evidence suggests

motivated and

have been beguiled,

politicians

and that

that Jefferson the case

JM

politics"

steered clear of

(PJM, 14:25). While it is certainly

American
politicians

that American
spects of a
spent

today

and

then are

different breed, is it

possible

that Jefferson and

of

in many re Madison would have

"relative to the
that there

many

long

days

together

in the

aftermath

the First Congress merely

as those

concerning Hessian fly"? Even

was a political

themselves with such apolitical

without

inquiries

definitive evidence,

one would suspect

flavor to the trip. Common

and political sense

defy

abandoning

362

Interpretation

such a suspicion.

tive

evidence

One does not, however, have to rely on suspicion, for defini heretofore been cited. In exists, which to my knowledge has not
answered a

September 1830 Madison

with

friend's inquiries
which made us

Jefferson.

"Among

the occasions

about his early relations immediate companions",

wrote

Madison,
the

was

trip in 1791

to the borders
the session of

of

Canada. into

The

scenes and subjects which at our

had

occurred

during

Congress

which

had just terminated

departure from New York,

(Letters
and

entered of course

Other Writings of James

itinerary conversations. Madison, Published by Order of Congress

our

[New York: R. Worthington,

1884], 4:111-12) Jefferson's

and

"Of

course"

political concerns marked

Madison's

northern

lake

country sial debate

tour!

Congress had just

Hamilton's

concluded

its first term in

weeks of controver

over

proposal

to establish a national

bank,

against which

both Jefferson
signed

by

Madison had strenuously spoken out, but the President despite their opposition.
and not mean at

which

had been

But this did

least in Madison's

mind

that the destruction

of

the Federalist administration had become the goal of the republican cause.

Madison

was

not at

communication with

time, nor during the spring and summer months of Freneau and the establishment of the National Gazette in
this
on

the Fall of

1791, bent
Lee

destroying

Hamilton In

or

the Federalist administration.

of

There existed, however, 1792

some who were.

letter to Madison

January

Henry

sentatives'

in writing the House of Repre Address to the President (27 October 1791). How could you attrib
criticizes
part and care of of the

Madison for his

ute the
ment?

prosperity of the United States to the wisdom Lee asked. The wisdom, honor, and justice
stained"

the govern
are

government

"indelibly
base
principles

by
&

"those fashionable treasury

.

s[c]hemes

imitative
[sic],

of the
"

wicked measures

[of]

corrupt monarchys

The

original principle and end of our government was to make the people

happy,

but now,

with

the

funding

scheme,

national

bank,

etc., the monied

men sad are

interest is

growing stronger, and even informed and honest perversion of the Constitution. "I deeply lament the really I recently As
see no

submitting to the Lee wrote, "but

redress,

unless on

the govt, itself be

destroyed"

(PJM, 14:184). The

another

submitted

to speed us

Manufactures, he argued, is simply faster in the same direction.

in his

Report

step

response to Lee of 21 January 1792. Madison refused to be full responsibility for the House's Address. Being only one of a three-member committee which drafted the Address, Madison reprimanded Lee for not considering that if he alone had written the Address, it "would not
shown

saddled with the

have been precisely as it (PJM, 14:193). In addition, the Address did not unqualifiedly attribute the prosperity of the country to the laws, and besides, some degree of Americas recent success is rightfully owing to the
was"

establish-

Madison's
ment and

Party

Press Essays
to the

363

influence

of

the

general government.

"With

respect

general

spirit of the
you

administration,"

Madison continued,
square with yours.

already know how far my ideas

remark

You know

also

how
own,

extremely (though the

offensive some particular measures

is for

yourself alone at present) that

recommended

have been; if they

the

& I

will

frankly

should

be followed I
shall

by

the usurpation of power

in the

report on manufacturers,

consider the

fundamental &
cf.

characteristic principle of

Govt,

as subverted.

(PJM, 14:193; Lee

refused

14:195)

any justification for Madison's past support of the adminis tration, however fainthearted it might have been at times. Moderate opposition to specific measures was insufficient and unacceptable. Lee continued to press
to see

for

radical opposition

to the present government. "It seems to

me,"

he

wrote

to

Madison
that a

on

29

January 1792,
be
corrected

mal administration never can

by
.

palliatives: open positive

.

opposition alone can effect a change

in

measures.

The longer is into due

be.

procrastinated

the attempt of

men

like

yourself to

force the

administration
will

obedience with

the constitution, the more

difficult & doubtful

the

work

(PJM,

14:203-04)
Hamilton's Report
on

Manufactures

was

lengthy

document

which

took

digest. Thus, while it was December 1791, Madison was not ready to offer a
some time to read and upon

submitted to
well-formed
was

Congress in commentary The

it

until the

following

month, but then his

reaction

vehement:

success of

Hamilton's

program meant

the subversion of republican government.

Up

until

this point, Madison opposed specific measures of the Federalist ad

ministration.
prior

The "standard

republicanism"

of

had been Lee

erected

earlier, but

to 1792 Madison's advocacy

of republicanism was not synonymous with

much

opposition to
wished

the administration, however

and others

might

have

it to be. Even the Bank bill did

report

not excite

the kind

of opposition which

Hamilton's December 1791

the
eral means

did, for

the

former

was an

necessary to the achievement of the enumerated objects of the

while

issue concerning fed in its

government,
or

the

latter

would establish a government unlimited

objects,

in

other words an unlimited government

(See PJM, 14:180). Fol

lowing
pages

his study of Hamilton's Report on Manufactures, Madison speckled the of the National Gazette with calls for a zealous republican patriotism to
against

defend before ison

and

the power-grasping "partizans of

anti-republican

contrivances";
party"

long

he denounced the

entire program of the

"antirepublican
of

in

public print
no

(PJM, 14:192,

371). Thus it was, in the spring

opposition
republican

1792,

that Mad

longer simply

pursued

to certain administrative measures

gauntlet of

the

advancement of

the

cause, but took up the to be the Hamilton-led

the

"Republican
sought the

party"

(PJM,

14:371-72). Thenceforward Madison

perceived

deliberately

demise

of what

he

administration.

364

Interpretation

THE SEEDS OF OPPOSITION

Emigration,"

was pub Press Essay, "Population and 1791. The November "Dependent second, lished in the National Gazette on 19

Madison's first

Party

Territories,"

appeared

less than

a month

later. These

rather obscure essays are

related

to Madison's advocacy of

commercial

discrimination

against
attain

the Brit

ish,

which

he had labored

diligently

but unsuccessfully to

during

his

tenure in the First Congress. It

was probably not a coincidence that these essays commercial policy appeared just shortly after the first British British concerning Minister Plenipotentiary to the United States, George Hammond, had arrived in

Philadelphia to
the two

conduct negotiations

pertaining to

commercial relations

between United

countries.
Emigration"

In "Population

and

Madison

argued

that in

regard

to

States exports to Great Britain, America is in possession of only about one-fifth of the carrying freight, even though she is actually entitled to half. It is the duty
of

Americans, Madison
of

claimed, to defend ourselves against the

"monopolizing
our na

tendency"

British

commercial

power.

Madison's

call

for

more

policy by all pmdent and just means in just commercial relations between the two
argument

tions in this essay is

part of a

fuller

concerning European,

and partic

ularly British,

emigration

to the United States. Madison argued that British

prod

emigration to the

United States increases American demand for British

production of raw materials sent across

ucts, increases the American

the

Ocean,
em

increases

cartage

by

British

mariners and merchants

and, in sum, actually

to the United
of

ploys and sustains a significant number of people wise would and

in Great Britain

who other

lack the

means of survival.

British

emigration

States,
British

American

commerce

itself,

are thus crucial

factors in the formula

prosperity.

"Dependent

Territories"

appears

British

as well as a republican

to present something of a warning to the lesson to those Americans who allow or encour
claimed relation

age current

that the

British policy in the East and West Indies. Here Madison relation of the Indies to Great Britain is analogous to the has
a similar

between

slave and master and

influence

on character.

While the

master or master

country

cherishes

"pride, luxury,
was

and

the slave or

dependent,

slavish

territory leams "vice

it
could not

and servility, or

hatred

and

Madison's
mercial

stance on commercial

opposition position;

policy have been, for he

not, at least at the outset, an

proposed a

discrimination

against nonallied nations

during

policy of com the first month of the any

administra

commencement of the new government,

before there

was yet

tion to oppose. As early

extract commercial
public sentiment

as

1783 Madison had

advocated economic sanctions to argued that

commercial

discrimination

concessions from Great Britain. In 1789 he in the United States was decidedly in favor of

against the nonallied

and

for the Annapolis Convention

British. Indeed, one of the leading reasons ultimately for the establishment of a new

Madison's

Party

Press Essays

365

Constitution was, he said, the perceived need to combat unequal commercial laws. Throughout the debates in the First Congress he advanced the argument
that the most pmdent and fair course of action was
cial

for America to

use commer

discrimination

against
most

Great Britain

to

break the British monopoly

open ships.

of

American trade and,

receive

imporantly,
she

to induce Great Britain to

the ac

tive ports of the British

West Indies to American

America

would then

the

commercial

benefits

rightfully

deserved

and trade would gradu

ally take its free

But

and natural course.

policy produce the desired effects? Many of the Federal ists thought not, while Madison was certain that it would. He believed that the British West Indies depended on the United States for the necessities of life,
would such a while

Great Britain depended

on

us

for the

raw

materials

used

in its

great

manufacturing industry. Surely the United States could dictate the regulation of commerce with the British West Indies; there was no reason why we should

have to ship American goods to them in British bottoms. And Great Britain could hardly do without our goods either, or without American markets, if it
wanted

to sustain British
was

manufacturing.

In addition, Madison argued, the

United States
on

Great Britain's best for

customer.

America, however, depended

items. These things America
while

the British only

non-necessaries and

luxury

could

do without,

or produce

substitutes.

Moreover,

it

was

tme that

Great Britain bought the bulk

customer,
which evidenced

of

American exports, it
of

was not

America's best

by

calculation

the amount of American produce

Great Britain

re-exports

to

other

countries, particularly France.

was not a matter of party dispute when Madison wrote for the National Gazette, American foreign and commercial policy towards Great Britain and France would become an issue of extreme partisan controversy later in the Washington administration. It is as important

Although this issue

the

first two

essays

to understand that before the formation of

cial relations

parties

the issue

of

foreign

commer

held
as

a central place

in Madison's legislative

plan and republican

its later primary place in party controversy. Indeed, understanding why this was of such importance to Madison prior to 1792 may well help us to understand more fully Madisonian republicanism and the origins of the Republican Party. We shall further pursue this inquiry below
understanding

it to

understand

in

our

discussion

of

Madison's

opposition

to Hamilton's Report on Manufac

tures.
"Money"

The two
sition

Party

Press Essays

entitled

demonstrate Madison's

oppo

to the doctrine

of funding. Although these essays were actually written

while

by

Madison in 1779-80,
issue
of
response

he

was a

delegate to the Continental Congress

and when the

funding

was

1791, in

to the financial

scheme presented n.

being debated, they were not published until by the Treasury Secretary
1). These
essays

during

the First Congress (see

PJM, 1:309-10,
with

demonstrate

Madison's fundamental disagreement

theory. Whereas the Hamiltonian

Hamilton in

respect

to basic fiscal

funding

scheme was

founded in the idea that

366
an

Interpretation
of active

increased supply
the debt and the

(paper) money

would

stimulate

the economy,

establish public credit, and of

enlargement

increase productivity, thereby enabling a diminution of the wealth of the nation, Madison held

serious misgivings about the wisdom of

increasing
The

rency
on

unbacked

by

gold or silver.

The

value of

supply of a paper cur money is not, Madison claimed,

the time of

the

regulated

by

the quantity

in

circulation.

value of paper

the credit of the

nation which

issues

it,

and

currency depends its redemption to

those

gold and metals

silver; the
a

value of gold and silver possesses

depends

on the proportion of

which

country

in

relation

to other commercial countries.

That

funding

schemes can assist

in the

establishment of public credit

Madison

considered

there arises the

carefully implemented, only qualifiedly tme. If potential for demand-pull inflation, further distmst of public
such a scheme

is

not

credit,

ultimately national bankruptcy. Even if a funding scheme is cau tiously executed, it cannot do more than show the good faith of the nation and buy time in which to increase its actual wealth. The idea that over a period of
and

time

funding

acts to

increase

national

wealth, Madison
and

considered

false. At

best, bills

loan-office certificates, which are only delay payment, redeemable only at future dates, actually increase the national debt by adding to it the cost of exchange, re-exchange, and accrued interest. This in turn creates a
of credit greater need to relieve public credit.

In sum, Madison

argued

that

(n]o

expedient could perhaps

have been devised

more preposterous and unlucky.

In

order

to

relieve public credit

sinking
we

under the weight of an enormous

debt,

we

invent

new expenditures.

In

order to raise the value of our money, which

depends its

on the time of

its redemption,

have

recourse to a measure which removes of

redemption to a more

distant day. Instead

paying

off

the capital to the public

creditors,

we give

them an enormous the

sum

interest to

change the name of the

bit

of

paper which expresses

due to them;

and think
elude

it

a piece of

dexterity

in

finance, by emitting loan-office of credit. (PJM. 1:309)

Despite Madison's
theless
opinion

certificates, to

the

necessity

of

emitting bills

that

funding, in any

shape,

is

"evil,"

an

he

none

was willing both in 1783 and in 1790 to United States obligations and re-establish public

submit credit.

to it in order to honor

He denied that he had

the
commencement

in the 1780s
of

supported

funding

but

changed

his

mind after

the new government. He had

while

supported

a scheme of

funding

the national
continued aversion

debt

he

served

in the Continental Congress in 1783. In 1790 he

national and

to support a plan to fund the

to the general

debt, just
to

as

he

continued

in his

doctrine basis

of

funding

measures which would perpetuate a national

the

debt. Madison's marily bank

on

opposition of

to the establishment of
was

bank,

while pri

the

constitutionality,

also

due to his
not

opinion

that

it

would not

benefit
view

the nation economically.

active

He did

disagree that

a national
with

would

increase the that,

currency

of

the nation, but he did disagree

Hamilton's
rency, the

as a consequence of an

value of national

stock would

increased quantity of paper cur increase and the real wealth of the

nation would

be augmented.

Madison's

Party

Press Essays

367

MADISONIAN ECONOMICS

Madison's
grounds,
nected

attack

on

Hamilton's Report
and

on

Manufactures

rested

on

two

economic

theory

republicanism, though the two were closely con

economic

in Madison's

mind.

The

theory

of

James Madison has

hardly
as

been

noticed

by

scholars,

who

have tended to

view

his

opinions

in this field

mere partisan reactions

to Hamiltonian economic measures. While Madison did

not set

forth

a comprehensive statement on economic matters or work out a

detailed
reports

economic program

for the United States,

as

Hamilton did in his

great

for example, in the 1780 and 1790s, he nonetheless did attempt to formulate a general, consistent economic theory. Although we cannot here pro
vide a
cance

full study of Madisonian economic theory, we may point to its signifi in the unfolding partisan drama of the 1790s. Madison was devoted to the idea that there is a natural current of human
and a natural course of commerce.

industry

He believed that if left to them

selves, human

occupations and commerce would of all worlds nature's

ductive direction. In the best

trade would
Nature"

be left free to follow less

generally find the most pro human occupations, emigration, and plan, ultimately reflecting the "Sym
the

metry of at best only

requires

(PJM, 14: 100). In

expedients

the

world of

humanly
natural

possible, one can

sometimes

more or

approximate

this plan, and to do even this

against

temporary

which go

the

course.

Thus, in
the

1789 Madison

advocated

policy

of commercial

discrimination

against

British,
of a

even though such a argued

policy is contrary to
practices of

free

system of commerce.

Madison

that this

was an exception

to the mle, advanced

and

for the

purpose

ultimately establishing He staunchly believed that such a policy would induce the British to institute a more liberal trade policy with the United States. But if they did not, the demand for manufactured articles in the United States result in the growth of manufacturing in this country. On the other would
the monopolizing

halting

the British

freer

course of commerce.

likely

hand, if the British did respond with a higher prices put on imports from Britain
growth of manufactures
was

more

liberal

commercial

policy, the

might well serve as an

impetus for the

the period

in America (presumably,

at

least, during

it

the discriminatory necessary for the United States to retain Despite his bow to his congressional colleagues in the more industrialized least for some time to states, in the 1790s Madison did not believe that, at
policy). significant growth of

come, any
the

manufacturing in America
artificial

was consistent with

natural course

of

industry. While

growth

in manufacturing

and

other nonsubsistence

industries

results

from

governmental encouragement,

the

original growth of these

ment

industries
when

arises

naturally only

as a useful accompani

to agriculture, or later

there comes to

be

a surplus of

labor in the

subsistence and

industry. This is presumably what occurred in Europe. The amount lands to the west, cheapness of land in the United States, and the expansive

gave agriculture

in eighteenth-century America

decided preference, indeed

368

Interpretation
monopoly,"

"natural
the
path of a great

over

every

other

human industry. The only

real obstacle

in

American

agricultural empire was

the problem of the dear-

ness of

labor

on the west side of

the Atlantic. But

if

emigration were allowed

to

take its

natural

course, that is
of

if those

who could not

find

employment

in the
could

saturated

industries

Europe

continued

to come to America where

the expansive

they

sustain themselves and their

families

upon

land itself, the Madison's

cost of

labor in the United States

The 1786. Even though the
some of the

would

decrease

proportionately.

problem of a surplus population was a concern of

nonsubsistence classes of occupation absorb all

as early as helped to absorb

members."

European surplus, they could not As a result, misery and wretchedness

what

of

the

"redundant

characterized the condition of

those Europeans known as the "idle

pears

poor"

(PJM, 9:76). In 1791 Madison ap

to do about this surplus in

to have answered his own question of

his

National Gazette essay "Population and spare, open land for emigrants to cultivate

Emigration."

and

In America, there is in turn to be morally enriched

more

by. The

more emigration

takes

its

natural

course, the

human

industry
af

tends to find its

natural and of

beneficial

current.

Thus the

relief and

benefit

forded to individuals
also afforded

any

given nation

by following

the course of nature

is

to those countries which are either overpopulated or in need of

new members. can aid

In

a similar manner, the

and

benefits derived from free

comfort"

commerce

in the security

"mutual

relief and

of were

the countries and of to characterize the the

super
other."

their

citizens.

Indeed, if

universal of

free intercourse
would

world, the "mutual supply

want"

be

answered

by "making
of

fluities
One
stand

of

every

Country
stand

nation

would

& every individual tributary to those in relation to another just as towns

In
a moment of unrestrained

every

and mral areas

in

relation

to each other.

excitement, Mad

ison

could

imagine the

wondrous possibilities of

natural advantages and

setting

commerce on

reducing all nations to their its free and natural course: "Uni
unites

versal

freedom
man)

presents

the most noble spectacle,

all
"

nations

makes

(every
12:68;
As

prospect,
cf.

a citizen of the whole society of mankind. however visionary it may actually be, for 14:206-09).

And it

presents

the

universal

peace

(PJM,

a component of

his

overall economic

program, Hamilton's

proposed pol

icy

of

encouragement

of

manufactures

was

directly

linked to his

funding

scheme.

By increasing
rapid

the quantity of active capital

means and

the desire to spend

rate.

increase,
of

and

in the United States, the thus demand rises at a propor

would

tionately

The

activation

the economy

take

place

syn

chronously

with governmental encouragement of

American manufactures, thus

creating an even greater impetus for the growth of manufactures in the United States. In Madison's view, Hamilton's program could create an unstable eco
nomic

situation,

depending

as

it did

on the creation of an artificial

demand.

With

an

increased quantity

of

money

to purchase goods, the citizens might well

demand

more manufactured articles and superfluities.

While this

condition

con-

Madison's
tinues, the economy remains vigorous. But ance; what are the dangers associated with
what an

Party Press Essays

is to
guarantee

369

its

continu

artificially

spurred economy?

Indeed,

what are the

dangers

associated with a
written

In the

"Money,"

second part of

manufacturing economy? well before Hamilton's Report

on

Manufactures, Madison

claimed that there are three possible effects of an arti

ficially
or

stimulated economy:

(1)

no

increases in demand
production

at

all;

(2)

such a slow

augmentation

that the growth of

industrial

keeps

pace with

demand;

(3)

such a rapid

increase in demand that the domestic

natural to

market cannot

keep

pace with ence

"the taste for distinction

wealth,"

and so creates a prefer

for foreign

luxury

seldom occurs.

In the third

items (PJM, 1:306-07). The first case, he argued, case the money would be drained off by foreigners.

After Hamilton's Report

Treasury Secretary
rapid

Manufactures Madison probably saw signs that the intended a combination of the second and third cases: a
on accompanied market.

increase in demand

by

increase in the domestic In the

Press

In

other

governmentally words, Americans

sponsored rapid would

both de

mand and themselves produce

the superfluities distinctive of the

wealthy.

"Fashion,"

Party

Essay industry

Madison describes
which

effects of a

manufacturing

in England

satirically the depended on the con

rather

sumption and caprice of

the other classes of people. The dependence on the

demand for these

to the

articles was and

industry tressing they produced might be desired

might change

its

workers

potentially (and in the late 1780s actually) dis because, as non-necessities, the buckles
or not at the whim of

fashion. The
"servile

public

taste

suddenly,

and

a preference

for

shoestrings

might prevail!

The

British
on the

buckle-factory

workers were

thus in a

dependence"

condition of and

consumers'

mere caprices
nations nations

in fashion

that some manufacturing

fancy

of other

consuming

fancy, much in the same way (e.g., Great Britain) are dependent on the (e.g., the United States) for their economic
in Great Britain (and Bri

livelihood.

Contrary
tain

to the

plight of some classes of citizens citizens nor

herself),

American

(and

so

too the United

rather

States)

were

in

a condi

tion of neither dependence

existence of those who

servility, but

live the independent, manly

live

on

their own soil, or

whose

labour is necessary to its cultivation,

or who

[are]

in supplying wants, which being founded in utility, in comfortable accommodation, or in settled habits, produce a reciprocity of dependence, at once social rights. (PJM, 14:258) ensuring subsistence, and inspiring a dignified sense of
occupied

If

we read this passage

carefully, we see that Madison's attack on Hamilton's

vision of the commercial republic

the manufacturing
against the error which

industry,

was

in the 1790s, while it was directed in fact less directed against it per
a program

against

se

than

he

perceived

in

built

on

an economic

theory in
of
eco-

supply

economics

outstrip the natural course of to politics in Madison's thought is then

can

demand. The relationship

obvious:

The

servile

370
nomic others

Interpretation
condition

of those
conducive

who

depend for their bread

on

the mere

fancy

of

is

hardly

to the formation or

maintenance of a

free, indepen

dent

citizenry.

Accordingly,
tribution of

that seemingly most non-Madisonian essay,

appears now

"Republican Dis

Citizens,"

in this
to

context

it actually
economy.

marks

further

response

his 1786

fittingly inquiry

Madisonian. In concerning

fact,

political
society"

What to do

about

the "redundant members of a populous

was part of a more comprehensive question

Madison

asked:

What is the "proper

distribution

of

the

inhabitants
most

of a

Country fully
and

peopled"?
happy"

(PJM, 9:76). That

that

the yeomanry are "the

truly independent
are never

and

they

provide

"the best basis for

tme

public

liberty,

and the strongest

bulwark

safety"

of public are neither

is

for Madison because farmers fosters

redundant;

they

in

condition of economic nor psychological

live in

a manner which

economic

servility (PJM, 14:256). Rather, they and mental independence, as well as

citizens, according
proportion

physical and moral

health. The

existence of other classes of

to this Madisonian model,

would

be in

to the natural current of

of

demand, both in
tuted

respect

to the utilities and the virtues

as such

by

citizens

distributed

in the

various

life. A society consti occupations would itself be

happy."

"the
of

more

free,

the more

the citizens nor the

independent, and the more nation itself, Madison implies,

viewed

Neither

a portion

would

be in the

servile

and wretched condition of

the British buckle makers and their country.

the manufacturing

While it is true that Madison

industry
not

as

less
on

favorable to health, intelligence, competency, and virtue, he was discouraging its natural growth. Rather he aimed to prevent the

bent

government
avail

from

fostering

its

artificial growth.

When the United States

no

longer had

able vacant

lands to

cultivate and subsistence occupations

naturally

allied with

agriculture to until

fill,

then the growth of manufacturing would occur naturally. But

and

then, the

forcing

fostering

of growth

in

manufactures

ought, Madison

claimed, "to be

regret"

seen with

(PJM, 14:246).
for encouraging manufactures engaged in farming. To provide the
plan

To

add

would, at

insult to injury, Hamilton's least initially, hurt the citizens

bounties
goods

impetus the infant manufacturing industry needed, discriminatory tariffs and would be set in place, thereby making the purchase of cheaper foreign
impossible. The farmers
would

essentially be

footing

the bill to

stimulate

the growth of manufacturing. Since the majority of Americans

worked not

in

manufacturing but in agriculture, this meant that the many would be forced to suffer in order to provide the few with further opportunities to invest in poten

tially
could

profitable
now see

financial
a

ventures

(see PJM, 14:266-68). Madison believed he

actions:

clear pattern

in Hamilton's

As in the

case

of

the

national were

bank,

so too with

the encouragement of manufactures, the

monied men

to be the ones to profit from the new government, with or without consti tutional sanction. In turn, the stability and strength of the government would

depend

on

their

interested

support.

If

not the

intention

then the

tendency

of

Madison's
Hamiltonianism
.

Party Press Essays

371

would result

in

[whose] interested

partizans
of

"government operating by corrupt influence; may support a real domination of the few,
.

under an apparent

liberty

many"

the

(PJM, 14:233;

cf.

14:371

and

426-27).

Madison believed that if this

States,

an artificial

tal cohorts would

successfully aristocracy composed of monied men and their governmen mle America with unlimited discretion (see PJM, 14:274-75,

program were

executed

in the United

371,426-27).

THE UNDERLYING THEORY OF REPUBLICANISM

Madisonian theory in the Party Press Essays stands in opposition to what would or had become the policy of the Federalist administration. The first few essays confront issues that were debated in the First Congress, while the latter
concentrate more on the controversies

that

were

Second Congress. In this

and,
much

sense the

Party

arising or escalating during the Press Essays are opposition pieces

are

like many

op-ed pieces of

today, they

marily stop here. In the

oriented

oriented

to the push and pull of

Party

everyday Press Essays he deliberately leaps the bounds

forth the theoretical foundations

politics.

timely, relevant, and pri But Madison does not

of issue-

discourse

and sets

of republicanism.

In this

sense the essays are

for

what

they

are of

promoting
after

highly and defending

on

affirmative and must

as

be

understood as much are opposing.

and

for

what

they

In the fall

1791,

the conclusion of the First Congress

before he

had digested Hamilton's Report lished "Public

of
Opinion"

Manufactures in the Second, Madison pub in the National Gazette. This essay reflects a number

his

concerns

during

the First

Congress

and at

the commencement of the next,

for amendments, the establishment of the Post Office and including post roads, the reduction of postage for newspapers to encourage the distribu tion of information throughout the entire nation, and opposition to the establish
support

his

ment of a national
rent

policy which Madison based his The

concerns.

bank. But this essay is much more than a reflection of cur "Public sets forth the fundamental principle upon
Opinion"

political activity.

This

principle was

the core

of

Mad

isonian

republicanism and

the animating cause of

political

core of

Madisonian

theory in

the-

his later party opposition. 1790s is the principle

the

of

republican self-government.

This is the theme

of

Party

Press Essays. Not

parties

only does Madison declare that the division of the United States into the 1790s stems from the grave disagreement over whether mankind

in

are capa

ble

of

Party

governing themselves (PJM, 14:371), but he also directs his efforts in the Press Essays to explaining how tme republicans must govern themselves.
essays

In these

Madison

emphasizes

the issue of the

proper role of public opin

ion in the American

political system. means

He

emphasizes public opinion

because he
made

believes it to be the
effective and

by

which republican self-government

is

both

legitimate.

372

Interpretation
people,"

"The

Madison proclaims,

"[are]
a

the only earthly source of author

ity.

"
.

(PJM, 14: 191). If

that

the voice of the people

is

not combined or called

into

effect, then the

government

is left to

"self

directed

course"

(PJM, 14:138).

Public
the that

measures

community"

"appeal to the understanding and general interest of demonstrate a denial of the doctrine of self-government, and

do

not

government

which

operates

as

such

is

anti-republican

and

illegitimate
opin

(PJM, 14:371, 192). In

ion
sets
one"

essence, Madison emphatically

and

declares,

"Public

bounds to every government, (PJM, 14:170).

when

is the

real sovereign

in every free

Madison teaches that

public opinion

is fixed,

government ought to

obey its dictates (PJM, 14:170). Furthermore,

governments even

when public opinion

is

fixed,

the

most

arbitrary

governments

dictates. Thus, public opinion controls government Though the distribution and balancing of the powers of in the
even prevention of government responsible

do in actuality obey its (PJM, 14:192, 201-2).

government can assist

primarily
of public

tyranny, these safeguards are not solely or for the maintenance of governmental equilibrium, security
of

the prevention of

tyranny

and the
are

liberty. Rather, the people,

via

the

force

opinion,

the main preservers of the equilibrium of govern

cf.

ment and

the primary guardians of constitutional liberty (PJM, 14:201, 218; 14:192). Accordingly, the opinion of the public should be an

"enlightened"

opinion.

It

should attach
as set

itself to the

national

and state governments of the

United States
will not

forth in the American constitutions, for

In essence, the

liberty

and order

truly be

secure otherwise.

constitutions of

the United the public;

States

represent

the

most authoritative expression of the opinion of

scriptures"

they
"the

are

the "political

of the

American people,

and as cf.

such,

they

are

property"

most sacred part of

their

(PJM, 14:192, 218;

14:267).

does not operate simply controlling or negative influence on government. Public opinion, when fixed, is in fact the force that moves government. The will of the government
political scheme public opinion
as a

In Madison's 1790s

be dependent upon, indeed it must be the same with, the will of the society (PJM, 14:207, 234). When public opinion is fixed, the government is
must

not

self-directed;

instead,
more

government

is directed is

by

the "public

mind."

The

"public

mind"

is

than merely the vocal demands of the populace,

which constituted added).

it is

particular
sense of

kind

of public opinion

by

"the

voice and the

people"

the

(PJM, 14:138. Emphasis

are provided

The

conditions

necessary

to combine and call

into

effect the opinion of the public

in the

expansive terri

tory

of

the

United States
of

by

the state governments. Without them,

the expressions
all cases

the public mind

would not

be in the best

of cases

partial,

and

in

ineffectual. Madison does

explanation of

in the

Party

Press Essays

offer a

de

tailed, technical
achieved.

how the

sense or reason of

the public is to

be
the

He

does, however,
interests
in the
of

make

tal will or the

the

few,
The

it abundantly clear that, but the "reason of the

reason of

not the governmen

society"

is to be

mling

element

regime.

the

society

mles when the will of

Madison's
the government depends upon the
will of

Party
and

Press Essays

-373

the society,

the will of the

society

depends The
of

upon the reason of

the society

(PJM, 14:207, 234).

Madison's
case

Party

Press Essays

majority

mle and right mle.

loosely set forth They direct

for the

conjunction

our attention

to the conditions nec

essary to achieve the republican requirement of the coalescence of power and right. While the people are to have no direct agency in governing the American republic, it is nonetheless their opinion that is to provide the continuous foun
dation for
us pause regime's character. question public

policy decisions. But

what

is to influence

public opinion?

Let

for

a moment

to consider the significance of this

question and of a of a people's

response

to it. This is the question of the

formation

If the

people are the

is the

regime

fundamental authority of the regime, then this question. It asks nothing less than What is to be the

character of

the American regime? Madison asks this question in the

and

Party
it

Press Essays
"Notes."

in his

"Notes"

related to these

essays.

He

responds to

partially in the Party Press Essays; he intends a comprehensive response to it in In the essays Madison mentions the influence of a constitutional his

bill

of rights

of

the law

on public opinion.

He

also

discusses the influence

governmental representatives

may have

on

the people's will and opinion. Prior

to the
ment

of a national public will on any given policy question, govern influence public opinion (PJM, 14:170). In the extended republic of may the United States this will in fact often be the case, thus leaving sufficient

formation

occasion

Whether the
conditions

for the authority and influence of statesmen (see PJM, 14:170). scope of Madison's vision is sufficiently broad to achieve the

necessary for the formation

of a regime

in

which power and

right

are

synonymous must remain unanswered

ison

understood

here. But that in the early 1790s Mad himself to be engaged in the establishment of the conditions
of power and reason

necessary for the coalescence in the Party Press Essays.

In the
pages of the

is manifestly demonstrated

National Gazette Madison

argues against

increasing

or

encouraging interests, parties, and factions in the society and advances instead the idea of a concordance of interest and sentiment. And it is the common,
rather than

the different reasonable,

and

distinct,

that is to provide the foundation for repub

cause"

lican,
scends

and

mle

in America. The "common interests in the

and

of society.

Americans is
tran
of

not the mere aggregate of unqualified

Rather, it

the different

and various

interests

passions; it is

made

in "spight

distinctions"

circumstantial and artificial of

making

a common cause
policy"

(PJM, 14:237, 138-39). The practice is in its nature republican and is the foundation for
cement

"republican

"the only

for the Union

peopl

of a republican

America is nothing less than the partner ship of a republican citizenry, the noble bonds which unite and cement together In sum, Madison exhorts the enlightened "friends to republican

(PJM, 14:275). The

common cause of

government

the

people

of

America to "erect
and

over the

whole, one paramount Empire of

affection"

reason, benevolence

brotherly

(PJM, 14:139).

374

Interpretation
of commercial

Madison's advocacy
call

discrimination
and

against

the

British, his

for

emigration

to the United

States,

his

opposition

to

perpetuating the
to governmental

national

debt,
But

to the

establishment of a

national

bank,

and

encouragement

of manufactures

represent

nomics.

more

fundamentally

understanding of eco Madison's thought and actions in the early

and comprehensive view of

a particular

1790s

represent a rather complex

the principles,

processes,

and conditions of republicanism.

The thwarting

of

the natural course

of commerce and

human

industry

tends to create poor, slavish souls, whether in

conditions are not

the West Indies or in America. to produce an

uation might

Such

the

fertile

soil required

independent, free,
debt
and

and virtuous republican citizenry.

The

perpet

of

national

funding
is
not

scheme, however beneficial

not

funding
a

be in the

short run,

tends to

beget
in

only
In

economic

decline but

sleepy, dependent

public which

command of

the direction of public

rather

policy, especially in

matters of war and peace.

fact,

than

the conditions necessary for republicanism,

ernment to exercise

funding
the
was

gives occasion

advancing for the gov

its

will

independent

of

will of

the society. The estab

lishment
of

of a national

bank, Madison believed, tendency

on

both contrary to the intent

and corruption

the Constitution

i.e.,

the most sacred manifestation of the opinion of the toward

people ernment.

and promotive of a

influence
clinched

in

gov

Hamilton's Report

Manufactures

Madison's

perception of

the direction the

and

new republic was

taking. The subversion of the "fundamental

government
was

principle"

characteristic sense of the

of republican

under

way; the

known

Constitution

established

by

the

fundamental

opinion of

the

people was

to be

abandoned and

the

will of

their mlers was to take

on

its

place.

(PJM, 14:193-94;
strated the

cf.

PJM, 14:195). The Report

of constitutional and

Manufactures demon

manifest

defiance

opinion

by

Hamilton

and

his

"antirepublicans"

crony lish the

further, if successfully implemented,

mle

would estab

conditions

favorable to
dear

by

the monied

few. The

cost of

the admin

istration's policy people incapable

was of

indeed, for it
was

would create an union.

uninformed, servile

the bonds of

republican

In Madison's mind, the

of a people

tendency
incapable

of of

Hamiltonianism

nothing less than the formation

governing themselves.

PUBLIUS REDIVIVUS

The

presentation of the shows

us

doctrine
Madison

of republican self-government we are

unfamiliar with

in the

Party

Press Essays
Publius
as the

and

find hard to

know. For those

of us who grew
of

father

up understanding Madison as Publius, and the commercial republic, the Madison of the 1790s is
was a

rather startling.

We have been taught that Publius

wanted to

firm

nationalist.

We
poli and

have been taught that Publius

devitalize the force

a

of opinion
of

in

tics. We have been taught that Publius encouraged

multiplicity

factions

Madison's
parties

Party

Press Essays

375

so that no one particular

faction

or

party

could reign.

We have been

taught that shrewd structural and institutional arrangements are the

backbone

of

Publius's Federalist

scheme style

to prevent injustice and to protect

more

liberty,

and that

justice

is little

than the prevention of

who praises

injustice. But the

farmer
and

Party
of who

Press Essays
the
effects

show us a

Madison
and

the

yeoman

is wary

of commerce

manufacturing,

who

defends

federalism,

speaks out against

the encouragement of factions and parties in the republic and

rather promotes a common opinion and a common opinion

cause,

who elevates public

to the

sovereign

force in

republican

government,

and who

declares that
constitu of public

the

structural and

institutional

arrangements

built into the American

the

tional system are virtually

opinion.

impotent

when measured against change of mind

force

Did Madison
reject

undergo a radical

between 1787

and

1792? Did he While

his former teaching

them

as

Publius?
questions

we cannot attempt
we raise

to answer these

here, it is

nonetheless

important that
Madison did
onstrated.

in the

context of

Madison's

Party

Press Essays. If

not change

If he did

change

his mind, then his claim to consistency must be dem his mind, then why? In studying anew the political
it is incumbent few
that
upon us

thought of James Madison

to

bring

freshness to that
such
was

inquiry. Let
an

us conclude with a

questions which would

be helpful to

inquiry.

Why

is it

assumed

more a nationalist

than a

in the 1780s Madison (the Federalist) federalist? Why is it assumed that he was a
as

states'-

righter in the 1790s? Is

and

not another view of

Madisonian federalism in the 1780s

accurate, that

early 1790s (if

not

later

well)

possible and perhaps more an

is,

one which recognizes and

defends

important
without

role of the state govern

ments

in the formation
"federal

of a

"national

will"

to the

national government?

(See particularly

defending their supremacy Federalist 46.) Is there, for exam

sustenance of

principle"

ple,

which

is

essential

to the

the "republican

as Federalist 51 seems to imply? What is the relationship of commerce to agriculture as discussed by Madison in The Federalist! (Consider Federalist
cause,"

41.)

Are there

sufficient grounds
commercial

for considering Madison the

a
commercial

master-mind of

the American

republic

regime

which

rests

on

citizenry

who

ceaselessly

strive after private gain?

"opinion"

How

are we

to

understand

the clearly

advertent omission of

from Publius's definition

Publius's
claim

of

faction
not the

in Federalist 10? How institutional

control

are we to understand

that

it is

arrangements

but the
that

people who are

to be primarily
of

relied upon

to

the

government and

it is the "reason
"practicable

the

that

is to "sit in

judgment"

in the American

regime?

Does Publius's advocacy

sphere"

large

sphere of

territory but
concern

of not simply a have anything to do with

Press Essays regarding the relationship of the size of a territory to the effectiveness of public opinion? (See not only Federalist 10 and Publius's focus on extending the territory, but his remarks in and the need and 63 emphasizing the potential dangers from Federalists

Madison's later

in the

Party

14, 51,

for limits

on the size of republican territory.

Cf. PJM, 14:171.) If there is

376

Interpretation

connection

between the two, then does this

extended

not

make

very

problematic the

thesis that the Madisonian the

ceaseless

territory
at

scheme was

intended to

encourage

pursuit of private

interest

the desired

expense of

devitalizing
of

opinion

in the

regime?

Where,
a

ever, in The Federalist does Madison speak of a

interests"

"multiplicity
sects"

of

factions"? Is

"multiplicity

of

or a

"multiplicity
we a

necessarily the same as a multiplicity of

to avoid rushing to the conclusion

not careful of

factions? If not, should that Publius is advocating

"party"

be

kind

common opinion?

divisiveness in society that precludes the formation How does Madison use the word
use

of a common cause and a

in The Federalist?
"party"

How does he

the word in the

Party
just

Press Essays? Is

always

identical to
example

faction? Are there

not

as well as unjust parties?

(See, for

Federalist

51.)

Whatever the

contribution of the

dominant interpreta

tion of Madisonian theory in The Federalist may be, and it certainly makes an important contribution, the questions concerning Madison's political thought
which are

implied

by

study

of

the

Party

Press Essays demonstrate that

more

work needs

to be done if

we are

to

understand

fully

and well

the

mind of

James

Madison. The
alist

Party

Press Essays

compel us

to a reconsideration of The Feder

"Notes."

and, here we will only suggest, to an examination of Madison's

NOTES

ville:

1. The Papers of James Madison (hereafter PJM), ed. Robert A. Rutland, et al. (Charlottes University Press of Virginia, 1983) 14:110-12). Volumes 1-10 of The Papers of James
were published

Madison

were published series

by

the

by the University University Press of

and

of

Virginia, from 1977

Chicago Press, from 1962 to 1977. Volumes 11-15 to 1985. The editors of the entire

to date include: Robert A.

Rutland, William T. Hutchinson, William M. E. Rachal, Thomas

Jeanne K. Sisson.

A. Mason, Charles F. Hobson,

APPENDIX

For The National Gazette

Dependent Territories

Are

of of

two kinds. First their

useful

Such

as yield

to the superior state at once a mo

superfluities.

nopoly

productions, and a market for its

might

These, by
an

exciting
sions.

and

unfavorable

employing industry, balance were not created

be

a source of

beneficial riches, if

by

the charge of

keeping

such posses yield

The West Indies

are an example. Second those,

which, though

ing

also a

monopoly This

and a
on

market,

are

wealth which

they heap

individuals,
is
not

principally lucrative, by who transport and dissipate it

overbalanced
not

means of

the

within the

superior state.
of

wealth

only like the former,

resembles that
of similar

by

the cost

maintaining its sources, but from mines, and is productive

from industry, but drawn, effects. The East Indies are an

example.

Madison's
All dependent
countries are

Party

Press Essays

377

to the superior state, not in the relation of chil

dren

and parent,

master, and

have

according like influence

to the common phrase,

on character. cherish

but in that

of slave and

By

rendering the labour

of the

one, the property of the other,

they

pride,

luxury,

and

vanity

on one

side; on the other, vice and servility, or

hatred

and revolt.

Tocqueville

and

the Problem

of

Natural Right

Robert Eden
Hillsdale College

The primary
stated

questions of classical political philosophy, and the terms

were not

in

which

it

them,

specifically
at

philosophic or

scientific;

they

were questions that were stated

are raised

in assemblies,
and

councils, clubs and cabinets, and

they

in terms

intelligible everyday

familiar,
These
political

least to

all sane

adults, from everyday

experience and

usage.

questions

have

a natural

hierarchy

which supplies political

life,

and

hence

philosophy, with its fundamental orientation.

method,

was presented

Similarly it can be said that the by political life itself

name of

too, of classical political philosophy in practically all cases claims are raised

in the

justice. The

opposed claims are

based, then,

on opinions of what

is

good or

just. To

justify

their claims, the opposed parties advance arguments. The

an

conflict calls what

for arbitration, for

intelligent decision that

will give each

it truly deserves. Some

of the material required

for making

such a

party decision is

offered

and the very insufficiency of this partial its partisan origin due to points the way to insufficiency obviously its completion by the umpire. The umpire par excellence is the political

by

the opposed parties

themselves,

material

an

philosopher. entrepris

de

voir, non pas autrement, mais plus

Cf. de Tocqueville, De la democratie en Amerique: "J'ai loin que les

Leo Strauss, "On Classical Political

partis."

Philosophy"

In this, to my knowledge the sole mention of Tocqueville in his published work, Strauss adumbrates a twofold approach, to and from classical political
philosophy, from
and

to Tocqueville. He suggests that our most direct access to

of classical

the questions and

method

Democracy
quate

in America

and

implies that

presuppose or require
of

and might

philosophy might be through full understanding of that work would an ample and ade therefore have to await
political

recovery America is a threshold to the

those questions and that method. For

ancient questions and method. classical political

Strauss, Democracy in However, the great

difficulty
most

truly recovering prominent themes (OT,

of

hibits

that

difficulty

so

philosophy is one of Strauss's p. 116, n. 44; NR, p. 34). Indeed, Strauss ex persuasively that one must wonder whether Tocqueville

A substantially different version of this American Political Science Association. Citations to the in the
reference
writings of

article was

delivered

at

the 1988 Annual

Meeting

of

the

Alexis de Tocqueville

and of

Leo Strauss

are

by

abbreviations noted

list.

interpretation,

Spring 1990,

Vol. 17, No. 3

380
is
not

Interpretation properly the least

accessible of

the authors we commonly

cal philosophy.

Precisely

to the
or

extent

that he was,

as

study in politi Strauss here intimates,

excellence,"

"the

umpire par

the

living

exemplar of what

it

means

to be

political philosopher
difficulty.'

in the

classical

sense, Tocqueville
on

should

exemplify

that

Thus,

while

Tocqueville's book

democracy

may gracefully

serve

as a portal to the questions and methods of classical political

order

philosophy, the

the

philosophic

may have to be reversed if we wish to understand the mind and spirit judgment of the umpire Tocqueville. In that case, the study
ancient political philosophers would questions and methods of

of the

understanding the

necessarily provide the portal to Tocqueville. To the degree that the hold
our think
we need

premises of modem political science govern our perceptions and

ing
the

within

the circle of

its

questions and

methods, Strauss implies that

classics

to

understand

Tocqueville.
not

Strauss's Tocqueville

reference

to Tocqueville indicates that Strauss does

day"

regard

as a

"present

political scientist:

"The difference between the

political scientist

classical political philosopher and the present

day
The

is illustrated
He
cites

by

Macaulay's
a

remark on

Sir William Temple: 'Temple

p. n.2).

was not a mediator.

(WPP, 81, merely Macaulay's essay on Temple (W, pp. 246-345). According to Macaulay, in 1680 Charles II found no support for including Temple among his list of privy
was passage

neutral'"

Strauss

is from

counsellors:

"Neither party

wanted a man who was afraid of

enemies.

taking

part,

of

incurring
Temple

abuse, of making

There

were

probably many

good and mod

erate men who would

have hailed the He

was

appearance of a respectable mediator.

neutral"

But

was not a mediator.

merely

(p. 313). It

seems odd

and anachronous that

with a

Strauss late

should

identify

the

present-day

political scientist

diplomat
Strauss's for

of the

seventeenth

century,

until one reads

Macaulay's

essay.

observation

is that

current

doctrines in
as

political science provide

a shield
pp.

men who

deserve to be judged
make men of

Macaulay

judged Temple (LA,

norm or

203-223). These doctrines

political

like Temple the

the mling

type in

science; the character

Temple is

coeval with political

life.
situa

Like Sir William Temple, Tocqueville came into a postrevolutionary tion in which great passion or aspiration seemed to be spent and
ness was the mle.

mean-spirited-

Macaulay

draws

full

picture of

that political and moral

landscape. Tocqueville evidently responded to that milieu quite distinctively. By contrast with Temple, Strauss indicates, Tocqueville was not "merely a
neutral."

He
to

was not afraid of

incurring

abuse or

no reason

despise him
to see

as a political castrato.

making enemies; The character of a

partisans

had

"mediator"

is

suggested

by

the remark that Strauss quotes. Tocqueville says that he has un

"otherwise"
"differently"

dertaken
see

not

or

than the parties,

further. Like the

ancient political parties that

but merely to Strauss has just described, just.

Tocqueville
modem

advances a claim

regarding

what

is

good and

In this respect, Tocqueville

political

would seem

to differ not only from

political

Temple,

the

scientist, but from

modem

philosophy in

general.

Tocqueville

and

the Problem of Natural Right

381

Present-day neutrality is
phers of

a vestige of

the attempt

by

modem political philoso

to resolve the theological-political problem. The most dramatic symptom

political strife

that problem was religious warfare

contrast

between

religious sects.

In

to such sectarian parties,

modem political

modem political parties are

indebted to

specifically

doctrine.

They

rest upon

what purports

to be a
parties com

religiously that Tocqueville found before him in France

ments at

neutral solution

to the theological-political

problem.2

But the

the parties on which

he

length in the introduction to

modem

Democracy
pp.

in America

are symptoms of

the collapse of this

neutrality (DA,

16-18, 297-301, 432-433).

in
continental
mediation

They testify
pp.

to the

failure

of modem political science to create

Europe the kind

of parties

that allow of neutrality rather than

(AR,

10-13, 19-21, 149-157).

Tocqueville's Introduction to
upon

Democracy

in America features

a meditation

the

interplay
(DA,

between French

partisans

in the

aftermath of the

French

Revolution beyond the

touch
with

pp.

9, 12-13, 15-18). That interplay drives both

inherent limits
of their positions. sight of what

sides

far

natural or

The

partisans are out of no

themselves.

They
is

have lost

belongs to them; they

longer
ence.

respect

the natural bonds which give their respective positions coher

at war within

Each

of the parties

against

himself (pp. 16-18). failed failed

a

itself; each of the partisans is divided Surveying France, Tocqueville is a witness to the
to reduce the importance of the to introduce secular,
modem
theological-

consequences of a

attempt attempt

political problem, a

liberal

politics.

providing French Revolution has

produced a new

Instead

of

neutral

foundation for bitter division

modem

partisan

politics, the

produced a of

over

the attempt itself. It has

upon an unprecedented and the

kind

European partisanship based

advocates of secular

ideological
These

warfare

between

freedom

defenders

of

religion and moral order.

are

the

parties

to

which

Democracy
is
evident

in America

is

addressed.

Tocqueville's
parties.

character as a mediator

from his

conduct

toward such

In

particular

it is

shown

to Strauss

by

Tocqueville's denial that he

enjoys a nonpartisan or neutral position. ville's perspective

is admittedly partisan. his way an engaged party or a citizen, but while he sees no differently, he sees further. Tocqueville, like Strauss, does not seek to suppress or denigrate the citizen's perspective, the way engaged citizens look at politics. As he puts it,

Unlike Sir William Temple, Tocque He does not see autrement: He is in

Are

you

disgusted

with

the

parties

themselves,

or with the always

ideas

which

they

profess?

In the first case,

cannot

you

know that I have

inclined to that opinion; but

in any way subscribe. There is now a growing indifference towards every idea that can disturb society, whether true or false, mean or Those only who desire power for themselves, and not the strength ennobling. No! I certainly do or glory of their country, can rejoice in such a spectacle. in indifferent as consider them I do not not laugh at political convictions;
to the second I
.

382

Interpretation
and as mere

themselves,
two

instruments in the hands

where

of men.

I try

not to

have
the

worlds: a moral

one,

still

delight in

all

that

is

good and noble, and

other

political,
of

where

I may lie

with

benefit

the

dirt

which covers

it.

...

my face to the ground, enjoying the full I try not to separate what is inseparable.
pp.

(Letter to

M.Stoffels, January 12, 1833, MLM,

seek a neutral position

374-375)
citizen's political per

Rather than

divorced from the

spective, Tocqueville intends to take the partisans themselves, to see beyond the

partisan perspectives present quarrel.

further than the

parties require

The

Left to themselves, they Tocqueville describes.

a
mediator.

would

interact forever in the

to the parties

manner

Tocqueville
reduced moral

cannot

believe that the

misere

which

have been
or

by

their conflict,

this condition of "intellectual

wretc

destitution,
his

was meant

to endure (p. 18). The origin of this condition in

statement

partisan conflict

leads Tocqueville to his first

in

Democracy
That

in Amer

ica

of

special philosophical and political skepticism.

skepticism will

seem

incomprehensible to Cartesian his

philosophes schooled

in

universal

doubt,
a

for it is both bound to defense

of own

a statement of tmst and

intellectual health
a

in God, freedom:
le laisser
Je

and

inseparable from

Penserai-je
milieu

que

le Createur

fait I'homme

pour

se

debattre
le

sans

fin

au

des

miseres

intellectuelles

qui nous entourent?

ne saurais

croire:

Dieu

prepare aux societes europeennees un avenir plus

fixe

et plus

calme; j'ignore ses

desseins,
j'aimerai

mais

je

ne cesserais pas

d'y

croire parce que que

je

ne puis

les penetrer,
p.

et

mieux

douter de
of

mes

lumieres

de

sa

justice. (dDA,

14)

Tocqueville's defense
tive skepticism. A
a monster of

philosophy

or of

the mind takes the form of a distinc

such

deity

who created us

for

injustice. Tocqueville be

announces that
of

poverty of the mind would be he would much rather doubt

his

own

lights than doubt the justice

would

God. As this

indicates, in doubting his

man

own

light, Tocqueville

doubting

the claim that

is fated to intel

lectual wretchedness, or that a power beyond his will has deprived man of the conditions of intellectual nobility and excellence {Lumieres means sight but
may also refer to certain doctrines of the Enlightenment.) One could conclude from these observations that when Tocqueville
of speaks

himself
needed

as

"a liberal
a new

kind"

of a new
neither

and contends

that

a new political science

is

for

world,

his

political

science nor

his liberalism is

For Strauss, Tocqueville would be an exemplar of classical political philosophy if he were an exemplar of ancient liberalism, because on Strauss's
modem.

understanding, these

were

inseparable from

one another

(LA,

pp.

28-29,

63-

64).
An
whom

objection

to

Strauss's
regard to

procedure
classical

here

might

be that "the

parties

of

he

speaks

in

political

compared

to "the

parties"

of whom

Tocqueville

speaks.

philosophy cannot really be The import of the ob

jection is that Strauss's description

of the classical political philosopher

in

inter-

Tocqueville
action with

and the

Problem of Natural Right

383

the parties to political disputes is an account that cannot hold in all

times and places or

addressed

in

all

historical

circumstances. parties of

Tocqueville

could not

have
with

the European or French

the

mid-nineteenth

century

the method of ancient political philosophy,

essentially different then. Taken seriously, this objection should apply to Strauss no less strenuously than to Tocqueville. Strauss could not have addressed the parties in
conflict

because the

parties were

in

our

time with that method.

This is party

by

no means a trivial objection.

Strauss

observes that

in the

classical

parties'

conflict, the partisan origin of the

of the

claims was the source of the

insufficiency
arbitrator.

"partial

material"

which

they

supplied

to the

mediator-

The

umpire

had An

some of

ligent decision "that

the

will give each example

material required.

the material required for making an intel but not all of party what it truly from Aristotle's Politics illustrates this pro
deserves,"

cedure claim

(WPP,

p.

81,

n.

1). Democrats

claim that

justice is equality;
these claims

oligarchs

that

inequality is justice.
justice in its

The

partisan origin of

is

clear.

The

Aristotelian
of

political philosopher corrects

these insufficient claims in the light

sense"

"the

whole of

authoritative

(P,

p.

97 [1280all]). Of

course, Tocqueville's
and

work mediates

between the

claims of

democratic equality
to in the sentence

the claims of aristocratic inequality. But it cannot really be said that the
of concern quotes are

parties

to

Tocqueville

the

"parties"

referred

Strauss

We have just
clear:

seen

essentially a party of democracy and a party of aristocracy. why that is so. The partisan origin of the European parties is
and

It is the French Revolution

orthodox politics of
problem.

the conflict between

modem

liberal

poli

tics and the

the old regime in France. The historicist objec

tion poses this

Is

classical political claims of

philosophy

as

Strauss describes
conflict

it

as

mediation

between the

the parties to

political

possible when the parties are

mediation possible when the

divided failure

over such claims?

Is

such philosophical

of

the

modem solution

to the

theological-

political problem

is the

source of partisan conflict?

It

seems to me that same

Strauss

and

Tocqueville are, to

use

in the

boat in
and

regard

to this question.

They

are

Strauss's metaphor, in the same boat to

because they are not men of their times. To the extent that or that they are not determined by the charac "modem are not they teristic assumptions and thoughtways of their times, they must face the same troubled waters, the same waves of objections. Strauss's circumstances may
the extent that
men,"

dire than Tocqueville's in this regard, for the parties described by Tocqueville were not so rigidly crystalized in regard to the central teaching of be
even more

Strauss's
resistance observed:

main work.

Tocqueville did

not

have to

overcome certain

types

of

because

natural right

had

not yet

become

a partisan affair.

Strauss

The issue

of natural right presents

itself today

as a matter of

Looking

around

us, we see two hostile camps,

heavily

party allegiance. fortified and strictly

384

Interpretation
One is
occupied

guarded.

by

the liberals of
of

various

descriptions, the
p.

other

by

the

Catholic

and non-Catholic

disciples

Thomas Aquinas. (NR,

7)

The

parties

discussed

by

Tocqueville in the Introduction to

of

Democracy
hostile

in

America

are

the nineteenth-century forerunners

were not so

these two

camps.

Their borders
1953

substantial role was

in

political

strictly guarded and fortified, but they played a more life. Natural right as a matter of party allegiance in
to the
major political parties almost

certainly

marginal

in the United in

States;

these armed camps were small enclaves,

and
universities.

sects, of scholars

seminaries

sponded,
whole.

on

But the nineteenth-century party divisions in France corre Tocqueville's account, to lines of cleavage in French society as a for
political allies opened
a more

The
The

search

the French

partisans

to marriages of

convenience

that

partisans of

orthodoxy strictly freedom and equality surely did not

guarded

could not

have

allowed.

fortify

their encampment

to exclude tre and

Rousseau; the partisans of throne and altar did not exclude de Mais de Bonald, to say nothing of Edmund Burke. Both sides to the
conflict
were

post-

revolutionary
right.

ambivalently

parties

of

natural

law

and

natural

They

were

and oligarchs.

surely closer to parties of natural One has only to compare

with

right

than Aristotle's

democrats
the revolu
cor

Thucydides'

description

of

tion in Corcyra
ruption of

Tocqueville's Introduction to
and moral standards

see this
was

difference. The

language

in Corcyra

the product of a politi

cal

conflict; it

was not complicated

by

science, theology, and philosophy the kind of "intellectual

(PW,

3 III. 82-84). Therefore it

ness"

could not produce

wretched

that Tocqueville describes.

while

But
natural

the French parties

were

divided in

a manner over natural

law

and

postright, Tocqueville's description indicates that neither party to this standard of natural in France upheld a clear limits; both revolutionary conflict

allowed themselves to

be

provoked

to

abandon such a standard

(DA,

p.

16). As

They
party

were open

to

attempts at mediation as well as to claims of neutrality.

Strauss emphasizes, Rousseau

of the

offered a more radical modem

neutrality to the
and

Revolution

(NR,

pp.

252, 259, 263-264). Burke

the historical
of as

school offered an
modem

historicist neutrality that seemed to neutralize the claims rationalist politics (pp. 294-295, 303-304, 313-316, 318). But
work

Tocqueville's

that did not move away

testifies, he believed they were also open to a mediation from natural limits and natural justice or right.
no

In 1953, this

was

longer

so.

The

small

camps of partisans ol

natural

right, Thomistic and liberal, of the twentieth century returned to such stan dards. But according to Strauss, the contemporary parties of natural right were in certain respects narrower than the parties described by Tocqueville. In partic

ular, the Thomist camp had been fortified

totle and Thomas:

by

contracting the horizon

natural right accepted

of

Aris

Contemporary

Thomistic

"a

funda-

Tocqueville
mental,

and the

Problem of Natural Right

natural

385

typically

modem, dualism
man"

of a nonteleological p.

science and a

teleological science of
respect

(NR,

8). The

situation was even worse with

to the liberal
own

Strauss's
remain

camp (p. 5). inquiries in Natural Right

confines of the social

and

History

are

"within the

sciences"

and not

explicitly framed to to confront so di

(NR rectly the basic problem "caused by the victory of modem natural inquiries are not for fortifications a party of natural right or for an p. 8). His armed camp demanding party allegiance. With regard to modem natural right,

science

Strauss's inquiries
liberals to

show

us

how Rousseau

accelerated a crisis

by

compelling

confront the radical

implications
With

of a nonteleological natural science

in its

bearing

upon natural right.

regard

to Thomistic natural

law,

these

inquiries

show of

that classical political philosophy the conditions

began

as

comprehensive

questioning
science

for

science.

The dualism

of natural and

human

into

which modem

Thomism has been forced

appears to

be

a result at

least in

part of

forgetfulness
One
result

by

philosophy

and science of

the conditions of the victory

its

civil existence.

is to

make one wonder whether

is

Py

rrhic one

for the

inquiring

scientist. of

What does the

today?

man of science need result of

to know

in

order

to conduct the

life

inquiry

The indirect
natural and

Strauss's

study is to break down the dualism between

human

science

by

making the man of science once again circumspect and pmdent ditions of his own work or activity. The man of science emerges
of the parties

about the con as the weakest own

in

political

conflict,

who must once again

leam to
As

up to the
science,

weakness and strength of

his

claim upon political society.

again

a man of

Strauss
recover

sought

to leam this self-knowledge

of classical

the social responsibility

responsible

from Socrates; he sought to thought. If Tocqueville practiced a

socially
classic

Socratic rhetoric,

as adumbrated

by Strauss,
(DA,
pp.

it

would

be

way to frustrate the

p.

attempts which

society

will always

make, according

to both Tocqueville and

Strauss,

to tyrannize thought

250-259;

433-

436; OT,
ical

26). To

understand

this is to leam why the classical political

excellence,"

philosopher
parties.

became "the

umpire par us

mediating the
classical

claims of polit

Strauss introduces

to

may leam this by imitation or example Tocqueville's course is an ascent from the
ascent that

philosophy by from Tocqueville.

claims of the

intimating

that one

parties, but it is

an

does

not

lead to "natural right

to

allegia

the armed
umpire

camps

alluded

between the from

parties

by dividing

or to as a matter of party Strauss. It leads him instead to become an

France. Is the

additional

material

to

be

supplied
also

a neutral, objective,

scientific or philosophic standpoint?

Or is it

"partial

material"?

Tocqueville's

claim would suggest

that it may also be

a a

partial, for he has not seen differently than the parties, but further. He too is human being with opinions of what is just and good. The umpire is not
neutral rials

but

a mediator whose

decision is
each

made as a completion of partial mate what

in

such a

way

as

to give

party

it truly deserves. The

philosophic

umpire

does

not mediate

these claims without adding to them and

thereby

cor-

386

Interpretation

In some respect, he is a party to the decision in recting for their partisan origin. a larger sense: His engagement raises the question of what the umpire as a party

tmly deserves,
and aristocrats pher take

or what

is due.

Understanding
seems

the claims raised

require

by democrats

in the

name of

justice

to

that the political philoso

of arguments about

into

account what

is obvious, the

insufficiency

goodness and more

justice due to their

argument

partisan origin.

What then is the

origin of

the

complete

that includes the umpire as a party?

Tocqueville's
up.

remark seems

to

imply
see

that the perspective of the umpire

sees

is different in that he
higher

is undertaking to
take the

further; he
and

from further back

origins

or

One
or

might

suggestion

literally

inquire into the

further back

higher

up party
the

of

the

umpire's

justice,

of

the intelligent decision "that will give each

question of

what

it tmly

deserves."

The

Tocqueville's right to

judge,

of

his justice, is provoked but not explored by the au thor's Introduction. I believe that the first chapter of Democracy in America is
grounds or origins of an

oblique

response so

to that question.

To

prove

that would require a much

longer paper,

shall conclude with an observation suggested

pp.

by Strauss's

comments on the

Statesman (WPP,
in

39-40).

The

classical umpire composes a political whole through a a whole

which each part receives what

decision. That
or

decision forms
which

it tmly deserves,

in

different

partisan origin men of

regarding justice and the good have their in different human natures come to form a whole made up of
parties whose claims characters or ways.
well.

differing

It is

a whole which
chapter of where

character of

the umpire as

If the first

Democracy
as a whole.

includes the way and in America figures in

adumbrates such a

whole, it should indicate

unfold

the

philosopher

the decision about to

in

Democracy

in America

NOTES

1. Compare Strauss's After him,

united social

remark

that "Goethe was the last great

man who rediscovered

this.
forces'

reason,

sentiment and

decision
the

and whatever goes with

those 'dynamic

meant"

in

order

to

destroy

the

last

vestiges of not

recollection of what

(TM 174-175). Was Tocqueville

great,

or not wise enough

and

to

restrain

philosophy originally his full heart?

A

2.

Harvey

C. Mansfield, Jr.,

Statesmanship
of

Party Government:
Histories,"

Study

of Burke

and

Bolingbroke (Chicago:
also

his chapter, Nature of Political Thought, ed. Martin Fleisher (New York: Atheneum, 1972), pp. 209-266. 3. Rousseau observes that "All learned peoples were corrupted, and that is already a terrible presumption against [learning]. But since comparisons between one People and another are diffi
cult, since a great many
since

University "Party and Sect

Chicago Press, 1965), pp. 8-9, 42-45, 47-48, 61-65. See in Machiavelli and the in Machiavelli's Florentine

factors have
sonic respect

to

be

taken

into

account

in making
off

such

comparisons, and

they

are always

in

imprecise,

one

is far better

tracing

the

history

of one and

the same people, and the result of

comparing its progress in knowledge with the revolutions in its morals. Now, that inquiry is that the fair time, the time of virtue for every people, was the time of its

and that in proportion as it became learned, Artistic and Philosophic, it lost its morals its probity; it, in this respect, reverted to the rank of the ignorant and vicious Nations that are the shame of mankind. If one nevertheless insists on looking for differences between them, I can

ignorance;

and

discern one,

and it

is this: that

all

barbarous Peoples,

even those

that are without virtue,

neverthe-

Tocqueville
less
ceed always

and the

Problem of Natural Right

by
dint
of progress nation

387

honor it,

whereas

learned

and

Philosophic Peoples

in turning virtue into an object of derision and to despise it. Once a point, its corruption may be said to have reached its zenith, and it is past

eventually suc has reached that (Jean-Jacques

Rousseau, The First and Second Discourses together with the Replies to Critics and Essay on the Origin of Languages, ed. Victor Gourevitch [New York: Harper and Row, 19861, P- 69.) Thucy
dides'

description

of

Corcyra

seems to

indicate that the

wartime

moral

revolution

changed

the

meaning

of virtue without

contemning

virtue as such.

REFERENCES

Aristotle, The Politics. Translated

Carnes Lord. Chicago: The

and

with of

an

Introduction, Notes

and

Glossary by Lady
Tre-

Chicago Press, 1984. (P) Macaulay, Thomas Babington. The Works of Lord Macaulay. Edited by velyan. 8 Vols. London: Longmans, Green and Co., 1851. Vol. 6. (W)

University

Strauss, Leo, Liberalism Ancient

Natural Right
and

and

Modern. New York: Basic

History. Chicago: The

University

of

Books, 1968. (LA) Chicago Press, 1953.

of

(NR)
On Tyranny. Revised 1963.
and enlarged.

New York: The Free Press

Glencoe,

(OT)
Thoughts
on

Machiavelli. Glencoe, 111.: The Free Press, 1958.

and

What Is Political Philosophy?

Other Studies.

(TM) Glencoe, 111.: The Free

Press, 1959. (WPP)

Tocqueville, Alexis de. The Old Regime and the French Revolution. Translated by Stuart Gilbert. Garden City, N.Y.: Anchor, Doubleday and Co. Inc., 1955. (AR) de la Democratic en Amerique. Paris: Librairie de Medicis, 1951. Tome 1. (dDA)

Democracy

in America.

Translated

by
and

George Lawrence,

and

edited

by
and

J.P.Mayer. Garden City, N.Y.:

Memoir, Letters,

and

Co. Inc. 1966. (DA) Doubleday Remains of Alexis de Tocqueville Boston: Ticknor
.

Fields,

1862. Vol. 1.

(MLM)

Thucydides. The Peloponnesian War. Translated

cydides, edited

by

Thomas Hobbes, in Hobbes's Thu

by

Richard Schlatter. New Brunswick, N.J.: Rutgers

University

Press, 1975. (PW)

Civil Religion in Tocqueville's

John C. Koritansky
Hiram College

Democracy

in America

As it has been for

in America

at

least three decades, Alexis de Tocqueville's

political science,
and

Democracy

continues

to be read in undergraduate college courses in American

history
phy.

and

American studies,
retains an

sociology

and social philoso

we

The book

amazing freshness
works

insightfulness; in reading it
Joseph

are

helped to

gain some perspective on

ourselves, to see how America

as

is the

arena

in

which

modernity

itself out,

Cropsey

has

written.

here, more or less, liberal democracy, Tocqueville's theme. Modernity He is its describer, analyst, and to some extent even its counselor. The watchwords of liberal democracy, the values on which it prides itself,
means

are

freedom

and equality.

What Tocqueville

reveals

is that

while on a certain

level

of abstraction

these two values are as two sides of a coin, on a practical

level there is tension between them. it may in

that with
practice

Democracy

means, primarily, equality, but

makes us see

fail to be

an

democracy

comes an

equality in freedom. Tocqueville inevitable atomization of society,

such

that iso

lated

and

gle to a

spiritually impoverished individuals may likely submit without stmg tyranny of the majority. He frightens us with his description of this new
as

tyranny

being

milder, subtler and more pervasive and complete than cruder

tyrannies

of past ages.

more renowned

Thus far, Tocqueville is in agreement contemporary, John Stuart Mill. The high
one another

with

his

now even

and warm regard

Mill

and

Tocqueville had for

is due to their both

threatened
and

being

partisans of

freedom

and their mutual sense that

pretenses.

it is

that society's

Nevertheless, Mill
or

society despite Tocqueville did have an impor in

modem

tant disagreement. Mill took Tocqueville to task for restricting his

argument

by

concentrating
one,
perhaps

majority tyranny especially insidious, form

on
and

democratic tyranny. Mill

of

saw

this as but

the protection

strengthening

of

tyranny; his solution was to call for the individual against all forms of repres
or otherwise. can

sion, ever,

whether official or shows

unofficial, democratic

Tocqueville, how
petty.

in his book how individualism itself

other sorts of

become

that distinguishes it from

tyranny,

democracy
it

co-opts

In a way individual
and

ism; it

encourages
reduces

individualism
a

with the proviso that

remain

isolated
exhibits

therefore

it to

self-congratulatory idiosyncrasy.

Society

only

A substantially different version of this American Political Science Association.

article was

delivered

at the

1988 Annual

Meeting

of the

interpretation,

Spring 1990,

Vol. 17, No. 3

390

Interpretation
or the random neuron

something like Brownian motion,

sleeps.

firings

of a

being
of

who

This is
moved

chilling
other

reflection.

Woe to the

generation

that

is incapable

being

to

sadness and

fear

by

Tocqueville's

expose of

democratic individual

ism. On the

hand, it is
early

not

Tocqueville's

feel

deep
takes

with anxiety.

Democracy
The

aim simply to encourage us to in America purports, at least, to be some

thing
ville

more than an

or even original version of

The

Lonely Crowd. Tocque

some significant

politics seriously.

democracy
for

of

the

future is to
and

extent open as regards the prospects

actions at ville

freedom,

there are

decisions

and

the level of regime politics that will determine those prospects.

reticent

Tocque
for
the way

is

hardly

in
If

declaring
we

that he

presents a are at

"new

political science

new."

a world quite

or our students

first

charmed

by

Tocqueville
ought

can

hold

starkly revealing

mirror

to liberal

democracy,

then

we

to take seriously the possibility that

he may

also offer us some useful

instmction.
Tocqueville's
account of

democracy

in America begins brand

with a

description

of

the physical conditions of the North American continent. In sum, these condi

tions

are

boundless,
human

rich and

pense of

energies.

practically empty, This description is put

new

field for the

that

ex

first,

presumably, because for

of all

us to understand will

the specific relevance or

mind

transportability

follows,

we

have to bear in

American To

democracy

just how everything that works to preserve freedom in depends upon those unique and extraordinary conditions.
account of

whatever extent

Tocqueville's

democracy

in America is

recom

is nothing in it that is intended for slavish imitation. Then, in the second chapter, Tocqueville begins to describe the initial white settlers. Here, in his description of the New England Puritan settlements, he
mendatory, there
says

that

we should

find "the
ed.

germ of all

that
and

follows"

(Alexis de Tocqueville,

Democracy
rence

in America,

J. P. Moyer

[New York: Harper

and

Row,

Max Lemer, trans. George Law 1966], p. 26. All page references are to

this edition.) The Puritans "tore themselves away from home comforts in obe

dience to
exile

purely intellectual craving; in they hoped for the triumph of an

a of republican government.

facing

the

inevitable

sufferings of

idea"

(p. 30). That

idea,

to be sure, was
wanted

not

that

Rather,

the New England

fathers

to

constmct a

city

on a

hill that

would stand as a model

community for Christians

social-political measured

to emulate. Puritanism itself was both their religious and their

doctrine. Their

public-spirited

dedication to their idea is

in the

ex

tremely harsh criminal code, which they simply took from Exodus, Leviticus and Deuteronomy. Tocqueville elicits our wonder at how the Puritans adopted
the

legislation

of

"a

rough and

half-civilized

people"

(p.

35)

with

both

enthusi

asm and stem seriousness.

Nothing is

more peculiar or more

instructive than the legislation

attention

of this time.

The Connecticut lawgivers turned their

first to the

criminal code and

in

Civil Religion in Tocqueville's

composing
of

Democracy
their

in America

391

it,

conceived the strange

idea

of

borrowing
(pp.

provision

from the text

other

holy

writ:

"If any

man after shall

legal be

conviction shall
death."

have

or

worship any

God but the Lord God, he

put to

34-35)
penalties

The

passage

is followed

by

laws that impose terrible

for

what seem

to

a modem reader to

only

incidentally
parties

be relatively light offenses; but the important for Tocqueville. His main
were voted

content of concern

these

laws is
that

is to

show

"these ridiculous and tyrannical laws

by

the free agreement of all

interested

themselves"

(p.

36).

These
marked

were

free

men.

Moreover,

"Alongside this
all

criminal code so

strongly

by

narrow sectarian spirit and

the

religious

passions,

was a

body

of political

law,

which, though two

hundred
own

years

ago,

still seems

far in

advance of

the

spirit of

freedom in

our

age"

(p. 36).
stands

Political freedom

side

by

side

with

ridiculous from free.

and tyrannical civil

legislation,
ness of

and

the two things drew

nourishment

each other.

The harsh it
was

their laws was

zeal

an expression of

these men's religious zeal, and

that

very

that

fired their
a

spirit and made them

Clearly they
society had imposed

had

higher

and more comprehensive conception of the

duties

of

toward

its

members

than had the

lawgivers

of

Europe

at that

obligations upon

it

which were still shirked elsewhere.

time, they (p. 38)

and which

All the
most

general principles on which modern constitutions

rest, principles

Europeans in

the seventeenth
was

dominance in Great Britain authority

then

century scarcely understood and whose far from complete, are recognized and
participation of the people

given

by

the

laws

of

New England; the

in

public

affairs, the free voting of taxes, the responsibility of government officials,

individual freedom,

and trial

by jury
(pp.

all these things were established without

question and with practical effect,

36-37)

Passages Tocqueville

such as these serve to establish rather

owes to

clearly the fundamental debt Rousseau. The freedom Tocqueville is here describing and
an

praising is decidedly not a freedom of the limits of the law. It is not freedom
is
such

individual to do

as

he

pleases within

retained under mild authority.

Rather, it
an eager

freedom

as consists

in

obedience

to

self-made

law. What

we see alive

and well

in Puritan New England is the

general

will, and

everyone

is

participant.

of a

grasp the distinctive character of the essentially Rousseauean idea of what follows, we are in freedom that Tocqueville describes as the position to understand the general outline of his work. His overall aim is to

Once

we

"germ"

show

how the

general

will,

having

been thus

planted

in America, Put
another

can grow and

continue to

function

under

the conditions that pertain to a large nation among

the community
ville

of other nations
provide a

in the

modem world.

way, Tocque
of

intends to

practically

useful elaboration of

the

teaching
in
point.

The

Social Contract, using America

ville appears to accept

as a special

but informative

case

Tocque
which

Rousseau's fundamental

critique of

liberalism,

392

Interpretation

may be stated as liberalism's failure to legitimize the full subjection of the individual to the terms of the social contract. As Rousseau states it, so long as
the individual is
allowed

to

continue

to

be final judge
to

over some matters over all. allowed

(i.e.,
to

his

own natural

rights), he

will soon attempt

be judge

Because the

social contract as understood retain of

by

classical

liberal theorists

individuals

their

natural rights against government as a condition

for the

legitimacy
a

their

submission

to government, the social contract always teetered precar

of anarchy.

iously
was

at

the edge

In

fact,

social

order

depended

on

kind

of

compromise

between anarchy and the despotism that kept anarchy at bay. This the despotism that Mill feared; but because he accepted the fundamental
of

dichotomy

the individual versus the state

which

traditional

liberalism had
could

taught, Mill

was unable to overcome the problem of that except as

despotism. He

society essentially dom. Tocqueville's New England Puritans do not

social contract

not understand civil

a repression of

individual free
way.

experience

it that

Their
one of shows

involves

them

fully;

to it

they have "abandoned every last

civil

rights,"

their natural

to use Rousseau's language. Their

"renatured"

legislation
"idea."

them to be almost denatured or

ville's problem

by
The

the

power of

their

Tocque

is

rather

precisely that the

social contract's

being

so comprehen

sive

depends

on an extreme artificiality.

conditions under which men can

dedicate themselves effectively to this violence against their own natures are very precarious and quite temporary. What we will be looking for in Tocque
ville's

America is how the

spirit of

freedom

planted

in Puritan New England

which

survives when the

voted

distinctive

content of the

idea to

that spirit was

de

has

evaporated.

Why, though,

are the conditions of

Puritan New England

so precarious and

temporary? The answer

vicious version of

is, ironically,

that

they

are

destroyed

by

decrepit
praises

and

the very spirit of freedom for

spirit of

which

Tocqueville

the

Puritans. In tmth, this

more

freedom is but

one manifestation of

something

ambiguous, for which Tocqueville employs the phrase "love of

of

equal

famous passage, he describes the love fundamental, moral alternatives of his work. In
a

justly

equality

as

containing the

There is indeed
a

a manly and legitimate passion for equality which rouses in all men desire to be strong and respected. This passion tends to elevate the little man to the rank of the great. But the human heart also nourishes a debased taste for

equality,
which

which

leads the

weak

to want to

drag

the

induces

men to prefer

equality in

servitude

to

strong down to their level and inequality in freedom, (p. 49)

The manly and legitimate form of the love of equality would appear possible only in a small society where citizens can express it actively through participa
tion in self-government. Men can realistically aspire to public recognition,
even

distinction, in

community

that knows it shares the most important things in

common and so can afford such recognition without

no such genuine moral

jealousy. Where there is

community,

where

the citizens do not

feel any

common

Civil Religion in Tocqueville's

life
or project,

Democracy

in America

393

then only the superficial, dead-level equality of

material attain

ment and social moral

standing is tolerated. A
are, then, the

small compass and a

high degree

of

homogeneity

artificial

limits

within

which

the love of
of an under own

equality

can act nobly.

But the love

standing of those limits and so can is that all men should live by one law,
own

equality itself is innocent hardly help violating them. Its

of

instinct its

and

it

will

tend to impose the mle of

law

as

far

as

the collective strength of the community can take it.

world all

Indeed,
unreal

the picture of the

broken up into
will

a myriad of

little

regimes

is

istic just because it

offends so

powerfully the love of be dismissed

as

equality.

Such barbar
anyone who

ism, however
understands

romanticized,
of

irrelevant

by

how the love

equality is

directing history

towards democratic

civilization.

On
what

a general particular

level,
mode

we

may say that Tocqueville

wants

studies

America to
vast

see
new

of expression

the general will takes

in this

world.

More specifically, he

to see whether and how the general will can

stretched

remain active and

healthy

when

it is

out, so to speak, across a conti

nental expanse. and

He finds that the

of reasons

general will

is

active and

healthy

in America,
of

the complex
success

contain, presumably, grounds

for hope. Part

America's

is traceable to her federal

system

constitution and multilayered po of

litical institutions and, relatedly, her

decentralized

administration.

This, incidentally, had been

trated

the

direction
of

by

his inconclusive discussion

of

of Rousseau's thought, too, as illus federalism in Book III of The Social part of

Contract. The bulk

Tocqueville's discussion in the first

can

Volume I
same

of

Democracy

in America
up.

be taken

as

further

reflection

along the

lines

Rousseau had taken

Here it is

possible to state

discussion. First, Tocqueville's admiration tions is genuine and strong. They evince a
Americans. Moreover, if

only the conclusions of that for these American political institu

real genius

for

politics

among the

democracy

is

not

to succumb to its baser

and

instinct,

probably be indispensable for any modem nation. Second, admirable as they are, Ameri can institutions are not transportable to other nations. America's physical cir
cumstances, relatively
sparse

some variation on the themes of

federalism

decentralization

will

population, and, most

importantly, her security

of a

from foreign threat

are advantages that allow the

luxury

degree

of political

decentralization
are, America's

that European nations cannot afford.

political

Finally, important
story of her institutions and
part of

as

they

institutions do
are

not tell
with

the

whole

success. cultural

They
mores and

work

because they which Tocqueville

consonant

social

must go on

to describe in the latter

Volume I

in Volume II.
administrative

Decentralized
stmctures

and governmental
who

institutions

are appropriate

for

a people casual

like the Americans

have

a penchant
others.

for

doing

for

themselves in
cans

and

leam how to
them

cooperate

voluntary cooperation with because the advantages of

of their self-interest.

In

fact, Ameri
brought
committees

cooperation are

home to

on the

level

Americans form

394

Interpretation

and groups

for

all sorts of purposes, economic and social as well as political.

Tocqueville

makes us see

the

ingenuity
of

in

all

this, for
The

what

the

Americans have
and
almost summa

done is to take
transform
rized

a genuine

defect

democracy, namely
a virtue.

"individualism,"

it,

or an aspect of

it, into

argument

is

by

the title of one of the chapters of the second volume,

"How the Ameri

cans

Combat Individualism With

respect

by

the Doctrine
as
with

of

Self-interest

Rightly

Under

stood."

to this point,

respect

to the argument about

genuine and

decentralization, Tocqueville's
imitation. It is
a

admiration

for America is

invites
of

certainty that other modem nations will have to

as

thing like
their own

the American example of the way to set men

hearts"

rely free from the "prison

on some

democracy

grinds

down the

more

traditional stmctures of

authority and prerogative that once tied men together through duty. There are, however, reasons why we cannot accept
core and
cratic

"self-interest"

as

the

kernel

of

the solution Tocqueville intimates to the problem of

we

demo

individualism. The formula,

note,

stood";

therefore,
men

what

are

the causes or conditions whereby

rightly?

is "self-interest rightly under Americans do

of self-interest

understand their self-interest ways

Calculation

may

not al

lead

to a better understanding of the

mutual advantages of coopera men conceive

tion and their obligations to one another.

Sometimes

their

self-

interest in

opposition

to others; democratic citizens may

and shortsighted vein.

The

combination of egalitarian

likely do so in a petty idolatry and mutual jeal

much as

ousy
other

and

fear simply does not trouble Americans as democratic peoples. Their very conception of
is healthy. Since
we are

it may trouble regarding

"self"

the mode of their

pursuit of self-interest such

self-interest

is

ambiguous

health, however,
seems

bidden to

consider still more

counts

for the American pretty

clear

success and

how far their

example can

carefully what ac be instructive.

"self-interest

It

that the specifically American

upon

version of

understood"

rightly
circumstances

is dependent

two outstandingly important and unique

that Tocqueville calls to mind again and again.

First,

there

is the

sheer vastness and openness of the continent.

It is

an open

field for individual

out

endeavor.
ness and
which

Quite literally, any ablebodied person can strike make his fortune without disadvantaging anyone
makes private acquisition
good"

into the The

wilder

else.

condition

according to Locke

legitimate in the
so

state of

nature, namely that "enough and as

pertinent

be left for others, is

the

obviously

to America that all

men

easily

grant

legitimacy

of each other's

acquisitions.

Second, America is

the one nation to have attained a democratic

social condition without a revolution.

cient

Therefore,

there are no

memories of an not

hostilities between

social classes to contend with.

Wealth itself,

being

the mark of a social class opposed to the

of

jealousy. So these two in

a spirit of

conditions
youthful

sway of democracy, is less the object allow Americans to pursue their self-inter
not to

est

healthy,

innocence
them

say

naivete.

The "right

understanding"

of self-interest

among

is the

almost automatic result of

their wonderfully

lucky

circumstances.

Civil Religion in Tocqueville's

The
point

Democracy

in America

395

to be emphasized here is that because the pursuit of

afoul of

self-interest

does

not

run

egalitarian

sentiment

in America, its

legitimacy

is

granted,
all

and not

only

granted

but

recommended with enthusiasm.

Americans

believe that

virtue

vantage

intelligently

is useful, and that by following one's own personal ad one will be led to do good. Tocqueville says that there is
far
as the content of

nothing especially
possible tmth of

new or remarkable as

this doctrine is

concerned; moreover

he

exhibits sublime

it. He

passes

that off

with

disinterest in any discussion of the the remark that "I do not want to

follow [the

Americans']
accepted

from my cans have

were

subject"

in detail here, as that would lead too far (p. 498). What is important to him is rather that the Ameri
arguments

this "doctrine of self-interest rightly

understood"

as

if it

the complete and final answer to all questions of moral

account of

philosophy

and

intelligent living. Tocqueville's

tance of this doctrine can

the

Americans'

unblinking accep wry

smile.

hardly

be

read without a

The Americans,
how

on

the other

hand, enjoy explaining

properly
understood.

almost

every

act of

their lives to point

on the principle of self-interest out

It

gives them pleasure

an enlightened self-love

disposes them

freely

to give part

continually leads them to help one another and of their time and wealth for the good of the state.

I think that in this they often do themselves less than justice, for sometimes in the United States, as elsewhere, one sees people carried away by the disinterested, spontaneous impulses natural to man. But the Americans are hardly prepared to
admit

that

they do

give

way to

emotions of this sort.

They

prefer

to give credit to

their philosophy

rather

than to themselves, (p.

498)

How

enlightened are

these

hedonists,
rather

that

they

would

deny

themselves the

pleasure of a

tmly

generous

deed

than present an occasion whereby their

public creed might prove

doubtful!

What

serves

the Americans

self-interest,

which as

simply self-interest; it is the doctrine of doctrine provides the basis for a public creed. The whole
not can even

is

way
of

of

life in America
participate

be thought

of as a sort of ritual

through which

Americans

in that

creed.

Thus,

towards the end of the

us

first

volume

Democracy

in

America, Tocqueville brings

discussion
of

back to

considerations of

the

sort connected with the

Puritan New England. Tocqueville's

con

temporary Americans
sure, the

too are

animated

by

the concern

for "an
still

idea."

To be

idea is

not that of

the Puritan

fathers, but it is
such a

provides a
will.

form for the

pursue

common

life,

or a mode of articulation

something that for the general fashion that it

of

Americans

self-interest

in

public-spirited

almost

loses its

character as

self-interest and exhibits

instead the features

martial valor.

What the French did for

economy.

sake of victory,

[the

Americans]

are

doing

for the

sake of

An American

navigator

leaves Boston to

go and

buy

tea

in China. He

arrives

in

Canton,

stays a

few days there,

and comes

back. In less than two

years

he has

396

Interpretation
only once has he seen land. Throughout a drunk brackish water and eaten salted meat; has he
the sea,

gone around the whole globe, and voyage of eight or ten months

he has

striven

continually

against cheaper

disease,
English

and

boredom; but

on

his

return

he
I

can sell tea a

farthing

than an

merchant can:

he has

attained

his

aim.
cannot express my thoughts better than by saying that the Americans something heroic into their way of trading, (p. 369)

put

If Americans
with ever

conduct

their commercial activities

in

a spirit of
must

heroism

and

the sense of their glorious

destiny

as a nation,

they

presume, how

vaguely, some notion of a moral stmcture for the universe.

a sense of cosmic sanction
self-interest

They
Put

must

have
way, the

for their

exploitations of nature.

another
and

rightly

understood must

have is

a religious

dimension,
out of the

in

second volume of

Democracy
citizens.

in America Tocqueville lays

context
a

its terms

clearly

and explicitly.
of

The immediate

discussion

intellectual

proclivities

democratic
men and

Tocqueville

tells us that, because of the

equality among
terms of
of

their conditions, democratic citizens tend to think in

broadly sweeping generalizations, reducing the particulars to the status interchangeable elements atoms. On the level of metaphysical speculation,
is pantheism,
a

the most direct result

man men

dangerous doctrine
will

which

"destroys hu

individuality, [and] just because it destroys it,

have

secret charms

for

living

democracies"

under

(p. 417). We

recognize pantheism as the nega

on

tive or debased side of the taste

for equality operating

the level of

intellec

tual movements. And as we expect, there is a positive side, which is

illustrated

by the Americans. This Tocqueville describes for us in his chapter "How Equality Suggests to the Americans the Idea of the Indefinite Perfectibility of
Man."

when castes and

disappear

and classes are

brought together,

when men are

jumbled
and

together
new

habits,

customs, and laws are changing, when

new

facts impinge

truths are

discovered,

when old conceptions vanish and new ones take their

place, then the human

perfection.

mind

imagines the possibility

of an

ideal but

always

fugitive

Thus, searching always, falling, picking himself up again, often disappointed, never discouraged, he is ever striving towards that immense grandeur glimpsed

indistinctly

at the end of

the

long

track

humanity

must

follow, (pp. 419-420)

So "indefinite
progress ception
yields

perfectibility"

is the idea that [the

enables

and

spurs

indefinite It

in

material

well-being,

and thus

it is "the

general and systematic con conducts all

by which a great people to democracy a vision of

opportunity for
consumed

Americans!]

its

itself that

can enlarge the

heart

and provide

sanction and

noble exertions.

Although Americans

are almost

wholly
neither

by
nor

materialistic pursuits,

Tocqueville

suggests that

they

are as

demeaned

dissipated,
in human

since

they interpret

material

improvement

the sign of a greatness

nature.

Civil Religion in
If
we are

Tocqueville'

Democracy

in America

397

to recognize "the idea of the

a civil religion

amounting to
edged
still

as indefinite perfectibility of for democratic Americans, it must be acknowl religion.

extent

man"

that this

is

thoroughly humanized
does it
not

Can it be that, though,

power

and

function

as a religion?

That is, to the

that religion accommodates to lift man's sights

question

itself to

mundane

concerns,

jeopardize its

beyond them
we are

and

to

speak

to man's

longing

for immortality? With this

led to Our

what

suggest

is the deepest

and subtlest stratum of near

Tocqueville's

thought.
part of

attention

is drawn to the discussions

the end of the second

explains

Volume One
attitude

of

Democracy

in America,

where

Tocqueville

the

Americans'

towards religion as such and how religion serves as chief

among the causes tending to maintain a democratic republic. What is religion? Tocqueville raises the question explicitly

and

from

"purely
He
The
the

human

view."

point of

What is the

psychological

necessity for faith?

answers:

short space of

sixty

years can never shut

in the

whole of man's

imagination;

incomplete joys

of this world will never

created

beings,
he

man shows a natural

satisfy his heart. Alone among all disgust for existence and an immense longing

to exist;

scorns

life

and

fears

annihilation.

These different instincts constantly

drive his

soul toward contemplation of

the next world, and it is religion that leads

him thither. Religion, therefore, is only one particular form of hope, and it is as natural to the human heart as hope itself. It is by a sort of intellectual aberration,
and

in

way,

by doing
an

moral violence to

their

own

nature, that men detach

themselves from

religious

beliefs;

an

invincible inclination draws them back.

mankind,

Incredulity
The
need

is
to

accident; faith is the only permanent state of

significance of our

(p.

273)

hope that the

lives is

not exhausted so.

during

the time that we draw breath

is itself

productive of

faith that this is

What is

important, then, is
the faith to
pass

not

doctrinal

rectitude nor

the muster of a searching

the ability of the apologetics for intellect. All that is necessary for

faith

to exist is that
schism

it be
and

preserved against

the things that would

of

interfere

with

it;

these are

indifference. Neither
for

these two things will be a

separate.

problem,

however,

provided church and state

need

be kept

For

since

there

is nothing in the
necessary,

natural

religion

that makes

dogmatic distinctness

religious schism

is

traceable to distinct political systems

which

investing
compro

religion with accidental

mise. can

features way

faith does
how the

not

know how to

America
negated

shows

by

of example

problem of religious schism

be

by

separating

political and religious authority.

When

found its sway only equally tormenting every human heart, it can
a religion seeks to

on the
aspire

longing

for

immortality
but
when

to universality;

it

comes to

uniting itself

with a

government,

it

must adopt maxims which with

apply only

to certain nations.

Therefore, by allying itself

increases its

strength over some

any political power, religion but forfeits the hope of reigning over all. (p. 273)

Indifference, too,
tics are

becomes
mixed.

a political problem
not

only

where religion and poli

improperly

This is

to say that there

is

no

worldly

disen-

398

Interpretation
among Americans, for despite the
naturalness of

chantment with religion

faith

there will always be some

fastidious

sorts who own

deny

themselves

its
not

satisfaction.

Americans

who

deny

faith in their

hearts, however, do
such use of

burden the
no rea

conscience of

their fellow citizens

by

son sans

for them to do so, in

such a

except where

preaching religion is made

denial. There is

by

political parti

way that to oppose their measures one must oppose their reli
that

gion.

In America

does

not

happen,

and so the unbelievers can afford

who profess

to

be

both kind

and sensible

in allowing those

faith to do

so without

embarrassment.

One

sees some men

lose,
but to

as

from forgetfulness, the

object of their

dearest hopes.

Carried away

by

an

imperceptible
which

current against which

they do
they
In

not

have the faith they

are

courage to struggle

they

yield with regret,

.

abandon the

love to follow the doubt

that

leads them to despair.

rather than

such ages

beliefs

forsaken through indifference

from hate;

without

being

rejected,

they

fall

away.

The

unbeliever, no

longer thinking
over

religion

Paying
to

attention to the

human

side of religious

true, still considers it useful. beliefs, he recognizes their sway

lead
men regrets

over mores and their

influence

laws. He

understands their power to

live in

peace and and

after

losing it,

gently deprived

to prepare them
of a

for death. Therefore he

he

his faith

blessing

whose value

fully

appreciates,

he fears

to take

it away from those

who still

have it. (pp. 275-76)

We may

suppose that such persons are not

or essential sentiment of religion.

entirely free from the disposition To the extent that they feel nostalgia for what

they lack

and remain

too tme to themselves to adopt any palliative,

agnostic.

they

are,

so

to speak, religiously

And insofar

as

they

respect and revere the more

innocent faith in others, they

phistry whereby

are rather self-conscious participants

in the

so

religion maintains

its authority in

public.

Thus,
mires

the separation of church and state, which Tocqueville so much ad

valuable not

in America, is
a

because

religious as

issues

are matters of

indif

ference to

legislator. Rather it is important

such, considered

ity

of religion as

in its

own nature

preserving the purity and civil from "a human point of

view."

Religion

considered

that way seems essentially sophistical. The "offi

version of

cial"

religion

in America, their

Protestantism,

reveals

how

men can

feel themselves to be
doctrinal
appear that of religion. a

deeply
faith

religious and yet

which

content of their

amazingly divides them into sects. At first it

too cleverly political about

casual

towards the
might

Tocqueville's Americans

are all

matters

They

do

exhibit a rustic shrewdness which

Tocqueville describes in

way that makes it border on hypocrisy. "I do not know if all Americans have faith in their religion for who can read the secrets of the heart? but I am
sure

that

they

think

it necessary
all

to the maintenance of republican institutions.

whole

That is
nation;

not

the view of one class or party among the citizens, but of the
ranks"

it is found in

that this conviction of

(p. 269). On further reflection, however, we see the utility of religion is itself a religious conviction. They

Civil Religion in Tocqueville's

have the faith that
religions,

Democracy

in America

399

by

preserving
that
a

God

will see

The Americans have

that

a friendly, encouraging tolerance towards all deserve their freedoms. they sort of faith that can be called which holds
"natural,"

God loves

an

honest

conscience rather than a specific understanding.

Their

disposition to tolerance bespeaks

a trust

in

what one might call

God's human

ity. On this
tantism and
religion

reflection we can understand

the affinity between American Protes

democracy
exist.

that Tocqueville said at the outset of the discussion of

a

must

In

way

quite

consistent

with

the separation

between

church and

state, the Americans have given their own expression to that "spirit
seeks

of man

[which

to]

regulate political

society

and

the

City

of

God in

uni

form

fashion"

(p. 265).
of

Tocqueville's illustration
seau's

American Protestantism in the fourth book

of

discussion

of civil religion

exactly Rous The Social Contract; his

parallels
requirements.

thought
ment

is based

on

the same interpretation of society's

The

argu

for

separation of church and state a sham. of

is

not

based

on a naive secularism and and state

is in

some respects

In fact the

separation of church

is is

an

institutional feature God loves

salvation an

the civil religion

whose principal article of

faith is that
no

honest

conscience.

The thought that

outside the church there

is

anathema.

way it
we

makes

Of course, when the civil religion is penetrated in this for bafflement. Apart from the somewhat question-begging admo
what

nition to

tolerance,

is the

content?

The

question

has

no answer.

Instead

may

observe that

the contentlessness of the civil religion is a feature that it

shares with the general will

itself. Rousseau had

explained

that to be general,

the

general will can will

spiritual

life the

general

nothing but itself. What probably happens is that in its will senses its own existence but not as its own exis

tence; therefore, it worships itself as God. In his account of the way American Protestantism
of

partakes of

the essential

democratic life, Tocqueville is especially compelling. This is the sophistry spiritual core of all those features of democratic life that Tocqueville depicts
with such remarkable and

ing
not

power of

tion of

disturbing aptness. But despite the amazing stay Tocqueville's work, despite the continuing freshness and penetra his insights, it has to be acknowledged that Democracy in America has
altogether successful on avowed

been

its

own

terms or, that

is

to say,

according

to Tocqueville's to
a

intention. It has
that would

not

brought

"new
and

science of politics recommendatory.

new"

world

quite

be both

analytical

Tocqueville has not been the teacher for democratic legislators. The reason, I suggest, does not lie in the difficulty of translating Tocqueville's qualified
praise of

American institutions into

reason

recommendations

for

other

democratic
our
as

na

tions. The deeper

with

is precisely that as we Tocqueville's reading of democracy's soul

move

beyond

fascination horizon.

and

assume,

he bids, the

perspective of the

legislator,

we

transcend democracy's whole moral

That is to say, we are brought to see that even at its best democracy is wrapped up in a sophistry that penetrates its spiritual life; and this recognition releases us

400
from

Interpretation
even the noblest of

democracy's
wise

aspirations.

To this it

might

be

rejoined

that this is nothing new. The their deepest

satisfactions

have

always understood and even

within

taught that

cannot

be found

the terms of political

life

however structured, and so they have always looked down towards politics with a genuine but dutiful interest. This rejoinder, however, is not specific enough
politics."

to explain the fate of Tocqueville's "new science of

politics"

The

problem

is that Tocqueville's "new

perspective of

science of and

presumes a

dis
citi

junction between the

zen who will

the legislator
artifices.

that of the

ordinary

live

within

the legislator's

But this

presumption takes no

account of

how contemporary life is

penetrated

sponding

politicization of philosophy.

by philosophy and the corre Despite its shrewdness, one obvious de

ficiency
almost

of

Tocqueville's

innocent. Their love

tractable demand for a

are philosophically naive, has not become the philosopher's in equality universal and homogeneous society. Tocqueville stands
work
of

is that his Americans

to one side of the movement in modem thought that leads from through Kant and

Rousseau,

Hegel,

to Marx. More than Rousseau's other successors,

Tocqueville It is

retains a presumption of

intriguing

that this very

of

fact

should

opportunity and latitude for the legislator. be responsible on one hand for the
work and

remarkable

richness

Tocqueville's

thought and on the other hand

that it should

measure

the limited practical utility of his

teaching

today.

Was Tocqueville
The Distinctiveness

a
of

Philosopher?
His View
of

Liberty

Peter Augustine Lawler

Berry College

Tocqueville did
guished

not call

himself

a philosopher. and

In

fact, he clearly distin

a criticism of not reject existence

himself from the philosophers,

his

work contains

their self-deceptive extremism and misanthropy.

the tmth of the

revealed

by

philosophic

fundamental uncertainty inquiry. His task

or

Nevertheless, he did contingency of human

well

was to surpass

the philosophers from

as

human

perspective

by teaching

human beings how to live

human
of p.

beings

with

that tmth. Tocqueville believed himself to be a "new

was a partisan of

kind"

"liberal,"

because he

distinctively

human

liberty (MEM, 1,

402. Tocqueville's texts The philosophers, in

power, and human

are cited one

by

abbreviations noted

in the References.)
the scope,
their pride, the

way

or

another, tend to
reason.

exaggerate

significance of

human
and

They deny, in

distinction between human thought

tivates reason
and even

God's.

Following

the desire which mo

by itself,

their minds aim at a consistency or unity that

denies

destroys the in

existence of particular or

seemingly

accidental

beings.

Only
beings,

God

can think

comprehend

one vision

generally and particularly at the same time. Only he can the heterogeneous character of reality. For human

the whole, in

poetically,

not scientifically.

tmth, is incomprehensible. If they perceive it, they do so Even or especially human self-understanding is
that the

necessarily incomplete. Philosophers tend to forget

exist to compensate

human capacity to

generalize seems

to

for the human

mind's

inability

to comprehend

tmly

real

ity's infinite complexity or variety. Human generalizations or do violence to reality, particularly human reality. Philosophers

systems always

tend to produce

doctrines and systems, and hence to lose details and distinctions, particularly human ones. They manifest a fundamental hostility to the particularity of hu
man existence

(DA,

pp.

429-52;

cf.

Lawler, 1990).

A substantially different version of this American Political Science Association.

article was

delivered

at the

1988 Annual

Meeting

of the

interpretation,

Spring 1990,

Vol. 17, No. 3

402

Interpretation

PLATONIC PHILOSOPHY

tus"

For Tocqueville, Platonic philosophy is distinguished by its "sublime impe even (DA, p. 545). As theory or knowledge, however, it is
"childish,"

"ridiculous"

(MEM, 1,

pp.

343-47; LET,
reason

p.

130). The Socratics

or

Platonists
and

believe naively that human morality and

infinite"

metaphysical

can

discover

firm foundation for

support the

human "aspiration toward human beings

a

immortality

the

(LET,

p.

130).

They
beliefs

give

very high idea

of

them

selves,

and

they
of

support, in particular, the

can

lofty

projects of aristocrats.

Only

with such metaphysical

divine love

(DA, p. among the Americans, in the "pure their intellectual and political leaders, their self-perceived (LET, pp. 50-52).
religion"

truth"

human beings have "a sublime, almost a 462). Tocqueville finds belief in such "natural
deism"

even

or

Unitarianism

of

natural

aristocracy

belief has the salutary tendency to be selffulfilling. If human beings really believe they somehow transcend time, they really do tend to produce achievements that endure the test of time extraordi
aristocratic or pretentious

Such

narily well (Lawler, 1983). But it goes without saying that an enduring tion for spirituality, such as that enjoyed by literary figures like Plato, is
same

reputa not

the

thing

as

immortality.
"implanted"

All human beings, Tocqueville says, have

within

them a "taste
and

for the infinite

and a

love for

what

is

immortal"

(DA,

pp.

534-35),

hence,

they may exist, they love to hear that they have immor tal souls and are essentially spiritual beings. From this perspective, Platonists are inevitably at least partly flatterers, and their literary endurance is a reward
whenever and wherever

for their flattery. In Plato's work, Tocqueville says, ble and most efficient cause of the great literary
Hence he 476). Tocqueville
seems to regard recommends

one

finds "the

most
p.

dura
130). in
p.

successes"

(LET,
to

that "[a]ll

who

have

ambitions

literary

excellence

democratic

springs"

nations should ever refresh

themselves at

classical

(DA,
in

Plato's writing

as

the

first

and

some respects of

the exemplary manifestation of the

spirit,"

"literary

the

tendency

the human

imagination to

present an

idealized

view of man and nature

that is achieved

by

suppressing details that would produce a more modest and hence more accurate and less humanly satisfying view of the human condition and human prospects (RE, pp. 62-67; DA, pp. 462-63). Tocqueville says that the ancient writers,
unlike modem

ones,

were always careful

beauty."

with

details, but

always with the

in

tention
reality.

of

In

Hence they did not present all the details of "seeking an ideal their literary endeavors, they were essentially poets (DA, pp. 476, 483).
also asserts that

Tocqueville

"[t]he

soul

has

needs which must

be

satisfied"

(DA,

p.

535). The

real greatness of

Platonism is its

acknowledgment of this

Was Tocqueville

Philosopher?

403
differ

fact, its partisanship

from
modem ones vation or revolution

on

behalf

of

the

soul.

Platonic

or classical writers

particularly because they lack the fanatical passion for inno that comes from the soul when the soul is denied (OR, p.
noblest and most perse
nature"

147; DA,

pp.

543-45). Plato "addressed himself to the

of our

vering instinct

(LET,

p.

130,

emphasis added).
soul

By

the human soul's needs are

really met, that the

is really

somehow

asserting that immor

tal, Plato teaches human beings that there is no reason to rebel radically against their human condition, that being human is good. If his doctrine about the
soul's

immortality

were

not

only

sublime

but tme, he
notice

would

not

be

mis

anthropic.

But
and

materialistic philosophers are not

right to

that human

beings
do

cannot

do

act, ordinarily, as if Platonism the words

were

accordance with

"the

pleasures"

various sensual promise

faction that they

of they love. The is unrealistic (MEM, 1, p. 318), and the satis the soul is at least largely illusory. Human beings, in

They usually condemnation by the

tme.

not act

in

"Platonists"

tmth, have no access to know what is immortal.

metaphysical or

fundamental knowledge.
with

They
and

do

not

They
as

are

essentially beings
seems to

bodies,

in tmth

they know nothing

If
who a

without

bodies.

"real

philosopher,"

Tocqueville

have thought, is "someone

then
"such,"

takes pleasure in metaphysical

Tocqueville"

speculation,"

as

Beaumont

observed, "was

not

(MEM, 1,

p.

10). Metaphysical

inquiry

did

nothing for Tocqueville but make him miserable (LET, p. 64). All it produced was an awareness of his fundamental uncertainty or contingency, of the "in comprehensible which are at the heart of the human soul's seemingly
miseries"

arbitrary location in a particular body. As a result of "contemplating he saw that man exists on earth "for a moment wandering on the verge
abysses,
oneself
and

himself,"

of two

then is

lost."

The

unadorned

"[h]uman

destiny"

is to

experience
one's

"for

moment"

as other than nature and

fortune"

"passions, doubts,
Tocqueville
p.

and unexpected good

a

God, and to know only (DA, p. 487).

is "superior to

thought that Plato "as

philosopher" any"

(LET,

343), but he certainly did

not think or

says, do desire to know the highest

he taught the tmth. Human beings, he fundamental truths, but this desire pro

duces misery, not happiness, because the attempt to satisfy it produces, not tmth, but paralyzing doubt. In his belief that self-awareness is necessarily in
complete and

full

of

misery, he thought himself

closer to

Pascal

or

Rousseau.
uncer

According
tainty.
of either
. .

to

Pascal,
are or

"[w]e desire tmth

of not
happiness"

and

find in

ourselves

nothing but
and

We

incapable

desiring
p.

tmth and

happiness,

incapable

certainty

(1966,

146). A

highly

self-conscious person

or

people, those

who are

far from the innocence

of children or

the

illusions

of

aristocrats, can still appreciate Plato's sublimity, but they cannot believe in his theory, because they have assimilated, in one way or another, Pascal's criticism
of

the

philosophers

in

general and

Platonism in

particular.

404

Interpretation

MODERN PHILOSOPHY

of

The early modem philosophers skeptically denied the possibility of any form human immortality. Their radical doubt or atheism, they thought, was life-

enhancing.

They
with

opposed

the stupor promoted

p.

by

the spiritual or

otherworldly
hu

illusions
man

of

Platonism

(LET,

319; DA,

p.

543).

They

sought to perfect

its irrational limitations, to eliminate liberty human misery by making the incomprehensible comprehensible. The modem assumption is "that everything in the world can be explained and nothing in the
reason, to overcome
world passes could

be

remade

ciples of

human The

race"

society completely according to the universal and homogeneous prin reason. The result would be nothing short "of a regeneration of the (OR, pp. 12-14).
philosophers,
experience extent

the limits of

intelligence"

(DA,

p.

430). Individuals

and

modem

view of

the

to which human

beings

has shown, had a greatly exaggerated could live in the light of reason and
goal

rationally transform human vague or indistinct or

monstrous over time. and acquired

existence.

Their

was, from its

beginning,

"indefinite."

The less

modem

It became progressively more fantastic or project became progressively less empirical

revival"

the qualities of a "religious

reasonable

and mysticism.

Its hopes,
reality,

of

course,
cause

were always

than those of the Christian religion,

"supernatural"

be
a

it

assumed

dogmatically

the nonexistence of a

reality inaccessible to human reason, in which they might be realized. atheistic theology of liberation, their assertion The modem that "the first, incomplete Creation can be corrected by a second one made by
philosophers'

human
cannot

hands,"

never came to

terms

with

the tmth that the liberation

it
p.

promises

be

produced or

by
or

human beings,
philosophical

by history (Hereth, 1986,

52). Its

inevitable be

logical

replacement, Tocqueville says, is the

the tmth of which could never
will

prideful and antihuman affirmed

doctrine

"pantheism,"

of

by

a reasonable or self-conscious

human being. It

become tme

only if human beings or human self-consciousness Tocqueville says, is radically opposed "to the tme

cease to exist. nature of man's

Pantheism,

greatness"

(DA,

p.

452). began
as a

The

modem project

"noble

error,"

a product of

"excessive

pride"

231-32). Its atheism tmly, if incoherently, meant to be of service to human liberty. But, as an error, it could not sustain itself indefinitely in the light of reason. Because its partisanship on behalf of rational consistency was

(ER,

pp.

fundamentally misanthropic, it denied the goodness or real existence of genu inely human distinctiveness or liberty. Its tendency was to become more explic itly and unempirically deterministic. Instead of taking its bearings from the
complexity
upon of

human experience, it

more and more relied on

the

imposition

reality

of systems

fabricated

by

the

imagination. Through

such imposi-

Was Tocqueville

Philosopher?

405

tion, it eventually achieved its desired systematic consistency, or removed the impediments the existence of humanity presents to human reason by simply

denying

the real existence of human

liberty

or

individuality. The individual

was

suppressed

in favor

of

the species, and the species itself disappeared in even

explanatory systems. With humanity absent, human knowledge seemed to become both comprehensive and easy. The philosopher or theorist, by systematically degrading others, found an easy way to flatter himself or his
more general mind

(See Lawler, 1990; cf. Ceaser, 1986, pp. 458-60). This destmction of humanity, however, is not simply the product deduction. It is confirmed by the experience of the modem or

of

logical
or

"enlightened"

extremely nothing but

name of

self-conscious

individual.
illusion that

Individuality
must

comes

to be experienced as

a miserable

be

surrendered or

destroyed in the

tmth and contentment. The individual "is overwhelmed

weakness"

by

a sense of

his insignificance

and

(DA,

p.

435). He

experiences the

unreality
existence

of

his

particular

existence, the

feeling

that

his

particular or

individual

is

This apparently fundamental or philosophical knowledge pro duces the practical doctrine or that the experience of one's individu
unsupportable.
"ideology"

ality

should

be

eliminated

by

whatever
p.

means

necessary,

that

individuals longer

should

be

reduced

to a
are

"mass"

(ER,

160).
"imbecility,"

Human beings

to

be
no

reduced

to an apathetic

no or

reflecting 735). They dence

no

upon and are

hence

to surrender or be

longer caring about either past forced to surrender their

sense or

future (DA, p. indepen

or concern about
rights

individual

destiny
will no

and

hence

their

"rights."

They

will

longer have
are

because they

longer

experience

the need for them.

They They

to

are

live contentedly with their contracted desires in an eternal present. no longer miserable because they desire to be immortal but cannot

become
cance.

so.

They
a

can no

longer

reflect upon

the

fact

of

their particular, tempor

"cosmic"

ary existence,

fact,

which, in tmth, has

"necessary"

no

or

signifi

The

modem

philosophic project

is

fundamentally
reason of

destmctive

of

humanity
com

because it radically doubts

prehensible

the existence of anything the

which

is

not

simply

by

reason,

which eludes which of

the philosopher or theorist.

Its

understan

proponents

"deny
other

anything

they

cannot

understand the tme

By bmtalizing

complexity human beings

modem

human
and

liberty

or

they cannot particularity (DA, p. 430).

and

terministic system, the

hence capturing them within one's de thinker attempts to divinize himself. But in the

end, he cannot help seeing that he has no reason to exempt himself from the logic of this systematic brutalization. The rationalism of the philosophers, espe

cially unity
their

when applied

to the

problem of

human misery, leads

or pantheism.

inevitably

to the

by inevitably, is distinctively
promised
own

comprehensive

determinism
existence.

What it opposes,
men,"

human

It

ends

up

"banishing
p.

for

good, "from the

history

of

human

existence"

(RE,

62).

406

Interpretation

LIBERTY VERSUS REASON AND HAPPINESS

"postphilosophic"

Tocqueville
suggestion that

seems

to affirm the Christian or Pascalian or

one

the philosophers, in

way

or

another, engage in

a pretentious

revolt against the tmth about

human be

existence

(Pangle, 1987,

p.

195). This
more gen

"metaphysical
erally, very
cannot

revolt"

seems to

characteristic of philosophers as such.

or,

self-conscious

mortals,

The truth is that human

capacities

satisfy human
pride,

aspirations.

passion or

cannot

help

Reason, especially when informed by human suggesting that human beings ought to be some

thing

else.

Because human beings, including or especially philosophers, are full of (MEM, 1, p. 340). they cannot be "merely reasonable Tocqueville himself longed sometimes "for peace of mind and moderation of
beingfs]"

passion,

desires,"

but he

never seems

to have had them. He also says about himself

"that it is my

unreasonable and

to

long

for

better fate than that

of man.

But

such

is

involuntary

irresistable

impulse"

(LET,

p.

148). Human

agrees with
rience.

Pascal,

cannot

but desire

a greatness which

beings, he is beyond human expe

Tocqueville does

not

isfied
other

with

being human, just

of existence.

say that it is unreasonable for him to be dissat that it is unreasonable for him to dream of some human beings
to live well

form

The

philosophers

may

sometimes teach that

ought

by

candidly coming to terms with the limitations of their condition, but

they

rarely follow that advice themselves. The Platonists and the early modem phi losophers attempt to turn human beings into gods, either by word or by deed. The late
attempt modem or

deterministic thinkers turn human beings into bmtes. The limitations

p.

to divinize man or turn him into an angel, to forget or attempt to

overcome
man

his

bodily

or needs

inevitably leads,

Pascal says, to hu

bmtalization (Pascal,

60). The

philosophers
not of

clearly
that

of angels or gods and

beasts, but

apparently can conceive human beings. Their thought is

class"

being

human is

unreasonable and undesirable.

condition of mediocre reason and

Human beings, in tmth, exist in a "middle and god. This condition, experienced "as a thing sically unsatisfactory from the
p.

between beast

worth,"

is intrin

perspective of as

both

happiness (LET,

103).

Consequently, Tocqueville,

its partisan,

affirms

human

liberty

as a

"noble"

analysis"

feeling

or passion which

"defies
"logic,"

and also resists contentment

or

happiness (OR, p. 169). Human liberty has nothing to do

opposition

with

and, in
of

fact,

opposes

it. It is

"virile"

to necessity

(OR,

p.

10). Love

liberty

for its

own sake

is

"incomprehensible"

to those who have not been given

it. It is
for

not

something
or

that self,

philosophers as philosophers or points of

thinkers can comprehend.

Reason, by it

to

equality

or uniformity.

The

noble preference

liberty

diver

sity

humanity

comes

from

somewhere else.

If

a particular metaphysical doc-

Was Tocqueville
trine,
such as

Philosopher?

407

Platonism,

can

be judged to
of

support

human

liberty

under certain reasonable.

circumstances,

it is because it is full

pride,

not

because it is
while

Tocqueville believes he

was a partisan of

human

liberty

being
his

remarkably
pride could

free

of

illusions, especially

metaphysical ones.

He is

proud

that

exist while

being

less deceived than

to the

others.

The its

philosophers often

say that metaphysical labors

even

inquiry

leads to happiness,
the
of

and

mind"

hence that

"devotfion]
(DA,
p.

...

and pleasures of

is

good

for

own sake

452).

They
the

say that the way

answer

life

of

the philoso

pher

is "the life that

contains
p.

final

to the point of human life as

(Koritansky, 1987,
is distorted

102).

They

can

by

pride

or

human
of

passion.
tmth"

only because their perception Tocqueville writes of the "ardent, do

so
p.

proud, disinterested
view

love

the

(DA,

460,

emphasis added).

Such

is essentially aristocratic. It is full of the illusions the belief that thought or metaphysical awareness frees
it It
somehow overcomes

of

aristocrats, especially

one

from necessity, that

mortality,
p.

tmly

one's anxious

dissatisfaction
pure

with one's
know"

that a human life could be constituted

seems

by

"a

desire to

(DA,

460).

aristocratic

inevitable that, eventually, the "desire to illusions that made it seem to lead to wisdom
philosophers

know"

would and

dispell the

happiness.

Modem
shown that

sometimes

say that philosophy is

useful.

They

have for

it

can

help

to produce material prosperity,

which

is

a real good

beings

with

It

cannot

bodies. But, in the decisive sense, its utility is quite fundamentally transform the human condition. Its

questionable.

"enlightenment"

powerfully to make human beings more self-conscious or more fundamental contingency and uncertainty, of their distinctively human misery, of the fact that human desires exceed, and will always exceed,
seems most aware of their

human

capacities.

tal, unconquerable human beings more do

not

It emphatically does not overcome scarcity. The fundamen human scarcity is the scarcity of time. Enlightenment makes
and more conscious of

time,

more aware

that

have

enough.

It

robs them of all enjoyment.

It

replaces

they simply happiness or

contentment with the ever-elusive pursuit of

happiness.

THE RESTLESS, PROUD, UNHAPPY AMERICANS

According
"the tranquil
a gift of

to

Tocqueville, "[t]he

greatest of all conditions

good"

for

happiness"

is is

enjoyment of the present (LET, fortune, and it is one which is not given to human beings as such. Human beings, because they have souls with their own, insatiable needs, "soon grow bored, restless, and anxious amid the pleasures of the (DA, p.

p.

348). Such

enjoyment

senses"

535). Enjoyment
nobility.

and contentment are not marks of

human distinctiveness
materialists

or not

They

are not points of pride.

The

restless

American

do

have them and, in tmth, scorn them. The Americans willingly sacrifice

the present

for the future.

They

pridefully

408
or

Interpretation
ardor,"

pursue, but refuse to enjoy, prosperity heroically, "with a furious looks down with condescension himself Tocqueville (DA, pp. 400-406, 535).
upon those who are content with their present

lot. He

views

them, in his pride,

qualities.

as

less human

or

less

spiritual

than himself. He
as
one

regards

the willingness to sacri

fice

the present

for the future be

of

the

sublimest

human

He

knows that it
makes

can never

reduced

to

material

self-interest,

because, in tmth, it
as

human beings

miserable.

Following Pascal,
not

Tocqueville describes the human

being
the

the

bmte
angel

with

the angel in him. The angel

is dependent
is

on

the

bmte,

although

the

does

like that fact. But the

and

angel

also capable of

teaching

bmte,

of expand

ing
new

refining brutish desire, and of showing the bmte how to satisfy these desires. The human being's restless, incessant pursuit of physical enjoy

ment cannot

be

explained without reference

to the angel, to the angel's

pp.

desire

to dominate and be freed from the bmte

wealth and

(DA,

546-47). The desire for

luxury,
a

the desire

straints of unrefined or

for more, shows one's freedom from the con merely bmtish satisfaction. It is the angel who cannot

be satisfied;

According

to

bmte, by himself, can readily find satisfaction and contentment. Pascal, the mark of human greatness is never being satisfied with
(pp. 62-65).
says

one's condition

Tocqueville
erty,"

that the democratic American "has a natural taste for lib

of

and an

inordinate love

well-being (DA,

pp.

506, 553). The danger

may be that the latter may overwhelm the former, but it is also tme that the former is the cause of the latter. The feeling of the emptiness of any particular
moment of physical satisfaction and the

its

pride or consciousness of

resulting desire for more is not liberty. It is a mark that one has a soul

without with

its

own

needs, that one is unable to distract oneself completely from those needs,

that one desires spiritual satisfaction, even if it is not really available

(DA,

p.

535). The

self-conscious

materialist

is

obsessed

with

material

physical satisfaction

because he knows he
the

spiritual satisfaction naive

well-being or is impossible. He
spiritualists, of

is

proud

of

his

theoretical

superiority to

idealists

or

the candor

by

which

confronts

futility

and

misery

of

his

condition.

Tocqueville strongly expresses his preference for "a kind of decent [or unself-conscious]
pursuit of

"restless"

materialism over

materialism

that would exist

extent that

without

"forbidden

delights"

(DA,

p.

534). To the

democratic

fosters "a taste for easy successes and immediate Tocqueville opposes it from a human perspective (DA, p. 440). But he does not, for the most part, present the Americans as self-indulgent, unassertive
materialism

pleas

democrats. hedonists, like A highly materialistic people is a highly individualistic or one, one which is shaped by a certain metaphysical awareness
the "incomprehensible
of
miseries"

Socrates'

self-conscious or a

anxiety,

by

of

time-bound existence. Such

people, full

promised

distinctively human misery, cannot enjoy or find contentment in the leisure by abundance. They are, in fact, proud of their inability not to work,

Was Tocqueville
of

Philosopher?

409

their avoidance of

leisure

as

nothing but boredom

pp.

and anxiety.

They

connect

their greatness to this

misery (DA,

535-38, 402-403). So

much work

is

unnecessary from the

perspective of

any bmte; it is
midst of

a manifestation of

human

freedom.

whole people

"restless in the

abundance

is Tocqueville's
"lucky,"

ex not

traordinary
feel
so
nate.

or unprecedented
p.

discovery. The Americans

their

are

but do

(DA,

536).

They

experience

existence as accidental or unfortu

They

They come They daringly attempt to overcome their accidental existence in opposition to nature by attempting to conquer nature, by overcoming their contingency, their
dependence
aware, from time to time,
when on

ever-growing feeling, that they deserve compassion. to think that all human beings, as equally unfortunate accidents, do.

think,

with

fortune

or chance of

(Winthrop, 1986,

p.

time to

time,

the

futility

of

this

attempt.

249). But they also are Hence they are, from

mood of philosophers

"hauntfed]"

by

"strange

melancholy,"

the

they

come

too close to the tmth. This melancholy can

life"

lead to easy

"grip

ping"

"disgust

with p.

that strikes

especially "in
thinking,"

calm

and

circum

stances"

(DA,

536).

The Americans "have little time for

not

because they

deliberately

do

find time for it.

as

are,"

"[T]hey

themselves"

dity

they

are of

Tocqueville says, "just as afraid of profun (DA, pp. 440-41). They fear profound tmth,

especially tmth about themselves, because they think they know what that tmth is. They want to believe that metaphysical or theological inquiry ought to be disparaged
cannot as

insignificant,

as a waste of valuable time.

They

want

to

deny, but
expe

always, the reality

theirs is shared
avoid

of

their

fundamental
and

experience of reality.

This

rience of

by

Tocqueville

Pascal,

and

they

quite p.

if

"ignobly"

it

as much as possible to avoid

natural unhappiness of our us when we

cording
"so
cal, p.

to

Pascal, "the

misery (DA, feeble mortal

reasonably 444). Ac

condition"

is

it"

wretched

that nothing can console

really think about

(Pas

67).

avoid metaphysical thought.

Tocqueville joins the Americans in attempting, not always successfully, to It also made him miserably melancholic. He, like

the

Americans,

was

"not

suited

for

idleness"
.

or

leisure, because it
"tranquil
days"

might

bring such "happy

"a

thought to mind.
often

circumstances,"

He was, especially "disturbed about

on

and

in

He

was overcome

by

great and pp.

ridiculous

misery,"

1,

332-33, 352; 2,

pp.

seemingly "without 319-20; LET, p. 349).

effect"

cause and

(MEM,

But Tocqueville, more clearly than the Americans, knows that his greatness is in his inability to avoid or be diverted from the misery of metaphysical awareness or anxiety altogether, and he is proud of his greatness. Tocqueville
tells the "sad
story"

of
of all

his "anxious

and

insatiable

soul."

He

says

that

[i]t is

little bit
than

the story

men, but of some more than others,

p.

and of myself more unrivaled

anyone

know"

(LET,

149). In his
ranks

perception of

his

human

sadness or

misery, Tocqueville

himself higher than any human beings he

410

Interpretation
ranks

knows. He

the Americans

much

higher than

most

human

beings,

cer

tainly higher than satisfied aristocrats or devout Christians. He understands them so well because he shares so much in common with them. His description
of their

restlessness, anxiety, and unhappiness, their despair at not

possessing

human sense, praise. more, They hardly Tocqueville believes the Americans really decisive in the respect, Perhaps, to be enlightened. He criticizes them for a lack of proper pride or ambition and
could

be

criticisms.

are, in

for

a rather

banal

or

calculating understanding

of religion.

But he

sometimes

seems to present pride and religion as

46). The tme

greatness of the altogether

life-enhancing illusions (DA, pp. 542Americans is in their misery. The danger is that
restlessness"

they

will

become

too miserable, that their "constant

will wear out

their wills, and

ness or greatness.

They

will

hence that they will give up their tme distinctive think or feel the misanthropic conclusion of the
project of

line

of

thought that directs the

the philosophers and self-destmct.

equality."

The Americans, Tocqueville says, have, above all, a "passion for Their awareness that human beings cannot really satisfy this passion is in their growing irritation
progress. ones.

reflected

Small,

persistent

anxiety as they continue to inequalities upset them more than

and

make egalitarian

large,

eradicable

What they want is complete equality, and they cannot and will not be satisfied with less. The passion, Tocqueville says, is "ardent, insatiable, eter (DA, p. 506). nal, and
invincible"

slipping through people's fingers, the more when they think to grasp it, fleeing, as Pascal says in eternal (DA, p. 198). Whether they realize it or not, the Americans
always
flight"

"[C]omplete

equality,"

Tocqueville observes, "is

believe,
human

as

Tocqueville's

rare

explicit reference

to Pascal suggests, that the

achievement of such
misery.

equality
passion

will somehow

free them from their

distinctively

humanity
cal,

or

for equality is the passion to be freed from their self-consciousness or liberty. As Americans become more theoreti Their (and eventually pantheism) is the remedy for the disease progressively more clearly and explicitly affirm the because the complete equality they seek does
are not

they

tend to conclude more clearly that equality, completely or uniformly

or socialism

achieved,
called

individuality.
of

They

misanthropy
not exist

the philosophers,

Most
women

of

among human beings. the time, the Americans

thinkers,
provide)

and save

their religion

and

their

(and the domestic

contentment

they

them to a great

extent

from encountering the consequences of what they really know. Such modera tion is indispensable for their human liberty, because their knowledge by itself drives them to self-destructive excesses. The possibility of their self-destmction
should more ville

their encounter with what

systematic

is

prefigured

in the

they really know become more frequent or self-destruction of Pascal, whom Tocque

as the most amazing or purest of the thinkers. Tocqueville's friend and collaborator, "there was no Beaumont, studied with more perseverence and more
interest"

describes

According
one whom

to

he

(MEM, 1,

p.

12).

Was Tocqueville

Philosopher?

-41

PASCAL'S POSTPHILOSOPHIC WISDOM

Pascal,
the most

says

Tocqueville, "ralli[ed]
secrets of the

all

the

powers of

his

mind to
"soul,"

discover
and not

hidden
life,"

Creator."

He

cared

only for his himself out,

for "this

hence he died

"prematurely."

His

mind or soul

destroyed his
Tocqueville
or pursuit

body; he

self-destmcted

(DA,

p.

461). He

wore

as

says about

the American materialists,

by

his "constant

restlessn

(DA, p. 444). Pascal, it seems,

not report

could not

bear the limitations

of this

life. Tocqueville does

secrets,"

that Pascal ever discovered the Creator's "most hidden

nor

that his extraordinarily "pure

desire to
what

know"

primarily
to

produced pleasure

for

his

mind.

Pascal believed that

he

most needed

know,

the tmth about

his

particular

fate

or

immortality, his

mind of

necessity

could not

know. Human
placed arbi

thought or self-awareness, the awareness of the contingent

being

trarily in the infinite universe, produces misery. For the human mind, this mis ery is incomprehensible. A human mind cannot know why or for what human
beings
exist.

Human
to

existence

is

experienced

by

the human mind as accidental.

According
remain

Pascal, human beings

consists

cannot escape this

neither can

human
our

and retain their

greatness, but

misery entirely and they bear it for long.

Pascal says, but thought by itself is of (p. 95). but The nothing misery misery is lessened somewhat by the fact that human beings can take pride in it (p. 71). The affirmation of human greatness

"[A]ll

dignity

in

thought,"

in

spite of

its misery is the human

who

point of

pride, but it is

not the pride of

the

philosophers,
are miserable.

self-deceptively

are not or

simply

will not admit

that

they

Yet
ness,
tune"

pride

is

not

enough, hence human

a

beings,

to affirm their human great

also need

faith in

fortunate

enough

Creator hidden from the mind, but they must be to have it. The absence of that faith is the "ultimate misfor
self-conscious enough to experience ultimate

for human beings, beings

doubt (Pascal, p. 157). Tocqueville does not present Pascal, having faith, because Tocqueville, the thinker, did not.
It is the
absence of

the

thinker,

as

progressivist or some

trust, be it Platonic, Christian, other, that causes thought to be of nothing but misery
faith
or
and

enlightenment-

and

to be self-destmctive,

Tocqueville believed that he and, to

misery.

lesser extent,
could

the Americans knew Pascal's

not exist

He

also

knew that human beings

long without faith. One must believe, at least to some extent or some in order to live freely as a human being. Human liberty is necessarily times, limited or shaped by faith or trust. The faith of the Americans, as Tocqueville presents it, is fortunate for the
perpetuation of their aristocratic

inheritance

human liberty, but it is which is inconsistent

also quite
with

tenuous, because it is

an

their skeptical approach to the

method,"

world,

with

their "philosophical

which

they have "found in

them-

412

Interpretation

selves"

(DA,

p.

430). Ordinarily, Pascal says, human beings

or contentment

must

divert them
at

selves

from

thought or self-awareness to avoid self-destmction

by achieving
The

least
or

some

happiness

(Pascal,

p.

66). The Americans,

or examination.

knowing
pur

feeling

this,

prefer

to believe "without

discussion"

pose of

religion, according to

Tocqueville, is
It is
a
dignity"

to time, from

himself."

thinking

about and

to keep an individual "from "salutary control on the

pp.

time

intellect,"

which preserves

"happiness

(DA,

432, 444-45).

TOCQUEVILLE'S POST-PASCALIAN WISDOM

Tocqueville,
human

as a political scientist or

statesman, considers

diversions from

perspective as not

liberty. He does

both salutary and necessary for human distinctiveness or present Pascal as being diverted, but, instead, as meta

physically single-minded. This awe-inspiring way of existing eventually caused his self-destmction. Neither Tocqueville nor the Americans nor other human

beings
that

can or should

follow his

example.

Allan Bloom is surely wrong to say

men"

Tocqueville

"evidently
emphasis

regards

[Pascal]
the

as

the

most

perfect

of

(Bloom, (p. 252;

added),

although

he was, for Tocqueville, the

philosophers'

most

radical of thinkers.

Pascal's

criticism of

prideful

self-decep

tion is one Tocqueville affirms, but Pascal's more candid or explicit contempt

for "this from

[human]

life"

he

also presents as misanthropic. work and

Tocqueville

regarded

his

his

passion

for

politics as a

diversion
some

metaphysical

anxiety

or

misery (MEM, 1,
the

pp.

415, 435),
bondage"

as, to

extent,
sense man not

an anti-individualistic affirmation of p.

"salutary

of common

(DA,

434). Some
avoid

reliance on common sense

beings to

the total surrender of

is necessary for all hu individuality. Tocqueville attempted

"despair"

to

"despise"

his fellow human beings

to serve their
an
"instinct"

or

deavors. He

attempted

good with moral earnestness and

concerning human en integrity.

his
awareness

He discovered that he had

of of

for justice that

moderated

his greatness,

and

he

was able

to affirm equality insofar as

it

was a principle

justice, and hence a limited or moderate principle (LET, 12, 141). His moderation made him a partisan of liberal
between fatalism
"middle
and
class"

pp.

84, 99, 1 10
which exists

"reform,"

somewhere

appropriate to the

condition of

revolutionary transformation, and human existence (ER,

to be

which

is

pp. 231

32). He
than
regarded

the diversion
able to
comes

of self-conscious materialists

less

adequate

his,

to

be less

fend

off self-destmction.
antihuman quest

The infinite desire for for "limitless indepen

materialism"

more, unmoderated,
dence."

from the

He

attempted

to supplement or moderate "restless

with and extend

aristocratic or political and religious

concerns, to

shore
not

up

among

the Americans their perceptions of their proud,

but

wholly individualistic,

Was Tocqueville
greatness.

Philosopher?

-413

He did

not want to

destroy

their greatness, or
could

form it into
of

an experience or

human beings

his own, but to limit or find bearable. He was a partisan

human particularity

liberty.

CONCLUSION: TOCQUEVILLE AND THE PHILOSOPHERS

The

philosophers

say, for

one reason or and

another, that

philosophic

inquiry
of this panthe

supports or even

is human
in

liberty

human happiness. As far

as

Tocqueville

can see,
error

they

are

error or

blinded

by

an antihuman pride.
which

Evidence

is found in their

metaphysical

doctrines,

from Platonism to

ism

express

hostility

toward human the

candid acknowledgment of

liberty or distinctiveness. He joins Pascal fact that by itself metaphysical inquiry leads

in
to

nothing but doubt and hence human misery. It leads the philosophers and even Pascal to assert that human beings ought to be something else. This misery, however, is at the core of human greatness, and Tocqueville,

for
or

a motivation other

than

reason or

happiness, is

a partisan of

that

greatness

dignity

as

proud

that this

something choiceworthy in itself despite its limitations. He is partisanship seems to rank him higher from a human perspective

than the philosophers, and perhaps even

higher from the

perspective of the

tmth. He evaluates metaphysical doctrines as a statesman should, as life- or

liberty-enhancing diversions, not that determinism is only "very

nicious"

as reflections of

the tmth. Hence

he knows

untrue,"

probably

under modem

circumstances

(ER,

p.

but "most certainly per 227). Platonism, while theo

retically implausible, is a salutary antidote to the excesses of materialism or determinism, and Tocqueville finds it and even infuses it into American reli Tmst in its tmth, if possible, moderates human misery enough to allow human beings to concern themselves with their souls, to look boldly toward the
gion.

future,

and not to surrender their

humanity.

REFERENCES

Bloom, Allan. The Closing of

1987.

the

American Mind. New York: Simon

and

Schuster,
and

Ceaser, James. "Alexis de

Role
of

Tocqueville

on

Political Science, Political

Liberty,

the

the

Intellectual."

American Political Science Review 79(1985), 656-72.

a

Hereth, Michael.

Alexis de Tocqueville: Threats to Freedom in

Democracy. Translated

by G. Bogardas. Durham, NC: Duke University Press, 1986. Koritansky, John. Alexis de Tocqueville and the New Science of Politics. Durham, NC:
Carolina Academic Press, 1987.
Pantheism."

Lawler, Peter
New

Augustine.
edited

"Democracy

and

In Tocqueville Observes the

Order,

by

Ken Masugi. Lanham, MD:

University

Press

of

America,

1990.

414

Interpretation
"Tocqueville
on

Religion

and

Human

Excellence."

The Southeastern Political

Review 11(1983): 139-60.

Pangle, Thomas. "Nihilism

and

Modern

Democracy in

the

Thought

Nietzsche."

of

In

The Crisis of Liberal Democracy: A Straussian Perspective, edited and W. Soffer. Albany: State University of New York Press, 1987.

by

K. Deutsch

Pascal, Blaise. Pensees. Translated by A. Krailsheimer. New York: Penguin, 1966. Tocqueville, Alexis de. Democracy in America. Translated by G. Lawrence. Garden City, New York: Doubleday and Co., Inc., Anchor, 1968. (DA)
The European Revolution
edited
and

Correspondence NY:

with

Gobineau. Translated

and

by

J. Lukacs. Garden

City,

Doubleday

and

Co., Inc., Anchor, 1959.

(ER)
Memoir, Letters,
mont.
and

vols.

Cambridge,
and

Remains of Alexis de Tocqueville. Edited MA: Macmillan, 1861. (MEM)

French Revolution. Translated

by

G. Beau

The Old Regime

and the

by

S. Gilbert. Garden

City, NY: Doubleday

rence.

Co., Inc., Anchor,

1955.

(OR)

Recollections. Edited

by

J. P. Mayer

and

A. P. Kerr. Translated

by

G. Law

New Brunswick, NJ: Transaction

Books, 1987. (RE)

and

Selected Letters
with

on

Politics

and

Society. Edited

translated

by

R. Boesche

California Press, 1985. (LET) Winthrop, Delba. "Tocqueville's American Woman and 'The True Conception ocratic Political Theory 14 (1986): 239-61.

J. Taupin. Berkeley:
Progress.'"

University

of

of

Dem

Zarathustra's

Dancing

Dialectic

Waller R. Newell
Carleton

University

Of

all

the

interpretations
about

of

Nietzsche,

none

is

more

penetrating

and ques

tionable than

Heidegger's. Its
it
will

it,

and

debate it
on

is vast, there are many ways of engaging continue for many years. In this essay, I want to
scope
one section of

explore

the basis of just

Thus Spoke Zarathustra

and

but

very important section, I think, for understanding Nietzsche Heidegger's understanding of Nietzsche. In Heidegger's view, the tural,
philosophical

assessing
cul

crisis of modem

life

at

stems
p.

(Heidegger, 1977b,

104).

incapacity Being {Sein) reveals itself in,

our

from

political, every level to "let Being be

through and as

Being"

finite

beings {Seienden). Man, conscious of and anxious about his own finitude, would like to preserve those finite revelations including himself (Heidegger,

1977,
play

pp.

of

12. 125-29, 168-78, 188-89). Out of this desire to freeze the inter infinite genesis and finite moment comes the interpreta
"metaphysical"

tion of the
producer of
sion of

world

according to
an

things

logos"

occurs

Being itself is a supersensible thing or essence, form, a divine or human will. The "seces when logos is no longer indissolubly linked with the
which

coming-to-presence of physis,
quate relation of the p.

but hardens into

"logic"

the mles

for the

ade

knower to the
the

objects of representation

(Heidegger, 1975,
to its metaphysical

179). In

order to control

world and make

it

conform

essence,

man must uproot all

existence, opposing himself to

Being

as an object religious modem could

which can

be isolated
modes

and subdued.

As the

core of

life is if

communal,
eaten

and traditional man

of existence closer

to

Being
as

away,

is driven

on

in

frenzy

of

appropriation,
caused

complete

mastery

banish
this

the unease and

homelessness

by

the drive to mastery itself. For

Heidegger,

the essence of the

"stmggle for

twentieth-century life, whether recognized or not, is (Heidegger, 1977b, pp. 100-101). mastery of the
earth"

the way in

Nietzsche, in Heidegger's view, which all of Being was

that

had

experienced with

agonizing

prescience

reducing to thinghood, and the realization

that "within

metaphysics"

is

to say, as the result of all previous

history
world

"there is nothing to

such"

Being

as

(Heidegger, 1982,

p.

202). The

is

drained
cannot

of meaning;

be

accounted

reality becomes empirical; any conviction or faith that of groundless for empirically floats off into a
"vapor"

abstraction or

arbitrary

preferences.

The drive to

reduce

Being

to thinghood

>

interpretation,

Spring 1990,

Vol.

17, No. 3

416

Interpretation
turns on the
supersensible

finally

itself,

which

had first

enabled

Being

to be

drained from beings; consequently, "God is (Heidegger, 1975, p. 36). incipient But although Nietzsche experienced the planetary alienation from Be ing that was to become our twentieth-century reality, he thought the solution

dead"

lay

in the

conscious creation of values

freed from the

"truth."

earlier metaphysical eternal

delu
of an

sion

of eternal permanence

the willing,

not of an

tmth, but

eternal return of calized

the chance to create

the crisis

by

accepting the very

nihilism

schism

For Heidegger, this only radi between fact and value which is
pp.

the deeper ground of

1981,
will

p.

(Heidegger, 1975, 149). Through Nietzsche, Heidegger

17, 199, 203; Heidegger,

argues,

Being

comes

to

be

viewed as the will to power to create values.

What this really

pp.

means

is that the

to power is erected over

man

Being (Heidegger, 1982,

the
completes

203, 223). Although

intended to free
rialism of

from

subjectivism

degraded

philistinism and mate

the Last Man

it in reality

posit man's will as the creator of all value

reification of

his subjectivization, for to is, in Heidegger's view, the ultimate

Being

into

subject and object.

Nietzsche, then, both foresaw

and

hastened the battle for planetary mastery, beside which all traditional of justice and community dwindle into pathetic obsolescence:
When God
willed as and the gods are
of
.

meanings

dead

and when the will

to

power

is

deliberately
pp.

the principle

value-positing, then

dominion
to
power.

over the earth passes

to the

new

willing
also

of man

determined
pp.

by

the

will

(Heidegger, 1977b,

92-99. See

Heidegger, 1981, it
a

157-58.)
of

This is

terrible vision. Is

fair reading

Nietzsche? Some have

of

objec
will

ted that it exaggerates the importance of the formal doctrine

power

the

to

in Nietzsche's thought
and

and underrates

the variegated and nuanced psy to provide content

chology
doctrine1

typologies

which

Nietzsche

elaborated

for his
own

a phenomenological richness
would profit

which, it is arguable, Heidegger's

from (See, e.g., Marx, 1971, p. 255; Schrag, 1970, philosophy pp. 291-95; Hoy, 1978, pp. 340-45). Through my reading of "The Dancing a section of Part Two of Thus Spoke Zarathustra, I will suggest that
Song,"

there is

dimension is

be"

of

"letting Being
most

in Nietzsche's thought that

will

mitigates

Heidegger's

emphasis on one of

the unconditional

to

will as

its

core.

"The Danc

ing

Song"

the

beautiful

and elusive

sections

in Thus Spoke

Zarathustra. In it, Zarathustra sings a song to which Cupid and some girls dance in a meadow. The song tells of Zarathustra's own experience with two
women, Wisdom
and

Life, thereby exploring

he knows

the relationship

of

Zarathustra the
knowledge.

knower both to

what

and to the world

in

which

he

seeks

Its details show, I

own

believe,

that Nietzsche did

not conceive of

ground, but

understood

it to be

grounded

in

an

interplay

willing to be its between man and

that Life can
history.2

Being

in

which

Life

solicits man to will

her interpretation in

order

come to presence as the manifold values exhibited throughout

Zarathustra

Dancing

Dialectic

-417

THE CONTEXT

"The distinct
"The

Dancing
group:

Song"

is the

central of

five

sections which appear

to form a

(1) "On the Famous Wise (4) "The Tomb Dancing

Song,"

Song,"

first
who

and

fifth

sections

deal

with wisdom.

(2) "The Night (5) "On The first, however, deals

Men,"

Song,"

(3)
The

Self-Overcoming."

with

those

addresses

have merely been popularly acclaimed as wise (p. 214). The fifth section "the those who are more authentically wise than the "fa
wisest,"

wise men.

This
of

section also gives the

fullest
"lust"

elaboration so

far in Thus life to

Spoke Zarathustra

the

will

to power. Zarathustra reveals that what takes to

itself to be love
will's

of

the eternal tmth is really a

bend

all of

one

particular, transitory interpretation (p. 225). These rare thinkers can only properly be described in terms of the degree of will which they manifest, and
not

by

their possession of some

fixed,

objective

knowledge

which makes

them

wise

(p. 228). describes

the

Nietzsche

first

Zarathustra (pp. 217, 228). Of the three

scribes the second and central

fourth

as

sections as being spoken by intervening sections, Nietzsche de being sung by Zarathustra (pp. 219, 225). The

and

fifth

section, "The

Dancing

is

concluded

by

a speech

is a song which accompanies a dance but (pp. 221, 222). Whereas the first and fifth sections
to
wisdom of

Song,"

have Zarathustra deal

tions are all
about

with the claims own

others, these central sec

Zarathustra's

thinking

and wisdom.

The first

and

fifth

sections show

itations
seems what

of other wise men.

Zarathustra confidently, sternly laying down the virtues and lim In the central three sections, however, Zarathustra doubts
about what

filled

with misgivings or

he himself

now

knows

and

he

seeks

for the future.

The

second and

fourth

sections are songs pure and

with

simple, and

they

seem

quite melancholy.

to

forlornness,

Both may be said to deal with which Zarathustra must

the

loneliness,
because
of

the temptation the

wisdom

wrestle

he

has already accumulated in the first instance ("The Night Song"), because he has too much wisdom to feel a part of the rest of human life, and in the second
("The Tomb

Song"), because he has already been forced

might

faiths

which

have
gives

reconciled

him to the

rest of

up so many human life. In sum,

the limitations
of moodiness of

to give

whereas

Zarathustra

speeches, almost sermons,

about

other wise men,

rather

he

sings about

his
of

own

limitations. The

song,

than the didactic certainty

long

speeches, seems to be appropriate to

and

Zarathustra's dissatisfaction

with what

tainty
those

about where

his love

of

life

will

he has already achieved carry him next.

and

his

uncer

The

progression of

the five sections now seems more clear. After criticizing

who are acclaimed wise

for serving

dices (p. 214), Zarathustra laments,

by

rationalizing the people's preju contrast, his radical detachment from

418

Interpretation

mankind.

He is

lone

and untouchable star as night

falls (pp.

217, 218). In
Song,"

the

narrative context continues

linking

"The Night

Song"

with
Song"

"The

Dancing

night

to

fall, for
of

"The

Dancing
its

takes place
end

Zarathustra feels the

Song,"

approach of night at

in the evening, and (pp. 219, 221). In "The Night

with

we pleteness of

leam

Zarathustra's dissatisfaction

the satiation and com

his

achieved wisdom.

In "The Tomb

Song,"

Zarathustra

seems to

be taking leave of this wisdom in a gloomy retrospective (p. 222). The tomb image with which it begins continues the general mood of darkness and loneli
ness

from "The Night

will and

Song,"

but it
of

ends

with

stirring

reaffirmation of

Zarathustra's
You

the

necessity

striking

out on new paths:

are still alive and your old

self, most patient

one.

You have

still

broken

out of

every tomb. What in my youth was unredeemed lives on in you; and as life youth you sit there, full of hope, on yellow ruins of tombs. Indeed, for me,
are still the shatterer of all tombs.
Overcoming"

and

you

Hail to thee, my

will!

(P 225)
a

"On Self lesson

on

develops this

reaffirmation philosophy.

into

triumphant-sounding

the tme source of all great

and

sion, between the first

fifth sections,
and

of

In sum, we have the impres the gradual death or darkening of

of

Zarathustra's

achieved

wisdom,

the

beginning

its

reemergence on a new

level.
The
Song"

central section

the second and

itself, however, does not share in the gloomy mood of fourth, though it, too, takes place as night falls. "The Dancing
Zarathustra's
progression
Song"

interrupts

from

dissatisfaction

with

his
old

achieved wisdom achievements

in "The Night

to a farewell retrospective on

his

in "The Tomb

Song,"

and

does

not seem

to be about either of
whatever

these. Its theme seems to be how Zarathustra achieves wisdom,

particular content

its

may be. We

will

turn to it

now

in detail,

and

this

should

further

substantiate

the preceding sketch of the group of sections in

which

it is

embedded.

THE SETTING

sought a well, and

One evening Zarathustra walked through a forest with his disciples; and as he behold, he came upon a green meadow, silently surrounded by trees
shrubs, and upon it girls
were

dancing

with each other.

As

soon as the girls

recognized with a

Zarathustra they

ceased

dancing. But Zarathustra

(P.

walked

up to

them

friendly

gesture and spoke these words.

219)

It is

evening.

By

the end, Zarathustra tells us the sun has

as

long

since set.

Hence,

the sun may be sinking away

"The

Dancing

Song"

takes place. In the

completeness and

previous

section, Zarathustra has

of

compared

himself, in
As the
the

the

self-sufficiency light or wisdom, he

his

achieved

wisdom, to a sun.

sole source of

his

own

stands

in

absolute contrast to

dark,

to those who

leam

Zarathustra
from him
Song"

Dancing

Dialectic

419

or adopt

may mean, just

after

it

attains

his values. The fact that the sun is setting in "The Dancing then, that Zarathustra's current wisdom begins to pass away perfect fullness and isolation from the rest of life.

that, unlike the surrounding four sections, this section is introduced and given its setting by Nietzsche. It is conceivable that, explicitly in the narrative time frame of Zarathustra's wanderings, Zarathustra himself
should note
passed without

We

interruption from the

night

see

presently, Nietzsche's setting integrates a

song to the tomb song. As we shall number of images from the two

preceding sections, as if he wishes to link this section with them, yet none of these images recurs in Zarathustra's dancing song proper. Nietzsche may have

deliberately inserted
rounding Zarathustra
wisdom
simple

an event so

from
to

an altogether
an

different time than the

of

sur

two

songs

as

imply

"interpretation"

Zarathustra:

can explore when

how he

philosophizes

or, so to speak,

regenerates

his
the

only but important fact that Nietzsche is

his

old wisdom

is declining. This
not

also reminds us of not conceive

does

himself to

be

Zarathustra.

The theme
setting.

of philosophic regeneration and

is bome

out

by

other

details

of

the

Zarathustra

his disciples

are

walking through a forest. Zarathustra

imagery. In "On the Famous

is

looking

for

a well when

they

come upon a meadow where some girls are

dancing. These details

Wise
Men,"

remind us of some earlier compares

Zarathustra
the

the seeker of tmth to a lion who roams in a

desert,
values

under

blistering

sun of critical

knowledge, free

of

the gods and other

by

which people

and wells

but

will not submit

ordinarily live. He is thirsty for the oasis full of trees to its idols, that is, he would like to believe in

these

idols,

to live contentedly among other contented things, but his

lonely

pride resists

Three

Metamorphoses"

obeying the "thou in Part 1,

call

shalts"

which organize
pp.

human life (Cf. "The

138-39).

Truthful I

him

who goes

into

godless

deserts, having broken his revering

he
squints

heart. In the

yellow

sands, burned
where

by

the sun,

thirstily

at the

islands

abounding in wells,
not persuade

living

things rest

under

dark trees. Yet his thirst does

where

him to become like these,

dwelling

in comfort; for
godless:

there are

oases there are also

idols. Hungry, violent, lonely,

of slaves, redeemed

thus the lion-will wants

itself. Free from the happiness

from

gods and

adorations,

fearless

and

fear-inspiring,

great and

lonely:

such

is the

will of

the truth

ful. (P. 215)

Yet life
such
"tmth"

seems

to

gather

itself around, to teem

unjustifiably

and

idol
is

or value
value.

is

worshipped

and

thrive, only where some in ignorance of the fact that

the truth-seeker

Toward the
wells

end of the

section, Zarathustra
wells of

speaks of

having
mean

in himself (p. 217: "the inmost

will"

the

spirit").

This

seems

to

that the "lion

begins to

mature

his

own new

values, and that, once ma

of new oases with new

tured, they become

a source of

life,

a potential

fertilizer

420

Interpretation
wisdom

not seem to be worth anything unless it those who thrive in the coolness and for can become a value for the unwise, darkness. This all seems to be a variation on the beginning of Part Two of Thus

idols. The tmth-seeker's

does

Spoke Zarathustra, where Zarathustra's wisdom is so full that it overflows must be shared. He compares himself there to a lion who has given birth
needs

and

and

friends

"turf"

or

on which

to rest his cub (p. 197). This seems to parallel

wells within

the tmth-seeker's gestation, so to speak, of

himself

which might

fertilize
his

new oases.
Song"

"The Night
achieved

deals

with

Zarathustra

as the

dispenser

of the wealth of

knowledge. His

soul

flows
of

over

like

fountain,
within

and

it is tempting

to regard this as the

mentioned.

flowing

forth

the

wells

the tmth-seeker

just

The

problem

is that Zarathustra

never gets

to drink and feel plea

sure

in the

"water"

or

need what others get

from him

life-affirming values which he gives others. He does not binding faiths and objects of reverence. Yet,
oasis.

as the

"lion

will"

or

critic, he thirsted for the

He

needs

to

feel the

same

life

which

others experience with the

help

of

idols, for his

own

thinking is

directed solely toward the enhancement of human life through new idols or values (Cf. Beyond Good and Evil 257 [Nietzsche, 1966, p. 201]). How can he
provide values

for

mankind

if he does
night!

not

know

what

it is to

need them?

Light light!

am

I;

ah, that I were

were

light. Ah, that I

. . .

dark

and nocturnal!

But this is my loneliness that I am girt with How I would suck at the breasts of

But I live in my own light; I drink back into myself the flames that break out me. I do not know the happiness of those who receive. This is my poverty,
that my hand the
never rests

of

from giving; this is my envy, that I

wretchedness of all givers!

see

waiting

eyes and of

lit-up

nights of

longing. Oh,

Oh, darkening

my

sun!

Oh, craving Oh, it is only

to crave!

Oh,

ravenous

hunger in drink

satiation!
warmth out

you, you dark ones, you nocturnal ones, who create

of that which shines. udders of

It is only

you who

milk and refreshment out of

the

light. (Pp. 217-19)

Does

not

Zarathustra
with

need

to have the

needs of those

he satisfies,

so as

to

ceases

stay in touch to feel

life

and man?

In

being

ashamed

for those

who

only a giver and not a receiver, he depend on him. This is because he cannot

imagine,
man

and

therefore

Zarathustra

above all

feel the disgrace of, depending on anyone himself. Yet others must not be inured to shame. Shame is the measure
This
"lion
will"

takes of himself against the freedom and independence he has not yet
and which

attained,

his

pride revolts at not attaining.

pride or

enables one

to overcome the constricting,

cannot stmggle p.

shaming "thou

shalts"

of the past.

Zarathustra
ashamed

for the

advancement

of man

if he

cannot

feel

for him (Cf.

195).
is that they lose their sense of shame; become callous from always
and

The danger
the heart
and

of those who always give of

hand

those who always

mete out

'

Zarathustra

Dancing

Dialectic

421

meting out. My eye no longer wells over at the shame of those who beg; my hand has grown too hard for the trembling of filled hands. Where have the tears of my
eyes gone and

the down of my heart?

Oh,

the

loneliness

of all givers!

(P.

218)

Zarathustra is
are

so rich that

he

cannot share

in the

satisfaction of those who

fertilized life
"hardest"

by

his

water and rest

by

the wells and trees which his

interpreta

tion of

gives them.

Nietzsche

observed at the

beginning

of

Part Two that

the to

thing
not so restrain

was

to restrain one's

preserve one's sense of shame over

outpouring of love for others in order their dependence. Zarathustra, however,

to
at

did
his

comprise

the outpouring.

himself, and the first seven sections of Part Two seem Now, however, Zarathustra seems to be disgusted

shameless at

generosity, his
of

inability

to thirst after values as his dependents

exam

"suck

breasts"

the

his light. He turns away from his beneficiaries to

Song"

ine himself.
That Zarathustra is seeking a well in "The Dancing be a continuation of his thirst for the thirsts of the rest Night
Song"

(p.

219)
like

seems

to

of

humanity

in "The
a well").

("Night has

come: now

my craving breaks
which

out of me

He

never

finds

the well,

though,

suggests

that, however Zarathustra

himself needy again, it cannot be in quite the same way that his depen dents are needy. The green meadow surrounded by trees and shmbs reminds us
makes of

the oasis mentioned earlier. The girls

dancing

seem

to stand for the unwise,

who

enjoy life innocently, accepting their

oasis as natural.

They

never

dream

that their green island sprang up only after some creator to wander in the desert and eventually fertilize a

forsook

previous oases

new one.

The

girls cease

dancing

when

Zarathustra approaches,

as

if intimidated

by

his

presence.

Does he look too

grave

for them to

go on

enjoying themselves

feeling shamed, without feeling summoned to some new and unpalata ble duty? Thinking of the two surrounding songs, we are again stmck by the inability of the creator to need or rest contented with the idols he creates for
without

disciples, but merely receive their opin like the ions from girls, would probably feel a positive revul they, sion for the originator of their beliefs if they met him face to face. How many
others.

As for those

who are not even

"nowhere,"

of us who
we

like to believe, for example, that would not find Socrates intimidating or do
He
can now go

"reason"

is the

criterion

for

what

repulsive?

Zarathustra's sun, his wisdom, the

clining.

source of

his

absolute

alienation,

is de
that

to the oasis, as if his isolation is

people

lessening

with

decline. He is trying to go back to where and delights. Zarathustra calls the girls
asks them to go on
what we

live,

and share

in their

needs

"lovely,"

denies

being

their enemy and

dancing. His friendliness to the

girls seems

to contrast

with

learned

of

him in "On Little Old

ability to
summon

Women."

and

Young
the pure

There, he
will,
will.

"child,"

understood woman's of

the

desire
a

or

out

man,

as

her

own

desire to be

possessed and

fulfilled
over

by

strong

But
pos-

Zarathustra

showed no

inclination to

give

himself

to this desire and

422

Interpretation

sessing.
perhaps

He

speaks

to an old woman, one presumably out of the running, and

"rational"

therefore a more

interlocutor for the

concerned about

cold

Zarathustra than

girl would with

have been. He

was

only

how

others must procreate approach

their sights on the overman. Now Zarathustra

such an erotic against will

is willing to

young He

girls, as

if he is willing to hazard He professes to work for God if the

girls'

longing

within

himself.

the devil

the spirit of gravity.

spirit.

acts as

pretty

dancing
you

help

him drive away that

Do
eyes,

not cease

dancing,
of girls. could

lovely

girls!

No

killjoy
an

has

come to you with evil

no

of gravity. of

enemy How

God's
you

advocate am

I before the devil: but he is the

spirit

girls'

feet

with

lightfooted ones, be ankles? (Pp. 219-20) pretty

I,

enemy

of godlike

dances? Or

Earlier in Part Two, Zarathustra taught that

"God"

what we call

is really the

highest degree any

given

of

independence

and

mastery to

which man's pride can aspire at

time. In advocating

"God,"

the extreme limit of

his

self-assertion within the

therefore, Zarathustra is urging man to flux of life. As we leam here, continuing

we will
will

the spirit of gravity seems to be an attendant risk of this

mastery.

to

Is this because,
we

having
love

destroyed

old

values, we become too attached too

to our new ones? If

our new

values

dearly,

forget the

ongoing battle for mastery from which they sprang. We will forget that the values are not ends, but really only means, springboards for the continuation
and enrichment of spirit of

the

our current values

gravity is to because

is itself the only To fall prey to the delude ourselves as to the importance and permanence of

battle,

"end."

which

we cannot

bear to

part with what we

love.

Our
to

unwillingness

to lose our present values may eventually turn from their weight, a fear that nothing

love
new

despair,

a sense of oppression under

can ever

be done. This despair is itself

a clue

life

gives us that we are satisfied

only in desiring, not in satiation. This seems to accord with Zarathustra's mis givings about his own matured wisdom in the surrounding two songs: He de
could

longer needing anything ("The Night Song"), then wonders what possibly be left to achieve anyway after so many apparent solutions to life have turned into chimeras ("The Tomb Song"). His willingness in "The
spairs of no

Dancing
it. It
was

Song"

to

meet

Zarathustra's
would

struggle not to

pretty girls and enjoy their dance may represent be weighed down by past wisdom and regrets over
spirit of

be giving in to the
so

so

important,
further

lasting,

or so

gravity to believe that one's old wisdom tragic in failing to last, as to be able to

paralyze

efforts at self-overcoming.

Zarathustra Tomb
Song"

unfolds
and

this conclusion more

didactically
to let
us

toward the end of "The

of

in "On Self

Overcoming."

Nietzsche's insertion

"The

Dancing
could

Song,"

however, may be
the

meant

poetically

the

inner transformation

which

grasp metaphorically and Zarathustra had to undergo before he

Overcoming."

sum

up

lesson in "On desire in himself

Self
so as

Here

we

may

see

Zarathustra

desiring

to escape the

deadweight

of "com-

Zarathustra
pleted"

Dancing
lay
of others

Dialectic
down
a

423

wisdom.

Perhaps it is
"overman"

not enough

for Zarathustra to

finished

teaching

like the

and
and

direct the desire

toward

it,

as

he

did in "On Little Old Zarathustra

wisdom which explains

Zarathustra may have to achieve a Young and incorporates his own ongoing desire for wisdom. himself to
a

Women."

goes on to compare
am a

forest

at night with a well.

who

Indeed, I
darkness little
shut.

forest find

and a night of

dark trees: but he

my
cypresses.

is

not afraid of

will also

rose slopes under

And he

will also

my find the

god whom girls

love best: beside the

well

he lies, still,

with

his

eyes

(P.

220)

He We

seems

including
might

to have absorbed into himself the setting of "The the well he was looking for but did not find in the
"sun"

Dancing

Song,"

actual meadow.

say he has also absorbed into himself the night which was absolutely distinct from the subjective of his matured wisdom in "The Night
Song."

Because his

old wisdom

is dying, Zarathustra darkness that, his

and

seems able to achieve a recon

ciliation with

the world of

fertility
idols

the world where

of

life is

actu

ally lived

by

the unwise who believe in the

the creators.

imagery
again

seems to suggest
need

old wisdom

having died,

This striking Zarathustra once

feels the
a

himself

breeding

interpret life completely afresh, and has become within ground, an oasis, for potential new values. Within him grow
to

cypresses, trees which, fertilized

by

the

dead,

allow new

flowers to bloom.
Before he
saw

What is the

exact character of seemed

Zarathustra's

revived need?

the

girls, Zarathustra

to be seeking the well-water which he himself for

merly
to

provided

crave!").

for others, as if he wanted the needs of those others ("O craving Now he seems content to let this well stay within himself. The

dance

and the

satisfaction
own well

song which it inspires in him seem to take the place of that he originally thought would come from being able to drink from his from feeling and gratifying the needs which others felt for what he
after

gave them.

Does he not,

all,

need so much

to feel the needs of others as to

sink a new well

feel
it

again the need to provide

for their

needs

to

in himself,

as

were?

Zarathustra

now

seems

to be embarking

on

an

account of

how he

acquires that wisdom which, once acquired,

he dispenses

so magnanimously.

There is
to

within

him, he says,

daytime
when

identify this god as Cupid, by a well. In other

he has
achieved a

Nietzsche shortly interrupts Zarathustra Desire (p. 220). Desire falls asleep in the that is, words, Zarathustra's desire to know is dormant
a god.

daylight to

which

he

earlier compared

temporary fullness of knowledge, a fullness like himself, and which, like a well,
depend
on

the
can

quench the thirst of those who

him

and cultivate

their oases around

his
has

teaching. Zarathustra compares active Desire to a

now

chaser of

butterflies
make

who of

fallen asleep from

things.
not

exhaustion.

He

seems

in this way to

light

the objects

or achieved content of philosophic

desire,

to give them the status of

fragile,
his

pretty

That Zarathustra

can speak

this way may further indicate

grave and

determination

to treat those objects as

of

permanent, but as

perishable

ornaments

the will to

power.3

424

Interpretation

Zarathustra's Desire is
to rouse him. There is a
with our

happy

to remain asleep

by

the well.

Zarathustra has

horizon

once

certain temptation, it seems, to lapse into contentment it has been created and settled. The little god parts with

his sleep weeping crankily,

and

Zarathustra holds this up to

asleep, the

mockery.

Verily, in bright daylight he fell

much?

idler! Did he

chase after chastise

butterflies too
the little god a

Do

not

be angry
and

with

me, you

beautiful

dancers, if I
even when

bit. He may cry

weep

but he is laughable

he

weeps.

(P.

220)

In this way he may be holding up to mockery the seriousness with which he himself takes his old, dying wisdom in the two surrounding songs. Their heavy melancholy
prepares

suggests
shed

that Zarathustra overvalues that old wisdom even as

reduction

he

to

it. The

here

of that

achieved wisdom

to

happy

slum

ber

and of

that melancholy to a silly pout shows that Zarathustra is

selfishness and playfulness of philosophic

the lighthearted

desire
are

stripped of

recovering its
the

"serious"

encumbering,
god wants

achievements.

Even

as

his tears

still

falling,

to dance and have fun.

And

with tears

in his
a

eyes

he

shall ask you

for

dance,
on

and

myself will

sing

song for his dance:

supreme and most

mocking song dancing powerful devil. (P. 220).

and

the

spirit of

gravity, my

The gambolling

joy

of

new,

reawakened

philosophizing

prevents us

from

tak

ing

seriously

any tears shed over the old.

who

Remarkably, Desire,
into the
external

began

as a part of

Zarathustra's soul,

springs

forth

setting to dance
while mean

with

the girls actually present. ("And this is

and

the song Zarathustra sang

of
magic

Cupid
girls

the girls danced together.") This bit

are

may

that

the

themselves

just

as

much

within

Zarathustra

ing

with

him. It may also mean that Zarathustra is really danc that the them, dancing god in him has taken control of his actions. It is
as outside of

Nietzsche's interjection between the

which

hardens

has

somehow

beginning of the dance and the song proper impression that the god, whom he gives a distinct identity, leapt forth into external reality. The very ambiguity of this transi
our engaged with the erotic

tion heightens our awareness that Zarathustra's desire as a knower is not di

rected at a and
other

supersensible, ideal realm, but is actively

him. Hence, the distinction between inner thought and external reality becomes highly questionable if not meaningless. The Dancing Song goes on both within and around Zarathustra.

forces

of

life

around

The

dancing

girls

seem

to parallel the
and whom

wild

and whimsical

Life to

whom

Zarathustra
also stand

speaks

in his song,

he identifies

for his wisdom,

who

is

also a woman and

They may hard to distinguish from

as a woman.

life. In general, the content of the song seems to mirror the dance and vice versa. Zarathustra sings while his own Desire and the girls dance. Their danc

ing may be likened to a kind of coquetry or forestalled consummation. We can imagine them looking into each other's eyes greedily, just as Zarathustra looks

Zarathustra'

Dancing
of

Dialectic

425

into Life's
mation

eyes

before they

overwhelm

him. The dance

forestalled

consum

song. values

philosophizing itself as described in the Philosophic Desire longs to possess Life and create new offspring or is
an appropriate enactment of

in her shifting midst, but

from any

as yet

only

gazes

longingly
or

on

her. This

puts

us

in

a position to examine the process of

particular values

philosophizing
the

creating itself, in
There is
a and

abstraction

to be overcome

or created.

temporary equipoise, symbolized in Life, the shifting, womanly object length, as it were. The ambiguities
mentioned mirror

the
of of

dance, between
Desire.

Desire to know
each other at
which we

They
song:

hold

arms'

the dance and its setting

just

those

which come out

ing,

or

is he

dancing
his

too? Is

his description

description

of

own particular

Is Zarathustra only sing Life anything different from a wisdom, the woman he keeps at his side?
of

in the

THE SONG

Zarathustra

recounts pulls

having

gazed

into Life's

eyes and

begun to

sink

into

her. Life herself

she cannot

Zarathustra

out of

this torpor and

mocks

him for thinking

be fathomed into

or understood.

slips comparable to the sleep of Desire If so, then Life's chastisement of butterflies? exhausting chasing Zarathustra would parallel Zarathustra's chastisement of Desire. Life may pre

Is the

oblivion

which

Zarathustra

after an

time

viously have had to rouse Zarathustra to confront and stalk her the way Zarathustra has just roused the god to make him dance again. We should bear in
mind

that the events

provides and with of

Nietzsche
as

in the song take for it. ("Into your eyes I looked

recounted

place prior to

the setting
sings

recently,"

Zarathustra

Cupid

the girls

dialogue demands

dance.) Zarathustra may already have learned from his how to make it serve the Life how to deal with his own Desire
rather

Life,
a

than allowing it to take

over and control one's access

to

Life through
sleep.

particular, successfully

achieved object of

desire, putting
not

one to

As the

rest of

the song bears out, Zarathustra does

toward the goal of

tmst

his desire for

of

wisdom

to carry him unerringly

understanding life. Part

understanding life seems to be understanding desire within life as a whole.

the place and capacity of this

Life, it

appears

here, does
and

not want

Zarathustra to be
wants us

overwhelmed

by

the

difficulty
does

of

knowing

defining

her. Life

to

try

to

dance

with

her.
and

In defense

of

this, Life

says she

is

"merely"

changeable, to her.

easy to know,

not possess the

permanent virtues men ascribe

fish,"

"Thus

runs the speech of all

you

said; "what they do

not

fathom is
in every way,

unfathomable.

But I

am

and not virtuous

mysterious.

even

merely if you men

changeable and wild and a woman call me

profound,

faithful,

eternal, and

But

you men always present us with your own

virtues,

you virtuous

men!"

(P.

220)

426

Interpretation
virtues seem

These

to be nothing but

various

measuring
not

sticks of

how little

men

know: Life is
Zarathustra
not ere
her.4

not profound,

but

men

ignorant;

eternal, but

men mortal. man:

reacts

to this

revelation

like her

a man as

Life describes He

He

can

believe Life's

proclamation of

own meaninglessness.

needs to rev

Life's behavior in
sue

Life

without

denying her virtue is paradoxical. Zarathustra cannot pur looking for some virtue to revere in her. Life wants to be
would seem.

pursued

in this way, it
the
affirmed

Yet the very

values.

pursuit results

in the

end of

"eternal"

the

pursuit:

achievement

of
might

The

impossibility

that our

values

stay

forever

be thought to but the

the

anticipate

Zarathustra's
here is gently
the content
of

gloomy

retrospective

in "The Tomb
It

Song,"

presentation
of

bewitching,
delicate

not melancholy.
wisdom

abstracts
and

from

deadweight

Zarathustra's

to

date

leaves the

process of

outline.

Life

wants

to be evaluated and yet cannot bend

acquiring wisdom in herself forever

he had

to any one evaluation.

In the his

next part of

his song, Zarathustra

said are

recounts a conversation

with

wisdom.

She

reproached

Much like
things he

what

he just

him, evidently, because he had been praising life. Life herself did, Wisdom tells Zarathustra that the
only
names you

praised

in life

for love

ways of

focussing

and

expending
why
you pro and

his

own will:
life'"

"'You will,

you

want,

that is the only

when

reason

praise

(p. 220). Perhaps

and

she means

that

Zarathustra

calls

life

found, for instance,

is thrilled

by

the contrast between her profundity

his shallowness, this thrill

reveals

that he is really carried away with the

would

thought of his own profundity in understanding life. This

lead in turn to

the conclusion that profundity is something he assigns to life precisely so that

his

will can

then strive to

plumb

its depths

and

feel its

own strength. as

But
new

whereas

efforts at

laughingly, perhaps seductively, so Zarathustra's wisdom speaks in her, possessing

said

Life

this

to goad

"anger."

She

seems to

be jealous

of

Zarathustra's

fails to
she

praise

her,

the wisdom

for Life. Is this because he thereby he has already achieved and taken to himself? Is
praise

jealous because Life

old

seduces

him to

want

to internet her anew, casting to be

off

his
at

interpretation, his old wisdom? Previously, Zarathustra had expected the

chastisement and

girls

in the

"angry"

meadow

his

rousing

of

Desire. Did he leam to

wisdom's anger?

expect

this from the

chastised

experience
god

he

now recounts of

his

Zarathustra

the

for

girls,
sessed

being by contrast,

content to slumber at the well of

"like him

best"

him in this docile

state

already for his sleepiness, as if they securely pos and, Zarathustra suggests, would resent losing is really the result of previous dancing, or the girls. Zarathustra's proposal of a dance Perhaps Zarathustra learned from his
dispossessed how

achieved wisdom.

The

possession.

Perhaps Desire's

slumber
with

something certainly

even more

daring,

seems to assuage their anger.

earlier experience of

Wisdom's
his

anger at the thought of

being

to make his

desire

and

wisdom struggle or

dance anew, thereby obeying

Life's

summons to reinterpret

her.

Zarathustra'

Dancing

Dialectic

427

Zarathustra, in recounting Wisdom's

"wild"

anger

wisdom.

took place,

This may be because, since he has taught her not to try to bind him
of

in the song, now calls her his the outburst he is recounting here
and

interpretation

Life, but to
perhaps

respond

flexibly

to

Life's

his Desire to any one own wild flexibility.

to

Wisdom

would

like Desire to
summons

remain

dormant,

fall

asleep.

But

Zarathustra, regarding Life's

and tme

to reinterpretation as more
"wisdom,"

important

forces Desire to stay awake, pursuing Wisdom but resisting any final satisfaction. In this way, Zarathustra conquers the temptation to expend his desire on some one form of
wisdom and

than any one such interpretation or

then slumber,

jealously

possessed

by

that one

wisdom.

He

resists adorns

that

chimera of an eternal

tmth or end with which

every temporary tmth

itself, recognizing

these tmths as mere means to Life's ceaseless self-overcom

ing

and redevelopment.

Thus Zarathustra

seems

to stand very close to

life,

and

his singing for the dance may be his permits him to govern Desire and Wisdom
soul.

articulation of an

insight into life

dance

which

as an unfinished

within

his

Zarathustra merely
a

would

not, the

he says,
s

answer

Wisdom's

accusations.
and not

Being
end

knower'

servant of

herself,
must

she

evidently

cannot

relationship with grasp the full meaning

life,
of

an

in

that relationship, but

it. He is willing now, however, to sum up that relation ship in his song for the dancers. This willingness may confirm our interpreta tion of the dance now taking place as a symbol of Zarathustra's successful be
governed

by

ordering of his ongoing desire dialectic.

For thus
verily,
matters stand

and

his

achieved wisdom as a sort of

dancing

most of all when

and among the three of us: Deeply I love only life I hate life. But that I am well disposed toward wisdom,

and often too well, that

is because

she reminds me so much of

golden

life! She has her

eyes, her laugh, and even her little look so similar? (P. 221)

fishing

rod:

is it my fault that the two

Zarathustra cannot, he implies, love the wisdom he has achieved at any given time as deeply as the life which seduces him to try to possess such
wisdom.

He loves life
to

most when

that he

wants

reinterpret

he hates her most, probably because it is then her completely, which is what Life wants him to do.
Life because he
reflects

Zarathustra is in
Is

harmony
also

with

her
as

own mutability. perhaps

But Zarathustra
much.

feels

affection

for his wisdom,

to

he says,
the

too

this because there

is

a great temptation

mistake one's

certain kind of wisdom for the final possession Zarathustra may only be loving his own achieved, temporary wisdom when he thinks he has possessed Life and cast a net around all of her forever. This error
of seductress

possessing a Life?

may lead to the final tmth.

spirit of

gravity, to

taking

one's wisdom

too seriously as the

Wisdom is very similar to Life, says Zarathustra. She too seduces one to lose oneself in her gaze, but then fishes one out so as to be loved anew. This

428

Interpretation

of Wisdom's anger. It similarity to Life modifies our original understanding seems she is jealous not only if Zarathustra desires another, but also if he does not

actively desire her. Does this mean that even Wisdom is not ultimately satisfied with her own completeness and ability to be possessed, but in her

desire to be
tent of

freshly

possessed, seduces the knower to look past the mere con to the character of
wisdom as a continuing process Does Wisdom herself tempt Zarathustra to throw

his

present wisdom

in

relation

to life as a

whole?

her

over?

This possibility is raised more explicitly in the third and final part of the song. This part ("And when life once asked me ") may have taken place prior to what we have just heard about wisdom, and may have enabled
.

Zarathustra to

understand

the full range of wisdom's motives. to Life as a seductress

much

Zarathustra describes
And
when

wisdom

like Life herself.

life

once asked me,

"Who is this her

and

wisdom?"

answered one

fervently,

"Oh yes,

wisdom!

One thirsts

after

is

never

satisfied;

looks through

veils, one grabs through nets. Is she beautiful? How should I know? But even the
oldest carps are

baited

with

her. (P.

221)
often contradicts

Wisdom, he
ally.

says, is

"changeable,"

herself ("combs her

against

the grain") and in these

ways seems

to seduce

him to

pursue

anew continu

Like Life

as

described in the first

part of

the song, Wisdom speaks ill of

herself. But,

Life did this, Zarathustra merely refused to believe here that he finds this the "most thing about Wis dom. At this, Life laughs and claims that Zarathustra has been speaking of her all along. She is sarcastic, as if she has caught Zarathustra in a lie about his
whereas when

her, he

seductive"

confesses

attitude toward

herself. She may

mean

by

this that

when

Zarathustra
so much

objects to

having any meaning, he really does this not reveres her, as because he loves the meanings the posed on her. Zarathustra has admitted that he wants to
her denial
of

because he he has im

"wisdom"

make

his

wisdom a

decent woman, he imposes. He

as

it were, by tying her down once and for all to the meaning wants to believe in, to possess, his own wisdom. According to
wants

Life, it

seems, this is what he really

adopts toward of

to do to

her, too, despite

the

respect

ful tone he

her.

In the light

this final part, the lines between Life and Wisdom seem to

be

blurring. Life

closes

her

eyes

dom, he has really been talking

distinctness between herself
into
absorption with
again

before telling Zarathustra that, in describing wis about her. Is this to preserve a brief moment of

and wisdom
. .

before

letting

Zarathustra

sink

back

her? (".

then you opened your eyes again,

O beloved

life. And
most settle

seemed to myself

to be sinking into the unfathomable.") The

important thing about wisdom in the end seems to be, not her capacity to into one solid interpretation of life, but her connection with the life that
summons
and all of such

continually Zarathustra

interpretations.
as we

She

is

the

link

between

life. Part

her,

have seen, is willing to be

possessed

for

Zarathustra'

Dancing
This

Dialectic

429

good, and can

be jealous

of a side

desire for
of

new wisdom.

part of

her,

say, is

on

Zarathustra's

the link to life

the side of the

we may individual
as

human knower
own.

who wants

to appropriate life all at once and love her

wants seems about

his

But Wisdom herself

to be possessed and appreciated again and

again, and this part of

her

directly

linked to life. The

seductiveness and

uncertainty
not yet

of our

attained

life does not, in sum, indicate that we have thinking the fixed, permanent tmth about life. This uncertainty is,

rather, a

direct

reflection of

life,

and reveals a

far

more of

the

"tmth"

about

life

than any one interpretation claiming to be Interestingly, Life objects to having the
explicit:

fixed tmth.
to life
made so

closeness of wisdom

"Should that be

face?"

said

to my
as

She

closes

her

eyes after

Zarathustra
studied

finishes her
one

describing
now

wisdom.

It is

if

she

does

not want to

be further
of

by

Zarathustra

that

own qualities.

studying her is to Perhaps this is because understanding too much about how
revealed

he has

how

similar

his way

thinks,
will

as opposed to

being

convinced that certain particular thoughts are

prevent us

tme,

bring

one too close

to Life and actually

as she wants

to be pursued. Perhaps we cannot love Life

if

we

from pursuing Life face her directly,

perspective or
us

but only through the beautifying veil of some particular, partial form of wisdom about her. It may suit Life's purposes to have

blind

about

her,

that

is,

committed

to her through the edifying camouflage of some narrow

horizon (Cf. Nietzsche, 1957, pp. 6-9). Life demands at the end of the song that Zarathustra tell her, not wisdom is like herself, but what this wisdom is on her own: "'But
and exclusive
wisdom.'"

about

how

now speak

also of your

We

might

interpret this

as a

demand that Zarathustra

stop thinking about thinking At this point, Life opens her ion. This his
slide

and eyes

simply tell

some particular thought or value.

again, and Zarathustra slips back into obliv

answer to

into

oblivion

is, then, his

Life's demand that he

reveal

actual wisdom.
solicits

By

opening her

eyes at

this point, moreover, Life deliber

ately

this kind of answer, a

wordless wonder or reverie

preparing the

ground

for

an eventual value

formation.
suspicion

This

seems

to confirm

our

that

the particular content of our

thought about life

is,
the

at

bottom in
a

and

despite

what we

fancy

to be its to the

rigor and

clarity,
satisfied as to green

always grounded

kind

of oblivion comparable rouses

again.

slumber of

Desire
able

by

well.

In the end, Life it to sleep

be

to satisfy
places

it

and put

Zarathustra's desire only so Life wants us to build those

fertile lies, places where life can relax, beautify and enjoy herself, like the girls dancing in the meadow. For this reason, not only Wisdom, but Life, too, can sometimes be reluctant to release resting in her
midst.

They

are

their

possessor

from his

sleep.

Because he

sense of
with

how to

alternate within

this, Zarathustra has a himself between the renewing dance of desire

understands

wisdom,

and the slumber of

that desire

temporarily

satisfied

in

achieved

values.

At the

end of

"The Night

Song,"

Song"

just before "The

Dancing

begins,

430

Interpretation
says

Zarathustra
while

(p. 219). Yet the dancing song begins its end, although the sun has set, Zarathustra still says it is evening (p. 222). There seem, then, strictly speaking, to be two nightfalls, the first one of absolute darkness, the second a kind of twilight. The
that "night has
and at
come"

it is evening,

implication

would seem

to

be

this:

Zarathustra himself feels

at

the end of

"The

Night
tion

Song"

from,
about

the darkness of the rest of

story
a

to, and aliena life. Nietzsche, who has interpolated a how Zarathustra regenerates his wisdom, blurs that opposition into
matured wisdom stands

that his

in

absolute contrast

mixture

of

light

wisdom return

emerges

darkness. In this way he suggests that Zarathustra's from the darkness of the rest of life and must periodically
and

to

it

so

as

to

be

able

to reemerge.
point

Prior to this
and

return

or

decline,

Zarathustra
that

stands at

his furthest

from life
come:

he is

alienated

forever: "Night has

Song"

alas

may, in his agony, think that I must be light! And

thirst

for the

nocturnal!

And loneliness! (p.

a metaphor

219)."

gives us

in "The

Dancing

for the

Nietzsche, his interpreter, cycle of decline into, and

reemergence

from, life

which

Zarathustra
Song"

articulates more and

didactically

for him
Life

self toward the end of wills us

"The Tomb

in "On Self

Overcoming."

to will life:
where

Hail to thee, my Will! And only 225). And life confided this
. . .

there are tombs are there resurrections (P.

secret

to

"Behold,"

me:

it said, "I

am that which

itself."

must always overcome

(P.

227)

CONCLUSION
Song"

"The into

Dancing

hardly
the
will

constitutes a

full

response to am

Heidegger's

cri

tique of the doctrine

of

to

power.

But, if I

correct, it does

call

it

question at a crucial
what

point, the

relation of

the thinker to Being. It reveals

that Nietzsche takes

surrender of

Heidegger

calls

to

Being

or

Life

and awareness

the thinker's letting-be {Seinlassen) that wisdom is granted to us from out

Life

to be indispensable for properly appreciating what it means to create

values.

Having

said

this, I

must

immediately

add

that there is no question that

attune-

Nietzsche
ment

means

his

readers

to reintegrate this more patient and passive

aggressive quest

to

Life into the

Song"

fullblooded,

for the
bottom

regeneration

of

values

toward the

overman.

The delicate from this

outline of

thinking
at

rendered

in "The

Dancing

is

abstracted

quest and

is,

and

throughout,
(to
use a

dedicated to it. For Nietzsche, thinking cannot rest with Heideggerian evocation), but must continue to strive for "the
the type
'man'"

"thanking"

enhancement of

{Beyond Good
we

and

Evil 257).
of

At this point,

reach

the wider circle

we

Heidegger's
suggested

encounter

with

Nietzsche

and

must stop.

But

have

at

least

some grounds

for

believing
viewed

that Nietzsche did not regard willing to be its own

as one

it

dimension

of an encounter

between

man

basis, but rather and Life which Life

Zarathustra
solicits

Dancing
raise

Dialectic
for further

431
con

in

order to overcome

itself. Thus it
will

seems

fair to

sideration

the question whether the

to create values,

understood

as

the

positive outcome of

Zarathustra's in

dancing dialectic, does

in Heidegger's
wish

not

lend Nietzsche's

thought a richness of content

lacking

gnostic evocation of absent

Being
resists p.

an evocation

which

the very

for

counter with

Being

marks an error and

falling

phenomenology of our en away from an encounter which

a

any

mediation and specification

in

"ontic"

terms
pp.

(See,

e.g.,

Marx, 1971,
aims

255; Schrag, 1970,

typology
epochal scope.

pp.

291-95; Hoy, 1978,

rejects will

340-45). Nietzsche
to power
without

to

elaborate a

of values that mediates the will

hindering
surrender

its

Heidegger
the

the very

idea

of mediation.

Nietzsche may

not surrender enough of

to power to

Being; Heidegger may

too

much.5

NOTES

1. Eugen Fink
thought
a

criticizes

Heidegger for

ignoring

the

Dionysian dimension in Nietzsche's

playful, passionate openness to the mutability of existence which mitigates the monism

85-90, 178ff.). Klossowski argues it, as an inversion of Platonism which preserves the metaphysical dichotomy between Being and becoming, but as an ekstasis comparable to Heidegger's evocation of our to Being (Klossowski, 1969, pp. 93107). See also Krell (1984), pp. 267-78; Deleuze (1962), pp. 40-50, 197-205; Heidegger (1981), pp. 173, 207. 2. I use Kaufmann's translation of Thus Spoke Zarathustra (1974) occasionally amended by
of the will

to power

and overman

teachings

(Fink, 1960,
as

pp.

that the eternal

recurrence should not

be seen,

Heidegger

sees

"unclosedness"

reference

to

Nietzsche (1985). Page

of the

references

not otherwise

identified
pp.

are

to this translation.
not

Pangle's brief discussion

three songs is very helpful

(1986,

163-66). I do
Song"

agree,

however,

that the Wisdom to

whom

of the will

to power exclusively or

Zarathustra is speaking in "The per se. Wisdom here, I think,

Dancing
stands

is the doctrine Zarathustra's

for
will

all of

date. These certainly include a number of intimations of the but this doctrine receives its fullest elaboration after "The Dancing
valuations to
ing."

to power

doctrine,
he had

Song"

in "On Self-Overcom

This leads

me

to believe that Zarathustra could not

fully

articulate the

doctrine

until

passed through

his

experiences with and

Life

and

Wisdom.

3. Cf. Beyond Good

thoughts as

Evil 296 (Nietzsche,

"only birds
p.

that grew weary of

1966, p. 237), where Nietzsche characterizes his flying, flew astray and can now be caught by hand.
longer
thoughts." .

We immortalize
4. Cf.

what cannot

live

and

fly

much

my

written and painted

171: 'To

esteem says

is to

create.

Through esteeming
still want

alone

is there
before

value,"

and p. which you can

255,

where

Zarathustra

to the

wisest;

"You

to create the

world

kneel: that
5. The

is your ultimate

hope

intoxication."

and give a sense of

on a

following
cannot

passages

from Heidegger
values

power to create new,

life-enhancing

is based

why he believes that the will to fundamental error. According to Heideg

ger,

Being
limit

apart

from Being.

which

Being by

be instantiated in any hierarchy of values. The very effort to do so drives beings Thinking can only dwell in Being's revelations of itself through beings beings appearing, and which appear, therefore, by virtue of Being's withdrawal. The

Being, then, can never be one of reforming it, but of a devotional openness to, and gratitude for, however it may happen to come to presence. "When the turning comes to pass in the danger, this can happen only without mediation. For Being has no equal whatever. It is not Sheerly out of its own brought about by anything else nor does it itself bring anything about. (Heidegger, 1977a, p. 44). essence of concealedness, Being brings itself to pass into its
proper stance toward
. epoch"

"That

which

according to its

essence

preservingly conceals,

and

thus remains concealed

in its

432

Interpretation
entirely hidden, though nonetheless it somehow appears, is in itself what we call the We might say that the being is abandoned by Being itself. The abandonment by Being
representing in
want

essence and mystery.

applies

to beings as a whole, not only that

as such, a
which

beings

being which takes Being itself withdraws

nihilism

the shape of man, who represents

from him in its

now

truth"

(Heidegger,
and to

1982,

pp.

226, 215). "To

it
would mean

to overcome

which

is

thought in its essence

.

overcome

that man of himself advance against

Being

But

who or what would

be
to

powerful enough

to

attack

Being itself,

no matter

from
p.

what perspective or with what

intent,

and

bring

it

under

the sway of

(Heidegger, 1982,

223).

REFERENCES

Deleuze, Gilles. 1962. Nietzsche

France.

et

la Philosophie. Paris: Presses Universitaires de

Fink, Eugen. 1960. Nietzsche Philosophie. Stuttgart: W. Kohlhammer. Heidegger, Martin. 1975. An Introduction to Metaphysics. Translated by Ralph
heim. New Haven: Yale
Kegan Paul. 1984. Nietzsche: Volume 2. Translated
and

Man-

University

Press.

1981. Nietzsche: Volume I. Translated

and

by
by

David F. Krell. London: Routledge David F. Krell. New York: Harper Frank Capuzzi. New York: Harper

Row. 1982. Nietzsche: Volume 4. Translated

by

and

Row.
1977. Sein
und

Zeit. Frankfurt: Klostermann. The Question

__.

1977a. "The Translated

Turning."

Concerning Technology
and

and

Other Es

says.

by

William Lovitt. New York: Harper

Nietzsche."

Row.
and

1977b. "The Word Other Essays. Translated

Time."

of

The Question

Concerning Technology
and

by

William Lovitt. New York: Harper

and

Row.
and

Hoy, David Couzens. 1978. "History, Historicity

In Heidegger
and

Modern Philosophy,

edited

Historiography in Being by Michael Murray. New

Ha

ven:

Yale

University

Press.
"Analysis."

Klossowski, Pierre. 1969. Nietzsche et le cercie vicieux. Paris: Mercure de France. In Martin Heidegger, Nietzsche: Volume 2. New Krell, David F. 1984.
York: Harper
and

Row.
Recurrence.'

Magnus, Bernd. 1979. 'Eternal Marx, Werner. 1971. Heidegger

Nietzsche-Studien 8.

and

the Tradition.

Translated Press.

by

Theodore Kisiel

and

Murray

Greene. Evanston: Northwestern

sprach and

University

Nietzsche, Friedrich. 1985. Also

1966. Beyond New York: Vintage Books. 1957. The Use Bobbs-Merrill.
1974. "Thus Spoke
ted
and

Zarathustra. Miinchen: Wilhelm Goldmann.

Good

Evil.

Translated

by

Walter

Kaufmann.

Abuse of History. Translated

Zarathustra."

by

Adrian Collins. New York:

The Portable Nietzsche. Translated

and edi

by

Walter Kaufmann. New York: The

Zarathustra."

Viking
as an

Press.

Pangle, Thomas L. 1986. "The Warrior Spirit

Nietzsche's East

Inlet to

the

Political

Philosophy

of

Nietzsche-Studien 15.
on

Schrag, Calvin O. "Heidegger

and

Repetition

and

Historical

Understanding."

Philosophy

West 2

(July 1970).

Discussion

Leo Strauss

as

Citizen

and

Jew

Werner J. Dannhauser
Cornell

University

I.

Having
on a

been

asked to
note.

discuss Leo Strauss

and

as citizen and

Jew, I

must

begin

cautionary his deeds as citizen

By

large,
rather

will

be

discussing

what

and

Jew,

than what he thought. A

discussion

Leo Strauss did, of Leo

on citizenship and Judaism might well yield insight into the very core his thought, but that, fortunately, is not the topic assigned me; it exceeds my powers. To speak of Leo Strauss as citizen and Jew, by contrast, proves less

Strauss

of

interesting,
self

at

least for those

of us who

have been taught

by

Leo Strauss him

that the most important thing, perhaps the only important thing, about a thinker is his thought. What I have to say requires not a mastery of the thought
of

Leo Strauss I do
can claim. more

not

possess, but

rather some

knowledge

of

the man, and

that I

Yet,
claim.

than

simple

was a student of

modesty makes it advisable to circumscribe my Leo Strauss's for many years; indeed, I still am. The

influence he

exerted over me

is

so extensive and

am more than

willing to be called a Straussian.

and other

my debt to him so great that I However, I was, and am, far

a

from his best student,

songs on the

Straussians had, for If

closer relationships with our teacher.

students could

variety of reasons, much be likened to popular

Hit Parade, one might say that I was sometimes in the tunes, but never in the Top three. Let the reader beware.

Top

Ten

Citizenship
a citizen.

can only be understood as relative to the Leo Strauss taught that to his students by his of

regime of which one

is

repeated and authorita

tive explications

Book III
pp.

of

Aristotle's Politics

( 1274b 1-I280a5. See

espe

cially Strauss, CM,

13-49.)*

*Strauss's

writings are cited

by

abbreviations noted

in the

reference

list.

interpretation,

Spring 1990,

Vol. 17, No. 3

434

Interpretation
extended experiences of

Leo Strauss had

three different regimes.

Bom in the

German 1918, he performed the duties of citizenship, even to the extent of serving in the German Army during World War I. He appreciated the order secured by that regime, but one can safely say
constitutional

monarchy that lasted until

that though he found the regime in

most ways legitimate he found it in no way share Kurt Riezler's politics and he entertained he did not lovely. At any rate, grave doubts about the justice of Germany's cause in World War I (see Strauss,

3-34.) As a young man and thinker, he lived in the Weimar Republic, he left before it collapsed early in 1933. He summed up his views suc cinctly: "The Weimar Republic was (SCR, p. 1.) While he thought the KR,
pp. which
weak"

Social Democrats, in
well-meaning
sentimental and

way the only wholehearted backers decent, he was not known to harbor any
a and

of

the regime, to be

of the

nostalgia, the
admiration
of

over-appreciation,
that
was

the
a

outright

unwarranted of so

Weimar
aries

Germany
academic

to

become
given

hall-mark life.

many

of

his

contempor

in

life. Never

to worshipping success, he was as

little

prone to romanticize

failure in
his days idea

political as a

Leo Strauss

ended

loyal

citizen of

the United States of Amer the country of

which

ica. One
became
a

can

get

some and

of

his

appreciation of

he

citizen,

remained of

reference to the
mains

Declaration

one, by considering his lofty and edifying Independence with which he begins what re

influential book, Natural Right and History. As a teacher of Platonic political philosophy, he possessed an unrivalled understanding of the
most

his

best polity, the city in speech, and therewith an understanding of the shortcom ings of the United States of America when measured by so exalted and exacting
a yardstick.

Yet his knowledge lead to

of

the perfect city included the knowledge that

it

was

likely

to exist only in speech, but attempting to

bring

it

about

in deed

would almost

inevitably

calamity.

He had

pondered

Pascal's dictum that

those
ment

like angels end up by acting like bmtes {Pensees, Frag he recognized the allegiance one owes to imperfect regimes in an 358); imperfect world, teaching us, along with Aristotle, that when Sparta has fallen to our lot, we must adorn it.
who would act

III.

Two

observations
of

United States

may be ventured about Leo Strauss as a America. His adopted homeland was the first

citizen of the
viable

democ

racy he experienced at first hand over an extended period. He took cognizance of the fact that it was one of the mightiest nations in the world, in the whole

history

of

the world. He never, to repeat, worshipped success, but

consider the possible

he

was ever

willing to

However,
country but

relationship between virtue and strength. Leo Strauss knew that the United States was not only a powerful
Liberal

an endangered one.

democracy

as such

tends to be

endan-

Leo Strauss
gered

as

Citizen
not

and

Jew

435

in

our

time,

and

the

United States be

must cope

only

with

external

challenges

but

with an

inner loss
cannot

of verve and nerve.

Liberal
aspect of

democracy

considered the

best

possible regime under the available regime

eternity, but it lays

such

claim

to

being

the

best

in

our a

time.

As

it belongs to the high things

we are privileged

to

know;
not

it is

worthy

object of our

loyalty
high

and
and

devotion. Leo Strauss thought

the low

doggedly

and

deeply
ancient

in terms had

of the

(SCR,

p.

2.) He knew

only the
the

teaching according
a profound of the

to which the cosmos somehow sustains excellence;

of modems

he

also

knowledge
consists

like Nietzsche

who stress

essential

frailty

high in its

opposition to the

United States

of

America

low. The poignancy of the in large measure of its being a combination

of the viable and

the vulnerable.

IV.

So far
of

we

have

uncovered

nothing very

special about

Leo Strauss

as citizen

the United States. But a problem surfaces when one ponders the phrase
eternity"

"aspect of

that has come up. His students and

critics and enemies

friends

consider

Leo
an

Strauss

philosopher; even his

concede

that he

was

extraordinary teacher
sion that

of philosophy.

In

either case one must confront

the

inevi

table tension between the philosophic view and the view of the citizen, a ten

has been

an

integral

part of the

history

of

philosophy

at

least

since

Socrates drank hemlock.

Precisely
all

because he

views all things under the aspect of

cannot

eternity,

including
We

regimes, the philosopher

whether even

be the

perfect citizen of

any

regime.

must wonder would

the philosopher's
regime

be

an exception.

Even the best

citizenship in the best regime especially the best regime, ac

a

cording
a

to some political philosophers

set of

demands

belief in

founding

myth,

salutary delusions, a noble lie. A philosopher may well argue for the necessity of lying, but he will be constitutionally unable to believe in

binding

lies

whether

they

prove to

Different
their

regimes

be necessary or not. entail different myths, but

all regimes

involve

faith in

own permanence.

a regime and entertain

One does not, for example, celebrate an anniversary of thoughts of its eventual but inevitable demise. But it can

be

said

to be a philosopher's business to entertain just such thoughts. He

are

knows

that regimes
come one

among

the works of man and

he knew that the

works of man

it crudely, the philosopher realizes that day there will almost certainly be no United States of America, and such a realization conflicts with the edifying thoughts a regime requires for its perpetu

into

being

and pass away.

To

put

ation.

If this line
work admired

of thought needs

by

any further substantiation one should turn to a Leo Strauss, Tocqueville's Democracy in America and ponder

436
the

Interpretation
considerable number of passages passages are

in it

having

to do

with

America's future

decline. Such
even as and a

likely

to induce melancholy among us as

Americans
pp.

they instruct
of

us about the oration

distance between

a philosophical perspective

Fourth

July

(for example,
pp.

238, 279-80, 450-452; Vol. II,

see Democracy, Vol. I, 47, 159, 198.)

115,

When

one

descends from the heights

where one must ponder

the

limits to lower
of

loyalty

that philosophy as such

involves,
One

one encounters a

different

and

critique of

Leo Strauss

as

citizen,

one that must

be

confronted

because

the

currency it has
critic

always enjoyed.

can construct an accusation

by

hostile

along the following lines. First of all, Leo Strauss was far from
never

ime because he different

perhaps

fully

adjusted to the

regime and accustomed

to a

citizen of the American reg American way of life. Bom in a different language, he never succeeded an

ideal

he did

not wish

to succeed
of

in

divesting
of

himself

of

foreign

perspec
advan

tives. His understanding

The United States

America
a

never

had the

tages of the illumination derived

nity.

from habituation into

of the

democratic

commu

His

views were colored of

by

political acculturation of a

different hue.

American way of life articulated by Leo Strauss suffered not only because he came from a different place but be cause he took his bearings from a different time. A self-confessed student of

Second

all, the understanding

ancient political thought who sought to

leam

not

from it, Leo Strauss must be presumed to

totle
and

was

decisively

influenced he

by

only about such thought but Plato and Aristotle. Thus he

share

the anti-democratic,
studied

pro-elitist views of

Plato, Aris
and

the

other

reactionaries

and
p.

admired.

(Strauss

J.

Cropsey, eds., HPP, Preface to First Edition,

xiii.)

VI.

One

should

try

to extract the serious core

from the

scurrilous

periphery

of

safely despise the crude nativism that sometimes infests these charges, the idea that foreigners should keep their views to them selves, that they should either keep their mouths shut or 'go back where they
such accusations.

One

can

from.'

came

derived

great

Suffice it to say, then, in this respect that the United States has benefit from the criticism of those educated beyond these shores;

Tocqueville, Lord Bryce, Dickens, Anthony Trollope, Ostrogorski, Brogan, Laski, and many others. It should go without saying, but it
one can point to

probably does

not go

without

saying, that

nativism

has

no place

in

political

theory,

and

that

for

reasons we

ceases to

be

political

philosophy

when

have already sketched political philosophy forced to take a loyalty oath.

Leo Strauss
At times the
'foreign'

as

Citizen

and

Jew
of

437
the

views of

Leo Strauss have been

censured not

because

origin ascribed
opponents see

to them

but because

of

the partisan political hue the

the various analyses of

in them. The
produced

same critics who welcome

The United States

the United

by

the Frankfurt School

and

its adherents, for

ex

ample, though those analyses usually manifest great severity and asperity to
ward

States, frequently

criticize the real or alleged views of

'right-wing'

Leo

Strauss because they are held to be doxy in the United States shows far more
of

views. appreciation of

The

academic ortho politics

left-wing

than

right-wing

politics.

Did Leo Strauss

words

engage

in

right-wing
could

politics?

In 1964, he had

more

kind

for Senator Goldwater than

as

sities, but
common

the years went

by

usually be heard in American univer kind words about Senator Goldwater became

orable

currency in the United States. One of Strauss's students wrote a mem phrase for Senator Goldwater about "extremism in the defense of lib

erty"

dent

of

(which probably cost Senator Goldwater a great many votes) and no stu his was known to help Lyndon Johnson, but if one begins to blame a

teacher for his students one commits a sin worse than nativism

by joining,

in

spirit, the

accusers of

Socrates. be
considered conservative

The

most

famous

public act of what might

was

that

was perpetrated prominent ad ator

by

Leo Strauss

that urged

his signing an advertisement in 1972 a the re-election of President Richard Nixon over Sen
ought

George McGovern. One

to

mention

that this

endorsement came

be
as

fore the Watergate

much against

scandal was

fully

out

in the

open and that

it

was

directed

the weaknesses of the challenger as

it

was

it

remains tme that most of the overt and specific

were

for the incumbent, but political utterances of Leo

Strauss

right-wing
very

rather

than left-wing. In saying that,

however,

one

necessarily

uses a

crude mode of classification.

VII.

Let

us assume

that Leo Strauss inclined to the view that classical

political

philosophy in decisive respects was superior to what followed it. To what ex tent did his adherence to classical political philosophy involve a denigration of liberal democracy? We
cannot crats.
must confine ourselves

to a very few

remarks.

First, Plato
considered

and

Aristotle

be

considered

democrats; hence they

the fact that a

cannot

be

liberal demo
not

Secondly, from
that

philosopher

is

not a

democrat it does

follow

he is

an anti-democrat.
cannot

Similarly, if

a major

thinker

is

not

inclined

say he is inclined to the Right. Political philosophy aspires to be neither Left nor Right but Above, and it usually succeeds in this aspiration. (Joseph Cropsey, Polity and Economy, p. 6.) From its Olympian
to the Left one
perspective comings of

it

gives

democracy its due,

though

it

never

blinds itself to the

corrupt

short

democracy. Plato's Socrates

never

leaves

Athens, usually

438

Interpretation
voluntarily.

democratic,
but in

a world rife with corruption and

understands

Aristotle may classify democracy as a corrupt regime, hence corrupt regimes, one does not

forget that he

it

as

the most

benign

of

the corrupt regimes and

therefore as least corrupt.

VIII.

The idea that Leo Strauss

students to
sport of

be

conservatives

simply does not hold

was

a
up.

Right-Winger

who

educated

his in
a

If,

to

be sure,
or

one engages

limited utility,
out to

dividing

all students

into Left is

Right, it

would almost

surely turn wing Both

be the

case that

Leo Strauss had

Straussian'

more

right-wing
of

than left-

students

but the label

'left-wing

by

no means an oxymoron.

categories consider

themselves to be good citizens

the United

States

and are

right in thinking so, for both have learned from

regime.

their teacher to appreci

ate

the American

That

appreciation

does

not

necessarily,

or even most of

the time, assume the

form
about

of passionate zeal or

fervent

rhetoric.

Leo Strauss

wrote

the United States and was not given to

holding

seminars on

relatively little American

thought and at any rate had better things to do than to instill patriotic vehe

He served his country best in a quite different mode, deserving credit for founding, or at least inspiring, what almost cries out to be called a school of American studies.
mence.

Such

a school

has

no

dogma

or

orthodoxy

at

its

core and

its

coherence

may
of

be due
nize

above all

to its high seriousness of purpose, but one is helped to recog

it

by

the problems around which its efforts tend to cluster: the the principles
of

Founding

America,

liberty

and

equality in theory
and

and

practice, the

mean

ing

of

The Civil War

and of

the thought of Abraham

between the Declaration

constitutional

Independence

the

Lincoln, the relationship Constitution, the meaning of

from
textual exegesis to

law. The forms the

studies of

this school assume can vary from

textbooks of a profound nature to historical studies,

solemn

meditations, from

scrupulous editorial work to

The

names connected with

this school

path-breaking inquiries. include Ralph Lemer, Martin Diamond,

Walter Bems,
good
whose

Harry Jaffa,
shines

Herbert Storing.

They

disagree

on

citizenship

through their

labors,

and

gratitude

many things but to Leo Strauss,

citizenship often took the form danger to democracy:

of an

unceasing battle

against a perennial

thoughtlessness.1

IX.

We

are

investigating
far
as

the subject "Leo

Strauss

as

Citizen

Jew."

and

One

suspects original

that the topic itself may

as

preclude the

citizenship is

concerned

discovery of anything strikingly because human beings tend to be

Leo Strauss
strikingly
of all alike as citizens. as

as

Citizen

and

Jew

439

That fact

explains

the democratic

politics

such,

which

Aristotle

noticed

{Politics. Bk.

tendency or bias Ill, 1274blof

1276a5.) Citizens
functions they his uniqueness
taught politics

vote and serve and

mle, but

at

least in the first two

never mled.

those

resemble each other, and

In any event, in excellence are to be sought the he studied and and surely way rather than in the way he participated in it.
the case of Leo Strauss as Jew might seem to
as citizen.

Leo Strauss

At first
case of

sight

be identical
qua

to the

Leo Strauss

To

utter a

necessary truism:

Jews

Jews have
a typical

many things in

common.

Jew,

the

fear

and

loathing

In many ways, the Jew Leo Strauss was of Adolf Hitler being a useful example.

The first impression

moment one points

we

have

articulated

demands
in

serious modification the

it

out.

First
of

of

all,

while

Leo Strauss did

not point out

print

that he was a citizen

a

the United

States, he did

point out

in

print

that he was

Jew. The

most

of striking his first book, Spinoza's Critique of Religion, which begins as follows: "This study on Spinoza's Theologico-political Treatise was written during the years

evidence can

be found in the 1965 "Preface to the English

Edition"

1925-28 in Germany. The

who

author was a

young Jew bom

and raised

in

Germany

found himself in the grip of the theologico-political predicament (SCR, p. 1). That preface is, in a way, an intellectual autobiography, and unusually
for
a writer whose writings are
rare

personal

the preface ends with a relatively

usually austerely impersonal. In fact, (not unique) use of the personal pronoun
also spoke of
out

in the first

person singular.

Leo Strauss

himself in

an

Introductory

Essay
where

to Hermann Cohen's Religion of Reason

he identified the
Jews."

environment

in

which

of The Sources of Judaism, he grew up as that of "philosoph

p.

ically

minded abounds

(Reprinted in Strauss, SPP. See

233.)
with

Evidence Jewish. A

for the

life-long
most of

involvement

of

Leo Strauss
Jew

things
not a

(By life-long

one points

to a significant truism: Leo Strauss was

citizen of the

United States for

his life but he

of

was a

all of

his life).
that

glance at the most authoritative

bibliography
of

his

writings will make

clear.

The first

published

writings

Leo Strauss

appeared

in 1923, two in
periodicals

Juedische Rundschau
not

and two

in DerJude. Indeed his first

appeared

eight publications

counting the abstract between 1923 and 1926.

to his Ph.D. Thesis

in Jewish

They

were

followed in 1930
not
until

by

his first book,

a

on

Spinoza's
show

critique

of religion.

In fact,

1931 does the

bibliography
book

anything by Leo Strauss not evidently connected to things Jewish, review of a book by Julius Ebbinghaus. (SPP, pp. 249-258.) Leo Strauss turned from his
comprehensive edition of
writings

on

Spinoza to

editorial

work

on

the

works of

Moses Mendelssohn. His

second

book

440

Interpretation Moses Maimonides (1935). Later he

wrote on

was on

Isaac

Abravanel, Judah

Halevi, Isaac Husik, Hermann Cohen, Max Nordau. The Bible has been delib erately omitted from this listing.

XI.

The
studies work.

writings

Leo Strauss

produced

in

what

has

come to

be

called

Jewish his

brought him

earlier and greater recognition

than any other parts of

In the community of Jewish scholars and scholarship he was a name to be reckoned with before that could be said in any other field, certainly before it could be said in the discipline he professed, political science. It is beyond
reasonable

doubt that he

came closer to

receiving the

respect

he deserved

as a

thinker on things Jewish than as a thinker generally.

At this point, comparing

we can of

and contrasting Leo Strauss as citizen and as Jew, provisionally say that whereas he was in many ways an ordinary citizen the United States of America, Strauss was in many ways an extraor

dinary
Our

Jew.
provisional conclusion raises more questions than

it answers. Not every Jew finds that his Jewishness or Judaism is extraordinary automatically sanc tioned by those who consider him extraordinary. Controversy has always sur
rounded

Leo Strauss

as a

Jew. To

appreciate that

fact

one need

only
is
not

contrast

his

case with that of other

leading

Jewish

scholars of our century. question

It is

not

unusual

to
at

ask of a

Jew: Is he in
public

a good

Jew? But that

usually

asked

least
on

not

of most of of

the Jewish thinkers of our time, as

reflection

the

public

careers and

Harry Wolfson, Cecil Roth,

has
always

Gershom Scholem, Alexander Altmann, many others would indicate. By contrast one
the question of
whether

been Jew.

able

to

find

wonder about

Leo Strauss For

was a good

Such

wonder emanated

from

friendly

as well as

hostile

sources.

exam

ple, in a piece on Leo Strauss that combined intelligence with benevolence, Milton Himmelfarb drew attention to the fact that Leo Strauss did not attend
synagogue services regularly. servations are made

in

good

(Himmelfarb, "On Leo Strauss") When such faith, they deserve attention. What about

ob

the

thought of Leo Strauss could give rise to speculation about the degree of devo tion to

his

mere expressions of ment of

of speculation does not readily attach to limited dedication. For example, Hannah Arendt's treat her Jewishness as a mere caused no great stir. (Arendt, The status as
"given"

Jew? This kind

Jew

as

Pariah.) She
no

generated controversy,

rather,

Jerusalem. But

one can

find

no counterpart

to such a
and

writing Eichmann in book in the work of Leo

by

Strauss,

writing that caused such

immediate

intense in the

upset to the

Jewish

community.

How, then,

was

controversy

generated

case of

Leo Strauss?

Leo Strauss
XII.

as

Citizen

and

Jew

441

In the

realm of

Jewish thought, the

writes

work of

Leo Strauss

sometimes reminds

one of the way

Soren Kierkegaard

understood a

his

mission.

scientific Postscript he

(under

pseudonym, to be
were

Concluding sure) of living

easier and

In

Un

in

time when "celebrated names and

figures"

"making

life

easier."

By

contrast, Kierkegaard "conceived it as my task to create

difficulties every
of

where."

(See Kaufmann, W. ed., Existentialism).

sometimes tun

In the 20th century, Judaism has indistinguishable from its be tolerant. Thus, Jewish
environment

the

danger

becoming
itself to

if only that

environment showed

ism

contained

standing guilt Moses the antecedents

professors of philosophy will accentuate the rational in Judaism; Jewish therapists will head in the direction of under as dangerous, and Jewish liberals will try to see in the laws of of

the welfare state. to indicate the range of

of

Two illustrations follow

will suffice

difficulties

posed

by

Leo Strauss in the intransigence

at all

his thought. In the first place, it does not that because liberalism is a good and Judaism is a good that the affinity for each other. It is tme that Jews have prospered but it is also tme that the persistence of the Jewish problem

two have an elective

in liberal
points to

societies

the limitations of liberalism. That is not only because liberalism in

its

kinship
hence

to secularism must

forever be
also

at odds with all religious enthusiasm and

with

Jewish fervor. It is

because liberalism distinguishes between

and private without

the state and society, between a public

sphere,

and cannot abolish

the dislike of Jews in the private sphere

ceasing to be liberal. (See N.

Tarcov

and

T. L. Pangle in Leo Strauss

HPP,

pp.

909-911.)
in Jerusalem
and

Similarly,
life

showed

that it does not follow from the fact that we

are what we are exemplified

by

virtue of our roots

in Jerusalem is

fully

compatible with

Athens that the way of the way of life exem

"nature,"

plified
and

in Athens. The Bible has

no word either

for

"philosophy"

or

philosophy necessarily remains skeptical about revelation. We shall return to this problem but even now we can see that the raising of such a problem at its deepest level
generates controversy.

(See

Strauss, "Jerusalem

Athens,"

and

SPP,

pp.

147-173.)

XIII.

The

controversial

enterprise

of

Leo Strauss
book Moses

also reminds one of

and

the way

Sigmund Freud began his

people the man whom undertaken

strange

Monotheism: "To
sons

deny

it

praises as

the greatest of

its

is

not a

deed to be
(S.

people."

lightheartedly
and

especially
p.

by

one

belonging
Egyptian.

to that

Freud, Moses
Freud

Monotheism,

3)
was an

undertook

to show that Moses

According

to many

442
of

Interpretation
of whom

the critics of Leo Strauss some

undertook

have been

most appreciative of

his

gifts, the latter

to undermine the unwittingly wittingly piety and orthodoxy of a number of prominent historical figures among the Jews. Spinoza, Judah Halevi, and Moses Maimonides head the list.
or

The

case of

Spinoza differs from the

changed

other

two. He was, of course,

and

well-

known for been

having

his

name

from Baruch to Benedict,

see

for

having
before
104a

ex-communicated wrote a

by

the Jewish community of

about

Amsterdam,
was

well

Leo Strauss

book

him. (SCR. Also

Strauss, PW,

pp.

181.) In
good

this case Strauss did not

made

have to

deny

that

Spinoza

anything but

Jew. Instead, he

it hard to

view

Spinoza

as a god-intoxicated pan

theist and a somewhat tender-hearted advocate of liberal democracy.

The intricate essay Leo Strauss

toward a
substantial revision of

wrote about

Judah Halevi's Kuzari tended

that thinker.

Strauss, Halevi, however he

to

might

finally

Under the painstaking analysis of have to be understood, turned out not

the Moses Maimonides whom

be

what

he

seemed

to be. In the

same vein

Leo Strauss he

studied

presented

in

assiduously for more than a quarter of a century, and whom startling new light in an introduction to Guide of the Per
to

plexed, was
said or

revealed

be

a thinker who

did

not always seem to mean what a simple

pillar of

he

say anything but orthodoxy. Of course, Orthodox Jews had suspected

what was soon after

he

meant.'

He

Jewish

as much

for

centuries and re

Maimonides's death had disputed his piety, but Leo Strauss, in

accused of

viving that dispute could be tional heroes and icons.

denying

his

people one of

its

conven

XIV.

Persecution

and

the
and

Moses Maimonides

Art of Writing contains chapters on Judah Halevi, Baruch (Benedict) Spinoza. As the title indicates, the

book investigates their way of communication. Before the Enlightenment, and at times even after its advent, careful writers and careful thinkers must be
assumed

to be careful writers

were wont

to practice the art of writing between

the lines to circumvent control

not

by

censors and

for

other reasons as well.

They

only disguised the truths they knew (or sought) from censors who attempt to stifle the human spirit but from the vulgar, for whom a little knowledge is a dangerous thing and much knowledge also known as the many make up the
conceal some of self an

impossibility. Since the

majority,

vulgar

vast

a careful writer would

his deepest thoughts from society as a whole, addressing him to the gifted few who could understand. Such deception could be under benevolent
rather

stood as aged

than sinister for it

protected

society from

what

dam

it.
wrote on

Careful writers, then,

surface, exoterically,

different levels for different

"safe"

readers.

On the

they

presented an

edifying,

teaching

that was not

Leo Strauss
so much untrue as a

as

Citizen

and

Jew

443

incomplete. That
only
and

surface,

however,
with

concealed and revealed

depth But

accessible

to those who could cope

it. (Strauss, PW, passim.)

of major

Halevi, Maimonides,
what

Spinoza

were writers of

this type.

thinkers resists reduction to

do their edifying teachings hide? The true teaching any formula, but that does not stop the

critics of

Leo Strauss from

formulating
many
with

what

they

claim

Strauss finds

or

thinks he

finds

at the core of
views

of the thinkers skepticism

he
all

analyzes.

They
of

reason as

follows:
major

Strauss

deep

professions

belief

by

thinkers,
cism and

all

pieties,

all submission to orthodoxy. everywhere.

He finds
major

philosophical skepti well ac

heterodoxy

He thinks that

thinkers may
reasons

commodate

themselves to reigning conventions

down,'

for

political

broadly
teach

understood, but

'deep

where censors are unable

to operate,
subvert

they

radically
readers private

unconventional

teachings.

What is more, they

public

their gifted
them

away from intellectual gardens of delight.

assent to

doctrines, leading
comes to

into

One

can state this analysis more crudely:

an atheist under

When it

philosophy, Leo

Strauss finds
teaching.

It

maintains

every bush, that God does not exist.

and

there seems to be

only

one secret

XV.

At this point, the

plot thickens.

man who casts aspersions on

the belief of
come under

illustrious
semtiny.

predecessors can expect the

firmness

of

his

own

belief to

To be
that

more specific: the not

teaching

of

Leo Strauss

encourages
minded.

the suspicion
man of

belief is
what what

the strong suit of the philosophically

must and

The

faith
be

doubts lieves

he

believes

what

he

must and

doubts

what

he

can.

he can, while the The two may

doubt
atheism,

man of reason come close

to each

other and even respect each other

but
The

one must

whether

there is common

ground on which

they

can meet.

suspicion of

attaches to philosophers at
a

least

since

least impiety, Socrates. But if Leo Strauss was himself

or at

philosopher,
a

or within

hailing

distance

being by
are

bad Jew because he

was not a

being one, he believing Jew.

of was a

could

be

accused of

In entertaining the thought that Leo Strauss

virtue of

bad

citizen and

bad Jew
we

being
the

a good thinker we

admittedly

skirt absurdity,

but before

desist from

role of

devil's

advocate we must point out

that the charge we

circumscribing is not totally alien to the thought of Leo Strauss himself. In his autobiographical preface to Spinoza s Critique of Religion (especially pp. 4_6) anfj elsewhere, Leo Strauss took giant steps in the direction of disput
Jew in the fullest sense of ordinary notions of what it means to be a Jew. A the term is not simply somebody whose mother was a Jew. A Jew in the fullest sense of the term is not somebody who follows Jewish ways by certain dietary

ing

444
habits

Interpretation
or

fondness for irony. A Jew in the fullest

sense of

the term is not even

somebody who steeps himself in Jewish culture or associates himself closely with the fate of the state of Israel. A Jew in the fullest sense of the term wor
ships

the God of
at

Abraham,
Jew
who

the

God

of

Isaac,

the God of Jacob who revealed

himself

Mount Sinai
a

and whose

Law,

whose

Torah, demands
cease to

obedience.
sense of
a good

To be sure,
term does
not

falls

short of

being

Jew in the fullest

the

therefore cease to be a
said

Jew, but he does

be

Jew.

It

must also

be

(most?)
nent

prominent

using this severe criterion one must consider many Jews to be bad Jews. One can understand how such promi
that

by

Jews

would call

into

question the

litmus

paper test we

have

proposed.

However,
bad Jew
not

devil's

advocate might rejoice that

he is

by

alien criteria

but

by

a criterion suggested

labelling by none

Leo Strauss

other than

Leo Strauss.

XVI.

No

conclusive analysis will

piety.

be

presented

here

of the scope and a

limits

of

Leo

Strauss's
awesome with

Such

a presentation would

involve

treatment of questions so

that Leo Strauss himself displayed extreme reticence when

dealing
both

them. (See the conclusion to

Strauss, CM.) This

lack

author

gladly

admits

lack

of philosophical competence and a

of sufficient access

to the inner
preclude an cmde

most parts of the mind and soul of

Leo Strauss. These deficiencies

we will

authoritative

discussion. In its place, Leo Strauss

be

content to show

how any

description An

of

as an atheist

badly

misses the mark.

atheist

thinks of religion as an error, an opiate, a delusion. If Leo Strauss

one must

was an and and

atheist,

begin

by

asking why
a

should

he

spend so much

time

devote

so much care

to the study of Judaism?

The exposure, dissection,

undertaking
and can

analysis of error

can, to be sure, be

significant
error

engage a mind of

the highest order. to the

Nevertheless,
and once one

cannot, to

speak collo

quially, hold
one wants

a candle

tmth,

has

understood error as error

to nourish one's soul

of

on.

But instead
as

ism,
If

the

case

one rejoins

with something higher, the tmth. One moves moving on, Leo Strauss came back again and again to Juda of his continuing study of Moses Maimonides shows. that this argument begs the question because Leo Strauss cast

doubt

on the

preoccupation of

orthodoxy of Moses Maimonides, one Leo Strauss with the Bible itself.

can point

to the

life-long

XVII.

One

might argue

error, but the

error.

Strauss

showed

was for Leo Strauss not simply an Plato's Republic, for example, Leo that the three definitions of justice advanced in Book I by

that as a

faith, Judaism

In his

analysis of

Leo Strauss Cephalus, Polemarchus,

wrong definitions, but
the
as and

as

Citizen
be
seen

and

Jew
simply
to

445
as

Thrasymachus

must

not

the wrong definitions.

They

were

both large One

obstacles

to

discovery

of

the tme understanding of

as

justice

and the

best
a

path

it.

They

were as much
validity.

insufficient

wrong, containing

as pp.

they did

measure of

(See Strauss's
might

chapter on

Plato, HPP,
or

34-35.)
to
reason. can put

So it
matter

be
of

with

faith in

contradistinction

the the

in terms

the three great opposites,

oppositions,

around which most profound

thought of
sights:

Leo Strauss revolved,

and which generated

and

his

in

ancients and

modems, Jerusalem the

One

can venture the view that on

whole

Athens, poetry Leo Strauss held the

and philosophy. ancients

to be

that, to philosophy is not because the modems knew and is foolish oversimplify, nothing poetry a level so basic, to be ness; it is more nearly because on the most basic level
superior

to the modems and

to be superior to poetry. But

sure,

as

to preclude the

mechanical application of ancient principles modem

to modem

practices

the ancients understood

as

insights

and

incorporated them into

the
power of

broader context, just

even while

poetry

philosophy transcending it.

showed perfect awareness of

By drawing

attention

to the three opposites or oppositions,

quarrel

we confront a

point of cmcial

importance. The between faith

above all a quarrel

and

between philosophy and poetry is reason. The philosophers instruct man

kind

by discovering
reason.

as much tmth as can

be discovered
mankind

human

The poets,
on

by

contrast, edify

by the unassisted use of by telling it stories about

need not

the gods and

they rely
were

inspiration
were

as well as reason.

But if that Jerusalem

as
and

all

there

to

it, Leo Strauss

could

have

studied

Athens
vs.

with such

fervor. He

have been

content

to study,

it were, Athens
as opposed

Athens,

the Athens of Plato and Aristotle on the one

hand

to Homer and Hesiod on the other.

with

That, however,

was

by

no

means

the case. When one equates Homer

the Bible one does violence to

both,

and when one equates the gods with

both.3

God

one

demonstrates incomprehen

sion of

Jerusalem is
substitute

not

to be

understood as

the pale imitation of,

or unreasonable

for,

Athens. In the thought

of

Leo Strauss it

shines

forth

as

the great

alternative,
of

and one

does less than full justice to the implies that for him the

pristine open-mindedness

Leo Strauss

when one

alternative was

less than

genuine alternative.

XVIII.
turn away from these perplexing heights on which Leo Strauss the philosopher thought his deepest thoughts, to the level on which he confronted

Let

us

those

of us who

had the

privilege

to be his
with

students.

In this conclusion,
speak

which

deals

Leo Strauss

as

teacher, I

will once more

in

the

first

person

singular and

rely

on memory.

came

to Chicago in

446
1956

Interpretation
as

suspicion

somebody who could that intelligence and

was a

not

be

an

atheist

but

who

suffered

from the

atheism

Moreover, I

Jew who, intellectually,

ultimately was ill at

came
ease

to the same thing.

in his Judaism.
cannot

My

feelings I

can

be articulated,
stood

though perhaps

they

be

fully

de

fended. 1

was not able

pursued.

to think of things Jewish as on the same

level

as the

learning

Judaism

for childhood, for

what

stories that resembled

fairy

tales, for things less serious than mind. I might have been molded
meant a

by

presently engaged and troubled my Jewish memories but full seriousness

full involvement

with secular studies.

changed that for me. I am not now concerned with making any I simply wish to record that he astounded me by the care with which he studied books by Jews like Maimonides, thus showing me that one could not afford to treat the whole tradition of Jewish learning as relics in one's

Leo Strauss

'large

point.'

mind.

In this
my

unobtrusive

way he
of

caused

me

to

revise

to
me

broaden become

and

deepen

whole

indeed

a good

not understanding Jew but a better one than I had been. Since I know that this no

Judaism. He helped

to

experience

is in

way

peculiar

to me, I dare to suggest that in his role of

teacher, Leo Strauss

was a most

loyal Jew.

NOTES

1. I have deliberately been catholic in naming names, though of late dissension has broken out among the former students of Leo Strauss. 2. Introductory Essay to Moses Maimonides, Guide of the Perplexed, Chicago, University of Chicago Press, 1963, pp. xi-lvi. See especially p. xi. 3. For a quite different interpretation of these matters,
see op.

the brilliant

"Introduction"

by

Thomas L. Pangle, to Studies in Platonic Political Philosophy,

cit., pp. 1-26.

REFERENCES

Arendt, Hannah. The Jew

1978.

as

Pariah,

ed.

Ron H. Feldman. New York: Grove Press,

Cropsey, Joseph. Polity

and

Economy: An Interpretation of the Principles of Adam

Smith. The Hague: Martinus Nijhoff, 1957. Freud, Sigmund. Moses and Monotheism. New York: Vintage Books, 1955. Himmelfarb, Milton. "On Leo Commentary (August 1974):60-66.
Strauss."

Kaufmann, Walter, ed., Existentialism from Dostoevsky to Sartre. New York: Books, 1956. Pascal, Blaise. Pensees. New York: Modern Library, 1941. Strauss, Leo. The City and Man. Chicago: Rand McNally, 1964. (CM)

Meridian

Persecution and the Art of Writing. Glencoe: Free Press, 1952. (PW) Spinoza's Critique of Religion. New York: Schocken Books, 1965. (SCR)

Leo Strauss

as

Citizen

and

Jew

447

Studies in Platonic Political Philosophy, Introduction

Chicago: The "Kurt
and
cago:

by

Thomas L. Pangle.

University

of

Riezler, Cropsey, Joseph,

1882-1955."

Chicago Press, 1983. (SPP) Social Research 23 (Spring 1956): 3-34. (KR)

The

University

of

eds.. History of Political Philosophy, Third Edition. Chi Chicago Press, 1987. (HPP)
ed.

Tocqueville, Alexis de. Democracy in America, Reeve text,

vols.

Phillips Bradley, 2 Political Phi

New York: Vintage Books, 1955.

and

Tarcov, Nathan,
losophy.'

Pangle, Thomas L. "Leo Strauss

and the

History

of

in HPP.

Review

Essay

Henry
oza's

M. Rosenthal, The Consolations of Philosophy: Hobbes's Secret: Spin Way. (Philadelphia: Temple University Press, 1989), 211 pp., $29.95.

Harvey Burstein Queens College

Henry
The
goal

M. Rosenthal's
an attempt

systematic and

Spinoza is

to constmct an

challenging meditation on Hobbes and freedom.1 ontological basis for human

own characterization ontological

is

an

ontological

humanism (Rosenthal's
human
experience

for be

Hobbes)
cause priori of

rooted

in the

nature of

itself. It is
of

it is is

firmly

grounded
contract.

in the

universal

laws

human
of

nature and

the a

the social

It is humanistic because
decision.

its
the

existential respect

for

what

distinctively
individual

human in human
moral

experience and

integrity

and ulti

mate value of

At the

same

time that Rosenthal upholds the

and moral

integrity

of the

individual in the dangers

of

face any

of

the

infinity

innocence

of

Nature, he

avoids the as

existential

humanism that

would view

human freedom

merely

contingent

and without universal significance. result of

His interest in Hobbes

and

Spinoza is the
human

his

own metaphysical effort

to show that the ideal of political commu

on an absolute

nity
and

and political

responsibility is based necessarily

moves

imperative
of

of

nature.

His

argument

between the

polarities

individual
of moral

community,
not

ethics and

politics, to demonstrate that Spinoza's idea

freedom is

in

opposition to

Hobbes's idea

of political

responsibility, that, in

are to be read as complementary to one another. What ultimately links Rosenthal's study of Hobbes's political philosophy and Spinoza's moral philosophy is the idea of the a priori social contract that is the real measure of

fact, they

our

humanity.

1. HOBBES'S SECRET

Rosenthal's
complete

insistently
Hobbes

humanistic Hobbes's

approach view of

to

Hobbes does

not

lead to

identification
read
"secret."

with

moralist."

Rosenthal to

as a

"metaphysical

human nature, but it does allow This, for Rosenthal, is reducing

not man

Hobbes's
rial

He is

not a mechanistic philosopher

to mate

origins

with a

any party bias

more

than

he is

a political philosopher or political

ideologue
a
reduc-

such as monarchist or royalist.

Hobbes is

really

interpretation,

Spring 1990,

Vol. 17, No. 3

450

Interpretation
all.

tionist at
miss

This

would

be to

read

him from below

as

rather

than above and to

his

moral

intention. In

fact,

Rosenthal shows, Hobbes's interest in

an expression of

physics and the

laws

of motion

is already
off

his

moral

intention.
of nature nature

For Hobbes, it is through the that man is man and able to hold define itself through its

social contract and the eternal

laws

death. It is the

essence of

human

to

resistance

to the infinite power of Nature

not

itself. For

Hobbes, therefore,
"indivisible

the Leviathan is

really

a political
power of

one"

that enables man to resist the

against

entity at all, but that Nature.

of

Rosenthal defends Hobbes

of mechanism and ad not

the charge that

he is guilty

hoc

rationalism

by insisting
at

that Hobbes's mechanism

any dualism is
there is no

the basis

movement

his reading of human nature from a lawless state of nature to a

of

all; that, in

fact,

condition of moral and political

freedom
as a

and

responsibility, because the state of nature

state

of war.

This

means

that the state of nature

itself only has meaning only has ontological

ultimately "noth
contract

meaning when interpreted in moral and human terms, (p. 50). ing can be described except in moral
terms"

and that

If

war

is the

eternal

expresses man's essential wish to allows

threat, then it is necessarily the keep death itself "at

the movement

social

that

bay."

This interpretation

Rosenthal to

justify
even

from

state of nature

society (value)
analysis

without contradiction.

This
not

means

(fact) to civil for Rosenthal that Hobbes's

complete.

is consistent,

if it is

knows lated

where

it is going
shows that
no

even

if he does

not"

necessarily (p. 50).

"His doctrine

Rosenthal
at all.

Hobbes's monarchism, for example, is blueprint

or plan of political main

hardly

articu

There is

administration,

no system

of checks

and

balances, because Hobbes's

Rosenthal
a
neither an

intention is
with

ontological and regard

sociological,
and

not political.

compares
of

Hobbes

Plato in this
begins

insists that

is

"philosopher

administration."

Thus, Hobbes is
with

"ontological
and

humanist,"

whose vision

and ends
second

the

human reality

its "metaphysical

possibilitie

"What is

in

the

order of exposition

is first in the
and

order of

his

thought"

(p. 53). Hobbes is

able to move world.

logically
shows as

ontologically from
we grant of

the natural world to the political

Rosenthal
state

that if
a

of nature

basic fact

viewed as a priori and universal.

kill"

the rough equality of human beings in the human nature, the social contract can be Since "the equality, to know, to fear and to

(p.

56)

makes all

men

sublating this equality

of

equally dangerous, and thus equally desirous of fear into the equality of obligation, the duties of citi

zenship are generated naturally and inevitably. Thus, as Rosenthal points out, men had really better fear, for they really are dangerous; but because they are equally dangerous, their individual freedom demands the renunciation of their rights and the acceptance of the political responsibility of citizenship. "Political
man

is

either consensual

by

nature or

he does

all"

not exist at

(p. 64).

The Hobbesian

paradox

is that

men

only have

liberty

when all are

equally

Review Essay
deprived
since

45 1
thing,
tmth

of

it. For Rosenthal this

"renunciation"

universal and underlines

is

no small

it is

also universal

disarmament

the basic
calls

ontological

that human nature is

sin"

indeed aggressive,
renunciation
had"

what

Rosenthal

"our indefeasible

love "is

of

(p. 66). Its

is

a renunciation of what,

in

a real

sense,

all that we

have hitherto Hobbes to

of

(p. 66).
original
given

Renunciation is thus freedom. Our

ture and allows
as an eternal
show

equality ultimately
on the

moralizes

Na

that,

the necessary existence of the state

law

nature, the subsequent

laws, based

idea

of

justice,

naturally follow. For if disarmament is rational defender of peace has the right to use power
peace.

and natural, then the state as the

and punishment

in the

name of

"The frankenstein in this morality tale is

accommodation

ourselves"

(p. 72).

Promises,

gratitude,

to others in revenge,

regard

to property rights, the pardoning

of offenses, the

restriction of

pride and

greed, and
as

all

the other duties

of man can now

parameters of

be

viewed, as

Rosenthal says,

"the

visible and observable

verifiable.

conscience"

(p.

85),

eternal, but also empirically

of

We

can now

be

"authors"

viewed as the moral

that

For Rosenthal, this

stint"

law is

eternal

very because it is "renewable

moral

law

which restricts us.

without

(p. 93). Either it is perpetually renewable or it has never had any real authority; but because the social contract is renewable if human existence has

any meaning
"feigned"

at

all, it is

eternal and a priori.

we create a moral also

We are, in

sense, both

natural

and
of aggression.

persons,

for

But this is is the basis

the

eternal

personality that is the renunciation law of human nature, making the

priori.

covenant that
ment of

the people,

by

community universal and a the people and for the moral law,

of

"The

govern

shall not perish

from

earth"

the

(p. 95).

It

would not

have

seemed
it"

says, "we have done restricted, but

eternal

naturally possible at all, (p. 98). The Leviathan exists,

secret,

and yet,

as

Rosenthal

and natural rights are

they

remain as a

hidden,
all"

and perpetual presence and are aware of

the

basis

of obligation.
on

All human beings behalf

of us

this,

including

the

Sovereign "who knows

(p. 98).

2. SPINOZA'S WAY

Yet Rosenthal is clearly aware that the eternal laws of nature are not just laws of human nature, and that human freedom and responsibility must be grounded in the eternal law of nature itself. This is the meaning of "Spinoza's
Way."

It is

a moral path to

freedom through knowledge,

experience

although

it is

not

to be

confused with a ment

freedom from

through scientific or mystical detach

from the

concrete

duties

and anguish of
world.

human

experience.

It is thus

freedom for
Rosenthal

the world and in the

seeks to show that as the mind of

is the idea

of the

body,
love

the body's

understanding

itself is really

equivalent

to the intellectual

of

God that

452

Interpretation
and moral

for Spinoza is both true blessedness

meaning For Rosenthal, knowledge
the idea
of of

freedom,

as

well

as

the real

the eternity of the human

mind.

originates
no

in the

primordial

fact that the

mind

is

the body. There is

Cartesian

problem

in

determining

the object of

human consciousness, for it is the

self and

body

itself. Thus there is

no gulf

between

the

world

that needs to be overcome through scientific method or

technique, but only the moral problem of achieving happiness. This is not to imply that the body is merely a bundle of appetites or passions. The individual
always

has the

obligation

to achieve
totality.

ing

of experience

in its

achieved at the expense of

full clarity and understanding of the mean But clarity and understanding are not to be individuation through any kind of transcendence,
It is only through a deepened insight into the Rosenthal calls the "infinite co-determination is only the result of that freedom which is the infinite innocence of nature a moral This for Rosenthal is the
ontological

whether scientific or mystical.

nature of the
Nature"

finite

as part of what

of

that knowledge
of the

is

possible.

The eternity
man's

human

mind

ability to create in the

which

face

of

imperative

is absolutely
social

universal. which

significance of and

the

contract,

is the

essence of all

human striving

the ethical conatus that is human nature.

not technical

Thus it is
constitutes

development

or amelioration through science which

blessedness, for
("progress,"

such amelioration always

implies
the

an

indefinite

goal of of

to be reached
scientific

etc.)

by

those capable of
notions"

achieving the level

second
grade

abstraction

(the "common

that

are

knowledge for Spinoza). Blessedness is to be

now, and not merely
vision of a

achieved

by

all men

in the

eternal

by

specialists armed with

technical

knowledge

and

their

it is

never

technologically improved future. Rosenthal insists that for Spinoza knowledge per se that is needed, that we "go back simply
"more"

ward, not forward from the third kind of

knowledge"

(p. 112).

This

also means that art can

be

more

instructive than
art,

clues to the real

thal, has

no

goals

meaning beyond its

of

knowledge. This is because

own

in offering according to Rosen

science and no

purity

of performance

intent to

"performance"

manipulate nature either

technically

or cognitively. as

The

artist's
cannot

(Rosenthal

uses

El Greco's View of Toledo

of a
or

his example)

be

under

"astigmatic."

stood except
artist sees

in terms

Toledo,
artistic

purity of vision that is necessarily whatever, in terms of a bias and original

and
not

The

preference

that is

the essence of

artistic

While
vides

purity freedom is

freedom.
moral

and

intellectual freedom itself, it

needs

pro

Rosenthal This

with

the concrete example he

not

to show that Spinoza's

idea

of

human freedom does

means

involve

some mystical or

ineffable

experience

at all.

that human

development is
(p. 121).
of man

always moral

development,

"a

way Just

of

being
as

or acting in the for Hobbes the nature

world"

is defined in

resistance to
free"

the infinite

power of

Nature, lor Spinoza, too,

man

is

not

"bom

from

stmggle and

Review
thus is not

Essay
and

453
in its

free from

good and evil.

Nature is beyond This is

not so

good and

evil,

infinite innocence has

there

no conscience.

for

man.

For Rosenthal
goodness of

is

no problem of

reconciling the evil in the

world with

the

to begin with. Spinoza thus avoids Leibniz's prob God, for God is not lem. But there is no Hegelian problem of having to justify God's goodness through

"good"

historical

progress or

advance, for there is

no advance either. not

We

are

free because is the

we are

finite

and

determined,
which

in

spite of

that deter

mination, which

source of

that

freedom

is

our

choosing between the infinite determination

choice of good
condemned

good and evil we cannot

transcend. God or Nature

responsibility for is that

"Man is

itself,

neither good nor

evil, yet God does not prevent the

over evil that

is the

essence of

human
own

experience.
terms"

to an

individuality
any

absolute enough

in its

(p. 132).

Rosenthal
not

views

the God of

Spinoza

as one of

infinite determination. It is
nihilo, both of

to be

confused with

process of emanation or creation ex

which

imply

a randomness

inconsistent
of

with

the eternal coherence of God's

one sense the

infinite

presence.

Thus, because

this

infinite determination, in

striving towards freedom are infinite, but this also gives human nature, the "ethical its eternal opportunity as well. For Rosen thal this "refusal of is the "best we can in the face of the
odds against man's
conatus," abandonment"

do"

odds,

yet we can

do it "more
a

or

less

adequately"

(p. 133).

Freedom is, therefore, "or

moral when

"tragic

matter"

and no cause

for Hegelian

optimism

bemusement,
he dies. "He

as

in

Kant"

(p. 134), for

man cannot

hope to become

free

will

merely become

eternal"

(p.

134)

through adequate

understanding.

spite of

This ultimately means that man becomes free not because of God, but in God. "Man turns his back on (p. 135). The body itself is the
God"
be"

"conatus to
pian

and principle of or

individuation
with nature.

without

future

death

wish

to merge
moral

any concern for a Because the body and its

and

Uto

con

atus are

inescapable,

so

is

freedom.
of

This

also means that not eternal

real

the third level

sense

knowledge

intellectual love

of

God is

in any

that involves a transcendence of human action.

This is the "where the

action

meaning of that eternal now which, as Rosenthal says, is always is" (p. 140). God can be viewed as the beginning of reflec
to us most of the time

tion, "but

what matters

is

eternity"

our own

(p. 134).
action"

Thus,

the third

kind

ality, "the

eternal

knowledge is simply the recognition of human individu awareness of the idiosyncratic character of his human
of

(p. 143).

Because to be is to
notions of good

act and

be

acted
and

upon,

we are

Good
but

and evil

(p. 143), "come from

(p. 144).

evil"

the

very
a

essence of existence

necessarily "infected with is ethical.

nowhere"

in

sense, for

they "are in
order of of

and of

God its

not

from

God"

Only

thus do we insert

ourselves

into the infinite

Nature
social

and

infinite determination. This,

of

course, is the

a priori

the

contract

454

Interpretation
which gives

itself,
'taint'

human

history
so

its meaning is the

and which originates with

human
the

existence.

Human nature,

to speak, "contaminated the infinite

order with

of ethical

decision,

and this

distinctively
is to

human contribution to

eternity"

(p. 145).

The

result of the a priori social contract

career of

make evil an absolute of

human
world
of

history. For Spinoza, the

through the

the free

man

seeking to
"arises

endure

in the

ethical conatus and

that

is his

essence

out of

this

dialectic

infinite determination The free

man can

Social

Contract"

(p. 150).
of the

then

be described in terms

friendship,
A life
of

tmst and

loyalty
and

unto

death that is his life in both

accord with

history

and eternity.

harmony, lived in
social contract

reason, is also the way to

"astigmatically"

solidarity blessedness itself.

The
a

has been inserted,

or

tme "politics of

eternity"

state or

that, this dogma

of

beyond any particular that, as dealt with by Spinoza in his

it were, into eternity: historical concern with this

as political and

theological writings.

This insertion
oza

the social contract into eternity is for Rosenthal what Spin

a part of

really contract is

means not

by

the human mind

of

being

eternal.

Since the

social

defined in terms
conatus.

through the

ethical

any before or after, man transcends history Yet this is not to be construed in terms of man God

"cosmic"

becoming

so much as of

becoming
accepts

human. This does in the

order of

not

imply
nature

any doctrine of incarnation, only that God "the influence of what is best in This leads naturally
posive attempt of enough

infinite

ourselves"

(p. 162).

to Rosenthal's identification
body"

of evil as

the "pur
negation

to cease to be a human

(p. 166), which,

as

the

individuation, ultimately leaves

self."

no mark on eternity.

Rosenthal

can conclude

that the undifferentiated monotony of evil is the negation of the

individual,

"suicide
no place

of

the
eternity.

In eternity, therefore,
are

no one can

hate God, for hatred has

ethical will as

in

We

left

with

the human conatus and its

the only way to be human

at all.
"taint"

For Rosenthal, the individual eternally eternal action that is Nature. The social irreversible
from it,
as
misfortune of

expresses actions which contract

the

has "the

metaphysical

but

entering into durational history. Take the taint away

of radical purification and salvation would seek

the metaphysics

to

do,

and

that
and

individual loses

the coherence essential to the very concept of

a

himself

Substance becomes

history

of

tiredness; ultimately

of self-ex

haustion"

(p. 170).
optimal capacity for action and is identical with has led back to the body in the concreteness of action.

Blessedness is then the

understanding,
yet this effort

Rosenthal's final

is to

show

that
of

not even

pain, with

its
is

relentless

self-

localization,
moral

can

threaten the
over pain

being

the

body, for

the

body

always tempted

to choose death

and

therefore abandon the ethical conatus and its

destiny.
even pain can

Yet

be

sublated

into the

passion of

suffering,

as

Rosenthal's

Review
example

Essay
and

455
his

of

Lincoln's

ethical

conatus

at

work

in the face

of

death,

willingness

to give "that last full measure of

devotion,"

dramatically

implies.

Whether it is the suffering

shows

of the martyr or the pain of childbirth,

Rosenthal

that the

will

to endure pain derives that

from

the commitment to the social

not

contract and

the

moral obligation

issues from it. This is be

to seek exemp

tion

from

pain

but to

utilize not

it in

our progress

towards moral perfection, for

sublated

while physical pain uous experience of

may

actually cease, it

can

into the ambig

marriage and

suffering
of

which encompasses

joy

as well as pain.
with

Rosenthal's

analysis

the emotions associated

can

birth,

dying

shows

that
of

understanding
pain, is

suffering actually lead to an enhanced and the real power of the body. Thus childbirth, with
"welcoming"

"adequated"

all of

its
to

nevertheless a

experience.

The

political prisoner

in the

face

of torture can even welcome

death if it is

required

by

his

commitment

the social contract and

way, although it is not

view

necessary to preserve his moral freedom. In the same Rosenthal's own example, Socrates in the Phaedo can

the life of the philosopher as a preparation for

dying,

and

death itself

as

the means

This

awareness

for affirming the of both

of

moral values

he has in

always action

lived for.

body

and

mind

intellectual love

God; likewise,

the

is nothing else but the intellectual love of God is nothing but

For

the body's awareness of its capacity for adequate (and eternal) action.

Rosenthal,

these consolations are not to

recognition of the order of nature.

be despised, since tme freedom is the finite individual's power to be a codeterminant of the infinite
neither

Such freedom is

hubris

nor

illusion, but
worse

the creation of

the human

order

itself, "a

noble

order, not less or

in quality, than God

himself,

except

in

effectiveness"

(p. 195).

Rosenthal's Hobbes
and

ontological

humanism is
Spinoza's

an original and valuable

Spinoza,
not

but

as

own criticism of
more

way to look at Hobbes's idea of liberty

problems posed

indicates, it is
Hobbes's
real

enough to

resolve

fundamental

by

view of

human

nature.

As Spinoza himself Hobbes

points out

in Letter L, the

difference between himself

and

with regard

to

politics

is that Spin
Given

oza preserves the natural right of the

individual intact in
nature and

civil society.

Spinoza's

more positive view of

both human

the state, he can afford

to preserve man's

natural right while at

the same time preserving the sovereign

authority Hobbes simply cannot tmst men in civil society with such liberty because of his basic view of human nature and human freedom. Because freedom for Hobbes is simply
are

of the state.

the freedom from external

hindrances,
for

and

because
race

all men

naturally egoistic,

aggressive, and equal competitors to

renounce

in the
civil

for power,
exist

it is necessary for

men

their natural rights

society to

456
at all.

Interpretation

why any man should accept a duty to sovereign can be tmsted with power in the first obey the sovereign, or why any sovereign the that place. It is clear may use its absolute power to protect the In the
end

Hobbes

cannot explain

citizen or

to

destroy

him. Hobbes's

attempt

to qualify the citizen's renunciation

of natural show

right

with specified

rights to

exist are

only arbitrary
were

and serve to

his failure to
mutual

justify
peace

the original

renunciation of rights.

If
cient

fear

and natural equality, as and security,

Rosenthal argues,
would

to

guarantee

there

be

no

really suffi reason, at least in

and

principle, for

such a sovereign at all.

Fear

would

have become reason,

the

competitive will

to

power a reverence

for justice. But for Hobbes the

state of

is perpetually present, at least as imminent threat, not just because there is a tension in human nature between higher and lower elements, but because reason itself can only be viewed as the slave of the passions. Hobbes cannot,
war

like Hume,

who otherwise shared

universal

his

view of reason and

passion, depend

upon

any instinct of human nature.

benevolence,

given

Hobbes's

more pessimistic view of

Rosenthal is

correct

in his insistence that the

social contract

is

a priori or

nothing at all, but such a view of the contract requires a view of human nature in which the development of reason, justice and civilization are absolutely natu
ral.

Otherwise the

contract would not secure men

be

binding

as moral covenant of

any
the

more

than

it

could

practically
as a

from the dangers

and

the state of

war.

What
super-

begins in Hobbes

hardheaded
of

legitimate for

protest against

naturalism and moral

rational

dogmatism

the medieval world view and an

ground moral

attempt

to discover

a natural

obligation, is

honestly finally

neither rational nor natural

enough, as Spinoza's critique suggests.

Like Hobbes, Spinoza seeks to create a naturalistic ethic in accord with human nature as it really is, and like Hobbes Spinoza rejects any ethics based upon an impossible, Utopian moral standard imposed upon man from above. clearly that any such disassociation of duty and desire only leads to the political and moral inhibition of man through an artificial con
sees quite sciousness of guilt and weakness.

Spinoza

Yet for Spinoza, the free

man can still

func

tion as natural exemplar because of the

within

inherently
or

greater moral possibilities

human

nature.

Because the
what

range of natural

Hobbes, he
ingful ideal

cannot

justify

in Spinoza

possibility is so limited in Plato becomes a humanly mean

of moral responsibility.

This is already

a more

Platonic

view of

the contract, and Rosenthal himself

respects

makes enough references to the

Crito to indicate he laws

Plato's

effort

to

transform the artificial contract of the Sophists into the moral covenant between
men

that leads

Socrates

to uphold the

of

Athens

and accept

death

rather

betray the covenant that is the very foundation of a human life. For Spin oza, too, the free man does not break faith with the law.
than

Yet for Rosenthal the because

of man's

contract

is both

natural

and

universal,

and

this is
good

preference, however

astigmatic or

idiosyncratic, for

Review
over evil.

Essay

457

Moral freedom is
and war and man

from fear
to

death,

merely the pragmatic or prudential freedom but the absolute affirmation of man's moral bond
not

his fellow because

in

real community.

Hobbes

cannot arrive at another even

the

same conclu

sion

men must remain a and

threat to one
enough of

in

civil society.

Both Plato

Spinoza

saw

human

nature

not

to be cheaply

optimistic about

human

possibilities.

Plato

was witness

to the

execution of

So

crates,

constant civil war and

revolution, and the general breakdown of custom to the

murder of

and tradition.

Spinoza

was witness

the De

Witts,

the

over

throw of the
make

Dutch Republic, Hobbes

and enough examples of political of the role of passion

barbarism to

him
and

as aware as

in human life. Yet both

human

Plato
ment

Spinoza believe in the

metaphysical possibilities of
understanding.

develop

through the improvement of the

moral

Rosenthal himself be why Plato Hobbes, since for

also

lieves that human development is

and

development. This is

Spinoza's ideas

of

the state are more positive than that of

state

both it is ultimately the function of the through moral education, into free moral
emphasize education to the same

to

help

mold

human

beings,
not

agents.

Even if Spinoza does

degree

as

Plato, from
project

his

work

he

announces that

his fundamental

the very beginning of is the improvement of the

understanding and enlightenment. Spinoza, like Plato, believes in the velop those
and respect customs and

possibilities of education nourish a reverence

traditions that

if only to de for honorable action

neither

for law

of which all men are capable. with a political

But this is because

on

Plato

or

Spinoza begins

philosophy based

the equality of

fear. In fact, it is the idea of unity not equality, either in its traditional political sense or Hobbes's sense, that is the governing principle of their political philos
ophy.

Both Plato

and

Spinoza believe in

an

ideal

of the common good that makes

a

the commonwealth no mere necessary

fiction but

tme

community in

which

the common interest

satisfied.

governs and all

needs, both higher men, both the

and

lower,

Thus it is in the interests

a community.

of all

more and

equally less rational,

are

to live in

compulsive

ety and It also

natural

striving for power even destmction.

shows that

This involves transcendence, in varying degrees, of the and wealth that must end in dissatisfaction, anxi
where

only

there

difference
than

can there

be

the

kind

of a

is unity based on the recognition of equality that involves the satisfaction

more subtle

of all our mutual needs.

This implies

dialectic

of

identity

in

difference idea
of

Hobbes's philosophy
controlled

can

possibly

encompass.

Hobbes's

own

equality, far from promoting

harmony

or mutual

competition, however
nity.

by

the sovereign, and

tmst, only produces the inevitable discord, is

no

class and otherwise, that must

follow but

when a commonwealth

tme commu

Plato's Republic is
action to

no utopia

an

ideal

standard

in

which

thought guides

goals which are

Alnatural, though difficult to achieve in practice.

458

Interpretation
model of community, in the real possi does believe he ones, reason. Whatever his suspicion of growth of improvement through the

though Spinoza does not envision or articulate such a

only the

gradual

improvement

of actual

bility

of

Utopian

politics, Spinoza

offers

his ideal

of

the free

man

living

in

accord with as

the dictates of reason, and therefore

real essence of

in

harmony

with

his fellow men,

the

human

nature.

Rosenthal

emphasizes

the

idea

of moral

but he does
own sake or

not see

that the two Treatises are not

freedom developed in the Ethics, just historical inquiry for its

theology.

from

some special concern with

The

effort

to establish

freedom

of

thought and speech

in the Theologico-Political Treatise, Spinoza's

and

lifelong
ical

stmggle against

intolerance

superstition, as

well as

his devotion to
the Ethics

the De Witts and the Dutch

optimism about

Republic,
act,

all reflect a

deep

personal and philosoph

of

human possibility in
way.

principle.

The writing

itself
when

can

be

viewed as a political at

as can

Plato's

founding
not

of

the

Academy,
who

looked

in this

As

result, it is

Spinoza,

Hobbes,
thought

is the in

real

heir

of the

Greek Enlightenment in Europe development

of

and whose

is

most

accord with the actual

the constitutional ideal and the liberal

political

temper
and

in

modem society.

This is because the

Spinoza is

a more complete assimilation of

philosophy of both Plato both the ideal and the actual in human

human existence, and necessarily reflects a human nature and the nature of the state, as

more complex and realistic view of well as the nature of

history
is

itself,

than

is

possible

in

Hobbes.2

Hobbes's failure to

offer a more

differentiated

concept of

human

nature

really the reason that the contract as he conceives bold defense, fails as moral covenant. The covenant
nor meaningful

it, in
could

spite of

Rosenthal's necessary
then no

be

neither

if

men possessed a

Cartesian
were

angelic

intelligence, for
of moral

covenant would and rooted

be necessary;
Hobbesian

or

if they

incapable
and will

development for then

no

in

state of primitive

fear

to power,

covenant would

really be possible. While Rosenthal may be right that Hobbes's be

read

physics and the

laws

of motion

must

in terms

of

his

more
of

deeply
kind

held

moral

intention,
is

one still

has the implied

Blyen-

right to read

Hobbes in terms

the

of physics that

dialectically
politics of

by

his

ethics and politics. ethics

As Spinoza himself
physics
and

says

in Letter XXVII to The

burgh,

is based

on

metaphysics.

fear

and

power must

imply

a physics of motion and

relative.

flux that

makes all moral

judgments

merely conventional and For Spinoza, on the

whole.

other

hand,

human

nature
with

is

rooted

in Nature
of

as a

Spinoza's decision to begin the Ethics

the nature

God

rather

than either the human mind or the human

precludes pure
of

body, is politically

meaningful, for it

power. as

any possibility reducing man to any physics of flux or politics of This is an implicit correction of the Cartesian origin in pure
well

thought,

as

physics of motion.

any Hobbesian origin The order of Nature as

either

in the

politics of

fear

or a

a whole gives

Spinoza his

causal

Review
source,

Essay

459

in terms
of

of

both immanent
nature.

ground and ontological explanation

for the

meaning Thus Spinoza does

human

not construct an rejects

ontology

of

human

nature on a physics
reason.3

flux, just For Hobbes,

of
relativism

as

Plato

the relativism of Protagoras for the same

a physics of

as

for the Sophists in general, individual the

flux justifies the

moral

that makes each

measure of all

men

from bondage to dogma

against source.
gods.

and convention.

things, thus liberating For Hobbes, this involves a re derived from

a

bellion

the

medieval view of rank, privilege and power

divine

In the

same

way,

the Sophists sought the overthrow of the

Olympian

Both Protagoras

and

Hobbes

are at

least

aware of

the

dangers

of such a nihilism and are

therefore

politically
as

more conservative

than someone

like Sartre.
Both Protagoras
and

Plato realize, between the

Hobbes does not, that

Protagoras'

such a view

creates an absolute gulf

natural and the conventional

that cannot be

bridged
cal and cal

by any merely artificial contract. If devastating than Hobbes's, and Plato

of that
part.

relativism

is

more radi

in the Theaetetus

shows
of

the radi
on

implications

relativism, this may only be a

and

failure

insight

Hobbes's
then the

For if fear
of

the will to power are the essence of the

human,
negotia must as

history

human

nature

is simply the flux

history

of the

body

in its

tions with an infinite environment that must always win, since the

body

be impinged

upon and subject to so

perpetually.

Not only is the

mind

end

death,

Hobbes fears, but It is

not

is the beginning. This is exactly the

are ontological

opposite of

Rosen

thal's own view in assessing the eternity of the human

in Spinoza.
sociological,
as

because Hobbes's interests

and

Rosenthal says, that he lacks a philosophy of administration, but because of his less differentiated view of human nature. If all men are more or less equal, rather than more or less different, why should it make any real difference how
to stmcture the state, politically or socially? Even the emphasis
principle rather than specific
on

general

detail in the Republic does

not prevent
more

Plato from

developing
ated than

a psychological and political stmcture that

"realistic"

is

highly

differenti

Hobbes's

more

model.

Plato's philosophy
thoughtful
satisfied. shows
efforts

of administration

is

reflected

in his very
way

careful

and

to guarantee that the basic needs of all the

an attempt

citizens will what

be is

The Republic is
greater

to show

in

a general

the Laws

in

detail

and specificity.

The

proper administration of

the state

based

upon

the

principle

that each member of the community must

whole

be

allowed

to contribute its best to the

receive what

community in

order

to

guarantee

that all may

com

they naturally

need and want.

Proper

administration

involves least

mitment to education; separation of classes

in terms

of

different

capacities

for
the

service; the
guardians;
the selfless

living

of a

completely

common

and austere

life,

at

by

and the achievement of an authentic and cooperative

solidarity

and

harmony

through

devotion

of all to the an

common good.

Plato himself

admits that this

is

ideal, but it is

the basis of his more

460

Interpretation
proposals

detailed

in the Laws,
commits

where

he is nothing if

not

a philosopher of

administration.

He

himself to the

actual creation of a

highly
of

specified

constitution with

both

preambles and statutes and

dealing

with

the actual practi

cal

problems

of government.

These include the distribution

property, the

creation of

the

specific offices of government and

the assignment of

duties,

as

well as elaborate proposals

tion, his

system of

for selecting the magistrates themselves. In addi education is spelled out in much greater detail than in the
greater attention
concerned with

Republic, and with beginning, Plato is

of

to actual content. In

fact, from

the

very

the proper organization and administration

the state, both in terms of general principle and specific detail. This concern
also

is

lems

of

inherent in his very practical involvement in the pressing political prob his time. The Seventh Letter describes in detail his attempts in Sicily to
the ideals of unity and peace in the

promote

face

of profound

discord.4

In the Republic itself, Plato's description

of the

decline

of

the

ideal

state

is

based
hell

on

close observations

of

the

actual

difference between

one

state

and

another. of

Plato describes the moral, political and psychological descent into the selfishness, disorder and violence that is the soul of tyranny. This pic
down"

ture of the

"way

shows

human

nature are expressions of a more complex range of

understands.

that, for Plato, both the best and the worst in human possibility
human possibility is not dramatically how men may lose or
with

than Hobbes

This

spectrum of

unlimited
gain their

but sufficiently complex to show souls. Plato's account is consistent

evil

Rosenthal's

own views on good and

in his

analysis of

Spinoza's ideal
or worse

of moral matter.

freedom. For Hobbes, things

human

can't get much

better,

for that

Spinoza's
may based
not

view of the rise and

fall

of states and the nature of

history

be

articulated

in

logically

systematic

on a more complex and realistic view of view of

way human

as

Plato's

is, but it, too, is

and moral

nature.

Unlike Hobbes's,

Spinoza's

human

history

involves different

stages of

human

development. Man's barbaric beginnings only lead to the

ment of a national character and moral

need

for the

develop

traditions through the efforts of a hero

of

founder

or

lawgiver like Moses. But, because

his

greater

faith in human
of social

possibility, Spinoza only believed in

such an autocrat at

the

beginning

history. Once

is molded, actual nation states emerge, some more competent than others, but all in need of the kind of reforms offered by Spinoza himself in his Political Treatise. Always beyond the possibility of
a national character actual reform with reason. possible

there is the

ideal

of a

community

of

free

However unlikely

such a

community is
of moral

acting in politically, it is
men

accord

always

for individuals to

achieve

the state

freedom

and

blessedness

described
posals

by

Spinoza in the Ethics.

either

Hobbes has little interest in

and

Plato's

or

Spinoza's in

constitutional

pro

little faith in
of rough

constitutional

government

general. real

For Hobbes,

given the

any distribute offices, how to select officials, or even how to educate the citizens so that they will be more capable of self-government? It is not really necessary to

idea

equality, why

should

it

make

difference how to

Review
set out

Essay
does
not

461
be

to educate citizens in such a systematic way, for Hobbes

citizen can

lieve that any

points

be

much

better

or worse someone

than any other. As Rosenthal

out,

given universal

disarmament,
anybody authority in

is

needed

to be the custodian
a view of

of

the guns, but just

of

about

will

do. This implies

the

arti

ficiality
all or

class,

rank and

which no moral

has

ever

servation of power

really existed. Monarchy for the mutual security

authority has survived at becomes identical with the mere pre

of

all,

even

if

no one can

be tmly

secure.

This is
control

why Hobbes must give the sovereign the ultimate power to because the sovereign must protect and promote wisdom, beliefs,
also not

but because any doctrine is potentially a threat to the security of both sovereign and state. For Hobbes, the sovereign has no interest in any doctrine per se but only in those which promote political security. Even the harshest critics of
Plato's Nocturnal Council in the Laws authority Its purpose is
of must admit

that the moral and political

the council
not

is based its

on

to protect

own

its understanding of the eternal moral law. power but to preserve and communicate to

others the tmth of moral principle.

This is why, for Plato destructive The trial

attempt to

at

least,

the execution of Socrates is a tragic and

reason

self-

destroy

the moral authority of

in human

affairs.

and

death

of

Socrates have

a universal significance

for Plato that is

simply impossible on Hobbes's terms. Hobbes's world is one without real heroes
neither martyr nor can

or real

villains, one in

which

tyrant has any

not ennobled. no real

real moral significance.

Hobbes's

sovereign

be entitled, but

Lacking
as

emplar, Hobbes has

moral evaluation of

basis,

any do Plato

such and

heroic ideal

or moral ex realistic and

Spinoza, for
In

the rise and fall of

individuals
man and

or nations.

actual

history,
another,

however,
really do

the differences between one

matter and make

another,

one state and

the ultimate difference between life and

death, both

physical and moral.

Although Hobbes is haunted

no man

by

the imminent peril of the

state of war,

because

be

able

to envision

is really much worse than any other he would not the modem hell of genocidal war or holocaust. If Hobbes he
might

had been
more

capable of such a vision,

political world as well. nor

have been

capable of

envisioning

ideal

Neither Plato
of

Spinoza is

cautious or ambiguous about the ultimate au

thority philosophy itself and the need for philosophical freedom as the real ground of moral freedom. As a result, neither sees the freedom of philosophy as any threat to the state. This is because, as Spinoza shows, a state is only truly strong
opment of
when

it has the
most

support of

its

citizens.

For Spinoza the

is

strongest

and best state does the

to

encourage

the

full

moral and

intellectual devel
never

its

citizens.

The

real

freedom

and power of the state

op

posed to the

freedom

and power of

the individual. Both Plato and Spinoza are

are capable of self-destructive acts.

aware that

individuals through ignorance

were

But if this only be

the end of the story

of

rather

than

its

mere

beginning,
mankind.

one could

silent

in the face

its

nihilistic

implications for

462

Interpretation
also

This is

why

neither

Plato

nor

Spinoza believes,

as

Hobbes does, that the

overthrow of

the state necessarily

means

the destmction of society.

Both

see

clearly that
either

governments can

be

changed without
neither

threatened. For this reason, while

society itself inevitably being Plato or Spinoza views revolution as

a more complex

inherently

natural or

very

often

desirable, they both have

human
possibility.

and realistic view of revolution as a

Such
Spinoza

an ontological of

improvement
seek

faith in the possibility of moral development through the understanding is the real basis of moral covenant. Plato and
avoid

to

the

reefs of either an

extreme

idealism

or an extreme

materialism.

the claims

The very tension inherent in their view of human nature between of the ideal and the actual, the eternal and the temporal, and the
upon

better

and

the worst, is what imposes

consciousness

the task of moral

development. This is exactly what Rosenthal's view of human freedom re quires. But for Hobbes there is no real ontological possibility for meaningful
self-transcendence, and this

finally

negates

the significance of the contract.

Thus,
of

the contract for Spinoza and Plato does not involve any renunciation
natural and

the individual's
real of

inalienable

right.

This,
That

as

Rosenthal shows, is
this essential tmth,

the

eigns are
which

meaning better at their jobs than

what makes

the ethical conatus in Spinoza.

others

some states and sover

does

not change

really For Hobbes, the sacrifice of Socrates or Spinoza's free man for the moral principle or honor must ultimately be viewed as a foolish and
act.

is

the contract an a priori

covenant.

sake of
suicidal

This

can

only

mean

that the contract itself

survive.

will

and must a

be

abrogated
where

when

it

clashes with the will to shows

Spinoza begins, in

sense,

Hobbes does, but only way to

effort to

that it is the very nature of man to promote

harmony,
own of

cooperation and good will;

death, far from negating

This is clearly
as experiences

those values, may be the

affirm them absolutely. such

reflected

in Rosenthal's

use

human

the political

martyr

in the face

torture

and

death

as an example of

the sublation of pain into the suffering and

of

compassion covenant.

that is also understanding

the categorical
abrogate of

claim of

the

moral

For Rosenthal, the man who seeks to because of fear of pain or death, who is capable actually
oza.

the moral covenant

avoid

betrayal to

death, is
Spin

destroying

his

real self.

Here Rosenthal is

at one with

Plato

and

In the end, though, both Plato

moral order as a whole.

and

Spinoza believe that the

political

and

both discovered The ideal

of

and created

by

man

is based

on the order of

Nature

community is the community of nature itself. Rosenthal is certainly correct in thinking that Spinoza rejects any view of moral freedom or responsibility in which duties are

presupposes

for both the infinite

order that

imposed
innocent

upon

man

from above; but Spinoza does

moral

not

view

Nature

as either

or silent.

Nature for Spinoza is the

law
as

expression of that embodied

infinite Perfec
order of

tion which is the

as a whole.

immanent

it is

in the

Nature

Review
Rosenthal is

Essay

463
law
the

also correct to think that to experience and understand this

or mystical.

is

not

ineffable

It is to be

experienced whenever man accepts

obligation

to create such order in human existence, but this also implies that
not

Nature is

the mere

indefinite

continuation of existence, a power

for infinite

differentiation that only makes Nature the aggregate of its parts. This would prevent it from expressing the wholeness and order that Rosenthal insists are
ence.

inherent in the ongoing coherence and consistency of Nature as eternal This view is really implied when Rosenthal claims that the
will not allow

pres of

"honor"

God
man.

him to

reject

the taint

This is tme for Spinoza

as

morality inserted into Nature by well, but only because the immanent moral
of

law

of

Nature,
does

what

for Spinoza is the Perfection

and

of

Nature, is already

the very

ground of all

human striving
not

the ethical conatus itself. Yet this means that

the taint of the contract,

Eternity

simply idea

accept

but is already its

source and cause.

Without

such

an

of

the immanent order of Nature as a whole as an

expression of reason and order political

in

general

and the

infinite his

ground of whatever

and moral

order man can

achieve through

own

efforts, there

is

always the

danger

of ontological

humanism, however
see

sane,

dissolving
as an

into that
This

inevitable

nominalism

that

can

aggregate of parts that can

would

only have no

the

history

of

Nature

indefinite

real

meaning

as an ordered whole. and

lead to that

meaningless existential

contingency
one

despair that Rosen

political

thal rejects, for if the essentially human preference for

order

and

moral

is
for

not somehow

universal, why is

human

preference more natural

than any other?

ence evil?

Why

is the

preference

for

good more natural than the prefer

Because Rosenthal
with

an

natural.

sees the Infinite as morally silent or innocent, he is left eternity that must accept the insertion of all acts as equally Without an immanent standard of perfection in Nature itself, it be

idea

of

comes

impossible to distinguish
both be

up"

the

"way

from the

down"

"way

in terms

of

different degrees
requires that

of moral perfection. are

Since Rosenthal's

own moral metaphysic

equally necessary for

that

moral choice equal

to have any

integrity,

it

must also

shown

they

are not

perfection.

This

implies, for Spinoza,

human
power and

that the

necessarily infinite
and

in

natural power and

power of man

Nature is the simply the

real source of all

freedom,

that

is

not

meaningless sum of

his individual
on evil

actions.
undifferentiated

Rosenthal's
agreement with

observations

the

character of evil

indicate
we
no

Spinoza that
some

already
for any
which partial

possess

idea

of

is ultimately negation, but this is only so if infinite perfection. For while evil itself has
and

positive sense

for Spinoza, the fear be

hatred

and sorrow that are the reasons

and

evil act must also

shown

to be incomplete

inadequate
such

actions

only have their

and

adequation and completion understood

in God. As

again those

only partially degrees of perfection

until

understood

only in God. This implies

of power

they

are

expressed

in both different degrees

464
and

Interpretation different degrees

of

understanding

as measured

by

the

infinite

perfection of

God. Without
ness cannot

such perfection as

standard,

ground and ultimate

cause,

blessed

be distinguished from any

other action or

idea, however imperfect.

rare and excellent means of

This is

what

achievement

makes the eternity of the human mind that it is for both Spinoza and Rosenthal. But this

that the

im

manent moral perfection of

God in

man and man's

insertion

morality into

Eternity
human love
not of

are

really

one

and

the same thing, preserving both the

perfection of

integrity

of

action and

the infinite
men and

Nature

as a whole.

Otherwise,

the

God toward

the intellectual

love

of

the

mind

toward God could

be

one and the same

conatus

is

a codeterminant

ethical thing, in the infinite determination that is Nature be justi

nor would

Rosenthal's faith that the

fied.

Only then can the human mind be tmly said to be eternal, and Henry Rosenthal's idea of the social contract achieve its a priori
character.

only then

can

and universal

It is certainly the

value of

this bold and thoughtful book to call

attention

to the absolute need for recognizing the a priori and universal moral

authority of the social contract. Even if Henry Rosenthal only finds in Hobbes and Spinoza the consolations of complementary philosophies rather than the consolation of any one tme philosophy, this is itself no small consolation or
achievement.

NOTES

1.

Henry

M. Rosenthal, Professor

of

Philosophy

at

Hunter College

of the

City University

of

New York for many years, died in 1977. The book has been edited by his daughter Abigail Rosenthal, Professor of Philosophy at Brooklyn College of the City University of New York. She

introduction which contains lucid philosophical commentary as well as a Rosenthal's life, particularly his teaching. As a student of Rosenthal's at Hunter College in the late 1950's, I can personally testify to his power as a teacher to inspire in his
has
written

a valuable

description

of

students

that intellectual
"state"

honesty
mean

and reverence

for truth that

are so much

in

evidence

in this book.

2.

By

I really

the idea of community in its broadest possible sense, encompassing

both the

modern nation state as well as the ancient

concept.

thal's use of the

I think that both Plato's

or

and

city state. This is also consistent with Rosen Spinoza's general view of community applies
not

in

principle

to

both city,

polis, and nation.

This is

to

deny

the

difficulty

of

achieving the

binding loyalty
state.

and reverence

for law

shown

by

Socrates in the Crito in

the complex modern nation

Rosenthal's
nation.

characterization of

Lincoln is itself his

a powerful symbol of such reverence and

devotion to
ter''

3. Whether Protagoras,
"worst,"

who expressed

own conventional preference

over

the
doctrine,"

his "secret
tion of
see

actually proposed such a radical relativism, what Plato is inconclusive. For Plato, at least, it is the inevitable is the
measure of all things.

calls

for the morally "bet in the Theaetetus

implica

metaphysical

Protagoras'

view that man

For

lucid

analysis of this question

F.M. Comford, Plato's

Theory

of Knowledge (London: Routledge & Kegan

Paul, 1935),

espe

cially pp. 32-36. 4. See Glen Morrow, Plato's Epistles (Indianapolis: Bobbs-Merrill, 1964), pp. 155-73, for an important discussion of Plato's efforts in Syracuse. Morrow shows convincingly that Plato's methods and goals were more realistic than is usually assumed and that he had no Utopian illusions about Dionysus II.

Book Reviews

An Introduction to Political Philosophy: Ten Essays

by

Leo Strauss. Edited

xxiv

by

Hilail Gildin. (Detroit: Wayne State

cloth

University Press, 1989.)

+ 364

pp.:

$29.95;

paper

$15.95.

The Rebirth of Classical Rationalism: An Introduction to the Thought of Leo Strauss. Edited by Thomas L. Pangle. (Chicago: The University of Chicago

Press, 1989.)

xxxviii

+ 285

pp.: cloth

$45.00;

paper

$14.95.

Will Morrisey

"One

cannot settle

any Platonic
p.

question of

Plato,"

ting
he
must

(Pangle,

193)

writes

any consequence by simply quo Leo Strauss. Strauss titles a collection of his

essays, Studies in Platonic Political

Philosophy; insofar
Plato
or

as

Strauss Platonizes,
to quote
spirit of
not

be

quoted with care.

Quoting
in the
who

Strauss

with care means

to,'

them in the spirit of evidence,

spirit of

'pointing
not

in the

demonstration,
fmstrate those
what

'Q.E.D.'

of who want

He

knows he does believe

in

know

will

to know what to

as well as those who

suspicion of

unfailingly know
stirs

they

want

to believe. The frustration and even

Strauss
and

in

dogmatic Those
may

souls

readers

seek

variety controversy arouses curiosity instead of indignation firsthand knowledge of Strauss from Strauss's writings.

has found
whom

ample ventilation

journals

books.

for

Hilail Gildin 's

edition contains

collection

will

serve

as

an

excellent place own

to begin. This
po

four

additional essays:

Strauss's

brief introduction to

litical

philosophy, one on the theologico-political question, and two on

liberal

education.

Gildin's introduction succinctly

out

outlines

Strauss's

principal concerns

as a political

philosopher, particularly the way in

the
nihilistic and

which modem political phi

losophers brought
so to speak

implications

of

Machiavelli's thought in

ever more elaborate

forms,

the consequent need

for

a renewed

radicalism,

recourse

to the Socratic roots of political

philosophy. all a

Strauss
even the gards

adopted of

the Socratic view of philosophy as first of the highest

way

life

form

of politics or self-rule.

way of life, This view re

of

human life

as needful of wisdom, as
of

rightly

animated

by

love

wisdom,

the quest for knowledge

the

whole.

who are unphilosophic and content to

majority stay that way, in some sense

of qualified

Even the

vast

of

human beings,
need philos

ophy; the

political

good

requires

education

young

persons

for
in
a as

philosophic

life,

not

only for
same

political

life

as

conventionally
to start

understood

given regime.

At the

time,

philosophers need

with political

life

interpretation,

Spring 1990,

Vol. 17, No. 3

466

Interpretation
citizens'

opinions as understand conventionally understood, to treat down. Socratic contrasts knocked barriers to be not philosophy ing, sharply with historicism, which begins with Rousseau's rejection of the naturalness of reason and radical

portals

to

issues in the divorce

even

'ought'

of

from

'is'

in the

name of realism.

For

historicism,

reality becomes

'ism.'

an

After Nietzsche

refuted opti

historicist progressivism, only self-conscious nihilism remained. The modem attempt to dismiss ideal republics and cities of God in order to free man
mistic

for reshaping
then without,
world ended

nature

to his own

liking,

ended

in

a rebirth of

nobility.

"The

attempt

to make man

tragedy, first with, absolutely at home in this

(p. 108).
and propa a
self-

in

homeless"

man's

becoming
reason

absolutely
to spiritedness,
with

Modernity
ganda.

often

fuses

forming ideology

Socratics

associate reason

eros,

not

spiritedness, seeking

sufficiency that need not harm (or directly help) the philosopher's fellow-citi zens. Only force or, perhaps, a form of love, patriotism, could induce the
philosopher

to participate in politics. In his essays on liberal education

we see

Strauss

as a

kind

of statesman,
an

indeed
within

as a reformer

describing
who

endeavor to

found

aristocracy
loyalty"

democratic

society"

mass

"the necessary (p. 3 14). This

may
overlook

language
his is
call more

will exercise egalitarians

among Strauss's critics,

balk
at

for

"unhesitating
perhaps some
made

to decent constitutionalism (p. 345).

constitutionalism

likely,

critics

Or, what itself, and at

failures"

Strauss's observation, Marx and Nietzsche should

in the

same

breath,

that the "grandiose

of modera point

teach us never to separate wisdom

'political'

from

tion. Be this as it may, even at his most

Strauss

never

fails to

to philosophy, to the awareness of our understanding the philosopher may en

joy, beyond
Strauss

the ambitions of the modem project.

crafted each of

his

published essays to stand alone and

also, in

most

instances,
extracting

to stand

within a

book. A

cautious reader will therefore approach

Professor Gildin's
essays

collection with some

reservations,

concerned that the act of

from their lead

original contexts will somehow

lose many intended

resonances.

Such fears

prove needless

here. Gildin has

one to

given us a real

book,

one whose chapters

ment.

logically
with

from

another, making a

coherent argu

Even

readers

familiar

these essays

tions instructive. The book's only

not

may find these new juxtaposi shortcoming is its bibliography, which has

been

updated since

the 1975 edition. If there

is

another

printing,

perhaps

the publisher

will consider

making this first

useful revision.

Thomas Pangle's
"erotic
given

collection
as

calls attention not to

Strauss

as political phi
or

losopher but to Strauss

philosopher, to Strauss's "classical

rationa

skepticism"

current

(pp.xi-xii). In this, however, Pangle is as politic as Gildin, academic interest (bordering on obsession) with things epis
volume

temological. The

may

give

Strauss
rather

hearing

before those

who expect

the philosopher to 'do

philosophy'

than to 'know

himself

or

to 'live

philosophically.'

Book Reviews

467

In his introduction Pangle quickly brings his readers to politics, to the way epistemology and politics intertwine. "Norms of civic justice, of civic virtue
vice,"

and

emerge

from dialogue (p. xii). Not

imperatives
are said

absolute

in the
are

sense that natural nonetheless

nature.
trans-

laws

or

categorical
valid

to

be, they

historically

because they
to

are grounded

in unchanging human

Mod

em philosophers attempt

lay

down laws

evident

to nonphilosophers, reducing
'Method-ists'

observation, pmdence, and classification to methods and mles.

want and

to overcome the need

for both kinds

of

wisdom,

practical and

theoretical,

thereby rigidify both

politics and philosophy,

including

the liberal educa

tion of potential statesmen and philosophers.

In the United States

during Strauss's

lifetime there

was much talk of saw that

'hu

manism'

as an alternative cannot replace

to totalitarian ideology.

Strauss

humanism
commer

the traditional religion as the foundation of morality

in

cial republican
account

society,

even

for the

whole of or

among the academic elites. Humanism cannot being, as may be seen in Isaiah Berlin's concept of
from,"

"negative

freedom"

"freedom

which needs an absolute

foundation but
limits
infinity"

denies itself favored

one on

principle(pp.7, 16-17). And even the

self-created of

by

existentialists cannot

be

seen as

limits

without

"the light

(p. 38). After the Nazi disaster

sonableness and praise of

convinced

Heidegger that "contempt for

rea

resoluteness"

Heidegger

retained

his

contempt

for

reason

(p. 30) quickly run themselves aground, but added patience. His patient
produced

'waiting-for'

a religion sphere of our own

that cannot be consciously created,

called

the atmo

time,

by

Andre Malraux "the days

limbo."

of

Classical
version to

political rationalism

begins

with political opinions

but

seeks a con

tmth, away from lies (however noble). "The political man is con forced to have very long conversations with very dull people on very stantly dull (p. 74). The philosophic life avoids much of that, without losing all moderation, and without losing its sense of humor. ("Modem research on
subjects"

Plato

originated

commentators

[p. 206]; too many in Germany, the country without on Strauss are German, all too German). Philosophic life begins
wisdom

comedy"

in wonder; Biblical
philosophic
and

begins

with

fear

of

the

Lord;

modernity,

which

has

tried "to preserve Biblical morality

Biblical

virtues

loses abandoning Biblical civilization lives Because Western (p. 240).

while
'Jerusalem,'

faith,"

in the
ward

relation

between

'Athens'

and

radical

the disintegration
of writings

of

the West.

Contemporary
of.

modernity tends to ideologues who chant for

the purging

by 'dead,

white, European

males'

labi know

what

they don't

want, sort

The

spirit of

from university syl Strauss in the pages of

indignation
of the

these books
nor

counsels us

to react to such incantations

recognition

with neither

dismissive laughter: "The

race

by

philosophy

fact that the

philosophy

human

is worthy

of some seriousness

is the

origin of political

science"

or political

(p. 126). (Emphasis

added

and, it is to be

hoped, balance

observed.)

The De Gaulle Story. William Faulkner. Volume III

of

Faulkner: A Compre

hensive Guide to

the

Brodsky

Collection. Edited

by

Louis Daniel

Brodsky

and

Robert W. Hamblin. (Jackson:

University

Press

of

Mississippi, 1984.) 400 pp.,

$35.00 (cloth), $14.95 (paper).

Will Morrisey

In Hollywood, William Faulkner wrote a screenplay about Charles De Gaulle. A surprising nexus: the General can be located plausibly in neither Yoknapatawpha nor Los Angeles County. Nor, in a way, can Faulkner. Yoknapatawpha is the fictional version of Lafayette County, Mississippi, where
Faulkner lived among but not with "all my including the borrowers and frank
bum."

relations
who

spongers,"

fellow townsmen, "all prophesied I'd never be

and

more

than a

(A

modem

novelist,

they

might

have replied, is

still

worse.)

As for 1940s Hollywood, self-fictionalizing, its citizenry had suspicions, too. steno pool recalled, "We heard that he was The head of Warner
Brothers'

coming. and

When

we saw
we

this little man, quiet and grey, who was sweet and kind
talentV"

soft-spoken,

said, 'This is

(Unless

otherwise

indicated,

all

Faulkner

anecdotes are

But
with

some of

from Blotner.) these appearances deceive.

part of

History

and culture

do bind France
claimed

Faulkner's
what

the American South. In

1682, La Salle

for

became Mississippi, and Lafayette County's name commemorates the French marquis better known to Americans than to the French. By 1817,

France

when

Mississippi

entered

the

Union, Southerners already

enjoyed considerable of

admired

the che

valiers of the

Middle Ages;

such novels as

Walter Scott's Quentin Durward, popularity there.

Gothi-

which appeared

five

years

later,

cism entails a nostalgic natural and win

defiance

modernity, yielding, among other things,

imitation

aristocrats who

lack the

material and technical power

to

as

they courageously fight. Edgar Allan Poe, the parodist from Virginia, understood Gothicism as well did any American. His sardonic aestheticism (Gothicism's anti-matter) antic
the
wars
reaction

ipated Baudelaire's independent

patiently The fascination
went well

by

two decades. ("Do you know why

resembled

so

translated Poe
with

[beginning
pour

in 1846]? Because he

me") these

with

death; l'art defeat, both its

(at
age

l'art;

the mockery of heroes

and

all

anticipation new

its aftermath, in the South

of

(1865)
French
of this

and

in France (1871). A
decadents

generation

British

poets

tasted the

concoction

25 Swinburne
of

reviewed

Les Fleurs du Mai in The

Spectator) before

both

countries came

into

vogue at

the

beginning
1897)

century among literary drank deep. Hugh Kenner locates him precisely; "Faulkner's

American Southerners. Faulkner (bom

miscalled Missis-

interpretation,

Spring 1990,

Vol. 17, No. 3

470
sippi

Interpretation

estheticis

Gothic is

should add

nearly ironist that only

more

Mississippi

(Kenner,
its
rival. who

p.

196). One

aesthetes reacted

to the straight-faced aesthetic of

Gothicism,
sider

so their project makes

cross-fertilization.

little

sense without

Aesthetes
prefer

con

this

Others (for example, those from line

to win

wars)

might consider

it

cross-sterilization.

Mule-stubbom Bill Faulkner

came

a prolific

of

businessmen,

poli

aesthetiticians, and drunkards. Drunkenness, predating both Gothicism and cism as a means of escape, of course does not exclude those latter-day strate

gies; as Faulkner's biographer ruefully

were

jokes, many

of the prominent
nor

decadents
heri
and

alcoholics,

and

Faulkner
an

rejected neither

his familial

his

artistic

tage in this regard.

As
his

escape-method,

lying

predates even a

dmnkenness,

Faulkner
people

could combine

those,
and

as

well.

anything,"

wife

noted).

few drinks, he would tell While there may be some tmth in wine,
("After

there aren't many

facts

besides, Faulkner drank bourbon. Toward his

facts,

life's end, he amiably told undergraduates, "I don't have much patience with and any writer is a congenital liar to begin with or he wouldn't take up
writing."

He

called the people on

in

one of

his

novels

"thus I improved

God,

who, dramatic though He

partly real, partly fictional; be, has no sense, no

and

feeling, for
This
suited

theatre."

proud

theatricality

of

history,

of

culture,

of character

better

Faulkner to Hollywood, and Hollywood to Faulkner, than either cared to admit. He first worked there in 1932, for MGM, where Irving Thalberg col lected
plays and

literary

reputations.

For the

next thirteen years

Faulkner

wrote screen

in Hollywood

and novels

in Mississippi. The

movie work supported

him

which eighteen were produced.

his family. He did it conscientiously, working on 48 film projects, of At the not-rare times Hollywood began to wear,
take sick

he

would

leave

and

dose himself

with

Old Grand Dad.

Pearl Harbor,
aside.

Faulkner

came to work

for Warner Brothers

after the attack on

his

attempts

to enlist in the Air Force and the

was war

Navy
his

politely turned
studio at

Hollywood too

duty. Jack Warner

placed

the service of
House,"

his friend, President Roosevelt. ("I virtually commuted Warner recalled. "Court jester I was, and proud of it.
. .

to the White

") Roosevelt

wanted,

Warner ordered, a movie dramatizing General Charles De Gaulle, exiled in London since June 1940 when he became the only member of the French cabi net to publicly oppose the armistice with Nazi Germany.
and

De Gaulle interested lippe Barres. "This

after
man

Faulkner,
bore
with

who read

the early

biography

done

by

Phi

epoch,"

none of the marks of our

Barres

wrote

his first interview

the General.

"There

was

something

elemental

which gave

him force, the

unusually

peasant."

expression of a soldier and a

a sort of virtuous no

De Gaulle
He

was a pre-decadence

Frenchman,
realistic even

Southerner, if

you will.

was

also

an

fetched his

nostalgia

from

imagining

the "inner tmth and

greatness"

Gothicist. Unlike Heidegger, who one, farther back in history than Gothicists did, of Nazism to inhere in an

anti-techno-

Book Reviews
logical vision, De Gaulle
and supposed after

47 1

saw

Hitler's
for
use.

massive arsenal of

tanks and airplanes to the French

a
mechanical

they

were meant

In his first

radio speech

arriving in
world

London, De Gaulle
in the future De Gaulle

said, "Crushed

today by

force,
of

we can vanquish
there."

by

a superior mechanical

force. The future

appreciating

the

is

partook of classical virtue while

the

power

of modernity; this tension defined his life. As one brought up on

stories of who

Southern

chivalrists

defeated

by

Yankee

materiel

one, moreover,
vulgar

invented

stories of aristocratic

Sartorises retreating before the

two foci.

tribe

of

Snopes He
gave

Faulkner surely "The De Gaulle

saw some of this.

Story"

One

was

De Gaulle himself, the

other a pair of

fictional brothers, Georges and Jean. Faulkner explained that Georges "represents the French individual as De Gaulle represents the abstract

idea

of

Free

France."

Georges

possesses

"all the French

virtues,"

middle-class

especially
which

patriotism and

humaneness. Although the bourgeoisie is "that

which

class

by

tradition is
also

democratic,
other
worker

is the backbone
individuals"

democracy,"

of a

any
peasant,
France."

Faulkner
a music

included

"representative
enough

priest,

teacher, a Home on leave

factory during the

to symbolize "all

marry the daughter of acrimonious debate with his future father-in-law concerning the utility Maginot Line. Colonel De Gaulle, commander of the tank school

days before the Nazi blitzkrieg, Georges plans to the village mayor. The young man's spiritedness leads to
of

the

where

Georges trained,
The
mayor

wrote

book {Vers I'armee de metier,

the indispensable

1934) advocating
to

mechanized counteroffensive as

complement

fortification.

dismisses
and

Georges'

Gaullist

criticisms of

dent subversion,

temporarily

cancels

French strategy as impu the wedding. Faulkner cannot resist

second argument
with

contriving a messenger to interrupt their Nazi invasion of Holland.

The
real statesman at

news of

the

in the

village

is

not

the mayor but the priest. Faulkner

delivering a sermon with the tantalizing first line, "In and "the the beginning was the Omitting such phrases as "God gives the sentence a decidedly secular tone; while the priest does go and attrib on to deplore the blessing of guns "in the name of ultimate
introduces him
church,
earth."

created"

heavens"

peace,"

utes

this

sacrilege

to the

fact that "We have deposed

Him,"

he

concludes with

an appeal to

French

patriotism.

Later,

after

Georges kills
all

Nazi soldier, the

and

priest counsels where all

him to is

seek absolution

"where
of

Frenchmen must,

find it

Frenchmen
priest a

will:

in the

France."

freeing
so

De Gaulle's statesmanship is a priesthood. Faulkner shows De Gaulle urging the last cabinet of the Third Republic to resist Nazi tyranny, then welcoming the first Free French recruits in the name of

As the

statesman,

liberty. As he better

reviews

his troops,

we

hear that the

name

"De

Gaulle"

does

Later, a soldier who dead in France; "it raises the De Gaulle; we are to back comes France to return to heeded a Vichyite's life. De Gaulle's to returned has given to understand that a politically dead man
than raise the
appeal

living."

472
final

Interpretation
speech

in the screenplay
to be

predicts

the liberation of the

French from "the

and

France."

enemies of

Faulkner's De Gaulle is prophet, priest,

free."

"Chief

of all

Frenchmen
also one of

who want

Political

salvation

is Faulkner's theme. It

was

De Gaulle's themes in his Memoires de guerre,

whose third volume

is titled Le Salut.
De Gaulle himself disappears
almost

half,

as

French in the

salvation requires

entirely in the screenplay's second that Gaullist spirit animate the French. We
older

Georges'

see this

conversion of with

brother, Jean,
limited way,

navy
after

officer who

begins

by

collaborating

the

Nazis, in

out of

fidelity
he

to the

military

command stmcture.

Jean

finally

aids the

Resistants

sees

their

martyrs'

courage; one

of

them saves Jean's life

"savefs] his
substitutes

soul,"

as one

Resistant says, Nazi jail

by

before sacrificing his own. Jean as it were becoming Georges; he De Gaulle

and a

himself for his brother (now

a

a confidant of

key

man

in the Underground) in
the city,

cell.

One

might

France,

requires

both

an

Abel

who resists

say that the refounding of and a Cain who sacrifices

himself.
Returned to his village, Georges
needs one more act of

charity to

complete
Georges'

his

physical salvation.

The

priest ships

him

out

in

coffin, enabling

later

resurrection.

The Nazis

expose

the priest, murdering him after he spits in

traditional pieties about

one of other

their

faces

a gesture

disregarding
the

turning
Cain

the
and

cheek.

Having

metamorphosed

Old Testament story

of

Abel, Faulkner
In the
wife

metamorphoses

screenplay's penultimate
child.

has borne their

order

story of Jesus and Lazarus. Georges hears the good news that his scene, marriage during The priest had insisted on
Georges'

the New Testament

the war, in

to

moderate

his

spiritedness

make

him

serve

life,

risk it. The birth demonstrates the

self would arrange a wartime

priest's posthumous success.

marriage

not merely Faulkner him and

union or

between statesmanship

Christianity. In his final

scene

he

shows

the Resistants setting

fires

all across

France, lighting

the way for Allied bombers. The Christian

imagery

of an ob

scure childbirth thus anticipates the

Christian

imagery

of apocalypse.

The

com

ing

coming of Warner Brothers never

and second

a savior are

produced

clearly indicated. "The De Gaulle

Story."

Editors

Brodsky

Hamblin, following Joseph Blotner, propose several reasons: De Gaulle quarreled with Churchill, whose "attitudes were communicated to
and
Roosevelt,"

who communicated

them to
of

Warner,

who cancelled the

project;

producer

Ro

bert Buckner despaired

representatives

finding

an actor

to play De

in the U.S.

criticized the script; another

Gaulle; Fighting film, "Mission to Mos

France

cow",

received

higher

priority.

Roosevelt's

apparent veto must

have decided the

matter.

hardly

needed with

Churchill to

make

him distrust De Gaulle. Churchill

Of course, FDR more or less

kept faith
evelt and

Vichy

the French from the beginning to the end of the war. But Roos his State Department quickly turned away, preferring to deal with and a series of dubious pretenders. In November of 1943, when Faulk-

Book Reviews
ner's work

473

was

halted,

the

cluded

from the

operation at

Allies invaded North Africa; De Gaulle Roosevelt's insistence, over Churchill's

In October he
wrote an

was ex
cautious eloquent

objections.

De Gaulle had

anticipated this.

letter to Roosevelt, warning that "If France, when liberated by the victory of the democracies, looks upon herself as a defeated nation, it is to be feared that her bitterness, her

humiliation, her divisions, far from orienting her

other
replied.

toward the
which

democracies,
ones"

will

(Viorst,

p.

drive her to submitting to 105-06). Roosevelt never letter

influences. You know

Neither he
nor

the

State

Department
nism.

personnel who read the

worried much about postwar

Commu

The film "Mission to

extends
warm

Moscow"

confirms this.

In his memoirs, Jack Warner

wartime efforts.

self-congratulations on

his

studio's

"We had

taken on

Hitler, Mussolini, Hirohito, Tojo, and the rest of the totalitarian mob in one gutty picture after Unfortunately, there was more than one totalitarian mob in those days, as Brodsky and Hamblin observe:
another."

Ostensibly

documentary
to

based

on

[Joseph

E.] Davies's

experiences

in Russia in
with

1936-38, Mission
Information,
acceptable

Moscow

was

designed

by

Davies

and

Warner Brothers,
and the

the encouragement and

to sell the

full

support of

President Roosevelt

Office

of

War

American

public on the

idea that Joseph Stalin

would

be

an

ally in the

struggle against

Adolf Hitler. To

accomplish this purpose,

however, the makers of the film played fast and loose with important historical facts, most notably by justifying both the Soviet purge trials of the 1930s and the
Soviet invasion
of

Finland in 1941

as appropriate and

threat of Nazism.
shown

Judging by

Stalin's

willingness to allow

necessary responses to the Mission to Moscow to be

in the Soviet Union, the film apparently

or not

succeeded.

Whether

film

history

Moscow actually displaced "De does parallel diplomatic history, here.

Gaulle"

at

Warner
Gaulle,"

Brothers,
"What
a

Buckner

exclaimed of the character

De Gaulle in "De
would not

problem!"

casting Buckner did

show

Tme

enough:

Claude Rains

suffice,

although

making De Gaulle an invisible man in the film ("Why De Gaulle? Why not just talk about him?"). The French questioned De
suggest
role

Gaulle's
of the

in

another way: name

Faulkner had

made

it

too small to
and

justify

the

use

General's do

in the title. However trivial

Story."

contradictory, these

objections

suggest

is the

central problem

that, somehow, Faulkner's with "The De Gaulle

characterization of

De Gaulle

The fault is

simple and

fundamental. Faulkner's democratic

account

conception of

for De Gaulle. De Gaulle

must

statesmanship cannot quite disappear from the film, given this

conception.

One Resistant has

a speech on

the

subject:

All [the Nazis] have to threaten us with is death. And little people are not afraid to die. The little people, and the very great. Because there is something of the little people in the very great: as if all the little people who had been trodden and

474

Interpretation
had
condensed

crushed

into

one great one who

knew

and remembered all

their

suffering.

After enduring too many French criticisms of his work, Faulkner wrote to Buckner, "Let's dispense with General De Gaulle as a living character in the imprimatur. and thus rid Warner Brothers of the need for the
Gaullists'
story,"

Any

historical

hero,

angel or

villain,

is

no more

than the

figurehead

of

his time. He

is only the
raised,

sum of

enslaved

his acts, only the or made free.

sum of the

little

people whom

he

slew or

"historical"

One
to

should note that

Faulkner's
whom

assessment of

heroes did

not

apply
of

artists.

His daughter,

he cherished,
me,"

once

tried to talk

him

out

starting

drinking

bout. "Think

of

she pleaded

(he usually

could

be de

pended upon

to do so). Faulkner

was still sober

enough,

and perhaps

just drunk

enough, to deliver an
children."

unanswerable reply:

"Nobody

remembers

Shakespeare's

Although
artist must,

a statesman

likely

takes

popular opinion more

time,"

De Gaulle

exceeded

"his

the sum

of

"the

people."

seriously than an Faulkner

saw materials carried

testifying
he's too
a

to that. Barres recalls, "I left General De

cold to produce coldness of

Gaulle,

not

away had just seen

that impression

but

convinced

that I

man."

The

De Gaulle's It
a

manliness suggests some

thing
In

more than spiritedness

in his

soul.

suggests moderation and pmdence.

Barres'

time geopolitics.

best chapter, De Gaulle gives Speaking in November

concise, masterly

overview of war

of

1940, De Gaulle
us."

tells Barres that

Hitler "knows perfectly well the war he has unleashed is a world war and that it Hitler also knows "it is the can end only in a total victory for him, for United States
which and

holds the balance

power."

of

Hitler's designs

on

Africa Axis

thus aim at South

Central America. With the Panama Canal

could not

closed

by

troops, and Pacific oceans; German and Japanese forces then would bring a devastating two-front war to North America. "This war is a stmggle for strategic
ships

the United

States

quickly transfer

between the Atlantic

bases,"

De Gaulle
trained

concluded.

Barres

adds

that "the

democracies,
and

governed

by

un

masses and of

by

rather shortsighted

businessmen

politicians, have the cynical

Germany."

been incapable
ambition of the
of

comprehending the fantastic breadth

of ruthless men who govern

of view and

group De Gaulle's contemporary speeches sound the same themes. Given these sources, Faulkner should have appreciated the
comprehend the
totalitarian'

totalitarian

Many

statesman's ca not.

pacity to both

s comprehension.

Faulkner did

He

therefore could not assume the statesmanlike artist's responsibility to

comprehensions.

present

Faulkner's

mind

did

not calculate

enrolled

in

a college math course as an antidote to

fuzzy

efficiently (he once thinking, but quickly

But
great

dropped One

out).

calculators

He knew petty were beyond him.

regrets this

calculators

Snopeses

well enough.

doubly

because "The De Gaulle

Story"

remains a

brilliant

Book Reviews
screenplay, reflecting the remarkable specimen of

475
it.

human

nature who wrote

Like

so

many drunks, Southerners,

with

and
with

Frenchmen, Faulkner

combined senti

mentality

cynicism, orotundity

debunking
but

wit.

But Faulkner
a gale.

also

had

a strength of character that

bent in the

wind

never

broke in

When his

firstborn daughter died in infancy,

crash, Faulkner did what needed
major comic

his young brother died in an airplane doing, without bourbon. He could endure
when

adversities, too
event

staying
of

sober at

his

second

dispiriting
he

in the life

any

man.

And

on public

daughter's wedding, matters, in his last ten

the

years

said things worth

heeding

about

Americans

and our relations with perspective of a

Soviet Union, criticizing his strength that had nothing to do

of mined

countrymen
with

from the

moral

moralism.1

Gothicism, the romance of mined Christianity, Satanism, provoked the literary

it
new,"

and

decadence,
(we
need a

the romance

'modernists'

better word)
or a

to "make

to rebuild or the extent to

which

rediscover

the foundations of

human life. The

question of

this enterprise requires a

builder's

ingenuity
Not

discoverer's But

intelligence, is

a question

familiar to

careful students of politics. one

not one of

the English speaking

"modernists'

succeeded politically.

adequately integrated politics into his recreation or imitation of the world. None of them got far enough beyond the Gothic and decadent denigration of politics. This denigration
As he
grew
went with

the

denigration

of pmdence.

older, Faulkner may have life for himself: I'd

want

glimpsed this.

He

envisioned another

to come back
never

buzzard.

Nothing

hates him
and

or envies

him

or wants

him

or

needs

him. He is

bothered

or

in danger,
toward

he

can eat anything.

The

sharp-eyed

buzzard, unblinking
and who

death,

who

both

rises

to an over
either more

view and

descends to the particulars,

who excites
work

little

comment a

in

Mis
than

sissippi or

California,
a more

doesn't

hard for
was on

living

he,

the

dog, is the
only

philosophic animal.

Faulkner

to something, there. He

needed

calculating

mind to realize

it.

NOTES

1
of

After

some

West Point

cadets were expelled

for cheating, Faulkner said,

Americans

"They

are victims

that

whole generation of

their

fathers, teachers,

governors, who promulgated and put on public

as

record the postulate of national

fear

of our national character: that

individuals

or

in

the

mass are

incapable

of

independence,

courage, endurance, sacrifice; that in time of trouble we

will not

hold together

since our character

is

not

in the brain
made

nor

the entrails; incapable of

independence,

so we

have

charity

a national

in the heart, but in the appetites, institution; incapable of

decision
action

and

discipline

and

government, so we have transferred control of the individual's slightest

that the Russia

into federal bureaus.

a

He declined
"which

State Department
to

request

to tour the Soviet Union on the

.

grounds
there."

produced

Dostoevsky, Tolstoy, Chekhov, Gogol.

which write

is

no

longer

"If I

who

have has

had freedom
the

all

my life in

truth exactly as I saw

condition which

it,

visited

Russia,

the

fact

of even

outward appearance of

condoning the

the

present

Russian

government

476

Interpretation
be
a

established, would

betrayal,
with

not of page

the giants: nothing

can

harm them, but

that

of

their spiritual the shame

heirs
of

who risk their

lives

every

they

write; and a

lie

in

it

would condone

them who might have been their heirs who have

privilege

lost
In
a

more

than life: who have had their souls

public."

destroyed for the

of

writing in

fittingly

less

lofty

lone, he replied to the

Khruschev's prediction, "We

police

will

bury

you":

"That funeral

will occur about ten minutes after

bury

REFERENCES

Philippe Barres, Charles De Gaulle. Garden

pany, 1941.

City

N. Y.: Doubleday, Doran

and

Com

Joseph Blotner, Faulkner: A Biography, 2

volumes.

New York: Random House, 1974.

Hugh Kenner, A Homemade World: The American Modernist Writers. New York: Wil

liam Morrow
pany, 1965.

and

Company, 1975.
and

Milton Viorst, Hostile Allies: FDR

De Gaulle. New York: Macmillan

and

Com

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