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	&#13;  

Commencement, May 21, 2016
St. John’s College, Santa Fe, NM
“CHANGING THE WORLD”
Eva Brann, Tutor, Annapolis
Parents and Relatives, Fellow Tutors and Mr. President, Board Members and, above all,
Santa Fe Seniors and Graduate Institute students!
Some of you will remember that radiotelephone distress signal of old: “Mayday,
Mayday.” It had, alas, nothing to do with the “merry month of May.” Our seniors, who have all
learned a lot of French, will recognize the call right away: “m’aidez, m’aidez!,” help me, help
me!
All over our continent there are the same weekend events this month: commencements
and graduations. Those organizers who think of this day as a beginning for you, as launching you
into a new, the so-called real world, will have the printer put “Commencement” on the program.
Others will interpret this ceremony as the entering into a higher kind of being, by the bestowal of
the degree (gradus in Latin) of a Bachelor of Arts, in fact, of the Liberal Arts, and for them it
will be a graduation.
For us, your tutors, this day also has two aspects. Yesterday we were to each other, by the
custom of our college, Mr. or Ms. From today and forever after, you will be to us Joan or John,
and eventually we too will be given our first name. (To be sure, I’m in fond communication with
certain alumni of my first graduating class, that of 1961, who cannot bring themselves, silverhaired though we’ve grown together, to call me Eva. —Well, we’re working on it.) This first
moment, this transmutation from the style of cooperative respect between tutor and student to the
affectionate familiarity of mutual friendship, is always poignant to me, and I think also to the
alumni in their first hour.

�2	&#13;  
	&#13;  

For the tutors, too, there is a beginning—the beginning of an absence. Last week in
Annapolis, the seniors I’d been with in seminar commenced not being on campus—gone off into
the world. I went there on Sunday to meet a fellow tutor, and we confessed to each other a sweet
nostalgia—“nostalgia” because those quondam-seniors were still such vivid ghosts, “sweet”
because it is the way of our college that we don’t become estranged from each other through the
phases of our lives. Be you known to us as undeflectable paragons of virtue or as irremediable
scamps—when we see each other again, we’ll be, so to speak, on the same page right away,
some page of those great books we’ve read together, in the midst of that lifelong, uninterruptible
conversation we began here. And the truth is that our post-graduate friendships don’t much
depend on actually having known each other. Sad to say, I know very few of you, but who
doubts that we can be in the middle of satisfyingly significant talk within minutes of having met,
not least because Annapolis and Santa Fe are—what a miracle!—Siamese twins living twothousand miles apart.
But back to the mayday distress call. All over the country, speakers who accepted the
invitation to talk to you on this last and first day, feeling as touched and honored by it as I was,
soon began to agonize (somewhat as, to compare small matters with large, seniors do about the
choice of their senior essay topic) about a fit subject for this great moment—one that alumniabout-to-be, the chief addressees, will find congenial and that our honored guests can listen in on
with interest—the parents or grandparents or aunts and uncles who made all this possible and the
brothers and sisters and childhood friends who put up with it all.—I won’t specify what there
was to put up with, but I can imagine. So we call for aid on whatever power will come. As for
me, I remembered a recent conversation, actually with one of our graduate students. I’ll
transcribe it from my memory, abbreviated.

�3	&#13;  
	&#13;  

Student: “How will my St. John’s education help me to do what I want?” Me: “And
what’s that?” Student: “I want to change the world.” Me: “For the better?” Student looks totally
abashed; I’m a bit abashed as well, for being a smart-aleck. But he took it well, and the ensuing
conversation was illuminating to both of us. At this point I want to assure you that at a thousand
schools this May speakers will be alluding to this conversation. They will bid the graduates “Go
forth and change the world,” or alternatively, “Go forth and make a difference.”
I say, let us have a little last-moment language tutorial. Let us, Johnnie-fashion, analyze
the sentence “I want to change the world.” But no, it’s not a real class conversation because in a
St. John’s class you and your tutors were committed to making the best possible sense of what
the people around the table and the books on the table were saying. But I, in all candor, will try
to show that “I want to make a difference, I want to change the world” aren’t very sensible
sentences. So here goes.
This announcement has three parts: first, I want; second, to change; third, the world. So,
first, “I want.” “I want” is about me, and if what I want is to be a “difference-maker,” it’s about
my self-satisfaction. Recall yourselves as Juniors, when you struggled with Kant on morality. No
one expected you to get it all. (In fact, there are some books we ask you to read largely so that
you can reread them later in life, on the logical hypothesis that you just can’t read them for the
second time unless you’ve read them for a first time.) As regards Kant, this much may have
stuck: He thinks that doing right is not doing what you want but what you ought, and that, in fact,
the only proof of your doing as you ought is that it hurts some, that your mere wanting is
thwarted. So when it’s the world I’m planning to change, maybe “I want” should yield a little to
“I should.”

�4	&#13;  
	&#13;  

Second, “change.” Why exactly “change”? There are many others modes of action
besides this current mantra. There’s protecting and maintaining, activating and fulfilling,
restoring and reviewing. Talk of mere change is just terminally vague babble—vague promise
and vague threat. Its antidote is specific thinking expressed in adequate language. That very
requirement, thoughtfulness and its articulation, was an explicit aim of the Program, to which
you devoted the last four years.
Third comes “the world.” It’s a big space in which to thrash about. In choosing it as the
venue of my action, I’ve pretty much committed myself to the silliest of all maxims of action—
another current mantra. It goes: Only if x happens, can y occur. Filling in the most common
variables for this formula: “Only if the world changes radically, can little kids learn to love
reading,” in other words, never—guaranteed. The implied lesson is: Forget about “the world”—
stay local and avoid stymieing preconditions.
And now the usually missing fourth part to the saying “I want to change the world,”
namely, “for the better.” Your four years with us were, I think, above all intended to give you a
head start in answering for yourself the most crucial of human questions: What is good? For
making anything better without a view of good seems to me just groping in the murk of
possibility.
So, you’ll recognize two of the ways that the Program and the College were meant to
help you with making the here better now. One was that we, students and tutors together, read
remarkable books by unusually gifted authors, books that offered us various, often contrary
models of the good life and its conditions. You may often have thought that our, the tutors’,
intention was to throw you into a permanent muddle. But, of course, the opposite was our hope:
It was that you would find in your reading the elements of your own firm view of what is good

�5	&#13;  
	&#13;  

universally and therefore what is better in particular. This crystallization is surely still in process
for many of you. But my experience of six decades of alumni tells me that it does happen,
perhaps over the next score of years. Much more will go into it than what you learned here, but
that learning will, so alumni often say, be the informing reference of your experience. That
ability to specify the universal is the second of the two ways our Program readied you for great
deeds.
Now, in the spirit of that specificity, I owe you an example of what I think of as actual
action, local in worldly coordinates but grand in human scope.
Most of you will, I’d guess, work in an office at some point. Proper offices have watercoolers, Xerox-rooms, galleys with hot-plates. People spend as much time there as they dare. So
post a note: “Would you be interested in reading some poetry together during lunch hour? I
propose Wallace Stevens’ ‘Sunday Morning.’ Copies are on the counter. Let’s meet next
Wednesday in Room 666. Bring your lunch, I’ll bring cookies. Expertise inessential. Signed…”
If no one turns up, which is unlikely, keep trying. Something will come to pass. Incidentally,
don’t you eat yourself all the cookies (which are essential).
Before I finish and let our seniors receive their degrees, I need to say that what I’ve done
here isn’t quite right: I’ve told you what’s what and you’ve sat silent, except perhaps for an
occasional guffaw. All my points were left unquestioned—deep metaphysical maxims such as
cookies being essential to meetings and expertise inessential to poetry, and large practical claims,
such as local happenings having more actuality than global commotions—Don’t let it happen to
you very often, though these occasional one-way ritual performances are also necessary to
human life.

�6	&#13;  
	&#13;  

So then: I wish you a life of genuine action and of actual happening, a life of as much
happiness as you know what to do with—and a bit more. Go forth, find a place you can love, and
help to make it “what it was always meant to be.”* Go forth and change the world—for the
better.
Thank you.

	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;   	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  	&#13;  
*

	&#13;  To ti en einai, “essence.” Aristotle, Metaphysics. (I bet that no other graduation speech in this country sported a
footnote, least of all to Aristotle.)

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                    <text>THE STUDENT'S PROBLEM

LECTURE ON THE LIBERAL ARTS

Eva Brann

Collegian Supplement,

~tober

1967

�St. John's College is a small liberal arts school, co-educational
and non-sectarian, with campuses in Annapolis, Maryland and
Santa Fe, New Mexico.

Editors. . . . . • . • . . . . . . . • . . . . .George and Meredith Anthony
Associate Editor . . . . . . . . . . . . . . . . • • • . • • .Richard Sohmer
Assistant Editors. . . • . . • . . . • . . . . . . . . . . . • Steve Forman
Masha Zager
F&lt;1.culty Advisor . . • . . . . • . . . . • . . . • . . . • . . . . . • Eva Brann
Cover Design . • . . . . . . . . . . . . . • . . . •.•.. Gabrielle Bershen
St. John's College
Annapolis, Maryland

�The Student's Problem
Lecture on the Liberal Arts, given at St. John's College in
Annapolis on Friday night, September 22, 1967
Eva Brann, Tutor
Fellow members of the Community of Learning,
There is a sickness, traditionally called melancholy, which
is particularly at home in communities of learning such as ours.
Its visible form can be seen in the engraving by Duerer called
Melencolia Prima. Amidst the signs and symbols of the liberal
-arts, especially geometry, sits heavily a winged woman. Her
eyes are fixed intently on visions of nothing - she is a figure of
"careless desolation" surrounded by unvalued riches. Almost all
the older members of this - and any - community of learning, be
they teachers or students, are well acquainted with her. So will
you be, who are fresh to our enterprise, the later the more devastatingly. However, not only we, but students throughout this
country, over a quarter of whose citizens are now entering schools,
are subject to this malady which has, in fact, in this very decade
reached epidemic proportions. It therefore seems right to take
account of it publicly, the more so since its cause is a peculiar
version of a fundamental human problem which is just now beginning
to cause this nation what will turn out to be, I think, its most
characteristic agony. It is the problem of poverty amidst riches.
I shall try to talk about its intellectual aspect not in those facile
current terms which can do little but give the victims the bleak
satisfaction of having a disease at once choice and popular. I shall
not mention either "identity crises" or "alienation, " nor shall I
talk of "middle class values, " rejected or otherwise, and "trends
in society, "rapidly increasing or the opposite. Instead I shall begin by referring to a book which is a compendium of the traditional
wisdom concerning the nature of human unhappiness, written when
the human soul had not yet become a "field" for experts. In the
beginning of the seventeenth century an English scholar, Robert
Burton, wrote for his own relief and for the comfort of his friends
a book called The Anatomy of Melancholy, in which everyone may
find his particular misery acknowledged as a human condition.
Burton makes a distinction between chronic suffering, a true
disease of spirit, and the occasional type, of which he says simply
that "melancholy in this sense is the character of mortality." I
-3-

�think that by the "character -of mortality" he means the knowledge,
implied in every feeling that has any urgency about it, that the time
of our life is finite. Melancholy, however peculiar and complex it
may be, is essentially the sometimes paralyzing and sometimes
frenzying dread of "missing out, " which comes to those who have
had tantalizing intimations of earthly happiness. It is the stronger
the more remote death is, and so strongest in the young, for in
them every day demands the renunciation of a hundred possible
futures for the choice of one actual life, and the very riches of this
indeterminacy may stymie the energies and induce listlessness and
restless sloth. Consequently the opposite of melancholy is riches
in poverty, a serene ardour of the sort perfectly described in a
: Buddist song of which the translation is as follows (I have, of
course, no idea what the original really says):
Well -roofed and pleasant is my little hut,
And screened from winds:- Rain at thy will, thou god!
My heart is well composed, my heart is free,
- And ardent is my mood. Now rain, god! rain.
· Melancholy is, then, a human sickness attendant ort the in · vestrhertt and expenditure of living time. That this is the case is
shown by the kind of reliefthat that part of the youth of this country
is indulging in which negotiates its future for an instant bliss and
sells its hopes for a high moment, as the slogan goes, "right now."
Their prototype is Dr . Faustus, the melancholy scholar who buys
"experiences" of the devil at the expense of all time to come; there
is,. in fact, a very perceptive novel of student life by John Hersey,
called Too Far to Walk, which exploits this very legend of the
melancholy doctor in modern dress.
This then is the sickness which particularly afflicts students,
and I shall now inquire why this is so. Our freshmen will soon
lea.rn that the English word "school" is derived from the Greek
word ''schole" which means "leisure." A student at school is a
· person of leisure, a human being with an abnormal wealth of time
free from business, left free to confront the acknowledged riches
-of the spirit. And yet he often finds his appetite inept to this food,
so that he who must have come because he wanted the life of study
as a whole, cannot bring himself to study this or that assignment
and spends his time in the frame of mind of which Paul says: "For
what I would that do I not; but what I hate, that do I." Why does
this happen?

-4-

�There are certain reasons for student discontent which I
shall not consider much since they do not seem to me to go to the
heart of the matter. One has to do with the restrictions and con formities demanded by the school as a semi-public institution. A
college is a civil association grounded in the body politic and en tirely dependent on it for its survival. Its members, in joining
this association, have in fact agreed to conform to the laws of the
land. There remains, however, the vexed and vastly exaggerated
question of conforming to its conventions. Here a subtle argument
applies, and a student's appreciation of it is the measure of his
understanding of the nature of a liberal education. For as I shall
try to show later, a proper school harbours within itself such
depths of true dissent and such abysses of true radicality, that an
unobtrusive cloak of ordinary behavior is essential to its internal
and external survival. Those who are considering growing long
beards and sporting bare feet are, though they may not know it,
supported even by classical Western authority, for the last great
pagan, the Emperor Julian, showed in his essay called the "Beardhater" that it is a sign of Christian impiousness to despise beards,
which are, even when thickets of lice, the philosopher's attribute.
And who has read Plato's Symposium and does not know that bare
feet are the very marks of the demon Love himself? But it is precisely because he appreciates the significance of such external
signs that a serious person can afford to avoid them until he is
sure that he knows what he is doing and to whom - to call such
deliberate conformity hypocrisy is extremely simple-minded.
Much restlessness also arises from the fact that students,
who are in these years by the plan of nature at the peak of their
sexual desires, are required by serious schools to observe the
rites of celibacy. In this, more than in any other respect, the
rules of school - life are no mere conventions, for whoever knows
anything about the life of learning will not entertain the frivolous
notion that it ought to be a very natural or satisfied life, but will
understand that it requires a certain tension of soul and body and a
certain reserve of deferred desire. µi the Symposium Aristophanes,
whose business as a comedian it is to pursue the logic of ordinary
and natural human behavior to its absurd end, gives a picture of
constantly fulfilled desire as a frontless, faceless "two-backed
beast" within which the mediating distance through which Eros
needs to move has been closed, with the result that love and its
attendant learning are at an end. And indeed, most of us have felt
a certain loss of ardour in ageneration which feels free to proceed

-5-

�immediately to that end.
Such then are what appear to me false irritants. There is,
of course, also a genuine reason for the universal student disgust,
and this has no cure but revolution - just such a revolution, I be lieve, as took place when the present program was instituted at
this school over a generation ago. * Let me describe, justly, I
hope, what seems to me the position which must be overthrown,
the position of the vast majority of those engaged in the vast busi ness of higher education.
They consider that there are at hand ready made bodies of
information and disciplines which constitute the heritage of human
learning. These must be made available to the student, who may,
however, be expected to choose among them and who is therefore
expected to desire to learn the ones he elects. Moreover, a certain
randomness or freedom is granted in the manner in which the subject is to be absorbed, and some resistance to the mental food is
not only expected but is actually considered healthy. Incentives
such as marks are certainly used, but it is recognized that the best
feeders ingest because they are hungry. The finest of the teachers
under this view of learning are usually those who have themselves
become in turn absorbed in their subject and are contributing.to its
advancement. The institution of learning which corresponds to this
·'view is a vast clearing-house for the private predilections of people
who are, to be sure, usually very much in earnest. This storehouse of specialist knowledge is the university, with its two major
divisions of the sciences and the humanities and its combination
of freedom of choice and formalization of presentation. The activity carried on there is diverse and stimulating, and yet efficiently
organized, as Kant already observed, like a factory, on the
principle of division of labor. It is in the nature of the set-up that
the latest, the most effective and the most highly technical and
theoretically elegant field is found most captivating by bright and
. fresh students, and that the universities should become the breeding grounds of sophisticated theories and techniques.

~

*The program of St. John's College requires every student
to· pursue the elements of the linguistic as well as the mathematical
arts; and to consider seriously certain books belonging to the reflective tradition.

-6-

�Now why is it that this veritable smorgasbord of learning is
more often than not stale and tasteless for its students? It is, I
think, because this view of learning regards everything whichis
not the latest technique as rriere history, somehow fascinating to
those who happen to be curious and fond of sight-seeing, but not
inevitably interesting to all who are human: "For to converse with
those of other centuries is almost the same thing as totravel,"
says Descartes in the Discourse. The effect of engaging in such
historical, or "objective", investigations of other people's affairs
and opinions can be deadly. Let me read you what the most prophetic critic of our contemporary life, Nietzsche, wrote about the
universities of 1873:
. . . The young man is kicked through all the centuries;
boys who know nothing of war, diplomacy, or commerce
are considered fit to be introduced to political history. We
moderns also run through art galleries and hear concerts
in the same way as the youngman runs through history. We
can feel that one thing sounds different from another, and
pronounce on the different "effects." And the power of
gradually losing all feelings of strangeness or astonishment,
and finally being pleased at anything, is called the historical
sense or historical culture. The crowd of influences
streaming on the young soul is so great, the clods of barbarism and violence flung at him so strange and overwhelm ing, that an assumed stupidity is his only refuge. Where
there is a subtler and stronger self-consciousness we find
another emotion, too - disgust. The young man has become
homeless: _ he doubts all ideas, all moralities. He knows
"it was different in every age, and what you are does not
matter. " . . . No, such study of history bewilders and
overwhelms. It is not necessary for youth, as the ancients
show, but even in the highest degree dangerous, as the
moderns show. Consider the student of history, the heir of
ennui that appears even in his boyhood. He has the "me thods" for original work, the "correct ideas" and the airs of
the master at his fingers' ends. A little isolated period of
the past is marked out for sacrifice. He cleverly applies
his method and produces something, or rather, in prouder
phrase, "creates" something. ·He becomes a "servant of
truth" and a ruler in the great domain of history. Ifhe was
what they call ripe as a boy, he is now overripe. You only
need shake him and wisdom will rattle down into your lap;
-7-

�but the wisdom is rotten, and every apple has its worm. . .
Thus Nietzsche.
But I shall not linger on this genuine cause of student des pair either, since you at St. John's College are not, I think, confronted with it. If the sin of the universities may be defined as the
perversion of tradition into history and of the liberal arts into
special techniques, then the deeply conservative revolution by which
the program of this college was instituted may be described as a
return to the tradition of learning and the liberal arts. But as ,the
freshman will learn all too soon, this campus too is the scene of
much confusion of the spirit resulting in dreary apathy or danger ous wildness. Whatever the particular circumstances of those afflicted, in some central way our program of study is responsible.
It too occasionally induces melancholy, and that in some of the
most serious students, who sometimes feel a stultifying lack of fit
between their human necessities and the store of learning provided,
to whom the wisdom of the ages sometimes appears as a grotesque
formalization of their vital problems, for whom the course of
study sometimes runs aslant of, or counter to, the course of their
lives. So I shall address myself now to this particular problem
which I recognize as the central legitimate difficulty of the life of
learning: Why are we sometimes unable to accept the riches we
have inherited? I shall do this by investigating what the liberal
arts are and, in connection with this, what is meant by our tradition of learning.
For us it is not so important to know that there are traditionally seven liberal arts as to understand why these are divided
into two groups, the trivium of grammar, rhetoric and logic and
the quadrivium of arithmetic, geometry, music and astronomy.
This division mirrors the double nature of learning, namely that
it is always done through words on the one hand, and that these are
always concerned with learnable objects on the other. The trivium,
the arts of the word, deals with those skills by which thought, that
which is internal to human beings, is brought out, expressed and
made communal, while the quadrivium, the arts, one might say,
of the world, deals with those skills which help us to acquire as
knowledge what is in the world, apart from and outside of our
speech. The first group was sometimes called "exoteric, "suitable
for the uninitiated, since words are that of which all human beings

-8-

�have sufficient natural know ledge to be ready for artful instruction.
Thus grammar, the art of using words correctly is, as Cassiodorus, the sixth century author of a book fundamental for the whole
subsequent liberal arts tradition, says, the principle, source and
foundation of the arts. The second group was, correspondingly,
called "acroamatic," meaning the arts "to be heard," namely by
fewer and more advanced students. This distinction goes back to
Plato's Republic, in which all citizens receive some sort of education in poetry, while only certain chosen C'&gt;nes study precisely those
arts which were later to be known as the quadrivium - arithmetic,
geometry, astronomy, and music, dealing in turn with numbers,
bodies, moving bodies and audible moving bodies, understood as
the intelligible elements which constitute the natural world. I
mention this ancient and medieval distinction because, with acertain shift of meaning and blurring of lines, it still dominates the
schools. The devotees, as we all know, of the literary fields often
think of mathematicians and scientists as practicing black arts
alien to humanity, while the latter think of the former quite simply
as occupied with "trivial" matters.
Now that I have said briefly what liberal arts traditionally
exist, let us take a look at their name itself. The liberal arts are
the "free" or "freeing arts." But isn't the phrase which names
them a contradiction in terms? Listen how John of Salisbury, a
medieval defender of the trivium, defines "art" in his work called
Metalogicon: "Art is a reasonable procedure which, using the
shortcuts proper to it, brings about a facility for achieving the
naturally possible. For in this procedure reason does not promise
to undertake or effect the impossible, but having in view those
things which can be done, it opposes, as it were, to the wasteful
circuitous road of nature a short cut, and brings into being, if I
may put it this way, a faculty for mastering the difficult. For this
reason the Greeks speak of art as 'method,' a 'short way, ' which
avoidi? the extra expenditure of nature and makes straight its winding circuit, so that that which is to be done can be done more di rectly and easily." And Thomas Aquinas says: "Art, then, is a
method, a set course, whose pursuit has become a habit, a second
nature, and whose aim is to do something and to do it efficiently. "
(It goes, of course, without saying that the activities of people
called "artists" at present can be called arts only insofar as these
people are fully in command of their work. But we are, in any
case, not now concerned with the so-called productive or with the
mechanical arts, but with the arts of learning.)

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�Now to be able to do things in this way means to be a train ed expert. The notion of efficient theoretical know-how, acquired
by habit-forming training, by the internalizing of precepts, which
dominates the modern instructional business, derives, therefore,
strange to say, from the traditional liberal arts themselves. The
arts are understood as curriculum subjects, scheduled and insti tutionalized learning programs, or as John of Salisbury himself
calls them: "compendia," sets of precepts governing a range of
particulars. Since the body of such precepts needs to be developed
and perfected by the concerted and continued efforts of the masters
of the arts, arts-learning is always "traditional" in the two senses
of the Latin word "tradere," namely of "handing on" and of "betraying" a heritage. For the accumulation of know-how is on the one
hand passed down, mostly in books, from generation to generation,
and regarded as a valuable inheritance, but on the other hand, insofar as improvements and advancements in learning are made,
each generation is very willing to forget and deny the perch from
which it took off - and obviously, the steeper the flight, the more
vehement the denial. To give an example: for almost two millenia
the great tool of learning which tops off the triviwn, logic, had had
its most authoritative statement in a body of treatises by Aristotle
called traditionally the Organon or "Instrument." At the beginning
of the seventeenth century Francis Bacon published, as part of a
huge plan for the re-organization of human knowledge, a work
significantly and boldly called the "New Organon," in which he
writes: "For after the sciences had been cultivated and handled
diligently, there has risen up some man of bold disposition (he
means Aristotle), and famous for methods and short ways, which
people like, who has in appearance reduced them to an art, while
he has, in fact only spoiled all that the others had done." And that
from a man a good quarter of whose vocabulary is, I would think,
Aristotelian! The point, however, which I mean to make is that
the arts-tradition, characterized by the conception of art as
method, is as much behind the iconoclast as behind the scholastic.
Let us take a very brief and inadequate look at the history
and meaning of this word, "method. " The Greek word m~thodos
means simply "a way to follow" or a "pursuit." In the dialogue
The Republic, Socrates uses the word in just this way. He speaks
of the "pursuit" of mathematical studies which will end in a unified
view of all of these, and then goes on to speak of the "way followed
by dialectic, which alone travels in such a way that it gets rid of
hypotheses and comes to the source itself . . . . " If someone
-10-

�were to translate "the way followed by dialectic" by the words "the
dialectic method" he would be very much misrepresenting Plato's
text, for the way of dialectic, the way of questions and answers
about the nature of things, is, as I shall try to show, fundamentally different from, if not diametrically opposed to, the artful, abbreviated, problem-solving procedure which is signified by the
word for us. Gradually, largely under the influence of medical
writers, who particularly appropriate the word and mean by it a
rationalized technique of treatment clearly communicable to an
apprentice physician, method comes to be a key word with very
nearly its present meaning. An obvious and essential part of this
meaning is that such a technique must be teachable, that is, - there
must be handy, rationally organized compendia of precepts such as
are associated with a program of studies; an art must have "elements," first beginnings through which a student is properly introduced to it. In fact, in time "method" sometimes comes to
mean simply "curricular subject, " any organized public presenta ti on. By the sixteenth century interest in "method" as the pedagogi cal side of arts learning had become rampantly exaggerated. An
outraged scholar (I'urnebe) of the period says: "Method - no word
is more popular in our lectures these days, none more often heard
none give a more delightful ring than that term. . . . " And
Ramus, the prolific rhetorician whom he is attacking and who is the
great proponent of method at this time, says: "But method is used
not only in the matter of arts and curricular subjects but in every
matter which we wish to teach easily and clearly." Our modern
"textbooks" are the consequences of this trend.
In the next century the method of method undergoes one of
those great betrayals of which I have spoken. Having been so far
largely in the service of humanist training, particularly rhetoric
and logic, or, in terms of the liberal arts, in the service of the
trivium, it is freshly appropriated now for the inquiry of nature,
it becomes "scientific," always with the intimation that no previous
method was a true method. The work most characteristic of this
development and most influential in the new understanding of the
meaning of science (although by no means in the actual pursuit of
it) is Descartes introduction to three physico-mathematical
treatises setting out his own discoveries in optics, analytical
geometry and metc:;orology, called significantly a Oiscourse on the
Method of Rightly Conducting the Reason and Seeking for Truth in
the Sciences. It proposes essentially the introduction of quantita-

-11-

�tive, that is, mathematical, methods into the speculative or liberal
arts. Descartes says: "Most of all I was delighted with mathematics because of the certainty of its demonstrations and the evidence
of its reasoriing, but I did not yet understand its true use, and believing that it was of service only in the mechanical arts, I was
astonished that, seeing how firm and solid was its basis, no loftier
edifice has been reared thereupon." And later on: "I have never
made much of those things which proceed from my own mind, and
so long as I culled no other fruits from the method which I use,
beyond . that of satisfying myself respecting certain difficulties
which pertain to the speculative sciences . . . , I never believed
myself obliged to write anything about it, but so soon as I had ac quired some general notions concerning physics I believed that I
could not keep them concealed . . .. For they caused me to see that
it is possible to attain knowledge which is very useful in life and
that, instead bf that speculative philosophy which is taught in the
Schools, we may find a practical philosophy by means of which,
knowing the force and action of fire, water, air, the stars, heavens
and all other bodies that environ us as distinctly as we know the'
different crafts of our artisans, we can in the same way employ
them in all those uses to which they are adopted, and thus render
ourselves the masters and possessors of nature. " (Incidentally,
the phrase "practical philosophy" contains that very self-contradiction I am on the way to pointing out - for what in the world might
an "applied" love of wisdom be? - whose end-result is that thorough
debasement of philosophy whieh Hegel, with vicious humour, il lustrates in his Encyclopaedia by a new book title he found announced
in an English newspaper, namely "The Art of Preserving Hair on
Philosophical Principles.") Speaking very broadly, then, ever
since Descartes to be "scientific" means to introduce the Cartesian
method or to approach matters of any sort as a natural scientist.
As one little sample of the scope and pervasiveness of the method,
I might quote from just such an application, Emile Durkheim's
fundamental essay on sociology, called "The Rules of Sociological
Method." In this book he says: "that what the method demands is
that the sociologist put himself in the same state. of mind as the
physicist, chemist, or physiologist. "
I have introduced this insufficient little disquisition on
method to complete the description of the arts side of the liberal
arts. Arts are rules for the direction of the mind, binding precepts. Medieval writers, who are still much concerned with the
nature of the curricular arts, emphasize this by their understand-12-

�ing of the etymology of the Latin word "artes" itself. The same
Cassiodorus I mentioned before, as well as Isidore of Seville,
claims that arts are so called because, in Latin, "artant arte"
(translated: "they bind strictly"). Thus the arts appear to be the
opposite of free or freeing. Again Cassiodorus - the work, inci dentally; in which he introduces the pagan liberal arts into Christendom is called the Institutes of Divine and Worldly Arts - recognizes this problem by rather shamelessly claiming that "liberal"
comes from "liber, "book, thus turning the free arts into the bookish arts, a characterization which does, of course, in view of the
traditional nature of the arts, have some appropriateness. John of
Salisbury, again, catches another aspect in understanding "liberal"
as pertaining to "liberi, " children, so that the arts are here interpreted as the education of children, which also has some truth
in it. A last medieval writer, Hugo
St. Victor, in his very acute
discussion of the liberal arts called the Didascalicon, the "Teacher's Manual, " takes full account of the fact that the arts are con straining and that they are, perforce, taught by masters to. the
immature: "They are indeed the best instruments and rudiments
for preparing the way for the soul of a full knowledge of philosophi cal truth. This is why they are called the three-way (the trivium)
and the fourway (the quadrivium) . . . . Of Pythagoras too it is
said that he employed in his studies · a special custom." (I should
remark here that the introduction of the quadrivium is traditionally attributed to Pythagoras, a Greek "mathematician" of the sixth
century B. C., , the same one who is said to have introduced the
word philosophia, literally the "love of, or friendship, for wisdom").
"For seven years," Hugo continues, "obviously corresponding to
the seven liberal arts, none of his students might dare to demand
of him a reason for what he said, but the words of the master had
to be taken on faith until the student hadheard everything and could
thus find the reason for himself." With this story Hugo acknowledges that the very arts intended to make the independent search
for knowledge possible must come to the student as to a child, in
a constraining and authoritative way. We all know that this aspect
of the teaching of the arts is usually predominant.
At the beginning of the eighteenth century appeared a work
which crystalizes the development which I am sketching, and which
0
oreshadows, in an almost uncanny way, the problem of our own
:ducational situation, Giambatista Vico's expanded lecture On the
Study Plan of Our Time.
Vico understands what he calls "the
genius of his time, " his modernity, in terms of the menacing
-13-

�dominance of the scientific method; the whole work is a reaction of
somewhat concealed but vehement opposition to Bacon and Des cartes. He describes the method of the latter, which he calls the
"new critical philosophy," as intending to be "the common instrument of all our arts and sciences," which "supplies us with something fundamentally true of which we can be certain even when as sailed by doubt." There are also particular instruments such as
the telescope, the microscope, the universities, the printing press,
which assist in the discovery and mastery of nature and in the wide
dispersion of that knowledge. But of all these the most powerful
instrument is "analysis," that is, algebra, which represents the
method in all its characteristic aspects, in its brevity, ease,
communicability, power. Vico, although he acknowledges these
virtues, is at heart disturbed by the predominance of training in
these swift and certain manipulations in the study programs of
young men. He believes that "the greatest drawback of our educational plan is that we pay an excessive amount of attention to the
natural sciences and not enough to matters of human conduct."
Vico, who delivered this lecture in his official capacity as Professor of Rhetoric at the University of Naples, wants to lead the
university back to an emphasis on the uncertain, understood as the
probable, which, he conceives, was taught in traditional logic. He
wants the imagination again to be trained by poetry, the common
sense by the wisdom of the ancients and the judgement by the opinions of contemporary men. In short, he wants the universities to
give more weight to what we call the humanities, which are for
him comprised in rhetoric. He is initiating, under the guise of the
then current topic of the quarrel between the ancients and the
moderns, the deeply shallow division of university learning into
the "two cultures" of humanism and science with which we are
more than ever afflicted. Now note what lies at the root ofthis
quarrel. It is the difference between method and non-method. Let
him who is not to be a physicist or mechanic, Vico says, "not
spend much time as a boy or afterwards in those studies which are
handed on by method." The founders of such studies are compared
to tyrants who scatter the inhabitants of a eity to prevent opposition, who hobble individual judgment with rules, and gravest of all,
who know nothing of free speech. The distinction between studies
is based only secondarily on the nature of the objects involved, and
primarily on the kind of approach used. But this distinction leads
to an almost paradoxical classification. The natural sciences
alone are artful, in the sense _ being methodical, while all that
of
concerns not the experts but humanity in common is artless, that
-14-

�is, free, but only in the sense of having no strict procedure, and
being dependent on the taste and talent of each individual. Vico
himself does not fail to issue a demand for the unification of the
study plan of universities, but, I submit, his own understanding of
the di vision of studies makes this unification permanently im possible, as the present state of universities, 250 years after
Vico's lecture, shows. For so long as the sciences are regarded
as the rigorously reasoned but inhuman business of a group specially habituated to a certain theoretical procedure, while a vast con glomeration of interests called the humanities are in the hands of
professors who do not take quite so great a professional pride in
their ability to think rigorously as in the meticulousness of their
sensibility, clearly no power on earth, not even that benevolent
coercion, an interdisciplinary credit requirement, can persuade
very many students to study seriously in both divisions. For
everyone will plead that his preferences are really the expression
of his aptitudes and that he has, as the case may be, that famous
"block" against mathematics or against languages. And so the
liberal arts disappear, torn apart into the humanly rudderless artfulness of scientific method and the willful freedom of organized
idiosyncracy. As I have tried to show, this division, driven to
pernicious extremes in the universities, is in fact already inherent
in the very notion of the liberal arts and in any liberal arts program, and our problem raises the possibility that the very neces sity of the paradox points to some understanding which, instead oi
perpetuating the division, will heal it by showing it to be an indis pensable and yet a merely intermediary phase of a truly humar
education. To point out this possibility will, among other things,
mean giving aid and comfort to that serious student whose diffi culties with our program are precisely that it presents himat fixed
and perhaps privately inappropriate times with prepared problems
and procedures, which may all seem to shunt aside rather than
meet his own concerns and doubts. In particular, there are those
well-known scandals, the so-called classics of tradition, the foremost food of solid schools, which, although presented as containing
what human wisdom there is, seem to insist on speaking in terms
infuriatingly remote and "academic." And yet every student acknowledges with his act of matriculation that he is in need of an
organized community of learning where there will perforce be a
set sequence of studies such as can take little account of the con tingencies of the single human soul, and that whatever skills and
arts there are can hardly be transmitted otherwise than in the
terms of those who perfected them, so that in the beginning, at

-15-

�least, their rules and precepts and requirements must be submitted to. What troubles him, and rightly, is how he himself fares in
this beneficent assault, how the tyranny exercised by the arts can
ever succeed in setting him free from confusion and impotence.
The problem can now be formulated m this way: how can the arts
be the freeing arts?
Let me put that same problem one last time in te rms of a
simple and pointed formula. Human inquiry proceeds either .£y
setting problems or by asking questions. I would by no means
claim that the distinction between them which I am about to offer
is simply a general fact of language usage; in fact, the Cartesian
work which formulates the "rules for the direction of the mind"
toward problems specifically terms these "questiones." But it is
sufficiently pervasive at present for my purpose. Vico had, very
accurately, seen the essence of Descartes' new method in an instrument which he regarded as a great danger to the human spirit,
in "analysis" or algebra. Now Descartes himself received this
instrument from a great but insufficiently acknowledged predeces sor, Franciscus Vieta by name. His fundamental essay, which
has the significant name "Introduction to the Analytical Art, " ends
with the following stupendous claim:
"Finally, the analytical art
appropriates to itself by right the proud problem of problems,
which is: TO SOLVE EVERY PROBLEM." We are still or rather,
more than ever, dominated by Vieta's immense ambition. We see
everywhere and in everything problems which we expect to solve
by the application of some general method - that is why we submit
to the tyranny of a training. We speak of the "problem of freedom" or the "problem of God." Our griefs a::re called "personal
problems, " and if they are expressed in a form annoying to others,
"personality problems;" our aches and pains are "health problems," our vices "drinking problems" and the like; our public
statements, especially lectures, frequently recur to "the problem
under examination. "
What is a problem? Again it will be useful to go back to the
original meaning of the word in Greek. A problema is simply
"something thrown out before" us, anything from an outwork, that
is, a defensive structure thrown out before a military camp, to a
task set before someone to be done. The word was also used with
a special meaning in geometry, where it signified that a construe tion was to be furnished rather than a theorem demonstrated. For
instance, the last book of Euclid's Elements culminates in a series
-16-

�of problems, the constructing of the five regular solids; and the
propositions read, in abbreviated form: "to construct a pyramid",
"to construct an octahedron, " a cube, an icosahedron, a dodecahedron. An ancient commentator observes that in some sense all
problems are theorems, for "we regard the generation that takes
place iu them as referring not to actual making but to' knowledge, "
and Euclid presents his problems in this theoretical way. But
there is a procedure which is special to problems as distinct from
theorems and which the Greeks called "analysis;" here is the
source of this important method, which consists essentially in
imagining the construction as having already been done, and then
analyzing it, that is, breaking it up, to discover how it could have
been do.n e. The elements which, as the technical phrase goes,
wUl "do the problem" are then put back together or "synthesized."
Furthermore, Aristotle, using the word "problem" in a logical
context, distinguishes it, in his Topics, from the straight-forward
interrogative proposition by the manner of the response expected;
the problematic form constrains the answer to be an affirmative
or a negative, as, for example in the question: "Is it, or is it not
the case that animal is the genus of man", while the propositional
form simply asks: "Is animal the genus of man?"
We see that there are three related aspects to a problem.
It is first of all a challenge, a publicly enunciated task requiring a
solution in its own terms; secondly, its solution usually has the
nature of a construction which may well be a th·e oretical construct;
and finally and fundamentally, a problem is characteristically that
which requires a solution, that is to say it requires its own aboli tion; a solv;ed problem is no longer a problem, and problems once
solved are very legitimately forgotten. Take as an example the
famous problem of squaring the circle, attacked in the past with
veritably fanatical persistence. When in 1882 this problem was
solved, or rather resolved, by being proved to be insoluble, the
many clever efforts made in its behalf all, at a stroke, lost their
interest except for antiquarians or slightly unhinged characters,
like Public Prosecutor Paravant in Thomas Mann's Magic Mountain,
who, laying out a piece of string on the circumference of a circle,
attempts to catch the problem napping, as it were, by suddenly
pouncing on the string and stretching ,it into the shape of a square.
This self-destroying nature of a problem is acknowledged by Bacon
and Vico and Kant, who all use for their new method, the method
which turns every question into a soluble problem, the metaphor
of Ariadne's clue, the thread which lead Theseus out of the laby-17-·

�rinth to safety after he had killed the monster at the center.
Problems have a fourth aspect, which is the one most relevant in my present context. In the Republic Socrates makes a
special point of introducing problems into the quadrivium. He says:
"Then in astronomy, as in geometry, we should employ problems
and let the heavens alone . . . . " We have some evidence of what
he meant by "employing problems" and "letting the heavens alone,"
since Plato is said to have set for his students the problem of
rationalizing the irregularity of the visible heavenly motions by
going beyond them to form mathematical hypotheses. The word
"hypothesis" as used here designates the solution of the special
kind of problem which calls for a mathematical fiction such as shall,
without itself laying any claim to being true, provide a rational
underpinning for the errant appearances of nature. What hypotheses are produced is never quite so interesting as that they
should be produceable. From this point of view Socrates' call for
the use of problems by learners, that is, the demand that they
should construct hypotheses, is a demand that they should learn by
exercising their skills on questions the answers to which are fundamentally indifferent. We are all very familiar with a rather low
example of this teaching device: the practice problem. For instance, an analytic geometry textbook may present a student with
the problem (I choose one of a multitude): "Show analytically that
the latus rectum of a parabola is of length 4a. " This is the very
model of a problem, showing explicitly what every problem at least
implies. To begin with, the author and i:he student are both aware
t,hat the problem is not waiting for the latter to be solved - his
solution is in itself of no interest. Furthermore he is to "show
analytically" what is required, and he understands immediately that
this means "show by constructing an equation, " "show algebraically. "
Just as the arts have in them the seeds of the scientific method, so
the very notion of problem has in it an invitation to analysis or
algebra; you will remember that analysis was originally a geometric procedure in which a construction is regarded as accomplish ed from the very beginning and then analyzed. But this is precisely what the fundamental algebraic form, the "formula" or equation,
does for general numbers, for when I write 3x=l2, I am putting
down a mathematical sentence which requires no question mark,
much as if I already knew the answer, and all I need to do to make
that answer explicit is to analyze out the unknown number by re organizing the equation. Now I can simply read off: x= 12 == 4.

3
-18-

�The solution, four, does away with and abolishes the problem, for
when I substitute it in place of x, the equation becomes an identity,
a useless tautology. But most significantly, the unknown is fourid
wholly in terms of the original problem so that the solution reaches
in no way beyond it. Now, this procedure, although most nakedly
apparent in mathematics, may be used in any art, and, as some
people think, even in those human enterprises which go beyond the
arts, if only their terms have been compacted into recognized
obstacles, outworks inviting attack, that is problems. This is in
fact our predominant way.
Let me now say what a problem is in terms of all that has
gone before. A problem is a sham question, a counterfeit question.
For a genuine question is the desire for an answer, and it does not
dissolve when an answer is gained anymore than love necessarily
disappears because its object is won. A genuine question does not
demand an answer in its own terms or on its own level, but seeks
its desire wherever it may hope to find it, remaining open to any
intimation its object might give. Nor will it rest satisfied by a
construct or a fiction fabricated only to set it at rest, for it wants
only what is in itself worth having. Problems are ultimately exercises, mere means, but questions are the serious and final hu man business. Let me try to formulate this once more.
Is there something which human beings have for themselves,
which is so very much our own that if we found a creat:Ure that
possessed that same ability we would count it as human, no matter
what its shape? Or, to put it in the opposite way, a very contemporary way: is there not something that we can be certain the
most complex computer can never do? There is such a thing. The
most sophisticated machine can never ask a question. For it can
never feel the desire to know, which is the heart of a question.
This desire, the desire in a true question, is not for apre-conceived x, hidden but present and entangled with all the terms at hand,
but for something beyond. If, for instance, I seriously ask "what
human learning might be?" I do not want my question transformed
into the . problem of describing learning "systematically" or of
"measuring it methodically," or of finding its "correlative phenomena, " or even of "constructing an effective theory" of learning,
·· but I want to gr asp what it truly is whenever it takes place. Here
my very question implies that everything that is presented to me
about learning, in observation or in books, is external and insufficient; I want to know for myself, and yet, in the common langu-19-

�age of human beings, what makes the thing what it is. I am not
looking for a pre-conceived x, unknown for the moment but so involved with and defined by the problem itself that I need only to
re-arrange the terms cleverly enough to get a solution, but I want
something beyond these, namely the reason why the thing is what
it is, and I want this reason to be freely communicable. Every
"academic" search, particularly the kind nowadays called "research, " moves strictly within the set terms of its discipline, and
is therefore usually of interest only to the expert specialist, while
many others can live without it: the quest of a question alone is
after that without which we can hardly be said to live our lives, at
least as human beings. So it is the genuineness of the desire in a
question which keeps it open, keeps it from pre-judging the answer
by setting it terms. There are no "traditional, " inherited, ques tions; every question is my own, and yet every such question is
generic to human beings, insofar as they are human.
Here now is the place to say something about "the Tradi tion" and its relevance to the quest for truth and the love of wisdom.
The unreflective opinion of the times has it that human wisdom is
both cumulative and automatically transferrable. We speak all the
time of "our rapidly increasing knowledge," "our recent achievements and advances, " "our breakthrough" in this or that field, as
if each contemporary human magically acquired the results of the
research carried on by thousands of different people. Ridiculously
we talk as if human beings were no longer born as naked little
babies who have to begin the learning process at the beginning and
who have perhaps a quarter century to invest in it. Now the Pla tonic dialogue The Statesman does envision a race of men born old
and, perhaps, wise, who return in the course of their lives to a
first childhood. But this race lives when the world's time is reversed, in the Golden Age when a god sits at the temporal tiller of
the cosmos. In our present, mortally governed, world we have to
begin at the beginning. Undeniably, the disciplines of the quadri vium, more modernly speaking, of mathematics and the sciences,
are "progressive," in the sense of being capable of becoming more
and more sophisticated and potent tools of research and manipula tion. But this does not for a moment mean that the young man
who "inherits" such subjects in their advanced state has inherited
accumulated knowledge. The wisdom of babes may indeed be
powerful, but it is almost always bought at the expense of a re flective understanding of the terms and first elements of the science
in question, for such an understanding becomes almost inaccessible
-20-

�when the beginnings of a disciplinewhich arose progressively, that
i's, as a continuous sequence of problems, are relegated to mere
history. Most possessors of such latter-day knowledge are, I say,
prodigious babies, Peter Pans of wisdom who, incapable of remembering their past, lightly fly hither and thither over their o\vn
fantastic islands, · having lost their mother and the groi.ind under
their feet. . Those, on the other hand, who are willing, as you are,
to go more slowly in order to keep solid ground underfoot, will
soon find themselves involved in the dialogue of tradition. It is a
telling fact that a work by the very founder of modern physics; the
one which introduces ·the New Astronomy tb the public, is itself
written in dialogue form and includes among its participants his
Greek predecessor: in Galileo's Dialogue Concerning the Chief
Two World Systems, Aristotle, the founder of the ancient physics,
is literally present in the shape of a book in the pocket of one of the
interlocutors; this is Galileo's way of acknowledging that thebasis
of the New Sciences is the responsive repudiation of the tradition.
On the other hand, in those studies which are not progressive in their original design but only insofar as they are forcibly
assimilated to the natural sciences, for instance, in psychology,
anthropology and sociology (the accounts of the soul, of man and
of community) the tradition is yet more than the grolln.d of the present - it is that present itself, for quite aside from the incidental
fact that our times seem to me to show a strong decline of wisdom
concerning these matters, the tradition, just because it is not
progressive, consists of a conversation in which the participants
listen to each other, circumvent, re-invent and echo each other,
so that while temporal in its parts, it is timeless, or ever-present,
as a whole. It is in this sense that it seems tome possible that our
West alone. has a tradition, that this strange dialogue of contemporaries who are yet bound into their times, this sequence .of acceptance and betrayal, can take place only through books in the Western
sense, ,hooks of arguable "theory" rather than of spiritual practice.
This 'conjecture is supported by circumstances of the following
sorts: the the Indians , for instance, seem to have no word for
philosophy, for that search for a wisdom which is a communicable
activity rather than a silent possession.

Now how are · the members of this tradition established?
This is the general version of the perennial question: how do we
choose our seminar books?, for the tradition comes to us through
books. What books are these? Are we entirely at the mercy of our
-21-

�library catalogues? We are indeed. It seems to me just as possi ble that there are momentous manuscripts which are quite unknown
as that unworthy books become canonized. But all in all, I think
we can trust the consensus of reading mankind as shown in the
quantity of the propagation of a book. We can do this so much the
more safely because of a human fact which I have always marvelled
at - that worthy works attract the professional industry of legions
of people who have no interest in their contents. A principal
example of this in my own experience is the crowd of classical
philologists, those "scientific language microscopists," as Nietzsche calls them, who fill libraries with comment on the attendant
circumstances of wisdom.
What single trait dis tinguishes the persons acknowledged as
belonging to the tradition? Here we must refer once again to the
distinction made between history and tradition. The persons of
history, if there be such a science, must be, as Hegel says,
nations. The persons of tradition are single and special human
souls. If there be such an item as "the Greek mind, " if for instance
it was the pervasive quirk of canonical Greeks to believe in visible
gods, then the authors of the classical tradition have probably overcome that quirk and are certainly not of that mind. For these
authors are usually radicals; this is why they are at worst ignored
and at best considered dangerous in their own times. So that if,
for instance, the Olympian gods appear in the Homeric poems,
they may safely be suspected of playing there a role deeply different from that which they played in the mind of "the Greeks, " a
problematic, perhaps even an ironic, role. Hence so-called
"historical backgrounds" can never help to understand the central
intention of works of tradition (except, perhaps, to set off the
foregroundofthought by contrast), since history does not make that
which is valuable in the tradition - although the tradition sometimes
makes history. For the authors of tradition sound a reflective
descant on the common opinions of mankind and the peculiar opin ions of their nation - and so these opinions sometimes modulate.
The tradition is, then, always problematic, and it is for this
reason that no one is born into it. As children we become entan g led in a web of accepted opinions and conventions; in youth we begin,
largely by means of books, to break out of this cocoon into the light
of the tradition, and this cannot help but be .a laborious but monumentous phase of our lives. Nowadays most of the earliest serious
reading done is contemporary, and this raises a question which I
-22-

�will put very outrageously: Are contemporary writings ever part
of ·the tradition? or, what is the same thing: Are contemporary
writirigs ever relevant to the hurtJ.an condition? There seems to be
no inherent reason why they should not be, though it is, perhaps,
as unlikely for a "contemporary" to enter into the realm of trac:lition as for · the camel to go through the needle's eye, simply because it is'. essentially the agreeably conforming, even if apparently shocklng, which instantaneously fascinates and becomes pbpu lar, while the' tradition is always somewhat uncomfortable, not to
say repiilsiv~ . .· · Especially at present, the contemporary, with its
accent orl the new, the changeable and the young, tends to be sham
radfral, and i.t s problems tend to be derivative and, in fact, antiquated. ·. For to begin with, it is self-defeating to insist on newness 'and youth as independent goods, forgetting that newness and
youth are conditions which by their very nature have no future. But
more important, the easy revolt of the contemporary scene is an
opposition almost entirely determined by that which is rejects, a
mirror image of common current opinion; conthlning all the flaws
of the older opponent in reverse, a counteraction in the manner of
·a brute body whose reaction is equal to the action upon it. Such
mere :qehavior is truly "reactionary." . I will give an example. In
1864 · Dostoyevsky published a manifesto of genuine despair over
ciV:i.l:faation,calledLetters from the Underworld, in whieh he wrote:
hF solerrip.ly declare to you that I have often wished to become an
i'ns'ect; but couldliever attain my desire." In this century, over a
~eneration ago; Franz l(afk~ wrote a dreadful story called "The
Metamorphbsis, " in which one young man, a travelling salesman,
in silent 'desperation over what present day jargon would call
''middle Class values" painfully turns himself into a great cocktdach'; In . the 19pO's, finally, a whole swarm of youngmen turn
therhselves into Beatles with the most exuberant facility, and the
fuldej:'ground man emerges in amiable companies, his eyes shield:
ed' against the Unwonted sun, his inardculate wisdom pinned to him
on a printed button, his ways mildly lawless, his uniform complete•
ly determined by opposition to rosily wholesome suburbanity, a
harmless, institutionalized latter-day version of the prophetic,
criminal outcast of the Western traditicn.
It is, then, the very radicality of the tradition which mikes
it so· inaccessible. For to become absorbed in the tradition means

quite simply to break away both from one's own private idiom and
the current public jargon into the language of humanity, to com tntinieate; not in the current sense of "being effective" or "making

-23-

�contact," but in the sense of entering the human community. The
traditional authors, who speak that language, must always seem
somewhat forbidding, for this human tongue is much more boldly
simple and subtly complex than the dialect of our place and time.
It takes time to grow simple and subtle and requires a certain
willing trust in the wisdom of these initiators and guides, who are
as yet untried strangers, but such an expense of present, youthful
time is the best way of insuring a future in which ardour will on
the whole outweigh melancholy. For at best a faithful student has
hope of sharing the experience of Dante in his journey through the
world of the soul, when, in the face of hell, his guide and teacher
Virgil "placed his hand on mine, and with a cheerful countenance,
which comforted me, led me into the secret things. " And at worst
he will have learned to make a knowledgeable and dignified retreat
into the decent pleasures of the practical life.
But, you will recall, I entered upon this consideration of
the tradition after I had defined traditional problems as sham
questions, almost as if traditional learning of necessity interfered
with genuine questioning. For questioning is that situationofdetermined openness in which the soul, willingly attentive to the apparent and the immediate, encounters even in its deepest delights
certain difficulties and perplexities which, out of its very love and
concern for things, it is determined to face and resolve, or not
think life worth living; it is the "ardent mood" of the soul which is
well -composed and free. If this enterprise is carried on with a
certain trust in its possibility, it is called the love of wisdom. But
the traditional questions come to the learner as "problems, " by
which I mean as another's question, which is, if anything is, a
contradiction in terms. In sum, all formal study, perhaps even
all purposeful conversation, must give up living thought to "formulations." Nay more - evidently Western tradition itself must needs
progress along the road, which Nietzsche characterizes as leading from the forms of Plato to the formulas of algebra.
I cannot resolve this, the problem of my lecture and the
question in my mind. I herewith hand it over to you, without,of
course, myself relinquishing it. The study of the liberal arts,
which are the public and adequate learning procedures, and of their
fruits, which are the various bodies of knowledge, as well as the
absorption of the reflective tradition which is based on them, can
only provide materials, tools and a language for questioning; the
love of wisdom itself cannot be gainedby study; and for that portion
-24-

�of our life of learning in which our unknown source fails us - for
it is more arduous to maintain the condition of openness than a

state of levitation - we must expect to be sometimes prey to the
mortal's malady, the confusion of the soul induced by the futile
passing of precious time. But in this understanding of that sickness there is implicit the suggestion of a cure: .to fix stubbornly
and determinedly on that present preparation, that acquisition of
the problem-solving arts and the problem -posing tradition, which
is certainly at least the pre-condition of a questioning life, a life
worth living. In the words of the tradition as represented once
more by the Didascalicon of Hugo St. Victor:
"Therefore it seems to me that first an effort should
be made in the arts, for here are the foundations of everything and in them pure and simple truth is opened up; most
of all I am thinking of the seven of which I have spoken
which are the instruments of all philosophy . . . . But
philosophy is the love and the pursuit and, in a manner of
speaking, the friendship felt for wisdom; not, however, for
that wisdom which is concerned with some kind of hardware
and any sort 9f applied science and expertise - he says: quae
in ferramentis quibusdam et in aliqua fabrili scientia
notitiaque versatur - but of that wisdom which needs nothing
and is living thought and the sole original reason for things
- vivax mens et sola rerum primaeva ratio."

-25-

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                    <text>A READlNG OF THE GETTYSBURG ADDRESS

Eva Brann

Expanded Version ·
Friday ~ight Lecture
1968

�Final text of the addre••
delivered at th• dedication of the c..etery at Gettysburg
Four score and seven years ago our fathers brought forth on.
thla continent, an• natlon, o-•tv•d'ln. Liberty, and dedicated
to the proposition that all •en ar• created equal.

Now we are engaged in a great eivll var, testing whether that
nation, or any nation ao oencelved and so dedicated, can lo'ftl endure.
We are 118t on a great battle-field of that war~ We hav• coae t•
dedicate a portion ef that field, as a ft.na~ reatlng ptaee fer
those who here gave their live• that that natien •lght .live. It ls
altesether fitting and preper "
that ve ehould do thl1.
.
lut, in a larger aenae, we ean net d•d1oat• ... we oan not
consecrate • we ean Mt ball•w • thl1 greund• TM brave •en, llving
and dead, who 1trugsled here, have conaeerat•d it, far a"v• e&gt;ur·

· poor power te add or detraet. the world will little n.te, nar long
re11•ber tlhat we say h•r•, .but it oan never for get 111h.at they did .
here, It is for ue the living, rather, to be dedicated her• te the
unflnlahed · werk which they whe fought her• nave t:hu1 far •• nobly
advanced. It la rather for us te be her• dedlt!ated ~ tlut great task
reaaln.ing before ua - that fr•• t1-•• honored dead ve take lncr••••d
devotion t• that cauae for vhleh they gave the last fwll ••••ur• of
devotion • that we here highly reeelve that th••• dead 1hall n.t
have died ln valn • that this ~tlon, under God, ahall have a new
birth of (rHdoa • and that geverna•nt of the people, by the p.. ple,
fer the peeple, shall net perl1h fro• the earth.
Abrah.,. Llnceln

Nov•b•r 19, 1863

1.

the Speech •• a Whal•

It la probably beat to .begin by ebaerving what la aoet ebvlous
about thle "Address Delivered at the Dedioatloo of the Cemetery at
Gettysburg" (p. 734)* - its brevity. It . oen•i•t• of t•n eentenoes
which can be spoken ln a little over two airutea. It la ao short that
on the eccaslon of lte delivery in the open air, before a orovd of
more than 15,000 people, though the speaker delivered hla wurds •tn
a cl•ar, full veloe.• he
d to have finished before his voice
had really begun t• car~y.

•re..

Perhaps this very (ugltive character of the live speech has
something to do wtth its enduranae as a piece of pro••· We know
that Lincoln meant the speech t• 1urvlv• as a written tut, since
h• ht.aaelf prepared ••.v eral copies fer publl•ation, the laat ene
over three months after its dellvery.2 · And although Lincoln
punctuated thi• 1peech, aa he did allhi.1 epeeohea, in the . .nner
of an orator, as it was to be heard (cf. P• 47), using especially
~

.

At'th•• Ltnqf~na
{brary,
62.

*All page references to Lincoln's speeches co• fro•
Speechee !ml ·· Writ:iD&amp;•• ed. R. P. Bailer, Uni.versa

H.ll

�the ce...s of grammar to . .rk th• ~o. .as o~ 1peaker'1 pau1e• of
the rhetorle, yet there ta ••••thlng peoµl l.&amp;rly .•1et_ dew• and
permanent about lt.
· •· ·
·
· · · · · ' , . ' ··
furtheraore we know fro• Llneoln hl•••lf that h• ohee• hie
format quite deliberately. Fer he answered _Everett- vh9 had
,
generously· written t• bi• that "I ahould t&gt;e'"sl•d if . I could flatter
•yself that I ca- as near te the central ldeae! the oeea1ion
in two hours •• you did in twe •11tut•a" that _ ,

M•n

In our respective p&amp;rtl Y••t•rday. ' ye~ oeul.d net ha-..
exouaed te uke • ahort addre1a, no·r I a leng on• (pa 737) •
• •~

•

J

Edward Everett, whe had been·· both a ~·t•a:ler ~t Gr•'• k •t
Harvard and a d:l•t inguiahed atate1un 1 bad been oheaen to be the
t1aln apeaker at the dedication as a national ce-tery of th• piece
of ground beught by the eight~-.n ~orth~r~ ~tat~e ;wtio had l••t aen
at the battles ef Getty1burg. · · Linceln, aa chief. of aiate, bad been
invited only two weeka be!ore the · oereuny and £verett had court. .usly
sent hi• his own two-hour 's peech, 3. ctoapoaed _ the olaaat.alzing
lp
,
style. for which he vaa famous, ao that Llneoln alsl\t 'aenelder lt
in writt.rg hie own (p. 738). We •1ght then ...-otL1neoln'• speech
to be oo. 1POa•d aa a eounterpol••- t• Everett•• 1 ln !apt, ln eplte of
1
Li.neoln'a expressed adalrat1on (p~ 737) • . it ." •ett•s to be, a tacit·
and tactful repudiation : ef auoh learned rnetoric. : . .'
Everett be~ina vitha re!erence ·to th• funeral cere•niee for
tJ1e so).dlers of ancient· ·Athene, reporte~ by thuc.ydidee in the
~-e~ond ·book of t-h• PtltRtoDI• ttn ~ (para a. · 35 ff.) , ..-:td end a by
quoting Pericles• speech, ·aa Thucydides givee it. Evk"•tt'•
speech wae thus intended to be, and wa1 readily reeognlzed •• bet.ng1
••elass1cal • ln t&amp;ne. In a aal iolous but not totally inept editorial,
the Richmond ~9111)1r had said of Everett'• perfor•anc~a •so f&amp;J!
the play was strictly classtc•1 and then o! Lincoln's 1peeoh .. To
suit the gert•ral public, ·however, a little ad•ixtt.Fe .e f the •re
irregular ro•antlc drau was allowed"• the latt;.,•r tena •ight
conceivably be applied te a apeeon which, in its reveal.,ns brev i ty,
was 11.ke the aerteua obverse of a Llncoln!ai\ anecdotfh
.
.Here are certain other points in whloh the twe apeeche1 differed.
Everett'• waa heavtlydaotylica a stress verelon ' of the Greek epie
_ foo~ of. one , long and two short ayllablea appeared eften, , beginrill18
with the first words 1
·
··
- I

I

..

.

'

Standing beneath this serene

eky,

through phrases Ilk••
" the
.. -

I

. .

·

.

,

'

.

I

~raves , o!

our brethren beneath our feet;,

,.,

I

•

· I

. .

I

.

.

the -eloquent ·Silence of God and Nature, ·
.,

c~

.,.. I

I ..

I

I

It was appeil'\ted by law in Athens;· ·

to the final wordsa

�·l~

I

I

I

that whtoh r•latel to the Battles of Gettyaburg.
Lincoln's speech, on the other hand, has the prevallina diayllabic
pattern, . . stly lamba, ·natural .to sober Engli1h apeeah. So after
the two long beats of a grave and 11e&gt;urnful apondee the pattern
sets ina
I

I

I

I

I

Four score and seven year• age,
and in the last paragraph partioularl~ sequences of laablo
penta•eter are dlaoernible.
In respect t• diction, Everett'• prose vaa «=la11loal and
Latinate, while, lt ha1 been reckoned, Llnoalil on thi1 eccaaion uaed
only 32 words of Latin orlgin9 in contrast to . his praotlae vhtll'l
addressing a aelfM!t body, for instance, Congreaa; aa ln th• pererat. lon of his Annual Heaaage of 18611
With a relianee on Providence, all th• 110re fir• and earneat,"1et

i•:: t · us proceed ln the great task which events have devolved upon
·
It ".'.,
(pa 635) e
.
.

us

Aa for eettl~, Everett conaeived hie effo~t ae part ef a
11onumental tradlt1.on of aeldler~ funeral oratory. He: ende by
••belliahill8 upon P•rlolea• . .snlloquent saying that •tbe whole
earth ls the sepulchre of llluatrloua men.• Lincoln,,ln aontra1t,
asslgn1 to the dead neither the earth wlth which he end1 hi• apeeeh,
nor th&amp; continent with which he begin•, nor even the battle field on
which he dwells in the slddle, but soberly, a aere . .deat •postlon
of that field.• So also Everett, beginnlng •• Periclea had, with
a reference to the law in Athena, aakes aucb of the am;t.que 1anctlon
for such cere•nle1 1 whla!h included an ebllsatory funeral eratlen
delivered by an orator chosen for th• purpe1e. Llnoelft• en th•
other hand, in hia first draft aaya brusquely, -•thle we aay in all
propriety do" (p. 736) 1 intiaating that such dedication• are an
indulgence of the livl~, and aoderates this in delivery to a brief
statement of co11aon propriety•
It ls altosether fitting and proper that we ahould do thl••
(p.

734,

cf~

P• 728),

.

only to go on to call the whole cere11e&gt;ny in questlan1
But 1 in a larger aenae, we can not dedicate - we oan not
consecrate - we can not hallaw • this ground. The brave aen,
living and dead, who 1truggled here, have consecrated it, far
above our poor power ' to add er detract.
Lincoln ls lmplioitly ..klng the aignlficant point that it is !!IS
the l~w tn Aaeriaa to have such oaaequles and such speaker1, that
honor, particularly for the dead, 11 not an ••tabll1hed publics
concern 1n A••rlca.

�In content, · what la ••t atriking t.1 that Everett touahe1 on
a nwiber of •attere .on whioh_L1neoln has . not one exp11clt word.
Everett re!era te the Confederate "lnva1lon11 of Maryland and ·
Pennsylvania and ceaparea 1t te the Peralan invaai•ft~f G~•eae.
Lincoln, en th• ether band, ~d. ln a letter to General Ralleek,
specl.fically objeeted t• a phr••• ltke ·11 drlv• ti. invad•i' tr••
our 1011•. uaed by General Meade ln hla order thanklng the aray for
the victory at Gettyabur· . Fer, Lincoln. · aaid, "th• male country
g
is our soil,• alndful ef the faot that th• opponent vae not a
fore~ner • .. Hence h• aaye nethin.g of the _
atratestc a1.roW11tamea
of" th~ battle credited with ending th• danger of a Colilfederat•
occupation ef the North which aake up:.:, the bulk of Everett' a tut,
nor . doea he, aa Everett, assign reaponaib111ty fer· .the var, _ tak• up
epeciflc conatltutienal queetiona or aention explieitly the fundaaenta}
issues of alavery and Unt.on. It 11 worth ••ntlont.ng th.ea• oal1alone,
because, as will be shown, in a way they ahape the apeeea.
·
Thus Linooln preeenta an alt•rnatlve te the olaa9loizlng atyle,
an unde110cratle style daalgned, at bttttoa, fqr the secret and eeparate
satle!actlon of the speaker and
conn.laaeura. Thi• appears
aost cleaaly at a _polnt in Which Lincoln
in~e · algni!loant
contrast with the claaaloal •delatheaaelvea, vi.th Thuaydt.d•• and
his Pericles, net by way ot .E:verett'a learned fllter, but 1. .edlatelyt
nor aa a etudent of the P9lo~ont1110 !!II: (there ls n. evldence that
,_he was), but as an Aaerican vth an Athenian 1tate1un. Everett••
·- cholce of aedel had, after all, been an aead••ic, a polltleally
bl ind cholcje, fer in the Aurlaan tradition P•rloles 11, of neceaaity,
a dubious figure, the leader whO, aa Al•xander Haallton aaya tn
~he sixth F1de;9ll•~· was fer peraonal aottvea
·

••Ille

co•••

aucber •f tha• fa-.ua aM -ta1*al , war._ wbl~h
••
•• tenlnated in the · ruin of the Athenian co..,,nw•alth.

~h• prl•lalv•
~

It is only necessary t• cal 1 that var a o1v11 var to sn" that . Perie lea
la Lincoln'• - roper antique antagenl8t. The queet~n here la1 hov
p
do they contrast with respect to political rhetqric1
·
The single sentence or th• 1peech wbieh had the greateet eff'9Ct
at the tiae and was aoat singled out for anecd(&gt;te and quetatlon
(for instance, by the P~iJ1d1lpbi1 Pr•10 Ind Htrptr'• Wtfi\y) vas
the follovln~ generou• alsehooda
.
The world vl,11 little n0t:e, ner long re11e•ber what we aay
here; but lt can never forget what they did here.
The word

In

5UJl was the only word underecered (F1tet Draft, P• 736).

this emphasis on the soldlers• deed, LtncQln, of oeurn,
_expresses hie senae of urgency in that late fall of 1863, vb.en after
the SWiiier battles of Gettysburg, auch to his dlsappointaent~ ·
expressed in urgent letters to his generals (cf. PP• 711-12, 726-27),
there had been only indecisive 11aneuvering ln the eaat. Lincoln

_

�felt oppressed by unf1nlshed buslnass and had said that hia speech
would be "ehort. short. ahert." the "unflnt.ahed wark." "the gr••t
task reraalning before ua• curtail the foraat of the a~ech, and
in the precipitous elllpsea of the last sentence, .affeet lta gr-.r.
for the sentence lacks all the conneativea here eonjeeturally
supplied a
· It t.a rather for us to be here d•dt.cated .to the great taak
reaalrit.~ before ua •[vhlch aeana] that fro• th••• homred
dead we take increased devott.en to that cause fer whioh they
.8ave the last full •aaure of devotion - [and] that we here
hl~ly resolve that these dead ahall not have ·dlecf t.n valn •
[aoJ that this nation, under God, ahallheue • new birth of
lreedo• • and that govern111tnt of the people. by the people,
for the people, shall not perish fro• the earth•

But the 110re significant aspect of Linaoln'a depreciation of
"what we say here• can be beat seen by contrast with a correepondlng
sentence fro• Perlolea' open1"8• He says!
·
Moat of •Y predecessors t.n this place· have ee-ended hia
who •de this speech part of the law,. telling ua that it ia
well that it should be delivered at the burlal o( thoae ·who
fall in battle. For •Y••lf, I should have thought that the
worth which had displayed itself in deeds, would be auff\,ciently
rewarded by honours also ahriwn by deede1 such aa yeu now see in
·this funeral prepared at the people's coat. And I oeuld have
·Wished that the reputations .of many brave •en were net to be
i•perllled ln the 11outh ef a alngle individual, to stand or fall
aooordlng as he spoke well or 111 (II, 35).

the deprecating phrases barely hide Periclea• persuasion that the

dead must rely on hi• fer their life in the elty•s aeaory, !•r ho,,ar,n~·
that his speech ia worth a battle; as Thucydides thought hls history
worth a war. With that, contrast Lincoln'• assertion that the dead
are beat honored by their own deeds, that they do theiaaelvee honor,
that the task at hand overshadows all ceremony, and hie avoidance
of the pronoun "I".
·
Hore of the rhetorical character of Peri.el.••' apeech le writ
large in Plato• s d lalo~ue . Htgrcenu1, in. whieh Spcrate1 . recitee to
Menexenus an excruciatingly ~own-up caricature of Pertelea• funeral
oratory, which he elai•a to have learned fro• Pericles' hlgh•elaaa
whore Aepaeia. It ls essentially a pervers ton of the •noble lte•
of the Republt.c (414f .) • For tn it the Athenians are•·teld that
they are all autoebt:henoue, deseended fro• those whe sprang fro11
the earth, their aether, and so share equally in a h1gh and heroic
lineage (M!poxenue, 237 ff.). By th• prolonged repetttlen,·of i thla
and other false facts, erateri, .a11 Socrates deacribea . lt,
bewitch our soul•·•••o that even I, Henexenus, when so
lauded by the• feel thoroughly noble, and eaeh tlM I stand
and listen enthralled and think that I have becoae suddenly

�bigger and nobler and Mre handso•e• •• And this exaltation
re-ins wlth ae for •ore than three days (235).

Nov co•pare a speech in which Lincoln deals with the aatter of
traditional colebratl•n•, his Chicago speech of 1858 (p. 401). He
calls attention to the natl.en'• rutn•aboriginal nature, ta its
beginning 82 years ~gor he calla th• faundera,"aen we clala ae eur
fathers and ~randfathers," not hereee, but •tron aen"t he apprevea
of the annual celebratien of the ancestral founder• ef eur present
prosperity and saya drily that "we go fro• these 11eetinga tn better
humour with ourselves.• But · then he stops and r--bera that half
the preaent citizens of the country a,re not blood descendants of
the founding fathers, and he finds that the true co. .on •rather• of
all Amerloana is in fact a declaration of "soral principle,• and
through lt all AMerieana are "blood of the 'blood, and !leah of the
flesh, of the Nen who wrote that Declaratien" (p. 402).
·
In Lincoln's rhetoric, then, general prosperity take• the place
si~nificant founding act replaces continuity of .
habitatlont •nd a peraanent 11eed of sober self-approbatlcm subatitutee
for the 'exaltati•n of the days a tradition e! principle euperoedes a
llnea~e of blood,
And fer all these reasons together, the Aaerioa.n
speaker ls net a •aster aani.pulator, but a ftlitlcal t11g~.al'• the
only course open to a man Who believed, ind etinct eppea tion to
the thesis that •so.e ••n are too isnor•nt, and too ylgloul to share
in ~overnment" (p. 279), .
·

of proud deedst a

that n:. aan .ls ~ood enou~h to
ether' 1 c1 naent ( p. 304) •

~overn

another -n, · wttl]!ut
.

~

The Gettysbur~ Address will, accordingly, turn out to be a
distlllatlen of Lincoln'• political phiteaophy, which he, . en thle
occasion as on many others, atteapted tG infuse tnt,o t;he natien at·
lar~e. a nation distingulahed by the !aet th&amp;t its proaperity ."hae a
philesophical cause" (p. 513). It is !or this reas. n that the vrltt•n
o
versions of the apeeeh have no foraal ealutat ten. - it la addressed to
all citizens. And the brevity that aade its ten sentenc•e at the
.
ti•• so fugitive in the hearing, aake them a "peraanent peea•••lon• ,
ln later readings. For because ef it the speech is readily learned
by heart, and la, ln fact, learned by ·heart by aany aehool children.
But that ••ans that it aay aucoeed in lodging in the ~t in the
fora of seund sentl11ent, e! "virtue and v1~1lance" (p~fh, theee
very propoeltlons, essential to the national life, which are too
difficult - and perhaps too dubleus - to be continually kept in !!.lm!•
Lincoln reco~nized that
.

.

In this age, in this country, public sentlaent ls everything,
since in A•erica si~nlfloant political action depends entirely on
such sentl•ent. Consequently, as a republioan stateeaan, he aade
lt his continual rhetorical task t• guide it,- that i1, te ••nvert
the founding doauaents' sound principles. into the ot.ti&amp;•n•' sober
passion, in unoensclous accO'rdance wlth Monteaquieu•a advice in the
§piri!= ~.ll the L!n•
For he says in the chapter "Of Educatien in a

�-7Republlcan Governaent" that the ~ullar republican virtue, •teve
of the laws and of our country,• requtr•• a kt.nd ef aelf•renunolation.,
a "constant preference of public to private lnterest," and that "to
inspire it ought to be the principal business of educatien" (II,S).
But such love of things public la precisely the product of propeaition
transforaed int• sent1aental Llnoeln'• rhetarlc la ba••d en the
conversion of politlc•l principle into "aoral sentlaent" (p. 401).

••Y••

·
Thus Lincoln, who deprecates what ht
aust •ke every word
i&gt;nl8n&amp;nt with a werld of -•nlng, a~ hia eonte.porarlea reoo~nized
that he did just that. Th• Spr\ng!lfld Rfpubllean ce~nteda

Hts little speech ts a perfect g. . a deep ln feeling, coapact ln
thought and expreaalen, and tasteful and .elegant in every word
and eo...... Turn ba~k and read it over, it wlll repay atudy
as a 1t0del apeeeh. Strong feelings and a large brain were ·
its parents - a little palnataklr« lta tccoucl\§y[•

•ad•

The be~innlng of suctiatudy ls beat
with a acanning of the
whole, which will brlng out the g~and fraaevork of this little speech•
· In time it spans the past ("Feur score and seven years ago"), the
present ("Now we are engaged in a great civil war") and the future
("this natlen ••• ahall have a new birth of freedoa"), ¥hil• in apace
it coraprtaes the battle ground, on which it ls delivered (aiddle
sentences), the continent on which the nation was ~rn (first sentencE
and the earth which it ls to aave (last sentence). ·

11.

The First Paragraph

Linaeln- begln••
Four scere and seven

yea~s

ago •••

"Four score," vi.th its long •h's, repeated in several assonancea,
and the first of 11any alliteratlena, sounds a abre mourttful and
solemn ·, note than the wards "eighty-seven years," but th• choice
of the phrase is not only a J1Atter of sound1 it also carries a ·
speclal iuant.ng. It ta· the language of the Btble, as in Psal11 90, 101
The days 'o f our years are threeacGre · yeara and tena and
if by reason of strength they be fourscore years, yet is th•ir
strength labour and sorrow.a for it is soon out off, and we fly
away •
. With the psala in mind ·the phrase ••ane- jus~ beyond the .ae•ry of
1
anyone new alive, too long ago for living lleaGry. Now ve know that
from youth on Lincoln was concerned with a peculiarly Aaerlcan dangers
the death of sound political passion. In hie speech on "The
Perpetuati•n of our Political lnetltutlons" of 1838,s Llnceln drew
a clear parallel with the early cofllltlnlty e! Christians, whose danger
lay ln the fact that the first generation of disciples and eye•
witnesses was followed by a second which had only heard by word of

�-8-

mouth, by a third which had begun only to have read of Christ, and
a fourth which had begun t• fer~et. So in the Aaerican co11munityi
the ecenes of the revolution

J2.! so universally known, nor so vividly felt, as they
_,,the generation juat gone to r••t (p. 84).

CtQDlt

..r.

The ••n who had seen the Revolution, who were its "l tving history••
are now genes
They were the pillars. o! the temple of llberty1 and now,
that they have cruabled away, that teaple 11ust fall, unless ve,
thelr deseendanta, .supply their places with other pillars,
hewn fro• the aolld quarry of s&amp;ber r~ason (p. 84).
The danger that the enthuslaa11s of the Revelutlon aight beco11e mere
myths .has advaneed to a fact in 1863, the ti•• of the fourth generation
fro• that eventa the national edifice has to be rebuilt "fro11 the
solid quarry of sober reason." This la the age for a deliberate
11ining of the ft.rat aceounte, for rereadl~ ·the founding docuraents·.
Se, then "Feur 1oore and seven years ago" points to that quarry,
that alne, ef reasen. Subtract .87 fr•• 1863 and the result 18 1776.
Lincoln cen1idera that th~l natt.gn was both conceived l~ and born with
.
the Declaration .2! ln1'pt_enc§• ·· on July 7, 1863, in response to a
serenade en the eccas ctn o the . victory of Gettysburg. under the
influence cf the providential coincidence that both the victories of
that battler . and Vicksburg had been announced on the Fourth or July,
and that Jefferson and John Ada11s had both dled on that day, he
had said1

How long ago ls it • eighty odd years • since -on the Fourth .
of July for the first tl•• in the history of the world a natien
by its representatives, assembled and declared as a self·
evident truth that "all 11en are created equal•• That was the
birthday of the United States of America (P• 709) •
...
And in earlier speeches he had often counted back the et'ghty or
eighty•two years to 1776 (pp. 39!, 393)• In repeatedly fixing on
the signing of the Declaration as a crucial date, Lincoln ls making
a deliberate pelltieal judgment concerning the 'hierarehy of founding
events, different for instance fro11 the of Toombs of Georgia who ·
had begun a speech ln 1850 in this waya
Sixty years ago our Cathers joined together to form a more
perfect Union. and to establish justice ••• (of. P• 216),
refe.-ring the foun&lt;1log Sl[ ~republic to 1790 (the date when the las~ ­
ori8lna1 , state ratified the Constitution), and quoting frora its
Preaable. Lincoln's veraien ~ives rather the birth .2.{ Sh!! nation.

�- q ..

He goes

on~

••• our fathers brought 'fbrth on this continent, a new natlon,
conceived ln Liberty, and dedicated to the propoeltlon that all
men are created equal.

The "fathers" - he calls them fathers, although they are only
forefathers, to bring the Revolutlon close - are a very deflnlte
group of men. In another context he had said•
I suppose the "t:hirty-nine" who st.gned the original instrrn..nt
(here the Constltutiona.ay bf!' fairly called our fathers who
t'r••d that part of th• fresent Governaent (p. 517).
In this speech, then, "our fathers" must be those men, tn .part
identical vlth the signers of the Constitution (p. 305), who devlsed
and signed the Declaration, ~specially Jefferson.
·
·
. .. These men "brought forth"• thts is again Biblical dlctiona ' the
phrase ls used, for tnstance, . ln ~ 1, 31 in the annunciation of
the Messiah's birth. They •brought forth on this continent" (all
. versions but the last two had "upon•) L ther.e are undertones here
of "begot upon the body of this land,• "fathered on thla .fallQv
contlnent a1 aother•a the child nation ts safe tn the ' lap of a
whole continent, capable ef protecting it from foreign: interference
and o! providing those unlimited riches whlch are ita material
condltlon.
The new nation was •conceived ln Liberty• ("liberty" being the
only noun capital lzed beald,,.~, "God") 1 not conceived in love aa are
blessed children, but conc,lVed in the love of liberty as are
bleased nations \Cf• P• 315)~ Thus the ~gettirut of this nation
was a begetting of reason (so. also "bringing f'orth" can mean
·
"uttering reasons," cf. 11111!} 41.21), primarily a male acta as in
Aeschylus• &amp;U!!ent.deo the begetting of the wisdom of Athens, the
conception of Athena, is exclusively male (1. 736)1 America ls a
fatherland, not a Henexenean aotherland, and this lend' Lincoln's
•patriotis111• a special cast. Upon this conception, thtJ nationchild vaa dedicated to a proposition as in a baptism. The proposition,
"that all men are created e.ual," was tn quot,tion marks ln the first
draft (p. 735) since it com.ra. from the second paragr4ph of the ·
Declaration of Independence.
·
I! these are the tmplications of the first, and shortest, of
the three paragraphs of increasing length, what ts its sign1flcance7
Consider ftret the continent, the first Qf a nation's three
parts, which are "its territory, its people, •nd its lava" (p. 676).
The second Federal1et says
Thia country and this people seem to have been made
for each other •••

�-10-

De Tocqueville makes the s&amp;11e point of the United States1
••• God hlaself gave the11 the 11eans of remaining equal and free,
placing the11 upon a boundless continent, ••• (De10s;racy
!n A11eric1, I, xvii).
·
by

Lincoln too, especi-ally in hia ·Annual Messages to Congress, spoke .
almost with awe of the continent, "the ever-enduring part" of the
nation, whose riches give llb~rty an object, whGae 1.11pregnability
fosters an unlnvidious patrl~tls11-, and whose integrity makes
secession a chlmaerae
Physically speaking, we cannot separate (1861, P• 586) ••• the
land we inhabit ••• would, ere lo~, force reunion, however auoh
blood and t;reasure the s•paratio!l might have cost (1A62, P• 679).
Such a contl~nt makes the fittest ground for a aeed of principle,
for a continental spac• is needed te safeguard the first e11bodt11ent
of the deaGeratlc ldea.
Next• What of the blrthdate of 17767 Censonant . with the second
Fedgallst, Lincoln held that the Declaratlcan of Independ•nce ·was
.
~~te- by the Union, for~ally established by the Arti~les of
Assoc atian 1774, and was ft~~ceeded by the establishment of the
Constitution in 1787 (p. 5~. This sequence was of the greatest
stgniflcance, for 1.t ·aeant - that the nation's birth was a birth of
principle, whose issue was •ads peaslble by the ali~htly . antecedent
union of the people, and whose nature was kept safe by allowing the
practical . lnstruaent of its life to wait on its conception. · Thus,
usln~ phrases borrowed fro• Proverbs 25,11, Lincoln, wrote of the
principle .. Liberty to all" as expressed in t:he Declaration•
·
The assertion of that principle, at .tl!!£ ,.t.111§., was the
word .. fltly eppktn .. which has proved an "apple--orgold .. t;o us.
The Union and the Constituti•n are the pictut:s! of §ilver,
subsequently fraaed around tt ,(p. 513).

Herf! "subsequently .. 11t1st, ln the case of the Union, mean not later
in tiMe, but in pelltlcal priority.
Lincoln. then, held the Declaration ta be far more than a
declaration ef independence (cf. PP• 574, 577), and lndeed, it
would in that case have been a peculiar docuaent to cite in a war
to. fight secessi•n• But 1.t 1§. llUCh mores for its wri.ter, Jefferson,

had the coolness, t:orecast and capacity to lntroduce 1.nto a
Merely revolutionary document an abstract truth, ••• (p. 489)1
and lt is precisely 'by the o•lssion of this truth that the various '

"merely revolutlenary .. Declarations of Independence adopted by the
Union's adversaries are characterized (p. 607). And so Llnceln eaysa

�J have never had a feeltng polltlcal.ly that did not sprlng frofti
the eentlraente embodied in the Declarat.lon of Independence.,.
It wan not the 11ere 11atter of the separat \.on of th" Co lonles
fro11 the •otherland1 but that sentiment ln th• D•clar.atlon of
Independence whlch ~ave 1 t.berty, not alone to the peopla of thl ; ;
country, but~I hop~, to the world, for all future time (Adores~
10 ~Jl~1J11en!"t1nc,; ll!ll, 186 l, P• 577, cf. PP- 362, 513).

Now what l8 of pt·lme lmportance ln the speech ls Wu! these
pr lnc lplft~, which mark the tru.t beg hmlng of the nation, are hel d .
tincqln denomlnatf!~ t h ers "concrp'lgn§'" nnd "Q!oposi~12n~." In the
Of!claratt.on the fftthers hact he rl that they were "ltelf-~vid11a.nt Truths .;
So11ftthln~ hae happened between the foundln~ and the present: which
forc~u Llncoln to c4ll the axi.011s o! the Declaration mere proposltlo n
Th la le 'fhllt had happened 1 tpe Declarat: ton had been cal led ln
publ lo. 11 a aelf·evlchmt l le, .. a phrase Lincoln often clted with
rfl!pu~nanoe (pp • .
'314, 331, 489, cf, P• 275), for i.t qreates a f a tal
sltu11tlon1

One would ~tart wlth great conf 1.dence that he coulo convlnc
any sane chlld that the et11pler proposi.tlons of Euclid are trueJ
but neverthole~se he would fall, utterly, wlth one who should
deny tho de!tnltiona anc1 axioms. The pri.nciples cf Jefferson
Are the de!inltione •nd axi.01110 of free soctety (p!. 489).

That Llncutn hac'I 11ade a epecial effort to study t~xte concerned with .
itnrt to ponder the natUJ;e of, axt.or1att.c sel!·evtdence and logical
conaequeno• is k.nown. In hls short autoblo~raphy he particularly
nientiQne that he had "studt.ed &amp;nd nearlv 11astered the six books of

F.:uclld tttnce he wae a me1'1lber of' Co~res; .. (p. 549). He understood
that melf~evldence le a peculiarly delicate affair. since once
impugned, one~ only dented in publtci · a,self•evtdent truth turns
lnto a debatable proposition. Yet as the axtom, precisely by reason
&lt;&gt;f lts eel!•evldence. was unprovable, so the . proposition has no
·
rational proof from hi,gher prtnclples, but can be verified only
fro~ its consequences or • draadful prospect - from the fatal
consequences of ite oontrary. !hie, then, ts the peculiar danger
or a natlon which lives on a tradition of expl{clt prl~ctple rather
than of ingrained myth, • prlnclple afflr~ed at its very beginning
in one event: whose impact no later ones, wlth l:he unhappy exception
of 1Jo11n catastrophe, ce.n match· that it grows blind to the selfevldence of lts conceptiona untll a catastrophe opens lts eyes.

And now, what.,more precisely, are these principles whose s tandi r
has changed? In the words of the Declaratlon they are1
that all M~n are preated equal, that thoy are endowed by their
Creator with certain unalienable Rlghts, that among these are
Llfe, Liberty and the Pursuit of Happiness.
Bere equality of creation, equality before God, precedes, and ls the
condltlon of, the other rl~hts, of whlch only some are named. One
etrlkln~ o~teslon ls of positive importance, slnce wlthout lt
Ltncoln could scarcely have cited thls document ln that year which
had be~un, ln the Emanclpatlon Proclamation of January · t, lR63, with
what was ~dmitteoly a destruction of the property of many Americans
·1. ·.·

�-12-

(p. 6At). In Leok•'• teeurrent f•raula .. ll!e, liberty and preperty
(or eG.. •qulvalent fer
l••t• ni.
Itt•t~lf .It C1Y.1l
~'!.!,nuot• ••8• par••· 123, 11,, lli),• •r•en•~ 1ubitltiited
?Or prepert:y .,the Purault ef ff•J&gt;plne11, • l••vlns the , erl9lnal p"ra•e
to be pt.oked up in the Con1tltutten (p. 524). Exoept fer thi•
sub•tltutlen th• Deelaratlen -.euld b.ardly have been ••
t•
the heart ef Lt.nceln, wtMI r ...•bered wt.th apprnval

th•

11

S•J•?f

cl•••

that ttw Je!feraon party were foraed upon it• ~UP'8••&lt;t 1upet:'ler
devetlen t• the peraenal rtfht• ef aen, holding th• rl1hi• •f
property te be eecendary en y, and a•••tly t.nferl•~•·•• (p. •&amp;&amp;).

But a ••••nt
v•r dead
epeelfleally
• r • reuin,
th•

ef natlenal erisle and

t~•

ee•••lGn •f ••••... rating

lt 1earoely an eppertune tl•• te ·dwell en the

per1onal rlgftts te life and th• pursult ef happlne•••
eut et: th• Deelaratlon, tir•t equality •nd then libert1•

Nov Llneeln ••••• in thl1 epeech ta reverae tht1 erder in
setting l 1berty as th• orla1M1 ··oe'n.eeptlen, •• he had befere tented
"Liberty to all," ~ principle of the Deelaratien (p. 513). Jut
el eevhere he 1aya a ·
·
1

I believe that the deolaratienthat "all "'fin are created
equal" l• the gr••~ ('und1••nt:al prlnaipl• upon vhlch eur
f9M t i.Qtih.~~l- . i"••~ "f ~ 1
·479) I

.

l.t le tha feundt.ng prinelple to be kept: tn vlev, !er ln1t•na•, when
the terrlteriea pa1a eut ef a state ef nature and the !•undatiena
of aeeiety are latd. What do•• Llneeln censider t:• be the real
relatton •f these twe prlnclple•?

De Tequev1ll• lri th• ohapter inquiri"' .. Whr10. . .oratie Natlana
Shew a More Ardent and Enduring Leve o! lqual tty than •! Liberty•.
(n. .1yr11y in AMtlll• II, ii, t) een1lder1 lt.berty and equality
two d v•r•• aM in •P•ndent thtng1 1 ef vhloh equality pertain•
pri-rlly ta th• •••lat, liberty t:e the pelltlcal sphere. Yet
he ad•lta that ultl..tely, radlaally, ceneldered the t"t are what

weuld be called tn legtoal ter•a •co•..naurately unlveri,t,• that
11, they i•ply eaoh other•
·
It la pe•alble t• l••8ine
freedom and equallty veuld

•••t

an

I

extre•e polnt at which
and blend.

Lincoln take• exactly tht.a '*extr•••" .ul•• · '.ff8, bbit11-'111"r'i1•t•
eut hl1 underatandlng of the prlna1ple ef equal1ty with respect t•
the alavery que1tlen, whlch would appear to be prt.aarlly a queatlen
of 11berty • On the ether hand, ...h•. lnt~rprete equal lty ef ereat; ion
t:• -•n •r•ol••lY the .PO•••••l•n'ef 11 unallena-le rlght•"• chief
wh1eh le peilltt.eal liberty. The Deolarat:1en. alttwugh by ne aeana
declaring •en equal J.n Ill [!lltct1,

••Iii

�- 11-

At the Srime time&gt; true t:o the openness_ deman&lt;ted by the prtnc.i.ples
he usually abstains from the rhetorlcal compulsion of specific pleas,
these sentences of his .last public address, deallng with~
burning problem of the moment, are typlcal1
In the Annual Message of Dec. 1863 and accompanylng Proclamatlon,
I pre~enterl ~ plan of re-constructlon (as the phrase goes) which,
I proml!ied, if adopted by any State,- should be acceptable to,
and sustalned by, : the Executive gov.e rnment of the nation. I
distinctly stated that this was not the only plan which mi5ht:
possibly be Rcceptablea ••• (p. 797).
·
Instead of att~mptinp, to compel the people t:il ·a co1:itse deduced
. dogmatically, in the manner of an ideoloe,tst:, h~ presented in the
words of the London Spectator,

A poli.tlcal transparency, ln which the nation could see an
lndivldual character of great power working out the problems
set before them all •••
He manages to make these problems supremely absorbing, and he does
it by making almost every speech an interpretation of the founding
documents, in whlch he reveals at once their inexhaustible
radical t.ty and their enduring applicability - by g.lvlng ,Americans a
secular complement to the Scriptures (p. 84).
With respect to the promissory character of democratic
principles, Lincoln 1mder:scores lt by projecting the . growth of the
past into the futures

There are already among us those, who, if the Union be preserved,
wl 11 l lve to see lt contain two hun&lt;1re&lt;1 ann fifty mll 1 ions.
The struggle of today, ls not altoP-eth~r for t.oday .. it ls for
a vast future also (p. 635, cf, PP• 681, 75f1).
The present is thus understood as being the sponsor of the
futures yet the future · ts, 1.n turn, nothing but t[le magntftcation
of the past (cf. p• 656). But polttlcally the American past ls of
a. pecullar sorta it ts not an extensive, unbroken tradition but t:he
memory of a s1.ngle, lntense event - just as a fabric of reason
beg.1.ns with a principle from whlch lt is derived, so the history
of democracy beglns with the Revolutlon. Lincoln intends to assure
that that beelnntng ls present to the futur", that that event
remains the tradltion which governs the future. For the prlnciples
of the fathers are, by their \lery nature, the r.oot of the future
insofar as it ls good.

An&lt;l finally, wlth respect to the passive and incurious mode
in which the democratic principles of equality and liberty tend to
be accepted, it is significant that Lincoln himself never attempts
to raise the question of their truth, nor even .to supply a defl.nl.tion,
exc.ept in extremely slmple, and negative terms. So he says,

�-14-

state of nature exists, Cengreae. with the aid ef that "standard
•axia for free society" (p. l61), the principle of equall.ty, 11 laya
tbe foundations ef society" (p. 479) • pelltlca precedes eeciety,
not the reverse (p • . 279). Thua, since 1001.ety ls 1ria~qallf
based on pell.ti.cal pri.neiplea, which .theaaelves nave a -r• and,
finally, a rtl\g11u1 basia, Aaerican lite depends ulttaately en a
higher source. And ••• by his reference to the principlet ef equallty,
Lino•ln realnda the natl•n which laeka the earth-born equality of
coa•n · blrth, teuted for Athena t.n the Her•QUI• ef a coamn high
.
paternal origins it la a natien equal •un er God."
III.

the Second Paragraph

Now we are enga$ed in a great ctvll war, testing whether
that nation, or •ny natten so conceived and .so dedicated, can
long endure.

In hie •iddle paragraph Llnooln passes fre• "four acere and aev&amp;n
years age• and •our fathers" to "nev" and "we•, fro• the Aeneratl•n
of the Rev•lution to the generation ef the ' Rebellion, ef the "great
civil war", which, ln its enor11lty, he had in the·daya •f the
victory ef Gettysburg teraed, in Hiltonlc language, a "stgantlc
Rebell ton .. (p. 709, ala• P• 702). Indeed there was to hi• aeaetht.~
ef the .Fall ln the wanten
destructien ef our national fabric, with all its benefits, tta
11e11ories and its hopes, •••• Will you hazard ao desperate•
step, ••• while the eert·a1n ills you fly t•, are greater than
all the real enes yeu fly fre11? (First Inaugural Addreaa, P• 584)
Yet in that very a,..eoh Lineoln aaintained the right of
revolution (p. 587), whleh he had already aaaerted in the House as
a "sacred right" during the war with Mexico, in a speeeh attacki~
the President fer waging, without. consulting Congress, a leng,
aggressive and 1..,ral var (p. 209). · But, he aalntat.nec:t,11 the actl•n
of the seuthern st•t•• was not revolution, er aecessien, but
"rebellion" (p. 602),

·

·

Why was it net seceaslon7 The word, he declared to Congress,
i11plles the legality of states leaving the Unien as statea. But,
he had said,
I. hold, that ln conte•plation of universal law• and ef
theCanetltuti.on, . tpe Union of these States 1s perpetual (p.

582)~

This ls · because the Union represents the fundamental social caapact1
aa Locke says in Ihe S~con!! treatise 2f Ctvtl Goverm1ent1
That which ..akes the coaaunity and brings aan out ef the loose
state of nature lrito one politic aociety ts the agreeaent which

�everybody has with the rest to incorporate and act as one body,
and s.o to be one dlsti.nct commonwealth. The usual an.d almc~t
only way whereby t:hl9 union ts dissolved is the inroad of
for\.'ign force making a conquest upon them ••• (para. 21 t, of, 243).
Secession of any sort therefore does violence to pollt:lcal society
itself and ts simply insupportable. But formally lt was a theory of
statehood .which allowed Lincoln to maintai.n the absolute p..,rpet:ulty
of the Union, a theory which again turned about the date and wordi~
of the Declaration of Independence.. He observed that that document
first declared the "united Colonies" "free and independent st:at:es"
(p. 603), so that the Union, whlch had preceded independence. hlid
certainly preceded statehood. Accordingly he denied that the new
Confederacy was right ln claiming that the Art i.cles of Coo.federat: ion
adopted by Congress in the year af'ter the Declaration, .according to
which MEach state retains its sovereignty, freedom, and independencett
(Art. II), repreeented a kind of prototype pertod, a state of nature ~
so to speak, for the States, in which thelr original sovereignty
· dlsplayed itself. For the Union, having prec~ded the Declaration, .
!! fortiori preceded any organic law, as shown by the Preamble of tht:
Constitution. which speaks merely of ·establishing " a ~ perfect
Unton"' (p. 582). The states had never existed 11 out of" the Uni.on, .
but had entered it, insofar as they were entitles at all, only as
colonies, or, if territories, from the state of nature' (p. 479)1
Our States have neither 11ore nor less. power than that reserved
them in the Union by the Constitution - no one of them ever ·
having been a state out of the Uniona The orlglnal ones passed
into the Union even ~fore they cast off thelr lirltlsh colonlal
dependence, ••• ,. The new ones only took the designs.ti.on of
States on comtng into the Union, while that name '-ra.s f tr st
adopted for the old ones in and by the Declaration of Independe &lt;
:
•••• Having never been States, either in substanc~ 'or in name,
outside of t:he Union, whence this magical omnipotence of
"State rights", asserting a claim of power to !awfully destroy
the Union ltself7 (pp. 603·604. cf. P• 572) •
....

"

Hence the assumption of the states• power of lawful witttdi:awal ~as
a "sophlsm" (p. 603).. Lincoln's term "civil war", i.11pl'les precls~ly
the denial of the Confederate view, that it is a "war between the
States.•
·
'
This 1s only apparently an appeal to•er~ dates. · Here history,
ln the providential course lt . seeras to run on this continent, dlsplay
the nature of the case, for the Unlon comes naturally before the
states, b~ing the ground and guarantor of that popular goverl'l.lll,ent
which is the incarnation of the founding principles. Thi~ le
.
expres$ed in its instrument, the Constitution, in two places. Fire ·~.:
ln its Preample1 the very phrase, .. We, the people", le meant to
ind lcate t,hat only a unlted people, ·speaking in it:e own voice, can
sanction republican fundamental law - as Lincoln had pointed out, it:
had been precisely this phrase which was altered in the new ,southern

�-16document to •we, the deputl•• of the sovereign and independent
States•, in aeoerdance with the fact that the new Deelarat1ona had.
omitted the words -all ..n are ereated eqwa1.• •Why thla dellberata
preaalng eut •f vtew th• rlghta of •en and the authertty ef the
pectple7• he ••k• (p. 607). seoendly ln lte bodya the Cenatitutlon
provides that "The Unlted St:atea ahall guarantee to every atate ln
the Union a republican fora of gever1t11ent• (Art. IV, Sec. 4), ••
that
if a atato ••Y lawfully

g~

out of the Union, having done so,

lt uy alee dlseard the relf)Ubllcan for• of Gevern11ont1•••
(p. 608, ef, P• 740) • ·

the Union is reapenalblle not eniy for th• eatabliahaent but al10 for
pervasiven••• of republican institution•• But «le T•equev111e

••Y••

Th• •overetgnty ef the Union la an abatract beln.l•••t the
sovereignty of the atatea if perceetibla by tho
eaally
understood, and constantly active {DtlJllC[ICY !D Aurtc1, l, xvltl } ,

••n••••

Lincoln's effort ia, without detriment to tho dl1tlnctlveneaa of the
states (p. 446), to turn this abstraction into a palpat.le feeling,
as 11Uch •• anywhere ln thla speech, ln which out of tactful respect
for the fact that .it is a natlerual but not a federal cemetery which
is being dedicated, the w.rd "Union• never appears.
Now the right ef aeceeaion being rejected, what happens to the
right of revelutlen? Lincoln thinks on thi• crucial matter as a
radical conservative. That le, when charged with revolutionary vieva
he protest• his eeneervatlaa'i
What la conservatiaa? ls it net adherence to the old and trl•d•
against the new and untried? We stick to, eentend !or, the ·
identical old policy on the point in controversy which w~s
adopted by •our fathers who fra11ed the govermaent ·under which
we llve" (p. 528),
.
·
but alnce the controversy referred to is the extension of alavery,
which Llnceln opJ&gt;Gsed with all hls ai.ght, his v"ry opposition to
change t.1 made in the spirit of the Revolution. ' In other wrda,
in this country, whose original government vae cenatituted by
revolution, the aoat pregreaaiv• side tries most faithfully to return
to the beginnings, so that even innovations are aade in a context
of rational arguMent with the fathers (p. 525). It haa once and !or
all preeapted the Revolution, embodied in the process of change by
majority decision, so t~t henceforth all rebellion is counter- ·
revolution • . In a well-f11unded pol tty, justice ls almost o•lncident
with organic law, and a sense of justice with the intention to
preserve it.
In practice this means, on the one hand, that bad laws

�.. I 7 ..

should be repealed as soon as possible, still while they

- contlnue 1.n force·, for the sake of exa11ple, they should be

religiously observed (p. 81),

·

even 1.f 1.t is expected that they will be .held unconstitutional (p. 58 ~
and on the other, that no law or decision need become 9• a rule of
polit:ical action" (p. 418, cf. p .. 396) until it is judged to harmoniz(
with t.he intent ion of the Founders. · The right to revolution does

remains however it ls clearly c1rcumscr.ibed, n.nd :tn such tP-rms as to
reveal the chief function of the Conatltut'-on in a working democracy c
If, by mere force of numbers, a majority should deprive a
· ~lnorlty c.•f any clearly written constitutional right, le might,
tn a moral pob1t of view, justify revolution .. certainly would,
if such a !°-ight were a vital one (p. 5'84).

The issue mu~t, then, be one of constitutional rlghts dented, or
extra-legal action upon i.t constitut~s an upris1ng against the
people• So Lincoln says of th~ aecessiqnisttu
.These politicians are subt i.l-e and profound on the rlght:B of.
mlnoritieB. They are not partial to that power which me.de

the

Con~t:ltution,

and speaka from the preamble. calling 'itself

"We, the People_" (p. 606).

Thus any sectional or factional uprisif\S, upon a mere feeling of
dissent or discuntnet, or ev"n ort a plea of "social just tee", no
matter how worthy of sympathy, b~ing dir~cted against that government which ls itself the first living and prospering incarnati.on
of the r~volutionary principle,
conoucing ~ore essentially to the ends of civil and religtous
liberty (p. 76)
than any previol!sly known, wi.thout ' vlable alternative, and moreover
as Lincoln emphasized, containing the means of lts own a~endmenc
wt.thin itself {p. 587)~ ls a catastrophe of a p~culiarly _ allful sort.
Llncoln d~cl ined to participate in it even where hla sen•e of jt•stice
was completely outraged (p. 3]6). For the man who
proposes to abandon such a Government, . would d&lt;.' welt to consider .
in deference . to what princ-lple it ls that: he does it' what bette·
he i.s likely to get in U:e !l!teach .whether the substltute will
6lve, or be intend~d to give, so much of good to the people?
(p. 607).
. .
The question is thus always, in Lincoln's a&lt;laptat1.on of Hamlet's
weighing. of suicide (III, i, 82)•
Will you hazard so desperate a step, .... whi.le .the certain llls

you fly to, are greater than all the real ones you fly from7
(p. 584).

�·18-

Thle , v.ar, Lincoln goes on to say., ls a .tJ!.1..k• The oriaia has the
nature of a teat, because, aa he had aatd 1.n -iits ..aaage to the
Congress vhlch he had called into special session to aeet on that

fateful . date e! July .4, at the beginning of the war ln 1861, thla
goverruaent ls an experl•enta
·

· Our pepular govern•ent has often been cal led an experlaent •
Two points ln it eur people have already eettled - the auoceaaful
t•t•rl19hi~, and th~ eueceaaful 1~11ni•f•{1Dft ef it. one atlll
0
re11a ne • ~. auooeasful 11tifilY'nc1 aga net a foraldable internal
.
attempt to overthrow 1t (p.
. •
·
.
.

As a final phase of 4n experiaent the war represents one teat for
all cases, a aodel caae of a natl.en established' on expltcit prinoiplea,
ln which two rutceasary foundi~ conditions, na•ely the vtade• ef
the fathers and the reeeptivity of the contin~nt had been optiaal •
lf. this ?14tlon fails then it la de11onatrated that "any natlen• muat
fall. Thia ls how the American enterprise had. been underatoed fro•
the founding1 lt 1ee11e te have been reserved", says the ft.rat
Federal tot
11

to the people of thie country, by their conduct and exaaple,
to decide the i11portant question, whether oocletlea of aen are
really capable or not, of eetabl iahi"R good govet·!Wetlt fro•
reflectlen and choioe ••• ,
and this very thlng h•d •oved de Tocqueville to write his book
(I, xvli9 end). When the Thucydt.dean Pericles calla the whole city
"an edueatlen to Greece .. (II, 41)he •eans that Athene 11 the· unique
and t.ni•ltable cynosure of the Greeke1 when Lincoln calls the
government an experiaent and the present war a teat.1for all natl•n•
he offers Amert.ca as a practical poli.tt.cal pattern to the werld.
The funda11ental iseue, whlch t.n the course of the war had beoo•e
"distinct, staple and inflexible• i1 an lssue which can only be tried
by war and decided in victory (p. 787). But how can a war be a teat
of anythi.ng? The var vlll, .Llnceln says at lt11 beginntnai, teach th~t
when ballots have fat.rly and constitut't.onally decided, there
can 6e no succeaa!ul appeal baak te bullet•••• (1861, P• 608).

Is Lincoln rutt aelf •contradt.ctory here? How could the suooeasful u1e
of bullets tn thi• var preve that there can be ne succeeeful appe•l
te bullets in republlca7 Or, lf the argu..ent ia that strength at
war ls the converted strength of the ballet box, will it not be
necessary to say that every outco•e proves the principle of popular
eoverelgnty? Certainly, Lincoln f&amp;und his old "faith that right 11akea
might" (e.g., P• · 536) corroborated by the popul.• r aupport the Unlen '
co!Ulanded {pp. 606-7, 764, 786)1 to hi• the solid conservatism of the
11ajortty was a sign of political soundnesa • . But as the war went on

�he looked ure often to a higher judge, to .. the God of battles .. of
the Revolution (p• 264) ,· who• the theoreticians o! popular governnem:
had not been able to aveld invoking.

In the Seoon~ Ireatloe g.! Civil Goyer~en;. Locke says, not
perhaps with much inner conv1ctlon, but rater driven by the argu. .nt,
that
where there 1• no judicature on earth te decide eantroveraiea
amongst men, God in heaven 11 Judge (par••· 241-242, of. 168).
And the Second Inaugural Address (1865) ls a fervent reference to
Psalm 19,91
qth• judg••nta of tha Lord, are ttu• and righteoua altegether•
(p. 793, of. Letttr ~ A{ G, Qqd111 1. Aprll 4, 1864, Which
anticipates · the Inaugura ).
. .

And in a private ••dtaation on the divine will "net written to be
seen of men• in 1862, he ascribes the dlreotlen and the outcn•e of
the war entirely te the will of God who uaes the contestants ae his
•huraan instruaentalitles" (p. 655, cf. P• 610). While there ls
still peaoe, Ged'a juds•ente are ~lven by hie •8Nat tribunal, the
A•erlcan people• (Firat Inaugural, P• 587), but ~nee at war, the
Almi~hty adjudicates. Frcn• the day Lincoln left for wa·• hington, as
Prealdent~e1ect, he did what the A•ertcan people have always expected
their fallible fellow citizens who rule the• to do - he co•mitted
himself te God, (p. 568), aa the only power htih enough to oversee
the tendency •f the whole, and in this spirit he CGnttnued1
I olalm not to have controlled events, but confess
that eventa have controlled me. New at the enp of
struggle the nation's cenditien la not what either
any 11an deviaed, er expected. God alone can clat.11
!2. A, q, H9dge1. April 4, 1864).

plainly
three y11tars
party, or
it (LetterI

Exactly what the test · was to prove Lincoln had· stated already in
his •Perpetuation• speech o! 1838. It was to b~·
a practical de•onatratian of the truth of a propositi•n• which
had hitherto been cnna1dered, at best no better, than proble11atloal
namely, the ~rAtltv 2! A pegple IA gove~n themoelyes
(p. 82, cf. P• 1
•

"The experiment is successful", he had then added, but as the self•
evldence of the axlom · e! equality had begun to fade, se it• practical
oonsequence, the gevernaent, was thrown t.n doubt. The more precise
forra of. the questlon n.w lsa
.
·whether di.scentented indlvlduale, too few in nmnbers to contr•l
ad11lnistration. according to organic law, in any case, can always,
upon the .pretenses 11ade ln thle case, or on any other pretenses,
or arb.ttrarlly, without any pretense. break up their Government,
and thus practically put an end to . free goverlll'llent upon the earth ••

�-20•ts th•~•· in •11 republtoa, thls inherent and fatal weak"-••T•
•Huat a Geverftll8nt, of neoe11lty, be too
tor the 11bei:tl••
of lt• own peeple, or
Kl!k te •alntaifi?ta evn ex1~teneet•

n1ou

t••

(p. 598).

·
That • natien, heir te the •tuM••ental bl•••lna•~ •! th• •falr•et
portion of the earth•, lnvulnera~l• t• lnva1l•n• •• ~•11 ••tea
fref· gover1111ent, eeuld enly "die by auieide• (pp. 76-77) had lene
see1ied plain te Lt.nceln, though at ·the t i - (lRl8) 1'• had tboual\t
that thi• internal trlal would take th• fer• of that p•rv•,•l•n of
de11c .cracy, whioh he called •ubeeracy•, in vhleh.
JtMPl• l.Wt.•
vldt1ally forget te ~evern thnaelv••• Nev lt tum1 eut that ln hit
century the teat of endurance baa taken th• for11 't elvll war, i n
whl&lt;·h a whole a•g•nt of the Mtian refuaea td aubaltl 'i• lte !'.'I

t•

StY!·~~rtl•

t::

.

··~. :-::~
..

Lincoln goee ona
We are .•et en a Areat battle•fleld o! that war.
But he avoids any particularization of the circu••tancea ef the
battle of the great . war 1 iV§tC~.~. tit4 treated that at length.

p,re~ . test

Lo::·-··.-"·"" -' ··- ·" ,::;: . :... - .~---=a:~..--:r..:::::::.-q:;::.r:;ctr.J•P"'

We have colle to dedicate a pertlon of that field, as a ·
final resting place fer thoae who here gave their lives that
that nation might live. It ls altogether fitting and proper
that we should do this.
A pi.rt of the fi.eld, which had, incidentally, been called Ce•etery
Hl11 even before the battle, ls being eet aside as the earthly
dom .ln of these newly dead soldier• vhe, ae the father• gave the
nat1 .on birth insured lt11 continuing life.
IV.

The Third Paragraph

But in a larger sense
we can not dedicate we can net consecrate •
we can not hallow •
this ground.
The third paragraph has features of an incantation, repetition and
rhy11e, but it ls a negative incantation. It begins by warding off
an 4!rror1 fit and proper though it may be in a narrow sense to
comtuct dedication ceremonies, there la danger that the present
gem,ration, txhat •we", •ay substitute the redundant rituals of
ded~ .catlon, censecrat1on and devotion for dedication in the sense of
the fathers, 'that dedication of a piece of ground may take the place
of 1:he larger ded'lcation to a proposition called for. by the great
war. So one can hear tlhe steady lambs of Lincoln's three-line
rhyritng ref'raln perturbed by a warntnge11.phasls on "we 11 •

�•21-

The brave aen, living and dead, who struggled here, have
consecrated it, far above our poor power to add ~r detract.
With this sentence Lincoln honors at ol'\ee the Union dead, the
Union aurvlvora, and genereualy but tactfully, the enell)', fer the
phrase "the brave men, living and dead, who atruggled here", with
its intranaitlva. uae ef the verb, applies also . to the other alde of
whom about an equal number, 23,000 aen, had died (p. 712). Lincoln,
unlike Pericles in speaking to the Greek Athenians, always keepe
before hl11 the· terrible fact of the civll war, that Alierlcana are
fighting Aaerican1. He aaya not one derogatory werd of the transient
enemy a -three weeks after the Addreaa, Lincoln issued a Proclaut;.ien
ef Aanesty and Reoonstruction giving tull pardon to all ordinary
ct.tizena whe would resuae allegiance to the Unt:on (p. 738 f.). As .
always, he ·av•lda 11.aklng dlviaiena, fore
Our strife pertains to eurselvea • to the passing generatlens

of mens and it can, wlthout convulal•n, be hushed forever with
the passing of one generation (p. 679, of. P• 588),
1

and
What I deal wt.th ta ~9.9 AIJ'.&amp;! .f9!': malicious deal 11)8 (p. 650) •
He goes ona
The world will little note, nor long remeaber what we say here,
but lt can never forget what they dld here.
·

as

It la. known that Lincoln considered the speech a failure
a speken
speech, for he h.ad told a friend right after its delivery1 •Lamen,
that speech won't ocour. It is a flat fallure and the people are
disappointed.• The ea11e thing had happened with respect to hls
second moat renowned speech, the Second Inaugural, ·about which he
had written to a friend•
·

I expect the latter ta wear as well as • perhaps befter than •
anything I have producedf but I believe it is not ilQlediately
popular (p. 794)•
In view of Lincoln's correct appraisals of hi&amp; ~peeches, the sentence
cannot be regarded as a conunent on the Address1 rather, besides
carrying the meaning siven above, it serves as the counterpart of
one in his previous Annual Messaget
We ~ we are for the
we say this (p. 688).

Union~

The world will not forget that

The state11ent of ai11 has been once and for all made, and now all is
concentrated on its mil ltary !9.9.~.!e~..!•~Jlli•
t:=,";;:, .. ~ ... __ ...... _ ~· • ••.:.::::.:..• ,; ; .;..:.-:.~~.~:.. ··..:·...~....:;;.. ;;;..,1. ~ ;. ;::-,.-:-..:;~..;.:-:;; =-~:::;,..
:
...

And then come the last two sentences, . half the speech in length,
wh1.ch develop its expl lcit theme - the second dedtcat\qn. of the

�-22·
natt.nn, ln this consecrated pl•~· ll!Dt (Lincoln reaoved a fourth
.. here" fr•• th• ft.ul veraten), "'
"
·
Tt l• f•r ua the llvtns. rat:her, to be dedlcated here
to the un!tnlahed WGrk
whloh they vha fou,!ht here hav• thua far so nobly advanced.
lt t1 r•ther fer ua to be here dedtcated
to the great task r•••lnlng before ua •

Practt.cal ly, th• "un!lnlehed work"; .. the great t.a11tk r••alntng before
11
,
ta the winning o! thtt W'-1" (ef. Jh 791) • bttt in 1lgnlftcance it
.
ta ao••tht.~ Ar•ater, tl\e 1ueeeelt!ul .PMl'l•t.en ef the expert.11ent
nf ~npular !•v•rn••nt.
·

tJa

-

·;·:,.~.":""'~~~~:~· · :-:.';: .~:. ~~"-~~:-~:!.. · ~~t.: : ." ' ;" :'" .~~·;:.·~ ..;~ .-~-J?-~ .•
~

Th• next two clau1e1 1 ·~•lft in that 1pell•l t.ke .diction which

gtvea eucee11\ve cola ldentlcal er n••r-tdentlcal endlnge, give the
nat.ure qf thl1 new d8dleatlon1 it •••ns
·
I

that frGa these honered dearl we take lnere&amp;$ed devetlon
t• that caua• !ftr whleh the~, ~ave the l•st: ful 1 l'leasure of
devothm •
th.at we her• hi8hly reaolve
that these dead
shall nftt have dled
tn va1.n ..

In invok1"8 the dead, Lt.neoln t.a touohing what ln hla Flrat Inaugural
he ttalled

the 11)'11tlc ohotc1e er •e•ory;'. atret:chlng fro• every battle•.fi.eld
and patriot ~rave, to every 1 lving heart and hearth-etol"tt• ••
(p, 5ftA).

..

.

I

'fe '10 thle hf.It al~lftB the la~U&amp;f';t!t of (!hurch and . legielatlve assemhlye
'fhe dedloat:lon, · the eena•cratt.en, .t h• hat lowing, the .devotion Lt.ncoln

i1r••• 1.a ofen
a
h1.s Rf'ttltch

pol ltlcal . sort. He had uried lt .already 1n 1R3R, in
"The Perpetuation nf our Polltlcltl Inatltl;ltlons .. ,

Let rfJv«trence for the lawa.~.becol'le thsJ91\t;1 0 alte11~1on of
the natl.ant and let the old"!'and the you ·. 1 the rt.oh an ·the
po«n'• th8 ~rave a~ the 8•Y• nf all sexes and tca~ues, and

oolai-• and eendltlena. aaorlflce unceattln81Y upon lts altars
(p.

Rt).

·

nu•an

Llncnln ls dftllberateiy ooneecrati.1\A poll.tlc1, and the ~reat
agency of reverenee la , •••ery, wtl~fQ .,1 l th\naa .. Se•• hallowed" (p. 191.
The laat: two olauaee !lV• the efteot. of
that thi.1
f reedoll -

nattnn.

undf.tr

n,.d,

~he

new dedicatlona

ahalt have a new birth ef

�-23The wonds 11 under God" were not in the flrst draft1 they were .reported
in the newspaper verslons of the ap•ech as delivered and incorporated
by Lineeln later (cf. 1s. 752). Why did he add the117
··

I¥•

Under th_, heading "Of Clvll Reli~ion", the last in
Sogial
C1ntr15t, Rousseau describes the clvll rell~i•n of repub cs wh{ch
it le the business of the acverelgn to set out, not as retl~loua
de1t•a1 but as 11 8entlaenta •f 1octablllty". They ought t• be
staple, few ln nuaber, preclaely fixed, and without explanation
or co••nt. The existence of a powerful, wlae, and benevolent
Divlnlty, vhe fer••••• and prevldee .t he life to 0011e, the
happlness ef the . juat 1 the puniahaent of the wicked, the ..
sanctity of the aeeial contract and the laws ••• (IV, viii).
This la precisely the nature of Lincd~'s faith as continually set out
tn hla public pronauncMtente (pp. 65~, 727, 757, 793). The natlen 1.a
under a "beneficent Father who dvelleth in the Heavens" (p. 728).
.
It has a double parent•~• • the !ore-fathers and the F•ther above.
Wlth the1e words, Lincoln, then~ tnvokes at once faith, the pe1:sonal
trust in a auperlitr betng, and religion, the public obligation to
reverence.
·
·
Thia natlonwill have .. a ·new birth of freedo•"· Thoee werds
were not, at the time, felt to be at all innocuous• Nor are they,
if "of freedo•" la read not as an objective genitive, so that the
natl.on is said to ~ive blrth to a new freedom, but as a parallel
to •conceived ln Liberty•, ae that the nation itself ts said to be
rebnrn. The Chteago ~. tnreperttng on the speech, aald that
in thia phrase "Mr. LIJ\COin did
foully traduce the 11otlves of
the tHm who were elaln at Gettysburg", for· they fousht only to
preserve the eld govern11ent. Now, as has been shown, Lincoln in
fact &amp;8reed with thla conservative vlew of the struggles he bad
sai.d so explicitly1
·
I

••t

I am exceedingly anxious that thla Union, the Constitution, and
the libertle1 of . the peGple shall be perpe~uated in accordance
with the ori~lnal idea for which that strt.lggle was aade, and I
ehal l be raost happy indeed if I shall be . an humble lnstl'Uaent. ·
in the hand . of the A1111.ghty, and this, . hls almost chosen
a
people 1 for perpetuating the object of that great struggle
' {p. 57:&gt;).
And yet theChidago Times was right to
1.ntentlon, a ra teal oppost.tlon to the
conserv.atta• expressed ln their slogan
the Union as t.t was". ln 1R54 Lincoln

suspect an underlying radical
De110crat!.c party' a klnd of
"The Constltutlon as i.t is and
had satd at Peorla1

Let u~ re-adopt the Declaratton of .Independence, and With lt,
.the practices and policy, whlch har110nize wt.th lt. Let north
and .south • let all A•ericana - let all lovers of liberty
everywhere .. join in the great and good work. If we do this,
we shall not only have saved the Unions but we shall have so
saved lt, as to make, and keep 1.t, forever worthy of saving.
We shall . have so saved it, that the succeeding mtlllons of free

�-24-

kappy people, thft worlrt ovt!r, shal 1 rl8e 1.ip, and cal 1 us
blessed, to the latest generatlons (p. 315)"
The last phrases are a para.phrase of the Hagnlfleat, the words of the
ntother-to•be of the Messlah1 "For, behold, front hence forth all
~e""ratlons shall call nte blesse"" (Luke t, 48).
It i8 Lincoln's

aweso11e lctea that the generatlon of the clvll war, undtitr his leadership, ls 81: once the savior and the par.ent of the . savior nation,·
that America is to pol itlca "all'fto.8 t" as Israel was to the spirit•
That means that for th&amp; Union side the war ls a kind of second
comlnA, a second brlnglng-forth, after four score and seven years.
Llncoln has converted Jefferson's extravagant opinion that "a
llt:tle rebellion, now and then, is a gt&gt;olt thing" (Letter 12. Hadlsin,
January 30, 17R7)- into a serious view concerntng the perlodlc
rP-hir.th of the Revolution - to occur, evldently, in fullest force
· ln·the fourth g"neratlon, once ln a century.

.
In this idea Llnooln recognizes that a country founded ln a
revolut\on ls bounc1 to have a Aeneratlonal problell• . For the document.
con~tltutl~ lts p;overmaent is ordalnerl and · eRtabllshed. as- the
prlnclple of popular government demands, ln the ftrst p~rson plural;
lt beglns1 "We the penple." Yet thls can mean literally only the ·
r.atifylng generation, thereafter the fundamental act . of self·
govern~nt ls lnherltec1 - but self-determinatlon by tradition ls a
ktnd nf paradox. This dlfficulty lay hehlnd Jefferson's advocacy of
· re~ular

revolutlona

Can one generation bind ariother,·ancl all others, ln succession
forev8r? l .~hlnk not. The Cr~ator has made the earth for the
living, not the dead..... A generatton may bi.mi itself as ·
long .a s lts majority continues ln l lfea when that, has dlsap•
peared, another majority ls tn place, holds all the rights and
powers their predecessors once held, and may change thelr
lawe and lnstltutlons to suit themselves. Nothlrig then ls
unch11n~P-able but the inherent anrl unalienable rights of 11an
(Letter~ J• Cartwright, June 5, 1R24).
·
Jefferson's radical solution to the problem of changlnS. generations
was opposed hy Lincoln on the ground that majority rule itself as ·
well as mlnor\.ty rlghts were guaranteed by nothing but a commitment
to the fun&lt;Jamental law and the governmP-ntal institutions.
The very raaterial success of "the popular principle applied to
government" . acerbates the problem • . Lincoln, on several occasions,
for instance to Congress ln 1R61 and 1862, had given exultant accounte
of the fanta8tlc .increas., of population, elsht-fold ·. since the founding
11nd contlnui.ng, incredibly, even throu~h .. the )lar (pp. 72R, 761),
with the expectation at the sAme rate of growth of 250 nitlllon by
1910 ann a proportionately even greater lncrease of prosperity
(pp. f.'34-615. 6R1). But when making up Auch an account a quart?er
of a century earl ler, ln the speech "On the Perpetuation of our
PolttlcAl Jnstltutlons" he had a&lt;t&lt;leda

�-25-

We, when 11ountins the stage of existence, found ourselves the
legal inheritors of these fundamental blessinss. We toiled not:
ln the acquirement or establiahllent of them - they are a
legacy bequeathed u1, by a ~ hardy, brave, and patriotic,
but ~ laaented and departed race of ancestors (p. 77). ·
The generational. dileraaa raised by success ls that the epigoni, the
successor generation•• bred in that most desirable ignorance, the
ignorance of anarchy and despotls11, and 11tatak{ng the drained habits
of their parents for the tradition, will in the low ef political
passion areuae themselves by giving current problems a cataclysmic
cast, that they aay, developing an appetite for unknown terror, be
· willing to cure dlasatisfaction by catastrophe. A deliberate return
to the founding revalut~on alone can forestall · e~ch an event, or if,
as in the case ef the Clvil War, it beco. . a a fact, can turn it into
an act of salvation. Lincoln bei\tinually mak&amp;a the effort to
.
convert the war in this way, even coflparing its financial funding
to that of the Revolution (p. 602).
,
There ls, of course, an assuMption in this which goes beyond
Jefferson's reliance on the mere principles of 1776. It is that
constitutlonal severn11ent is, in fact, the best 11eans of realizing
the11, and ts, therefore, to be equally cherished. .. Lineoln held ·
this asau•ption ln full awareness of the 11lxed and ma1111ath character
which the nation was to atta1n in the next century, and this is why .
he saw the incidents of the Civil War as "phllosophy to learn wisdom
fro11" "for any future great natienal trial" (p. 764).
f

a .Z:::st.ftW

l llH A -

-

..f.

What then, 1Mre precisely, does Lincoln aean by •a new birth .of
freedo11"7 As ·the nation was cenceived in liberty and dedicated to
equality, so it ls to be reborn ln freedort• That 11eanethat . ln this
speech 11 freedom 11 covers both equality of creation and the Latinate
"liberty•, that ls, civil freedom, which Lincoln elsewh~re calls the
jewel of liberty within the fartily of freedom1 it stands at once for
••n's riature as a creature under God and for hls means .of fulfill!~
that nature in civil seciety, as part of a natiop (cf. P• 403). ,
This means ls self•gavernaient, which Lincoln res~ects equ.lly with
its end, calling it •rtgN&amp;~absolutely and eternally right" (p. 303).
In fact, he defines it coextensively with liberty, which means for
"each 11an to do as he pleases with himself" (p. · 748) 1
I trust I und.e rstand and truly estimate the rtght of self•
government. My faith in the propost.tion that each man should
do precisely as he pleases with all which ls exclusively his
oWn, lies at the foundation of the sense of justice there is in
•e (p. 303, cf• PP• , 394) •
.
I11pli.ed in this is first, that poltti.cally, where there must be
submission to a govern11ent, this must be by the consent of the
governed, understood as
.
A 11ajority, held in constraint by constt.Uuttonal checks and
limitations, and always changing easily with deliberate changes
of popular opinions and sentilllents ••• (p. 585),

�-26discovered in elect1ens 1 for
We can not have .free government without electlonst•••
The strife of the electien ia but huaan-nature practically
applied to the facts of the case (pp. 763-764).
And. secondly·, ·~•no•ically, that a 11an ~•t be abl• to acquire and

hold so11ethlng of hia own, -.iat have, not the assurance, but the
possibility of acquiaitlena Lincoln 11ade this a1Jit")t
aelf•
govern11ent a subject of hla firet Annual Heeaage t• Ceqre11 ln
1861 (pp. 633, ef. P• 501).
.
. ·.

of

••t

Now when Lincoln in the decade before and durlng the war
out his vlews on freedoa, h~ did it almet lnvarla)&gt;ly in refarerac•
to lts antithesis - slavery (cf. P• 303 and P• 347). By •a new birth
of freedom• Lincoln 11eana the readoptlen of the Deelaratlen in a .
very specific sen••• a aenae which the ordinary •conae~atlvea•
strongly disapproved.
During the war Lincoln expressed his views on the slavery ·
question succinctly in a private letter. They are charaoterletic
of the double nature of his politi.cal opinions, rever•M• for the
laws combined with radioa11ty •f principle. He ~alda
I am naturally anti•elavery. If slavery la not wrong, nothing
la wreng" . .I can not r•••ber wben I did .not so thlrik, and f'eel.
·: .And . ·iy•t 1 I, hA•·· never understood that the Pres idericy conferred
upon me an unrestricted rlght to act offlclally upen tlhiai
judg11ent and feeling (April 4, 1864, cf. PP• 395, 652).
For, as he said in his Firat Inaugural, not only did he have under
the Constitution no lawful right to do so, but he even held hl•••lf
bound by his oath of office to en!orcethe constitutional provtatpn
for the reclai11ing of fugitive slaves (pp. 492, 580-581) - it wae
more i.11porta.nt . o preserve the very bas 1 e of 11.berty than to secure
t
iml'lledlate justice. At the sa11e time he found hi•s6lf. able to base
his uncompromising public opposition to slavery~on the ~plnlona e!
the . founding father3 (e.g. pp• 272-273) and on the found\ng doouaenta io
Whether or not he knew of Jeffereon•a "pblllppic against Negro slavery
which Congress had deleted fro• the final draf~. he had no
question that the Declaration meant . to include negroes, a view he
set · out ln his debate with Douglass
I should like to k°"w if taki~ this old Declaration of
Independence, which declares th11.t all men are equal upon
principle, and raaking exo•ption to it, when will it atop7
If one aan says it· does not mean a. negro • why IlC)t another
say it does not 1ftean some other man?" (pp.: 402-403, cf. PP•
360 ff, P• 479).
And he had equally no question about the intention of the Constitution
He often repeated, the argument from .. necessity .. , that to get the
Constitution at all the framers had had to compromise, but that they

�-27·
had found a way to save in the long run the principle which they
could not assert at the J'llO•ent (pp. 304, 313, 358 ff., 403, 423,
479), for

When ~he . fathers of the goverruaent cut off the source of slavery
by the· abolition of the slave trade, and adopted a systent of
restricting lt from the new territories wh&amp;re lt had net
existed, I maintain that they placed it wh~re they understood,
and .a ll sensible men understood, it waa in the OIJHme ef
ultimate extinction (October 13, 1858, et. PP• 394, 416).
Accordingly Lincoln whe, as a responsible parti.clpant tn political
l lfe, could not support the extre11e of abel ltion, became the laplaeabL~;
foe of the 7xttn1ion of slavery • thia single ·issue doatnatea his
speeches ·be ore the war (e.g.,
170, 339) • a net in !act . brought
.
him, as lt had Jefferson (p. 272 , back lnto politics, t.n which be
had been losing interest (p. 512 • It was an lsaue important to
him ln some part because it was so peculiarly connected with the
question o .f the axiomatic character of the founding prlnclples,
namely wlth the question of their uniyersall~y, (cf. PP• 308, 477).
Such proposltlona, ·precisely because they are prlnci.plea of hwu.n
nature, pronounced concerning •all 11en", must eventually either
altogether fall or altogether preva1.1, both in respect to lnetitutlonet

p!.

I believe thl&amp; government cannot endure, permanently
half slave and half free (1858, P• 372),

and to (ndlvlduals1

This ls a world of compensations• and he who would lll! no
slave, must consent to .b.E!.! no slave. Those who deny freedom
to others, deserve it not fer themeelves1 and, under a just
God, can not long retain lt (p. 489, cf. PP• 136, 473).
Lincoln. did not regard it aa l11poss1.ble that the nation alght fail,
that ls, that the false principle might become generally accepted
so that the natien would degenerate into despot·tsm (p. 335) t:o prevent this wa.s precisely hla pol it teal task. So, ance the war
had turned out tn be the final means of resolving .the question, for
. the very reason that his .. para11ount object.. .wa,s to
save the Union, and •••I!S!.t. either to save or destroy slavery
(1862, P• 652),
he recogni.zed, in hts Second Inaugural Address, that the "ei.ghth of
the whole population" who were slaves, were "somehow, the cause of
the war" (p. 792), and ·that
tn giving freedom to the tlave·, we assure freedom to the

~ ••• (p.

688),

for slavery was "that only thing wh:tch ever could brlng thls nation
to civil war" (p. 759). And he gave this not only a political but,

�-2R·
as was in the nature of the case, an economic interpretation, on the
principle that bad labor drives out good. So he told a labor dele ...
gation that
'
••• the exlsting rebellion 11eans more, and tends to 1110re,
than the perpetuation of African slavery • that l.t ta, in
. fact, a war upon th~ rights of all working people (March 11,
1864, cf. P• 343).
.
.·
Ihis ls why, just after the victory at Gettysburg, he had been able
to call the war
a gigantic Rebellion, at the bottom of which ls an effort to
. overthrow the principle that all 11en are · created equal•·•.
(p. 709).

.

.

.

Lincoln had s. veral time.s made a point of the fact that the
e
word Jtal•v•t!Y"' :de's 'riot appear"·tn; the CofteC:ltutien1 ·
Thus, the thing ls hid away, lri the constitution, just as an
afflicted lll8.n hldea av•y a wen
a cancer, which he dares not
cut out at once, lest he bleed to death1 with the promise,
nevertheless, that the cut·t tng may begin at; the end of a given
tl.11e (p. 313). •
.
·.
.

or

So also this speech does not contain the word, . but for a different
reason1 as the founders had to violate their feelings about it out
of political necessity, ao the ti11e had come at the beginning of that
year, 1R63, when Lincoln couldlndulge hi.a out of Military necesalty.
He used what he considered to be the Prealdent•s war powers to put
the Emanci.patl.on Precla11&amp;tlon ln force
the states in rebellion
(p. 691), a mve he defended with the argUJMnt that the black
regl11ents were indispensable to ml.litary success (Letters of Apr~l 4
and August 17, 1864)• Since the Union slave states, l'lke Maryland
(p. 749), were proceeding wlth voluntary emancipation, it was plain ·
that the thing was on the way out. The Union was to be rec•nstru~ted
without slavery, . nd so the irgclamat1on. 2.( 6•efta A!!!\ Reconstruotio j.
a
Lincoln issued three weeks a tftr the Gtt~yabµrg _d_rees provided .
(pp. 73R ff., cf, PP• 796 ff). The "new birth of freedom" 11eant for
Lincoln the re-adoption of the Declaration ·(p, 315) and the amend11ent
o( the Constitution (pp. 679, 785) to make explicit their true
intention1 it meant "returning . slavery to the posltiori our fathers
gave it" (p. 315), and restoring the republican example to •tta
just influence lil the world .. , by · averting fro11 it the charge of
hypocrisy (p. 291) • . Llncaln made of the war a purlflcatlon1 ·
the nation was to be p~ged of inconsistency •

for

. t..

And now the last clausee
and that government of the people, by the.people, for the
people, shall not pert:l.h from the earth •.

�-29How, to begin with, should we i11agine that Lincoln read this phrase
concerning govermaent, a memerable expansion ' on •popular governm~nt''7
Did he streaa the preposltlona •ef•, "by"• "for•• or the noun "people''
which they govern? The diaayllabic rhythm of the speech is best
pres~rved by reading trochees•
I

I

I

I

I

I

of the people, by the people, for the people,
a rhythm which gives equal weight to the people and its relation to
the governaent.

As was the beginning, se tbe. end of the epeechis directly
adapted from the American oratofical tradition, namely fro11 an
abol ltioni1t seraon siven_. appropriately, en July 4 of lRSR by
the Rev. Theodore Parker1 who had 1•td1
. .
De110cracy le direct aelf-government, over all the people, for
all the people, by all the people.
Besides changin8 the rhythm, Lincoln had, significantly, softened
"over" to •or•, avoiding even a hint of deapo.t ism. Thus the people
govern 1. by repre1entatives, 2. chosen fro• aMorig theaselves,
3. who rule in the popular interest - a deacription President Lincoln
himself exemplifies (cf. P• 756).
·
.
Lincoln does not .say 11 thle government as he had . said "this"
nation, for it ia the preservation of popular, that la, elected,
govertlllent anyybere which is at stake, though the i..ediate cause
for resortil18 te force was certainly the preservation of this
.
government. But that came to the same _
thl.ngr thus near the beginning
of the war Llnceln had teld Congress, called by hlm into special
session, again on July 4 of 1861, that he regretfully found
•

•

,

J

I

the duty of e•ploytng the war power in defense of' the Government
forced upon hi11 ••• no popular Govermnent can long survive a
·
marked precedent that those who carry an election can only
save ·the Government from iNmediate destru~ion by giving up
·
the main point upon which the people gave the election (p. 609).
Lincoln had begun with the Revolution an~ its statement of
principle, the Declaration1 he ends with government and its
instituting docUJ11ent, the Constitution. This represents the dl.fferenr
in the commitments of the first and the fourth . generations '(
As the patriots of seventy-six did to support the Declaration of
Independence, so to the support of the Constitution and Laws, le·1
every American pledge his life, hts property, and his sacred
honora ... (p. 81, cf. Declaration, end).
· ·

It also represent~ the relation of the Declaration to the
Constltuttont the latter ls merely the i.nstrument of the former, as
shown tn a sentence Lincoln quotes from the second paragraph of
the Declaration 1

�.30:.. .

That to secure these rlghts, govern11ent~ are instituted among
men, DERIVING THEIR JUST POWERS -!o""ROM THE CONSENT OF THE
GOVERNED (p. 304).

The gover11111ent ts a metns, and thus a compromise of evils • Madiabwr1
says in the fifty-first Feder1li1t1
But what is gover1111ent itself but the greatest of all reflections
ori human nature? If aen were angels, no govern•ent ·vould be
necessary.

and he warns1
Don't interfere wt.th anything tn the Constitution. • That 11ust
be . . tntained, for it is the only safeguard of our liberties
(p. 345).
And so the preservation of . popular goverruaent is linlced · to .the
defense of the American Constitution~
I'

_ _ ...:u; ..--~ ..-

... ~;;.-:.'.!".=:::::.•.- .............,..,....

--

···

This goverill'lent "shall not perish from the earth",· that is ~he
"work", the "task.. , the "cause". Lincoln has ended, as he began,
with language heavy with the Bible•
The good man is perished out of the ekrtha ••d there is
none upright amng 11en1 they all lie in wait for bl•ed1 they ·
hunt every man his brother with a ne• ~M~cah 7, 2),
If . this rebellion prevails, this allusion warns, so that "these
institutions shall pert.ah" (p. 609), aen will return to that universal
state of war, the war of each against all, which prece4es the
institution of government1 the Rebellion would undo the Foundlnga
for when men, b4f! entering .into society apd civil govertllllent,
have excluded force and 1ntaoduced' laws (or the preservation
of property, peace, and unity amongst the~selves, those who
set up force again ln opposition to the laws do rebellare that ls, bring back again the state of war - and are
properly rebels' ••• (Locke, Second Treatise 2.[. Civil Government ,
para. 226).

�-31-

Tn

Lincoln's words 1
Plainly, the central idea of secess.i.on, is the eesence cf
anarchy. A majority, held in restraint by constitutional
checks and l~mitation~, and always changing easily with
deliberate changes of popular opinions and sentl11ents is the
only true sovereign of a free people. Whoever rejects tt,
does, of necessity, fly to anarchy or despotism (1861, P• 585).
And finally, there is the allusiDn to ·Jere11lah.tO,tl1

The gods that have not made the heavens am the earth, evt!n
they shall perish from the earth •••
False gods shall perish, but the ; government of the people shall
perish.

~

V•

the Speaker

After having, at length, considered the speech, it is leglti11ate

to consider the speaker.

Lincoln ts, at his height, a publtc mane

If ever I feel the soul wt.thin me elevate and expand to those
dlmen•••ns not wholly unworthy of its Almighty Architect. it
is when I contemplate the cause of my country ••• (1839, P• 112).
But the American speake~r who, like Lincoln, means to put his whole
heart and ambition (p. "Ill) in the service of the body politic.
has a peculiar problem, rooted in the quality of American life,
which de Tocquevil l&amp; describes in the chapter "Of Some Sources of
Poetry Among Democratic Nations".·

-1

Nothing concelvab.le is so .petty, so lnslpbt, so crQwded with
pal try interests . - in one word so anti-poetic - as the lt.fe of a
man in the United States (pemocracy 1n America, II, t, 17).
'

This ls because democracy has given up ln dlst&amp;ste the source of
aristocratic poetry. the past, while its very principle. that of
equality, deprives it, by maklng ' all contemporaries equally mediocre,
of -the present. There remain, de Tocqueville says. only three
sources to democratic poets• the nation, the future, and God - and
thls precisely anticipates the theaee of Lincoln's public poetry.
But, as he observes in · the chapter on "Why Ameri.can Writers and
Orators Often Use an Inflated Style'•,, lt is difflcul t to oresent
these themes at the middle distancea ·
ln democratic communities, each citizen is habitually engaged
in the contemplation of a very puny object t namely, hinlself.
If he ever raises his looks higher, he p~rcelves only the
hnmens., form of society at large or the stl 11 more imposing
aspect of mankind. His ideas are all either extremely minute
and clear or extremely general am1 vaguea what lies between

�-32-

ls a veld

(.i!?JJ1., lR).

For thls American proble11 of the middle void the very nature of U1e
pr\nciples of equality and liberty is responsible, Flr1t 1 11no~
they are axioms of ~penness, that is, pro.positiona et reaaon wh \ch
are yet not ~ntended ' as the .theoretical bases of a tetal 1yste••
they provide ne specific authoritative "public ph1.1i.iitiphy 0 , 10 that
each issue. ,.aust be dect.ded ·anew on the basis of prlnolplea whose
nature lt' ls precisely to give no univocal guldanciet ~e b•
politically aware is to be uncertain. Second, sin~• they ar•
. intended precisely to insure "the pursu_ t of happ1.n•••'', that t.~ ,. 1
i
a prosperous privacy, they becoae less palpable the . .re euqoe.~tully
they are at work, for, ln echolaatic terms, they are prtnclpl•• of
pure potentiality.- the possibility of goods but not theileelvea
goods, and certainly not public good.as sigrilflcantly 1 Fr•nch
"fraternity" has never co11pleaented 1 iberty ~nd equalcl.~y t.n A•erica.
And third, · insofar as they are self-evident proposltlnna •f reason
they, unlike objects of faith, · become less .and not ao~e objects of
hunlan concern as they are more e!ficact.ously at work, •o that they
tend to.drop simply out of sight in the dally conslderatlone of
national llfe1 private business induces public apathy.
·
In his speeches, Lincoln wrestles with just. t:hee~ dlfflcultiea,
which might be characterized with the aid of a clasalo•l ter•• by
the very nature of their . pol itt.cal foundation Amed.cane tend to act
not as a p9l\s, a pol t.tlcal colll1lt1nity held togethfttr by .rrt.endahlp
(Aristotle, Nicomachean Ethics, VIII, i, 4), but •• a aoQlety, a
col _ection of private persons who jostle each othetr into 11toae eC'rt
l
of balances his effort in his speeches is precisely to prove this
tendency inessential, to persuade the nation that it la held
toge~her by •bends of affectlan" (p. SRR) •
. To Lincoln, then, the problem of filling the agitated natto~l ·
void with sober sentiment •hewn fro11 the solid quarry of sober reaaon"
represented by the . founding principle8 is ~ probl•• of the natleth
Once the spentlanef)us conimit11ent of the Revolution l11 gontt, he aaya ln
his speech· on "The Perpetuation of Our Politi.cal Tnstlt ... tiona"• a n.ev
situation arises a
·
Passi.on has helped uss but . can do so no more. It wtlt 1.n the
future be our ~nemy. Reason, cold, calculatt.ni, . unt.11pa1u1toned
reason. rwust furnish all the materials fer our future support
and defense ... Let those materials be 11oulder1 lnto 11ner1}
. intelligence, souQd morality, and, in particular, ! [IY!Itnct
for the constitution All2. l.!l!l•••&lt;PP• A4-85).

Lincoln's solutien of the "historical• problent, thft recedtng t'lf the
moment of greatness for ·succeeding generations., h1 bald 1 he .,fffl!rs a
new, sober passion, a passion of reason - reverence, a lawyer-llke
love. for the tnstrumentwhlch has accomplished the 11lracle of a
stable democracy - his rhetoric incorporates, and so ftllclta tt.

�At the same tlmeJtrue to the openness demanded by the principles
he usually abstains Crom the rhetorical compulsion of specific plea.st
these sentences of his last public address, dealing with the
burning problem of the mo11ent, are typical•
In the Annual Message of Dec. 1863 and acco111panylng Proclamation,
pre8ent~d A plan of re-construction (as the phra•- goes) which,
I promiaed, if adopted by any State, should be acceptable to,
and sustained by, the Executive government of the nation. I
distinctly stated . that this was not the only plan which might
possibly be 11cceptabhtr ... (p. 797).
·

I

Instead of attempting to compel the people to a course deduced
dogt1ultically, in the manner of an ideologist,· he presented i.n the
words of the London Spectator,

A political transparency, in which the nation could see an
individual character of great power working out phe problems
set before them alt •••

He manages to make these problems supre11ely. absorbing, and he does

it by maki.ng al11ost every speech an interpretation of the founding
docu11ents, in which he reveals at once their in~xhaustlble
radlcali.ty and their enduring applicability - by giving A11eri.cans a
secular complement to the Scriptures (p• 84).
With respect t&lt;&gt; the pro11iatmry character of democrat le
principles, Lincoln underscores lt by projecti.ng the growth of the
past into the future1
There are already among us those, who, lf the Union be preserved ¥.
will llve to see lt contain two hundred and fifty mllliona.
The struggle 2! today-, is not altogether for today - it is for
a vast future also (p. 635, cf. PP• 681, 756).
'
·
The present .is thus understood as being the sponsor of the
,future1 yet the future la, · 1n turn, nothing but the maanlfi.cation
of the past (cf. P• 656) • . But politically the American past ls of .
a peculiar sorts it ls not an extensive, unbrokentraditlon but the
me11ory of a single, intense event - just as· a,fabrtc of reason
begins with a principle from which it ls .derived, so the history
of del'locracy begins with the Revolution. Lincoln intends to assure
that that beginning is present to the future, that that event
remalns the tradition wtiich governa the future. .For the principles
of. the fathers are, by their very nature, the root of the future
insofar as lt is good.
And finally, with respect to the passive and incurious mode
in which the democratic principles of equality and liberty tend to
be accepted, lt ls significant that. Lincoln himself never attempts
to rai.se the question of their tcuth, nor even to supply a definition ~
except in extremely simple, and negative terruJ. So he says,

�-34-

The world hae never had a good definitlon of the word
l lberty, and t .h e .A11ertcan people, just now, are 11Uch ln want
of one.
And he provides lt ln the simple tertae of the possibll ity for

eelf-real.lzatien - liberty means
for each •an ta do as · he pleases wlth himself, and the product
·

of hl1 labor ••• ( P• 748) ·1

wht.le he expreasea .hie "idea ef del'locracy" in the for11 of the
fa11illar rellsloua precept "Do not do unto others as you would not
have them do unto you"•
As I would not be a §lt'llh so I would not . be a maoier.
Thia expresses 11y idea of de110cracy. Whatever d lffera ~ro11 .
thts, to the extent of the difference, it not ~eraocracy (p. 427)
I

Thus he treata the principles af A•eriean politics as s1.11ple precepts
for the . happineaa of hu•anity, which are at the aa11e time standards
of llOral perfeotlon, and about whleh he offers no theoretical
re f'l ftCt ton• I

The Saviour, I eupp«t••• did not expect that· any h1,111an creature
could be perfect ae the Fat.her tn Heaven1 but He 1ald1 11 Ae
yeur Father in Heaven le perfect, be ye also per!ect."·~·so I
say in relation to the principle that all men are created
equal, let it be•• nearly reached as we can (p. 403).
Indeed, such public inquiries would not be to the point of ht•
rhetoric. Fer the strictly rational basis of democracy ls to be
found in the theery of wnatural rights" aet out by Hobbes . and
Locke, a theory which regards precisely what ls "natural", that ~~.
conrmon, in Mn: and not what ie high, so that it is scarcely conducive
to a public feellng of plety. What Lincoln does lnstead .ls, by
speaking ln dellberate analogy to Christ (p. 403), to ralee these
princlple111 fro11 1elf-evld1tnt propoaltlone to arttclea Q{ faith,
thu• returning, as de Tocqueville ahow~d (QR• .cit.•• I, ~). to a
.
foundation · 1n fact deeper than t.hti! rational begrrlnlngs provided by
the found lng fathers. _

. .

.·

·

,

.

·

To explain why "the oolr\t g.i rells1on and the ru"?lrtt !lf l tbert\(
are anclently lncorporated wlth each other ln A11ert.ca, de Tocquevil l ~:
had appealed to the classical tradltlon concerning the nef'td for
public pl8ty to support the body politlc1
·
Llberty regatcts religion as its companl.on in all lts
battles and ite trlul'llphll, a&amp; the cradle of t.t8 infancp and
the divine source of tts . clal•s (21?, • .£!..t•• I, 11).
·
And he had found this theory corrobor~t.ed in A111erlca1

�-35Religion in Arnerica takes no direct part ln the government
of society, but it must be regarded as the first of their
political lnstltutt.ons (SlQ• ill•, I, xvii).
The older Lincoln came to a view which is. the insenuous converse
of this posl.tion of expediency1 not religion serves polities, but
the reverse - republican government is itself a great religious
lnstitution1 in his own words "the only greater institution• ta
the church (p. AS). The rock of reason of Washington's foundation
has the sa11e basis as Peter'e church. That reverence for the laws
which Lincoln calls "the political religion" of the nation (p. 81)
derives froN a trans-political faith. It Nuet be urged that this is
not an opinion l .. lncoln holds routinely or perfunctorily .. for .hi.a,
the Republic, which puts the sood of the whole finally into the
hands of a numerical majority (p. 785), ls plausible to the ••ul
only as a community of the faithful, protect~d by a kindly provision
that few shall be totally without gracP., that
of all those who conte into the world, only a email percentage
are natural tyrants (p. 301).
Were . it otherwise, democracy would be a continual garAble wtth the
body politic at stake.
Accordlngly the Gettysburg Addrfi2SR begins and ends not:. only
wt.th phrases hftrrowed fro11 American oratory but with the diction of
the Bible. To Lincoln.the people of the Revolution ls also the
second people of the Boo¥;, the "al11ost chosen people" (p. -575) • All
1\mericans, he said in his Second Inaugural,
read the same Bible and pray to the same God ••• (p. 793).
Lincoln himself was not only, as 110st backwoodsmen, hr. ught up on
o
the Bible, but he wrote to hls friend Speed in the year .before
his deatha
I am profitably engaged t.n reading the

J:S1Dle,

and in the same year he said to a committee which .had presented
a Bible 1
It is the best gift God has given to men. All the good
Savior gave to the world was communicated through this book.
But for it we could not know right from Wrong. All things aost
desirable for 11.an•s welfare, here and hereafter, are to be found
portrayed in it (September 9, 1864).
Lincoln's commitment to tihe Bible ls not .that of an orthodox
Chrietian, for, as he sald,
I have neverunited myself to any church, . because I have
found difficulty tn.glvlng my assent, without mental reservation~

�-36-

to the long• complicated statement 11 of Christ tan doctrine
whlch characterize their Articles of Belle! and Confessions
of Faith (Remark to H. c. Demig, c. 1R62, cf. P• 186).

For h111 the Bible is rather a palit ~cal ••vr•• book, and that in
two contrasting respect•• On the one hand it lends hi• a lan~uage
at once high and popular, beyond both the de11agogue and the
intellectual, a language of salvation with which to ••gnify the
A11eri.can enterprise 1 wlth i.ta dlcti.on he speaks as ••Father Abraham"•
As the first patriarch of a new generation of founding fathers.
And on the other, it supports him in a view of the n•ture of things
which, when publicly acknewledged,da11pa the hysterical activity
filling the American void, and reduces it to ~hat 11elaneholle
deliberateness on which the public buain••• thrivea. F•r Linceln
had been fro11 h.18 youth a believer in an inner counterpoise tt&gt;
political liberty, which he understood to be called the "Doctrt.ne
of Necessity",
that is, that the hu•an mind ls impelled to action, or held
ln rest by some power, over whtch the raind itself has noi:
control ••• (p. 187-188J.
.
· ·
.
That power ls God who, though •not a person••, can yet directly
exercise his will in human affairs•
By his mere great power on the 111nds of the now contestants,
he could have either eav•d' ( or destroyed the Union without a
human contest (Hedltat1.ou 2Ji the . Divine~. 1862, P• 655).
This ~od, in who11 Lincoln, by the peculiar power of hla falth,
recognizes ·at once •Nature's God" and the God of the Bible, le
Lincoln's and the people's political 11B.ster1 he constitute• a
direct limitation on the power of hu11an contrivance. 1he humanity
. which ls the consequence of Lincoln's view ls embOdled ln Lincoln's
last speech to the natlon before his assassination, the Second
Inaugural Address, which is evidently the clae~ical American poem
drawing particularly on de Tocqueville's third source of democratic
poetry, God.
·
t::.::.;.::.;:;:=.~::;...-..:-:.·- -,........~
.:~::=-~,.::a:=a=::E. '.Z.;l1

The sarne speaker who is so eminently democratic ln theme is,
however, the very reverse 1n form. Again de Tocqueville provldes
the criteria in h!s chapter on •Ltterary Characteristics of
Democratic Times" 1
·
.

.

· Taken as a. whole, literature in democratic ages can never
present, as lt does in periods of arlsto~racy, an aspect of
order, regularity, science and art1 its form, on the contrary,
will ordinarily be slighted, sometimet11 despl8ed. Style will
frequently be fantastic, incorrect, overburdened, and lotn!le,
almo8t alwa.ys vehement and bold. · Au~hors will aim at rapidity
of execution more than at perfection of detail. Small
productions wlll be more common than bulky books •••
(Democracy!!! America, II, i, 11).

�Now, thl:s oth;:~rwise sn accurat~e .1k~scrtpUon ti:; ci&gt;rH~picnmrnly
~ nc.tppl tcablG to Linc..~oln° s; h'rit i:ngi
The ~;~!·.ttY§..hU£t~ t\d~!tS:!il! is
small, to he sure., hut: lt W35 not r·aptrny exf ~cuted - Lincoln had
brought a worl\~d .. over tlraft from ~va:~hingtonr he rf~-w1n ·k,z·:rd this in
Getty sbtff('.; on t::h1:i ~V(~ of dt:~l t Vt?r~·, and h(~ {!mended e&lt;~ch n f · thf;• thr-e .-~
kn.own co'pi1~s he m~de ovn-r the nf:'xt three m{H1l:bs.. A 1 thoor;hf as
he sa ld, not: a master: of langt..H:tge nnr tn po:s1H,:ost.o n n f ;1 flne
e&lt;lucat ion ( fh 39:3), be !!~~ careful 1 ·
·
Gentlem(mt' Jud iv:~~ noue;Ias informed you tha.t th t. s Spt~f!'Ch () r In tH &lt;'~
was p1:-ohahly ca1:--efully pre{A11.rede T •:hirnit. i.t wan (p .. 392).

By thio ca1:·e he SlK'C&lt;-:eded tn glving hi&lt;&gt; thuu-r~hts their almost
unalt.Grahle f,n·nh For..· thts purpose he had 1• ~ft·er t:he agB of twenty~
t:hreef Bet lli.mself t i } study~ E.ngltsh 8~:'.f;\lliffi.:U~~ "lmpl"!-:rff!Ctly~ uf COUt:'Ge~
but so as to speak and l~'i'C:t~ as wGll a~~ he does nuw" (l8hll, p~ 5.'.}9).
enabli.ng him to write to a man whn had submit.tH1! t:o h1m an ecHt(~ii
ve~·&amp;ion of one of hi.n. speedv:.•81
So f;:ff as ·1.t la tnt:ended me.r~.:, Jy to i mprov'1:" 1n gicarn.rnar, .aml
elegancE:-~ .zy.f comp•oslt. l&amp;n,. I. am qul t .e agceed 6 hut I do not. w tf~h
the st•nsc~ change.•d, or rii.odifi.ed,. to· a hatr~s .breac\t:h. i\nd you,

not havtng

ntudi.t.~d

parttcular points

&lt;:&gt;r~

cl:o1.rnly as 1 haV&lt;:"i·· ,can

not be qutte sure that you do not at\8.n!';H the , sens~ whl'.:ln :yo_l clo
L
,..lif
t:''t:
~
.
not. ~t.nten'J ~t ( p., .J4J; ct., p .. c:3 8,) ·• .
:&gt;
:.
.· . .

Hts style.I&gt; . ton-t ts the very oppu.sltu of that of t: ~1~ typical cternocrat i c
wrltert descrthe-d by dt~ Iucqmwi.lle in hiv chaprer on "How AmerlcHn
nemoct.~acy ha6 Morn.n .P.·d the gnslioh :Langua.ge" (J.h.!:S:1~1' IIP L; 16) Wh&lt;~t
out of lack of . egre ~ lmH~ of chang~ und &lt;lesire fo:r blgn~ss, us~G
old words in indeterminate seasen~ i.ntxodue~s vast rn.m1bf~t-s of rn"w
wonlslt usually borrowed · fl.'£.'\'.tn technical vt-.cabul.artes, and 1o&lt;ids hl'8
speech wtth abstract ar.ttt gew:,r.a1. expreastor'\s. ne TocqttevU lo had
called lawveis t.he ar:tstocr~'its (}f Am~d. ca (i.bld ... J xvi}" and ln
part Li.ncoinf s caN'fu1ness tn that: of a lawyei.=-·1nrt~.r:pr~~i-. ln.~ law.
But t .he lapidar·y precisi.tH'l of form which earrh;;s the p:n.:ri.a.rcb3l
gran~eur of Ltn.coln~ ~ rhe-toric . ... h. e W&lt;'HJ. Lm~1h~e m•rrniy to 1 P.C1:_ur13
.
(p .. 54t) - !.~ sometctnng 1~:H"fd~~ it. is a Blf&gt;;n ot a HO\H~l ki..nd of
aristocracy ~ republi.ca.n arlstocracy. L\.nenln had t ..~cttly r&lt;~jected
Everett• s cold L~lasslc1..sm a.s inapproi:,wiat:e t.n a, democ.r-r.tt'ic speaker,
\.-Knse object must not be to dt:aJ17onstrate or 8xert h r.s (lWn. superior ity.
Hts amblth1Tt '\&gt;;t,'lSv r«~ttu~r.·, as he told hlo f1-ien1I H'~ tndont "to bi;~
d}. stinct:1y under.·stood by th~! '('ornmon pt:&gt;op1H'' (p~ ti5)~ dnd to U:'&gt;i".: blfl
power as had hts mo~fol, Clay, in t:he tHffvtce of d~mot:rat t c d~c; a
r'\ll hiE&lt; i:J;ffortn were mad~ for practtcal effect~ Ho new~r
spoke merely to l&gt;e l1eard •. H.e never 't~el i v&lt;~red a .Y11iurth or J111\r
cn:ation" o.r an eulogy on an occaGlon 1 Lke tbta U'\!19.Bl'. ~,~.Q lfC'nrv
f,lay, July 6, 1'852f cf. P• 269} ~

--

Yet hts rhetori.c Hhow~ pn~ctse1y th~ fundamental chH:CiH:'!terist' i.cs of
ancient artstocratic wrltt~rs. of whi.ch de Tncquev) l le, i.n thi~ ch;;ptf"'r

�') •·
••ll • ,, 1-

"Th~ 'Stucty o:r Greek and Lat t n L i.te.
.r.atur c ts Peculiarly
Useful in Of:mocrat:ic (}o'Tlmuniti.es" wrtt:ese.
·

ent ltlect

Nothing tn thE::ir wol."ks seems done haoti.ly or .at :candomw · eve:r::y
1 inH is writt:e1'1 ft"H: · the eye of the conno lsseur and i.s shapod
after .some \.~cmcept ton of lt'.iea1 . b~m1ty • No l it:e.r ature places
tht.rne flne . qu~•t itles ln . \4hteh the wr: i.terc, uf democr:-ach~s . &lt;:i:r.e
naturally dHf'].cl.ent in bolch~r relief than trH~-=.l. \'.,f 'i:he .anct.ent:t:11'
no l iteraturet thm 'efort• ~ ou:.~ht to be rno.r.e -stud s_,.:&gt;d h1 democrat 1.c
t: tmt~s
11, t, 15).

&lt;w..si . ,

Llncoln h\rna.elf ls~ 1: h&lt;.:Hl 10 in de Tncqw?.&gt;vtlle' s s.•~m'!'e an aristoeratic
writer\\ cwen tu t:he point ·of flndlng hit~ sourceo tn tru:- par.t. The
msn who had had f·r·om y'1'uth the .. pecul lil:r amblti(mn ·
of betng truly esteemed of my fellow men, by rern.1erl.ng myself
. worthy o.f the!.r esteem (p~ 57 v ef ~ Jh 48)),
and who Ga id he tnped h1~ UW:it?rStO~tri "th~{.t Which CQlll3t itub.HJ the tns ide
c•f a gentleman'' (p .. 414-).c · eould have no quC!rn· .'l wtth thp- essence of ,
"
m-i.stQcracy.
In faet11 in the weak~1 ju5t before the d•:&gt;ltvery of the
· .Qc-tt~yfil.&gt;~ [likh:e~ he had .had vlsi.tot~s whn urged him a.t ~he (rn,r;-1 t~nt
occ~tii.on t&lt;:.i prest:mt the Uni.on. to the 'public ~·a_s . ftght'htf.~ the batt1 e
of democracy for .all the wor.tdn and th&lt;... war Hs being one ~~ of 't:JH5 people
s.ta tnst the arlstocratsv; l .he had accepted the former ~'lnd rejected the
l.att:er st.1.gge~th.;1h F'or hl~ w~H hbnself s eorroboration of
Jef.fer~on w o contentton, set out tn hlH .cor.re.operndence with Adams
(Octob!!.•r. .2H t 1 Al :J) ~ that md.stocracy an6 dsrnocn~cyi' the t~ule (!~ f the
best etnd the rule . of the ,peopl~'" have been marle t:o111patlble in the
United St~teG, t:hat the: citize'n~ tn fre~· -eleott6n can and will nln
~enaral •• choose from among · thernselvt~s the "rtatural ~ls,t.Q\ , the
best by nature" The ~~q;b_ur.,g iHJQ.rgJ}£. ts thu u'Ctr..~r.ance o.f such an
§.X.i§tsu~. t &lt;) man at 'the s-ame thnH ex.celle•nt in the arit i.que sense and
good in the common um1eratarLding ..
0

�1
· For a desert pt ion of tht~ events of the Gett.y s hurg ded l.cat ion and
a collect ion of crnnmentari.~s on the ~meeches see :Car:l Sandburg r
Abraham Ltnool.r!t JJt~ l l i ~.• New York ( l 939), Vol. !I~

PP• ~452-4~

2 For an annotated col lectlon of the vartous versions seL~ Ihe
Colle~t;!Zd ~ ~J.~~~l!l Linc9...ln~ ed. Roy · p, Ih"lsl-01-·" Ne;;-Drunewlck
'CT95"3), Vol VII \.l8b3·lJJb4)t ppe 17~·23 . .
3
Edward Evere,ttf ill.:..E!.'tlOfl..§. ill1f1 .S~fil'Jl.~11 liostun (1892) 11, Vol~ IV,
}lp.

622~659.

see Harold l:ysklnd, ~'I\ Rhet.ori.~a.l linalyE.d;s of the Geti~'sbur.g
Addre·s6 1' , J.21!£.lli!l u.[ Q.ene..r~l J~Qn~ Vol~ IV (1950)., PP• 202-212.

4

5

.For an analys ls whtch .doe-s just ioe to the awesome i.mpl icat ions of

the,. speech see. H~!l~Y V ~ Jaffa~ ~JJi
( 1 9 :&gt; 9) t pp c l 8 J"' ~ 3 L ~

tl

S.~ l:!Q~~ .Jl};y1d~
,

,

61

'
n t h' i ng out these paragraphs J. rec~ 'i ved much .
i.nk
help from Geor,ge
i\naat:aplo. ~§ Q.'l th.«r; f.l!:fil~ t\11\endmett..t .t.g .tl!!t. ~2!1~~1.t:ut .!Q!! J2i. the
Un .. cd St;at:es· ~ Ductural. Hisser.tat ton,, Univer~i.ty of Chi~go
U 64 v ~l\ppentlix I, 6, p .. 600 'ff~

7
8

Prom a spee&lt;
ch lnd irectly repo1i:t.ed in
(1890). Vol~ !I, P• lilS.
S~e Carl L. Becker.,

P• 142 ..

J!le:

~:.!]litfu.1~§. !JJ.l~Ql nf

Chicago

~la!£!~tiqn ~2( !D&amp;~.Q.fill.£!£11 E~t New "York (1958),
...

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~vee

oJ science

6rattn

�A Supplement to PALAESTRA
April 1968

THE ELEMENTS OF SCIENCE
Eva Brarm
PALAESTRA
St. John's College
Annapolis, Maryland 21404
Editors

George and Meredith
Anthony

Associate Editors

Steve Forman
Masha Zager

Assistant Editor

Daniel Sullivan

Faculty Advisor

Eva Brann

Cover Design

Gabrielle Bershen

Miss Brann is a tutor at St. John's College,
a small liberal arts school, co-educational
and non-sectarian, with campuses in Annapolis, Maryland and Santa Fe, New Mexico.

* * *
This article reproduces a lecture given to the
upper classes of the Tower Hill School in
Wilmington, Delaware on January 31, 1968.

�ERRATA SHEET
Page 3, column 1, line 3 ••

change "idesthi" to "idesth~i"

Page 7, column 2, line 12

change "mathemetical"

Page 9, column 2, line 17 .•

change "truest" to "trust"

to . "mathematical"

�THE ELEMENTS OF SCIENCE
Eva Brann, Tutor

Students of the Tower Hill School,
The title of my lecture in your lecture series
"Revolution and Ferment in Mid-Century" is "The
Elements of Science." In it I shall try to say as exactly and plainly as I can what I mean by this title and this will be what the lecture consists of. I shall
use whatever learning or insight! might possess withoutanyreserve for, as you will see, it is part of my
argument that these matters, elementary matters, are
accessibletoallofusinsofaras we are human. Presumably you are.
What, then, is the meaning of the word "elements?" Those of you who study Latin may have

heard that there is an untrustworthy, but highly suggestive, derivation of this word, according to which
it is to bereadL-M-N-tum, likealpha-betor A-B-C,
since 1, m, n are the first three letters in the second
row of the old Latin alphabet of twenty letters. An
element is, this derivation implies, a constituent
of an abc, in short, a kind of letter.
This understanding of the word implies that to
have an elementary knowledge of any subject is to
have some sort of reading knowledge of it. And conversely, a subject which has elements is one of
which it is possible to acquire a reading knowledge.
Nowwhatis meant by having a reading knowledge -1-

�of a subject? An ancient commentator on a certain
well-known mathematical work called "The Elements;'indiscussingits title, says: ", .• the term
element is applied by analogy to that which, being one
and small, is useful for many purposes. " A person,
accordingly, who has a reading knowledge, say of
books, knows twenty-four small and simple little
items which enable him to decipher whole libraries.
You may object that not letters are the true elements of books but something else, something beyond
and behind the letters, which the readers should get to
as soon as possible - that books should not be read
"literally." But this notion, that we should at top
speed leap beyond the letter to the general idea and,
probably, beyond the poet to his tradition and beyond
a paragraph to its cultural background, is extremely
dangerous - deadly, in fact.

-2-

Let me illustrate what! mean by analyzing a passagefromapoetwhoclearlywants us to pay attention
to the text (a text being a woven texture of letter elements) in all its detail, namely a passage from the

Iliad.
The Iliad is the poem of the ferment that takes
place in Achilles , a man of such terrific aliveness
that he has chosen to expend his life in one short,
high-pitchedspan, ratherthantoletitwear out quietly and normally. As the time for his death approaches
hecannotfacetheideaofnot being alive on this earth,
so he shapes his final weeks into an agonizing drama
which will drive him inevitably into the death he has,
in his heart, chosen . He begins by staying away
from the fighting around Troy on a ridiculous pretext
and sits singing in his tent. His one close friend,
Patroclus, is both ashamed and a little eager to have
his own great moment. Achilles allows himself to be
persuaded to lend Patroclus his very conspicuous
suit of armor, and Patroclus, being mistaken, as is
inevitableinGreekarmor, for the man whose suit he
is wearing, quickly comes under full-scale assault by
the Trojans, particularly Hector, their chief, and is
killed. He is brought back to Achilles. I shall read
what Achilles says in Greek so you can hear the moaning behind his words. "My dear friend i s dead, " he

�says,
,,

I

/

/

/

I

:J'atroklos, ton ego peri panton ti9n hetairon,
1s9n e;n~ keo9a1l. _ton_ap6les,.. teucpea de' Ektor
deosas apedyse pel6na, thauma idesthi,
kAla ... "
Translated: "My friend is daad, who meant more to
me than all my friends, as much as my very self. I
have lost him, and Hector who killed him has stripped off the tremendous armor which is a marvelous,
a beautiful sight. . . . "
The Greekphrase"ton apolesa" is always trans"'
lated "I have lost him," but if a reader paid attention
to what these words literally say - which would, to be
sure, mean learning Greek - he would notice that they
have another meaning, one in which the terrific meaningof the whole poem is collected; for what Achilles
also, and perhaps primarily, says is: "I have murd_ red him" - and that is the stark truth:----e
Andfuthermore, a careful reader who makes a
mental note of the way the loss of the armor to Hector, who will wear it from now on, is emphasized in

th~ whole scene will have a clue for deciphering the
climax of the poem. This is the dreamlike chase
when Achilles, the fastest of the Greeks, cannot catch
his enemy Hector, t~e heavy-set Trojan, as they keep
r_unrung around the c1tycaught as in a nightmare, until
finally that enemy stops running and turns around.
:r~ronlysuc~areader can see in his mind's e ye who
1t 1s that has fmally stopped running and who it is that
Achilles is at last facing - himself.

Of course, I am perfectly ready to admit that
even this sort of close reading is not a matter of
merely reading the letters. But, on the other hand
it is also quite impossible without that kind of be-'
giruiing, and that is the point I want to make. In any
case, I am using "reading knowledge" merely as a
metaphor for a certain kind of knowledge of the world,
namely elementary knowledge , to which it is analogous. Let me try to say more straightforwardly
what seems to me to characterize the realm of the
elementary.
If letters are to books as elements are to the -3-

�world, it follows that the latter have this character:
they must be absolutely simple, limited in kind, but
appearing over and over, as often as you please. They
must be equally present wherever you turn, and everything must be made ''out of'' them, though what is made
out of them need not be in the least like them, as a
word or a paragraph or a book is nothing like a letter.
And finally, they must everywhere be combined by
similar rules for spelling as it were, by general laws.
This elementary simplicity and generality differs
from other conceivable kinds of singleness and uni versality found in intelligible things, for ins tance
from the main idea expressed in a book, since this
idea is not necessa rily very simple, nor present on
every page a hundred times over, nor, for that matter, "in" the book in any literal sense at all. The
questionisthen, whether the world is, in fact, made
up of such elements. I might add here a fact which
proves nothing but which is at least suggestive, namelythatin Greek, a language with an uncanny aptitude
for telling the truth, the word for letter and for ele-4- ment in the larger sense is one and the same.

Let us now look at the meaning of the word "science. " Those of you who study Latin Will know that
it is nothing but the Latin word scientia, meaning
"knowledge," knowledge in the sense of t he ability
to distinguish things. The Bible, in its deep understanding of human nature, presents as the first science acquired by man the scientia boni et mali, the
knowledge of good and evil, acquired at the price of
the loss of paradise. Milton in his poem Paradise
Lost gives an interpretationofChapter 3 of Genesis,
where Eve is tempted by the subtle serpent with the
fruit of the tree of knowledge and acc epts it, which
makes it seem as if that episode had been written
precisely for this decade. For what, according to
Milton, the serpentine Satan in the leaves offers Eve
is the fruit of experience, or rather a fruit whichinduces "experiences" -the experiences which Eve is
promised will put her in a state such " that your eyes
shall be opened and ye shall be as gods, knowing
good and evil." And this i s exactly what happens.In
a state of intoxication Eve sees the world with great
vividness, sees into the center of things, as she

�imagines, where at first the beauty and then all the
horrorofher-ownhumanlife is revealed to her. The
scene ends with Eve, in the aftermath of herhigh
state, squabblingwith Adam over matters of life and
death. Meanwhile Satan arrives in Hell and reports
his initiation of Eve to the experiences of hell,and the
fallen angels, for one dreadful moment, tum into hissing serpents who, greedily reaching after that same
fruit, chew dust.
This, then, istheoriginalknowledge, a temptationanda sin. But in the seventeenth century, at the
beginning of modem times, the world was created
over again, sinless this time. On November 10,
1619, a Frenchman named Descartes discovered "an
entirely new science," or, as he said, a scientia
mirabilis, borrowing a phrase from Psalm 139. (This
man, incidentally, had most of his works published
byaprinterwhoseemblemwas a tree with a serpentine growth on its trunk from which a pagan wise man
is deliberately, and with no sinful look about him,
plucking a fruit.) He published the foundation of this
new science in an account of a series of meditations

hehadconductedover sixdays. Presumably he rested on the seventh. His marvelous new science was
persuasive enough to come in time to be called by
everyone simply "Science."
I mentioned these historical matters only to bring
out the blasphemy and arrogance that are, although
hidden, always present when we speak of "science,"
simply. I shall try to show that the "scientists"have
no cause for arrogance.
Now what is this "science" simply? I shall ill ustrate what I think it is with an example taken from a
book written by a contemporary of Descartes called
Galileo Galilei and entitled, Dialogues Concerning
Two New Sciences, and held - imagine - on six suecessivedays . The two new sciences, essentially the
same as that founded by Descartes, are those of bodies under pressure and in motion, in short, modern
classicalphysics. "Physics" is a Greek word meaningwhat belongs to nature. The new knowledge is the
science of nature.

-5-

�I shall illustrate the nature ofthis natural science
with an example chosen from the first of the six suecessive days of the new creation. Galileo is fascinated
by a wonderful coincidence which had been discovered
by certain Greek mathematicians: of the tones of our
common Western musical scale some, when they are
played together as chords, are "concords," that is,
they sound well together and are "consonant." Others
are dissonant or dicordant. Everyone hears this,
and if anyone should claim that he likes dissonance
not as a seasoning but by itself, he could only mean
that he has gorged on centuries of straight music and
isnowpreparedfor a little perversity. Now it turns
out that consonant tones ca n be produced by plucking
different strings which have the following remarkable
property: all such strings have to each other the relation of one small natural, that is, whole, number
to another. Thus the octave, for instance from G to
Gbelow, achord so consonant as to be in an odd way
almost an identity, is produced by plucking a string
of a basic unitlengthandanotherof twice that length.
A fifth , as from G down to C, is produc ed by plucking
-6- the string of double l ength a nd anothe r oftrtple the

original unit length. This concord is not quite so
smoothly consonant as the octave but, as Galileo says,
ittickles the ear and gives "at the same moment the
impression of a gentle kiss and of a bite." If now together with the triple string, another string, offour
times the unit length, is plucked, we hear the concord of a fourth, from C down to G.
Galileo wants t o know why numbers and sensa tions should show this remarkable coincidence. He
observes that plucked strings vibrate and that the
number of their vibrations in a given time are dependent on, or as we would s ay, vary inversely, with
the length of the string, which means that the doubly
long string vibrates half as often. He further notices that such vibrations can be communicated by the
air to other sensitive bodies, for instance a goblet.
He also knows that our ears contain a drum which is
sensitive in just this way, and he concludes, thereby
incidentally founding the science of acoustics, that
we hear a satisfying chord when the sympathetic vibrations set up in our ea r by two strings a re in step
or in phase, so tha t , in the case of the octave, on
e xactly every second impulse from the shorter, high-

�er-sounding string, there comes in a single one from
the, longer, lower string. But if the vibrations cannot arrive in phase so very often, which will happen
if the lengths do not have small number relations (or
if perhaps they never arrive together, which must
happen, as some of you will know, if it were possible
to cut strings which have no unit in common) then the
sound is increasingly dissonant and produces an impression from tickling to torturous.
This, it seems tome, is, at least as a beginning,
a satisfactory explanation of the phaenomenon, and it
is certainly one of the kind called "scientific." What
are its characteristics?
You will notice that such an explanation demands
that there be certain elements present everywhere in the strings, in the air, in the ear drum, and that
Galileo sees just such elements in numbers and
lengths, in arithmetical and geometrical objects.
Their presence alone makes such different things as
strips of cat' s gut and our sensory organs capable of
being definitely and precisely related . Such math-

ematical objects, few and simple in kind, and connected in clearly prescribed ways, are everywhere
in nature, and wherever they are, the same general
rulesapplyinsucha way that every little occurrence
is equally an example of what we call the "laws of nature . " This circumstance is responsible for our
ability to experiment, since on account of it we can
see in a small room on earth the very same laws at
work which hold, for instance, our natural satellite,
the moon, in its orbit. The science of nature is,
accordingly, mathematical science and the elements
of nature are mathemetical elements.
What is specially characteristic of mathematical
elements? The Greek word "mathematics" means
simply "that which is learnable." Why might mathematics have seemed particularly learnable to those
who gave it that name (who were, incidentally, identical with those who discovered it)?
You will remember that I compared elements to
letters, which are simple and everywhere related by
general rules. But we all know that no one can tell -7-

�by looking at the twenty-four letters what the rules of
spelling are, for letters give no clue to their uses and
relations, which are agreed upon arbitrarily. Mathematicalelements, on the other hand, do give us such
clues; for instance, it is by inspecting a line segment
that we know that the whole segment is greater than
each of its parts, and it is by thinking about imagined
triangles that we know under what circumstances they
might be congruent. (I am bypassing here the complicating fac tthat, having imagined and thought enough
aboutmathematicalobjects,we ma,y constructa s ys tem which pretends that the rules relating numbers to
geometric figures came before these objects and that
the objectscomeintobeingonly later, by being construe ted according to these rules, or axioms, as they
are called.)
Mathematical objects are thus characteristically
transparently simple and at the same time rich in
built -in relations . This is, I think, why the first
mathematical system, Euclid's geometry, was called
the "Elements" - geometric objects are, so to speak,
-8- the perfect elements, elements par excellenc e, name-

1y simple beginnings whose property it is to enter into a great multitude of things, though these things rna y
innowayappearmathematical, as a consonance does
not sound like a small number ratio.
All this implies that to speak of the " elements of
science" is as much as to speak of mathematics,
which, in turn, is that which everyone can learn. In
oneofPlato's dialogues, the one called Meno, anex periment is performed by Socrates to show that even
a totally uneducated boy, if rightly questioned, can
discoverwithinhimselfthe answer to a really rather
sophisticated mathematical problem, namely how long
a line must be used as the base of a square with an
area of two square feet. If there is someone here
amongyouwho thinks that he has a particularlyhard
block against mathematics, I am willing to reproduce
this experiment - on the condition that if it works it
proves my point, and if it doesn't it proves nothing.
My point is essentiaJly that eve ryone can learn
the elements of science, simply by reason of having
ahumanintellect. The sciences are the pre-eminent

�humanities. I rna y here seem to be turning things upside down, but I shall go right on just the same to
make a list which might outrage some of you, a list
crudely entitled Easy and Hard Subjects. The easy
subjects are: mathematics, particularly Descartes'
great discovery of analytic geometry; el""mentary
classical physics and certain approaches to electricity and magnetism as well as to the special theory of
relativity; also, I imagine, electronics, computer
science, etc. etc. Hardsubjects are: the science of
the soul, sometimes called psychology; the inquiry
into the actions of men, called in the English Greek
we so often speak, history (which originally meant
"inquiry" simply); the study of men in associations,
called sociology; etc., etc. You will notice that my
"easy" list consists of the sciences of nature and their
prerequisites and applications - and I do, in all seriousness, believe that everyone can learn their beginnings, though I agree that at a certain level they
quickly get too complex for the unspecialized student.
The "hard" list consists of the study of man, of human beings, and the strange fact is· that these are not
accessible to any human being by what Descartes

called the "unaided light of the intellect," but require
something more: a prior knowledge of nature, e:xperience, sensibility and another thing which I will try
todescribeina moment. I therefore think my order
of difficulty, though it turns the one usually accepted
in schools and colleges upside down, is the true one.
I mentioned as one of the requirements ofthe
study of man the knowledge of nature. An obvious
reason for this requirement is that we can know little
about ourselves unless we know about the things .
around us which support and oppose us. But there is
a deeper and more subtle reason too. In order to understand ourselves we have to know how we come to
know, we have to know what it means to have or to do
science. And this can never be understood by anyone
who has nottried to study the scientific enterprise itself - I myself would never truest a historian who talked ofthe "Scientific Revolution" andcouldnottalk, for
example, about the old and the new ways of generating
conic sections. Happily, an elementary knowledge of
science is, as I have tried to show, entirely within
the power of any high school and college · student, pre- -9-

�cisely because science rests on elements. And I
think that such elementary study - by which I do not
mean a survey - is sufficient for the purpose.
That brings me to that other requirement for the
study of man. In studying science we build up from
the elements to greater complexity and efficacy, and
to get there we accept the elements. The beauty of
thiswayisprecisely that it gets us somewhere; by it
we become powerful experts. Now it seems to me
that the ultimate requirement for the study of man is a
firm unwillingness to be stampeded along this road.
To know ourselves it is necessary to tum around, to
tum on, and not away from, the elements, in the
Latin term, to reflect. This kind of patient reflection will not immediately teach us how to do things,
but it is indispensable if we want to know what we are
doingandwhy. In otherwords, this last requirement
for the study of man is identical with the chief requirement for purposeful action.
The word for turning things around or upside
-10- down is "revolution." The planets in their courses

are a t the moment making revolutions. If somebody
gets upset and in turn upset s a car, there has been a
revolution, and when a man suddenly flips and stands
on his head, literally or metaphorically, he has undergone a revolution. All such revolutions, tremendous
as they rna y seem, are explicable in terms of the laws
ofnature. They occur as do things which are always
the same, in mid-century , at the beginning, or atthe
end, and the less we attend t o current events i n studyingthem, the more hope we shall have of understanding them. But there is another kind of revolution, a
revolution which is an action in the true sense of the
word, not a mere happening. It occurs wherever
someone turns a matter over in his mind and, all by
and for himself, comes to a conclusion which may be
- though it need not be - utterly the opposite of what
the others think they think. It is the possibility of
suchtrulytremendous revolutions which I was really
leadingup to tonight, and if there are s!udents here
who think that any other revolutions should concern
them much at this point i n their lives, I wish they
would tell me their r easons later on.
Thank you.

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                    <text>Ev!I Brenn

..

St. John's Callega, Mey 1972
An Appreciation of K•nt 'e Critigue ~

.!:!:!!!..

Reason ..

for Students

An Introduction

·Pert I. · THE CRITICAL ENTERPRISE
a. Tha Problems
b. Tha
c.

Gr~tique

The System

Part II. THE CRITiCAL HAN
11.

b.

Tha Pradlc21ta

c:: ~

Th• Object ·

d.

(Exp1rience)

11.

The Cri tigup

The Subject

Tha

£!! f!.!!!.

MQ~rli,,g

R!t!!pn in 1ts final f'orm hes 884 pegaa.

Of these

tho l••t. five ara clevotad tn • history of metephysice. . In 1t Kent c'eete en
aya aver ell the efforts prec1ding

and eaea·them ell ae structures

his~

Then ha cla1ee with these words (my italics):

in ruine (8 BBO).

critic'l way elone 1e still ap11n.

11

The

If the randar hes be11n obliging end patient.

anough ta wander over it in mv company, he mev

now

judge whether, if he le

willing to contribute his part in order t _ meka this. foot-path a royal road,
a'
acmathing which meny centuries heve been unable to accomplish may not be

attained before

lb!. ct111pletian
.

gf !b.!, preeent century:
I

namely, thet human

raeson ehall, in thane matters which have et ell times, though before this
in vain, engaged ite desire ta know, be given c1311plate aatisfection."

The

vaer ie 1?87.
•A,S : pegin~tion of first end second editions; other works are cited
paragraph, where po1eible; P: Prolegcmap] !e, An~ Future Metaphysics.

by

�I have quoted this last paragraph to establish th·e full tremendousness
of this book.

It means revolution; more swift, radical, and complete than '

the two great political revolutions in France and Pmerica between which
it falls.

Kant himself emphasizes this revolutionary character, taking as

his paradigm the Copernican Revolution, that change of paint of view which
turns the human being from the quietly central spectator of the moving heavens
into the circulating observer who sees in nature only his awn restlessness
(8 XVI, XXIII, n.).

I shall try in this presentation to work out as exactly

as possible the effect of our acceptance of this reversal on our humanity,
but to do this it will be necessary to try to strip the Critique of those
defensive outworks which, while intended to make the newly established
position of liberation secure, really turn it into a new orthodoxy •. For
like all radical positions, the Critique is meant to be completely and
irresistibly compelling, which means that those who yield to its compulsion
and join, so ta speak, the party, must come to see their position as given and
obvious and in no way wonderful.

This lack of wonder is just what Kant

aims at when he says that within the next two decades human reason phall have
its desire to know completely satisfied.
The compulsion of the Critique is expressed by Kant in the sentence:
critical way alone is still open.''

"The

Therefore, if we want to remain open to

the impact of the book, we must refuse to be herded along this road, though
we must follow it.

We shall try to look at the Cri tigue not "critically",

that is, as insiders, but appreciatively, .as outsiders.

This has one immediate

consequence for our reading of the text -- those compelled to live within
the system must tinker with it constantly to make it livable, but an outsider
can afford to take it in its integrity.

I shall, thGrefore, accept Kant's

clear statements to the effect that his system was in every part complete

2

�in the first edition of 1781 and ·that he made no change or addition when he
revised the text for the secoAd edition, and desired none to be made subsequently (8 XXXVIII).
To avoid the compul_ion of the "critical way" we must see what it i!'&gt;, and
s
there is only one way to do that, which is to regard the Critigue, as Kant
himself does, as a great dwelling, an architectural work (B 736), erected on
the ruins of preceding structures, through which we allow ourselves to be led
as prospective inhabitants, the while seeing_ more and different matters than
our guide intended and thus preserving our inner independence.

Let me

i~lustrate

what I mean by simply launching into . this brief liberating tour of the Critigue.
The first part of this presentation will, then, deal with the Critical
Enterprise as a whole, under three headings:

the Problems, the Critique, the

System.
Part I

THE CRITICAL ENTERPRISE

a. . The Problems
The outworks and forecourts of the Critigue are the problems through
which Kant compelS .: everyone to enter his book.

Let me first road them off

(B 20 ff.):

How is pure mathematics possible?
How is pure natural science possible?
How is metaphysics possible?,
and finally, the translation into Kant's technical language of these three
I
together (8 19):
How are a priori synthetic judgments possible?
The first three questions express Kant's two mpin preoccupations for many
years before the critical answer came to him, namely the value and trustworthiness of Newton's mathematical · science of moving bodies on the one hand,
3

�en.cf the self'-coritradictoriness ·and uncertainty of metephyai.c s on the other.
Vet they constitute not so much the opening of en inquiry as the gates to
the straight end nerraw path of a eoiution.
unwitting captives of

Kant'~

cestle, we must

If we ere not to become the
~ecoma

·thoroughly E;11Jere of the

constraints the formulations of these .problems impose on our· way.
First of ell, whet does Kant imply by asking how such kntldledge is
possible? In the case of m~themetics end mathematical physics (Which is
sO'iance only as fer as it is

methemetic~l

(Metaphysical . Principles

.E! Ne1turel .

Science; Intro.)) the question expresses no doubt whatavar about ite actuality
nothing is more

cert~in,

and requires the reader's assent more es a matter

of course, then that methemat1c·a1 ecienca exists end contains binding lewe
(8 X ff., 20). What it does express is e· very peculiar Kantian approach
to what is actual, namely that precisely bec115uea.iit exists . it must be given

a foundation, that we must find the grounds upon which

t~et

which is actually

known can be ours, not only in th13 sense of being ·eveileble ·but else es a
firm and certain poe•eaaion (Pra·kegmiena 5). Metephyeics, on the other hand,
is not en actual science at ell CB 21), since up tc ' the time of the Critigue
there has been, depressingly, no metaphysical ·1ew proved fer whose contradictory an equally convincing proof cannot be constructed; for instance, it
can be equally convincingly demonstrated that the world muet have a beginning

in time and also that it cannot have such a beginning.

Kant calls such

parallel opposing proofs "antinomies" or 11 counter-l&amp;.1e" (8 434), and he hed
been occupied with the devastating pbssibili ty of ccn_ tructing them long
e

before he wrote the Critique.

Therefore the project of finding the grounde

of the poeeibility of metephysice will imply bringing it into being; Kant
will have to find the first uneeseilable metaphysics.

4

�:. •

. Secondly, what doee Kl!lnt 1mpl'y in using the word "pure" in th11 f'1ret
three questions? We must f'iret attand to tha 'vary fact that there.!!,
'

'

'

"pure" -- in contrl!et to ca~teminst•d ""... khlJldledge.

"Pure" is clear_y a
l

key concept of the. Cri tigue E!,. f!:!!:!. Reeeon , er:id it does , indeed, es we shall
see, meen · 11 uncont$nineted by anything alien" (A 11). · We must expect the
irrmsculateness of our conceiving to play a central role in the book. There
·is a further implication: Since pure mathematics and· pure naturel science
have indeed long been actual, while msta_ hVsics, by which Kent st this point
p
understands merely the knabiledge obtained by the pure intellect
not yet in ex1etence _
among men, the former

mu~t

CB XIV), is

represent knowledge which .

is on the one . hand unconteminat.ed by alien ·eeneation, and on the other
altogether inteilectual:

!!.2!.

the implication is that . there muet be a pure !!2!?,-

intellectual knowledge; and indeed, the discovery of a second. faculty of knruledge,
tn every way apposed· to the intellect, a nicul ty capable of pure sensing, wee
Kant• s first cri ticel find CQ!l !t!!..F~m !!29_ Princlplee

Ef. ~. S!npible and

Intellectual World, 1770).
And finally, what does the juxtaposition of the three questions imply
concerning their interrelations? Kant, in

expl~ining

how he came to the

critical enterprise, attributed his awakening frc:m his "dogmatic .slumber", that
is, his faith in the traditional metaphysics, to David Hume (P, Intra.). What
Kant had learned from Hl.llle was precisely · that his own two orig.inal p;reoccupetione (the success of mathematical phy?ics and the natural human predisposition
toward metaphysics) were deeply involved with eech other.

For Hume had pointed

out that a type of connection between ideas, central to all metaphye1ca,
I

.

namely that of cause .lf'ld effect, could be made neither by mere reasoning, nor
by observing events in nature.

For no one has ever seen a cause act ar an

effect ensue·. · If, for instance, one billiard ball hits enother, which thereupon
5

�begins to. mpve, ·a sequence .of distinct events can be obsar\ied, but no element
in this sequence clearly bears any mark of being the "cause" of another which
appears as its "effect"; in Hume'e werda:

nno object ever discovers, by the

qualities which appear to the senses, either
the effects which will arise from
standing IV, 1).

ti

it;~··

~he

causes which produced it, or

(Er!, Enquiry. Concerning Human Under-

But if Hume had thus ·showed that the · central notion of meta-

. physics is unknowable, he had showed as well that ths central notions of
Newtonian physics are superedded to ita observations;. ail our sense experience
can give us is that nature seems to be in the habit (Enquiry V, 1) of following
certain sequences,

b~t

that same of the events of such a

seq~ence

ere the ceusei

af others is not an assertion capable pf experimental verification , e,t ell.

Hume's attack on metaphysics is also an attack an the certainty and
· of science.

But because Hume's

~ssault

Ttiur

aignificenc~

was made with a tw.o-edged &amp;'-'ord, Kent

conceived, and so his questions, taken together, imply, that t .he. defense might
also secure both metaphysics and experimental science et once; this would be the
case

if. !t!!!, former

physi~were

~nothing

.!!!!, .lh!, g_round £!. ~ letter, if the n8W meta-

to be pre-eminently what is nbepind physics", its ground (B 8?3).

Furthennore, Ht.1ne's peculiar proceeding of elevating experience by
attacking its conclueiveneas, conf1:nned Kent in the assumption that there is
only one criterion of certainty and that is purity -- nothing that comes to us
adventitiously, nothing that is given to us by sense experience from the outsidE
can be guaranteed, far yet another observation might reveal an 'alternete eaquenc
which will prove our first conclusions to be neither always nor inevitably
true, net ther universal !1!-J.r. necessary.
certain, then it must

procee~ . fran

If observational science is to be

propositions which are dependent on nothing ·

alien, which ere pure of aensation, Which is to say : . ~ .!:!!!. !.!:!!!!.
first.

!!:!! very

The Latin phrase fer "fran the very first 11 is "a priori" (8 2-3).
6

�We may now recapitulate the assumptions to which Kant's introductory
problems co1T1Tiit us by studying their final enunciation:

"How are a priori

synthetic judgments possible?" (8 19). We see that this formulaion assumes
that

there~

a priori judgments, that is, propositions which arise purely

out of our own faculties .of knowledge.
"synthetic",

It assumes also that these are

"Synthetic" means "put together".

Synthetic judgments are

propositions in which, as opposed to analytic ones, the predicate does not
merely make explicit what is already thought in the subject, but in which truly
different things are put together; we might say simply:

new or interesting

judgments, precisely of the sort science is expected to contain (8 14).
shall leave for later the reason why Kant calls propositions judgments.)

(We
And

finally the enunciation of the problem, in asking about possibility, commits
us to the grounding enterprise.

This means that we accept in fundamental

questions the necessity of perfectly circular argument (8 765).

For as Kant

explicitly shows, to ground the actual means first to find those elements
which make it possible; and when we have, with the aid of a lucky clue,
found such grounding elements, to show that on these and only on these grounds
we can get what we already consider ourselves actually to possess.

Critical

grounds are therefore in some sense like the hypotheses, rationalizirg constructs,
of astronomy (A XVII) • Here, however, the peculiar aptness of .t he Copernican
paradigm begins to come out; just as Copernicus differs from Ptolemy in
refusirig to regard his theory as merely another hypothesis but thinks of
it as revealing the true nature of the heavens, so those grounds are not
intended as mere constructs but as truths (8 800).
Thus aware of the constraints under ·which we enter, let us pass straight
to the central court deer within the dwelling.
on here goes under the name of:

7

The enterprise carried

�b. ·.J.b2. Critique

E! ~

Reason.

Kant uses the word "critique" in a general way to mesn a radical review
of knowledge in terms of its grounds (which, it turns out, ere the faculties of
.
.
.,

'

knowledge), but in its central use the word

h~s

precisely the aggressive

meaning 1t appears to have. ·. Far in the largest middle section of the Cri tigue,
Kant undertakes the negative work which gives the book its nE111e, theexppsure
£!:pure reason·, of reeson on its

(Hence the title of Kant's book has

CliJn.

two meanings -- · 1t refers bath to the destruc.t ion of the pretensions of a
higher faculty, specifically called the reason, anclthe establishment es a
ground of kncwledg. of a lowa1· faculty properly called the ·understanding, though
e
sometimes cCJnprehended under the general term reason.)
The center of the book is, then,

~ha·

scene of devastation.

Here

we

sea

the ruins of all farmer metaphysical enterprises about which .the new edifice
is built. We know fran K nt•e early notee that preeminently this central
·
a
portion .·was called "Critique" and that a suggested title for the whole . work
.
was "On ·the Limits of Senee and Reason".

The critique here practiced is no

longer a search for the ground of knowledge but the annihilating criticism of
any previous metaphysics.
Kant is very explicit about . the centrally negative and destructive ·
character of the Critique (8 23); it is because of this that Moses Mendelssohn
called him the "universal pulverizer".

He regards it es a great purification

which must precede the new era, as e profound reinterpretation of the Socratic
knowledge of ignorance, for while the latter intends to prepare a way into
the apparently unkn0bl1, the critical revelation of the impotence of reason
is intended to prevent for ever· any venture into the provably unknowable
(B 786).

In his Philosophy

E! History,

Hegel, in a penetrating f1 fty page

review, calis Kantian philosophy "enlightenment .made methodical" -- the
8

1

�the central Critique is methodical enlightenment.
In order to understand why the critique of metaphysics is cast in the
f orm of an attack on pure. r e ason it is necessary for a moment to look at the form
of the book itself.
l ooi c ~

text book of
on logic.

All but the first part of it is cast in the form of a
o vg2~ 1 zed

in part like the manual for Kant's own lectures

In fact it rec apitu l a t es, with some signifi cant s hifts, the

parts of Aristotle's Or !=] c:m-- .. or
on
- ~·

-~ ~

11

J1
1strument 11 for the acquisition of knowledge.

i',s such it deals in orde r with the elements of the fcrms of thought, namely

concepts, t heir combinat i on j n ..judgmonts, and finally with inforences, and
t he art of argument.
Categories, _ On
uses the nam 2

(The cDrrr::sporiding Ar :.stotelian treati ses are the

Inter' prot a tiL~ ,
~} v!J c

j: he A
nalytics_ and the I_opics ( B 324).)

Kant

fo:c t\":E! fi rs t two of thes e s ub j Gct matters (which we

th c t is, of syllogisns and t h2 c:1 1 of argume nt, in to ;:.he huge middle section
-i
r .:

c1 ? his book which he calls ':Dialectic", or better, wrranscendental Dialectic".

The u rd "transcendental " literally mea ns noth i ng more than "going
1n
beyond 11 •

Jn the language of thE! s chools those terms CJ re called transcendent

which intend something bByonci s ens o experience, such as the One, the True, the
Good (B 113).

Kant chooses

t he tradi ti cm;

tiJh8t8 11er

lJ

form of this Lc1ord to ma r k his overcoming of

goes beyond experience is transcendent and without

r:redi t unl ess it is ;:; trc:msc r:: nd1:2nta l anst&lt;Jer to the c r i t ical question:
CJ:., 2

the gro unds of s e:nse exporfo nc e ?" (B 25 , 80).

11

What

The opposite of "trans-

c i:mdental 11 is "immanont 11 or dtt.1elling "within 11 experience.

The critical logic

i s therefo re a trans cendental logic, a logic not of the world itself but
o f the conditions of knowing it; as Kant says, a logic of truth (B 87).
f or the word

11

dialec t ic 11 , Kant completes the degradation which Socratic

9

As

�"conversation" had begun ta undergo in Aristotle's Topics (VIII, 1).

There

the dialectic method of argument is that which addresses itself to the

convincing tha interlocutor by likelihoods rather than to the production of ·
truth.

Kant goes further -- dialectic is .simply the logic af illusion (8 349)

end transcendental dialectic is the critique cf the production of illusory .
argt.nnents in the realm beyond sense experience.
We possess, it tums out, a special faculty of deluding ourselves (8 353 ff.).
This faculty is "pure reason", reason by itself, without any alien additions:
human reason on ite q.m is a faculty for -- illusion.

The problems with which

the Critique begins, you will remember, could not i~clude th~ fon:nulation

"How is metaphysics asa science possible" since no one could exhibit such
e science. What I omitted so aay then was that Kant had substituted an
alternate formulation based on the human fact that metaphysics has Qlwaya
been attempted. Kant therefore regards metaphysics as a universal human
activity and asks:

"Hru is metaphysics as a natural disposition possible?••

I had in the last section md.tted the very last statement of one of the
problems of the introduction, which

ia~precisely:

"How is metaphysics as B natural disposition possible?" (8. 22).

Human beings, this question assumes,· do actually have such an inescapable
disposition, for, in the face of never-ending failure, they never cease to
attempt to gain purely intellectual knowledge.

(I might interject here . the

observation that it is a consequence of making a science of the grounds end
faculties of human knC1&amp;Jlec1ge that they all become universal; no hunan soul
can have a nature basically different in constitution from any other -- this

might be

c~lled

the scientific republicanism of the Kantian revolution (8 859).)

We are naturally disposed toward
operation of our reason (8 355 ff.).

metaphysi~s

because of the peculiar

The reason, a dubious English substitute
10

�for the German word

11

Vemunft 11 , which originally means a faculty .for "taking

in", is traditionally that highest knowing faculty, which sees directly into
things.

Kant retains its position as the higher of two cognitive faculties,

but this ranking is now degraded

~higher

means farther removed from experience,

from the illll1ediate production of truth -- secondary (8 362).
this, its tradition al Latin name,

11

As a token of

intellect", is taken from reason and

attached to that primary faculty of thought called the understanding which
we shall look at later.

Reason does no original work of understanding, it

merely uses the concepts and judgments which the logic supplied to it and
combines them into derivative ones called syllogisms or inferences.

This

dependent faculty is, however, by its very nature not content to collect and
combine the matter supplied but insists an exceeding itself.
The Transcendental Dialectic shows haw the faculty of reason, which is
beyond experience, is irresistably, by its very ·nature, compelled to lase
itself in a definite number of definite fundamental logical illusions of the
type of the antinomies I mentioned before.

It does this in the fallowing

way: . it notices that its chains of inferences seem to run backwards in three
ways (B 379):

In the first of these, the premises run backward in such a way

that each prior premise has a more inclusive subject, as in the syllogism
"All men are mortal, Socrates is a man, Socrates is mortal • in which the
i,
subject of the minor premise, Socrates, is narrower than_that of the major,
man.

So also syllogisms regress from consequences to conditions as in

"if-then" syllogisms, and from a disjunctions to a collection of possibilities
as in "either-or" syllogisms.

Now reason is inevitably driven by its own

"interest" to do what it is not fit ta

~o;

ta originate concepts and

judgments which it posits as the principles or absolutely first premises of
each of the three types of chain.

Thus it creates the concept and posits the

11

�existence of 1• . a vary first and all-inclusive subject, 2. every first;
unconditional or fraa condition end 3. a being in which all pose1b1lit1as are
contained. Such illegitimBte creations ere called 1deas of reason, after
the Platonic ideas CB 370). · Different prcceeeesof illusion ere eaeociated .
with each of the three ideea; among them ere those antimonies of metaphysice
which had early disturbed Kant.
Now the ideas of r'aeon are only the logical f01111Ulatiane
.

.

thraa human
.

concerns which . together exhaust
which itself is

or

.

neve~8'11Bra

th~

field of philosophy.

For th•t subject

predicate belonging to another subject but Which

--

rather itself supports ell predicates. is the soul, which belongs only to itself
.
.
while

an· knowledge

but moves

unmo~ed,

belongs to it; end the condition which itself has no cause
spontaneously, describes freedan; and that being

perfect in containing all possibilities is God.

wh~ch

is ·

In questions concerning God,

freedom · and the soul Kant recognizes the totel content of all previ[Jus
metaphysics (8 ·? ,826). He has · just eha.iln that substantial en1111ers to such·
questions ere beyond our cOD1petence.
lie

in

All the old constl'llctions .of metaphysics

ruins within his a.11 . edifice.

Thie;than, le the anewar to the problem: Holil is it possible that we
have a natural

dispositia~

.t werd a study which . brings us nothing .but

undemonetrable, contradictory fictions?
as naturally . . to lead to excesses:

Uur highest faculty is so constituted

lt is the business of

B

critique

of.cur

reaeon(a way to eelf-knDldledga which gives us a radically new version oT'
Socratic ignorance, nemely certified ignorance (A XI, B 22)), to discipline
this prapeneitv by .displaying it clearly • .Kant's promise ti1atour desire to
kn°"' will

c.

~hQrtly

be laid t1:1. ,rest is hence fulfilled.

The Sy1tBll)

· \iav\\ng .briefly surveyed:. the very beginning al")d the middle . of . the Critigue
12

�the time has now come to look at the blueprint of the whole critical edifice,
as set out in the last part of the Cri tigue, which, '. Still in accordance with
its presentation as a logic, is called the Transcendental Doctrine
In his own manual of logic, Kant says:

.E! Method.

"Just as the Doctrine of Elements in

logic has as its content the conditions of the completeness of a knowledge,
so an the other hand the General Doctrine of Method, as the other part of
logic, must treat of the form of a science in general or of the way and the
manner in which the manifold of knowledge is connected ta make a science."
(Loeic 96).

A doctrine of method therefore teaches how to handle and how to

put together the elements or building blocks of a science, how to make them
the mutyally supporting parts of a systematic edifice.
logic is in a special position.

But a transcendental

In mathematics and natural science, as

Kant observes in a work which is the precursor of the Critigue, the method is
the result of investigations in progress and follows upon the science; in

-

pure philosophy alone "the method anticipates every science" (Sensible and
'
.

Intelli51ible World 23).
the method" (B XXII).

And so Kant calls the whole Critique a "treatise on
For the transcendental ' philosophy, defined as the

of the system of principles discovered in the critical enterprise

"id~a"

(B 27), is to serve to mark out and secure the paths of inquiry in all the

sciem;:es, to be a Prc.Legomena, or preface,

.!£.

Any Future Metaphysics Which

.-------

Can Assume the Part of a Science, and this is precisely what a method is.

~

.

'

But the critical investigation itself must also be somehow directed, and this
is what the Transcendental Method does; it is a method of method.

Vet there

is something strange about it, for what trustworthy method can show one the
way to the grounds of trust? Note, too, that Kant calls the critical system
an "ipea", almost suggesting that it is itself one of those dubious constr&lt;
Licts
of reason. The art -- note, not the science -- of systems is called, in

13

�keeping with Kent's edifice metaphor, "Architectonic", or ~th• master-builder's
art 11 , the neme of the next to lest .section of the book.

But

be~ore

Kant can treat the system of knowledge tie muat complate lt;

for an ele""\'t is m1~1lng. This ia done in a prior section .called the "canon
liilike Bacon •e

of Pure Reason".

~

OrQanon ·or science•:

wh~ch

is qu. ted at'. the
o

beginning of the Critique, Kant's new organon of pure raeson ie no~ •n inatrum11nt
for positive discovery but for the cure end prevention of error, e negative or~~...,o
(8 25) or 0discipline" (8 737), ee the first section of the Transcendental
Method, which demands that reason be shown ta have. no iegitimete theorsUcel
use, is called.

But amewhare, K18nt says, reason must be. a sourca of positive

knowledge CB 823).

A method for rightly using e faculty, 8uch as the reason,

is called e "Canon" (8 8241; the section so named ln the Critique d•1covere the
positive use of the reeacn, which is the missing element in
"precticel" reelm, 1n morality.
in the Critique
Critique

2!,~

E!. Ptacticel

t~e

eyst.-, in the

It .is therefore, ea it were, e claaring meda

fi!asan for the purpose of laying the foundations of the

Ra!!Jln.

The possibilities of pure reason era now ca111pletely exµaunded end

~ant

.

.

can give t11a legi timete table of retionel hLltll!ln knowledge or ph1loaophy1 (8 869)1
the transcendental counterpert of the Catalogue or histories Bacon had appended ,

to hie O:menon, which ie intended ta direct empirical inquiry.

I shall recount

it only fer enough to reveal eClll'lething significant about the Crit1gue ea a whale.
All retional knowledge has aither

!!p1r1~1l

roots, which mB&amp;tna that it is based

on the trial and error cf sanes experience, or it la purely rational; only the
letter is considered in the Critique.

It is to be noted

ff. :L~~· ; ~ { .r : r : r.~ ;- 1 1 '. '

that thia

fundamental division is entecadsnt .to the inquiry itself. The philosophy of
pure reason in its preparatory or "prc:&gt;paedeutic" stage is celled •critiqua!' The
principles there d1acovered, when presented completely and eyetewieticelly, ·

14

�may then be called •1metpphyeice". Metaphysics hes tMICJ br8'"1chea, the metaphysics
of thaoreticel reason which i .a ~ ea we shall sae, . the sane. as the metaphysics
of natyra and the

of practical reason, or of morale • . The meta-

mataph~eics

physics of nature· 18 in tum d1v1dad into two parts, one r:tealing with the .
sum Qf all obJect19 given to our faculty of knowledge.

Thi~ · part Kant cel;J,11

"physiology", the ac. ount of nature. The other part deals with those faculties
c
themselves, apart from th•i~ ob.jact. Kant calls it "ontology", the acc~t of
being.

Hera, in the ~h!.~~*~-~' . KB"lt· in the elmoat ·iranically unobtru'eivt

traditional ta?me

r&amp;\l&amp;Bl.9

.

th• t'ull t'o:rca of his revolution; th• quaation of.
'
.
.

Aristotle's, Metaphvaice (VJI, i) Which has
well as nru ever pursued end ever lftiaeed:
answered by pointing et the queaticner.
but

bes~,

Jl dhet
,

say~; '~n

es he

thtl past

is being?•· ~ is now

!!:!!. science · E!

beinQ

1111

to be

!!. Ea."!!!. neth1ng

!tl! science g! 1n;Jlliring !!!!!!!.•
Tli1s brings us ta the ~~.~!f E.~r~. at' this praeantat1an blhich da-.la witli ·

the Critical

MBn

under four mo.tinge:

the Subject, th11 Predicate, the Object,

and the Meaning.
Pert . II:

THE CRITICAL

M~

·

The order of presentation will have the farm of en experi91811t in reconstructing the Cr1tigue which is suggested by· the Prolqganana; Kent's introductory

sketch of the Cri tigua , which he wrote between 1ts two editions. .In . thie
short book Kant pretends to present .analytically, that
.
.

is

by reducing the given
~

problems to the conditions they implf, the same material presented in the
Critique synthetically, th11t is by starting with the first and highest. principle,

and deducing the consequancaa.

( P, Intro; this use of .these

·ilrme

must not

be confused with that 1) by which judgments are called synthetic or analytic,
as described above, (P 5 n.)

or 2) by 11.Jhich

the dissection of e faculty is

is called an analytic, as seen belCl.il.) ·Now everyone who has read both works

15

�1a perfectly ewe're that they are both equally analytic or '*regressive", as !lny
work af discovery would be. My experiment will therefore consist af presenting ·
the elements cf the fLritigue in that ~ynthatic ar progressive order which Kent
I
.
..

never actually followed,

I !dill etternµt, es it were ·, tc reed · the C:ritigue

backwards, ta derive critical men from hie

principle~

The matters I em about to take up ere drawn mostly from those earlier
.

.

' •

sections of t ·ha Critique which I have bypassed so far and which are generally

IlllnBdiately after the Introduction

end rightly the object of most intense study.
comes, es the first part of the
"iranacendentel Aesthetic".
.

~EP.!r..1~,! P.~. 9..1!.!!?!l~~..

a section entitled

•Aesthetic" caries rrm the Greek. bJDrd eistheeie,
.

.

.

.

sense, end meeris the exposition of the hunem capability for

s~aing.

.

(B 35

n.)~

"Transcendental", you 111111 remember, means •beyond manse experience". ·The

Transcendental Aesthetic therefore tl'9•t1 mf our cepllcity

fo~ sensing

without

sensation. The poethunously published work of Kl!lnt ehawa that tha diacavary
of this strange capecity came to dminate hie attention.

And well it might,

for it .holds the key to his peculiar view of human nature. The ·second part in
question, the beginning of the logical Critique (which i11111edietely precedes the
Dialectic, the "discipline · of reeeon" discussed above) is called the "Transcendental Analytic".

It is a "canon of tha Wd1retendiog" (8 ??)and contains

the analysis of the grounds of our capacity rar a priori thinking • . The first

book of this is called the· "Analytic of Conc•pt•"· In it is found that
investigation in the Cri tigua, designed, aa

~ant

says, ·•with soma depth" which

cast him the most labor (A 98), tha notorious "Trenscendantel Deduction of the
pure a priori concepts of the

undarstendin~"

used above but a grounding ,procedure in

~hich

(not a deduction in tha sense
certain· critical .discoveries are

justified by being ehcui to be the neQsseery .conditioris of the possibility of
science (8 11?)). Considered apart fri:Jn its systematic context, it cen ·be

16.

�aaid to establish the nature of the transcendental self, the highaat, or
perhaps better, the deepest point of the Critigue. I now ctr&amp;.it lerg11ly upon
it for my synthetic .beginning.

a.

~

The nane for thet which underliee all alee ie

Subject

In the beginning there is the "I", and the "l" is by 1.teelf.

lt is the

highest point of . the Critique ( B 134 n .) ; ell else is founded upon . 1t ..

In ·

English we help ourselves over the enormity of such a reference.to the,!. by
eeying !b!_ !!!!!,! er

~

ego, but Kant uses no such eubeti tutes. Were in exactly

llea this enormity of the highest critical concept?
The pronoun which we very aptly call "of the first person" (a parson
being defined by Kant. es something conscious of the . numerical identity of
its I (A 361)) is precisely of such a nature that no one else, no outsider, can
say "l" for or of another. The word "l" is the pure expression of inwardness
which cannot become cur

D\IJT1

or another's object (8 .321); thus 1n .. ettamptlng

to use the noun for which the "pronoun" I stands, cur name, we are constrained
to shift to another "person•, the third, just es
say "he" or "it".

-

Ide

Hew then can Kant make the I en object of investigation? For

Descartes in hie incubator, such a study was still

--------

examination (Discourse on Method IV, 8 422 n.).
is, as

blS

must, in speaking of another

si~ply

and frankly

!!!!-

One of Kant's greet innovations

shall see, preciee'iy to show in whet respects we can and cannot

observe ourselves, in what way the I can become its own object (8 155 ff.).
But because the I of the Critique is always presented as any I in general (8

~O~O,

a tremendous fact beccanes blurred: there is !!E,WBY the Kantian self can cane
to know of another self (B 405).

It is explicitly disbarred by its very·

firstness, its radical self-sufficiency, from sharing.in the inwardness of
another or even receiving immediate evidence of another's depth, hie soul.
(Kant ventures the hypothesis that in the world of. ~ppearance inwardness asslll!es
. 17

�the fom cf pure' exte:rnality, that ·saule .when they appear to e:&gt;ther souls do ac
as bodias (8 428) .) It is tharetare in the te:t111l!I af the Critique perfectly ·
indifferent
or~

whebr ·1ta ·1is151\e

or many; · whsthar Kent is exmdning himself

I; eech I is universal, all the world there ia. · (This absolute

isolation of the self is connacted with Kent's understanding of language,

~

subject which he neglects almost altogether. Souls can cCl!lnunicete with each
ether if language conveys beings of thought from one soul
Kent,

BS

we ' shell see, there is no .such being and no such

to

another, but for

convswing~

We can.

see et .once that .t his caste •n uncanny light on the book ltsfitlf -- for 1e it

nut conveying to us precisely Kant's thought? -- but for us it is at this
moment pl'Clfitable only to allow his thought to come to ue, even. if this very
ac~eptenc~

should imply

its - ref~tation.)

How then does the I, the original I, become knOU11 to itself? Kent points
out in the beginning of hie AnthroiJology (I, 1) that the original I is not the
first person known ta us in time, for children speak of themselves in the third
person .as if they . were one a1J1ong many before they oiecover that all their
.

judg.ments, no matter what ·they ere about , have one and the

verb.

s!lll~

subject end

For all judgments follow after the phrase •I think• (B 131-132, A 354-5).

Thia I which thinks is always present (A 117 n.) noting its
preserving its sameness .and

s\Y1~\t'1(SS

l'.ld"I

activity,

through all passions (A 108), e final

end universal subject which underlies all its awn predicates (B 407, P 46).
This universal and original person can be active only in self-concern. The
name which Kant borrowe from Leibnitz for "self-activity" (B 130), for selfattention, is "apperception•, or self-perception, self-consciousness.

This

epperception is transcendental, for in attending to myself as a thinking thing
I am studying the radically original iqlawin9 faculty (A 114).
(

At the same

time, if knowing requirea a attaking :i.n" ·of an object;, as the ,word "perception"

18

�implies, I cannot "take in" the vary •ourca end support of ell
except in a special way (8 429-30).

mv

knowing

In em anticipation of the methemet.4.cel

limit notion, Kent finds s·uch a way. The I which underlies

all

knwing is

itself. knClill as the limit of all kncwledge, as its pure containing form.

Hy

root faculty, my pure self, 1• planted in an unknDblable beyond and I can

-

-

know cf it only that it is, but never what it is (8 157). Kant smaewhere
calls the LD'lconditioned the "abyss cf reason". Since our

01&amp;r1

original condition

is inaccessible to us we live over just such en abyss.
But if I cannot know whdt my ultimate nature is, I yet know_eomething of
its mode and effect • .. It ehOliJS itself as that absolute end pure original
ecti vi ty, lltlich !Aient cells spontaneity ( B 130, ·428) • Spon.tenei ty means
wilfulness, radical self-determinatiCYl.

The activity which has this character

is thought, which works its will according to none but its . own laws.

At the

root to think and to will are the sane, end it ia this identification which
makes the critical man bath the

th~orizer

of the Critique

.2!.~ Reason~~

the doer. of deeds of the second Critique, the Critique !!f. Practical Reason.
It is . evident ·by nCld that the I has an arena, a kind of theatre, in
which it works its effects. (Why this should be so, why there is a faculty
of thought is an unenswerable question (A XVII); exactly equivalent to the
question why God created for himself, and c0111nunicated with, a world.
go

further~

We may

the deep beginnings of modernity ere nearly all to be found in

bold perversions of Christianity -- the genesis of the critical man takes the
form of a \ages, a sentence such

118

that by which the

!!E£!. of the gospel of

John launches hi111Belf into a world; that is the very model we are using in this
develaJDent.) The I ie thus a universal subject in need of completion.
therefore

lllJBt

go on to

19 .

We

�b.

The Predicat'e s
-

............iiiioiiioi. . . . .

The subject and its

ve~b . in

the words "I think that ••• • danand a completion

of meaning, namely the thought which ·the 1· thinks. Whatever the I thinks is
~

thought end ·l:!e1ongs ta 1,t , but whi.le it 18 E.f_ the I it is eleo

!2!: 1t.

Our original I possesses a secret paiier, which distinguishes us frtlll the beasts,
of doubting i teel f, of holding 1ts

a.in

launches us on our career es knowers.

activity before ·. itself, and. this p0bl8r
Anything whetsoever ·which is there for

the I is celled its nrepresentetion" (8 376). The word; again borrowed frcwn
Leibni tz, is unfortunate slnt:e 1.t implies that emething present elsBaJhere,
outside, is imaged by us or in us.

But this is not whet

K~t

means.

Re-presen-

tations ere simply presentations, or what is present to us; there is no going
beyond them, and they represent nothing else. ·(Kant's Germen term, "Vorstallt11g•,
which means "something set before" 4.s more

adequl!!lt•~&gt;

Thare ia nothing

.fE!.!:!!.

-

which is not our predicate. ·The trl!!lflacendantal I delimits an isll!llld realm
which hes only internal affairs.
The first of cur representetion, that is, those closest to the I beyond,
are its thoughts (8 42s..429). These come into the world of representations
as the effects of the transcendental I regarded as a root faculty of the soul,

of
---- - -

-----

as its nmodes of expression" (Battle

the Faculties, II, end) which Kant

calls the understanding (8 93 ff.).

It is that primary cognitive faculty upon

which the secondary faculty of reason depends, and which, as I mentioned before,
is for Kant the intellectual faculty.
of activity within its

a.in

world.

It is a faculty of representing representa-

tions, thet is, a reflecting faculty.
.

The understanding.is the I as a source

It carries forth the original unity
.

.

of the I into the multitude of .its representations (8 105).

It is the primary

faculty because it governs by establi!ihing relations among, by uniting, by
grasping, by "taking

together~',

that is, conceiving our many representations.
20

�Its primary and fundamental relating act is that which unites representations
by reason of their carranan relation to the thinking I; as Kant says, it is

an act "which brings the manifold (that is, the variegated field) of given ·
representations under the unity of apperceptian. 11 (8 135).

This unity :is

expressed .in "judgments" characterized by the copula "is" (8

142)~

When

I think that "this body!:!, heavy", I have performed an act by which the
singular and single empty representation which is expressed in "I think" has
become the vehicle or correlate of two other representations which are united
within it.

This primary relating function is called judging (8 141-142). There

is also a kind of incomplete judgment in which representations are related
not upward to the apperception, but downward only; so, for instance, "body"
comes under 11 heavy", and many mare representations came under "body 11 •

Such

incomplete judgments are called cpncepts; these are the isolated acts of the
und~rstanding

(8 94). ·

. There are a definite number of cefinite downward unifying functions, called
the pure concepts of the understanding (8 102). The fact that Kant will name
them must not deceive us about the nature of our reflecting faculty; it is
a mere or naked power of arranging multitude,.of operating or functioning; the
audible names of its products convey no real meaning (A 241).

(As Kant

observes in his Anthropology, (I, 18) it is precisely because wards in themselves mean nothing that they are apt far characterizing the results of
thinking.)

Thinking by itself is a mere functioning, an invisible empty ;

grasping (A 245); to~ is not to know (B 145-146). · Its grasp must be
filled.

At the lower end of the hierarchy of concepts there must be some

material, something to conceive.

And as the Transcendental Aesthetic, from

which the following is largely drawn, shows, there is.

We have a faculty

which supplies the material for the formulations of thinking.
21

�It la the eans1b111ty.

Kent opposes the faculties of thinking and

sensing ea "outermost extremes" (A 124). Thinking is active end spontaneous;
the sensibility is pessiva and receptive.

Thinking is an empty function; the

aaneibility hes a pure original anntent (8 160). Thinking runs through a
manifold, unifying it, and is discursive; the sensibility contains one singular
presentation which is ready to receive a manifold, a matrix of particularity
and variety. Kant cells this passive power, this faculty for reception,
"intuition" (8 33). The prefix "inll has here nothing to do with any
any "looking into" -- for that

i~

precisely whet the receptive capacity cannot

co -- but has the sense of "looking
Gemen ward "Anscheuung".

"inelght"~

!!l"

intently, a sense clearer in Kant's

Intuition is a faculty _or format1"• looking, a
f

capacity for taking in the alien and shaping it into sights for the soul.
Here·, at i ta lower limit, the isolation of the I gives way ta certain
intimations fram beyond, from'outeide~' It is an undeniable fact that we ere
aware of a multitude of alien and adventitious representations, end that there
are far. more i:Jf these then of those that we ourselves produce and control. How
can this came about? The sensibility is not an organ of sense rut a formative
capacity for receiving the given.
but
11

!!l the

Representations do not came to us through

intuition. The sights which occur in the intuition are called

appearancea 11 (B 34). In the cOlllllon understanding the appearance of a thing

belongs to

ll.;

hidden being.

it is the · appearenc_ E!, the thing and evidence concerning 1ts
e
But the appearances ln the intuition are famed and shaped by

the faculty itself, they belong altogether to us, are through and through

-

appearances within us, not from without, from another thing. What then does
coma .from the outsidel .

Just as the sensibility offers material

~o

the forming functions of the

understanding (8 87),. BO the eppearancee within the ·intuition are
22

89

forms

�for a material which Kant calls sensation (8 60, 207).
representation of the "thereness" of something alien.

I

Sensation is a
It is that in appear-

ances which gives them reality or "thinghood"~ whieh makes them capable of
confronting us as alien and independent

11

somethings" (8 375).

As our

representation, sensation is entirely and forcefully subjective, but it is
just thus that it impresses us with intimations of an otherness which is there,
outside. What does it tell us of things outside?
'i

Nothing whatsoever about their nature.

I.

;

~

'

For the appearances of these
i

things are not with ~' but with ~' so that these outer things have, insofar
as they are considered in themselves, no externality, no covering outer skin,
no dress,so ta speak, in which to present themselves to us.

Things in

themselves, outside of us and stript of their appearance, are pure naked
inwardness, as inaccessible by nature as our I (8 339).

Such pure inwardness,

like our apperceptian, is pure thought and Kant calls such things, things '
./

of thought, in Greek ,
amena" (8 306 ff.).

11

naumena" , while he calls the . appearances in us "phen- ,

- our two root faculties
And just as Kant conjectured that

Of the noumena we know only that they are, but not what
I

they are (8 XXVI).

might be at bottom one (8 29), ~so he conjectures that the I beyond our inner- .
mast limit and the things beyond our outermost ken are one and the same, that
we are surrounded by one and the same unknown ocean on all sides (A 379-380). :
Here is Kant's description of our inner island and the fate of him who tries
to take leave of himself (8 295-296):

"But this land is an island and

locked by nature herself within immutable boundaries.

It is the land of

truth, (a charming name), surrounded by a wild and stormy ocean, the true
seat of illusion, where many a fog ·. bank and much melting ice counterfeits ·
new lands, and by endlessly deceiving with empty hopes the sea-farer roving
about in search of discoveries, involves him in adventures which he can never
23

�forego and never break off. 11

Our inner island, the scene of appaaren.c e an the

----

ocean of darkness, is by nature the land of truth.
'·

.

.

What is that truth? Kant's definition of truth is perfectly traditional
in form and abeoiutely new in content (8 82 ff.).
.

Truth is

ned~uetio

'

intellectus rei", the approach or fitting of the understending to the thing.
A thing which presents itself for the understanding to fit itself about, to
grasp, is said to be "something throbin out before

it~ ·,

en "objectum" or object

Truth involving objects, or objective truth, is knowledge which matters,
mDterial .knowledge which is neither ~mpty

is_
that

nor blind (8 75). Empty knowledge

:tn: which thinking has no object other then itself, the empty catching

of thinking et thought~ blind knowledge is the mere unreflected sight of the
object.

Truth is therefore the · aecure acquisition of something ·worth having.

Kant's name for' the process of such acquisition is "experiencen (8 218), a
ward in Latin and English reminiscent of the devices for extracting such
knowledge, namely the experiments of science.
(Accordingly error is no longer, ae in the Theaetetus, the dapply
significant complement of truth, but a mere mismating which arises, together
with its pseudo-object, nothing (8 347 ff.),

on

the secondary level of

reflection, end for which the critical method can provide a radical cure.
For both Ln1derstending end intuition are in themselves infallible_,and error
arises only when the representations belonging to one faculty are interchanged
with those of another.
"amphiboly" (8 316 ff.).

Kent cells such an "interchange" by its Greek name,
It is particularly the concepts of reflection, the

concepts for thinking about thinking, which are prone to such C!lnphibolies,
for since our .-.nderstanding must always grasp something, it tends falsely,
to turn its own thoughts into objects.

The highest concept of reflection

is that of ·"something" in general, ·the others are exact! y those which have

24

�kept recurring in my deductive presei\tation:

unity, reality, cause, possi-

bility which are both names of categd;ries and of prior critical notions
(e.g., 8 131).

It is characteristic ;of critical thinking that these must

all be used on two levels, properly of true objects, and again improperly to
describe thinking itself.

But with the critical method to guard us against

their interchange the perfect truth of our knowledge is guaranteed.

For man

to know is to know completely and certainly; there is no place for opinion
(8 809), Socrates' human way station between exposed ignorance and hidden
knowledge.)
We see that if we are to be about anything, then at the center of our
soul there must stand
c.

~Object

We ere confronted with

appearance~

filled with the feeling of reality.
I

The German word for such a confrontation is "Gegenstand",
"stands up to'.' us · (8 242).

something which

Kant's usage is by no means rigorous, but he very

often uses this word for something given, which confronts the understanding,
just as he often uses "thing" for the hidden source of reality in appearances.
This confronting given something is there for the understanding; blind in
itself, it is the potential object of truth, that to which the understanding
equates its grasp (A 104).
And now the understanding shows itself to be functioning for a definite
end.

For in grasping the appearances, in conceiving them, thinking itself

makes objects £!:.

~·

The pure conqeiving fµnctions of the understanding

have no other purpose but to make the givens of our sensibility .into objects,
and since the grasp itself molds the thing, the fit cannot help but be an
adequate one; to be objectively valid and to be necessarily universal are
exchangeable notions (P 19). · our material knowledge is "objective", that is,

25

�both about something and also true, because we ourselves supply ' its material
as well as its form (8 137 ff.).

This form is imposed by the subjective

origin of the functions of .our understanding, which ensures that they cannot
bu dltered adventitiously, so that their enumeration is available to us and
can be once and for all completed. This is done in the "Analytic" (8 106 ff.),
or element-finding part, of the Transcendental Logic, which is therefore a
logic

Ef.

truth (8 87).

Using an Aristotelian term, Kant names the pure concepts

of the understanding categories.

Furthermore he gives names, taken from

traditional metaphysics, to exactly four groups of three of them, but it
is of the greatest importance to remember that these names carry no meanings
and are nothing but labelling characters.

We can know nothing objective of

our own thinking functions, for to do that would be to grasp our own conceiving,
to treat the categories as if they, by themselves, constituted an object,
though this "transcendental" object would be a mere something, really a nothing
of thought (A 250 ff.), an empty form.

Thus thinking would be attempting

to overleap itself, to transcend its own activity.
first and foremost;

But "critique" means

the willingness to forego the impossible.

And what is

impossible is precisely that we should view our own thoughts, which are mere
functions, or as Kant puts it, that we should have intellectual intuition (8 307).
The expression of legitimate, material knowledge is the judgment which
puts

t~gether

concepts in themselves disparate, on the baqis of an object in

which they are united, and . united
priori synthetic judgments.

from~

very first -- that is to say, a

And so we have come to that concluding point in

our deduction to which corresponds the Cri tigue 's introductory problem, "How :
are a priori synthetic judgments possible?"

It is by reason of our very

constitutions, now brought to light by the critical enterprise, that we
inevitably make

objectiv~

judgments,

judg~ents

26

which are both about something

�and also certain, judgments which
examples of such a judgment:

11

are~-

Here is one of Kant's own -

The sun warms the stone." (P 20 n.). Abstract

from all sensation, from the color of the sun, the
warmth of tne air.

~eight

of the stone, the

What "is left is the assertion that one object is related

to the other as cause.!£!. effect (P 29). "Cause and effect" is the name of
that, for Hume, most notorious of all metaphysical notions, the second of
Kant's three categories of relation.

The judgment asserts that this relation

is objectively the case, not merely seemingly so, as it would be if it
depended on sensations, which are empirical, that is, a matter of trial and
error, and therefore uncertain (B 142).

But all objects, not only sun and

stone, are related as causes and effects -- for that is precisely what we
I

~by

an abject.

So also all objects stand under the remaining categories

of relation, for all are permanent substances which have accidents or changing
states, as when the stone, though remaining a stone, grows

EE.!.£

at night,

and so also all abjects are related in a community of interactions, for sun
and stone attract

~

other.

In fact each abject stands under mast of the

remaining nine categories, far in Kant's favorite formula:

"the conditions of

the possibility of the sbjects of experience in general are at 'the same time
the conditions of the possibility of the objects of experience" (B 197),
which means:

we can have material knowledge or worth-while truth only insofar

as we have abjects to which to fit our thinking, and we have the latter since
our thinking itself ·constitutes them.
I have said that to come ynder the pure concepts of the understanding is
precisely what we mean by being an abject (B 125).

But we must recall that

the pure categories have no real meaning and that therefore the pure object
has no reality (A 250).
became embodied.

Dur final task will be to shaw haw the categories can

This will be the S?ffie as deducing our ability to learn by

experience, ta do experimental science or to be capable, as Kant says, of
27

�empirical thinking.

The deductive presentation will be drawn largely from

the second book of the Transcendental Analytic, which is called the "Analytic
of Principles 11 •
Every concept is a complex or cnaracterizing marks or "notes" canvnon
to many representations and may therefore be regarded as determining a
for putting these together under itself.

£!:!!!

If such a rule comes from the

highest concepts and is one of those by which objects themselves are constituted
it is called a "grounding sentence", that is, a ground or principle for
fo1111ulating laws (8 188). The categories thus furnish a matrix of laws governing
the constitution and power of abjects. The system so governed is called
nature (8 263), and the c.a tegories are the sources of the

~

Ef.

nature, and

these are the results of the legislative activity of the understanding.

Thus

the sentence "the sun warms the stone" is very aptly called a judgment, for all
of nature appears before the court ·of our understanding to be interrogated and
judged by its self-given laws (A
I

126)~

The highest principle of the understanding

is

that every object stands

under the necessary conditions of the synthetic unity of the manifold of
1

intuition in pos sible experience (8

1~6).

This means that we can have exper-

ience, namely pronounce objective synthetic judgments upon our sensationfilled appearances, only because the manyness in our intuition has already
been ' unified, has been put together in a ·synthesis. The necessary condition
for this synthesis which 'first makes synthetic judgments possible is furnished
by a mediating faculty whose very nature it is ta be a common ground (A 124).
For in order far a representation to fall under a concept it must be
somehow similar to the concept. · But the categories differ from the appearances which they are to organize as radically as do the two faculties of
understanding and intuition.

The "third faculty" is responsible for that
28

�interpenetration of these two which produces a synthesis, a ''structure of ,
unity".

In Kant's words it is "a blind but indispensable function of the

soul without which we wouid have no knowledge at all but of which we are,
seldom even as much as conscious" (8 103).

It is the imagination.

As the common ground of the other two faculties, imagination is the same
as understanding in being actively unfying (8 162 n.), and the same as
intuition in having a given multiplicity of material (8 164).

(Hegel,

intending to deliver a devastating criticism, describes it simply as Kant's
intuitive intellect or intellectual intuition (History of Philosophy XV, 570)).
This double character is evident in the fact that the imagination alone is
"productive", that is, while itself remaining hidden, it produces sdmething
compacted of form and matter, an appearing object.
"schemata" of the imagination (8 177).

Kant calls such objectsthe

Ta understand what a schema of the

imagination is, what that "mediating third" which is on the one hand similar
to the intellect, and on the other to intuition, is, we must briefly review
and complete the development of the other two faculties of the soul.
The tinderstanding, the faculty, so to speak, on the inner side of the
soul, had two aspects:

the transcendental apperception belonging to the

single I beyond all appearance and the understanding by which that I grasps
the many representations of sense.

Now it must be the case that the ·eensi-

bility at the other extreme also has two aspects.

One of these faces toward

the outer limit of the soul and is ready to receive ever new sensations
issuing from beyond, under the form of externality, which is, as we shall
see the triple extension of space; the other is turned toward the transcendental I and receives it as an appearance under that single intensive
. dimension which is most appropriate for its original unity, namely time.

The

intuition therefore has a form of outer sense (of which we shall say more soon),
29

�and a form of inner sense; the reflective concepts "inner" and "outer•i

--

describe both whence, in the topography of the soul, the two senses receive

--

sensation and also what form they give it (8 373); so

ou~er

sense both receives

what is alien to us (8 32) and also gives it that form which we call. "being
outside'', by which we mean that the parts of the object all lie stretched
out away from and outside of each other, that is,

.!!::!. spa.c s.

But it is the inner sense which is crucial at this juncture.
material self-knowledge first becomes possible, for

here~

In it

appear !E, ourselves;

here we can become . our own objects (8 156 f .). Kant regards this discovery of
the doubling of the l, .which enables the thinking I to come
I

appearance~

to

itself as an

•

both as a mystery and the fundamental fact of psychology (8 334),
';

since it accounts for the very possibility of such a science.

In self-attention

I affect myself and em revealed to myself in a sensual appercaption (8 68 ff.).
But such attention yields first of all. a representation of passing time.

My

inner appearances, my feelings, imaginings and thoughts, are borne along an
a steady . flux in one direction, from past through present to future.

This

is the form of every inner. representation and since all representations are to
begin

with~

representations, all appearances have first of all the form of

inner sense -- they are temporal (A 99).
nothing

b~t

As Augustine says:

11

•

.".time is

a stretching out, but of what thing I know not, and I marvel

if it be not of the mind itself'' (Confessions XI, 26).

In particular the

thinking l casts its timeless transcendental functions into the inner sense,
where they appear as our ordinary temporal thinking, that synoptic scanning,
comparing, reflecting by which we finally abstract from all the differences
of objects to obtain their common concept.

It is in temporal thinking alone

that· change can be grasped (8 48), for in successive times alone may contradictory predicates belong to a subject (providing they both obey the law of
30

�non-contradiction, the highest formal law of thought, which is that no
predicate must contradict the subject (8 189)).

Time is here not as for

Aristotle (Physics IV, 14), the soul's measure of motion, but its very
condition.
Now how can the thinking I be said to cast itslef into its inner sense?
Each of the forms of the intuition, as formative receptacles, contain a kind
of pure content, a pure single manifold which is nothing but their readiness
to be determined or conceived in a certain way, a material which is nothing but
a potential structure, a system of relations, not altogether unlike the contents ·
of the receptacle in the Timaeus (50 ff.).

Kant terms these contents "pure

intuitions 11 , using the name of the faculty for its material as well ( 8 160 n.) • .
In entering the pure manifold of outer sense, the faculty of conceiving
constructs the empty but determinate objects of geometry., as when we define
a triangle and then imagine it, intuiting properties additional ta those in
the mere concept (8 271).

Thus an a pr. ari synthetic mathematical science
i

becomes possible, and since in sense experience it is this very same geometrically
determinable manifold which is now also filled with sensation, pure geometry
is always empirically applicable (8 206).
But because the inner sense is the sense of senses, the first and crucial
interpenetration of the extreme faculties is that in which the pure concepts of
the understanding enter the inner sense, that is, when the categories determine
time, or, what is the same thing, when time determines the categories (8 177).
Just now it was natural to speak of imagining the construction of a concept
in space; similarly it is precisely the imagination which introduces concepts
into time, and its ,_schematic products are nothing
constructions of the pure concepts .!D_ pure

~·

~general

£!:.guiding

Clearly the imagination

is the central faculty of the soul, because it is nothing but the soul's
capacity for combining its extremes; it is the common ground of intellect
31

�and. intuition.

And since the inner sense is, as it were, at the topographical

center of the soul, it does its hidden first work deep within it (8 181) there
showing itself ee the ground and bedrock on which the. island of our awn
epiphany to ourselves, ·which l'Dl,lst precede all alien appearances, if founded.
The imagination .can introduce the pure conceiving functions into time .
.

'

•because the pure manifQld, being nothing but a eyetem of potential relations, .
is not, as Kant observes in a pre-critical work, so unsimiler to a concept
&lt;Q!:!.:!l!:!.!. ~eneible

![!!!.Intelligible World 15).

In fact, since the imagination

i'e .understood es a faculty of representing in the intuition a confronting
a.bJect

w1-i~out

its confronting presence (a

~Gegenstand"

without "Gegenwart"

(8 151))t pure time es en ·intuition empty cf sensation, is the inrnediete "ens
imaginor°I.UTI" or imaginary being (8 347).

Hence, just as Kant calls the . schema

the mediating "third" between intellect and intuition (817?)
the "third" which, as the

beare~

so he calla tirrie

of all our representations is the medlun in

which they are put together or synthesized (B 194). Thie synthsaie is the
work of the

~magination,

and its products, the echemeta, , are those general

. constructions or pettems into which concepts organize time irrrnedietely and
space derivatively. Kant calls them "pheniJrnena" in a special sense (B 186),
because they are a kind cf pure appearance, a pure object, or rather object
structure, which although it is a no-thing of the imagination, "calling for
an object" to be realized in it by sensation, is yet distinguished from the
not
transcendental object by being en empty fabrication of mere thought, but the
"'
first ·step in the "realization" of the cataglldes. They are the mediating th~"'~ 'lo
which the synthesis of concepts in judgments can be referred, reminding us
that an abject is the necessary correlate of the truth seeking subject.

If

we have not listed the categories so far it was

were meaningless; they were mere concepts of reflection.
32

becaus~

their names

But by echematizing

�them, by steeping them in time, the imagination has endowed them with meaning
(8 185 ff.).

And now the principles of the understanding which give, as you

will remember, rules for using the categories to constitute the objects of
experience, can, by employing the schematized or temporalized ca.t egories, also
become meaningful ..
thinking"

We are therefore ready to show adequately how "empirical

arise~~or

the deductive presentation of its genesis requires only

that the transcendental elements already presented be worked out in detail.
The following section is therefore somewhat technical.

In order to bring

out the coherence and even elegance of the critical technique, I will conflate
and reverse the developments presented in the Analytic of Concepts and in the
Analytic of Principles.

The result should be a synthetic account of the

genesis of "empirical thought".

This is an .awkward phrase by which Kant

means that reflective employment of the understanding on appearances which is
called
d.

Experience
The genesis of experience has two sides:

synthesis of the object
by which experimental

EI. experience (A 115

s~ience

we may develop the step-wise
ff~),

or we may follow the stages

as a system of judgments arises (8 197 ff.).

Of

course, this does not mean that either the synthesis of the object of truth
or the formation of the corresponding principles of judgment is a psychological
process of the appearing I going on in time.

On the contrary, this synthesis ·

first makes the analytic work of temporal thinking possible (8 130); insofar
as temporal learning has discernable stages, their sequence is apt to be the
reverse of the transcendental order, for what is first for us is not first in
the order of nature.

The synthesis bf

t~e

object is thus rather a single

timeless product of the imagination which, because of the mediating nature of
the imagination, has a triple aspect corresponding to all three faculties:

33

�understanding, imagination, sensibility (A 99). The fundamental rM1"8 •f ·
judgment, that is, the principles of the understanding, themselveQ r1veal
these three aspects .,. to u_s, or we would never recognize them.

(This

correspondence between the genesis of the object and the rules far judging it
is to be expected since it is the imagination in fact which plays the role of
a faculty of judgment in the first Critigue (Critigue £!!Judgment 212)).
Now since the principles of judgment arise when the imagination introduces
the categories into time (since they are

:,-.&gt; ic ,
:;

in fact nothing but rules for

. applying the schemata), their number and nature is determined by the categories.
Each qingle category is " a concept of something put tagehter", which means a
concept of something synthesized in a definite way, a concept of an object.•
But while with

~eference

to the sensibility the categories are object concepts,

by themselves they are also concepts of reflection.

This is indicated by the

fact that they come under four headings, which, now that the categories
. assumed a meaning, it first makes sense to name:

there are three categories

each of modality, relation, quality and quantity (8 106).
classes are no longer concepts

fa~

h~ve

These categortcal

constituting the object, but concepts for

refleftinQ on this cansti tution; they give the relation which the object.
has to the faculties of the soul insofar as the single categories in a ·
particular class have contributed to its constitution.

Accordingly there are

fol,.!r principles of true synthetic judgments (8 200) which say at the same
time what role each of the four categorical :classes plays with respect to
the faculties in constituting the whole of possible experience and haw the
single categories constitute aspects of objects.
reason of being

11

Therefore, precisely by

the source of all truth" (El 296) in the material or real

sense, these principles are also the transcendental truths, the metaphysical
principles of knowledge. Here then is· the new metaphysics, a metaphysics of
physics.
34

�Kant's names for the judgments following from the principles are, as we
shall see, carefully chosen to trace out the steps of the genesis.

It is

I

there f ore right ta · fallow the transcendental synthe.t ic act and its expression
as knowledge simultaneously, which means, as was said, reading the

.&amp;\~!Y!!E.

qf Concepts, particularly the Transcendental Deducti_ in version A, together
an

with the

,Rn,C3J.Y.~i~ .

!2!. Principles.

.

I

;

In fact, this way brings cut something
I

fundamental about the critical man and his enterprise:

I

the constitutive 111ork

' of his soul. and his knowledge are ultimately indistinguishable

-~

the Critigue

cannot distinguish between a judgment as an act and as an expression, far in
view of the isolation of the self ta wham would what be expressed?
Let us, then, fallow the 9enesis of experience, ordering it from the
Subject outward to the

Object~

The I is the original source ' of unity in representations, since all
thinking

is~

thinking and belongs to one self.

identical . in origin.

All thinking is therefore

This identity or self-sameness first makes possible

those diverse unifying functions by which understanding conjoins the many
representations of the I, for self-consciousness, by acknowledging all
representations as its awn, gives them that vertical unity of which. the
categories are different horizontal aspects.

The unity of apperception is

what necessarily accompanies every synthesis, simply by reason of the selfconscicusness of .the intellect which enters into it.

Since it is contributed

by the thinking I, this aspect cf the synthetic product is called the intellectual synthesis (8 151, A 103).

And since an object is something in whose

concept a manifold of given representations is united, this synthesis, in
bringing unity into representations, first makes ' cognition of an object
possible.

Consonant with the transcendental nature of the I, this unity is

purely formal, and is therefore formally distinguishable from the synthesis
35

�~tself9

in which diverse concepts together with a sensible manifold constitute

a material object (8 131).
The intellectual synthesis yields the highest synthetic principle, which,
stated in terms of the apperception,is=: · all empirical consciousness, all my
appearing representations, must be conjoined in one self-consciousness (A 117 n.).
In terms of representations this means that there must be one which comprises
all others and that is the general one called "something";

we must first of

all know in what ways this something can be in self-consciousness, that
hqw a thing may be related to the unity of apperception.

i~,

These ways are known

through the last set of categories, those of modality, namely:

possibility,

actual existence, and necessity, and their schemata, which are:

something

consonant with time in general, something actually there at a definite time
anq something existing at all times (B 184).

The judgments employing these

schemata are called the "postulates of empirical thinking in general" (8 265 ff.).
They are these three: whatever corresponds to the fonnal C8nditions of
experience (namely concepts and intuitions) can exist at some time and is
possible; whatever is connected with the material conditions of experience
'

(namely sensation) exists at a definite time and is actual; whatever is
related to something actual by the general conditions of experience exists
at all times and is necessary.

The last refers only to relations of. appear•

ances according to the laws of causality, and means that if something is
actually there,

~we

can always make the hypothesis that there must be

something else actually existing which is its effect.

They are called

. •postulates" because they merely demand the genesis of something but do not
anticipate its nature.

Thus the postulates of modality add nothing to the

concept of the object itself but merely relate it to its generating faculty
of cognition, for each of my representations is in my self-consciousness in
36

�a different mode, depending on its source.

The contribution of the

postuia~es

is therefore entirely on the subjective side'; in particular, they guide us
in employing the most fundamental of all the concepts · for transcendental
reflection, form and material.

They are called postulates of "empirical ·

thinking" because they require that all faculties take part in the full .
theoretical activity of experiencing.

Thus if something is only of the under-

standing, it is merely possible; if it is connected with the material of sense,
sensation, it is merely actual; but if it is the result of the conjunction
of perceptions through concepts, and therefore attributable to the imagination,
it is necessary -- consequently the most complete kind of empirical judgment
is the necessary

hypo~hesis.

The second stage is that of the synthesis proper, where synthesis means
the product of the synthetic work of the imagination viewed not as the union
of the extreme faculties, but independently, on the ground of the imagination
itself.
This synthesis is distinguished from the foregoing as an objective result
from its subjective unifying act.

It is a determination of the whole manifold

of inner intuition considered as a given pure material, an original ordering
arising not so much in the pure intuition as along with it.

Kant calls it . the

figurative synthesis (8 151), for it consists in the schemata or time organizations
which together constitute the pure but sensible structure of objects, that
temporal form which relates appearances in a regulated time order; the imagination, in producing this structure of object relations, works that a thoroughgoing ''affinity" (A 122) of appearances which gives them their systematic
aspect and constitutes the "form of experience".

The categories involved

are therefore those of relation, namely substance and accident, cause and
effect, and community or interaction (action and passion).
37

Their schemata

�are organizations of time into detenninate pennanence, . succession, and
simultaneity (8 183). The principle according to which objects are judged
in this aspect is:

experience is possible only through the representation

of a necessary -conjunc.t ion of sense perceptions.

The judgments based an it

I

are called "analogi. s of
e

experience" ~

An

analogy, understood mathematically,

is a proportion, that is, a form for finding an unknown; · for instance,

a:b = c:x, so that x ~ ~ • Interpreted as a kind of metaphysical algebra,
.the sameness of the relations involved is not quantitative but qualitative,
hence the unknown term cannot be constructed from the analogy, but the latter
oan be regarded as giving a rule as well as a justification for seeking it
in experience and a mark for finding it (B 222). Clearly the analogies of
exper~ence

are really instructions for forcing unknowns to disclose themselves,

for experimenting.
(

There are three leading principles far making analogies,

incorporating the three schemata:

in

a~l

·'

changes of the appearances substance

is permanent and has a fixed quantity; all alterations occur according to the
law of connection of cause and effect; all substances, insofar as they are
perceived in space as simultaneous, stand in a

rela~ion

of thoroughgoing

interaction.

An example of an analogy based on the first · principle would be

the .judgment:

"As accident is to substance so is the altered form of burnt

matter to the matter itself" (8 228); this analogy therefore implies that the
quantity of matter is conserved in combustions and in general is the source
of all coriservation laws.

The second principle clearly yields, once matter ha:;i

been properly defined, the first two Newtonian laws of motion, th 0se of
_inertia and force, while the third yields the law of action and

reaction~

And indeed, once the critical grounding enterprise is completed, Kant w rks
o
out the deduction of the laws of motion in .Tb.§. Metaphysical Principles
Natural Science of 1786; the axioms of Newtonian science are thus mere
38

.Ef.

�theorems of the Kantian system!
The principles of modality and relation are only "regulative", _which
means that they rule the relation of objects to the subject and to each other,
while they .add nothing to the constitution of the objects themselves.

Kant

also calls them "dynamic", because they involve those powers and relations
which objects . must

h~ve

whenever they exist, but which, since their existence

is contingent, have no being apart from actual experience.
principles, on the other hand, are

11

The remaining

com;iti tutive 11 and "mathematical 11 , because

they do refer to the objects themselves, and because they apply to all possible
experience since they concern the pure and the affected material, that is, the
mathematical constitution of objects (8 199).

This brings us to the third

and last synthesis • .
This third synthesis, in which the objects of experience are, so to speak,
filled out, is the synthesis .Q.f apprehension (A 98 ff.).

As the imaginative

synthesis includes the .unifying act of the transcendental self-consciousness
as a separable prelude, so the imagination performs the concluding act of
"apprehending" or taking direct possession of intuitions, that is, of bringing
them into empirical consciousness (A 120).
Apprehending is the generation of original inner
mirror of 11 the action of the subject 11 •

motion~

the phenomenal

In "running through" and

11

taking up"

the manifold of the sensation-filled intuition, the imagination at once
activates it and gathers it into a unity of intuitions, a connected inner
experience.

The categories for this phase are those of the first set, of

quantity (unity, plurality, totality) and of quality (reality, negation,
limitation).
The categories of quantity have the schema of number (8 182), for
quantity in time is precisely such ordered succession as is apprehended

39

�in counting. °The apprehensive synthesis may .then be · understood as a connected
awareness of the pure manifold of time . and spi;ice, arising in the so1,Jl :'by a
kind of original counting. · The principle based on this schema is:
appearances are extensive magnitudes.

all

Extensive magnitudes are precisely

. those whose parts lie outside one another so ' that they can be counted.

This

principle governs the "axioms of intuition". They are called axioms not
only because they are the source of the axioms of mathematics (8 204), but
also because they apply directly to

intuit~ons

and are therefore immediately

evident, for the intuition is the place of evidence; what is "intuitive" is
patent to inner sight (8 762).
The combining activity is now complete.

There is no additional

synt~esis,

:·;·

but there is one more set of categories, those of quality, which make it
possible for the synthetic structure to be filled with sensation.
· is that of degree

Ef

reality (8 182).

Their schema

"Reality" is that which corresponds to

sense impressions, that in our consciousness which convinces us that we
against something alien of a definite sort; a "real" object.

a~e

up

"Degree" is the

quantity of influence which the outside exerts, a quantity not &amp;uccessively
accumulated but all there at once as an intensity of awareness.· The principle .
' i

is:

I

in all appearances the real which is an object of sensation has an intensive

magnitude, that is, a degree (8 207).
"anticipations of perception".

The corresponding judgments are called

They are anticipations because of the remarkable

.fact that we can know!!. priori one aspect of something which by its .very nature
we must wait for and receive !!. posteriori, namely

sensation~

For example, when

I come on a body in the dark I can anticipate that its coloration will have
some degree of intensity although I can say nothing about its particular color
before I see it.

"Perception" is empirical awareness, that is, consciousness

attended by sensation. Sense perception therefore stands at the opposite extreme

40

�of pure apperception; but it is to the former alone that the name "perception"
(and Kant's German word "Wahrnehmung") properly applies, for it signifies
not an activity but a passive "taking in" (attended · b~ awareness),
corresponding ta the unpredictable givenness of sensation.
This is the threefold synthesis given in the order of transcendental
priority:

the apprehensive synthesis pre-supposes the imaginative synthesis as

a condition, and the latter, in turn, depends on the intellectual synthesis
(A 121-122).

Each of these transcendental aspects can now appear in time as

stages of empirical knowledge, namely knowledge which is

11

a posteriori", or

subsequent to, experience and which uses what is adventitiously given.

However,

the faculties come into empirical use in an order of imu1ediacy which is the
inverse of the transcendental priority:

In the learning process of children

for instance, sense perception precedes empirical thinking and the latter,
the power of making objective judgments, precedes full self-consciousness
(l~nthropology
c~itical

I, 1).

Hence arise the various versions of the universal pre-

illusion which took the child's course far the human way, and regarded

truth as somehow given 1E, rather than constituted

~the

soul.

To recapitulate the empirical syntheses in the order of temporal priority:
When possible experiences are, so to speak, activated, the empirical self
first becomes conscious of the synthesis of apprehension as a scanning process
consisting of a succession of instantaneous views by which it takes hold of
the manifold spatial scene and the sensations it brings with it; this means
quickly running over and picking up a series of aspects, for instance, of a
house, including its dimensions and colors, ta obtain a synopsis (A 97) of the
accessible whale.

The synthesis of the productive imagination appears as

memory in which past representations, connected by association, are related

to the present self, so that it can encompass stretches of time; Kant calls
this process imaginative

11

~production"

41

(A 100).

Finally . the intellectual

'

�. synthesis, the source of cognition, has its empirical counterpart in our
ordinary thinking process in which we scan our representations far what Kant
calls a "!£c6gnition" (A103) of their affinity.

But such recognition is

precisely the proces s of forming concepts on the basis of experience (B 134 n.).
~nd

so we.have fina l ly come to actual empirical thinking, which is the temporal

beginning of all our knowledge, though not, as we learn on the first page of
the Critique (A 1), its source.
Empirical thinl.ing is now fully grounded and we have come down to the
point where the first problems with which the C!'itigue begins can arise.
now we must ask:

Wh;L_ did Kant undertake this great grounding enterprise in

the course of which the critical man arose?
certainty of sciencE?
themselves.

Was it really to secure the

But that was assumed to begin with by the problems

Perhaps it is not the certainty but the significance of the new

science which is at stake.
~ri tigue

And

c:;nswers is ;

If thot is so, the ultimate question which the

"What is nature to us that 1i1e should need to know her?"

This is the very question whose answer Kant emphasizes in a short addition
he made in the second edition to the end of the section from which this
s ynthetic presentation is reconstructed, the Tran_s,c.erid.,ef!.t p l

~n-~~..Y.:P_c.

This

brings us to
~2.

The Meaning

Our inner sense is the sense of senses (8 50), but, as the steady unchanging
form of our flowing inner appearance, as

~ime,

it does not itself appear (8 219).

Our one-dimensional temporal self, ever slipping away, is by itself incapable
of duration; measurEd time,

detc~1inate

durations, can appear only against

m empirical representation ot' permanence.

;0

Ksnt remc:irks how empty a science

pure psychology mus t evor bs since in its singl o dimEnsion that which makes
;; science scientific , ths use of mathematics, is
42

im rP ~ sibl8

(A 381 ff;

�Metaphysical Principles of Natural Science, Intro.).
appearance is needed.

For that a substantial

The metaphysical place of "phenomenal substances" is

outer sense (8 291 ff.). The form in which we intui. otherness is that of
t
externality, of three-dimensional space.

It is crucial to understand that

things are not "outside" us because they have a place within space but that
they appear spatially because they appear in that sense which is receptive
to

othernes~

(A 385).

Nowhere does critical self-knowledge demand a more

dizzying revolution than in making us aware that we do not look out into the
outside because it is in itself and absolutely there (A 375), but that our
seeing is altogether an inner capacity for receiving unshaped sensations in
a spatial form (A 370), for we have the satisfying uncritical illusion that
appearances come to us
of sight.

.f!:E!!!.

things through our organs of sense, particularly

Our outer sensibility is no such organ but more like Newton's divine

sensorium (Optics, Quest. 31) in which the whole spatial world is at once
and present !£God, as h:iS self-created representation.

iu.

The critical man is

just such a divinity; a connection of which Kant shows himself aware in the
work which is the precursor of the Critique (On
World 23).

~Sensible ~

Intelligible

Kant's formulaic description, which draws attention to the full

force of his revolution, is that space is empirically

~,

for it contains

intimations of an outer reality in the form of definite given appearances, but
transcendentally ideal (8 44), . for it is a mere idea and, apart from being a
form of knowing, a nothing of thought.

Appearances in space have therefore a

certain structure merely by reason of the spatial form which received them,
first of all, of course, their three dimensions (8 41), a structure seen in
its pure form in the mathematical objects which the understanding functioning
with concepts such as "three-sided rectilinear figure" may "construct" in the
intuition (8 741 ff.).

And this solidifying dimensionality of space, though
43

�not the source, is yet the condition of possibility of a matter anchored in
the three extensions of space and pennanent in quantity, and therefore capable.
of appearing as a substance underlying all changes 1n state. · The system of all
.

.

such permanent things with their alterations, with their relations

of

c£Lsality and community is, as we have seen, precisely what Kant calls nature
(P 16, 8 263), while its delimitable parts, the things or objects of nature,
have the name of bodies. (A 106).

Bodies alone furnish us with that pennanence

against which we can measure our own duration and flux; bodies, again, teach
us all we can know of cause and community; !!:!_nature
(8

276).

alone . ~~

ourselves

Nor ought this to be very surprising, since pure nature herself was

constituted by the transcendental I functioning within itself, and is therefore nothing but the diversifying mirror of its unity.

Kant significantly uses

the same language in describing both the transcendental I and body , as
p8rmanent appearing substance, for he calls both the steady correlate of all my
appearances (A 123, 183).

So also the thin, flowing, appearing I seeks to

find itself in extensive solidity (A 381).

This is why Kant calls not only

the transcendental I but also the question concerning nature the "highest
point" of the Critique (P 36).
The true purpose of the Critique £!:.Pure Reason is therefore not ta
guarantee the certainty of science, for this certainty is itself its mast
certain assumption, but rather to insure that science be an ever-lasting
enterprise in

self-knowledge,~

never completed human activity (A 1), in

which alone the self can determine itself, can procure for itself the stuff
through which it feels itself to exist, the mirror in which it assumes a
shape.

For the enterprise of metaphysics is shortly to be completed, and

thereupon the human desire to know what is beyond nature will have been
completely satisfied by being shown its hopelessness • . There remains the

44

�inexhaustible indulgence of our curiosity, insatiable for that experience
which alone makes us appear to ourselves (8 255, 334).

This ia :tha final

significance of Kent's "Copernican Revolution": that men literally and
exactly finds himself in the bodies end their motions which constitute
nature, that neturel science alone provides a sort of self-knowledge.

fDr

in studying the world of nature man studies his own creature and image; here
he rinds whet he can

~PP.ropriete,

because it is his awn.-- In the poethumously

published notes for the work on the transition from the metaphysics of nature
to physics, which Kant, significantly, regarded as his most important and
final achievement, there,occurs an isolatedphrese, revealing and ' ewe-1nspir1ng.
It says simply:

"I, the proprietor of the world.''

Schriften, Preueeische Akademis, XXl, 45).

45

(Kent's Geeamialta

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