Literature as Equipment for Living and as Spiritual Exercise

1. What is a literary scholar, critic?; 2. Kenneth Burke, literary critic — And his idiosyncratic vocabulary; 3. Sociological criticism — Naming a situation strategizes it — Literature as alembicated naming; 4. Acts of distillation — Warehouses of equipment; 5. Life as adventure — Beliefs as habits of action; 6. Spiritual exercises — You only know what you can remember — Cycling through pathways of belief — Reflection as detour from action; 7. Literature as self-help? — You don't only believe what you can remember — The self as equipment; 8. Complex literature and simple assertions; 9. Exercise with the narrative form — A longing for shapeliness; 10. The experience of reading — Acting through literature; 11. Literature is difficult — Not everything should be difficult — Democratic humanism

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1.      In my English department, the graduate students have formed a small colloquium that regularly meets to discuss someone’s work in progress. What has increasingly become pressing to me as a scholar-in-training is the question of what a scholar is, of my self-image as a literary critic. And this partly because it’s obvious that we grads all individually seem to have different ones, have an increasing variety available to us as critical tradition extends itself, and don’t have a space in which we can reflect together on this kind of self-reflection. There are literary theory courses, but rarely an opportunity to talk together about what it is we do. So I delivered the following as a talk to provoke a discussion about our own, individual self-images as literary critics. I framed the discussion around the two slogans in my title, in part because what I find helpful is to talk about alternative images or metaphors or distinctions for self-definition.

2.      “Literature as equipment for living” is a slogan of Kenneth Burke’s. A friend of mine in the department had asked me what I had been reading this past winter break, and I said excitedly, “Kenneth Burke’s Attitudes Toward History,” and my friend scrunched up her nose and mouth like she’d eaten a stink bug and replied, “ugh, the rhet-com guy?” Rhetoric and Communications is a growing subdiscipline in English Departments around the country, and rhetoric as a disciplinary study has taken Burke to be the father of contemporary rhetorical theory. There’s often an amusing, though sometimes churlish, rivalry between these two halves of English Departments, but let me say, once and for all, that Burke’s main vocation was literary criticism, and not as a founder of rhetorical theory. In fact, reading his work, it’s hard to imagine a school formed out of it at all. (Side note: Richard Rorty once said to an interviewer asking about Rorty’s criticisms of Paul de Man, “I can imagine being grateful for de Man’s obsessiveness, that is, his habit of reducing to nothingness any given text he reads. When de Man does it it’s interesting, but when you get … thousands of de Man clones, it’s merely formulaic. I don’t think anyone would have objected to de Man if he had been a kind of Kenneth Burke figure, not training up generations of students.” [1] Rorty, apparently, wasn’t acquainted with the other side of some English Departments.)

The idea of literature as equipment for living has its seed in Attitudes Toward History (1937), a book that is part Emersonian-pragmatist in affirming the Optimistic, part speech-act/genre theory (the kind of thing you get out of an Ortega or Lukács or Bakhtin), part quasi-Marxist history, and part idiosyncratic dictionary of a critical vocabulary (things like “alienation,” “transcendence,” “efficiency,” “casuistic stretching,” “character-building by secular prayer,” “being driven into a corner” and—my favorite—“heads I win, tails you lose”). “Equipment for living” is a metaphor that Burke regularly employs, like the pragmatist habit of asking for the “cash-value” of an assertion or how one would “cash out” a metaphor. What follows is an attempt to spell out how I cash out his metaphor, but I begin by taking it to be his master-trope for the relationship between language and action. Here is a characteristic way Burke talks with it—in his discussion of William James, he begins by saying:

For his philosophic trinity [James] proposed ‘rationality, activity, faith.’ Faith invigorates the power of action; rationality provides method for the act. And since by rationality is meant a willingness to consider all available evidence, it should shape the act by tests of completeness and consistency. All of his fundamental assertions were designed to equip him and others for living. He ‘accepted’ the universe by admitting any faith (in progressive evolution, in God, in the benefits of prayer) that enabled him to have the sense of moving towards something better. … And so strongly did he need the concept of Better rather than the concept of Best, as a way of equipping himself for action, that he rejected absolutism always, preferring even the asymmetry of ‘pluralism,’ a doctrine that outraged his form-loving colleagues. (5-6)

One will notice that this is fundamentally a pragmatist stance because it treats language—in this case, assertoric prose—as having an ethical function that swings free of truth. Indeed, by foregrounding assertion as having a function that is not truth-affirming, he risks outraging the same pieties the classical pragmatists did in their own instrumentalism about truth, potted in the misleading formula “truth is what works.” [2]

3.      But literature is not assertoric prose—it does not make assertions, at least not explicitly. Or rather, not explicitly by the author. So we have at least two different pragmatic contexts with which to judge the metaphor. Before I get to talking about what that might mean for us, I want to just keep plunging ahead with literature. In 1938, a year after Attitudes Toward History was published, Burke published an essay entitled “Literature as Equipment for Living,” codifying his thoughts about this metaphor and the orientation it implies for the literary critic. (You can find it in his Philosophy of Literary Form (1941), a book whose first few pages has a line poets love, “the symbolic act is the dancing of an attitude” (9). To understand that line’s formal dimension, you have to read it against Yeats [3], but its embodiment of pragmatism I’ll return to momentarily.)

In the essay “Literature as Equipment for Living,” Burke suggests that what he is up to in his work, and his selection for key critical terms “purpose” and “motivation,” is a “sociological criticism of literature” (293). To unpack this, he takes up the notion of proverbs and says that what they do is name “typical, recurrent situations” in the life of a culture. We then “find” ourselves, as it were, in the proverb and are directed in our thinking by it about our own situation. So, as examples, Burke lists off proverbs for consolation (“The worst luck now, the better for another time”), for vengeance (“fools tie knots and wise men loose them”), for foretelling (“keep your weather eye open”), and for wise living (“first thrive, than wive”). “Proverbs are,” Burke says, “strategies for dealing with situations” (296). And playing off the war metaphor of “strategy,” Burke says as against a baffled interlocutor, that “surely, the most highly alembicated and sophisticated work of art, arising in complex civilizations, could be considered as designed to organize and command the army of one’s thoughts and images…. One seeks to ‘direct the larger movements and operations’ in one’s campaign of living” (298). [4]

And so, Burke says, “each work of art is the addition of a word to an informal dictionary” for one can think of novels as “the strategic naming of a situation.” They “single out a pattern of experience that is sufficiently representative of our social structure, that recurs sufficiently often mutandis mutatis, for people to ‘need a word for it’ and to adopt an attitude towards it” (300).

4.      This might be a good place to stop and collect our thoughts and codify some of the issues in play. I like the idea of taking books to name situations and provide the resources for thinking through them. It first of all requires an act of distillation on our part—these acts can be exceedingly useful, even outside the exam structure. What they provide is the framework of a perspective on how the book is to be read, the pattern in it to be called to the fore. For example, I could say that Henry James’s Portrait of a Lady displays the difficulties a woman faces in searching for autonomy in the face of both a culture of monogamy that infantilizes female choice and an aestheticist culture that flattens the moral parameters of autonomy. And what this distillation does is coordinate the ratios between paradigmatic moments in the text that provide the lens with which to read the other moments—for example, Mr. Touchett telling Isabel that “fortunately ladies are not obliged to give reasons,” Isabel telling Mr. Goodwood that she wishes to be free even to commit some atrocity, and Ralph hoping with delight to see what Isabel will do with her money. From this perspective (spoiler!), Isabel going back to Osmond is the inevitable tragedy precisely because it is the attainment of a robust moral autonomy wherein one takes on the burden of one’s choices.

What we don’t need to say is that a novel names only one situation—I think we can wipe away that possible implication from Burke’s formulation and say that novels, like life, are made up of an indefinite number of patterns of experience. And this, in fact, is what makes them such treasure troves for our equipment for living. For while I say “indefinite,” and really do mean it, novels really don’t present something so unmanageable as all that for the precise reason Burke says: they are concerted mobilizations of a finite range of textual phenomena. No matter what future interpretive lens comes down the pike, Isabel Archer will be a woman. Maybe someone will argue someday (or probably already has) that Isabel Archer is not the “lady” of the novel’s “portrait,” but it had better be the case that Goodwood’s got the penis and Isabel the vajj.

5.      Now, after Burke’s suggestion about naming there’s the actual image of “equipment for living.” “Equipment” suggests to me a wider metaphorical value than the more narrow war metaphor of “strategy.” I think Burke should absolutely be read against Nietzsche in “Truth and Lie in an Extramoral Sense,” but both should be drained of their violence to establish the underlying adventure of life—and no adventurer ever leaves home without his or her equipment, as every D&D player knows. Without your equipment, you are naked and vulnerable. And this equipment, in this case, is language. This, again, dovetails with a certain philosophical pragmatism about language. The central strain of pragmatism from Peirce, James, and Dewey to Rorty and his student Robert Brandom—they all follow Alexander Bain, the American psychologist and, as it happens, rhetorician, in defining beliefs as habits of action. Our beliefs are not just indicators of but also shapers of our actions in the world. Our linguistic formulations are as much a technological development as anything wrought of iron or wood.

6.      This leads me to a partial segue to the second term of my title: “spiritual exercises.” This is a term established by Ignatius of Loyola’s 17^th century book of that name, but it has been resurrected by Pierre Hadot to talk about a mode of philosophy. Hadot was a colleague of Michel Foucault’s at the Collège de France and was one of the major scholars of ancient philosophy at the end of the last century. (I cannot more highly recommend the English translation of his 1995 book, What Is Ancient Philosophy? as an introduction to Greek philosophy, both for its readability, scope, and erudition.) In an essay entitled “Spiritual Exercises,” and reprinted in his Philosophy as a Way of Life, Hadot suggests that Ignatius’s Jesuit practices were built out of the resources of the earlier Stoic tradition, which had its own traditions of spiritual exercises (if perhaps avant la lettre). Hadot says that “attention (prosoche) is the fundamental Stoic spiritual attitude. It is a continuous vigilance and presence of mind, self-consciousness which never sleeps, and a constant tension of the spirit. … Thanks to his spiritual vigilance, the Stoic always has ‘at hand’ (procheiron) the fundamental rule of life: that is, the distinction between what depends on us and what does not.” And this for the Stoic, he says, “frees us from the passions, which are always caused by the past or the future—two areas which do not depend on us” (84-85).

If you’re like me, you might say, “well, that sounds wonderful—even bypassing the suspicious idea that the future doesn’t depend on me—but how does this spiritual vigilance work? How do I make sure that my self-consciousness is always awake? You can’t just want something or think you are a certain way for it to be the case.” And this is where I find Stoics to be pragmatists avant la lettre, for one important practical measure is the repetition and memorization of linguistic formula:

The exercise of meditation allows us to be reading at the moment when an unexpected – and perhaps dramatic – circumstance occurs. … We must confront life’s difficulties face to face, remembering that they are not evils, since they do not depend on us. This is why we must engrave striking maxims in our memory, so that, when the time comes, they can help us accept such events, which are, after all, part of the course of nature; we will thus have these maxims and sentences ‘at hand.’ What we need are persuasive formulae or arguments (epilogismoi), which we can repeat to ourselves in difficult circumstances, so as to check movements of fear, anger, or sadness. (85)

In the oral noetic economy—which is a fancy way of saying how the activity of knowing works in pre-literacy cultures—you only know what you can remember (a formula codified by Walter J. Ong somewhere). I think this goes for us, too, when we are away from our books, trying to figure out what to do at any given moment. If beliefs are habits of action, then reflection is a matter of cycling through your pathways of belief.

The idea of beliefs being but nodes on a spatial graph of interrelating lines is in part a metaphor given substance by Hans Blumenberg, a friend of Hadot’s and one of the great German intellectual historians of the last century, rivaling Heidegger and Habermas for both philosophical depth and acuity. [5] Blumenberg, in a little known but incredibly insightful essay on rhetoric, suggests that rhetoric be in part understood as a form of detour. It is a detour from action. This produces the old trope of the “man of action” and the “man of thought,” Achilles vs. Odysseus, or worse Socrates, who would stop Euthyphro from acting against his father for impiety with all his pesky little questions like, “do you even know what impiety is?” But consider how reasoning works—by inference. We infer one proposition from another, which means you transition from one sentence to another. In justifying your action, you take the time of multiplying sentences, which is time taken away from acting. Clearly for the Stoic this isn’t a bad thing—they want to mute action entirely in some cases, relieving us of our passions that form the fundamental motivations (hello Burke) for acting.

7.      Turning back to Burke and “literature as equipment for living,” I pull out one way of thinking about it in terms of using remembered pieces of literature to think through life’s situations. [6] And one way of doing this is by formula—either your own distillation of memorable narrative moments or catchy aphorisms of the text itself. Literature, in this way, becomes part of your armament as you meet the demands of life on the field of battle.

You’ll notice, however, that this has made literature into an assertion-generating enterprise, at least as it relates to one’s life, in the form of these maxims or formulas. But, as I noted in section 3, literature isn’t assertoric prose—aren’t there other ways we might relate to literature that might also be important to living? And also: this is kind of making literature sound like self-help. Before turning this last screw, I want to take up a deficiency in the “equipment for living” metaphor that punches up, I think, one of the most important ethical issues of our time. On its surface, “equipment” suggests—like my description of the body naked and vulnerable without it—that there is an inner or essential or at any rate some self beneath the language that articulates it. This is an image from Romanticism, in part codified by M. H. Abrams’ “lamp,” and it is one pragmatists, at least, have to reject. [7] There is no hidden, ineffable self deep down—it is language all the way down, rhetoric all the way down, equipment all the way down.

And while this might spark a metaphysical argument, I want to first note that a shift from “equipment” to “spiritual exercises” helps articulate the pragmatist perspective. Our linguistified self is better thought of as a muscle, and though you only know what you can remember, you don’t only believe what you can remember in the same way that while you may not know that you have a particular muscle, you use it just the same—however, of course, wanting to throw the baseball harder and knowing what operates the humerus may lead you to pounding those pecks a little harder. (Recall Burke’s “dancing of an attitude” formula.)

But secondly, “equipment all the way down” suggests a new handle on the old fears of relativism and the infinite regress. If it’s equipment all the way down, and the point of equipment is to protect your “self,” then it’s just equipment protecting other equipment. While relativism’s fear is that there’s no non-relative basis upon which to judge one’s values, equipment protecting equipment might produce the more radical fear that one was born into the wrong tribe, given the wrong education. Relativism goes fishing for the bottom of the inferential detours, but this perspective sees that we stop all the time to use the equipment we have, whether or not we know there’s a foundation for it. And in a less radical case, equipment protecting equipment produces the problem of knowing which is the means and which is the end—what is a tool that could be discarded for a better one and what is an essential part of what it is to be me.

8.      So, now, back to assertions and literature—as my reintroduction of “spiritual exercises” indicates, one of the reasons why I like books like Portrait of a Lady, Howards End, and Middlemarch, is that they are obviously produced by an extraordinary intelligence working through a complex situation. Solutions are, unlike in philosophy typically, not to the fore here, and one thing I like is thinking through the situations with the author, either via their intermediaries in the form of characters or their tropes via the complex functions of their narrators. This does not, let me hasten to add, work for every book (as my lengthening train of books I have trouble reading attests) as not all books are best named by this meta-perspective.

9.      However, there is another more recent use of the term “spiritual exercises” that goes some way to opening a window on another use of literature. My way to it is to first go back to Hadot and ask for his reason for choosing the word spiritual:

In the first place, it is no longer quite fashionable these days to use the word ‘spiritual.’ It is nevertheless necessary to use this term, I believe, because none of the other adjectives we could use – ‘psychic,’ ‘moral,’ ‘ethical,’ ‘intellectual,’ ‘of thought,’ ‘of the soul’ – covers all the aspects of the reality we want to describe. Since, in these exercises, it is thought which, as it were, takes itself as its own subject-matter, and seeks to modify itself, it would be possible for us to speak in terms of ‘thought exercises.’ Yet the word ‘thought’ does not indicate clearly enough that imagination and sensibility play a very important role in these exercises. For the same reason, we cannot be satisfied with ‘intellectual exercises,’ although such intellectual factors as definition, division, ratiocination, reading, investigation, and rhetorical amplification play a large role in them. ‘Ethical exercises’ is a rather tempting expression, since … the exercises in question contribute in a powerful way to the therapeutics of the passions, and have to do with the conduct of life. Yet, here again, this would be too limited a view of things. …[T]hese exercises in fact correspond to a transformation of our vision of the world, and to metamorphosis of our personality. The word ‘spiritual’ is quite apt to make us understand that these exercises are the result, not merely of thought, but of the individual’s entire psychism. (Philosophy 81-82)

This, I think, moves us a long way, especially with its emphasis on metamorphosis, self-transformation, transcendence. However, in the Stoic exercises themselves, the emphasis on maxims moves us back to putting thought first in priority, as does Hadot’s own formula that the exercises are “thought which takes itself as its own subject-matter and seeks to modify itself.” Is there another kind of exercise, one which the narrative form is peculiarly adapted to supplying?

In Rorty’s late essay, “Redemption from Egotism: James and Proust as Spiritual Exercises,” [8] Rorty says that

the term ‘spiritual development’ is usually used only in reference to the attempt to get in touch with the divine. But it is occasionally used in a broader sense, one in which it covers any attempt to transform oneself into a better sort of person by changing one’s sense of what matters most. In this broader sense of the term, I would urge that the novels of Proust and James help us achieve spiritual growth, and thereby help many of us do what devotional reading helped our ancestors do. (404)

Rorty says that “aesthetic” and “moral” won’t do in this context because “beauty” and “moral” importance seem too narrow of categories to describe the sense of exaltation that James and Proust cultists feel when reading them. “This sense of exaltation is not the same thing as being bowled over by the sheer rhetorical or poetic power of one’s favorite passages. Such passages play the role that their favorite passages in sacred scripture play for the religious. They become mantras, and reciting them brings very present help in time of trouble.”

The sense of exaltation I am trying to describe is, instead, a result of reading books as wholes, of following plots through to the end, rather than with being rendered momentarily delirious by a startling poetic figure, a perfectly crafted couplet, or a splendidly balanced antithesis. … Following such careers [as Isabel Archer’s or Christian’s in The Pilgrim’s Progress] lifts up the heart by letting the reader hope that she herself might eventually overcome the immaturity, the confusion, and the incoherence of her days. … For the intellectual who finds James and Proust exalting, it is the hope that she will be able someday to see her life in this world as a work of art – that she will someday be able to look back and bring everything together into some sort of pattern … into a coherent story of maturation. It is the hope for rounded completion and self-recognition, and is more like a longing for shapeliness than like the ambition of transcendence. (405)

10.      The experience of reading these books is an analogue to a religious experience—you don’t exactly come away with any new beliefs or formulae. “It is the experience of reading the novel,” Rorty says, “that makes one into a different sort of person, not the utility of a belief one might have acquired by various other means.” And the reason novels are good at this seems clear: they can show maturation. As a form, prose narrative seems better suited for showing it and thus producing that affective conduit that floods our motivational channels with that vague, life-giving substance we call “hope.”

Seeing various forms of literature as spiritual exercises is seeing them as acting on you and as you acting through them. Novels, especially those like Henry James’s or Conrad’s or Faulkner’s, are difficult forests that seem to have to have paths hewn through every time. I find poetry like Dickinson’s and Stevens’s to be spiritual exercises that I respond to, even if I find myself tripping and stumbling, my muscles distorted at angles they normally don’t find themselves in. What do they equip me for? I don’t know always. But I do like making the effort at spelling it out.

11.      But not always. Burke, in his essay on equipment, alludes to his era’s “inspirational literature” and how “it is a strategy for easy consolation” (298). Burke does not shy from this aspect of the sociological approach to rhetorical and literary forms. When I had the chance to teach a course on American Romanticism, on the first day I read them a famous bit by William James in “On a Certain Blindness in Human Beings,” whose punchline, after James shows how ignorant he was of the lifeways of po’ Appalachian folk—“losing,” as he says, “the whole inward significance of the situation”—the punchline is: “I had been as blind to the peculiar ideality of their conditions as they certainly would also have been to the ideality of mine, had they had a peep at my strange indoor academic ways of life at Cambridge.” [9] I then posed to my students what I took to be the real problem before us: “how do you, the student, who is likely not going to become an English major let alone become a professional literary critic—how do you negotiate a class like this, what with ‘my strange indoor academic ways of life’?”

It seems natural to me to see this as implicitly a question about literary value, or “what is literature?” I confessed that I had no idea how to define literature or the literary, and instead suggested a distinction between works that challenge and those that don’t. To be properly democratic about “taste,” we can be snobs in our private lives, but not in our theories of the public good—you are not a “better person” for enjoying Moby-Dick over Harry Potter; different books have different purposes, and it isn’t clear that non-challenging works aren’t serving a good purpose (relaxation, for example, or derisively, “escapism”). An example is my inability to watch challenging movies, including most dramas—I rationalize it by saying it’s probably because I read challenging books all day, but either way, I’d much rather laugh to Will Ferrell or watch The Bourne Identity for the eighth time than try and watch Cronenberg or Twelve Years a Slave. [10]

The idea behind the occasional elitist stance toward books, and the idea that every democratic humanist believes intimately, is that it is good to be challenged; it is a primary social good to be challenged; it is an intrinsic good to be challenged occasionally. Notice I say “occasionally,” because it cannot be good to be constantly challenged because then you wouldn’t get anything done—this is the intimate relationship between thought and action that I was early talking about under the heading of beliefs as habits of action and detours. But it is good to be challenged sometimes—that’s the problem of sycophants, “yes men”—but where, when, by whom? Who do you trust to challenge you? I take it to be a mark of freedom that every person gets to decide for themselves when they want to be challenged—though in public matters I take it to be much less up to individual choice about when one can be challenged. The purpose of a liberal arts education is to sample a broad array of areas, avenues, ways of challenging oneself. And that’s pretty much it as far as the root of the humanities goes, and so the idea behind a literature class is to put some books under a student’s nose that I enjoy being challenged by and that maybe they will, too. The title of department under which a course is being offered merely tells you what kind of book you’ll most likely encounter in the course, though all bets are off in the actual course.

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Endnotes

[1] “Worlds or Words Apart?” in TCF 137

[2] On classical pragmatism’s occasional instrumentalism about truth, see “What Pragmatism Is” or the later “Rhetorical Universalism”. An earlier discussion of truth in the history of philosophy that I still like is “Absolute Truth.”

[3]

O chestnut tree, great rooted blossomer,
Are you the leaf, the blossom or the bole?
O body swayed to music, O brightening glance,
How can we know the dancer from the dance?
     - Yeats, “Among School Children”

[4] Compare this passage to Nietzsche’s most famous passage on truth: “What, then, is truth? A mobile army of metaphors, metonyms, and anthropomorphisms—in short, a sum of human relations, which have been enhanced, transposed, and embellished poetically and rhetorically…” (“On Truth and Lie in an Extramoral Sense,” trans. Kaufmann).

[5] I’ve also deployed it to discuss Brandom’s philosophy of language in “A Spatial Model of Belief Change.”

[6] For more on this line of thought about using literature, see my forthcoming “Touchstones.”

[7] Abrams’s book The Mirror and the Lamp (1953) is a still standard study of the intellectual tradition of Romanticism’s revolution in understanding how the mind relates to the world via those two metaphors. Rorty’s Philosophy and the Mirror of Nature does for philosophy what Abrams did for the intellectual traditions of the 18^th and 19^th centuries. (It’s important, in relating those two books and their purview, to remember that people didn’t distinguish the activities of philosophers and poets the way we do now. Abrams’ study is more wide-ranging in its historical depth than Rorty’s, but Rorty’s has more depth in the philosophical significance of the major philosophical figures from Plato to ‘70’s professional philosophy.) Central to the second chapter of Rorty’s Contingency, Irony, and Solidarity is this point that Romanticism, despite making the important shift away from mirror metaphors (which create representationalist epistemological models like Plato’s and Descartes’), still retains a metaphysically pernicious model of an ineffable self.

[8] Collected finally in The Rorty Reader (2010), eds. Volparil and Bernstein, though it had been available as a manuscript-file for many years at Rorty’s website.

[9] From Talks to Teachers and to Students, in Writings: 1878-1899, 843.

[10] I did try once to rationalize my love of the form of comedy found in Ferrell-Apatow-Stiller by analogizing it to Romanticism. See “Just Bitching.”

Autonomy and the Problem of Control in Moon

1. Spoiler alert! — Sam Rockwell is really quite charming; 2. Freedom vs. control — Freedom of the child vs. freedom of adulthood — Mechanism and humanity; 3. Cultural control — Decency — Puppets in power’s show

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1.      Moon is not exactly a mystery, so I hesitate to preface by "spoiler alert!" For one would be hard pressed to describe what is meant to be discovered that doesn’t follow easily and conventionally from its defining, generic premises (like the powerful corporation doing whatever it can to reduce overhead and increase profit margins). It is, after all, only 20 minutes into the movie before we hear, albeit scrambledly, GERTY scolded for “los[ing] a harvester and employee,” which only precedes the second Sam showing up by 10 minutes. However, this is precisely what makes it a wonderful movie, for by a kind of philosophical austerity, the movie is able to call for a more subtle appreciation of what are subtle problems. By quite nearly resting its entire overt success on Sam Rockwell’s ability to charm the viewer (a good bet), the film eschews the troublesome pretensions the typically follow from auteurs who think they’re going to break new ground in a well-worn genre and instead encodes slivers of wedges into a few moments that can be opened to great profit.

This is what roughly happens: Sam Bell (played by Rockwell) is the lone human employee on a space station on the moon in charge of harvesting it—it seems the corporation he works for has found a way of turning moonrock into serviceable energy, which has solved a number of energy problems back home. Sam pines to return home, but before he can do so, he crashes his mooncruiser. He wakes up in the sickbay with no memory of what happened, but GERTY—the computer employee with limited robotic abilities—helps him get back on his feet. What with one thing and another, though, Sam finds the crashed cruiser with himself inside. Thus begins a series of discoveries about how the corporation runs its operation—but mainly a series of existential conversations between Sam-1 and Sam-2.

2.      In a classic representation of the evils of autocratic power—whether its manifestation in kings, fascists, or CEOs—it is Freedom that opposes Control. “They may take our lives, but they’ll never take our freedom,” as Braveheart puts it. Whether in the 1984 version of fear-control or the Brave New World version of pleasure-control, what is seen as being lost is our “negative liberty” to do what we want. [1] “Negative liberty” is Isaiah Berlin’s phrase for the kind of freedom realized when one is not blocked or hindered from doing what one wants. The flipside of negative liberty is positive liberty—the sheer ability to do something one wants. One registers a gain in positive liberty when an institution enables one to do something, while a gain in negative liberty is registered when an institution is hampered from getting in the way of what one wants to do.

When movies focus on negative liberty as the opposite of the evil of Absolute Control, they tend to represent the feature of the heroes that is the Evil Controller’s undoing to be their free will. “You can tell me what to do, but at any time, I can resist you because deep down, I am free.” This then represents the feature of the hero as a kind of unlawfulness, for freedom can only be flexed by breaking the despised rules. Moon can be understood on this model, but I think it treats us to a more subtle understanding of what the problem of corporate control really is. For the beginning of Sam-2’s self-consciousness is his breaking of GERTY’s corporate-dictated stricture against leaving the base (thus precipitating his discovery of Sam-1). However, the reason why Sam-2 breaks the stricture isn’t perfectly assimilable to his being hindered in doing what he wants. It is not as if Sam just wants to go outside—he wants to go outside to do his job. So instead of the hero’s free will being the downfall of the Evil Controller, it is more like a specifically Kantian-Hegelian sense of autonomy that proves the corporation’s downfall. The Kantian-Hegelian sense of autonomy is that one gains freedom by binding oneself to norms, rules, laws. [2] By binding himself to his job, Sam requires the freedom to do his job as is required by the job itself. That this is what’s going on in Sam-2’s rebellion against the stricture is evidenced by his initial reaction to being told he can’t go out to do his job: “I don’t appreciate being treated like a child” (0:24:10ish). Autonomy, on the Kantian-Hegelian model, is the freedom of adulthood, not the freedom of the child, who can play and do as they wish. [3] Autonomy, at its root, is positive liberty gained by taking on responsibilities. Autonomy requires trust, and Sam-2 did not appreciate the sudden distrust in his ability to cope with the problems he was asked to cope with as part of his job.

Seen this way, Kantian-Hegelian autonomy lies at the heart of the difference between mechanism and humanity. What the corporation wishes for is a mechanism that perfectly carries out its desires, but what it has at its disposal is basically a form of sub-contracting—a “job” is created in lieu of the creator’s ability to do a thing him- or herself. However, by subcontracting, one creates a role with responsibilities that must then be given control-free space for the subcontractor to carry them out. Hence, the more an institutional body itemizes the sequence of success in a responsibility, the more automated the role, and hence more mechanical. [4]

3.      This is pretty much all basic, Marxist stuff. On the story Foucault tells about bio-power, it is our increasing ability to extend successfully our control into domains we previously did not know how to that gives the specific cast to modern power. [5] Increased technological control has made us able to itemize responsibilities more effectively. And it would be a lie to say that something like this mechanization isn’t at the heart of the Greek dream of reason—what was always wanted was increased control. However, one wouldn’t have guessed from Foucault’s story that we’ve had certain progressive gains at this same time that we’ve made ourselves more dangerous. The Greek dream of control was born of getting killed all the time by nature (which, as it has often been signified, might be just a stand-in for “something we can’t control yet”). The Greeks dreamed of reducing luck’s grasp on our lives. [6] That doesn’t, on the surface, seem like a bad idea. And part of our ability to reduce luck has been in exerting cultural control—getting people to believe in some ideas (e.g., gravity) rather than others (e.g., witches). So was it a good idea for us to believe in witches? If one thinks not and also concedes Foucault’s point that knowledge is power, then one will receive the full brunt of the crowning irony of Moon. Sam-2, responding to GERTY’s casual remark about rebooting himself and the next Sam to replace Sam-2 after he’s gone: “GERTY—we’re not programmed; we’re people” (1:28:35). Unlike almost every other sci-fi movie with the robot/human distinction in play, this line doesn’t go over like a lead balloon exactly because of its philosophical austerity. But what is the difference then? Programming gives us rights, and power is programming—does that invalidate the rights? So what does Foucault tell us about our humanity? Is the question confused, or outmoded?

There might be a sense in which the question is outmoded, so long as what Foucault did for knowledge is assimilated to Darwin—he shows us that we are just one more species doing its best to survive, knowledge being just one more power-grab against that which puts us at risk. [7] But what does Foucault tell us about Sam-2’s remark to GERTY before the final irony? When GERTY tells Sam-2 that for Sam-2 to succeed, he’ll have to reboot himself, Sam-2 says endearingly, “you okay with that?” We might call that decency, or humaneness, but one of the remarkable things about Foucault’s story is how little he regards the efficacy of powers in the classic liberal story of progress. For example: “As soon as power gave itself the function of administering life, its reason for being and the logic of its exercise—and not the awakening of humanitarian feelings—made it more and more difficult to apply the death penalty.” [8] People being decent to each other plays no role in Foucault’s account, and here we get a sense of the disdain he feels toward typical liberal accounts. And indeed, there is something a little too pat about most upbeat stories about the triumph of liberal democracies (at least, maybe 40 years ago, though still for any story you hear outside of a university setting).

What’s missing from this articulation, however, is the cautiousness we found in The Order of Things. [9] Power is not only anonymous, it is also an agent. “How could power exercise its highest prerogatives by putting people to death, when its main role was to ensure, sustain, and multiply life, to put this life to order” (138)? One could substitute GERTY in that sentence and get a similar conundrum to the one GERTY found and Sam-1 and Sam-2 were able to take advantage of. But GERTY, as Sam-2 suggests, is more like a person—an agent, entrusted with powers and responsibilities, that makes decisions about how best to carry out those responsibilities. Is power like that? If, to adapt William James’ famous phrase, the trail of the power serpent is over all, then Power as an agent is as bad as Humanity in all those awful liberal stories of progress, where Providence is seen acting through all kinds of strange puppets. Power, in the sense Foucault seems to deploy it here, is more like the dream of Perfect Mechanical Control that the autocratic villain always wishes for to carry out perfectly its desires. In Foucault’s picture here, we’re just puppets in Power’s show.

But this is a bad historical account unless one is willing to dismiss the reasons why people do the things they do in favor of Hegel-like Hand-of-God treatments of the Real Actors in life’s drama. And all of this just leads us back to the question: what kind of actors are we? Part of the charm of Moon is the simple humanity displayed by the Sams—the little ways in which they behave, none of which have the hyperbolic magnitude needed for a hero, the kind usually hoped for in dystopias. It might be chilling to think that all Sam-2 wants to do is go to Hawaii when he returns to Earth—his lack of rage at the inhumanity with which he has been treated—but such a reduction of scope makes the problem equally manageable for us real, non-hero people. The brief torrent of media chatter we get at the close, most of which articulates outrage at the corporation, emblematizes how not all institutions are facing one way—Power’s way.

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Endnotes

[1] I should add that what is at stake in both dystopias is our ability to want to do certain kinds of things, and that what makes Brave New World, in the end, scarier than 1984 is its more plausible account of how to eliminate fully one’s desire for certain kinds of goods (like reading Shakespeare). If the reason 1984 is scary is that it pictures “a boot stamping on a human face—forever,” then the horror of Brave New World is its ability to more plausibly actualize the “forever” (specifically by not being a “stamping”).

[2] I’ve learned how to understand Kantian-Hegelian autonomy most from Robert Brandom’s first three chapters of Reason in Philosophy.

[3] The interesting comparison to make in this regard is the veneration of youth in Emerson and American Romanticism generally. This has tended to make Emerson’s legacy on our moral atmosphere a kind of willful self-assertion, something more analogous to “knowing with your gut,” as Stephen Colbert put it in his parody of George W. Bush’s political rhetoric.

[4] This is why Annette Baier takes trust to be the most important virtue in modern liberalism, for trust is the social relation at the forefront of a relationship in which responsibilities and discretionary powers of action are conferred. And as she says, “one thing that can destroy a trust relationship fairly quickly is the combination of a rigoristic unforgiving attitude on the part of the truster and a touchy sensitivity to any criticism on the part of the trusted” (Moral Prejudices 103). Trust requires room for the entrusted to play the role that’s been asked of them. My emphasis here is on the Kantian tradition’s understanding of autonomy, and I take one very interesting line of investigation to be the rapprochement of the Hegelian and the Humean in their respective critical attitudes to the Kantian model of moral philosophy. For Baier conceives of herself as distinctively anti-Kantian, but as I’ve just intimated, there’s a certain space carved out conceptually that a Humean interest in social-psychological atmosphere can fill. I suspect Brandom, who was a colleague of Baier’s for many years at Pittsburgh, will move us some ways to not only a rapprochement of Hegel with Hume, but with Richard Rorty as well in his (long awaited) forthcoming book on Hegel’s Phenomenology, A Spirit of Trust. (The projected final chapter is entitled “From Irony to Trust: Modernity and Beyond.”)

[5] “Bio-power” is currently one of the hottest pieces of jargon on the market, and it does have significant conceptual resonance (bio is Greek for “life”), even if as a concept it just turns into a mush of noise in many of the attempts to handle it and put it to use. Bearing in mind the Baconian notion that knowledge is power, and how fond pragmatists are of that formulation, Foucault’s introduction of the term makes immediate sense: “one would have to speak of bio-power to designate what brought life and its mechanisms into the realm of explicit calculations and made knowledge-power an agent of transformation of human life” (The History of Sexuality, vol. 1, 143). Foucault’s theorization of the complex interactions between knowledge and practice, and how something new happened in the birth of the social sciences in the 19_th century, dovetails interestingly with Judith Shklar’s suggestion that the genre of utopia, until the end of the 18_th century, was largely an “intellectualist fantasy” that, while sometimes harshly criticizing, in no way reflected any sense that things could be changed. And likewise, “the end of utopian literature did not mark the end of hope; on the contrary, it coincided with the birth of historical optimism” (Political Thought and Political Thinkers 167).

[6] My understanding of the Greeks here is deeply indebted to Martha Nussbaum’s fascinating early book, The Fragility of Goodness: Luck and Ethics in Greek Tragedy and Philosophy.

[7] “Just one more species doing its best” is the slogan-title of Rorty’s July 25, 1991 London Review of Books essay-review of a handful of books on Dewey.

[8] The History of Sexuality, vol. 1, 138

[9] Compare the dismissal of sentiment as having a historical role to: “Can a valid history of science be attempted that would retrace from beginning to end the whole spontaneous movement of an anonymous body of knowledge? Is it legitimate, is it even useful, to replace the traditional ‘X thought that . . .’ by a ‘it was known that . . .’? But this is not exactly what I set out to do. I do not wish to deny the validity of intellectual biographies, or the possibility of a history of theories, concepts, or themes. It is simply that I wonder whether such descriptions are themselves enough, whether they do justice to the immense density of scientific discourse, whether there do not exist, outside their customary boundaries, systems of regularities that have a decisive role in the history of the sciences” (The Order of Things xiii-xiv). For a brief discussion of the downside of the rhetoric found here, see “Foucault’s Rhetoric and Posthumanism.”

The Necessity of Adapting to Present Circumstances

This was a short paper for a class on, roughly, the origins of the novel. The idea was that we'd write a "close reading" of some exemplary passages from each of the books we read for the class--an excellent exercise, though draining on the brain.

It didn't go so well with Don Quixote, though I partly blame Don Quixote. I got two passes at him (it's a huge book, if you haven't seen it), and each time I got too caught up in the philosophical implications of reading him alongside Foucault, Ortega, and Lukacs (the last paragraph here, in particular, becomes incomprehensible in reaching for the big picture, so much so that I cannot even make a second pass at making better sense of it without enlarging the scope and spending more time than I have--it remains an extended figure pointing, though I won't tell you which finger). Don Quixote truly is a fascinating and hilarious read, and certainly stands as the "birth of the novel" for good reason (with all apologies to Rabelais).

I've also included a Postscript on Literary Madness, which sums up the main philosophical moral in the paper and makes some other general reflections of madness.

References are to:
Samuel Putnam's translation of Don Quixote (1949).
The 1971 translation of Foucault's The Order of Things.
Evelyn Rugg and Diego Marin's translation of Jose Ortega y Gasset's Meditations on Quixote (1966).

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Almost half way through Part I of Don Quixote, the titular character mounts a brilliant defense of his impending (faked) madness. After explaining to Sancho Panza that he shall go out of his head “without any occasion” (Cervantes 232) for his lady Dulcinea del Toboso, Sancho just about loses it: “Listening to you, I come to think that all you have told me about deeds of chivalry and winning kingdoms and empires and bestowing islands and other favors and dignities is but wind and lies…” (233). Don Quixote retorts: “How is it possible for you to have accompanied me all this time without coming to perceive that all the things that have to do with knights-errant appear to be mad, foolish, and chimerical, everything being done by contraries? Not that they are so in reality…” (233). This extraordinary moment in the narrative, oddly no more nor less extraordinary than the last or the next, is paradigmatic in that it contains, like every other moment in the narrative, the essence of Don Quixote, though perhaps more flamboyantly present at this particular moment.

The peculiar madness that took Don Quixote at the beginning of the tale is well-described by Foucault: “Don Quixote reads the world in order to prove his books. And the only proofs he gives himself are the glittering reflections of resemblances” (Foucault 47). Don Quixote perceives the world through the eyes of his books of chivalry, which is to say that the world he moves through is that reality, “every moment his imagination was filled with battles, enchantments, nonsensical adventures,” “every act he performed, had to do with such things as these” (Cervantes 152). Because every moment and every act Don Quixote performs are through his madness, there is a certain reiterability of every moment of the tale—as every moment for Don Quixote must resemble the books of chivalry, or not been seen at all, every moment and act are similar in just the same way to each other. This reiterability of the essence of chivalry is encapsulated by a repeated figure in the text—after Don Quixote finishes chiding Sancho for not seeing that all knights appear mad (though in reality are not), the narrator cuts Don Quixote off and begins a new paragraph, “Conversing in this manner, they reached the foot…” (234, italics mine), as if what Don Quixote was actually saying didn’t matter, for the form of it, the basic essence of what he would say, we already should know (just as Sancho should).

The basic strategy that Don Quixote’s madness implements over and over to secure its hold occurs after his first encounter with others during his first sally. After revealing his identity through verse to the wenches (or, as Don Quixote perceives them, "ladies"), he concedes he had no intention of doing so, but “the necessity of adapting to present circumstances that old ballad of Lancelot” (36) led him to do so. This is another repeated theme, of adapting to the circumstances around him, and what Don Quixote is adapting is the form of his books to the content of reality. Or perhaps, it is rather the other way around, as Don Quixote says once, “in knighthood there are ways of adjusting everything” (161), notably phrased as not adjusting himself to everything, but adjusting everything to himself. At one point, Sancho gives a fine speech about a rash oath Don Quixote has adapted from that “old madman of a Marquis of Mantua,” saying, “supposing that for many days to come we meet no man wearing a helmet, then what are we to do?” (89) But Sancho, who even perceives Don Quixote’s model as mad, has not yet learned that this is like asking whether Don Quixote will be able to fit another story to “present circumstances.” And though memory sweeps away the oath for about 70 pages (which Sancho gets blamed for), when he is reminded of it, it takes just about 20 for a man with a basin on his head to appear, which Don Quixote sees as “a helmet of gold, for he readily fitted all the things that he saw to his own mad, ill-errant thoughts of chivalry” (185).

Ortega helps us understand both Don Quixote’s madness and the oft-made claim that Don Quixote marked the beginning of the novel (and/or the Modern) when he says that, for the Greeks, “the real is the essential” (Ortega 124). Before Descartes was able to place the whole of reality within his res cogitans (a movement completed by Kant’s transcendental ego), and thus making perception of the appearances our only reality, there was the spectacle of Greek idealism, found in Plato’s elevation of Idea and Eidos to the level of the really real, leaving the appearances of our perceptions mere shadows of their essence, the Forms. So as noted earlier, Don Quixote adjusts everything else to himself because the essence of chivalry is the center of gravity, is his reality, not the shifting appearances of various circumstances. What we might call Don Quixote’s Epitome Speech (Cervantes 189-91) tells us best this essence—for three pages, Don Quixote goes into great detail the general form of every knight’s tale, in future perfect tense, even tossing in an occasional “king or prince or whoever” to show that the story is not set in stone (about 8 or 9 of them in three pages). Cervantes is so good at writing this speech that Putnam pilfers a note from an earlier translator, John Ormsby, saying, “Cervantes gives here an admirable epitome, and without any extravagant caricature, of a typical romance of chivalry” (560n.9). The extraordinary detail, of course, is satirical, but on the other hand, as Ormsby says, it is accurate to the real books of chivalry. Don Quixote takes this general form to be his reality and Don Quixote’s ability to adapt his present circumstances to this form is exhibited by his brief struggle with the fact that he’s not of royal lineage, as all great knights are in the tales, followed by his neat solution (which notably has to do with books): “it may further be that the learned scribe who writes my history will so clear up my relationships and ancestry” (192).

This helps us unlock Don Quixote’s essence by noting with Ortega that Don Quixote’s madness is a satirical instantiation of the Greek mode of reality-as-essence. It is in fact satirical by virtue of it being out-moded. As Ortega points out, we have to read Don Quixote in the light of it being “a polemic against books of chivalry” (Ortega 135), and what it is is a parody of a reality now past, or rather, in a different way, a reality that never existed. The books of chivalry certainly existed, but following Ortega, we should read the chivalric books as in the epic tradition, such that “the epic past is not our past. Our past is thinkable as having been the present once, but the epic past eludes identification with any possible present” (118). This explains why Don Quixote keeps calling his books of chivalry “annals” and “histories,” for instance, “of England that treat of the famous exploits of King Arthur” (Cervantes 106), because Cervantes is parodying these so-called treatments of the past by having Don Quixote believe they are the actual past. And when someone, like the traveler in Chapter 13, pressures Don Quixote about the reality of his reality, the oft-repeated figure of retort is denial (“That…is impossible,” 109) and then recurrence to the books: “I am quite sure that no one ever read a story [that contradicts my reality]…” (109).

Don Quixote’s repeated recurrence to the books of chivalry also helps us unlock how his madness functions, how (our normal) reality is replaced with the books of chivalry (his reality). Take this passage from Don Quixote’s first night with Sancho, which helps establish the pattern of his madness: “He did not sleep all night long for thinking of his lady Dulcinea; for this was in accordance with what he had read in his books, of men of arms in the forest or desert places who kept a wakeful vigil, sustained by the memory of their ladies fair” (74, emphasis mine). The memory Don Quixote is sustained by is not the memory of Dulcinea, for there is no Dulcinea, only an Aldonza Lorenzo that Don Quixote's madness alters to become Dulcinea del Toboso. The memory that sustains Don Quixote is the memory of the books, his memory of the chivalric order, itself a double figure for the order of knights he belongs to and the order he shapes his reality with. Don Quixote’s madness works as a metonymic device, whereby the appearances of our world (Aldonza) are altered (to Dulcinea) so that they resemble, following Foucault, the essence of chivalry, which is Don Quixote’s reality. His entire reality is a series of figures for the hidden (from the person who hasn’t read the books—like Sancho) books of chivalry, or really, his memories of the books of chivalry (punched up nicely by Chapter 4, when the books are burned).

When we return to Chapter 25, where Don Quixote decides to play “the part of a desperate and raving madman” (232), we find all of these themes and figures. To close the events of the previous chapter, Sancho asks Don Quixote why he got so offended when Cardenio disparaged a chivalric queen’s honor—he does so because they are his reality, and so he knows Queen Magimasa better than his own mother (229). When Don Quixote lists off those he will imitate for his bout of faked madness, they are epic personages, Ulysses, Aeneas, Amadis—the latter invoked as “the sole and only one, the very first” (231), which reflects Ortega’s theory of the epic in that the essence (here Amadis) stands outside of history, and is “itself the origin and the norm, the cause and the model of phenomena” (Ortega 121). Don Quixote even realizes this Ortegan wisdom—“And these personages, be it noted, are not depicted or revealed to us as they were but as they ought to have been, that they remain as an example of those qualities for future generations” (Cervantes 231, emphasis mine). Don Quixote decides to imitate Amadis’ madness because it is “easier for me to imitate him in this than by cleaving giants, [etc., etc.,]…” and because “this place where we are is better adapted to such a purpose as the one I have in mind, I feel that I should not let slip the opportunity that now so conveniently offers me its forelock” (231-2, emphasis mine). Don Quixote’s imitation, mind you, will not be “point for point,” but “what I shall give, rather, is a rough sketch, containing what appear to me to be the essentials” (232, emphasis mine).

The series of chapters in the Sierra Morena, in fact, fit in nicely with Ortega’s theory of the epic, tragedy, and comedy. There is a constant flip-flop in Don Quixote as we move from concern for the tragic personages of Don Quixote and (especially) Sancho getting the tar beat out of them to laughing at them, too. These moments of tragedy are also precisely the moments of comedy because these are the moments in which Don Quixote receives his comeuppance for his pretension at being heroic and bossing people around. As Ortega says, “reality” in the novel is a “generic function,” which I take to mean that whatever it is we conceive of as reality functions as the skewer that punctures “man’s pretension to the ideal” (Ortega 144). This flip-flop occurs in two ways: 1) between realism creating comedy and the pretension then producing tragic results (as all epics do) and 2) realistic poetry can only occur with an epic foil—realism can only occur when it has an ideal to skewer. If something realistic loses its foil, the epic myth, it doesn’t lose its –istic and become real, but rather becomes an epic myth itself—an endlessly reiterable essence. Just so with Cardenio’s tragic story—Cardenio has none of Don Quixote’s pretentiousness at heroism, and bereft of that, his story becomes a tragic myth, despite the fact that within Don Quixote Cardenio is real (unlike Don Quixote, who is really Quejana) and whose story has markings of the real (like the fact that as we read it, the unknown detail of what Luscinda’s bodice note said escapes us, like many of reality’s details). For all of that, Cardenio is still not real in the requisite sense of existing outside of the parameters of Cervantes’ novel. Like an epic tragedy, we know the end before we hear it (mad Cardenio in tattered clothes is proof enough). Without Don Quixote’s epic pretentiousness, the foil that creates the comedy, the fictionally bounded character of Cardenio gives us a real tragedy of epic proportions—which can simply become grist for Don Quixote’s mill, as happened earlier to the story of Grisόstomo, echoed by Don Quixote in the Sierra Morena as the “occasion” for his madness (which has the double figure now of both being his excuse for his fake madness and the epic, i.e. chivalric romances, being the cause of his actual madness): “for you have heard that shepherd Ambrosio saying, ‘He who is absent, suffers and fears all evils’” (Cervantes 232). This alluding to: “for whom jealous imaginings, fears, and suspicions became a seeming reality” (119, emphasis mine).

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Postscript on Literary Madness

Our understanding of our world and reality, so we say after the post-structuralists and post-positivists have finished their work, is--at least in large part--linguistic. If this is the case, our linguistic representations of reality, by which I mean our descriptions of what's going on around us, are in large part responsible for how we conceive of reality. That being the case, the way we put things in words creates to a certain extent the way we perceive things. And this is just a distended route to throwing out the old slogan, "it's rhetoric all the way down."

At least since Foucault's Madness and Civilization (which in the French is a much larger book) intellectuals have become much more aware of how, in particular, the ideas of insanity and madness, or any category of "mental aberration," are rooted in social constructions, which are partly linguistic. What literature, in general, gives us are differing models of reality-construction--the author orders the reality of his characters by means that the reader perceives implicitly and the critic disentangles explicitly. Seeing literature as such, and seeing reality in general as linguistically conceived, allows us to see the models delivered by literature on a theoretical par with the models delivered by the various sciences and other social institutions. Freud gives us one model of how to conceive of madness; the law gives us another; and Cervantes another. To put it together with my earlier slogan, perception of madness is greatly enhanced by the enlargement of our repertoire of models of mental aberration and, in particular, the critical understanding of how the models work.

In the above, I suggested an understanding of how Cervantes creates his model:

The memory Don Quixote is sustained by is not the memory of Dulcinea, for there is no Dulcinea, only an Aldonza Lorenzo that Don Quixote's madness alters to become Dulcinea del Toboso. The memory that sustains Don Quixote is the memory of the books, his memory of the chivalric order, itself a double figure for the order of knights he belongs to and the order he shapes his reality with. Don Quixote’s madness works as a metonymic device, whereby the appearances of our world (Aldonza) are altered (to Dulcinea) so that they resemble, following Foucault, the essence of chivalry, which is Don Quixote’s reality. His entire reality is a series of figures for the hidden (from the person who hasn’t read the books—like Sancho) books of chivalry, or really, his memories of the books of chivalry (punched up nicely by Chapter 4, when the books are burned).

What I mean by "metonymic device" is that there are two worlds, one the "real world" (what I called "(our normal) reality") and the other the world of chivalry, and that Don Quixote's reality is created by his (largely unconscious) putting up of the chivalric world next to (the metonymy) the normal world and then altering the normal world to resemble the chivalric one.

We might call this one version of a rhetoric of madness. Every conception of madness will have certain methods of creating this effect, in creating the category. I imagine this metonymic device might underlie many other versions (for instance, my treatment of Sherman Alexie's The Lone Ranger and Tonto Fistfight in Heaven at the end of "Narrative and Making Sense"). Some others include the Lacanian breakdown of a signification chain (which I briefly describe in "Theoretical and Empirical Schizophrenia," which also makes up part of the first half of "Narrative and Making Sense") and Robert Pirsig's spatialized model of madness as "being outside the mythos."

Defining a rhetoric of madness, and the kinds of conceptual moves it makes, should have a special place in philosophical discussion about the "nature of reality" because the nature of this category--call it "madness," "insanity," "mental abnormality"--is designed specifically for those who diverge from what everyone else calls "reality." Rather than using "Nothingness" or "Infinity" as our rhetorical opposites for philosophical reflection about the world in which we finite somethings move, more energy should be concentrated on the way we conceive of those who in practice behave as if they are living in a different world. Foucault made a brilliant beginning on this kind of reflection, and Ian Hacking has followed well, but Pirsig isn't far off when he says that his philosophy opens up a whole new area of discourse, a philosophy of insanity, because philosophers are still too concerned with philosophical puzzles like the relationship between the universal and particular or the contingent and necessary. These puzzles focus attention on Humanity's Opposite as Kant's "starry heavens above," which loses focus on humanity entirely. The puzzles we should concentrate on more are those we have between each other.

Philosophy, Metaphysics, and Common Sense

*NOTE* The footnote links won't work unless you're on the specific post page (by clicking on the title link). You'll have to excuse my crappy coding.

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Socrates essentially defined philosophy as a common, basic human activity when he said that the unexamined life is not worth living. Plato said that philosophy was for the very few people who were able to do it. Pirsig said philosophy isn’t worth doing if it doesn’t help with life. Rorty said philosophy is pretty remote from life.

Is there a way of coordinating all of these thoughts? Do they all fit together? I think they can, in their way, fit together coherently, but there have been better and worse ways of construing them.

Socrates came upon the Greek scene at a very important point in its cultural evolution. For some years, leisured aristocrats had begun popping up around the Aegean Sea and composing themselves in a manner that had previously been unheard of—our first intellectuals. They for the most part had begun speculating about the way reality as a whole functioned, though they did occasionally drift into the way humanity, specifically, functioned (humans being a natural enough subject within the purview of “reality”). These drifts didn’t pick up speed until democracy had taken hold in Greece. The hold of democracy on Athens produced a shift in the educational institutions of Greece. The existence of a citizen class in Athens created a need for a means of educating them, one that surpassed the means that existed for the needs of fickle aristocracies. For the first time in history, an opportunity was created in which people could live on their wits.

These were the Sophists, the first professional intellectuals, and, like most people I know, they soon began talking about themselves and what they do. The trouble for them was that nobody had really done what they did before. Their only real models were the poets, the previous educators of Greece, but the poets’ profession had itself begun to change, too, at about the same time. It was a common enough feature for Greek rhapsodes, oral poets, to brood about what they were doing (captured well by Hesiod in his musings on the Muses) and the earlier physiologoi, Thales, Heraclitus and the rest, had themselves produced occasional remarks, but we can imagine it wasn’t until the pressure of professional differentiation set in for the Sophists (produced by the high concentration of them in Athens) that real self-consciousness kicked in. The Sophists had to attract customers, which meant not only displaying their wares in public, but arguing for why they knew what they were doing, over and against their competitors.

What they did, in fact, was increase the ability of public speakers to convince their audience that they were right. In Athens, in contrast to today, every man was their own politician and lawyer. This meant that arguing your view (say, of innocence) became dramatically more important than in previous, aristocratic generations, where oratory was more for the battlefield (the first great place you had to convince people of doing something, like bleeding). So the Sophists, our first rhetoricians, began to reflect on the process of argumentation, persuasion, how a person is convinced to do something.

The Sophists, however, fell victim to the forces of rampant cultural evolution. Not only were they working without a net on the self-image and practice of intellectuals in general, but they were still working with the tools of their forebears. The Sophists saw quite clearly, and correctly, that the process of persuasion, and particularly argumentation, only works with an understanding of your audience—a persuader, if to prove effective, must work with the beliefs of his audience to have any chance of being understood, let alone be successful. This, however, produced some hasty formulations, a few of which equated the conventions (nomos) and opinions (doxa) of society with what is right and just. Socrates would have none of this. Socrates saw quite clearly, and correctly, that what society currently believes couldn’t possibly be full-blown equated with what is ultimately right and just. This would leave no place for change.

Even worse, the Sophists thought of themselves as teachers of aretê. Aretê was long translated as “virtue,” and it’s hard to have any sympathy for the Sophists in the face of Socrates if they thought they were teaching virtue, good moral behavior. In this light, Socrates appears as the crusading anti-professionalist, damning the know-it-alls for supposing they had the market cornered on the good and righteous. I think this is the good light that comes out of the Delphism Socrates cleaved to: the unexamined life is not worth living. For Socrates, we couldn’t simply take what we were taught at face value because there might be better ways of doing things. This isn’t something for a professional class, but something for everyone. The Socratic spirit is the critical spirit of looking askance at the ways things are done, particularly if they are defended on the grounds of “that’s the way we’ve always done them.” Philosophy, in this sense, is reflection, thinking, taking what you do, your habits, apart to see what it is you’re actually doing and whether it makes any sense to continue to do so. The Socratic interaction between common sense and philosophy is that between the wisdom of the ages and the love of something better.

While there is certainly some truth to Socrates’ scorn of the Sophists, things are never quite that cut and dried when it comes to the Greeks. As I’ve mentioned, things were changing, and quite quickly, during what we now call the Greek Enlightenment. Scholars in the latter half of the 20th century have now mostly come to agree that “virtue” is not a very good translation of aretê and doesn’t quite capture what the Greeks meant by it. Most nowadays go with “excellence,” and one prominent scholar has even suggested “success.” These terms, and in particular the latter, make much more sense out of what the Sophists thought they were doing. “Virtue” may make sense of Socratic enmity, but are we really to believe that a whole class of people of such pomp and arrogance actually existed, as a class? Aretê was a word in transition and in the earlier aristocratic age it was more narrowly confined to the nobility and the things they did. But the rise of democracy spread out the things they did and the application of the commendation. If an Athenian citizen makes his way through his political life (which for them, much more than for us, was their life) by the power of his speech, does it not make sense for the professional orators, teaching the skills of persuasion and argumentation, to not think of themselves as teaching success, aretê?

Much like today’s social misfits, Plato agreed with Socrates that if that’s what success is, give me failure. Neither of them wanted money (easy for Plato since he had money), they simply wanted something better for humanity. They took seriously the idea that an ethical life is possible, but something that must be worked towards, and not just handed (like the nobleman’s aretê). Plato saw democracy at work and saw the blind leading the blind. And so Plato institutionalized the life of the critic, created a home and a tradition of transmitting the skeptical attitude toward contemporary modes of life. This mode of life might best be generally called the “life of inquiry.” Unlike Socrates, however, Plato was far more interested in how inquiry takes place, the methods and instruments of inquiry. Much like his Sophist counterparts, Plato meditated frequently on how we dig into ourselves and reality generally. Plato concluded that, whatever it was that Socrates did, it was hard and not, sadly, for everyone.

With Plato’s notion of the philosopher-king, he crystallized the notion of a professional wisdom-seeker, and for all of the reasons of his idol, Socrates, it must founder. Inquiry into ourselves is better done by ourselves. However, as much as looking askance at the world is a common ability for all, the tools are not. The Sophists were right in that. The tradition that branches out from Plato is philosophical, but it is a specific formation, one which I shall call “metaphysics.” The trail of metaphysics over the centuries is a trail of attempts to inquire, of trying new methods for, and objects of, inquiry. Exploding out from Plato, the paths weave about, branching off in a multitude of directions. Some succeed—these branches break off and fall from the tree of metaphysics and set up shop for themselves, become different disciplines. Some simply die, still-born in the breast of the never-heard-from-again thinker. But the tradition continues on.

It is on the other side of this 2500 year process that we find Pirsig and Rorty, and it is only by understanding their reactions to this process that we can make sense of their opinions about philosophy. To bridge into Pirsig, I’d like to first meditate on my use of “metaphysics,” which is a sort of wedding of Whitehead (“we are footnotes to Plato”) and Heidegger (“metaphysics is Platonism”). The philosophers one studies in Philosophy Departments, these footnotes, have been placed there because of the way contemporary philosophers tell the story of their own discipline. A typical way of narrating it gives us license to break philosophy into three branches: metaphysics (study of being), epistemology (study of knowing), and axiology (ethics and aesthetics—study of valuing). Kant, the first professional philosopher, gave us these branches, and our canonized selection of philosophers, when he looked back at the course of amateur philosophical writings and saw a way of breaking up his near contemporaries into two groups, the Rationalists and the Empiricists, which he was able to broker a peace agreement between and launch true professional study of being and knowing—at least, a kind that didn’t tread on science’s accelerating ground. Many of these philosophers studied other things, but the obsession Kant centered his narrative around, which preselected his choice of exemplars, was of how we are and how we know it.

Metaphysics is a handy moniker for the professional philosophy that stems out of the Kantian historiographical tradition because the understanding it breeds is that the study of being will never be far from the study of knowing. When you assert the way something is, an interlocutor will always be interested in how you know that. Philosophers in this tradition have always gone back and forth as to which is primary, whether you can intelligibly answer the question of knowledge by itself before wielding it upon instances, or whether one must lock down a conception of the way the world is first before wondering about how you know it. One thing in this tradition is certain however—ethics and aesthetics are secondary studies. If one takes the activities of being and knowing as basic, one will naturally think that valuing is secondary because the explanation given is predicated on the earlier assumption of primacy. “What is beauty/good/value and how do you know it?”, metaphysical and epistemological questions, will seem primary in ethics and aesthetics and need to be answered ahead of actual ethical and aesthetic questions, “What things are beautiful/good/valuable?” Taking philosophy to be the life of inquiry, we can see why Pirsig takes the field of aesthetics, as an inquiry into Beauty, to task for being impossible and insipid—what is one going to say about it in general, ahead of instances?

One way to understand what Pirsig did is to think of him as reversing the traditional order of things in professional philosophy and making axiology (Quality) primary to metaphysics (objects) and epistemology (subjects). If we flip the order of axiology and metaphysics, however, we will need new definitions for them, ones that won’t seem naturally metaphysical. I think if we construe metaphysics as “inquiry into how things work” and axiology as “inquiry into what we should value” we can see better, for one, philosophy’s relationship to science. Kant said that philosophy was queen of the sciences, ruling and judging all other human activities, institutionalizing the pretentiousness that Socrates accused the Sophists of. However, if we think of metaphysics as inquiry into how things work, we can see the sense of Newton having described himself as a natural philosopher. Inquiry into how things work began with the Pre-Socratics, who still get treated in history of science classes. The broad inquiry began breaking off into specialties as a new method or new way of looking at an old problem took off. On this view, metaphysics today in Philosophy Departments is the way it is because the natural and human sciences have set up shop on their own, taking with them part of what used to be in the philosophical purview. In fact, we might say that philosophy’s success lies in the fact that it has birthed these specialized fields, and might continue to do so.

With our new definitions, we can also see Socrates’ admonition of the Sophists for thinking they could professionalize, specialize the field of aretê as presaging the failure of 2500 years of trying to specialize ethics and aesthetics. When Pirsig attacks Plato for enshrining the Truth over the Good, he is suggesting that Truth, or “how things work,” is a distinct field and activity within life, but it is a value choice for us to perform that activity amongst other activities. Axiology is Socrates’ pure amateur field of inquiry into ourselves and what we should do. When Pirsig says that metaphysics isn’t worth doing if it doesn’t help with life, he is saying that knowing how things work doesn’t always help with our choices in what we should do, let alone tell us which ones to make.[fn.1]

Pirsig comes to this conclusion from the outside of professional philosophy. Standing at the gates looking in, Pirsig sees a lot of sterile, pointless debates about subjects so seemingly remote from life that it almost amounted to dereliction of duty. Rorty comes to very similar conclusions, but from the inside. Rorty did his time in grad school and spent 20 years burrowing to the center of these debates. Rorty, also, sees a lot of sterile, pointless debates about subjects seemingly remote from life, but for Rorty, the notion of “duty” only makes sense within the parameters of a profession. Physicists have a “duty” to perfecting their models of the physical world and the degree to which they’ve gotten better is the same proportion to which their conversations have become more insular and incomprehensible to the outside world. Rorty’s only concern is that some of the debates in philosophy departments don’t seem to have any outlet into the pool of life. This itself wouldn’t necessarily mean so much, except that many of these same debates, like in ethics, seem to be directly about life—and the professionals start to think they know something no one else does.

There is a prima facie distance between Pirsig and Rorty on the utility of metaphysics, study of being and knowing, to people living their lives. I’d like to help surmount this distance by inquiring into how Pirsig’s view of metaphysics actually functions. The context within which Pirsig’s inquiries occur are that of a culture-wide spiritual crisis. In ZMM, Pirsig sees the dysfunctional attitude of his friends, the Sutherlands, towards technology as expressions of a deep-lying attitude that undergirds Western culture in its relation to life, one he traces to Ancient Greek philosophy. In an odd way, Pirsig’s ZMM parallel’s Plato’s Republic—the central argumentative figure of the Republic is the analogy between the city and the soul and in the same way Pirsig draws an analogy between the individual’s spiritual crisis (Phaedrus’) and his culture’s (this particularly occurs at the end of Chapter 10, as Pirsig narrates the end of Phaedrus’ first university experience). Plato makes the analogy to help show that justice is uniform across the two units and to establish the unity of the questions and answers for both city and soul. Pirsig’s Socratic individualism rejects Plato’s requirement for a professional class of philosophers and reinstates the personal search for aretê. Pirsig’s search is conditioned, however, by its locus in the tradition of philosophy that extends from Plato to Kant to his own philosophy professors. This causes him to point to conceptual distinctions, generated in the Platonic tradition, as the locus of our, of his, spiritual crisis.

My concern right now is not whether Pirsig is right to do this. I’m sure that he is justified in doing so, though perhaps we shouldn’t be assured as to whether these are the only sources of our problems. What does interest me currently is how Pirsig turns philosophy into a kind of therapy. Phaedrus’ descent into madness is analogized, in the concept of the mythos, to the plight of dissident outcasts from culture in general. In Lila, Pirsig draws this parallel further in his discussion of a philosophy of insanity in Chapter 26. The utility of Pirsig’s philosophical pursuits are the extent to which they can be made applicable to concrete situations in life, which infuses the dynamic between the “philosophical” scenes and “narrative” scenes of both books. Pirsig employs philosophy to help him reintegrate with Phaedrus in ZMM and so become a full human being again and, in Lila, to reorient our culture more generally. This is why Pirsig develops a systematic metaphysics of distinctions—its only purpose is to help the individual life. Our sickness stems from the conceptual apparatuses handed us by the past and so we must seek their solution there.

Rorty treats professional philosophers the same way. As Rorty entered the professional ranks he shifted from an historically-oriented, Whiteheadian systematic metaphysician to a conceptual analyst. It wasn’t long before he encountered Wittgenstein’s Philosophical Investigations and became imprinted by the sense (and the attendant metaphors) that the textbook problems of philosophy were not only engendered by bad conceptual distinctions, but that philosophy’s obsession with what they took to be natural intuitions of life were neuroses that needed to be massaged out. The image of the Wittgensteinian therapist charmed Rorty most of his career and surfaced in most of his writings, so much so that Hilary Putnam once commented that Rorty wishes to “play doctor to the modern soul.”

I think Putnam get’s Rorty just about right, though Rorty wished more often to be thought of as playing therapist to the modern philosopher. To help understand what’s both right and wrong in Putnam’s comment, it helps to remember that both Freud and the New Science breathed new life into the notion of broiling, unseen causes behind appearances. The Greeks used the appearance/reality distinction to give sense to the notion that how our common sense (the mythos, doxa/opinion, nomos/convention) functions isn’t how reality actually functions and that we should perhaps inquire further into the matter. Pragmatists would like to demolish this supposition by noting that no one’s been able to tell us whether “it works because it's true” or rather “it’s true because it works,” and without being able to tell the difference between the two, we won’t be able to tell whether we’re finding out how reality really is or simply finding better and better understandings of it.

Freud and physical scientists, however, gave us a good, solid sense of what a reality behind an appearance actually looks like. Physicists started telling us that tables aren’t actually tables but clouds of electrons. Psychoanalysts started telling us that our problems getting an erection were because we wanted to do unhealthy things to our mothers and fathers. The reason why we believed them is because they were able to get results—they were able to tinker with the inputs to effect, in predictable and controllable ways, the outputs. The interesting thing about psychologists, of course, is that they don’t work with rocks, they work with us, much like the philosopher. Both the psychological therapist and philosophical therapist offer to help us with our lives, but there is a big difference—the psychologist’s patient isn’t required to know, understand, or even believe the truth of, the psychologist’s theoretical viewpoint to receive the benefit of the therapy that the theory enables. It isn’t clear, on the other hand, that the philosopher is working with anything other than what we know and believe.

Plato marked the birth of expertism, of inquirers knowing something about their objects of inquiry that others can’t follow. However, he also continued a tradition of esotericism, out of which the notion of an expert flows. This is the birthmark of any priestly tradition, which Plato gained through his exposure to the Pythagoreans (and their’s from an Orphic tradition, of which some think was not indigenous to the West, but an Eastern import). The esoteric is a class of mystery and secrets, and though we can clearly see its similarity to expertise, its separation through long affiliation is past due. There are many secrets, but the shift from esotericism to expertise is a shift in attitude, orientation, from viewing life and its variegated problems as ineffable mysteries to discussable difficulties.

There is a sense in which the philosopher, like the psychologist, knows something a little more than the regular Joe or Jane on the street. But this sense is the same in which Joe and Jane’s profession gives them the same distinction over the philosopher and psychologist. When we are talking about ourselves, our beliefs, views, attitudes, desires, habits, hopes and dreams, we are, in a sense, an expert over this area against which no one else could come close. But that doesn’t mean those who study the generalities of which you are a particular instantiation might not be able to help with your difficulties. What you should rebel against, like Socrates, however, is the notion that anyone knows some mystery about you, the reality behind your beliefs that swings free and independently of your view of your beliefs.

Socrates marked the birth of a self-critical culture. He thought it was important for everyone to examine themselves in an effort to better their future selves over their past selves. Plato swung the critical attitude at particular general problems, one’s that may be instantiated in particular people, but might be studied separately to help gain a handle on them. If we define the Socratic spirit as the spirit of Philosophy and the Platonic as Metaphysics, we might say that Philosophy is an amateur genre, one everyone should take part in, while Metaphysics is a specialized genre, one which might help for those who want to take the time and energy to delve into, but for which—because of the very fact of its generality over the particular life—we might not, and simply ask for help from time to time from the experts, should we need it.

If Common Sense is the continuing, evolving body of belief that is passed from generation to generation, then the Socratic spirit is the blood that keeps it moving. Pirsig may have been right, that a certain depth of attention, born of passing the buck on to specialists on too many scores, is lacking in our culture, and that the blood is beginning to stiffen and coagulate. What Pirsig was certainly right about, however, is that the Socratic spirit is not a flame lit in secret and watched over by robed priests called Professional Philosophers—it is the heritage of all reflective individuals. Rorty may have been right that the professionals are rightly picking special nits that might yet play out into the cultural blood stream, but like many specialized fields it isn’t immediately apparent how. What Rorty was certainly right about, however, is that the Socratic spirit is not only unprofessionalizable, but to be all the more protected because of it—it pays to have leisured self-explorers teaching our children how to explore, if not exactly what to explore.

Endnotes

[1] This construal of metaphysics as inquiry into how things work also has the virtue, I think, of shedding important light as to what Pirsig meant by the intellectual level and why Plato was wrong to enshrine Truth.