Showing posts with label Hume. Show all posts
Showing posts with label Hume. Show all posts

Friday, June 28, 2013

Emerson's Development

1. He who lives with continuity alone cannot be a poet — The fox knows many things, but the hedgehog knows one big thing — But in the third stage the great question begins to bore you — Searching for the inner dialectic; 2. Philosopher: one whose art of living is bound up with theory — Whicher on Emerson: acquiescence — The Principle of Compensation and the Principle of Self-Reliance; 3. The tragic lapse theory of Emerson’s inner life — How do you reconcile the inner turmoil with the outer production? — Lapsarian accounts: right about biography, wrong about philosophy; 4. The Principle of Mood — Emerson’s dualism between monism/dualism — Assertion is relative to the mood in when we make them; 5. Juxtaposing “The Poet” and “Experience” — Nature loves to hide — Dream delivers us to dream — Romanticism’s promise of power as a dream to be actualized; 6. Whicher and Mumford — Self-preservation and self-transformation — Transformation and resistance, continuity and change

1.      Harold Bloom once said that “critics, in their secret hearts, love continuities, but he who lives with continuity alone cannot be a poet.” [1] One of the things Bloom meant about critics is that they are like metaphysicians, philosophers—these are the kinds of chaps who look for the meaning of things, for a reason why X happened and not Y. This is, pushed to the extreme, reduction which leads to monism. The things disappear beneath the meaning you’ve extracted, and do that enough times and you’ll be left with one thing—Meaning/Reason. (This is why logos is the enveloping term in Greek idealism.) [2]

A more practical version of this is the scholar’s dismay at the fox. As Isaiah Berlin reminded us, “The fox knows many things, but the hedgehog knows one big thing.” For Berlin, this was a distinction between those with “a single central vision, one system” and those “who pursue many ends, often unrelated and even contradictory.” [3] Scholars like to connect things; they like to explain why X was written. And it is, honestly, much easier if the writer is a hedgehog, because then you can keep drawing connections back to the central thesis that you’ve sussed out on behalf of the writer. This becomes particularly important as a tool of efficiency if the writer in question wrote material over a long period of time—first book or last, juvenilia or marginalia, hey, wouldn’t you know: it says the same thing.

Life (sigh) is never like this, though it’s difficult to imagine why we’d want to spend so much of our time as scholars on such imagined repetition. But we do like order—we like it when a writer does things for reasons that form a pattern. We don’t like it when those reasons are boring. Why did John Grisham write The Firm? To make money? Yawn. Why did Harriet Beecher Stowe write Uncle Tom’s Cabin? To fight racism? Okay, that’s more interesting; I can work with that. Why did Heidegger turn away from Being and Time? Because he realized that the goal of metaphysics was to both do it and transcend it and so had to work out a way of realizing both his own ambitions for conceptual mastery and desires for mystical silence? Now we’re talking. We like people like J. M. Coetzee, who described this hoped-for hedgehogginess thus:
One can think of a life in art, schematically, in two or perhaps three stages. In the first you find, or pose for yourself, a great question. In the second you labour away at answering it. And then, if you live long enough, you come to the third stage, when the aforesaid great question begins to bore you, and you need to look elsewhere. [4]
(The third stage, of course, is back to Yawnsville, but then I think that might be precisely the point.)

When we fail at coming up with a single ambition or vision that a writer adheres to, we like just as much the challenge of showing how a writer unfolds via an inner dialectic. “Ralph was bored so he asked himself a different question” isn’t good enough—doesn’t really seem to merit attention (by itself). But how Richard Rorty’s first famous article, “Mind-Body Identity, Privacy, and Categories” (1965), displays the central conceptual move that leads to Philosophy and the Mirror of Nature, and from there to Contingency, Irony, and Solidarity, but equally that that first article is not Rorty’s answer to the mind-body problem, nor is Mirror Rorty’s final answer about philosophy—that is interesting. It takes time to show, and to show it is to shed new and needed light on what Rorty was really doing.

2.      This search for an inner dialectic works quite well when approaching the central American Romantics, Emerson, Hawthorne, and Melville. It’s easy to tell a “death of the imagination” narrative with Hawthorne and a “retreat to private expression” narrative with Melville. Emerson’s tale of development was established definitively by Stephen Whicher. Whicher’s Freedom and Fate (1953) is the beginning point for any serious scholarly work on Emerson, [7] and especially any work on Emerson as a philosopher. For Whicher’s book is about Emerson’s “inner life,” and Emerson’s inner life was taken up by the obsession with intellectual problems. Whicher shows how Emerson is a philosopher in Alexander Nehamas’s sense, someone whose art of living is bound up with the propounding of theoretical theses. [8]

Whicher’s central story is one of “acquiescence” (xvi). The general gist goes like this: Emerson’s first stage was the impress of the typical New England heritage of a Calvinistic belief in God’s Providence. However, do to the watering down of “the white-hot core of the original Calvinistic piety” (8) in Unitarianism, Emerson became susceptible to Humean doubt. This doubt laid waste to all the underpinnings of his faith in Providence, without actually touching the faith itself. This meant that natural, rational, and supernatural paths of justification were out for Emerson, but what saved him was the realization that God was within him—Emerson turns the original Protestant Reformation into a full-blown revolution. “The rock on which he thereafter based his life was the knowledge that the soul of man does not merely, as had long been taught, contain a spark or drop or breath of voice of God; it is God” (21).

So the first two stages of Emerson’s development, that take us to the resignation of his post in the Unitarian Church, give us the interaction of two fundamental principles to understand Emerson: 1) his faith in God’s Providence becomes Emerson’s Principle of Compensation which is then supplemented by 2) the God-within which becomes the Principle of Self-Reliance. The story that Whicher tells is that in the third stage the Principle of Self-Reliance expands into a kind of power madness, “that when Emerson found a basis for the assertion of unconditional good, in his discovery of the God within the soul, the law of compensation slipped into a subordinate place in his thoughts” (39). Finding God within gave Emerson the sense that all of our shackles were man-made, and thus paled in comparison to the power we had when we relied instead on God for support. Mad with his belief that he could do anything, Emerson’s Principle of Self-Reliance quite naturally collapses under its own weight, from the unbalanced ratio between claims-of-power and evidence-for-power. The more the world “remained obdurately independent of his will” (60), the more he saw that the Principle of Self-Reliance was clearly not all there was. So in the fifth and final stage, the Principle of Compensation returns in order to circumscribe the power announced by Self-Reliance. And so the promise of freedom Emerson felt with the discovery of the God within is diminished as he acquiesces to the encompassing demands of fate.

3.      There is something very powerful and importantly right about Whicher’s narrative. However, there are two interlocked problems that should lead us to dissent from the conclusions Whicher draws about Emerson’s philosophical attitude. The first is the condensation of the proposed shift between all five stages at the very beginning of his career. The evidence Whicher accumulates doesn’t point at a steady development, but that the major movement of acquiescence has already occurred by Essays, First Series (1941). Nature (1836) is, without a doubt, a bewildering text that does not see Emerson at the height of his powers, but everyone affirms that all the action is in his first two books of essays. [9] How can his most powerful moments be an acquiescence?

Given that the evidence of the interplay between the Principle of Compensation and the Principle of Self-Reliance is present at minimum in seed form even at the beginning of his career as writer, it is equally easy to mark not a sharp break but a gradual unfolding of the essential elements of his mature thought. The difference between the two is that what Lawrence Buell calls Whicher’s “tragic lapse theory of Emerson’s inner life” [10] doesn’t do well in suggesting that Emerson has a coherent philosophy. In essence, Whicher explains away incoherence as biographically legible conflict that is, indeed, conceptually bunk. This treatment, of course, is given industrial strength justification by Emerson himself, his most famous line being “a foolish consistency is the hobgoblin of little minds” (“Self-Reliance”).

So the second problem that leads from the first is that Whicher’s account doesn’t precisely help us read the final product. The reason is simple: there’s a reason that Emerson’s journals were raided for the final product of his polished essays and that things appeared as they did, and other things (from the journals) disappeared as they did. The question is what those local reasons were, something that would aid our ability to interpret how the essays hang together as they stand. We should not use the journals to explain away the need for us to think hard about what Emerson was meaning to do in the essays. Barbara Packer, in her book which we should see as an extension of Whicher’s account, summarizes the scholarly problem well in relation to Nature: the problem is in “finding a stylistically sensitive way of reconciling a diachronic account of the book’s genesis and growth with a synchronic account of its structure.” [11]

The main thesis I would forward is that Whicher-Packer lapsarian accounts are broadly right about Emerson’s biography, but wrong about his philosophy. I think such biographical sleuthing has been successful in establishing that Emerson’s initial, cosmically high hopes about the power that could be unleashed within each of us were tragically dashed—what I don’t think they’ve done as well in is in suggesting what Emerson did with that tragedy in constructing his philosophy. In particular, formulating the account as lapsarian gives us exactly the wrong handle on the heart of Emerson’s thought. Emerson may have thought in such biblical terms as the Fall of Man, and mythologized the paradox of having infinite power within while continuing to fail without in those terms, but the central strain of Emerson that faces the future breaks radically with these modes of thought, and so to interpret him according to them is to darken precisely what is most enlightening about him on our problems.

4.      Whicher’s problem, I think, is that he doesn’t ascribe enough importance to what I shall call Emerson’s Principle of Mood. I think the hidden message of Emerson’s trajectory is not the fundamental importance of the struggle between the optimistic power of Self-Reliance against the pessimistic power of Fate (which has significant prima facie evidence in the trajectory to The Conduct of Life), but the struggle between the promise he felt in Self-Reliance and it’s ephemerality in the face of changing moods. The Principle of Compensation, which is always overinfluenced by Emerson’s faith in Providence (which is quite cheery), gives way to Mood as the most important element waging battle against Emerson’s optimism. It isn’t optimism vs. pessimism, but optimism vs. optimism/pessimism.

The conceptual source of Whicher’s rhetoric of acquiescence is his sense that Emerson is trying, and failing, to find a way to live in the Power of His Soul all the time. I think all of the following summarizing moments go wrong on precisely the point I’m addressing, and they mount in a steady progression (italics are all mine): “Though not quite ready himself to give up to the soul beyond the possibility of a quick self-recovery, the thought then central to his mind was of a new state of life, a state of greatness and freedom beyond anything in human experience, into which, if he could only hit upon the password, he and all men might at any moment enter” (48); “If freedom lay only in the total self-trust of greatness, and if in fact he could be great only in inceptions and not in act, how did his new faith free him?” (70); “Even if we drop the question of action, and seek on ‘Reality,’ the problem still remains, How is such wholeness to be won and kept?” (83-4); “But the radical defect of man, the creator in the finite, is his incapacity to maintain his creative force. ‘The only sin is limitation’—but this is original sin beyond the power of grace” (97); “Man is promised the world—a promise perpetually renewed and never kept” (111). You can tell Whicher’s account begins to lose explanatory power when he perversely construes Emerson’s exuberant redescription of sin as a lapsarian tragedy. He may, biographically, have been looking for a password and totality, but the philosophy we get in its finished form is not like this. Emerson’s tragic optimism lays precisely in his giving up of the desire for completeness—not as a lost hope, but as a dumb hope. (And this, to me, seems perfectly consistent with having to be reminded oneself about how dumb one’s hopes might be.)

I think we can find this sense of duality—between the elated promise of independence and the depressed realization of its fragmented nature—in his published work, from beginning to end. Less than a year after the publication of Nature, Emerson writes in his journal “A believer in Unity, a seer of Unity, I yet behold two.” [13] For Emerson, Unity is the essence of God and thus Self-Reliance’s promise of power, and thus duality is a fragmented deflation of that promise. What I think we find in Emerson’s writing is a dualism between monism/dualism—depending on mood, he sees the world through one lens, and then another.

The importance of the circumscription of mood is that it creates a radical positionality to the Emersonian utterance. And this is how we are to understand Emerson’s hobgoblin—for while it makes sense to say that you cannot hold both “there is a god” and “there is no god,” what sense does it make to say that you cannot be both happy and sad? Oh—at the same time, sure, but it certainly doesn’t make any sense to say that a person is being incoherent when they wake up in the morning happy and end the evening sad. Emerson’s radical thought is that our assertions about the world are equally relative to the mood we are in when we make them. And this then makes conceptual coherence a more complex affair to adjudicate the importance of. This means that to understand the most important syntactical unit in the Emersonian corpus—the sentence—you have to ascribe a mood, and that way mount a picture of coherence relative to the kinds of moods. The Principle of Mood is essentially the claim that it is rhetoric all the way down, that we are always contextually and rhetorically defined—but more, for it points the way toward a necessary expansion of our conceptual accounts to include the emotions, passions, temperament, attitude. So while the last half the 20th century has pretty much seen the rhetorical stance become common sense for the intellectuals, we still have Emerson sitting beyond.

5.      On the surface, the necessity of understanding the text in context seems so obvious in terms of understanding anything as having one particular meaning as opposed to another that to invoke it to justify apparent contradiction looks suspiciously convenient (which is what many of Emerson’s contemporaries thought—Melville, for one). So I’d like to give one example that illustrates how Emerson uses this thought in a constructive mode. Emblematic of this general train of thought is the first two essays of Essays, Series Two: “The Poet” and “Experience.” These two essays cannot be read separately without giving a very misleading picture of Emerson’s vision. “The Poet” gives us a predictably up-beat picture—by this time, even to his contemporaries, Emerson was The Optimist. “The poet is the sayer, the namer … a sovereign, and stands on the centre.” “The Universe is the externization of the soul.” “Poets are thus liberating gods.” But in “Experience,” Emerson uses the death of his son, Waldo, to establish the much darker tone of the piece, offering this disturbing reaction:
In the death of my son, now more than two years ago, I seem to have lost a beautiful estate,—no more. I cannot get it nearer to me. If tomorrow I should be informed of the bankruptcy of my principal debtors, the loss of my property would be a great inconvenience to me, perhaps, for many years; but it would leave me as it found me,—neither better nor worse. So is it with this calamity; it does not touch me; something which I fancied was a part of me, which could not be torn away without tearing me nor enlarged without enriching me, falls off from me and leaves no scar. It was caducous. I grieve that grief can teach me nothing, nor carry me one step into real nature.
I don’t intend to here attempt to read this passage, which continues to shock our sensibilities. (I should add that Emerson’s grief in his journal is overwhelming—if there is anything in his published work that needs to be understood according to the Principle of Mood, it is this passage.) For now I simply offer the above two cross selections to establish the tenor of the essays as a whole. What I want to instead compare are two examples of a more specific procedure that Emerson uses to great effect in these two essays. Compare these two passages, and ask yourself—which essay does it come from?
I take this evanescence and lubricity of all objects, which lets them slip through our fingers then when we clutch hardest, to be the most unhandsome part of our condition. Nature does not like to be observed, and likes that we should be her fools and playmates. We may have the sphere for our cricket-ball, but not a berry for our philosophy. Direct strokes she never gave us power to make; all our blows glance, all our hits are accidents. Our relations to each other are oblique and casual.

For the time of towns is tolled from the world by funereal chimes, but in nature the universal hours are counted by succeeding tribes of animals and plants, and by growth of joy on joy. God wills also that thou abdicate a manifold and duplex life, and that thou be content that others speak for thee. Others shall be thy gentlemen and shall represent all courtesy and worldly life for thee; others shall do the great and resounding actions also. Thou shalt lie close hid with nature, and canst not be afforded to the Capitol or the Exchange. The world is full of renunciations and apprenticeships, and this is thine; thou must pass for a fool and a churl for a long season. This is the screen and sheath in which Pan has protected his well-beloved flower and thou shalt be known only to thine own, and they shall console thee with tenderest love.
If you guessed I would be tricky and put the second essay first and the first second, you’d be right. The mood of the two passages are so starkly opposed—the first depressing while the second, though speaking of the sad nature of the poet to be useless in society, makes it sound great. What I want to punch up are the two lines that express the same conceptual thought but in two precisely different attitudes, like an apple being looked at from two different directions. “Nature does not like to be observed” and “Thou shalt lie close hid with nature.” This is an allusion to an aphorism of Heraclitus, “nature loves to hide.” In the darker essay of “Experience,” Nature’s tendency to hide from us is really our fault, the “most unhandsome part of our condition.” But from a different direction, the poet is who transcends this condition (and thus liberating gods for it) though at the expense of being lost to social intercourse. (“To be great is to be misunderstood,” as Emerson says in “Self-Reliance.”) One more:
That also is the best success in conversation, the magic of liberty, which puts the world, like a ball, in our hands. How cheap even the liberty then seems; how mean to study, when an emotion communicates to the intellect the power to sap and upheave nature: how great the perspective! nations, times, systems, enter and disappear, like threads in tapestry of large figure and many colors; dream delivers us to dream, and, while the drunkenness lasts, we will sell our bed, our philosophy, our religion, in our opulence.

Dream delivers us to dream, and there is no end to illusion. Life is a train of moods like a string of beads, and, as we pass through them, they prove to be many-colored lenses which paint the world their own hue, and each shows only what lies in its focus. From the mountain you see the mountain. We animate what we can, and we see only what we animate. Nature and books belong to the eyes that see them. It depends on the mood of the man, whether he shall see the sunset or the fine poem.
Again, the moods are so clearly juxtaposed. The poet, drunk on his power to say, would sell off everything else—which is precisely the dark fringe to this dream, the nightmare hanging off in the wings: What if it is all an illusion? If it’s an illusion, then getting drunk on it seems to just double down on a shitty hand. Emerson’s early life took Humean skepticism very seriously, and these two passages perfectly illustrate Emerson’s constructive use of that early encounter. Emerson conceptualizes romanticism’s promise of power as a dream, which is both its best and worst feature. Progress is contingent on our ability to actualize the dream in the world, but what then is the world but an endless succession of particular people’s dreams? This is how you make the epistemological skepticism of Descartes, Berkeley, and Hume practical again. (Something, I should add, Hume I think already began to do if Annette Baier’s reading of him is right in A Progress of Sentiments.) For the output of this line is not paralysis, as a practically lived Cartesian skepticism would be—if you are self-conscious enough about mood circumscribing speech acts, as I think Emerson is, then the mood in which you become depressed about mood circumscribing speech acts and how it just shows it all to be a sham, an illusion, “so that all deified Nature absolutely paints like the harlot, whose allurements cover nothing but the charnel-house within” [14]—then you’ll also recognize that sometimes you aren’t in that mood. And this suggests to me that the point of this juxtaposition of moods on the metaphor of dreams is that what we must really beware is not the act of saying tout court, but the drunkenness of dogmatism—self-reliant saying can forget its fallibility in its moment of power, of changing the shape of the world by changing what it is possible for us to dream of.

6.      Since Whicher supplies all the evidence needed to modulate his case, I think it’s easy to see the slant he puts on it as an unfortunate Mumfordism. While above I attempted to show what the conceptual source of the rhetoric of acquiescence was, it’s nearest historical source is Lewis Mumford’s groundbreaking and very influential The Golden Day (1926). With Randolph Bourne, Van Wyck Brooks, and Waldo Frank, they composed the “Young American” critics, a group of wide-ranging intellectuals and cultural critics whose central philosophical preoccupation in the early 20th century was an attack on John Dewey and pragmatism for, essentially, not being radical enough. After Mumford’s chapter on the central American Romantics (Emerson, Thoreau, Whitman, Hawthorne, Melville), “The Golden Day,” follows his chapter on William Dean Howells, Twain, and William James, “The Pragmatic Acquiescence.”
What is valid in idealism is the belief in this process of re-molding, re-forming, re-creating, and so humanizing the rough chaos of existence. That belief had vanished: it no longer seemed a genuine possibility. … It was an act of grand acquiescence. Transcendentalism, as Emerson caustically said, had resulted in a headache; but the pragmatism that followed it was a paralysis. This generation had lost the power of choice; it bowed to the inevitable; it swam with the tide; and it went as far as the tide would carry it. [15]
I don’t wish to whitewash Mumford’s complex relationship to James, Dewey, and pragmatism, but his view of it was perhaps a little overinfluenced by Santayana’s criticism of Emerson through James as “the genteel tradition.” For it’s not hard to see how Emerson himself led to the situation—the divine providence that became Emerson’s Principle of Compensation later became what Emerson called “fate.”

Rather than confuting Mumford’s particular interpretation of pragmatism, I want to close by offering this more general observation about the conceptual resources of James and Dewey’s pragmatism. What I think Mumford and Whicher misunderstand about Emerson and the pragmatists is the importance of romantic self-transformation. They saw the essentially conservative character of “reality” and instrumentalism, but didn’t see how the Emersonian tradition was attempting to unlock a radically different orientation to a necessary recognition of the crossed axes of self-preservation and self-transformation. When Whicher sees Emerson try to assimilate the world’s resistance to the Poet’s Self-Reliance by his Principle of Compensation, he thinks Emerson has sold the pass to inevitability. In instrumentalism, we see how ends must first be fixed before deciding on what means or instruments one uses to carry out those ends, and thus how it doesn’t provide the opportunity to change those ends. But this understanding of Dewey’s instrumentalism completely ignores what Dewey tried to articulate in his notion of the means-ends continuum—that in the process of formulating a set of means to carry out a defined end we alter our sense of what end is desired, thus setting off a dialectic, as now new means are needed for the new end, the search for which will again alter the end-in-view, requiring new means, ad infinitum. [16] If we think of romanticism as the movement of thought that apotheosizes the transformative character of human power, we will see that while Mumford’s interpretation of pragmatism plays down the importance of romanticism in pragmatism in favor of Emerson and Whicher’s interpretation of Emerson plays down the importance of romanticism in Emerson in favor of pragmatism (unfortunately, on this view), and that what we really need is a view of Emerson and pragmatism that integrates their views of transformation and resistance, continuity and change, future and past into a coherent conceptual account. [17] It isn’t for them that we must do this, for it certainly may well turn out to be the case that we will have to reject some of their particular ways of understanding things—this is for us, for if Rorty is right, then figuring out how to get their conceptual projects to work is a way for us to understand how to get our conceptual projects to work.




Endnotes

[1] Bloom, The Anxiety of Influence, 78

[2] This is obviously a very particular understanding of what philosophy is, roughly romantic. For example, it’s the picture that is unveiled in my discussion of John Barth—see the third section of "On Literature's Accidents."

[3] From the beginning of “The Hedgehog and the Fox,” which can be found in Berlin’s Russian Thinkers or The Proper Study of Mankind.

[4] Quoted in Christopher Tayler’s “Tables and Chairs,” London Review of Books, March 21, 2013.

[5] This was the burden of Robert Brandom’s “Vocabularies of Pragmatism,” in his Perspectives on Pragmatism. Rorty’s response was that Brandom’s paper gave him “a more flattering view of the course of my work than before. Brandom has suggested a coherence between my earlier and my later writings that had not occurred to me. I had not seen that there was a connection between the eliminative materialism I was urging in the 1960s and the private-public distinction I have been urging since Contingency, Irony, and Solidarity. My unconscious has been more cunning than I had realized” (“Response to Brandom,” 190n4, in Rorty and His Critics).

[6] When you look at Hawthorne, you find a writer with a fairly stable vocabulary for tropes, an intense desire to make those tropes about troping, and an abiding concern about his ability to trope—so we can spot a trajectory wherein many of Hawthorne’s tales and sketches thematize the problem of writing within them, to his three vital novels—all in some manner internalizing the problem of writing, whether Hester’s needlework or Holgrave’s daguerreotyping or Coverdale the minor transcendental poet—to the final Marble Faun, all about death, representation, and the death of representation. Tack on Hawthorne’s inability to finish his final projects and you have a pretty good outline for a “death of the imagination” narrative. (If you want a display of what "thematizing the problem of writing" means, you might check out section 2 of "Work and Idleness.") When you look at Melville, you find a writer fascinated by the act of storytelling, but struggling to find his real voice as a writer. All his books through Moby-Dick are first-person narratives, and after encountering Hawthorne’s work and its literary-conceptual gymnastics, Melville writes his Great Book, publishes it, begins writing the next, and as the bad reviews of Moby-Dick come out, we can see him transforming Pierre into something that seems designed to fail (gloriously, for the book is brilliant). And The Confidence-Man—there’s no protagonist, no narrative! (On the surface, only, of course.) After that he gives up prose entirely for poetry, never publishing another story (Billy Budd was unfinished and posthumous) and writing the longest poem in English (barring, I believe, The Faerie Queene), nearly 18,000 lines, and some other short lyrics in the last 30+ years of his life. This story, reading his increasing impenetrability as a form of private expression, is the burden of Edgar Dryden’s Monumental Melville.

[7] Along with F. O. Matthiessen’s American Renaissance (1941), which obviously has a much larger scope. I hope to say something about Matthiessen’s book soon.

[8] See the “Introduction” to Nehamas’s The Art of Living. Nehamas makes a number of other distinctions in approaching theory and philosophy, all of which are pertinent to understanding Emerson. In particular, as Nehamas himself notes, the kind of philosopher his study is in large part about (Montaigne, Nietzsche, and Foucault) are often called “literary” because central to their act of philosophy is the process of self-creation that happens in the written medium. Additionally, Nehamas’s exemplars “do not insist that their life is a model for the world at large. They do not want to be imitated, at least not directly. That is, they believe that those who want to imitate them must develop their own art of living, their own self, perhaps to exhibit it for others but not so that others imitate them directly. Imitation, in this context, is to become someone on one’s own; but the someone one becomes must be different from one’s model” (10). The relationship to the Emerson who said “imitation is suicide” (“The Poet”) and the Thoreau who said “I would not have any one adopt my mode of living on any account” (Walden, Ch. 1) should be obvious. However, Nehamas has never given any attention to the relationship (genealogical or otherwise) between Emerson and Nietzsche, though everyone who works on either is well aware of it. Nehamas’s story in that book is structured by the obsession his three later writers had with Socrates (and, hence, Plato). And given that two major heroes and influences on Emerson were Plato and Montaigne, there might be an interesting story to tell about the refraction of ideas through all these prisms of intellectual power and self-reliance.

[9] Considering Emerson’s Principle of Transition, that “power ceases in the instant of repose; it resides in the moment of transition” (“Self-Reliance”), an argument could be made about the nature of Nature’s power being based on its slippery fluidity. That is, however, not an argument I intend on making, nor will I discuss the Principle of Transition. Nature is great fun, but Emerson’s acme is in the 1840s work.

[10] Buell, Emerson, 98

[11] Emerson’s Fall, 29

[12] The argument I would make about Emerson’s central line of thought—which is clearly well beyond the space afforded here, and beyond my present grasp anyway—is analogous to the arguments Hans Blumenberg and Bernard Yack mount against philosophers of history like Karl Löwith and Eric Voegelin. The latter two basically formulate narratives in which today’s modern, secular problems are simply the revenging of old, religious problems because our secular terms are simply written over the palimpsest of religion. (This is sometimes called the “secularization thesis,” and Löwith’s Meaning in History is paradigmatic.) By contrast, Blumenberg and Yack in The Legitimacy of the Modern Age and The Longing for Total Revolution, respectively, attempt to show how some secular conceptual mechanics are genuinely new moves that produce new problems with no precursor in the older modes of thought. What I think is important in understanding Emerson are the reasons for his formulation of self-reliance as self-reliance, and not “God-reliance,” in Whicher’s very influential conflation (57). There’s no doubt in my mind that Emerson sincerely believed that God was within, and so that self-reliance was in some way God-reliance, but the conceptual work being done by his formulations of self-reliance were ultimately antithetical to belief in any and every form of God that is not found within—and this means that most forms of religion are behind the Emersonian curve. Furthermore, I think there’s a reason why his synonym for self-reliance in “Self-Reliance” is “self-trust” and not “self-faith” as well.

[13] May 26, 1837

[14] This is from the extraordinary close of Ch. 42 of Moby-Dick, “The Whiteness of the Whale.” I use it here as a placeholder for a larger discussion about the Melvillean and Emersonian strands of antirepresentationalism that I find pervasive in the central American Romantics. For in “Experience,” Emerson comes as close as he can get to the apocalyptic pessimism Melville displays in his mature work about the very possibility of representation, of there being any point to this pathetic negotiation we call “life.” Emerson articulates it—and somehow swerves back to optimism. I think of Melville and Emerson standing to each other as, in a manner, Derrida stands to Rorty. Rorty recognizes Derrida’s “arguments” as having an affinity to pragmatism’s antirepresentationlism, but equally that that rejection does not a pragmatist make. To make inroads on this angle, one should coordinate “The Whiteness of the Whale” with Derrida’s “White Mythology: Metaphor in the Text of Philosophy” (in his Margins of Philosophy). Compare Ishmael’s rhetorical question, “is it, that as in essence whiteness is not so much a color as the visible absence of color, and at the same time the concrete of all colors; is it for these reasons that there is such a dumb blankness, full of meaning, in a wide landscape of snows—a colorless, all-color of atheism from which we shrink?” to Derrida’s thesis: “White mythology—metaphysics has erased within itself the fabulous scene that has produced it, the scene that nevertheless remains active and stirring, inscribed in white ink, an invisible design covered over in the palimpsest” (213).

[15] The Golden Day, 83 of the 1957 Beacon Paperback edition

[16] Brandom has reformulated Dewey’s notion of the means-ends continuum for Rorty’s notion of what Brandom calls the “vocabulary vocabulary”: “Every use of a vocabulary, every application of a concept in making a claim, both is answerable to norms implicit in communal practice—its public dimension, apart from which it cannot mean anything (though it can cause something)—and transforms those norms by its novelty—its private dimension, apart from which it does not formulate a belief, plan, or purpose worth expression” ("Vocabularies of Pragmatism," Perspectives on Pragmatism, 153). It's worth pointing out that here Brandom is attempting to assimilate some very specialized points in the philosophy of language with Rorty's taking up of the Mill-Berlin tradition of articulating a public/private distinction in order defend liberalism, but that given Emerson's own preoccupation with the distiction society and solitude, there might be some interesting resources in Emerson to think through this angle on pragmatism that Brandom has done so well in bringing to light. For a different application of Brandom's philosophy of language to the public/private distinction, see my "A Spatial Model of Belief Change."

[17] Despite the previous note, Brandom has rejected romanticism as an important genealogical root of pragmatism. See my discussion of this in “Pragmatism as Enlightened Romanticism.”

Tuesday, June 07, 2011

What Is Literary Theory?

*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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The underlying intuition to first condition this question is that what is picked out by the word “philosophy” is basically the same as what is picked out by “theory.” “Theory” is whatever part of a discipline that reflects on the tools that discipline deploys to do its work. Thus, for example, “theory” is what is being done when a sociologist reflects on what is picked out by “society” or “group” or an anthropologist on “culture” or “ritual.” Almost every discipline these days has its own theory department, and no longer farms out the work to philosophy. (This didn’t used to be the case.) This has been a problem for philosophy, insofar as it has been harder for it to justify itself, but just insofar as it’s a problem for philosophy, it is—often covertly to those independent disciplines asking philosophy to justify itself—also a problem for the disciplinary theory-heads. The reason for this is that the experience of philosophy for 2500 years has been with abstract concepts and their relationships to each other. It has dabbled in concrete stuff from time to time, but every time it gets on a roll, the group of people in charge of the inquiry become full of themselves and secede from the union (a typical origins-story about disciplines from philosophy’s point of view). Without a doubt, every discipline has its own special problems that it needs its own special tools for, and for the most part it is best that a discipline make and improve its own tools (though outright stealing works, too). However, when it comes to seeing the relationship between those special tools and the special tools that other people are using, no one has any special province. The closest you can get is philosophy—that group of people with 2500 years of experience dealing with that kind of thing.

If you start with this understanding of “philosophy” and “theory,” the relationship between literary criticism and literary theory becomes a little clearer. It’s really the relationship between practical criticism of literary texts and theoretical reflection on the tools you use in those practical contexts. When you read Hawthorne through the lens of Freudian psychoanalysis or Melville through the lens of Derridean deconstruction, you’re doing practical criticism when the primary goal of your train of thought is reading Hawthorne or Melville. If you’re trying to make a comment on psychoanalytic theory or deconstruction using whatever insight you may have pulled from reading Hawthorne or Melville, the comment itself is theory and besides the point of reading Hawthorne or Melville. Getting the theory right is a different context than using it to read other texts. It’s important to understand this. In the act of writing, one can attempt to do many things. But to know you’re doing many things, or to just do one thing and not those other things, one needs to see how to differentiate between different activities. And in the terms I’ve laid out, “getting theory right” means doing philosophy, which means attending to the problems generated in a different disciplinary sector than that of getting the literary text right.

Literary theory as a phenomenon in English departments in the United States is the product of the confluence of five things:
1) concern over how interpretation works
2) concern over what interpretations we should give
3) foundationalism
4) the dearth of Continental philosophy in the American university system
5) Baby Boomers flooding the market and looking for a way of distinguishing themselves for tenure and seeing this new thing to do (thus flooding journals and presses with articles and books about it)
The last two are sociological, external to literary-critical practice as such (which is not to discount the impact of the external, e.g. coming from wealth, going to an Ivy League school, being white, etc.). The last in particular I shall pass over without comment, and about Continental philosophy I will say one thing: while Continental philosophy’s seemingly sudden vogue requires more extensive treatment on just why it and not something else (one prima facie reason is that it was more “humanistic,” in a non-technical sense, than analytic philosophy had become), the conjunction of (5) with the lack of an established conversation about post-Hegelian philosophy in the United States produced the need to establish one. So professors in English departments started bootstrapping themselves in. The trouble that we are now seeing, however, is that no one is teaching it. Someone needs to teach it, because we should be reading it, and if it has to be English departments, while being weird and ironic (say it with me: English departments), then so be it—but they need to do a better job at teaching it in-house. Right now it is scattershot at best, and even then hit-or-miss as to quality, but the pressure of the discipline is that you do need to know something about it. I think the pressure is abating, which is a good thing for the discipline in the long run, but it isn’t clear to me that we shouldn’t yet have a better quality baseline education in it.[fn.1]

(1) through (3) are all theoretical, but it has been the conflation of these three distinct things that has produced the most theoretical trouble for literary theorists over the last 50 years. (3) is a distinctively philosophical issue, produced by thinking about “how one knows” isolated from any actual practices of knowing (it’s the isolation that makes it distinctively philosophical). The last 100 years of philosophy has produced a pure antifoundationalist strain of philosophical thinking. Philosophers of an antifoundationalist bent (which we can find all the way back in the Sophists and up to Hume and Hegel) finally reached self-consciousness about foundationalism being an actual problem to focus on in Nietzsche and the American pragmatists, and since then have produced a purer and purer polemic against that particular problem. The most confusing thing of all about the history of literary theory in the United States is that “literary theory” became self-conscious as a subgenre at the same time as the vogue of Continental antifoundationalism—which at the time was comfortably synonymous in many quarters with anti-theory (because “theory,” consciously or unconsciously, was nearly synonymous with “offering a foundation”).

The reason this could happen is that the dominant theoretical paradigm in English departments in the first half of the 20th century was “New Criticism.” New Criticism prided itself, however, on not being theoretical. The New Criticism achieved dominance in English departments, roughly, in part because of the pressure to discipline the discipline of literary studies (which itself was still being born as a university department in the first place), and so lose all the extraneous concerns in being a generally cultured person. What New Criticism combined, we can now see in hindsight, was the practice of “close reading” with foundationalism. To create a distinctive discipline, they claimed plausibly that the practice of close reading was what they did, implausibly that this was the only way one should read, and wrongly that this was the only way one could read. The first two claims are disciplinary claims for literary critics, and so can properly coalesce into a distinctive kind of thing called “literary theory.” The plausibility of their claims is, of course, a judgment by a disciplinary member on the far side of New Criticism’s hegemony. The third claim—the one called “wrong”—is the philosophical claim of foundationalism, where the moral “should” of the second claim turns into the stronger “could” of metaphysical necessity. (I’m not going to articulate and argue for why the vocabulary of correctness is, or rather should be, in play for the philosophical question as opposed to the disciplinary questions.)

I haven’t specified what close reading is as a practice, but granted that it does pick out something one can do, what you don’t want to do is confuse that practice with the question of how interpretation works—concern (1). The first claim of New Criticism is that there is a practice called “close reading,” a practice that can be differentiated from other practices of reading. To many people, this now seems quite plausible, and the first step towards plausibility is to understand that close reading is a kind of writing.[fn.2] But the New Critics sometimes treated it like simply reading, which makes it more plausible to think that what you are theorizing about is the uptake of conceptual information, i.e. interpretation. When you think of it as a kind of writing, the output of conceptual information, you’re more likely to see what you are doing as offering an interpretation—concern (2). The difference between the two is that when one theorizes about the former—interpretation qua interpretation—the focus is on a general human activity: the uptake of conceptual information is something everyone does all the time. One interprets, in this sense, a painting, the newspaper, or a stop sign as much as Hawthorne or Melville. This kind of theorizing will, indeed, be about the metaphysical necessity of how, exactly, one processes concepts and uses them in communication. As concern (1), put into full swing by Kant, philosophers of language from Austin to Brandom to Habermas have a lot that is relevant to say, but literary theorists have also said many relevant things (from Hirsch to Eco to Fish). However, what one should not do—to repeat—is make the mistake Fish acknowledges having made in his early, career-making books Surprised by Sin and Self-Consuming Artifacts: to confuse a reading with reading.[fn.3]

The only way to glue together concern (1) and (2) is with (3): foundationalism. This is how Descartes gets from the New Science to knowing in general (the logical positivists, too) and it’s the only way to get from a practice like close reading to reading in general. What you do is take one practice and claim that it is the foundation-practice upon which all others rest. This is close to what Kant does, but the transcendental maneuver is slightly different: it doesn’t take an object and “privilege it” (in a phrase still often used for antifoundationalist purposes), it asks what makes the object possible. It is essentially a mechanical question: what needs to be the case for this thing to work as it does? Close reading privileges, in the dirty sense, one kind of literary text: short ones. However, the practice of close reading can be used on anything, it’s just easier on short stuff. What made the New Criticism’s practice of close reading foundationalist is that they first gave a bad answer to how interpretation works (the central move is that it works on a text that is fundamentally isolated from the world—much easier to do on a lyric poem than a historical novel) and then claimed that any other kind of interpretation (e.g., through the use of biography, myth, class consciousness, etc.) is not true interpretation (usually qualified in some way to make “true interpretation” a gateway to the other, now extraneous activities—the other readings aren’t fake, they’re just irrelevant).

What happens when you get rid of foundationalism? Apparently what happens is that you spend another 50 years trying to figure out what getting rid of it means. The Continental philosophy imported in the 60s was all resoundly antifoundational in tenor, yet many foundational-esque habits continued. Some, like Fredric Jameson, tried to be upfront about it. But post-Foucauldian theory—which is something like a confluence of the political sensibilities of Marx with the antifoundational tendencies of Derrida—has struggled, to my mind, in shrugging off foundationalist theory because it feels the impulse to amp up the moral claims of “we should read this way” to “we need, nay, must read this way.” If you read “must” expressively, there’s no problem, but often the “must” comes with a battery of theoretical concerns about the nature of representation. “Representation is socially constructed,” we hear over and over again well after it was something that titillated us, “and therefore we must practice deconstructive criticism because showing how meaning is impossible is the only way to short-circuit the hegemony of European power.” If the vague reference to European power seems a stretch, all you need to do is remind yourself that “semantic authority” over descriptions that pass as true—and that passing as true is the only kind of true you get in this life—is what is produced in what we call “education.” And showing that meaning is impossible would indeed short-circuit such semantic authority (ignoring for the moment how one would have understood the meaning of that sentence). But it seems like a non sequitor from “this is the way representation works” to “we have to read this way.” It is basic to the is/ought dichotomy that Hume pointed out, and if you feel the need, as any form of antidualist, to blur that distinction, if you are also a critic of bourgeois liberalism and its ideology, then you’ll want to remind yourself that blurring that distinction is exactly how the liberal ideologists used their so-called essentialism to move from “I think liberalism is good” to “my cultural representations are the way the world works so I need to destroy everyone else’s.” The movement from is to ought has to be treated as a conversational non sequitor for the very idea of progressive change to be possible. If the necessity was understood to be a purely moral concern, a concern about how the practice of literary criticism should move forward, then the theorist would understand that repeating the lesson about how representation works is not an argument directly for the practice of deconstruction, but merely the preparation for clearing the field of old foundationalist dogma. Once the dogmas are clear, there are still a lot more questions about how one should read—or rather, what kind of readings one should offer.

The lesson I’ve tried to articulate in the above is that if you keep “how does interpretation work?” separate from “what interpretation should I offer?” you will find yourself in the proper disciplinary province of literary theory—reflection about the tools of literary criticism. Having some kind of idea about how interpretation works is, in this understanding, philosophical because interpreting linguistic phenomena is a general human activity and not distinctively literary-critical. This is not to say that philosophers are better at understanding interpretation qua interpretation than literary critics, but the questions and problems peculiar to it (as opposed to problems peculiar to interpreting Hawthorne or Melville) come up with more disciplinary regularity in philosophy than literary criticism (if only because the philosopher spends more time focused just on those abstract questions, and if only because all the special disciplines have forced such focus on the philosopher by making special disciplines around all the more concrete questions). Literary theory should be about what kind of interpretations we should be offering, but they shouldn’t turn on notions of metaphysical or epistemological necessity, for the only kind of reading those kinds of general necessity motivate are compositional—questions about rhetoric and clarity and such. Important questions, to be sure, and part of the province of an English instructor, but not special to literary criticism. Once we scrub Marx of his “science” and Derrida of “one cannot escape the discourse of philosophy,” then what we are left with are a number of tools—tools that can be refined by further reflection—and questions about what purposes we would like to fulfill by forwarding such-and-such a reading.

Endnotes

[1] My treatment of literary theory here, of course, is very schematic and far too generalized to count as good history. Still the best single account of how we get from the beginning of the 20th century to the end is Vincent Leitch’s American Literary Criticism from the 30s to the 80s (the central movement with the aid of a little imaginative extrapolation), but for the purposes of understanding why French and German philosophy caught on and not, say, John Dewey, Gilbert Ryle, John Austin, or Wittgenstein, Leitch doesn’t make a good answer explicit. Analytic philosophy is introduced almost solely so that one understands that “Continental philosophy” is the other thing that was in fact popular. I don’t think Leitch’s account suffers much at all, but there is a smaller story to be told, one with curious outliers like Hans Frei’s legendary book, The Eclipse of Biblical Narrative, published in 1974. In the preface, Frei acknowledges three major intellectual debts: Erich Auerbach, Karl Barth, and Ryle. The first two are nearly obvious for a book of this sort, but Frei says of Ryle that “anybody interested in hermeneutics has special reason to be grateful to [Ryle’s The Concept of Mind] for its demystification of the concept of intentional personal action, and the author’s steady refusal to divide intelligent activity into separate mental and external components. It is a lesson well applied to the way one views written statements and hence also how to read them” (viii). Frei in fact commends Ryle over the Continentals in doing what he regards as the similar activity of overcoming philosophical dualism. So why did Heidegger and Derrida catch on and not Ryle? Again, there are a few obvious, superficial answers having to do with tone, and Leitch does canvass some of the external motivating factors, but once one gets down to how the superficial facets like tone connect with externalities like the general tenor of American intellectual life and the internal workings of the conceptual dynamics (e.g., what’s attractive about Husserl’s notion of a lebenswelt), as soon as you realize that the conceptual dynamics are more or less the same as those produced somewhere else, you are kicked back to the level of superficialities and externalities. It’s not that superficialities and externalities cannot or do not (or should not) have an impact on the course of history—it’s that what we want out of a good intellectual history is a story that does more than lay down those three different things in parallel tracks and make the gesture “and these three things impacted each other.” I think part of the problem in producing this story is that some are not convinced, as a matter of theory, that the story can or should be told (e.g., Foucauldians) and that for those that are, we still don’t have a simple model of what that kind of historical ligature looks like, and that because—again, at the level of theory—we haven’t a good model of how the material-practical impacts the conceptual-semantic through the mediation of the communal-social (the kind of model people like Ryle and Heidegger were moving toward, and people like Habermas and Brandom have nearly completed).

[2] For an argument about academic reading generally being a kind of writing, see my "Reading Academically." What is articulated there is a special theory of composition attached to the commitment of writing about other writing (this being analogous to the special theory of relativity's relationship to the general one). What is implicit in this kind of composition (i.e., academic) is a practice of reading that readies the uptake of textual information for the output of textual information. "Close reading" is a further kind of special compositional form that requires something like an analogous special reading form. The best theoretical formulation I've heard articulated about the practice of close reading (by Ed Dryden) is that one takes a block of text and treats it is a synecdoche for the rest of the text. Another way of putting it is that you take one passage from, say, The Scarlet Letter and then treat it as a paradigm for reading the rest of The Scarlet Letter. This allows you to say, "By explaining what this passage means and how it works, I've explained what The Scarlet Letter means and how it works." Clearly, then, this kind of model works really well for when you can fit the whole of a text within the whole of the model: when the part you're treating as a whole (synedoche-style) is actually the whole of it. This is why the New Critics were so fond of lyric poetry. The model becomes attenuated when you apply it to longer texts, but the practice of working out the conceptual dynamics of a single passage (my definition of "close reading") still works well for generating the meaning and mechanics of larger texts, even if these larger texts are more complex because sheer size makes it possible to do more textual things (a fact you can grant even if you wish to argue that poetry is semantically more dense than prose: just think of a novel as a prose-poem). If you want to make a claim that The Scarlet Letter, for example, does three things, the compositional way of arguing for this is to generate each particular thing from three particular emblematic passages that do that thing really well. Once you've generated an understanding of "the thing," you can then apply it at will in writing about other passages of the text, relying on your earlier argued-for-claim-backed-by-evidence. What is important to see, however, is that this is a particular model of reading: you are seeing the text differently because you are looking in the text for something specific—emblematic passages. The ends of writing do alter the means of reading (a point made generally in the opening of "Reading Academically"). This kind of reading doesn't work very well on certain kinds of texts and certain kinds of textual phenomena (e.g., narrative action). Despite the fact that generating textual evidence for a written argument will always look something like close reading, close reading isn't always the best foot forward in reading a text.

[3] See the introduction to Is There a Text in This Class?, where he describes the evolution in his thinking, from a thesis about Paradise Lost to a full-blown critical methodology to seeing that that wasn’t right as a methodology (though yet as a specific reading) to finally his theory of interpretive communities.

Thursday, January 08, 2009

Constant’s Speech of 1819

I have spent more time studying Benjamin Constant and Gotthold Lessing, both veritably unknown today, than any other intellectuals of the past (barring Plato). It was a matter of happenstance, those having been the current objects of study of the professor that influenced me the most, but both Constant and Lessing have turned out to be more important to me than the canonized figures we read in philosophy classes. It isn't surprising then that I encountered them in intellectual history classes.

Constant's importance to me at the time was that he seemed to take the same position that Rorty took in his political philosophy 200 years later. And considering that my professor continually tried to talk me out of my love-affair with Rorty, I thought it was pretty convenient to just point to Constant: Rorty doesn't slide into relativism any more than Constant does, and for the same reasons (the talk about moral education towards the end).

Looking back now, however, I find most interesting the bits about historical consciousness. The shorthand I use in discussing Constant makes it sound like the Greeks didn't have enough wars to be tired of fighting, unlike 18th-century Europeans. This can't exactly be true, though--whatever history they did have, it was about war. What I wrote I think is still largely right, but I've come to see better why. The exact point is "whatever history they did have." The principle shift that occurred during the Greek Enlightenment was the permanent assertion of literate culture over oral culture. The only sense of the past the Greeks did have was through their stories.

These stories, as we all know, glamorize war and its warriors. One of the major reasons for this, I've come to see, is because of the practical constraints of oral transmission of knowledge--for wisdom to be remembered (for there was, need I mention, no way to write it down for later) it must be memorable. There were many techniques available to Greek rhapsodes and one of them was the creation of heroes. Greek warrior culture kept reproducing itself partly because of the constraints of the available means of cultural reproduction. The creation of writing began to change all that.

More than that, though, is the even more contentious issue about the creation of history writing. Herodotus is often cited as the grandfather of history and Thucydides the real father. Thucydides was a contemporary of Socrates and, similar to Plato, heaped scorn on the practices of those around him, for instance on what counts as good evidence for an event having actually happened. There has often been bafflement as to how Thucydides suddenly, and almost alone, felt this way, about how and why the transition between mythos and logos actually occurred.

The puzzle becomes much easier to understand once one realizes that in oral cultures "accurate representation" of the past didn't make much sense--what would it be accurate with? Ephemerality contains much more of a hold when words pass out of existence as soon as they attain existence, when they are spoken unlike when they are written down. How would a rhapsode even reliably know whether they'd repeated the story exactly the same way? The gist is that rhapsodes repeated the wisdom of the past in their songs to present audiences with present purposes in mind--that was the point in repeating them. Our "clichés," potted, formulaic wisdom like "don't put all your chickens in one basket" or "hell hath no fury like a woman scorned," are remnant practices of oral culture (including the misprision). The Homeric stories aren't history, but they are an oral culture's preserved past.

It is often, and correctly, said that the Greeks had no historical consciousness. It wasn't a strange anomaly, and neither was the creation of history. However, Constant was definitely taking advantage of a culture internalizing literacy and the multitude of practices it enabled.

*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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In “The Liberty of the Ancients Compared with that of the Moderns,” Benjamin Constant develops a distinction between two kinds of liberty. In the course of this speech, though, Constant enters in a discourse developed by two seemingly separate parties: liberal theorists and republican theorists. While developing the example of modern liberty, Constant plays upon themes developed David Hume and Bernard Mandeville: attacks on ancient regimes, particularly Sparta, and the doux-commerce thesis, a composite discourse developed by Albert Hirschman. At the same time he sounds chords similar to Hume and Mandeville, he sounds chords similar to Jean-Jacques Rousseau, a republican who held Sparta in the highest regard. Like Rousseau, Constant feared the de-politicization of the public sphere and desired a moral re-entry. In the course of this essay, I hope to draw out the applicable similarities and differences between these thinkers, how Constant navigates the possible pitfalls of synthesizing ancient and modern liberty, and how, in the end, Constant runs headlong into a tension in philosophical presuppositions that he inherits from the Enlightenment.

The explicit purpose of Constant’s essay is to draw a distinction between two types of liberty that are floating around in the intellectual air. That they are both called “liberty” causes confusion and Constant wishes to clarify the difference between them and argue that one is more desirable than the other. What Constant calls “modern liberty” is synonymous with “individual liberty” and “individual independence” and what he calls “ancient liberty” is synonymous with “political liberty” and “political rights.”[fn.1] What develops is a modern liberty designed for the private sphere and an ancient liberty designed for the public sphere.

The novel thing about Constant’s argument, though, is that it is an historical argument. Rather than making a transcendental argument, sketching the contours of an ahistorical, inviolable human essence like Kant, Constant seems to remain purely socio-historical.[fn.2] Beginning with his identification of the two types of liberty with historical epochs, and continuing with his sketch of the changing conditions between ancient society and modern society, Constant makes pragmatic arguments about what best fits the needs of modern society. He identifies the aims of modern society as “the enjoyment of security in private pleasures” and liberty as “the guarantees accorded by institutions to these pleasures.”[fn.3] These institutions, though, are modern institutions, for “none of the numerous and too highly praised institutions which in the ancient republics hindered individual liberty is any longer admissible in the modern times.”[fn.4] Constant typically refrains from arguing that modern liberty is the true liberty of mankind, and limits himself to arguing that, though ancient liberty was possibly the most fitting freedom at one time, its day in the sun has now past and modern liberty, a liberty centered around the protection of a private sphere of free action, is now the most fitting liberty.

What these historicist arguments show is Constant’s unwillingness to be nostalgic. He is an anti-primitivist in this sense, refusing to gloss the great civilizations of the past, even Athens, as idyllic. Constant warns us of what happens when we become nostalgic:
“One could not read the beautiful pages of antiquity, one could not recall the actions of its great men, without feeling an indefinable and special emotion, which nothing modern can possibly arouse. The old elements of a nature, one could almost say, earlier than our own, seem to awaken in us in the face of these memories. It is difficult not to regret the time when the faculties of man developed along an already trodden path, but in so wide a career, so strong in their own powers, with such a feeling of energy and dignity. Once we abandon ourselves to this regret, it is impossible not to wish to imitate what we regret.”[fn.5]
The end result of this imitation, for Constant, is the Terror following the French Revolution. For Constant, the viciousness, arbitrariness, and wretchedness of Robespierre and his cronies provides the greatest reason to abandon ancient liberty to a bygone era.

Constant’s refusal to be nostalgic does not stop at saying that our changed context demands new tools. Constant not only says that society has changed and our conception of liberty must change with it, but also that this change is for the better.[fn.6] By modern lights, the evolution from the ancient polis to the modern state can be considered progress, not simply a lateral shift in means and ends. Constant says that when the ancients sacrificed “that independence to their political rights, [they] sacrificed less to obtain more; while in making the same sacrifice, we would give more to obtain less.”[fn.7] The applicable “we,” of course, is “we moderns.” Constant is saying that by our lights we have made progress. This progress comes out particularly in his sounding of the doux-commerce chord.

Doux-commerce is a multi-layered discourse that many eighteenth century intellectuals (notably excluding Rousseau) took part in. The central claim of doux-commerce is that commerce is a “powerful moralizing agent which brings many nonmaterial improvements to society.”[fn.8] “A society where the market assumes a central position for the satisfaction of human wants will not only produce considerable new wealth because of the division of labor and consequent technical progress, but generate as a by-product, or external economy, a more ‘polished’ human type.”[fn.9] Hirschman cites Montesquieu as a paradigmatic example, as when Montesquieu says, “it is an almost general rule that everywhere there are gentle mores, there is commerce and that everywhere there is commerce, there are gentle mores.”[fn.10] Hume enters this discourse when he says, “men become acquainted with the pleasures of luxury and the profits of commerce; and their delicacy and industry, being once awakened, carry them on to farther improvements….”[fn.11] Hume’s invocation of “delicacy” announces his participation in doux-commerce. Additionally, Hume’s “more ‘polished’ human type” includes other “virtues” such as industriousness. Industriousness isn’t always thought of as being a virtue, but doux-commerce theorists typically redescribe traditional (read: ancient) virtues in a manner more fitting for modern times, best exemplified, though in extreme form, by Mandeville’s slogan, “private vices, public benefits.”[fn.12]

Constant begins this line of argument by sketching the differences between ancient republics and modern states. The ancient republics were small and bellicose; modern states, large and peaceful. Ancient republics, being constantly on their guard from attack, had to rely on slave labor for the production of goods. Modern states were “essentially homogeneous in their nature” and were “sufficiently civilized to find war a burden. Its uniform tendency is towards peace.”[fn.13] This is Constant’s primary doux-commerce formulation. Unlike Hume’s historical argument, which makes pretensions about mankind’s “nature,”[fn.14] Constant’s argument remains unburdened by this essentialism. Constant says simply, “War and commerce are only two different means of achieving the same end, that of getting what one wants.”[fn.15] However, this doesn’t lead him down the relativist cul-de-sac of saying, “War and commerce are simply two different means, therefore one is just as good as the other.” Constant argues that history has given us moderns the
“experience, by proving to him that war, that is the use of his strength against the strength of others, exposes him to a variety of obstacles and defeats, that leads him to resort to commerce, that is to a milder and surer means of engaging the interest of others to agree to what suits his own.”[fn.16]
Constant does not argue that the ancients were denying their essential humanity; he argues that the ancients simply did not have the historical wisdom that we moderns have. The ancients did not have their own bloody wars to look back on and reflect. Constant argues that, because we moderns can look back on the mistakes of the ancients, “an age must come in which commerce replaces war. We have reached this age.”[fn.17] And because in the modern period commerce “is the normal state of things,” modern states can now see that “every day war becomes a more ineffective means of satisfying their wishes.”[fn.18]

Constant’s refusal to be nostalgic, then, is rooted in an historical analysis of the rise of commerce. This leads him to enter the chorus of disparagement surrounding ancient republics, particularly Sparta. Hume presages Constant’s description of the ancient republics as militant when he says, “the labour of the HELOTES could not have maintained so great a number of SPARTANS, had these latter lived in ease and delicacy,” like moderns do. Mandeville finishes the redescription and joins Constant in refusing to be nostalgic when he says,
“I have heard People speak of the mighty Figure the Spartans made above all the Commonwealths of Greece, notwithstanding their uncommon Frugality and other exemplary Virtues. But certainly there never was a Nation whose Greatness was more empty than theirs….”[fn.19]
For Mandeville and Hume, the modern period should no longer count frugality as a virtue. “Grave moralists,”[fn.20] those “men of severe morals,”[fn.21] are those who enter into “voluntary frugality.”[fn.22] For Constant, the attack on Sparta isn’t limited to lamentations on the Spartans’ outdated economic sensibilities. Constant says, “It would be easier today to make Spartans of an enslaved people than to turn free men into Spartans.”[fn.23] This unpacks partially to mean that modern people would no longer be able to tolerate the tough conditions that a militant lifestyle would demand.

Rousseau picks up on this same theme, though for Rousseau it should be lamented that modern man is no longer durable and robust. While Constant praises the ability to enjoy private pleasures and pursue private interests, Rousseau condemns these same pleasures. As private pleasures and interests increase, “true courage is enervated, the military virtues vanish.”[fn.24] Rousseau is a primitivist in this sense: he is nostalgic for the past, holding them up as a paradigm of moral virtue.[fn.25] Martial prowess is held to be a moral virtue and Rousseau takes Sparta as a rhetorical rallying point. In an animated homage, Rousseau writes,
“Can I forget that it was in the very lap of Greece that was seen to arise the City equally famed for its happy ignorance and for the wisdom of its Laws, that Republic of demi-Gods rather than men, so much superior to humanity did their virtues appear? O Sparta! Eternal shame to a vain teaching!”[fn.26]
Rousseau here juxtaposes “happy ignorance” with “wisdom.” The full meaning of Constant’s statement about the Spartans then comes out as “we moderns are too knowledgeable to go back.” While Rousseau is nostalgic for the “happy ignorance” of the now long gone Spartans, Constant remains skeptical as to whether, even if we wanted to, we would be able to return to the ignorance of Sparta and “the wisdom of its Laws.”

While Constant does not join Rousseau in being nostalgic, he does join him in being critical of modern institutions. Like Rousseau, Constant worries about the de-politicization of the people. Rousseau laments the loss of citizens (and attacks those professions born in the lap of luxury) when he says, “We have Physicists, Geometricians, Chemists, Astronomers, Poets, Musicians, Painters; we no longer have citizens.”[fn.27] Both men were against Mandeville’s collapsing of the public sphere into the private, his “sociology of excess,” the “petticoat thesis” that “presented commercial society as the product of the uninhibited, and often whimsical, pursuit of human passions and needs.”[fn.28] Mandeville thought that this was all that was needed for a nation to be successful. Constant warns, though, that “the danger of modern liberty is that, absorbed in the enjoyment of our private independence, and in the pursuit of our particular interests, we should surrender our right to share in political power too easily.”[fn.29] Hume helps in this middle position by de-moralizing luxury, the consequence of private independence and particular interests that Rousseau lambastes in the First Discourse. Hume speaks also for Constant when he says against Mandeville the “libertine” and Rousseau the “severe moralist,” “men of libertine principles bestow praises even on vicious luxury, and represent it as highly advantageous to society; and on the other hand, men of severe morals blame even the most innocent of luxury, and represent it as the source of all the corruptions, disorders, and factions, incident to civil government.”[fn.30] Like Hume, Constant considers “innocent luxury” to be harmless, even beneficial such as when it opens up space for scientists, mathematicians, artists, etc. But, like Rousseau, Constant still worries that overindulgence in our private pursuits will lead us to too easily “surrender our right to share in political power.” For Constant, political liberty is a necessary (though perhaps not sufficient) condition for the existence of private independence. Without political power there is no guarantee for our idiosyncratic interests. As Constant says,
“Could we be made happy by diversions, if these diversions were without guarantees? And where should we find guarantees, without political liberty? To renounce it, Gentleman, would be a folly like that of a man who, because he only lives on the first floor, does not care if the house itself is built on sand.”[fn.31]
Constant is worried about how to protect the individual. Rousseau’s solution is the exact opposite of Mandeville’s: he collapses the private sphere into the public. Rousseau submerges the individual into the general will. In the ultimate modern expression of ancient liberty, Rousseau says, “Each of us puts his person and all his power in common under the supreme direction of the general will, and, in our corporate capacity, we receive each member as an indivisible part of the whole.”[fn.32] Constant refuses this course of action. As we have seen, for Constant, such an act would be a reversion into a past form of liberty, a form that our historical consciousness has evolved out of. Constant says, “Let us mistrust … this admiration for certain ancient memories. Since we live in modern times, I want a liberty suited to modern times.”[fn.33] William W. Holdheim plays on how history informs Constant’s thinking when he says, “The French Revolution has shown that in practice the general will to which we submit may be far from representing our ideal selves: we simply submit to those men who wield the power. Instead of attaining to a superior form of freedom, the individual is crushed under the onslaught of state and society.”[fn.34] Constant recognizes that we moderns need a different solution. As Philippe Raynaud says,
“If, by renouncing the Rousseauistic reconciliation of the individual and the body politic, Constant predicts a retreat of individuals into the private sphere, he also shows that this relative ‘privatization’ of social life can only be preserved if individuals remain citizens.”[fn.35]
Constant’s solution is to merge ancient and modern liberty, private independence with political duty. The difficulty is attempting to convince people, preoccupied with their own pleasure, that to continue in pleasuring themselves they must exercise their political rights. Constant’s solution, his point of moral re-entry, is with a fitting education.

Holmes points out that “the final section of ‘Ancient and Modern Liberty’ comes as a surprise,”[fn.36] almost seeming to contradict the first part. The practical problem of the liberal dilemma is: “how to motivate individuals to participate, how to galvanize them into civic activism, given the scant rewards each individual might expect from time expended on political affairs.”[fn.37] Constant solves this dilemma by using the idea of a moral education: “The work of the legislator is not complete when he has simply brought peace to the people. Even when the people are satisfied, there is much to do. Institutions must achieve the moral education of the citizens.”[fn.38] This statement should remind us of Rousseau’s Great Legislator.[fn.39] And again: “Political liberty, by submitting to all the citizens, without exception, the care and assessment of their most sacred interests, enlarges their spirit, ennobles their thoughts, and establishes among them a kind of intellectual equality which forms the glory and power of a people.”[fn.40] This seems to be unmistakably Rousseauian with political liberty seeming to be a mere placeholder for the general will. So, the question should be asked, “How is Constant’s solution different from Rousseau’s?”

Rousseau says,
“it must also be agreed that although men cannot be taught to love nothing, it is not impossible to teach them to love one object rather than another…. If … they are trained early enough never to consider their persons except as related to the body of the State, and not to perceive their own existence, so to speak, except as part of the state’s, they will eventually come to identify themselves in some way with this larger whole…. Not only does Philosophy demonstrate the possibility of these new directions, but History provides a thousand stunning examples.”[fn.41]
Constant parallels this thought when he says, “the progress of civilization, the changes brought by the centuries require from the authorities greater respect for customs, for affections, for the independence of individuals.”[fn.42] Reaching back to his historicism, Constant can say that the objects of education are different now and we should not feel hypocritical when we shape a moral education surrounding our new understanding of what it is to be a modern. Constant says, “since the liberty we need is different from that of the ancients, it needs a different organization from the one which would suit ancient liberty.”[fn.43] Constant’s moral education is a rehabilitated one, one that does not make pretensions towards innate humanity, the humanity that Rousseau wished to free with his moral education. The liberty that Constant envisions being taught is not a straight modern one. It goes beyond a simple liberty for the private sphere, simple private independence. Constant argues that we must synthesize the liberty of the ancients with the liberty of the moderns, thus ushering in a form of liberty that is different from both. Constant, “far from renouncing either of the two sorts of freedom,” shows that in order to keep the gains moderns have made over the ancients we must “learn to combine the two together.”[fn.44]

The one loose end in this reading of Constant’s speech of 1819 is his use of eternal rights rhetoric. Constant says right before discussing the progress of civilization, “We still possess today the rights we have always had, those eternal rights to assent to the laws, to deliberate on our interests, to be an integral part of the social body of which we are members.”[fn.45] I view this as a tension in Constant’s position that results from the common parlance of his time. Like Hume’s contrast between natural and unnatural, Constant’s dependence on eternal rights is not necessary for his theoretical position. The crux of Constant’s argument in his speech of 1819 is on historical analysis. Both Hume and Constant fall prey to Enlightenment philosophy, that philosophy which searched for the eternal. But his outdated mode of discourse can be ignored in favor of the practical suggestions Constant made about how to negotiate the modern world.

In the course of this essay I’ve attempted to pull apart the argument Constant makes in his 1819 speech, “The Liberty of the Ancients Compared with that of the Moderns.” I have tried to situate it in the discourse of its time by noting the similarities of Constant’s argument with those arguments forwarded by Hume, Mandeville, and Rousseau. Like Hume and Mandeville, Constant argues that commerce has a soothing effect on any warlike tendencies. But like Rousseau, Constant fears that commerce’s ascent to prominence may have unfortunate side effects, such as seen with the rise of Napoleon. That Constant’s position falls in between Hume and Mandeville’s on one side and Rousseau’s on the other adds to the difficulty of interpreting the end of his speech, but hopefully the suggested reading, that Constant’s argument hinges not on eternal pretensions, but on historical analyses, smoothes out some of the difficulties putting the first three-fourths of his speech together with the last fourth.

Endnotes

[1] These turns of phrase are peppered throughout Constant’s essay, for instance, pages 315, 317, 321, 316, respectively for each. (Benjamin Constant, “The Liberty of the Ancients Compared with that of the Moderns,” in Political Writings, ed. B. Fontana)

[2] As Biancamaria Fontana says, “[Constant’s] views on the limits of public authority, individual liberty, sovereignty and representation were not offered as universal principles but were embedded in a preliminary understanding of the type of historical society to which they applied to the exclusion of others.” (Biancamaria Fontana, Benjamin Constant and the Post-Revolutionary Mind, (New Haven: Yale University Press, 1991), 29.)

[3] Constant, 317

[4] ibid., 321

[5] ibid., 317

[6] Pierre Manent stops short of this conclusion when he says, “It is clear that Constant is in no way asserting the superiority of modern principles over those of the ancients. He is simply saying that in the ancient city-state, the social and political conditions of human happiness were radically different from what they are in modern times. By refusing to make a value judgment regarding these two versions of human happiness, he necessarily condemns attempts to impose on a given social and moral state any political institutions modeled on a radically different state. Constant is not asserting, as Montesquieu had clearly suggested, that modern liberty is friendlier to man’s nature than was ancient liberty, or that ancient liberty is ‘inhuman,’ or brutalizes his nature.” (Pierre Manent, An Intellectual History of Liberalism, trans. Rebecca Balinski, (Princeton: Princeton University Press, 1994), 89.) While I agree that Constant does say that “the social and political conditions of human happiness were radically different” and that he does not say, with Montesquieu and Hume, that “modern liberty is friendlier to man’s nature,” under my analysis, I think it is quite clear that when he strikes the doux-commerce chord (to be discussed shortly), as when he says, “thanks to commerce, to religion, to the moral and intellectual progress of the human race, there are no longer slaves among the European nations” (Constant, 314, emphasis mine), he is saying that moderns have made improvements over their ancient counterparts. So I agree with Guy Dodge who says, “It was Constant first and then Henri de Saint-Simon who reversed Rousseau … by pointing out the superior virtues of modern commercial over ancient military society.” (Guy Dodge, Benjamin Constant’s Philosophy of Liberalism, (Chapel Hill: University of North Carolina Press, 1980), 30.) I do not think that “moral and intellectual progress” is simply a rhetorical flourish set out to grab his European audience. I think it is central to his repudiating the title of relativist that he strike this limited ethnocentric chord. By doing this he limits his context to “Europeans,” and thereby to history, rather than an extravagant, universal and ahistorical context like “humanity,” which allows him to retain the ability to condemn “attempts to impose on a given social and moral state any political institutions modeled on a radically different state.”

[7] Constant, 317

[8] Albert O. Hirschman, “The Doux-Commerce Thesis,” in Rival Views of Market Society, 109.

[9] ibid.

[10] Charles de Secondat de Montesquieu, The Spirit of the Laws, trans. and ed. Anne M. Cohler, Basia Carolyn Miller, and Harold Samuel Stone, (Cambridge: Cambridge University Press, 1989), 338.

[11] David Hume, “Of Commerce,” in Essays: Moral, Political, and Literary, ed. Eugene F. Miller, rev. ed., (Indianapolis: Liberty Fund, 1985), 264.

[12] This is the subtitle for Mandeville’s The Fable of the Bees.

[13] Constant, 313

[14] Hume says, “the less natural any set of principles are, which support a particular society, the more difficulty will a legislator meet with in raising and cultivating them. It is his best policy to comply with the common bent of mankind, and give it all the improvements of which it is susceptible. Now, according to the most natural course of things, industry and arts and trade encrease the power of the sovereign as well as the happiness of the subjects….” (Hume, “Of Commerce,” 260) Hume’s argument in “Of Commerce,” though historical, is of the kind that moves from the unnaturalness of the ancients, to the naturalness of the moderns, thus holding “nature” as an ahistorical bar of judgment.

[15] Constant, 313

[16] ibid. Fontana says, “Constant’s attempt to bring or restore to political theory a sociological understanding of the nature of modern European nations went beyond the aspiration of adding some historical background to the activity of constitutional engineering. His political theory was the theory of a particular historical reality: large nation states with a developed commercial economy within the European cultural tradition.” (Fontana, 45)

[17] Constant, 313

[18] ibid., 314

[19] Bernard Mandeville, The Fable of the Bees, ed. F. B. Kaye, (Oxford: Clarendon Press, 1957), 245.

[20] ibid., 150

[21] Hume, “Of Refinement in the Arts,” 269

[22] Mandeville, 157

[23] Constant, 319

[24] Jean-Jacques Rousseau, First Discourse, in The Discourses and Other Early Political Writings, ed. Victor Gourevitch, (Cambridge: Cambridge University Press, 1997), 20.

[25] Arthur O. Lovejoy says that primitivism “has … been rather the expression … of an emotional nostalgia or an idyllic day-dream … one may in principle distinguish ‘sentimental’ from ‘practical’ primitivism…. But the one naturally shades off into the other; a mood of intense dissatisfaction with some or all the characteristics of the civilized life of one’s own time will obviously produce in some minds a hope and an endeavor to put an end to them.” (Arthur O. Lovejoy and George Boas, Primitivism and Related Ideas in Antiquity, (Baltimore: Johns Hopkins University Press, 1935), 16.) Bernard Yack calls the modern variant of this hope “the longing for total revolution.” (see Bernard Yack, The Longing for Total Revolution, (Berkeley: University of California Press, 1992), 3-10.) For more on Rousseau and primitivism, see my "Primitivism in Rousseau."

[26] Rousseau, First Discourse, 11

[27] ibid., 24

[28] Dario Castiglione, Readings of Mandeville on Commercial Society, 167

[29] Constant, 326

[30] Hume, “Of Refinement in the Arts,” 269

[31] Constant, 326. Stephen Holmes partly attributes Constant’s worries about political liberty to the historical experience he and France endured when Napoleon rose to power. He says, “the postrevolutionary urge to escape from politics and delimit the political sphere had nourished an invasive dictatorship. Constant experienced the pang of enforced depoliticalization in his own person when he was ejected from the Tribunat in 1802. It is inconceivable that, having suffered this humiliation, he would have afterward viewed privatization as simply and exclusively a public good.” (Stephen Holmes, Benjamin Constant and the Making of Modern Liberalism, (New Haven: Yale University Press, 1984), 41.)

[32] Jean-Jacques Rousseau, The Social Contract, in The Social Contract and Discourses, trans. E. D. H. Cole, (Vermont: Everyman, 1973, 1993), 192.

[33] Constant, 323
[34] William W. Holdheim, Benjamin Constant, (London: Bowes & Bowes, 1961), 85.

[35] Philippe Raynaud, “Constant,” in New French Thought: Political Philosophy, ed. Mark Lilla, (Princeton: Princeton University Press, 1994), 87.

[36] Holmes, 39

[37] ibid., 42

[38] Constant, 328

[39] Rousseau, Social Contract, 213-7

[40] Constant, 327

[41] Jean-Jacques Rousseau, “Discourse on Political Economy,” in Collected Writings of Rousseau vol. 3, trans. Judith R. Bush, Roger D. Masters, Christopher Kelly, and Terence Marshall, ed. Roger D. Masters and Christopher Kelly, (Hanover: University Press of New England, 1992), 155.

[42] Constant, 324

[43] ibid., 325

[44] ibid., 327

[45] ibid., 324